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The 21st-century principal: the recruitment, mentoring, and retention of principals
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The 21st-century principal: the recruitment, mentoring, and retention of principals
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Running head: PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 1
THE 21ST-CENTURY PRINCIPAL: THE RECRUITMENT, MENTORING, AND
RETENTION OF PRINCIPALS
by
Lara Susan Gruebel
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 Lara Susan Gruebel
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 2
Dedication
This work is dedicated to my husband and three boys, who supported me throughout the
doctoral program. The journey began with a rearrangement of our house so that I had a place to
study and work and evolved into working sessions at the kitchen table, where I would often look
up and find a boy reading or doing homework right alongside me. I hope that I was able to serve
as a role model showing that hard work, perseverance, and dedication will lead them to their
goal. My husband David took care of me through the process, making sure that I ate, took
breaks, and found time here and there to reconnect with life and just relax. I cannot fully express
my love and appreciation!
My parents provided monetary support as well as the understanding that life would
change as I returned to school. Their being supportive of my coursework and homework time
constraints and understanding that the frequency of visits would wane during this time allowed
me to focus on what I had to do without feeling guilty. I appreciate the frequent checks on my
progress and constant support throughout.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 3
Acknowledgments
I would like to acknowledge my dissertation chair, Dr. Michael Escalante, who supported
me through this process with the mantra, “It’s like eating an elephant—one bite at a time.” This
helped me stay focused and prevented me from becoming overwhelmed. I appreciate his knowl-
edge, expertise, and willingness to share his experiences throughout the coursework and the
writing process. I thank him for his supportive words of encouragement each step of the way.
Fight on!
Next, I would like to thank my dissertation committee: Dr. Owen Crosby, Dr. David
Cash, and Dr. Michele Doll. Their enthusiasm and support for our study provided the encourage-
ment needed to move through the process with determination and purpose. Their support was
greatly appreciated.
I would also like to thank Doc Bean. Her encouragement, belief in my abilities, and
willingness to use her expertise to help me fine tune my work meant the world to me. I appreci-
ate the editing feedback and constant interest in my study and its progress. I am looking forward
to knowing that she will be in the audience when I graduate.
Thank you to the P.E.O. Sisterhood, especially Helen, for their support, both financially
and as cheerleaders along the way. I appreciate their investment in my work.
Special thanks go to the other 11 members of my thematic dissertation group. This has
been a journey! The camaraderie and support of the OC Crew made it memorable, doable, and
created friendships forged in hard work and purpose. I appreciate them so much!
Finally, to every person who gave words of encouragement and asked how it was going, I
thank them for being there. I needed each of them, and I am grateful for how fortunate I am to
have each of them in my life. Fight on!
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 4
Table of Contents
Dedication 2
Acknowledgments 3
Abstract 7
Chapter One: Overview of the Study 8
Background of the Problem 9
Statement of the Problem 10
Purpose of the Study 10
Research Questions 11
Significance of the Study 11
Assumptions 12
Limitations 12
Delimitations 13
Definition of Terms 13
Organization of the Dissertation 15
Chapter Two: Review of the Literature 16
Evolution of the Principalship 17
The Changing Role of the Principalship 21
Skills Needed by the 21st-Century Principal 22
Principal Shortage 23
The Superintendent’s Perspective 25
Preparation for the Principalship 26
University Preparation Programs 27
Professional Organization Programs 29
Mentoring 30
Preservice Programs 31
State Certifications 31
Recruitment of the Principal 32
Demographics of the Principalship 33
Diversity 33
Deterrents to Applying for a Principalship 34
Strategies for Attracting Candidates 38
Retention of the Principal 40
Reasons for Leaving the Position 40
Support Needed to Remain on the Job 43
Leadership Frameworks 46
Four Frames 46
School Leadership That Works 48
The Principal: Three Keys to Maximizing Impact 50
Conceptual Framework 52
Figure 1. Conceptual framework of the study 53
Chapter Summary 54
Chapter Three: Research Methodology 55
Research Questions Restated 55
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 5
Research Design and Method 56
Qualitative Research 56
Why Qualitative Methods 56
Research Team 58
Population and Sampling 58
Access and Entry 59
Instrumentation 59
Quantitative Instrumentation 60
Qualitative Instrumentation 60
Data Collection Approach 61
Data Analysis 62
Ethical Considerations 63
Chapter Summary 64
Chapter Four: Findings 65
Study Participants 66
Qualitative Interview Participants 66
Quantitative Survey Participants 68
Findings for Research Question 1 68
Seeking Learning Opportunities 69
On-the-Job Experience 72
Mentors 76
Summary of Results for Research Question 1 78
Findings for Research Question 2 79
Networking 80
Tapping 84
Performance and Reputation of the Candidate 89
Summary of Results for Research Question 2 92
Findings for Research Question 3 93
Mentors 94
Maintaining Relationships and Networking Within District 97
Professional Networking and Associations 100
Compensation 100
Summary of Results for Research Question 3 101
Chapter Summary 101
Chapter Five: Discussion, Implications, and Recommendations 104
Purpose of the Study Restated 104
Summary of Findings 105
Research Question 1 105
Research Question 2 106
Research Question 3 107
Limitations 108
Implications 108
Recommendations for Future Study 110
Conclusion 110
References
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 6
Appendices
Appendix A: Research Participants’ Invitation E-mail 122
Appendix B: Informed Consent 123
Appendix C: Principal Survey 124
Appendix D: Human Resources Administrator Survey 132
Appendix E: Immediate Supervisor of Principal Survey 136
Appendix F: Superintendent Survey 140
Appendix G: Principal Interview Guide 144
Appendix H: Human Resources Administrator Interview Guide 146
Appendix I: Immediate Supervisor of Principal Interview Guide 148
Appendix J: Superintendent Interview Guide 150
Appendix K: Question Alignment Matrix 152
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 7
Abstract
The modern-day principalship is filled with challenges as the pressures of societal change place
new and increasingly complex demands on this important role. A growing number of research
studies about effective schools have confirmed that quality school leadership is the second most
influential factor impacting student success in the United States, behind the classroom teacher.
With this level of impact, the role of the principal is critical. This qualitative study examined the
preparation, recruitment, and retention of California K–12 public school principals. Perspectives
from the qualitative interview participants (three superintendents, three human resources admin-
istrators, three immediate supervisors of principals, and six current principals) served to answer
the study’s three research questions by identifying common themes. Quantitative survey data
supported the themes identified through the qualitative interview data. Findings from this study
indicated that preparation for the principalship is supported by aspiring principals seeking
learning opportunities and acting as lead learners, on-the-job experience, and supportive mentors.
Recruitment into the principalship is supported by networking with other districts and utilizing
professional networks, tapping or creating an internal pipeline of candidates, and knowledge of
the performance and reputation of the candidate. Retention in the principalship is best supported
by having mentors who provide support to current principals, by maintaining relationships and
professional networks with district administrators, and may be supported through compensation.
Three leadership models served as theoretical frameworks to guide this study: (a) Lee Bolman
and Terrence Deal’s four frames; (b) School Leadership That Works by Robert Marzano,
Timothy Waters, and Brian McNulty; and (c) Michael Fullan’s The Principal: Three Keys to
Maximizing Impact.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 8
CHAPTER ONE: OVERVIEW OF THE STUDY
The modern-day principalship is filled with challenges as the pressures of societal change
place new and increasingly complex demands on this important role. A growing number of
research studies about effective schools have confirmed that quality school leadership is the
second most influential factor impacting student success in the United States, behind the class-
room teacher (Fullan, 2014; Leithwood, Louis, Anderson, & Wahlstrom, 2004; Louis, Leith-
wood, Wahlstrom, & Anderson, 2010; Marzano, Waters, & McNulty, 2005; Simkin, Charner, &
Suss, 2010). With this level of impact, the role of the principal is critical.
The 21st-century principal has been labeled the leader of a learning community in an age
of accountability (Kavanaugh, 2005), a description that has neither been sufficiently clarified nor
focused on, thus making it difficult for principals to thrive under new conditions (Fullan, 2014).
This leader is a facilitator of learning communities, also called a learning leader, who must
support academic performance for all student subgroups, build the capacity of teachers, and work
within a system for the benefit of all (Fullan, 2014). A focus on academic standards, connecting
learning to prior knowledge, providing real-world experiences, and promoting student-centered
curriculum requires a superprincipal (Copland, 2001; Kavanaugh, 2005). K. Brown (2005)
explained that
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. 109)
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 9
The role of the principal has changed as the demands and challenges of public education
have evolved. The call for highly qualified principals has long been made; and this time, what is
worth fighting for is dramatic improvement to the entire system (Fullan, 2014). This type of
improvement requires a principal who is properly prepared for the task, who is recruited for the
position, and who stays within the job long enough to effect meaningful change.
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 lack a thorough understanding of the require-
ments of the job. 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 successful principals (Norton, 2002). The responsibilities of the princi-
palship have become more challenging and complex due to decades of mandated reform, rapidly
changing demographics, technological advances, and dwindling financial support for schools
(Fullan, 2014; Hoyle & Wallace, 2005; Marzano et al., 2005; Spillane & Lee, 2014). Although
many principals are successful in the position, the pipeline of aspiring principals with potential
for success may be insufficient (Meyer & Feistritzer, 2003; Normore, 2006).
Pijanowski, Hewitt, and Brady (2009) found that 1 in 5 principals left their school within
2 years and that many school districts reported a lack of qualified applicants. Given the potential
for an insufficient pipeline of principals as well as principals leaving the position, further consid-
eration should be given to principal preparation, recruitment, and retention.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 10
Statement of the Problem
The principal’s role has become more complex and challenging since its beginnings, with
the responsibilities and expectations continually evolving since the inception of the position in
the mid-1600s (Brubaker & Simon, 1986). Aspiring principals must thoughtfully consider the
proper preparation, recruitment strategies, and skill sets for ongoing success in the position.
Preparation programs, such as universities and nonuniversities, have made attempts to train
prospective principals to be recruited and successful in the position, but many have fallen short in
their efforts (Barnet, 2004; P. F. Brown, 2006; Davis & Darling-Hammond, 2012; Hess & Kelly,
2007; Jackson & Kelley, 2002). Supports for current principals, including networking, mentor-
ing, and coaching, have contributed to most principals’ continued success in the position (P. F.
Brown, 2006; Matthews & Crow, 2003; Service, Dalgic, & Thornton, 2016); however, principal
turnover still remains high (Hull, 2012). The fact that disparities in the recruitment and retention
of female principals and principals of color also exist magnifies the problem within these sub-
groups (Hill, Ottem, DeRoche, & RTI International, 2016; Hoff, Menard, & Tuell, 2006;
Normore, 2006). These inadequacies signify an overall problem in principal preparation, recruit-
ment, and retention.
Purpose of the Study
The purpose of this qualitative study was 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
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 11
and retention efforts that public school districts must use to find and retain quality personnel in
the principalship.
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, immediate supervisors of principals, human
resources (HR) administrators, 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
The principalship is critical to students’ success, second only to the classroom teacher
(Fullan, 2014). This study serves to inform multiple stakeholders who are involved in filling this
key position. Aspiring principals will be informed of the preparation and recruitment strategies
that they must undertake in considering this critical role. Direct supervisors to principals will be
informed of successful recruitment strategies and how to provide ongoing support to sitting prin-
cipals so that they remain in their position. HR personnel will be informed of recruitment and
retention strategies that will place qualified candidates into the principalship and keep them in
the role. Finally, superintendents will be informed of needed preparation for principal candi-
dates, how to best recruit quality candidates, and strategies for keeping successful principals in
their role so that they can have a positive impact on students, act as change agents for their staff,
and be lead learners for all stakeholders (Fullan, 2014).
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 12
This study may also affect additional stakeholders. University and other preparation
programs may have to reevaluate the content, delivery, and format of their programs to better
prepare candidates to be 21st-century principals (Barnet, 2004; P. F. Brown, 2006; Cray &
Weiler, 2011; Service et al., 2016). Candidates for the principalship may need to consider their
own preparation as well as experiences to seek out that would support their recruitment into the
job and their success once a position is obtained. District office personnel and superintendents
may need to reconsider what they value and want to communicate when advertising for and
recruiting candidates and how to support sitting principals in their ongoing professional develop-
ment so as to retain principals in the position (Lowe, Kroeck, & Sivasugramianiam, 1996;
Pijanowski et al., 2009; Sandham, 2001).
Assumptions
The results of this study were based on the following assumptions:
1. That successful principals were individuals who had been employed for at least 2
years in their current district,
2. That all participants would be truthful in their survey and interview responses, and
3. That state test scores from the state government were accurate indicators of student
achievement and school and district success.
Limitations
The first limitation of this study is that it did not sample the entirety of California K–12
school principals. The sample was limited to California public school principals and district
personnel in Los Angeles, Orange, San Bernardino, and San Diego Counties. Second, only
participants who completed the surveys were included in this study. Participants who were inter-
viewed were selected because they met inclusion criteria. The results of the study were limited to
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 13
the participants in the study. The study was constrained by the time and resources to collect data,
which might have reduced generalizability. Finally, the reliability of the survey and interview
instruments may have had an effect on the validity of the study.
Delimitations
One delimitation of this study was that it exclusively sampled California K-12 public
school employees. Although the researcher collected purposeful data, these data were solely
collected from a purposeful sample of California public school K-12 principals, immediate
supervisors of principals, HR personnel, and superintendents (Johnson & Christensen, 2014).
Definition of Terms
For the purpose of this study, the following terms are defined based on the literature
reviewed:
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.
Change agent: A leader who challenges the status quo (Marzano et al., 2005).
Coaching: A task-oriented, performance-driven relationship with a focus on increasing an
individual’s specific skills.
Direct supervisor: A district office administrator who oversees the evaluation and men-
toring of a site principal.
Frame: A mental model that one carries in one’s head to help one to understand and
negotiate a particular “territory” (Bolman & Deal, 2013, p. 10).
HR personnel: Those working in the HR department of a school district and who oversee
hiring practices.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 14
Mentoring: A relationship focused on developing an individual professionally and
personally. When an experienced person passes along his or her skills to a less knowledgeable
person through support, motivation, guidance, and encouragement (Service et al., 2016).
Preparation: The strategies and steps taken by a principal prior to accepting his or her
first position.
Preparation programs: A university, professional organization, or embedded training
that supports a principal candidate in obtaining the skills necessary for the principalship.
Principal: A person who is the head or leader of a school.
Principal recruitment: The process or strategies used by an aspiring principal to obtain
his or her first principalship.
Principal retention: The process or strategies used by a principal or district personnel to
support the retention of the position.
Principalship: A position of presiding rank, especially the head of an elementary school,
middle school, or high school.
Recruitment: The strategies and steps taken by principals prior to accepting their first
principalship.
Retention: The process or strategies used by principals and school district administrators
to maintain principals’ current position.
School board: The body of governance for a local school district. As the governing body,
the school board is responsible for all policies and regulations within the school district.
School district: A local education agency that operates schools in a local geographic
location.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 15
Superintendent: The administrator or manager in charge of multiple schools within a
school district.
Tapping: The informal process of current administrators identifying and encouraging
teachers with leadership skills to pursue administrative positions.
Organization of the Dissertation
This dissertation is organized into five chapters. Chapter One has introduced the study
and has presented the background and purpose of the study, the research questions, the signifi-
cance of the study, limitations and delimitations, and definition of key terms. In Chapter Two, a
review of the relevant literature is organized into six sections including a historical overview of
the principalship, preparation options for the principalship, the changing nature of the role,
recruitment strategies relevant to current job requirements and the shortage of candidates for the
position, and retention strategies that districts can utilize. The chapter closes with frameworks
that served as a lens to inform the study’s findings. Chapter Three describes the methodology of
the study. A description of the qualitative design of research is discussed, as well as a description
of the sample and population, instrumentation, data collection, and the data analysis that was
utilized for the study. Chapter Four reports the study’s findings and how they answer the re-
search questions. Chapter Five summarizes the study’s findings, addresses future implications,
and provides recommendations for further research as it pertains to the preparation, recruitment,
and retention of principals.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 16
CHAPTER TWO: REVIEW OF THE LITERATURE
The modern-day principalship is filled with challenges as the pressures of societal change
place new and ever complex demands on this important role. The principal of the 21st century is
the leader of a learning community in an age of accountability (Kavanaugh, 2005). This leader is
a facilitator of learning communities that support academic performance for all student sub-
groups. A focus on academic standards, connecting learning to prior knowledge, providing
real-world experiences, and promoting student-centered curriculum requires a superprincipal
(Copland, 2001; Kavanaugh, 2005).
The role of the principal has changed as the demands and challenges of public education
have evolved. The call for highly qualified principals has long been made, as strong leadership is
at the heart of every school and directly related to improved teaching conditions (Carver-Thomas
& Darling-Hammond, 2017; Fullan, 2014); however, the current conditions of the job have made
it less attractive for possibly highly qualified candidates to pursue.
This chapter examines the literature regarding the history, preparation, the changing
nature of the role, recruitment, and retention of principals. The theoretical frameworks highlight
ways in which district leaders can consider the changing role of the principal, the skills necessary
to be successful in the job, and hiring strategies that they can employ to recruit and retain high-
quality candidates. To identify the challenges facing those in educational leadership as they
attempt to find quality candidates to fill principal vacancies, the literature was examined through
a pragmatic lens in order to understand how the role of the principal has changed, the ways in
which principal candidates prepare for the position, recruitment practices used in an attempt to
attract quality candidates, and measures that districts take to support and retain principals in the
position. The review is organized with literature related to the history of the principalship,
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 17
principal preparation, the changing nature of the position, principal recruitment, and retention
strategies. The chapter will close with theoretical and conceptual frameworks used as a lens to
understand the findings of the study.
Evolution of the Principalship
First developed in 1647 to serve a small town in Massachusetts, the role of the principal
has changed as the demands and challenges of public education have evolved. The initial leaders
were schoolmasters and teachers in one-room schoolhouses, focused on teaching reading and
writing to a range of students (Brubaker & Simon, 1986). Over the next decade, the position
began to grow in responsibilities as large numbers of students attended school. The leader was
known as the headmaster or provost and taught the highest grade in the school (Brubaker &
Simon, 1986). In addition to teaching responsibilities, the headmaster began to monitor teachers
and classroom procedures, as well as to implement school board policies and perform clerical
and janitorial tasks (K. Brown, 2005).
In the period from 1747 to 1850, the leader’s name changed again with the changing
nature of the responsibilities (Brubaker & Simon, 1986; Kavanaugh, 2005). Now known as the
principal-teacher, the individual’s responsibilities included teaching, managing the complexities
of multigraded schools, keeping attendance records, maintaining the building, and serving as an
intermediary between the teachers and the board. As in the past, no special training was required
to fill this position, and often someone was appointed by a council or board based on his or her
efficiency with clerical tasks and ability to follow the commands of the school board (Brubaker
& Simon, 1986; Kavanaugh, 2005).
Between 1850 and 1920, the role of principal was formally established (Brubaker &
Simon, 1986). The principal served as a general manager and an official liaison between the
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 18
school and the central office. According to a mid-1800s study in Providence, Rhode Island,
58.8% of the principal’s duties were characterized as clerical; 23.5%, as organization of the
school; 11.8%, for care for the school plant; and 5.9%, for interacting with students, including
handling disciplinary issues (Pierce, 1935). Supervisory duties included class observations,
conferencing with teachers, demonstration teaching, conducting meetings, and overseeing testing
(Pierce, 1935). The next changes in the role of the principal were in response to societal changes
and the Common Schools Movement (K. Brown, 2005). Immigration, urbanization, and expan-
sion increased the call to maintain social order, to build nationalism, to shape good citizens, to
reform society, and to stimulate economic growth (K. Brown, 2005). In 1921, the Department of
Elementary School Principals was established (Kavanaugh, 2005). With this development, the
grading of schools began and the responsibility of teaching was removed from the role of the
principal (Kavanaugh, 2005).
To describe the transformation of the principal’s role over the next 60 years, Beck and
Murphy (1993) used a variety of metaphors. In the 1920s, the leader was known as a values
broker and served as a spiritual and social leader, influenced by the Progressive Movement and a
call for moral earnestness and a sense of mission (K. Brown, 2005). There was still no formal
training needed to fill the position. Responsibilities included monitoring teachers in a democratic
style, organizing curriculum, helping teachers to develop effective teaching strategies, and being
an active member of the community (Kavanaugh, 2005).
Influenced by industrialization and the emergence of corporations, the 1930s leader was
labeled as a scientific manager (Beck & Murphy, 1993; Kavanaugh, 2005). The principal served
as a professional business executive and dealt with running the school as a business. There was
now preparation for the principalship with a focus on research; by 1932, nearly half of the states
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 19
had adopted certification standards (K. Brown, 2005). The formalization of the role of principal
operationalized schooling and required the principal to use business practices for budgeting,
maintenance, and pupil accounting (Kavanaugh, 2005). Students were seen as the raw materials
and the schools as factories (Knott & Miller, 1987).
The 1940s brought the democratic leader and a coordinated focus on human relations.
The principal was a process helper, a public relations representative, and a consultant (Kava-
naugh, 2005). State certification was required, and principals began going back to school to earn
higher degrees. Job responsibilities included preparing youth to play an active role in society and
to make a productive living. The principal became a shared decision maker and worked with
teachers to develop curriculum and instruction (Kavanaugh, 2005).
The Soviet launch of Sputnik in 1957 sparked public demand for action to increase
science education, and the principal became the “Theory-Guided Administrator” (Kavanaugh,
2005, p. 4). The responsibilities of the principal became both scientific management and human
relations, and for the first time management versus leadership was displayed in the role. Princi-
pals were asked to have both organizational purpose as well as individual purpose as facilities
were updated, teachers were recruited, empirical data began to be used to support teaching strate-
gies, and materials were developed in all subject areas to meet the demands of the public (K.
Brown, 2005; Kavanaugh, 2005).
The 1950s and 1960s brought the bureaucratic executive (Kavanaugh, 2005) along with
the Civil Rights Movement and Brown v. Board of Education (1954). With reformers challeng-
ing bureaucracy and a call for decentralization of schools to correct inequities such as segregation
and financial disparities, the principal needed to be a powerful bureaucrat with a technical
perspective (K. Brown, 2005; Kavanaugh, 2005). Scientific strategies were being implemented
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 20
to reach measurable academic outcomes, and the principal had to report to numerous groups with
varying wants and needs (Kavanaugh, 2005). Assessment and accountability now played a role,
and performance and competence were required of this leader (K. Brown, 2005).
The principal of the 1970s was known as the humanistic facilitator (Kavanaugh, 2005)
and was described as a humanistic community leader (Beck & Murphy, 1993; Kavanaugh, 2005).
This leader wore many hats and had to juggle the needs of various competing stakeholders. The
growth of social problems during this time, such as racial tension, substance abuse, and teen
pregnancy, required principals to provide remedies that turned their primary attention away from
academic leadership. It was necessary to develop mutual respect, support teachers, and be a team
player. In addition, the principal had to manage federally funded programs related to compensa-
tory education, such as bilingual education and educating the disabled (K. Brown, 2005). The
principal served as a negotiator of union demands and teacher contracts and had to be politically
active and engaged in policy making (K. Brown, 2005).
The instructional leader emerged during the 1980s, when A Nation at Risk (National
Commission on Excellence in Education, 1983) was published and led to extensive school
reforms in a top-down format (K. Brown, 2005). There was a tightening of educational
standards, stricter professional certification requirements, and increased accountability (K.
Brown, 2005). The principal had to be a visionary with a mission and a plan of action. Also
known as a change agent who solves problems and ensures an effective school, the principal had
to be directly involved in the teaching and learning process, provide professional development,
and increase student achievement (Kavanaugh, 2005).
The 1990s required the principal to more closely engage external stakeholders as it
became necessary to build and nurture these relationships for the good of the school (Kavanaugh,
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 21
2005). A second wave of reforms, called the restructuring stage, used a bottom-up approach to
empower teachers to initiate change and to bring about school improvement (K. Brown, 2005).
The principal had to be a transformational leader who was responsive to changing demographics.
Meeting the needs of English language learners and students in poverty was necessary as
accountability to state testing became prevalent. Schools had to maintain enrollment and to be
accountable to a competitive market, with charter schools and private schools competing for the
same students (Kavanaugh, 2005).
The 21st-century principal is the leader of a learning community in an age of account-
ability (Kavanaugh, 2005). This leader is a facilitator of learning communities that support
academic performance for all student subgroups (DuFour & DuFour, 2013). A focus on aca-
demic standards, connecting learning to prior knowledge, providing real-world experiences, and
promoting student-centered curriculum requires a superprincipal (Copland, 2001; Kavanaugh,
2005).
The role of the principal has changed as the demands and challenges of public education
have evolved (K. Brown, 2005; Copland, 2001; Fullan, 2014; Kavanaugh, 2005; Sandham,
2001). The call for highly qualified principals has long been made, and preparation for the posi-
tion must match the current job requirements. The following section will explore the changing
nature of the principalship, the skills needed by the 21st-century principal, and the shortage of
candidates for this role.
The Changing Role of the Principalship
The evolution of the principalship demonstrates that as society changes, so does the role
of the school principal. A 2016 fact sheet published by the AFL-CIO Department for Profes-
sional Employees (DPE) reports that in 2012, 69% of principals surveyed stated that their job
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 22
responsibilities were different than 5 years prior and 75% reported that their job was too
complex. Over half of the principals reported a decrease in budget over the past 12 months as
well as increased expectations over the same period, perhaps leading to the 9% drop in job satis-
faction over the same time period (AFL-CIO DPE, 2016). Whitaker (2003) identified five cate-
gories that provide a picture of this change for principals internationally: site-based management,
tensions between management and leadership, increased accountability, altered relationships with
parents and community, and school choice policies. In addition, higher expectations, account-
ability related to student outcomes, lengthy work weeks, and mandated paperwork were noted as
reasons for the shrinkage in applicant pools (Normore, 2006). Whitaker (2003) made a connec-
tion between these role changes and the issue of principal recruitment, and Fullan (2014) noted
that the role must be better defined so that principals can receive the support they need for whole-
system change.
Skills Needed by the 21st-Century Principal
As the role of the principal has evolved, research has begun to define the skills needed by
the 21st-century principal to be an effective leader, lead learner, and change agent for the students
and staff that they lead (Fullan, 2014; Lowe et al., 1996; Waters, Marzano, & McNulty, 2004).
Although these skills and traits are labeled differently in a variety of studies, they are all neces-
sary if positive change for student learning is going to occur. Waters et al. (2004) noted that
there is a .25 strength of correlation between instructional leadership and student achievement
and that key leadership responsibilities will lead to this change. These include situational aware-
ness (.33), intellectual stimulation (.32), change agent (.30), and input (.30). These responsibili-
ties will be defined in a later section regarding frameworks.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 23
Bolman and Deal (2013) discussed the use of four frames that successful leaders use
based on the need: structural, human resource, political, and symbolic. Bolman and Deal
asserted that because no frame works well in every circumstance, a leader who sticks with one
frame is bound eventually to act inappropriately and ineffectively. Instead, it is the leader’s
responsibility to use the appropriate frame of reference, and thereby behavior, for each challenge.
Fullan (2014) defined the successful leader as one who must play three key roles: the
learning leader, the district and system player, and the change agent. Relational trust between the
principal and the faculty is key to having success in these roles and is found in numerous theories
about successful leadership (Cerit, 2009; Fullan, 2014; Lowe et al., 1996; Waters et al., 2004).
These key roles will ultimately simplify the role of the principal, make the work less fragmented,
and yield widespread results (Fullan, 2014).
Whereby different labels have been used to define the skills needed by the 21st-century
principal if they are to be successful in their role, it is clear that having so-called soft skills to
build relationships, being a lead learner alongside the staff and having strong managerial skills
are all necessary to lead in this time of change (Cerit, 2009; Fullan, 2014; Lowe et al., 1996;
Waters et al., 2004). This is a tall order to fill and may be a possible explanation for the looming
principal shortage (AFL-CIO DPE, 2016; Gates, Ringel, Santibanez, Chung, & Ross, 2003;
Normore, 2006; RAND Corporation, 2003; Sandham, 2001). The principal shortage will be
considered next, with the lens of the superintendent also discussed.
Principal Shortage
In 2003, the RAND Corporation published a report regarding a possible shortage of
administrative candidates, noting three areas of concern: substantial variation in financial
rewards at the state and local levels, barriers to entry into the field that affect people’s willingness
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 24
to become administrators, and an administrative population with many members nearing retire-
ment (Gates et al., 2003). Since that time, multiple other researchers have sought to determine
whether there is an actual shortage or whether it is the nature of the job rather than the qualifica-
tions of possible candidates (AFL-CIO DPE, 2016; Gates et al., 2003; National Association of
Elementary School Principals [NAESP], 2003; Normore, 2006; RAND Corporation, 2003;
Sandham, 2001).
A shortage in applicants for posted job opportunities was identified in a 2016 study by
Richardson, Watts, Hollis, and McLeod. A mismatch was noted between what researchers and
academics say is the job of the principal and what districts advertise that they want and need in a
principal (Richardson et al., 2016). Based on the job advertisements, the principalship is seen as
an interchangeable role without consideration of setting, and each posting could be swapped with
almost any other posting without loss of context or requirements. The job announcements ana-
lyzed differed very little from those posted decades ago, and only 1 in 6 job postings mentioned
the need for some form of technology-related expertise (Richardson et al., 2016). If current job
postings do not begin to reflect the changing nature of the principalship, powerful leadership
alignment cannot occur. Without clearly defined job postings, applicants may choose a job based
on other criteria (e.g., district reputation, geography, monetary benefits, etc.) rather than the job
that best fits their skills. Normore (2006) reported that 30% of school districts across the United
States are not using any strategy at all to recruit candidates and that many simply use the concept
of self-selection to fill positions. As they seek to fill open positions, district personnel must be
more specific and future oriented in their job postings and recruitment efforts. Doing so may
help to alleviate the issue of principal applicant shortages as well as the problem of shortages
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 25
being unequal across settings, with urban school districts reporting a more severe problem
(Whitaker, 2003).
The Superintendent’s Perspective
According to a study by Whitaker (2001), of 108 district superintendents surveyed, 40%
of respondents indicated a moderate candidate shortage and 50% reported a somewhat extreme or
extreme shortage. Narrative comments revealed a more significant shortage at the middle and
high school levels, compared to the elementary level. Regarding candidate quality, 28.3% of
respondents stated that candidates were poor or fair, 51% rated the quality as good, and 16.9%
reported candidate quality as very good. Reasons for low-quality candidates included lack of
experience and lack of skills and knowledge in the areas of assessment and instruction. Respon-
dents noted a need for more qualified minority candidates to act as role models and mentors for
minority students. Respondents reported a moderately high level of satisfaction with principal
preparation programs. Respondents listed a variety of deterrents to applying for a position,
including the time commitment, high-stakes testing, school report cards, increased violence, lack
of respect from the public, and overall job pressures. A final overwhelming obstacle was salary.
Respondents perceived that the salary did not match the increasing responsibilities of the job
(Whitaker, 2001).
Pijanowski et al. (2009) conducted a study in which Arkansas superintendents were asked
about the changing nature of the principal shortage and the factors that influence the recruitment
and retention of school leaders. Results showed that superintendents tended to underestimate the
size of the applicant pool. The larger the district, the higher the underestimation (24% of super-
intendents in large districts underestimated the applicant pool size). When considering applicant
qualifications, less than half of the applicants were considered qualified for the job. Results also
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 26
indicated that rural school districts had significantly fewer applicants (6.8 per opening in rural
districts compared to 14.6 candidates in larger districts). Findings suggested that critical data
were often overlooked when considering the actual principal shortage. Pijanowski et al. recom-
mended that data be examined to determine whether there is a shortage of qualified candidates,
including the number of qualified, younger candidates who may be overlooked during a candi-
date search and the number of candidates who drop out of the search. Using these data can assist
superintendents in making informed recruitment and hiring decisions.
The following section will consider possible pathways to the principalship, including
university preparation programs, professional organization options, mentorship as preparation,
preservice programs, and certification pathways.
Preparation for the Principalship
In a new era of accountability, where school leaders are expected to demonstrate bottom-
line results and use data to drive decisions, the skill and knowledge of principals matter more
than ever. Principals are tasked to lead their schools marked by unprecedented accountability,
challenges, and managerial responsibilities (P. F. Brown, 2006; Service et al., 2016). When
asked how their certification program prepared them for the position, only 33% replied that they
were well prepared for their role (Sciarappa & Mason, 2014), and 96% of practicing principals
reported that on-the-job experiences or guidance from colleagues had been more helpful in
preparing them for their current position than their graduate school studies (Hess & Kelly, 2007).
Developing highly effective principals for California schools is a key component in meeting the
goal of educating every child (Thomas & Kearney, 2010). The various possible preparation
options will be discussed next, and their ability to meet the changing needs of the role will be
considered.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 27
University Preparation Programs
As the role of the principal changes, there is a need for preparation programs to meet the
demand of the current job. Due to the complex nature of the 21st-century principalship, universi-
ties must change their training so as to develop educational leaders who are capable of meeting
these complex demands (Barnet, 2004; P. F. Brown, 2006; Carver-Thomas & Darling-
Hammond, 2017; Cray & Weiler, 2011; Service et al., 2016). Possible areas for updating include
admissions requirements, coursework, standards for professional development, and a broader
type of learning experience.
Admissions requirements. Universities should begin by raising their admissions
requirements for leadership preparation programs and require that successful past experience in a
leadership role be part of the admissions process (P. F. Brown, 2006; Service et al., 2016).
Coursework. Current coursework for principal preparation programs includes much
theoretical knowledge and little practical application. Universities must reflect the shift in the
changing requirements of the principalship and provide practical application opportunities as
well as field experience (Barnet, 2004; P. F. Brown, 2006; Hess & Kelly, 2007; Service et al.,
2016; Styron & LeMire, 2011). Successful programs have a number of elements in common,
including the nature of their curricula, the teaching and learning strategies that they employ, the
ways that they organize communities of practice, and the kinds of clinical experiences that they
construct (Darling-Hammond, Meyerson, LaPointe, & Orr, 2009). State and local leaders have
begun to develop policy strategies that hold promise for eventually making such programs
commonplace rather than exceptional. The collaborative effort required is made worthwhile by
the importance of developing a generation of strong, skilled leaders who can create schools that
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 28
provide expert teaching for all students in settings where they can succeed (Darling-Hammond et
al., 2009).
Standards for preparation programs. As the role of the principal has changed, univer-
sities and government agencies must understand the demands of the 21st-century principal and be
held accountable for properly preparing these future leaders (P. F. Brown, 2006). As the job
becomes increasingly more complex, standards for the profession and licensing requirements
must adjust so that only the most qualified professionals move into this critical position (P. F.
Brown, 2006).
Deeper learning. The complex nature of the principalship requires more than just
classroom learning. Universities should build in opportunities for shadowing outstanding prin-
cipals, provide mentoring, practical experience, and a variety of settings so that future principals
can develop the skills and abilities needed to become a good principal (P. F. Brown, 2006;
Service et al., 2016). Shadowing is being used in some university programs to help leaders to
develop new practices, to increase communication skills, and to reduce social isolation. Partici-
pants name this type of experience as the most effective in preparing them for the role of princi-
pal (Service et al., 2016). Mentoring was listed as the second most valuable experience (Simp-
kins et al., 2009). Shadowing across multiple settings, mentorships, and practical experiences
can all serve as meaningful professional development, can build professional socialization, and
can prevent professional isolation common in the principalship (P. F. Brown, 2006; Matthews &
Crow, 2003; Service et al., 2016).
In order to prepare future principals for the demands of the job, innovative preparation
programs should include a clear vision that drives programmatic decisions and provides oppor-
tunities for the development of the program, a process for identifying candidates who have
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 29
leadership potential, a well-defined curriculum focus reflecting agreement on the relevant knowl-
edge base needed for future administrators, collaboration with local districts, an internship that
gives candidates field experience, and a cohort design with 20–25 members moving through the
program together (Carver-Thomas & Darling-Hammond, 2017; Davis & Darling-Hammond,
2012; Jackson & Kelley, 2002). If universities are to adequately prepare preservice principals,
they will have to change their approach to learning so that it is practical, meaningful, and aligned
to the role that current principals hold (Barnet, 2004; P. F. Brown, 2006; Davis & Darling-
Hammond, 2012; Hess & Kelly, 2007; Jackson & Kelley, 2002).
Professional Organization Programs
Professional organizations that support principals recognize that principals face many
challenges in leading for the 21st century. Transformations in school systems and communities
in the United States and around the world have greatly expanded the leadership role of principals.
Organizations such as the NAESP, the National Association of Secondary School Principals
(NASSP), the ACSA, and the California Association of Latino Superintendents and Administra-
tors (CALSA) all advocate for the support that principals need to be successful 21st-century
leaders who can achieve the highest results for children, families, and communities. The goal of
these organizations is to transform education by building strong school leadership (NASSP,
2019). They support the continued development of their members, including principals in many
different stages of their careers. Sponsored activities are designed to help principals and learning
communities to achieve the desired results for every child (NASSP, 2019). By understanding the
nature of the 21st-century principalship, these organizations can develop supports that can sub-
sequently be customized and used by school leaders to build leadership capacity. Areas of focus
include building leadership in school administration and instructional capacity, providing
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 30
mentoring opportunities, building professional networks, working cooperatively with other state
and national administrative organizations to promote and advocate for quality public education,
and providing the data necessary to develop educational programs that meet the educational
needs of the community served by the membership (ACSA, 2019; CALSA, 2019; NAESP, 2019;
NASSP, 2019). School districts can coordinate with these organizations to provide aspiring and
veteran principals with ongoing skill development (Carver-Thomas & Darling-Hammond,
2017).
Mentoring
Mentoring for 21st-century principals is built into the Every Student Succeeds Act of
2015 (U.S. Department of Education, 2015), and districts can leverage this to provide mentoring
and ongoing professional learning for sitting principals (Carver-Thomas & Darling-Hammond,
2017). Mentoring occurs when an experienced person passes along his or her skills to a less
knowledgeable person through support, motivation, guidance, and encouragement (Service et al.,
2016). When considering utilizing mentoring as a means of preparation, a few main categories
serve as determinants of a productive relationship: personal characteristics, professional dis-
course, and the amount of communication (Schechter, 2014). Current and former principals
identify being linked with a strong principal mentor as the most important part of preparation;
therefore, getting the relationship right is critical (Sciarappa & Mason, 2014). Mentees identify a
good mentor as one who is a good listener, approachable, sincere, patient, and who can develop a
good relationship with his or her partner (Coleman & Others, 1996; Sciarappa & Mason, 2014).
Both mentors and mentees identified challenges to an effective relationship that included finding
time to communicate, an apprehension of expectations, and lack of confidence (Coleman &
Others, 1996). However, when the mentoring relationship is strong, both the mentor and mentee
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 31
grow in their knowledge and skills (Syed, 2015). Positive outcomes include an increase in the
ability to establish a vision and mission, development of trusting relationships, and facilitation of
goal attainment—all factors that support increased academic achievement (Farver & Holt, 2015).
An additional benefit of a successful mentorship program is that it creates a future principal
pipeline for districts (Syed, 2015).
Preservice Programs
Many existing leadership development programs lack in-depth opportunities to practice
new skills and knowledge in context. In addition, many programs have been found to have
inconsistencies in internship design and structure, if an internship component is available at all
(Clayton & Myran, 2013). If strong principals are used as mentors within internships, they can
have a positive impact on the leadership style of the preservice principal (Hines, 2007). An
effective internship program can provide leadership experience, opportunities to lead during
internship experiences; engage future leaders in practical, hands-on assignments in graduate
courses; provide learning from other administrators with unique areas of work responsibilities;
and provide built-in guidance from a mentor (Thessin & Clayton, 2013). Faculty investments in
preparation program and internship quality will positively contribute to the leadership knowledge
of graduates and their leadership practices and school improvement progress (Orr & Orphanos,
2011).
State Certifications
Various states have differing certification criteria for administrators. In most cases, a
principal must hold a valid teaching credential, must have earned a master’s degree from an
accredited university, must possibly pass a state exam, and must meet experience criteria. In
some states, administration candidates attend state-approved administrator preparation programs
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 32
that help to teach them the skills that they will need to become successful school leaders while at
the same time earning a master’s degree. First-time administrative applicants must then apply for
their state certification upon completion. Additionally, states may offer administrative certifica-
tion to those who have completed 3 years of administrative experience while holding an out-of-
state certificate. Typically, after a 2- or 3-year period of experience, candidates must apply for a
Professional Certificate. To earn a Professional Certificate, candidates must complete a Profes-
sional Certification program that will help to ensure that they have gained enough experience to
move up to the advanced level. During administrator preparation programs, candidates for
certification complete supervised administrative work to prepare them for their careers
(Teaching-Certification.com, 2016).
As the role of the 21st-century principal evolves, preparation programs must also evolve.
Districts that desire to attract the best principal candidates must consider how they are being
prepared for this critical role and adjust their recruitment strategies accordingly. Recruitment of
principal candidates, demographics within the principalship, deterrents to applying, and strategies
for attracting candidates will be considered in the following section.
Recruitment of the Principal
In 2016 the AFL-CIO DPE published a fact sheet providing information on education
administrators in the United States. In 2015, 928,000 administrators served American schools—
a 10% decrease since 2010. This figure included all types of schools, and all educational levels,
preschool through postsecondary. While the National Center for Education Statistics (NCES;
2018) predicted public school enrollment to grow by 3% from 2015 to 2027, this figure was not
in alignment with the growth among school administrators. Sandham (2001) reported that
recruiting qualified principals in California was becoming increasingly difficult as the role has
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 33
become increasingly complex, and Normore (2006) asserted that effective recruitment and
selection can help grow the pool of principal candidates. This section will review the current
demographics of the principalship, deterrents to applying, and possible strategies for recruiting
quality principal candidates.
Demographics of the Principalship
As the role of the principal has changed, so has the demographic picture of who sits in the
job. According to a 2016 AFL-CIO DPE publication, in 2015, 13.4% of education administrators
were Black or African American, 3.8% were Asian, and 9.3% were Hispanic. The majority of all
educational administrators in 2015 were reported as female (65.7%) by the AFL-CIO DPE
(2016)—an increase of 27% from 1987–88 (Hill et al., 2016). However, this distribution was not
equally spread out across all levels of the organization, with males dominating at the middle and
high school levels (Hill et al., 2016). More public school principals reported having a master’s
degree in 2011–12 compared to 1987–88 and earning higher salaries, even when accounting for
inflation (Hill et al., 2016). The average age of the public school principal increased from 46.8 in
1987–88 to 48.0 in 2011–12 (Hill et al., 2016). In addition, principals in 2011–12 had approxi-
mately 3 less years of experience in the role than principals in 1987–88 (Hill et al., 2016).
Diversity
Data from the U.S. Equal Employment Opportunity Commission (EEOC) EEO-5 reports
were reviewed for 2002 and 2008, resulting in the identification of 419 multiethnic districts in
2002 and 638 in 2008 (Kerr, Miller, Kerr, & Deshommes, 2016). Results showed widespread
overrepresentation for White non-Latinos among classroom teachers, assistant principals [APs],
and principals. Latinos were underrepresented as APs, principals, and administrators and had
made little progress to increase their percentage over this time period (Kerr et al., 2016).
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 34
Competition differences between minorities and nonminorities were more prevalent than
between Blacks and Latinos. In the competition between Blacks and Latinos, one group was not
heavily favored over another for AP, principal, and administrator positions (Kerr et al., 2016).
Research has identified the benefits of minority principals who lead minority-majority
schools (Sanchez, Thornton, & Usinger, 2008). Placement of minority principals in schools with
a heavy concentration of minority students is highly correlated with improved minority student
achievement. On the other hand, if minority principals are placed only in such schools, old
patterns of segregation could be reestablished (Sanchez et al., 2008).
A longitudinal study by the U.S. Department of Education (2016, as cited in Hill et al.,
2016) reported that 52% of public school principals in 2011–2012 were female—an increase of
27% from 1987–1988. However, the number of new female principals (54%) was significantly
greater than experienced female principals (12%; Hill et al., 2016). Hoff et al. (2006) suggested
that as women aspire to the role of principal, they face trials and frustrations that can prevent
them from becoming successful and valued members of the leadership team. Lack of mentoring,
pressures to balance work and home responsibilities, and lack of advocacy are also hindering
females from moving into higher levels of administration (Hoff et al., 2006).
Deterrents to Applying for a Principalship
Pijanowski et al. (2009) identified some key factors that serve as deterrents to applying
for a principal position. The factors were identified across multiple studies (Normore, 2006;
Sandham, 2001; Stevenson, 2006; Whitaker, 2001) and included lack of benefits, loss of security,
increased paperwork, dealing with bureaucracy, and increased accountability demands (Pijanow-
ski et al., 2009). Shen and Cooley (1999) listed additional deterrents to applying for the position
of principal, including the nature of the work and the work conditions; the location and
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 35
reputation of the district and superintendent; community support; and relationships among the
board, administration, and teachers.
Access factors and deterrents for females entering the principalship have been studied
recently to identify possible deterrents specific to gender. Emerging themes included a need for
nurturing while moving into the position, investment in preparation for the job, and a need to feel
confident in their ability to do the job well, and experiences that serve as rites of passage into the
position (Brinia, 2012; Hoff et al., 2006; Kruse & Krumm, 2016). Women expressed the need
for nurturing during their transition from the classroom into administration and identified male
gatekeepers as key to the transition, as they were dominant in the upper echelons of administra-
tion in school districts. Investment in doing well in the position was also identified as an issue
for females. They expressed doubt about their abilities but, in fact, had more preparation,
including more years in the classroom, more advanced degrees, and more lower-level administra-
tive experience than their male counterparts (Kruse & Krumm, 2016). Women represent the
majority in educational leadership programs and often put tremendous effort into improving their
knowledge, skills, and credibility to be worthy of consideration. This attention to preparation
may actually be impeding their professional advancement (Hoff et al., 2006).
Experiencing rites of passage toward the principalship, including years of classroom
experience, extra duty assignments, and being a National Board Certified teacher, were listed as
being helpful to attaining and being successful in the principalship (Kruse & Krumm, 2016).
Hoff et al. (2006) found similar themes of access, acculturation, advancement, and advocacy as
concerns for aspiring female administrators. In their 2006 study, 76% of females reported either
that they were lucky that a position opened for which they could apply or that they were nudged
into their first administrative position. Only 16% reported planning a career path that included
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 36
administration. Sixty-two percent of the respondents indicated that they delayed their decision to
move into administration to complete their credentialing program, to gain more years of experi-
ence, or to meet the needs of their family (Hoff et al., 2006).
The study by Hoff et al. (2006) revealed a perception of many women that they had a
more difficult time than men in acculturating and gaining acceptance within the organization.
Seventy-eight percent of respondents said that they were not assigned a mentor when they began
their administrative position. Those who did have a mentor reported that the mentor focused on
the nuts and bolts of the job but did not help them understand the political and cultural nature of
the district. Only 29% reported being given insight into political and cultural acculturation
issues. In addition, support for women is not ongoing, with 97% reporting that there was no
formal network to support female leaders; 40% said they had no network at all (Hoff et al.,
2006).
In regard to being a cultural insider or outsider, years of experience played a factor in how
the women described themselves. The more experience they had and the higher the level of
competency that they felt that they led the respondents to be more likely to label themselves as an
insider. In addition, 80% of participants said that they had consciously taken on male-like traits
such as decisiveness, toughness, and lack of emotion so as to acclimate more quickly (Hoff et al.,
2006). These findings are similar to those identified by Brinia (2012), who noted that women
took on male-like characteristics in order to fit into the organization and to be successful.
Promotional chances and advancement to the highest levels were seen as being dimin-
ished for females due to taking a break in service and then experiencing difficulty gaining
reentry, lacking the experience needed for promotion, and balancing family commitments
(Brinia, 2012; Hoff et al., 2006). Sixty-eight of respondents reported struggling with maintaining
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 37
a balance between work and home responsibilities. The newer to the position, the more difficult
it was reported to maintain a balance (Hoff et al., 2006). Sixty-eight percent also reported having
difficulty maintaining relationships outside of work due to the long hours, expansive work days,
and increased responsibilities (Hoff et al., 2006; Shen & Cooley, 1999). This concern was a
deterrent for job advancement. Ninety-two percent of participants indicated that to reach the
highest levels of leadership, one must either be a high school principal or serve at the district
office level. The small number of female high school principals is a possible indicator for the
small pool of female candidates for the superintendency (Hoff et al., 2006).
Lack of advocacy for other women in leadership roles was also identified as a deterrent
(Cubillo & Brown, 2003; Hoff et al., 2006). While respondents expressed a need to learn the
political and cultural nature of the position, 79% said they had to be in a secure position before
they could advocate for other women (Hoff et al., 2006). Fifty-seven reported that it was a man
who assisted them in understanding the organizational culture and that women tended to be
exclusionary; however, even though the respondents reported the need for advocating for other
women, only 18% actually did so. Only 40% indicated that gender played a role in advancement
in their current situation but that it was an issue elsewhere (Hoff et al., 2006).
The barriers that create limited administrative opportunities for women (e.g., delayed
entry due to family obligations, lack of confidence in formal education, lack of mobility, lack of
mentoring, and lack of networking) have been found to be issues both nationally and internation-
ally (Brinia, 2012; Cubillo & Brown, 2003; Hoff et al., 2006; Kruse & Krumm, 2016) and can be
corrected. If districts and boards are to mitigate the principal candidate shortage and the disparity
among Whites, minorities, and females in positions of leadership, the deterrents and barriers
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 38
listed above must be addressed and removed. Strategies to address these issues are considered
next.
Strategies for Attracting Candidates
When examining the causes of the candidate shortage, possible solutions to address the
factors leading to the problem must be considered. Several strategies that can assist districts in
identifying candidates who have the skills needed to be a successful 21st-century administrator
include the following: (a) effective prescreening of candidates using committees that understand
the needs of schools, (b) interviewing practices that have situational questions about transforma-
tional experiences, (c) providing lower-level leaders with a focus not just on technical expertise
but also on interpersonal abilities and team building, (d) developing training modules that include
techniques for how to enhance situational and transformational skills, and (e) conducting fol-
low-up interviews and visiting the candidate on the job (Ash, Hodge, & Connell, 2013; Lowe et
al., 1996). Myung, Loeb, and Horng (2011) suggested tapping teacher leaders so that they would
consider entering the principalship.
Pijanowski et al. (2009) recommended five actions that school districts and superinten-
dents can take to attract the desired high-quality candidates. The first recommendation was that
superintendents identify those who hold an administrative credential and provide leadership
opportunities for them so that they can acquire the skills necessary to move into the principalship
when they are needed. In addition, maintaining positive relationships with higher education
institutions with quality leadership programs can be a potential source for candidates. Pijanow-
ski et al. also recommended hiring less experienced candidates who may need additional prepara-
tion on the job but would be further from retirement, thus allowing for more years in the position.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 39
Finally, cutting down on paperwork for principals and providing on-the-job experiences for
potential candidates were also recommended (Pijanowski et al., 2009).
Normore (2006) suggested that if districts have a more proactive selection process in
place, they could identify future leaders who fit their needs and were committed to the improve-
ment of education. He identified the need for districts to encourage more minority and female
candidates to apply for leadership roles. Possible solutions included providing opportunities to
classroom and school site teacher leaders to practice leadership skills so that they would be ready
to move into positions. In addition, school leaders should be identified early in their career and
mentored into leadership positions (Normore, 2006). University undergraduates who show com-
mitment and interest should be provided with shadowing opportunities; and districts should
consider investing funds into strategies that would attract the candidates they are looking for—
including subsidies for housing, salary incentives, and targeting potential applicants outside of
their geographical location. Normore proposed that women in leadership lead differently than
men and that this transformational leadership style is needed in schools.
With the average age of entry into the role of principal increasing, new principals entering
the field have more years of education experience, thereby leaving shorter amounts of time for
principals to serve in the role before retirement. Educators must be encouraged to enter leader-
ship positions earlier in their career to increase the amount of time they are able to spend as
principals prior to retiring (Gajda & Militello, 2008). Researchers have suggested that the role of
the principal should be reexamined so that some of the factors inhibiting candidates to apply and
to stay in the position once seated are removed (Fullan, 2014; Whitaker, 2001). Strategies that
school districts can adopt that may support retaining principals in the position will be discussed
next.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 40
Retention of the Principal
Higher expectations, stress, and demands of the job, including accountability related to
student outcomes, lengthy work weeks, and mandated paperwork, have been noted as reasons for
the shrinkage in applicant pools and principals leaving the position (AFL-CIO DPE, 2016; Gajda
& Militello, 2008; Normore, 2006). Whitaker (2003) made a connection between these role
changes and the issue of principal retention, and Fullan (2014) noted that the role must be better
defined so that principals can receive the support they need for whole-system change. In order to
retain principals in this key role, districts must consider the factors driving principals out of the
position and then develop strategies that will support and retain them in the principalship (Fullan,
2014; Whitaker, 2001).
Reasons for Leaving the Position
In considering reasons for leaving the position, common themes emerge. Thirty percent
of current principals who planned to leave indicated three primary reasons that were consistent
with national level studies:
1. The principalship was stressful (21%);
2. The salary was low considering the responsibilities of the position (13%); and
3. The job was complex and time demanding (12%; Gajda & Militello, 2008).
Eleven percent of those who intended to leave the profession within 5 years indicated a frustra-
tion with “too little time to focus on instruction” (Gajda & Militello, 2008, p. 16) as their primary
reason; only 6% specifically identified the pressures associated with high-stakes testing as the
primary reason.
Stress of the job. When indicating a primary reason for leaving the principalship, current
principals named stress as the leading factor (Gajda & Militello, 2008; MetLife, 2013). As the
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 41
role of the principal has changed and become more complex, the level of stress reported by prin-
cipals has increased (Whitaker, 2003). Societal, legislative, and educational changes have
increased the responsibilities of the principal, have made the job more challenging, and have
created greater tensions for those in the role (Whitaker, 2003). Sandham (2001) attributed higher
stress levels to longer work days, an increase in the number of days worked per year, and higher
expectations from the public. As principals attempt to manage and carry out all of the expecta-
tions placed on the role, stress and fatigue can take a toll and serve as a reason for seeking other
work. In addition to increased stress, salaries and benefits have not kept pace with the increased
responsibilities (Whitaker, 2003). This issue was noted as another reason for leaving the posi-
tion.
Low salary. The nature of the role of the 21st-century principal is more complex and
demanding than ever before and does not always pay well for the work required to be done
(Baker et al., 2010). The principal’s relative salary, compared to peers in the same labor market,
exerts a consistent influence on stability in that the higher the salary, the more likely a principal is
stable and the less likely he or she is to move to another school (Baker et al., 2010; DiPaola &
Tschannen-Moran, 2003). Fuller, Hollingworth, and Young (2015) found that principals in small
and mid-sized districts named salary as 14th of the top 25 reasons cited for leaving the position.
Major urban districts provided the highest salary across all school levels (i.e., elementary,
middle, high). Mid-sized urban districts provided the next highest pay, followed by suburban
districts. Districts located in towns and rural areas provided the lowest salaries. In addition, high
school principals were paid more than middle school administrators, and middle school princi-
pals were paid more than elementary principals. No disparity in pay was seen between men and
women in this study (Fuller et al., 2015). The most consistent potential policy lever for
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 42
influencing principal retention appeared to be the principal’s relative salary (Baker et al., 2010).
As policymakers look for incentives to retain principals in rural and small urban districts, they
should take into account the fact that turnover is very much tied to salary and that raising the
level of compensation is seen as the most effective way to retain principals in their position
(Fuller et al., 2015; Pijanowski et al., 2009; Whitaker & Vogel, 2005).
Demands of the job. The role of the present-day principal looks very different than the
position of the past (K. Brown, 2005; Copland, 2001; Fullan, 2014; Kavanaugh, 2005). Not only
does the principal have to manage the building, but also he or she must be a first-rate instruc-
tional leaders and an outstanding HR director (K. Brown, 2005). Principals are expected to be
change agents and problem solvers who provide visionary leadership, moral leadership, and
cultural leadership while practicing transformational leadership, collaborative leadership, servant
leadership, and distributive leadership (K. Brown, 2005; Copland, 2001; Kavanaugh, 2005). The
pressures associated with these demands often serve as a disincentive to remain in the job, and
the pressure from testing and accountability was found to be highest in urban districts (Fuller et
al., 2015).
Time was also named as a problem in retaining principals in the position (Fuller et al.,
2015). Elementary principals in small and mid-size districts reported greater interference with
their time due to necessary meetings and paperwork requirements than in small town and rural
districts. Secondary-level principals reported the same problem. This concern directly relates to
the stress of the job and the lack of time available for being an instructional leader and the lead
learner (Fullan, 2014).
Pressures from accountability. Pressures from state and federal reforms, as well as
increasing expectations from the public, are ever increasing and are among the leading reasons
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 43
that principals leave the position (Pijanowski et al., 2009). Nearly 75% of principals reported
that a greater focus on testing and accountability was the most significant change in their position
DiPaola & Tschannen-Moran, 2003). The approach that a district takes regarding accountability
impacts the amount of pressure it places on the building leader and can serve as a reason for
leaving the position (Augustine-Shaw, 2015; Whitaker, 2003).
In order to retain principals in this key role, districts must develop strategies that will
support and retain them in the principalship (Fullan, 2014; Whitaker, 2001). More than ever
before, school leaders need support from their districts to manage the ever increasing responsibil-
ities of the principalship (Whitaker, 2003).
Support Needed to Remain on the Job
As new administrators move into the position, they tend to underestimate the enormity of
the job and can feel isolated (Augustine-Shaw, 2015; Service et al., 2016). The role of the 21st-
century principal looks vastly different than previously and is always evolving. Few new princi-
pals report being satisfied with the level of support they received when stepping into the position;
they identified needing additional development in instructional leadership strategies, organiza-
tional management, and communication and professionalism (DiPaola & Tschannen-Moran,
2003). Districts must consider how to best support both new and tenured principals so that they
remain in this position. Possible support strategies identified included mentoring, coaching,
professional growth opportunities, and reorganization of the position (Augustine-Shaw, 2015;
Fullan, 2014; Hussin & Al Abri, 2015; Service et al., 2016; Syed, 2015).
Mentoring and coaching. The need for principal mentoring comes from the need for
quality school leadership in a complex education system (Sciarappa & Mason, 2014). One form
of ongoing support available for sitting principals is mentoring after the principal has obtained
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 44
the position. Formal and informal mentoring can serve to build networks, increase capacity, and
keep professional development current and relevant (Sciarappa & Mason, 2014; Whitaker, 2003).
Formal mentoring relationships are those that pair an effective tenured principal with a newer
principal (Coleman & Others, 1996; Sciarappa & Mason, 2014). Participants reported that this
type of relationship must be professional, built on mutual trust, and confidential in order to be
beneficial. These qualities may be harder to establish when the mentor is assigned. Informal
mentorships are those in which the mentee selects the mentor based on an already established
relationship (Dunbar & Kinnersley, 2011). In addition to building capacity in leadership skills,
an effective mentoring relationship can help to mitigate the loneliness often associated with the
role (Coleman et al., 1996). Current and former principals have reported that the greatest support
for their success in the position was a mentor relationship with a strong principal (Sciarappa &
Mason, 2014).
Principal mentoring can also include a coaching element (Sciarappa & Mason, 2014).
Coaching is differentiated from mentoring in the manner of support provided. Effective coaches
are professional experts and typically have leadership coaching as their primary job responsibility
(Bloom, Castagna, & Warren, 2003). Coaching serves a sitting principal as it provides relevant
on the job training and facilitates goal attainment (Farver & Holt, 2015; Warren & Kelsen, 2013).
Leadership coaches support a principal in their efforts to implement school reforms by building
leadership capacities at the school site. When the coaching relationship is effective, leadership
capacity grows and student test scores increase (Farver & Holt, 2015; Warren & Kelsen, 2013).
Professional growth. Principals play a key role in the effectiveness of a school and are
second only to the classroom teacher in their impact on student achievement (Augustine-Shaw,
2015; Fullan, 2014; Hussin & Al Abri, 2015). With this fact in mind, districts must invest in
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 45
providing ongoing professional development to support and retain school leaders in their posi-
tions. Professional development is defined as the set of knowledge and skills used by administra-
tors to engage in the improvement of practice and performance (Elmore, 2002). Professional
development that is relevant to the work being done at the school site is key in building leader-
ship capacity (Elmore, 2002). As educational reforms and accountability continue to evolve,
ongoing, job-embedded professional development in this area is needed for site administrators
(Fullan, 2014; Marzano et al., 2005). For principals to be the lead learner in their organization,
they must stay current with pedagogy, data analysis, and instructional leadership (Fullan, 2014).
By providing ongoing professional development in data analysis, testing implications, and
assistance with responding to what the data indicate about student achievement, principals get the
support they need in this critical area and the level of pressure can be lessened (Marzano et al.,
2005).
Reorganization of the principalship. The increasing complexities of the principalship
have skeptics questioning whether the job is realistic and doable (MetLife, 2013; Walker, 2009;
Whitaker, 2003). Districts that wish to retain their current principals in the role might consider
strategies that make the job more satisfying, realistic, and impactful. The literature suggests
rethinking the role, giving it a more narrow definition, and examining distributed leadership as a
means to make the principalship more manageable and to allow the principal more time to be the
instructional leader needed for systematic change (DiPaola & Tschannen-Moran, 2003; Fullan,
2014; NASSP, 2018; Normore, 2006; Whitaker, 2003). Fullan (2014) suggested that the admin-
istrator must play three key roles: learning leader, district and system player, and change agent.
These key roles will ultimately simplify the role of the principal, make the work less fragmented,
and yield widespread results. In order for this process to occur, other responsibilities must be
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 46
shifted to someone else. Walker (2009) suggested that one solution might be implementation of
the School Administration Manager (SAM), a concept developed by the Wallace Foundation in
2002. This role allows principals to shift noninstructional tasks to the SAM, thereby allowing for
an increase in their ability to focus on issues related to instruction. Van Vooren (2018) suggested
that as principals gain experience in their position, especially at the same school site, they tend to
delegate more of the noninstructional responsibilities. In addition, having support from the
district office in streamlining the work requested of principals can free up time that can then be
spent on instructional needs (Van Vooren, 2018).
As districts contemplate the shortage of principal candidates and the impending retire-
ment of a portion of current principals, they should rethink the role of the principal so that it
becomes a more manageable, effective, and fulfilling job (Fullan, 2014; MetLife, 2013;
Thomson, Blackmore, Sachs, & Tregenza, 2003; Van Vooren, 2018).
Leadership Frameworks
Although a variety of leadership frameworks may be adopted for the purposes of this
study, the researcher will focus on three: Bolman and Deal’s (2013) four frames; School Leader-
ship That Works by Marzano et al. (2005); and Fullan’s (2014) The Principal: Three Keys to
Maximizing Impact. The principalship is a critical leadership position, and these leadership
frameworks will serve as a lens for the researcher in this study.
Four Frames
In their book, Reframing Organizations: Artistry, Choice and Leadership, Bolman and
Deal (2013) described four frames that can be used to analyze leadership styles: structural, HR,
political, and symbolic. They defined a frame as a mental model that one carries in one’s head to
help one understand and negotiate a particular “territory” (p. 10).
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 47
Structural. This frame focuses on the social organization of work. It is mainly a
task-oriented frame. It concentrates on strategy; setting measurable goals; clarifying tasks,
responsibilities, and reporting lines; agreeing metrics and deadlines; and creating systems and
procedures. The structural frame also focuses on putting the right people in the right positions so
as to build on relationships. This frame deals with an organization’s structure in the way it
represents itself and aligns its goals and procedures with the pressures present from outside of the
organization.
Human resource. The human resource frame places more emphasis on people’s needs
and their interactions with one another. It chiefly 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. A focus on what people do to and for one another
is found within this frame, as well as an emphasis on investing in human capital so as to develop
a talented workforce that allows the organization to have a competitive advantage. A happy,
satisfied workforce is a motivated one—willing to effectively use their talents.
Political. The political frame recognizes that politics play a role in making decisions and
allocating resources. It addresses the problem of individuals and interest groups having some-
times conflicting (often hidden) agendas, especially at times when resources are scarce and the
organization has to make difficult choices. In this frame, different types of power are considered
and skills wielded so as to gain a desired outcome. Some of these include coalition building,
conflict resolution work, and power base building to support the leader’s initiatives.
Symbolic. The symbolic frame addresses the culture of an organization and paints a
picture of what the organization stands for to meet 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
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 48
significant and distinctive. It includes creating a motivating vision and recognizing superb
performance through company celebrations. A leader who can build the collective soul of the
group will have a team that performs at high levels.
Bolman and Deal (2013) proposed that a leader should see the organization’s challenges
through these four frames or “lenses” to gain an overall view and to decide which frame or
frames to use. They suggested that complex situations require a multiple-frame approach. The
leader may use one frame for a time and then switch to another, or the leader might combine and
use a number of frames at the same time. A crucial aspect of Bolman and Deal’s model seeks to
avoid the temptation for leaders to become stuck—viewing and acting on conditions through one
lens or frame alone. Bolman and Deal asserted that because no frame works well in every cir-
cumstance, a leader who sticks with one frame is bound to eventually act ineffectively. Instead, it
is the leader’s responsibility to use the appropriate frame of reference to understand the situation
—and thereby behavior—for each challenge.
A principal does not engage in only one frame or a combination of certain frames but
rather must be able to switch between frames to better understand and provide support for the
organization. Knowledge of Bolman and Deal’s (2013) four frames will assist the researcher in
better understanding the findings of this study.
School Leadership That Works
The next leadership framework that the researcher will incorporate as a lens for this study
is School Leadership That Works by Marzano et al. (2005). In an attempt to answer the question,
“What are the effects of school leadership on student achievement?” Marzano et al. conducted a
meta-analysis of 70 studies that examined the effects of leadership and had quantitative student
achievement data measured by standardized, norm-referenced tests or some other objective
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 49
measure of achievement. 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 achievement. As principals improved their demonstrated abilities in 21 identified
responsibilities by exactly 1 standard deviation, the increase in leadership ability translated into
increased student achievement.
The authors noted 66 leadership practices embedded in 21 leadership responsibilities,
each with statistically significant relationships to student achievement. The responsibilities with
the highest correlations are situational awareness (.33), intellectual stimulation (.32), change
agent (.30), and input (.30).
Situational awareness. This practice entails accurately predicting potential daily
problems, being aware of relationships among the staff, and being aware of school site issues that
could be potential problems and areas of discord. The effective school leader demonstrates this
responsibility when problem solving to avoid problems or when working with staff who are
dissatisfied.
Intellectual stimulation. This practice describes the school leader who ensures that the
staff is up to date with current theories and pedagogy regarding effective schooling and who
keeps these ideas a part of the regular conversation with the faculty. This leader understands the
importance of building deep learning into the regular practices of the school, staying informed
themselves, and bringing learning opportunities to the staff systematically.
Change agent. Marzano et al. (2005) defined a change agent as a leader who challenges
the status quo. This leadership responsibility is demonstrated by the leader’s willingness to
temporarily upset the culture of a school and its equilibrium. This leader is willing to lead
change initiatives with uncertain outcomes, consider new ways of doing things, and push the
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 50
school’s competency. When the principal undertakes a change, he or she is willing to commit for
a period of time; and if staff members seem too comfortable with their work, this leader asks
them, “What else could we be doing?”
Input. Input occurs when the school leader involves teachers in the design and imple-
mentation of school decisions. Teachers must participate in all aspects of the school’s function-
ing, and this leadership responsibility is seen when the leader builds whole-staff consensus and
communicates priorities to all stakeholders. Building and using an effective leadership team are
part of this responsibility and builds collective efficacy.
Marzano et al. (2005) emphasized 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)
Knowledge of the work by Marzano et al. (2005) will assist the researcher in better understand-
ing the findings of this study.
The Principal: Three Keys to Maximizing Impact
The final theoretical lens used to inform the study findings is Fullan’s (2014) The Princi-
pal: Three Keys to Maximizing Impact. Fullan argued that “no one has sufficiently clarified the
new role of the principal and given principals the detailed attention required in order to enable
schools to thrive under new conditions” (p. 8). This challenge has led to 75% of principals
reporting that their job had become too complicated and therefore unsatisfying (Fullan, 2014).
Fullan outlined four policy strategies that are intended to drive a school system and ultimately
bring about needed change: capacity building, collaborative effort, pedagogy, and “systemness.”
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 51
He asserted that these four “right drivers” would help systems to loosen the focus on the wrong
drivers, namely accountability, individualistic solutions, technology, and fragmented strategies.
The correct drivers must serve as the force guiding the principles and actions on which systems
embark and will ultimately transform the work that principals do into something energizing,
productive, and instructionally effective for all.
In order to employ the right drivers, the administrator must play three key roles: the
learning leader, the district and system player, and the change agent. These key roles will ulti-
mately simplify the role of the principal, make the work less fragmented, and yield widespread
results (Fullan, 2014).
Learning leader. The first key role a principal must play is that of leading learning, or
creating a culture of collective efficacy (Fullan, 2014). The principal’s role shifts from develop-
ing individual teachers to that of leading teachers in the process of improving their own learning.
Lead learner principals shield their staff from taking on too many initiatives and ensure that the
basics of management are in order so that change can occur. The lead learner principal knows to
invest in both human and social capital and uses decisional capital to make human and social
capital interact in such a way as to accomplish wider and deeper results (Fullan, 2014).
System player. The second key role that principals must incorporate into their work is
that of being system players. Fullan (2014) defined the system player as one who looks outside
of his or her own system to the larger system. This principal contributes to and benefits from the
increased performance of other schools and the entire system. This role includes engaging with
the system outside of a single school in order to increase learning within the school, aligning
internal and external resources, and networking with other schools to share ideas and build
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 52
another level of pressure for increasing learning. Working within a district as well as outside of
the district builds capacity for principals and therefore professional capital in schools.
Change agent. The third key role, becoming a change agent, was defined by Fullan
(2014) as one who acts sooner rather than later, is willing to disturb the status quo just enough to
get the desired outcome, and is open to feedback. This is a skill that must be developed, and
honing individual leadership competencies can help a principal in this area. Fullan discussed
Kirtman’s (2013) seven aspects of a competent leader and asserted that these skills can develop a
principal’s personal capacity as well as his or her organizational capacity, thereby serving as a
change agent for the school system as well as the larger system as a whole. Knowledge of
Fullan’s The Principal: Three Keys to Maximizing Impact will assist the researcher in better
understanding the findings of this study.
Conceptual Framework
The researcher adopted the conceptual framework shown in Figure 1, which illustrates a
successful principal who incorporates the theoretical framework. Successful principals are
knowledgeable and comfortable in their use of Bolman and Deal’s (2013) four frames, School
Leadership That Works (Marzano et al., 2005), and Fullan’s (2014) keys to maximizing impact.
They are able to gauge a situation and apply the appropriate skills for a successful outcome. Suc-
cessful principals are flexible and savvy in their use of the four frames and are able to move
within and between the frames, depending on the situation and skill needed. They are also able
to utilize situational awareness to accurately predict potential daily problems, be aware of rela-
tionships among the staff, and be aware of school site issues that could be potential problems and
areas of discord. The principal as leader uses intellectual stimulation to ensure that the staff is
properly informed on current pedagogical practices and includes theoretical and pedagogical
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 53
Figure 1. Conceptual framework of the study. Based on Reframing Organi-
zations (5th ed.), by L. G. Bolman and T. E. Deal, 2013, San Francisco, CA:
Jossey-Bass; The Principal: Three Keys to Maximizing Impact, by M. Fullan,
2014, San Francisco, CA: Jossey-Bass; and 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 Devel-
opment.
conversations as a regular part of professional development conversations. These principals act
as change agents when they know they must challenge the status quo for the good of the school.
In addition, they use the skill of input when they involve teachers in the design and implementa-
tion of school decisions. These skills, in addition to being lead learners and system players, serve
principals in reading and responding to the needs of the organization. Depending on the situa-
tion, the principal utilizes knowledge of these frameworks in unison or individually. These
theoretical frameworks are critical to the success of 21st-century principals as they navigate their
complex role in the organization.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 54
Chapter Summary
This chapter was a review of the literature relevant to the study and provided a context for
the purpose of this study. Aspiring and successful principals must carefully consider the histori-
cal and current roles that the position has adopted as it applies to having systematic improvement
for all students. Principals must take proper measures to prepare for, enter, and stay in their
position; in turn, districts must employ appropriate recruitment and retention strategies to keep
effective principals in the position. Successful principals and supportive districts may also adopt
theoretical frameworks for the position. Exploring current recruitment strategies, support for
sitting principals, and retention options will provide insight into possible solutions that support
site leaders’ growth and development, expand their influence on student achievement, and
support them so they stay in the position.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 55
CHAPTER THREE: RESEARCH METHODOLOGY
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 21st-century principalship, as well as the support
and retention efforts that districts must use to keep principals in this crucial role.
Twenty-first century California principals are performing a job that is very different than
the principalship of the past. The evolution of the principalship demonstrates that as society
changes, so does the role of the school principal. A 2016 fact sheet published by the AFL-CIO
DPE reports that in 2012, 69% of principals surveyed stated that their job responsibilities were
different than 5 years prior and 75% reported that their job was too complex. Successful Califor-
nia principals have experiences in preparation, recruitment, and retention that support them in
their ongoing success in the position. The purpose of this qualitative study was to examine the
preparation, recruitment, and retention of California K-12 school principals. This chapter
presents the study’s research questions, research design and methods, sample and population,
access and entry, instrumentation, data collection, data analysis, and ethical considerations.
Research Questions Restated
Agee (2009) emphasized the importance of high-quality research questions in producing
good research, and Maxwell (2013) posited that the research questions state what the researcher
wants to learn. When considering what 21st-century principals must do to be prepared for the
changing nature of the position, it is important to learn about the preparation and supports that
principals must have to meet the challenges and complexities of the principalship as well as the
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 56
support and retention efforts that districts must employ to keep principals in this crucial role.
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, HRs
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?
3. What are the perceived strategies that support the retention of principals?
Research Design and Method
Qualitative Research
This study took a qualitative approach to address the research questions. Surveys and
interviews with principals, direct supervisors, HR personnel, and superintendents were used to
explore how principals prepared for their position, recruitment strategies used by both sitting
principals and district office personnel, and strategies used by principals and districts to retain
principals in their position.
Why Qualitative Methods
A qualitative approach was used to understand the preparation, recruitment, and retention
of 21st-century principals. Merriam and Tisdell (2016) asserted that a qualitative approach
allows researchers to focus on understanding from the perspective of those being studied. In this
study, the experiences and perceptions that principals and district office personnel have regarding
the preparation, recruitment, and retention of principals will be studied. In order to focus on
understanding how principals and district office personnel think about the preparation,
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 57
recruitment, and retention of principals, surveys and interviews were selected as the data collec-
tion method.
Weiss (1994) stated that the fixed-item response surveys allow for standardization of
questions and comparison among subgroups and therefore constitute an appropriate and impor-
tant way to collect information. In order to answer the research questions, survey data were
collected. The surveys allowed the researchers to collect a large amount of data in a structured
manner to address the research questions (Creswell, 2014). Principals, direct supervisors, HR
personnel, and superintendents were surveyed. Although this study was not a quantitative or
mixed-methods study, quantitative data were collected by the researchers through surveys to
support the study’s themes. Combining quantitative data within the themes of the qualitative
study allowed the researchers to gain answers to the research questions through a qualitative lens
with the support of quantitative data (Creswell, 2014).
Patton (2002) stated that interviewing allows the researcher to enter into the participant’s
perspectives and gives the researcher access to aspects that cannot be directly observed. Accord-
ing to Weiss (1994), interviewing gives the researcher access to the observations and experiences
of others—both necessary elements if the research questions are to be answered. To address the
research questions, interviews were also used for data collection. This method, suggested by
Bogdan and Biklen (2007), allows researchers to spend time with participants in a place where
they are comfortable and where they do what they normally do.
Although a variety of leadership frameworks may be adopted for the purposes of this
study, the researchers focused on three: Bolman and Deal’s (2013) four frames, School Leader-
ship That Works by Marzano et al. (2005), and Fullan’s (2014) The Principal: Three Keys to
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 58
Maximizing Impact. The principalship is a critical leadership position, and these leadership
frameworks served as a lens for the researchers in this study.
Research Team
The research team for this study consisted of 12 doctoral students from the University of
Southern California’s (USC) Rossier School of Education, with Dr. Michael Escalante as the
lead researcher and supervisor of the study. In addition, a committee of USC staff and other
mentors supported the team throughout the study. To receive guidance and instruction, the team
met on a bi-monthly basis to establish research questions, present relevant literature, and deter-
mine the conceptual frameworks that helped to shape the study. From this thematic group
approach, there are some similarities among dissertations; however, the majority of each team
member’s dissertation is individual and distinct.
Population and Sampling
For the aim of this study, purposive sampling was used, as it is considered an appropriate
method for qualitative research (Maxwell, 2013; Merriam & Tisdell, 2016). Patton (2002)
indicated that purposeful sampling allows for an in-depth study of the problem. The population
and sample for this study included California principals, direct supervisors, HR personnel, and
superintendents. In order to protect the identity of the participants, pseudonyms were used for
school districts and individuals.
Throughout the spring of 2019, the research team, with Dr. Escalante’s support, made
contact with California school district superintendents to identify potential participants. The
team worked with the established contacts to create an interview pool that would ensure partici-
pation from principals and district office personnel.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 59
Access and Entry
In order to conduct this study, the research team first had to obtain permission from the
USC Institutional Review Board (IRB) of the University of Southern California. The IRB
process ensured that the study was conducted in an ethical manner, that participants were
informed about their rights and privacy if they chose to participate, that they could withdraw at
any time, and that the risks involved were outweighed by the positive impact that the results of
the study would provide (Rubin & Rubin, 2012).
In order to conduct the surveys and interviews, the researchers first had to gain access to
the location as well as to the desired participants. Maxwell (2013) discussed the potential impact
of relationships on the research. For this study possible participants were identified, and the
relationship between the researchers and the participants was considered in order to minimize the
possible impact that this relationship could have on the research design. The researchers sent the
surveys via email to the identified study participants. An invitation email including an informed
consent clause was sent along with a link to the survey (see Appendix A). Agreement to be
interviewed was acquired through the informed consent portion of the interview for each individ-
ual participant (Appendix B).
Instrumentation
The researcher was the primary instrument in this qualitative study. This process allowed
for inductive investigation to produce rich data regarding the preparation, recruitment, and
retention of K–12 principals in California (Creswell, 2014). The instrumentation protocols used
by the team included four survey protocols and four interview protocols.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 60
Quantitative Instrumentation
Quantitative data were collected through survey instruments (Weiss, 1994; see Appen-
dices C-F). The purpose of conducting a survey was to enable the researchers to gather a large
amount of data from a large number of participants. Some of the survey items asked for demo-
graphic information that could be used for quantifying the participants during data analysis
(Weiss, 1994). The survey protocols for each participant group asked the same questions of each
respondent (Weiss, 1994). The surveys were developed in collaboration with the research team
and were intended for principals, direct supervisors, HR administrators, and superintendents.
The surveys were designed using a 5-point, Likert-type scale items that were designed to gather
the perceptions of principals, direct supervisors, HR administrators, and superintendents.
Qualitative Instrumentation
The primary instrument for qualitative data collection were the interview protocols that
were used to gather information from principals, district office personnel, and superintendents
(see Appendices G-J). All members of the research team worked collaboratively to create the
data collection protocols. Discussions about the content of the protocols began in the spring of
2019, during which time the researchers met to create a draft of the interview protocols, includ-
ing interview questions, to be finalized before April 2019. The survey protocols, including
survey questions, were developed during the same time period. Qualitative data collection was
completed through interviews with identified participants (Weiss, 1994).
The purpose of conducting an interview is to allow the researcher to understand the
participant’s perspective and to obtain information that could not be gained another way (Mer-
riam & Tisdell, 2016). Merriam and Tisdell (2016) posited that the structure of the interview
should be based on the information needed. In order to understand the preparation, recruitment,
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 61
and retention experiences of principals, a variety of questions were written with careful consider-
ation regarding the wording (Merriam & Tisdell, 2016). The researcher used a semistructured
interview protocol in which the questions will be asked similarly of each participant; but follow-
up questions explored the specific content of each interview (Merriam & Tisdell, 2016). This
format allowed the researcher to stay on target with the interview but enabled flexibility to dig
more deeply as warranted. The questions were designed to explore the preparation, recruitment,
and retention experiences of principals as they related to the individual remaining in this critical
role. The structure was connected to the key concepts identified in the review of the literature.
The protocols addressed each of the research questions. All participants were contacted
via a recruitment/consent letter (see Appendices A and B). In the spring of 2019, all research
instruments were submitted for approval to the USC IRB, which allowed the team to perform an
exempt study on human participants in California (IRB Approval #UP-19-00293).
Data Collection Approach
For the purpose of this study, the data were collected in the spring and summer of 2019 in
California, wherein the research team emailed surveys to identified participants and conducted
face-to-face interviews at various sites. Bogdan and Biklen (2007) described the importance of
increasing participants’ level of comfort, with the hope of encouraging them to talk openly with
the researcher. Separate interviews were conducted, one with each participant, so as to maintain
confidentiality. All participants completed a consent form, and their names and locations remain
confidential. Once permission had been granted, interviews were recorded and later transcribed.
Interviews were conducted in locations convenient for the participants and lasted approximately
30 minutes. In the interview protocol, participants were informed that they could pause or stop at
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 62
any time during the interview. Additionally, the researcher took written notes during the inter-
view to capture significant responses.
The survey and interview protocols were used at various school sites and other locations.
Surveys were administered via email and collected electronically. As data were collected,
analyzed, and interpreted, the research team followed the recommendations of Creswell (2014)
by protecting the anonymity of the participants and storing the data in a secure location. Team
members also checked with participants to ensure the accuracy of the data, to anticipate and
resolve any misuse of the data, and to avoid using language that contained bias in any aspect of
the study (Creswell, 2014).
Data Analysis
Each member of the research team collected and analyzed the data. Each team member
used the data gathered from individual school sites and districts as well as the data collected by
all team members generated from interviews and surveys of principals, direct supervisors, HR
personnel, and superintendents. Once both quantitative and qualitative data had been collected,
the researchers used the conceptual frameworks outlined in the literature review to draw findings
from each source of data. For the purpose of this study, the research team utilized strategies
outlined by Creswell (2014) to analyze the data. During the spring and summer of 2019, the raw
data were gathered in California, after which the team began to organize and prepare the data for
analysis. This process included transcribing interviews and field notes and arranging the data
into various themes, depending on the data source (Creswell, 2014). The researcher began the
process by reading through the data initially to gain a general understanding of the content—a
method suggested by Bogdan and Biklen (2007). The researcher then used open coding as well
as a priori codes for each interview, which is an acceptable way to begin to understand the
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 63
content of an interview (Bogdan & Biklen, 2007). The data from the online survey were ana-
lyzed using Qualtrics
™
, a web-based survey tool available to USC doctoral candidates. The data
were organized to display the number and percentages of respondents. The researchers devel-
oped the initial codebook with a priori codes as well as empirical codes from the second phase of
analysis. After this step, the researcher developed categories based on the data so as to under-
stand large concepts and then subconcepts within each category —a strategy determined to be
appropriate, according to Harding (2013). The final phase of data analysis consisted of interpret-
ing the findings within the context of the concepts from the conceptual frameworks. These
concepts were used to interpret the data and to describe how principals, direct supervisors, HR
administrators, and superintendents perceived the preparation and recruitment of principals, as
well as strategies that supported their retention in the role.
Ethical Considerations
Merriam and Tisdell (2016) noted that ethical dilemmas are likely during qualitative data
collection and analysis. They made several suggestions regarding things to consider during qual-
itative research and analysis. In regard to conducting an ethical study, the researcher took several
steps with the participants. Initially, the researcher sought out IRB approval through USC before
data collection begins (Glesne, 2011). Next, the researcher ensured the rights of the participants
by explaining the purpose of the study and assuring them of the confidentiality of their responses
as well as their anonymity. Informed consent was acquired prior to survey completion and
during each interview (Merriam & Tisdell, 2016). When considering the impact on the partici-
pants and to mitigate any personal or professional repercussions, the researcher made each
participant anonymous within the findings (Glesne, 2011). The goal of the researcher was to
maintain the integrity of the study and the privacy of the participants.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 64
In order to conduct a study that was ethical, the researcher took steps to ensure credibility
and trustworthiness. The data were analyzed with consideration for bias so that the findings
could be considered worthwhile (Miles, Huberman, & Saldana, 2014).
Chapter Summary
This study aimed to understand principal preparation, recruitment, and retention through a
qualitative methods approach. Data collected from principals, direct supervisors, HR personnel,
and superintendents through surveys and interviews were analyzed both statistically and analyti-
cally. Emerging findings from both quantitative and qualitative data were connected to answer
the research questions. Findings are presented in the next chapter.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 65
CHAPTER FOUR: FINDINGS
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California K–12 school principals. This chapter will analyze the data collected by
the researcher and present the findings as they relate to the research questions. Qualitative inter-
views were conducted by the researcher in three southern California school districts (USC IRB
Approval #UP-19-00293). In each district interviews were conducted with the superintendent,
one HR person, an immediate supervisor of principals, and two principals. In addition, the
researcher was part of a 12-person research team. Surveys were conducted with each person
interviewed and, in some cases, with additional principals. Survey data from the 12-person team
were compiled and the quantitative survey data were utilized to triangulate the qualitative inter-
view data (Merriam & Tisdell, 2016).
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, HR
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?
3. What are the perceived strategies that support the retention of principals?
This study was conducted in southern California with an emphasis on qualitative inter-
views from nine district representatives: three superintendents, three HR personnel, and three
district personnel who were direct supervisors to site principals. In addition, six principals were
interviewed to gain their perspectives in relation to the research questions. The researcher
employed a qualitative approach for the study using qualitative interviews (Creswell, 2014).
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 66
Quantitative survey data were collected and used to support and reinforce the identified themes.
Each interview was conducted in person and recorded with the participant’s permission using the
interview guides in Appendices G, H, I, and J. A constant-comparative approach was used when
analyzing the qualitative data—an approach deemed appropriate by Merriam and Tisdell (2016).
The research team determined a priori codes and developed a common codebook to ensure con-
sistency in data analysis (Bogdan & Biklen, 2007). Open coding and axial coding were used as
data analysis continued (Merriam & Tisdell, 2016). Quantitative survey data were collected
using the surveys contained in Appendices C, D, E, and F. In each district survey data were col-
lected after each interview and with additional principals. The quantitative survey data were
connected to the qualitative interview data using the Question Alignment Matrix in Appendix K.
Although the primary source of data for this study was the qualitative interview, the quantitative
survey data were used to support the identified themes and to improve generalizability (Maxwell,
2013). This chapter presents the data with respect to answering each research question and then
connects the themes to the literature review and conceptual framework.
Study Participants
Qualitative Interview Participants
The researcher collected data in three Southern California public school districts. In each
district the superintendent, HR personnel, immediate supervisors of principals, and two princi-
pals were interviewed. A total of 15 interviews were conducted. The researcher used the data
collected from the 15 participants to compare and triangulate findings among superintendents,
HR officers, immediate supervisors of principals, and principals. Following is a brief description
of each district.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 67
District A was located in central Orange County in a suburban setting. It is a high school
district comprised of nine schools serving 16,000 students. At the time of this study, 18% of the
student population came from families in poverty, and 2.8% of the students were English Lan-
guage Learners (ELLs). It was considered a high-performing district according to the California
School Dashboard and had a 96% graduation rate; 55% of graduates were attending a 4-year
college. The primary contact person for this district was the Assistant Superintendent of curricu-
lum. All interviews were conducted in person, and all survey data were collected electronically.
Being that it was a high school district, both principals interviewed led large high schools.
District B was located in central Orange County in a suburban setting. It was a unified
school district with 34 schools serving 25,700 students. Thirty-seven percent of the student pop-
ulation came from families in poverty, and 15.5% of the students were ELLs. The district was
considered high performing, and scored well on the California School Dashboard indicators. The
primary point of contact in District B was the superintendent, who arranged all interviews. The
principals interviewed in this district were from one high school and one middle school.
District C is located in southern Orange County in a suburban setting. It is a unified
school district serving 24,000 students across 28 schools. Large populations of students from
low-socioeconomic homes, with 42.3% of children qualifying for free or reduced-price lunch, as
well as students from very affluent families were represented. Seventeen percent of the student
population were ELLs, and 0.3% are foster youth. The district is considered high performing,
scores well on the California School Dashboard indicators, and identified itself as a “destination
district” (HR administrator, District C, interview, July 2, 2019). The primary point of contact
was the superintendent, and all interviews were conducted in person. The principals interviewed
were from one elementary school and one middle school.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 68
Quantitative Survey Participants
The researcher worked in a team of 12 researchers to gather quantitative survey data from
principals, immediate supervisors of principals, HR personnel, and superintendents. The surveys
were developed, disseminated, and analyzed by the team of 12 researchers. Electronic surveys
were sent to a total of 37 superintendents, 41 HR administrators, 68 immediate supervisors of
principals, and 708 principals only in the districts previously contacted by the research team. The
response rates for each group were as follows: superintendents (n = 21), 56%; HR administrators
(n = 22), 53%; immediate supervisors of principals (n = 28), 41%; and principals (n = 115) with a
response rate of 16%. The data were collected, compiled, and analyzed using the Qualtrics
software. The quantitative data were used to further support each theme and to broaden the
understanding of the perceptions of the preparation, recruitment, and retention of principals.
Findings for Research Question 1
In order to understand how training programs and professional experiences prepare prin-
cipals, Research Question 1 asked, “How have training programs and professional experiences
prepared principals to manage the complexities and challenges of the principalship?” In this age
of accountability and data-driven decision making, principals are expected to demonstrate a wide
variety of skills and knowledge (Brown, 2006; Service et al., 2016). To meet the demands of the
role, a variety of preparation options are available including university preparation programs,
professional organization programs, preservice programs, state certification, and use of mentors.
When asked how their certification program prepared them for the position, only 33% of prin-
cipals replied that they were well prepared for their role (Sciarappa & Mason, 2014); 96% of
practicing principals reported that on-the-job experiences or guidance from colleagues had been
more helpful in preparing them for their current position than their graduate school studies (Hess
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 69
& Kelly, 2007). Results from this study indicated that 81% of principal respondents (n = 93)
agreed that university programs provided training that was important in their preparation. In
comparison, 77% (n = 89) agreed that prior work experiences were more important to their
preparation for the role than their university program, and 99.2% (n = 114) identified mentorship
as critical to their preparation. The data analysis for this study yielded three common themes on
how best to prepare for the principalship.
1. Learning opportunities and acting as a lead learner were perceived as better than
formal training programs in preparing principals for the challenges of the 21st-century principal-
ship.
2. On-the-job experience best prepared principals for the role.
3. Mentors served to better prepare and support aspiring principals for the principalship.
Seeking Learning Opportunities
Fullan (2014) described three keys that assist leaders in shifting to a systems approach.
One identified key was that of lead learner. A lead learner knows to invest in human and social
capital and leads the learning of his or her staff in the process of improving his or her own
learning (Fullan, 2014). Principals and district administrators spoke of seeking learning opportu-
nities as critical to preparing them for the role of principal. The HR administrator in District A
described the way that her principals sought out learning opportunities:
They all took leadership positions as teachers and as APs. For example, many of our folks
that were teachers were MTSS [multi-tiered system of support] TOSAs [Teachers on
Special Assignment]. They led the TOSA role. They did different curriculum, depart-
ment curriculum. Whatever, they were leaders. Then our assistant principals, they ask
for opportunities, they’re hungry for opportunities, so we observe them and how they do.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 70
It might be at the negotiations table; it might be leading the LCFF [Local Control Funding
Formula] small groups, so we can watch them in action and continually give them those
opportunities, and I think they like it. (interview, July 10, 2019)
The superintendent from District B noted a variety of leadership opportunities sought out
by aspiring principals:
I think those concepts again of TOSA, they became TOSAs. They were leaders within
their schools. Some of them went to academies. So you think about the ACSA Principal
Academy or some of those things. Some of them did those, a curriculum instruction
academy. And I think those things all helped, but for the most part, they were just inter-
nal opportunities that we had that they would take an advantage of. (interview, Au-
gust 26, 2019)
Leadership academies. Interview data in each district revealed that leadership academies
played an important role in the preparation of the principals. These academies take different
forms in different districts, but all serve as training ground for aspiring principals. According to
one HR administrator,
for those that are homegrown, come up through our system, I can speak to a number of
experiences that they may have had an opportunity to participate in. We have an aspiring
leaders program that’s been in place for a long time. I had the privilege of being in the
first cohort—gosh, I don’t know how many years ago that was, but quite a long time ago.
That’s an intentional farm system where we invest in those who aspire to move into
leadership positions. (interview, August 26, 2019)
The superintendent of District B described his leadership academy role in the preparation
of principals:
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 71
Two years ago when I got here, we started an assistant principal leadership seminar. So
it’s a lot like the traditional leadership seminar that you can describe it, because you know
what that is. But I just felt like we’re having these people be executive leaders as assis-
tant principals in our district, but I don’t know that we’re spending enough time with
them except for their AP meetings, and they’re all nuts and bolts things. They’re not on
the larger, go over aspects, and so I lead it. And we meet once a month, and all the APs in
the district get together and we read together. We do all sorts of things together, and I
think that helps. My goal is to help them. If you want to stay in AP and that’s where you
think you are, which you always have some that, that’s . . . [staying] there is great. But
for others, I think I’m having more influence on them becoming a principal and their
training and their thought process leading into being a principal. In our district, we also
have a teacher leadership seminar that we do very similar to what you’re familiar with
there. And then we also have one called Aspiring Leaders, and that’s a little more direct.
Aspiring Leaders is more, “I really want to be an administrator.” (interview, August 26,
2019)
One principal in the same district described it in these words: “It’s also very much about setting
them up and giving them the types of experiences and guidance, so that when their time comes
that they’ll be well prepared. So it happens through formal and informal structures” (interview,
August 26, 2019).
To further support the theme of leadership academies supporting preparation, a principal
from District C described the role of the experience in her preparation:
To prepare myself, the first year I attended the School Leader Academy for teacher
leaders moving into admin roles. I was a member of that School Leader Academy, and I
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 72
also was, at the site based level, the ETAP [Education Training and Awareness Program]
elementary teaching assistant principal. (interview, July 2, 2019)
Interviews with four of the six principals revealed a leadership academy experience as
being a critical part in their preparation for the principalship. The academy provided a network
for aspiring administrators as well as experiences which they might not have had otherwise.
Quantitative survey data supported the theme of seeking learning opportunities and on-
the-job training as being more important in preparation for the principalship than formal univer-
sity training. Seventy-seven percent of principals (n = 89) and 100% of superintendents (N = 21),
HR personnel (N = 22), and immediate supervisors of principals (N = 28) agreed that prior
experiences were more important in preparation than university programs.
On-the-Job Experience
On-the-job experience was described in three primary ways through qualitative inter-
views. Teacher leadership opportunities, those sought out as well as those suggested by superi-
ors, the TOSA role, and quasi-administrative positions were all described as playing an important
role in the preparation for the principalship. When asked about the most important training for
aspiring principals, the human resources administrator in District A noted:
I think it’s on the job. Our principals and assistant principals have a direct line to all of
us. . . . They can call us 24/7, and it’s welcomed, and we think something’s wrong when
they don’t, because when something happens, it’s a training opportunity for us. So we
could help guide them through situations, in their big situations and little situations.
(interview, July 2, 2019)
Teacher leadership. Quantitative interviews revealed that 93.5% of principals thought
on-the-job experience in the form of teacher leadership was more important in their preparation
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 73
than their university training program. One human resources administrator stated, “They went
through their admin credential. I think that helps as a piece of the pie, but I think the leadership
experiences piece maybe the most important piece” (interview, August 26, 2019). To further
support this theme, quantitative survey data from all three district office administrative groups
showed that 100% believed that previous experience was more important than university training
in the successful preparation of principals. The superintendent in District A noted that “we give
our vice principals different opportunities to be in leadership roles, whether it be in negotiations,
working on special projects, meeting with certain groups—we really empower them to be in
settings where they can do that” (interview, July 10, 2019).
One hundred percent of HR administrators interviewed (n = 3) commented on the impor-
tance of providing leadership opportunities to aspiring principals. The HR administrator in
District B described it in the following words: “It’s also very much about setting them up and
giving them the types of experiences and guidance so that when their time comes that they’ll be
well prepared. So it happens through formal and informal structures” (interview, August 26,
2019).
In comparison to this researcher’s data, 98.2% of all principals interviewed (n = 113)
agreed that teacher leadership was the most important in their preparation for the principalship.
Leadership opportunities discussed in the qualitative interviews included grade-level and depart-
ment leads, committee work at the site and district level, and working on special assignments.
TOSA. The role of a TOSA is used by many districts to deepen the learning of a teacher
leader while exposing him or her to multiple school sites and leadership styles. Fifty percent of
the principals interviewed for this study (n =3) had experience as a TOSA before applying for the
principal position. District A utilized the position to broaden the experiences and knowledge of
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 74
teacher leaders, and District C utilized the position as a primary path to the principalship. The
HR director in District C stated that “it is that TOSA position that, out-of-the-classroom curricu-
lum support position that we get most of our principals” (interview, July 2, 2019). She con-
tended that
if you can be strong on what the curriculum should look like, teacher support, that student
support—if that piece is solid, then you can help principals as they navigate through the
things that there is no way to learn other than badges and by fire. (interview, July 2,
2019).
Superintendent C explained that
most of our elementary principals have cycled through a seat in Ed Services. Either as a
instructional coach, as a coordinator of induction, or GATE [gifted and talented learners]
or EL [English learners]. They have some district office experience, where they’ve led a
skinny piece of the curriculum. And I think that that’s been valuable for most of them
because they’ve gotten to work with so many principals; they get to see different flavors,
how it can be done. . . . Several of our middle school assistant principals have done some
TOSA coordinator type work and then become assistant principals. (interview, July 2,
2019)
Superintendent B also described the TOSA position in the role it plays in preparing for
the principalship. The superintendent commented:
I also think our TOSA program in this district has been helpful. . . . You start thinking
about some of the other people who are amazing people who are in those roles. So I
would say that type of work, those leadership opportunities that come up in a district.
(interview, August 26, 2019)
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 75
Districts that do not have APs utilized the role of TOSA to develop the leadership skills
and knowledge of aspiring principals while giving them valuable experiences in working with a
variety of administrators and staffs. This experience then plays an important role in preparation
for the principalship.
Quasi-administrative roles. These experiences were discussed by all six principals in
playing an important role in their preparation. From the high school perspective, having a wide
variety of experiences was noted as critical. A principal from District B explained:
I was fortunate that I had a principal that really allowed me to experience a lot of the roles
of a principal. He was near the end of his career. The reason for that, it could be various,
but he did . . . One thing I am grateful to him for was he did expose me to a lot. He
sometimes didn’t want to be in meetings with parents alone or with teachers, and so I was
the one he called on to shadow him. I think having the opportunity to see what a principal
does rather than just hear about it is the most valuable. (interview, August 26, 2019)
Another high school principal described his experience in quasi-administrative roles as
being important in his preparation:
Being an assistant principal, I would say absolutely would be the top of that list. Even
before that, taking part in district committees and kind of holding capacities outside of
being a classroom teacher to gain broader perspective would be the other part of that.
When I was in the classroom . . . I was a part of a team of teachers that went around and
trained other schools and PLCs [professional learning communities]. Kind of teacher
leadership opportunities, but absolutely being in a role of the AP is the best preparation,
but it is by no means all the preparation you need. (interview, August 26, 2019)
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 76
To further emphasize the importance of this type of experience in preparing for the
principalship, one HR administrator shared:
We’re hiring TOSAs straight into the elementary position with not even quasi-admin
experience. They think they have it, if I can speak honestly and candidly, and just from
all my experience, I personally have a hard time with that, because I think there’s value
even for doing it a year or 2, because it’s a whole different wheelhouse. (interview,
July 2, 2019)
It was evident during this interview that from the HR perspective, having this experience is
critical to success in the role of principal. Quai-administrative roles gave aspiring principals the
opportunity to experience situations and conditions that they might encounter while sitting in the
principalship, with the added support of an experienced administrator guiding them through the
experience. This support is also provided in both formal and informal mentorships.
Mentors
Mentoring for 21st-century principals is built into the Every Student Succeeds Act of
2015 (U.S. Department of Education, 2015), and districts can leverage this to provide mentoring
and ongoing professional learning for sitting principals (Carver-Thomas & Darling-Hammond,
2017). Mentoring occurs when an experienced person passes along his or her skills to a less
knowledgeable person through support, motivation, guidance, and encouragement (Service et al.,
2016). Results from this study indicated that 98.2% of principals (n =113) agrees that having
mentors was critical to their preparation for the principalship; 100% of the district administrator
respondents agreed that having a mentor was key to preparing for the role. One elementary
principal noted that
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 77
the dean used me to be a partner. And because he empowered me, and he trained me . . . I
learned a lot by listening to how he was working through things, and have those conversa-
tions, so that was probably the most impactful. (interview, June 20, 2019)
A secondary principal in District B described his experience:
On top of that, there are mentoring programs that our district has had in place. Again,
when I first became a principal, it was kind of at its infancy. . . . So it was like a principal
mentor program. As a first- and second-year principal, I was paired with someone, with
another more experienced veteran principal. And that individual was tasked with kind of
watching after me. (interview, August 26, 2019)
One hundred percent of district-level administrators, including HR administrators,
immediate supervisors of principals, and superintendents agreed that having mentors was instru-
mental in preparing aspiring principals to step into the role. An immediate supervisor stated that
all aspiring principals received some type of mentoring before they become a principal. The
superintendent from District A described a more formalized mentoring program they used:
So the adopt-a-school program, cabinet members are all assigned a school; and so the
school they’re assigned to, they meet with people all different positions, the principal, the
vice principals, ADs [athletic directors]. And we believe that connection to the district
office, because I get to the sites a lot, but also we just think it’s nice for them to have one
person that kind of understands that campus, whether it’s eating lunch in the faculty
lounge, visiting their leadership team meetings, whatever that is, I think those relation-
ships are important because they have somebody to call. (interview, July 10, 2019)
Current and former principals identify being linked with a strong principal mentor as the
most important part of preparation; therefore, getting the relationship right is critical (Sciarappa
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 78
& Mason, 2014). Within the scope of this study, when asked about the formality of mentorships,
both formal and informal relationships were discussed by all participants. District A utilized the
formal structure of an adopt-a-school model to mentor aspiring principals. District B used
mentoring within its Aspiring Leader Academy to support aspiring principals, and District C used
staff within its Educational Services Department as mentors. Ninety-five percent of superin-
tendents (n = 20), 95% of HR administrators (n = 21), and 93% of immediate supervisors of
principals (n = 26) felt that having a mentor plays a key role in preparation for the principalship.
When asked about their mentoring experiences, principals spoke to both formal and
informal relationships as being key to their preparation. Of the principal respondents, 98.2% (n =
113) agreed that having a mentor was important to their preparation. When asked about her
preparation for the principalship, Principal A1 stated, “I’m going to say just mentoring would be
the biggest piece, leading up to being an administrator and then being, specifically, a principal.
So, working with really amazing administrators above me, that invested in me” (interview,
July 18, 2019). High school principals spoke of their principal being a mentor to them as they
were preparing for the role themselves. Elementary principals spoke of a variety of mentorship
relationships, including other principals and district office administrators (i.e., assistant superin-
tendents in HR and educational services). The need for principal mentoring comes from the need
for quality school leadership in a complex education system (Sciarappa & Mason, 2014). All
interview participants noted the key that role mentors played in the preparation of aspiring prin-
cipals.
Summary of Results for Research Question 1
Research Question 1 sought to understand how training programs and professional expe-
riences prepared principals to manage the complexities and challenges of the principalship.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 79
Results for this study revealed three common themes from the qualitative interview participants
that were further strengthened with quantitative survey data. In preparing for the principalship,
principals sought leadership opportunities both at their site and at the district level. Next, on-the-
job experience was critical in preparing them for the role of principal; these experiences varied
based on the education level. Elementary principals often took on a grade-level lead position or
that of a TOSA. Secondary principals used the role of AP, as well as department chair positions
to develop the skills needed to move into the principalship. Finally, principals used mentors to
prepare them for the principalship.
Findings for Research Question 2
To better understand strategies used by districts and principals in the recruitment process,
Research Question 2 asked, “What are the perceptions of principals, immediate supervisors of
principals, HR administrators, and superintendents regarding strategies to recruit successful
principal candidates?” Experiencing rites of passage toward the principalship, including years of
classroom experience, extra duty assignments, and being a National Board Certified teacher,
were listed as being helpful to attaining and being successful in the principalship (Kruse &
Krumm, 2016). Myung et al. (2011) suggested tapping teacher leaders so that they would
consider entering the principalship.
Pijanowski et al. (2009) recommended five actions that school districts and superinten-
dents could take to attract the desired high-quality candidates. The first recommendation was that
superintendents identify those who hold an administrative credential and provide leadership
opportunities for them so that they can acquire the skills necessary to move into the principalship
when they are needed, thus creating an internal pipeline of candidates.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 80
The data analysis for this study yielded three common themes on how to recruit for the
principalship:
1. Networking with other districts and utilizing professional networks assist districts in
identifying candidates for the principalship.
2. Tapping or creating an internal pipeline of candidates supports principal recruitment.
3. Knowledge of the performance and reputation of the candidate can aid in recruitment.
Networking
Pijanowski et al. (2009) suggested that maintaining positive relationships with higher
education institutions with quality leadership programs can be a potential source for candidates.
Of the three districts interviewed by the researcher, two had strong networks with university
organizations—many built while doing their doctoral work. HR Administrator A discussed how
district administrators used their own educational experience to network when recruiting: “Most
of them have doctorates, so that’s big. . . . I still do [network] with my doctorate, right? No
reason not to” (interview, July 10, 2019). Superintendents (n =3) also discussed how they used
their own doctoral program network as a resource in seeking out potential principal candidates.
Superintendent C spoke repeatedly about the USC network and how he activates it on a regular
basis to assist in recruitment:
USC is a pretty good network for us, as a district, mostly because of my relationship to
the school. So it’s not like I only hire Trojans, but it is like I know a lot of Trojans. Very
often, I’ll call others there and say, “Hey. I’ve got this position. Do you have anybody
you know?” The people they know often are in classes. The Trojan network . . . Like, we
hired a guy to be an AP at the high school who we didn’t know, but our Trojans were in
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 81
class with him, and they said, “Hey. He seems like a sharp guy.” Interviewed him, and
he got the job. (interview, July 10, 2019)
This superintendent as well as the others who used their own networks acted as systems players
(Fullan, 2014) and knew when and how to apply the human resources and political frames
(Bolman & Deal, 2013) to support the needs of their district. By utilizing professional contacts,
districts can broaden the range of possible candidates and improve their chance of finding the
right candidate for the job.
Relationships with other districts. HR administrators (N =3) discussed how they used
their relationships with other districts to recruit candidates. One HR administrator shared:
I know a lot of people in the county, because this is my third school district in the county,
so I know a lot of people. That part’s really important that I network. . . . It’s not my
favorite thing, even though maybe it should be, so I try to attract people. (interview,
July 24, 2019)
Utilizing the political and human resource frames (Bolman & Deal, 2013) creates oppor-
tunities for districts to reach out in search of candidates for open positions. Superintendent A
discussed how he worked closely with his HR staff to reach out to other districts to ask about
possible candidates: “I use a network of folks I’ve met over 16 years. I think between [HR] and I,
we know just about any school district . . . in California” (interview, July 10, 2019). He dis-
cussed the importance of his relationships with other districts in the recruitment process and
expressed that it all comes back to the relationships. Using these professional connections is a
political strategy that Bolman and Deal (2013) and Fullan (2014) would describe as being a
systems player, emphasizing that working within a district as well as outside of the district builds
capacity for principals and therefore professional capital in schools (Fullan, 2014).
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 82
Professional networks. HR Administrator A discussed how aspiring principals used
networking within the district as they prepared to apply for a principalship: “They do seek those
professional networking opportunities. They do a lot of networking here” (interview, July 10,
2019).
Reputation of the district. The researcher found that all districts (N = 3) felt that they
were “destination districts” and therefore did not have the need for intensive recruitment strate-
gies. The superintendents (N =3) all felt that the reputation of the district is critical to being able
to recruit candidates for the principalship. Superintendent C stated that
we don’t use many strategies, other than just activate the networks and advertise. I think
districts like Placentia-Yorba Linda, like Tustin, I think Corona-Norco, they don’t have to
really work very hard at recruiting. I think a lot of people are kind of looking and kind of
watch for jobs that might pop in those districts. So we get really good candidates, and it’s
not like we have to go beat a drum. (interview, July 2, 2019)
Superintendent B mirrored that idea by saying, “I hope our district in itself is something where
people say, ‘Hey, I want to work there’” (interview, August 26, 2019).
Survey data further supported the idea that district reputation played a role in the recruit-
ment process. Of the 115 principal survey respondents, 72% (n = 83) agreed that the reputation
of the district was important to their decision to apply for the principalship. One hundred percent
of HR administrators (N =22) and 100% of superintendents (N =21) felt that the district’s reputa-
tion was key to their recruitment efforts. Eighty-nine percent of immediate supervisors of
principals (n = 28) agreed that a district’s reputation is important in the recruitment of principal
candidates.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 83
When interviewed by the researcher, all principals were asked what attracted them to a
principalship in their district. Each participant (N = 6) spoke of the reputation of his or her
district as playing a role in the decision. Descriptors included “stable,” “supportive,” “healthy,”
“relationships” “connected.” Principal A1 described her district as “very stable, supportive. . . .
We have a great contract” (interview, July 18, 2019). When asked what attracted him to his
district, Principal A2 responded:
We were doing very creative, very new things, very progressive things at our middle
school. It caught the attention of the high school that my students fed into. Because we
had accomplished so much and it transformed the campus from the least desirable school
to the most desirable school and had increased enrollment and done a lot of things that the
high school eventually took on, I had built a reputation for myself and in the work that I
had done. When it came time for two openings within this district, it wasn’t really just a
blind candidate pool. Myself and the other candidate were really recruited to the two
open positions because of that work that we had done in our previous positions. . . . I had
already built relationships with current principals and current directors and the assistant
sups and the sup. They’d all known and worked with me before I’d even started a day in
this district. (interview, July 18, 2019)
Principal B1 discussed his connectedness with his district saying, “It didn’t necessarily
ever occur to me that I would apply somewhere else . . . just as deeply rooted as I am in this
district, it was never considered elsewhere” (interview, August 26, 2019). Principals from
District C discussed similar themes, with one stating, “I don’t think I want to be a principal in any
other district” (Principal A1, interview, June 20, 2019). Data collected from the qualitative inter-
views and the survey questions supported the idea that a district’s reputation plays a role in the
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 84
recruitment process. A positive reputation can lessen the need for a district to put strategic
recruitment practices into place.
Tapping
Myung et al. (2011) suggested tapping teacher leaders so that they would consider enter-
ing the principalship. Pijanowski et al. (2009) recommended five actions that school districts and
superintendents could take to attract the desired high-quality candidates. The first recommenda-
tion was that superintendents identify those who hold an administrative credential and provide
leadership opportunities for them so that they could acquire the skills necessary to move into the
principalship when needed, thus creating an internal pipeline of candidates. Utilizing the politi-
cal and human resource frames (Bolman & Deal, 2013) to build the internal and external net-
works discussed previously supports districts in building an internal pool of potential candidates.
Qualitative interview data supported the idea of using an internal network, sometimes called a
pipeline, as a recruitment strategy. Knowing potential candidates, promoting from within based
on knowledge of the candidate, and providing support to prepare aspiring principals for the
principalship all support this internal system. Bolman and Deal (2013) proposed that using the
human resource frame to develop human capital is one way to build a strong organization. Fullan
(2014) proposed that by being a systems player, the entire organization becomes stronger.
Promotion within district. Qualitative interview data were supported by the quantitative
survey responses to support this theme. When asked if being an employee of their school district
was an important factor in being recruited to their current position as a principal, 70% of respon-
dents (n =81) stated they agreed that being a current employee constituted a factor in being hired
into the principalship. Likewise, 100% of HR administrators (N = 22), 86% of immediate super-
visors of principals (n = 24) , and 86% of superintendents (n = 18) agreed that being a current
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 85
employee was important to recruitment into the principalship in their district. Districts use the
human resource frame (Bolman & Deal, 2013) to support promotion within their district.
Superintendent A described his philosophy:
Our personal philosophy is if you’re a vice principal and you want to be a principal,
there’s an opening with us, we’ll help you interview for that. If there’s an opening some-
where else, we’ll help you interview for that. We’ll call people, set it up, do mock inter-
views with you. Because we just feel like if we place good people at the heads of cam-
puses, everybody wins. (interview, July 10, 2019)
Superintendent C described the district’s process for filling elementary positions: “We
have this pipeline over here in Ed Services” (interview July 2, 2019). He went on to discuss how
the series of positions through which aspiring principals move prepares them for the principal-
ship and leads to a natural pool from which they can hire. Immediate Supervisor C shared that
“we have a hot bench all the time, I would say” (interview, July 2, 2019).
Qualitative interviews of immediate supervisors of principals supported the concept of
developing leaders and hiring from within. Their perceptions and experiences supported the
importance of being a systems player (Fullan, 2014). Immediate Supervisor A discussed the
practices:
So they received kind of mentoring in that role as an assistant principal. And then also
we will help provide them, like assistant principals that we know want to be principals.
We will kind of strategically give them opportunities to either lead some groups or be a
co-facilitator at groups, be a part of large stakeholder groups, just so they can kind of see
some of the bigger district-level committees that go on and start to network with people
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 86
from across the district and at the district office level and the community members. So
that’s primarily, I would say, the preparation that they get. (interview, July 3, 2019)
The immediate supervisor in District C described a similar process:
We definitely tap people that we see as our kind of next layer. And then I think in the last
. . . at least in my 5 years in this role, the biggest place that we get our principals is either
from our teacher on special assignment group. We see that as a training ground as well
because we’re always trying to expose them to thinking how the principals think and
bringing them into any experience that we can. The last three principals have come
directly out of that, and what feeds that are our coaches. So, that’s kind of our hierarchy.
Out of the classroom, if you want a leadership role, we typically find them doing the
coaching role, and then out of the coaching role potentially, we just promoted one of our
coaches to our math and science. So, she’s already somebody that we’re looking at going
. . . amazing principal potential. Let’s get her exposed to everything. So, that’s kind of
our pipeline. (interview, July 2, 2019)
Qualitative interview data from each district described an internal mechanism for identi-
fying people with promising leadership skills and building them up through opportunities and
connections so that there is a pool of candidates ready to move into the principalship when a
position becomes available.
Mentoring. For purposes of this study, mentoring is defined as a relationship focused on
developing an individual professionally and personally. It occurs when an experienced person
passes along his or her skills to a less knowledgeable person through support, motivation,
guidance, and encouragement (Service et al., 2016). The need for principal mentoring comes
from the need for quality school leadership in a complex education system (Sciarappa & Mason,
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 87
2014). Qualitative interview data in the researcher’s three districts supported the belief in this
concept. The HR administrator in District A shared, “We do a lot of that here. And then really
mentoring our people in the schools, the four APs at each school, making sure they’re ready.
Then when we open it up, see what we get” (interview, July 10, 2019). She also shared that
aspiring principals
want to be mentored, and it’s an important part of what we do, is to bring the next genera-
tion up. But there are also those who have been in our school district for a while that
worked with the superintendent. They seek him out. They have coffee with him still;
they make sure he’s okay. It goes both ways. (interview, July 10, 2019)
Aspiring principals use the human resource frame (Bolman & Deal, 2013) as they prepare
to apply for a principal position by building relationships with district administrators and seeking
out mentorships with key people. Fullan (2014) would suggest that building relationships
supports the importance of being a systems player within the organization. Quantitative survey
data from the present study supported the importance of the role that mentorship plays in the
recruitment process. Seventy-six percent of principals (n = 87), 91% of HR administrators (n =
20), 79% of immediate supervisors of principals (n = 20), and 81% of superintendents (n = 17)
surveyed agreed that having a mentor helps candidates to be recruited into the principalship.
Principals placed a heavy emphasis on the key role having a mentor played for them as
they prepared for recruitment into the role. When asked if he used mentorship relationships to
assist in the recruitment process, Principal B1 replied, “Absolutely. That comes naturally to me”
(interview, August 26, 2019). He spoke of some mentor relationships coming naturally out of
connections with people and other being more strategic on his part: “I had mentioned the times
where I’ve sought out other administrators on several occasions. I had opportunities to have one-
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 88
on-one time with the superintendent. So certainly that benefitted me. Yeah” (interview, Au-
gust 26, 2019). Principal B1 described how he used the political frame (Bolman & Deal, 2013)
with his superintendent to support recruitment into a principal position. Each principal inter-
viewed (N =6) described using mentors to gain knowledge and skills and to make connections
that they thought helped them to obtain a principalship.
The superintendents interviewed (N = 3) discussed their role in providing mentoring
experiences to aspiring principals as mentoring connected to the HR (Bolman & Deal, 2013)
aspect of developing people. Superintendent A described how mentors support their aspiring
principals in this way: “I think they can gather some additional experiences that maybe they don’t
have through the eyes of somebody who’s maybe lived it” (interview, July 10, 2019). The
superintendents spoke to their personal role in mentoring upcoming principals, suggesting their
understanding of the importance that mentoring plays in supporting people. Superintendent B
described how he supported aspiring principals:
I have people who are assistant principals call me and ask, “Can I have coffee with you?”
They heard that I do that. And I like to do that. And so I’ve had my share of Subway
[restaurant] sandwiches and coffees with people who want to be a principal—people want
to move levels of their principalship. People want to think about being an assistant
principal even. And so yeah, I think our people do. I think we offer that. We encourage
that, and so I think they’ve learned to take it in. That was foreign to the district, and so
that’s been a change in the last 3 years of we really want to encourage people and adopt
people to mentor and so on. (interview, August 26, 2019)
With superintendents placing importance on the role of mentorship in developing the
human capacity within their organization, they served as lead learners (Fullan, 2014) and built a
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 89
culture in which mentoring was a natural part of the work they did. Superintendent C described
how they mentor, specifically for the recruitment process:
The mentoring that they get, I think, has been valuable. People practice interview tech-
niques and strategies. People review and give feedback on résumés and application
letters. I meet with a lot of current and wannabe administrators and talk about careers, so
I give some coaching on, especially the interview. (interview, July 2, 2019)
Current and former principals have reported that the greatest support for their success in
the position was a mentor relationship with a strong principal (Sciarappa & Mason, 2014). The
districts in which the researcher collected data recognized the importance of this support strategy
and made it available to aspiring principals as they prepared for recruitment.
Performance and Reputation of the Candidate
Principals play a key role in the effectiveness of a school and are second only to the
classroom teacher in their impact on student achievement (Augustine-Shaw, 2015; Fullan, 2014;
Hussin & Al Abri, 2015). With this fact in mind, districts must carefully select the principal of a
school. Being knowledgeable about a candidate’s performance and reputation can assist in
selecting the best candidate for a position. Ninety-five percent of HR survey participants (n = 21)
agreed that networking with district personnel assists in the recruitment process for aspiring
principals. This strategy can support an aspiring principal in getting his or her name out there
and their reputation known by district administrators. This tactic demonstrates use of the politi-
cal and human resource frames in that candidates can build connections that assist them in
getting hired (Bolman & Deal, 2013).
Instructional leadership. Fullan (2014) suggested that being a lead learner in the
organization develops professional capital and directly impacts student achievement. Ninety-five
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 90
percent of principal survey respondents (n = 109) having instructional leadership experience was
an important factor in being recruited into their position as a principal. To support this theme,
100% of HR respondents, 93% of immediate supervisor respondents (n = 26), and 100% of
superintendent respondents (n = 21) agreed that having instructional leadership experience is
important to being recruited into a principal position. Knowing the instructional leadership
experiences of aspiring principals informs districts as they recruit for the principalship.
The HR administrator in District C discussed her role in knowing a candidate’s experi-
ence: “So, if you can get in a position where you’re having direct contact with me, and I’m seeing
the level and the quality of your work, then I’m talking to the people who you’re influencing”
(interview, July 2, 2019). She used this feedback as she considered aspiring principals for posi-
tions. The superintendent in District C explained that lacking instructional leadership can be a
problem for aspiring candidates:
I think the people who struggle are the people who are not really strong instructional
people. So, it used to be that you didn’t have to be so strong instructionally. Especially at
the secondary level, where you have APs and people who could do the curriculum stuff.
You just have to kind of like keep it in order. We had a guy who struggled at [school]
before we promoted Michele. The struggle was he just didn’t really understand instruc-
tional improvement processes. So I think that that’s the thing. At the secondary level,
when you have people who have all the traditional building blocks. They’ve been a
coach. They’ve been a counselor. They’ve been class advisor, a successful teacher.
They’ve been AP for 4 or 5 years, but they’ve been in charge of stuff not instructional, so
facilities, and all the stuff. So now they’re going, “Hey, I think I’m ready to be an assis-
tant principal.” [I ask,] “What is better instructionally there because you were there?”
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 91
“Well, that’s a hard question.” “Okay, so, if you can’t answer that question, two things.
One is I don’t think you’re ready to be principal, and you’re certainly not going to be it
here. Two, you better purposefully work with your principal to get that. The principal
will help you get that experience. (interview, July 2, 2019)
Principal interview participants (N = 6) all spoke to hands-on opportunities to be instruc-
tional leaders as part of the experiences necessary to be a strong candidate for a principalship. A
principal from District A described the opportunity to internship as crucial to her development as
an instructional leader: “I think that internship part was really important, and I think it’s too bad
that we don’t have that opportunity in California” (interview, July 18, 2019). Principals from
high schools spoke about being an instructional leader as the assistant principal. Principal B1
reflected that
knowing that I was someone who had helped guide that process at a school and then also
guide that process or at least help guide that process as an administrator, I think, was
looked at as being something that was desirable. (interview, August 26, 2019)
Other high school principals discussed their process of “getting known” by district administrators
to support their recruitment. Principal C2 shared that
what really helped me is I tended to be someone who would put myself out there, even
district wide. And some of that was my personality, but some of that was through the
encouragement of those mentors. And so I would be on district committees or I would
volunteer to conduct PD [professional development] for the district, or I would, you know
. . . and I think the relationships they forced through that, just from the perspective of
getting known was really helpful to me when it was time to apply and move up. Well,
I’m thinking of a couple of people in particular. I mean, because we had forged
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 92
relationships and because I had sought them out as mentors, I felt like they had a vested
interest in my success, you know? And so, they gave me a lot of good critical feedback
because they wanted to see me succeed. (interview, July 19, 2019)
Being a lead learner (Fullan, 2014) and instructional leader and having those skills recog-
nized by district administrators were perceived to support the recruitment process by both
aspiring principals and district administrators as they considered candidates for principal posi-
tions. Knowledge of key district initiatives also supported aspiring candidates as their instruc-
tional leadership experiences were reviewed for recruitment. When asked whether their level of
understanding of district initiatives and goals were important factors in being recruited into a
principalship, 83% of principal survey respondents (n = 95) agreed. Additionally, 95% of HR
administrators (n =21), 86% of immediate supervisors of principals (n = 24), and 86% of superin-
tendents (n = 18) surveyed agreed that having knowledge of key district initiatives helps candi-
dates to be recruited into the principalship. Understanding the importance of their connections,
experiences, and reputation within the district can support aspiring principals in the recruitment
process.
Summary of Results for Research Question 2
Unlike data discussed in the literature review, personnel in the three districts interviewed
by the researcher did not feel that they had a shortage of quality candidates for the principal
position. Seventy-eight percent of immediate supervisors of principals, 90% of HR administra-
tors, and 70% of superintendents reported that there was not a candidate shortage. The researcher
would suggest that this finding was in part due to the strategies that these districts were using in
their recruitment efforts. One hundred percent of HR administrators (N = 22) and 100% of
immediate supervisors of principals (N = 28) surveyed agreed that district resources and
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 93
recruitment strategies helped candidates to get recruited into principal positions in their district.
Utilization of networks, creating an internal pipeline, and having accurate knowledge of potential
candidates all have allowed these districts to find success in their recruitment efforts.
Results for this study revealed three common themes from the qualitative interview
participants that were further strengthened with quantitative survey data. First, networking with
other districts and utilizing professional networks assist in identifying candidates for the princi-
palship. Second, tapping or creating an internal pipeline of candidates supports principal recruit-
ment. Finally, knowledge of the performance and reputation of the candidate can aid in recruit-
ment.
Findings for Research Question 3
In order to better understand strategies used by districts and principals with regard to
retention in the principalship, Research Question 3 asked, “What are the perceived strategies that
support the retention of principals?”
The review of the literature found that the need for principal mentoring comes from the
need for quality school leadership in a complex education system (Sciarappa & Mason, 2014).
One form of ongoing support available for sitting principals is mentoring after the principal has
obtained the position. Formal and informal mentoring can serve to build networks, increase
capacity, and keep professional development current and relevant (Sciarappa & Mason, 2014;
Whitaker, 2003). Current and former principals have reported that the greatest support for their
success in the position was a mentor relationship with a strong principal (Sciarappa & Mason,
2014). Another factor relating to retention in the position is relative salary. The nature of the
role of the 21st-century principal is more complex and demanding than ever before and does not
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 94
always pay well for the work required to be done (Baker et al., 2010). Results from this study
confirmed three themes that answered Research Question 3:
1. Having a mentor or mentors provides processes and strategies that currently supported
success in retaining a position as a principal.
2. Maintaining relationships and professional networks with directors, assistant superin-
tendents, and the superintendent support success in retaining the position as a principal.
3. Compensation may play a role in determining retention in the principalship.
Mentors
For the purpose of this study, mentoring is defined as a relationship focused on develop-
ing an individual professionally and personally. It occurs when an experienced person passes
along his or her skills to a less knowledgeable person through support, motivation, guidance, and
encouragement (Service et al., 2016). The need for principal mentoring comes from the need for
quality school leadership in a complex education system (Sciarappa & Mason, 2014). When
asked whether having a mentor played a role in remaining a principal, 90% of principal survey
respondents (n =103) agreed. Additionally, 95% of HR administrators (n =21), 96% of immedi-
ate supervisors of principals (n = 27) , and 100% of superintendents (N = 21) surveyed agreed
that having the support of a mentor plays a role in retaining people in the principalship.
Qualitative interview data demonstrated that not only does a mentor provide support for
retention in the principalship, having different types of mentors, both self-selected and assigned,
also supports retention in the position. Superintendents discussed the importance of assigned
mentors as well as those that are self-selected, occurring naturally out of relationships developed
by the principal. Superintendent A discussed an adopt-a-school program in which a cabinet
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 95
member was connected with each school, allowing the individual to get to know the principal,
campus, and culture more deeply. He considered this type of mentoring assigned:
So the adopt-a-school program, cabinet members are all assigned a school, and so the
school they’re assigned to, they meet with people all different positions, the principal, the
vice principals, ADs. And we believe that connection to the district office, because I get
to the sites a lot, but also we just think it’s nice for them to have one person that kind of
understands that campus, whether it’s eating lunch in the faculty lounge, visiting their
leadership team meetings—whatever that is—I think those relationships are important
because they have somebody to call. (interview, July 10, 2019)
Superintendent B discussed the formal and informal relationships in his district as being
supportive of principal retention:
One of them is a formal principal partnership where everybody new who comes in has a
veteran and they meet once, a little more than once a month, and we have coffee and
doughnuts and whatever for them, and they all get together and they talk together. And
one of our district office people kind of facilitates it. (interview, August 26, 2019)
He further discussed the variety of mentoring relationships as they pertained to supporting reten-
tion: “So the informal ones are usually self-selected. The formal ones are assigned” (interview,
August 26, 2019).
Superintendent C demonstrated use of Bolman and Deal’s (2013) human resource frame
when considering mentoring in his district:
They’re formal hierarchical relationships, but then the network can be less formal. I think
we actually do assign new principals a buddy, but that’s more for how you fill out the
forms and like, “Here’s how stuff happens and works.” It’s not so much about those
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 96
struggling conversations. My experience is assigning who that person is to you doesn’t
work because that’s such an intimate . . . it’s a relationship, so it has to be just formed up.
(interview, July 2, 2019)
Qualitative interview data collected from site principals reinforced the theme of the
importance of mentors in retention in the principalship. A principal from District A shared:
I mean, obviously, they’re always going to be formal because there’s a structure in place
and there’s a way to always handle your interactions with your superiors. But at the same
time, if you could . . . as informal as they can possibly be, with feeling comfortable and
having true relationships and real conversations and feeling safe, then I would say that
there’s that level of informality. And sometimes, they’re real friendships, so . . . (inter-
view, August 26, 2019)
Other high school principals spoke to the support that they received from their fellow principals
as mentors. Principal B1 reflected on the formal aspect at the beginning of his career: “I had
mentioned that mentoring program early on as a principal . . . but certainly the informal ones I
think are most significant” (interview, August 26, 2019).
When considering strategies that help to retain principals in the position, both qualitative
interview data and quantitative survey data indicated the need for mentors for principals. Both
formal mentorships and informal mentors were reported to be supportive for principals. Informal
mentorships are those in which the mentee selects the mentor based on an already established
relationship (Dunbar & Kinnersley, 2011). Districts that provide mentors to new principals as
well as develop systems and structures in which relationships can develop and lead to informal
mentorships are more likely to retain principals in the role.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 97
Maintaining Relationships and Networking Within District
In addition to having both formal and informal mentors, having support from the district
office in streamlining the work requested of principals can free up time that can then be spent on
instructional needs (Van Vooren, 2018). When principals feel supported by the district and by
peers, they are more likely to remain in their position. Both qualitative interview data and quan-
titative survey data suggested that maintaining relationships and networking within the district
were important to principal retention. Ninety-four percent of principal survey participants (n
=108) reported that these types of networks were an important factor in determining their reten-
tion. To further support this theme, 100% of HR administrators (N =22), 96% of immediate
supervisors of principals (n = 27) , and 100% of superintendents (N = 21) surveyed agreed that
maintaining relationships and networking within the district supported principal retention. In
each district where qualitative interviews were conducted (N = 3) the researcher found that these
relationships and networks provided support, served as a sounding board, and helped principals
to feel connected to the larger district. Each interview participant (N =15) discussed the way that
support and accessibility of district cabinet members and peers were critical to principals feeling
connected and supported.
All superintendents (N =3) discussed their desire to have principals to be comfortable in
reaching out to them and the importance of being available when needed. Superintendent A
mentioned support from the cabinet level as well as peer support:
It was the support from the cabinet level. They know they have that support. Second, the
colleagues that they have that they lean on. I know, like we had one of our principals had
a death in the family—well, they got a call from every single principal. (interview,
July 24, 2019)
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 98
Superintendent B also emphasized the importance of peer relationships supporting principals:
I think one of the things I think gets underestimated sometimes is their relationship with
each other. And we actually started something called principal partnerships. And so
there’s informal and formal groups, but one of them is a formal principal partnership
where everybody new who comes in has a veteran, and they meet once—a little more than
once a month, and we have coffee and doughnuts and whatever for them, and they all get
together and they talk together. And one of our district office people kind of facilitate it.
I think that they’re executive leaders who have a really difficult job that’s becoming
increasingly difficult all the time. And so what we can do to embrace them, come around
‘side them—whether it’s having coaches, whether it’s having one-on-one peers, whether
it’s having—they know that if they call someone at the cabinet level, we are literally on
their campus in 2 minutes if they need us for something. (interview, August 27, 2019)
Superintendent C also emphasized the importance of self-selected mentors: “My experience is
assigning who that person is to you doesn’t work because that’s such an intimate . . . it’s a rela-
tionship, so it has to be just formed up” (interview, July 24, 2019).
When asked about the difference between formal and informal relationships in supporting
them, Principal A1 shared:
I think when you are the principal, the district office is the biggest part of that . . . obvi-
ously, they’re always going to be formal because there’s a structure in place and there’s a
way to always handle your interactions with your superiors. But at the same time, if you
could . . . as informal as they can possibly be, with feeling comfortable and having true
relationships and real conversations and feeling safe, then I would say that there’s that
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 99
level of informality. And sometimes, they’re real friendships, so... mostly self-selected.
(interview, July 24, 2019)
Principal C1 reflected:
So my retention, the relationships I really have to put an emphasis on and I think it’s
finding people to get wise counsel from is what has been the best thing for my retention.
Not being afraid to call the DO [district office] . . . I know exactly who to call in HR, in
budgeting, and everything. (interview, June 20, 2019)
She used her relationships and activated the human resource frame (Bolman & Deal, 2013) to
support her retention in her position. Principal B described the support: “So there’s really that
direct line of support of they know who to go to get timely responses and support with different
things” (interview, August 26, 2019)—again, demonstrating use of the human resource frame
(Bolman & Deal, 2013).
From a HR perspective, the HR administrator from District C shared her approach to
supporting principals:
So, depending on what we think their area of need is, is who we kind of deploy, but it’s
very deliberate. So, I would say that the cabinet and the departments are very aware of
strengths and weaknesses, and then very aware of who’s kind of taking it on as the point
person of guiding, and supporting, and seeing that person through, depending on what it
is . . . it’s highly professional—it is about kids—we do offer the curriculum support. All
the support that a principal needs to kind of survive this job on a day-to-day basis. And
we’re very responsive. I don’t know how else to say that. If I get a problem Friday after-
noon, I’m solving it Monday morning. So, I think that it makes them feel that they are
part of something bigger. I think that’s a factor (interview, July 24, 2019)
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 100
Utilization of the human resource frame (Bolman & Deal, 2013) allows districts to know
their principals, their strengths and needs, and to support accordingly. By providing both formal
and informal opportunities for support, principals have multiple people with whom to connect to
obtain the support they need to stay in their position and to be successful.
Professional Networking and Associations
Professional networks, such as those developing from a university experience or on-the-
job, as well as connections with professional organizations, such as ACSA, were regarded by
district administrators as being supportive of principal retention. Eighty-two percent of HR
administrators (n =18), 86% of immediate supervisors of principals (n = 24), and 71% of superin-
tendents (n =15) surveyed agreed that professional networks support principal retention in the
principalship. In contrast, principal survey participants (n =45) reported that these types of
networks were not as important as other factors in determining their retention with only 39%
agreeing that professional networks (such as NAESP, NASSP, ACSA, university networks)
provide principals with processes/strategies that support their success in retaining their current
positions.
Compensation
The nature of the role of the 21st-century principal is more complex and demanding than
ever before and does not always pay well for the work required to be done. The most consistent
potential policy lever for influencing principal retention appeared to be the principal’s relative
salary (Baker et al., 2010). Quantitative survey data supported this finding to some extent.
When asked whether compensation played a role in remaining a principal, only 45% of
principal survey respondents (n =45) agreed. In comparison, 73% of HR administrators (n =16),
54% of immediate supervisors of principals (n = 15), and 57% of superintendents (n = 12) sur-
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 101
veyed agreed that compensation plays a role in retaining people in the principalship. Through a
review of the literature, it was noted that compensation has a varying level of importance based
on location and size of the district (Fuller et al., 2015). This researcher hypothesizes that the
central location of the districts used for data collection, as well as their size, might have played a
role in the nature of the survey responses. Each of the three districts was centrally located in
Orange County in a suburban setting and served 10,000, 20,000, and 28,000 students, respec-
tively. The review of the literature indicated that compensation issues were more likely in small
and mid-size districts and rural school districts (Fuller et al., 2015). The fact that these condi-
tions did not exist in the districts in which the researcher collected the data may have influenced
the results.
Summary of Results for Research Question 3
Research Question 3 sought to understand the perceived strategies that support the
retention of principals. Results for this study revealed three common themes from the qualitative
interviews that were further strengthened with quantitative survey data.
When reflecting upon strategies that support retention in the challenging position of the
principalship, having a mentor supports success in retention. Next, maintaining relationships and
professional networks with directors, assistant superintendents, and the superintendent supports
success in retaining the principal. Finally, compensation may play a role in determining retention
in the principalship.
Chapter Summary
This chapter examined the emergent themes identified by the researcher to answer the
study’s three research questions regarding the preparation, recruitment, and retention of princi-
pals in southern California. The themes were drawn from qualitative interviews (Creswell, 2014)
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 102
of 15 interview participants: three superintendents, three HR personnel, three district personnel
who were direct supervisors to site principals, and six site principals. The emergent themes were
developed from the data analysis of the qualitative interviews, confirmed with quantitative data
where applicable, and supported by the review of the literature in Chapter Two. Multiple data
sources strengthened the reliability and validity of the identified themes (Maxwell, 2013;
Merriam & Tisdell, 2016).
Three themes were identified as being important to preparation for the principalship:
1. Learning opportunities and acting as a lead learner were perceived as better than
formal training programs in preparing principals for the challenges of the 21st-century princi-
palship,
2. On-the-job experience best prepared principals for the role, and
3. Mentors served to better prepare and support aspiring principals for the principalship.
Three themes were identified as being important in the recruitment for the principalship:
1. Networking with other districts and utilizing professional networks assist in identify-
ing candidates for the principalship,
2. Tapping or creating an internal pipeline of candidates supports principal recruitment,
(c) knowledge of the performance and reputation of the candidate can aid in recruitment.
Three themes were identified as being important to the retention of principals: (a) having a
mentor(s) supports success in retaining a position as a principal, (b) maintaining relationships
and professional networks with directors, assistant superintendents, and the superintendent
supports success in retaining the principal, and (c) compensation plays a role in determining
retention in the principalship.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 103
This chapter included a discussion of the identified themes which answered the study’s
three research questions. Chapter Five presents a summary of the study and its conclusions. The
study’s limitations, implications, and recommendations for future study relevant to its results and
conclusions follow.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 104
CHAPTER FIVE: DISCUSSION, IMPLICATIONS, AND RECOMMENDATIONS
The role of the principal has changed as the demands and challenges of public education
have evolved. The call for highly qualified principals has long been made, as strong leadership is
at the heart of every school and directly related to improved teaching conditions (Carver-Thomas
& Darling-Hammond, 2017; Fullan, 2014). This chapter will review the purpose of the study;
summarize the findings; discuss implications for aspiring principals, sitting principals, and
district office administrators; and make recommendations for future research.
Purpose of the Study Restated
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of K–12 public school principals in California. Three leadership models served as
theoretical frameworks to guide this study: (a) Bolman and Deal’s (2013) four frames, (b) School
Leadership That Works (Marzano et al., 2005), and (c) Fullan’s (2014) Keys to Maximizing
Impact.
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, qualitative
methodology, and the qualitative and quantitative instrumentation. The team collaboratively
gathered quantitative survey samples from four quantitative survey groups: superintendents, HR
administrators, immediate supervisors of principals, and principals. The researcher worked
independently to gather qualitative interview data from three public school districts in southern
California. Qualitative and quantitative instruments were designed to align with the research
questions of the study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 105
2. What are the perceptions of principals, immediate supervisors of principals, HR
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?
3. What are the perceived strategies that support the retention of principals?
Summary of Findings
Research Question 1
The data analysis for this study yielded three common themes on how best to prepare for
the principalship. First, learning opportunities and acting as a lead learner was perceived as
better than formal training programs in preparing principals for the challenges of the 21st-century
principalship. Universities should build in opportunities for shadowing outstanding principals
and provide mentoring, practical experience, and a variety of settings so that future principals
can develop the skills and abilities needed to become a good principal (P. F. Brown, 2006;
Service et al., 2016). This study confirmed that seeking learning opportunities and acting as a
lead learner were the best preparation for this study’s sample.
Second, on-the-job experience best prepared principals for the role. In 2014 when
principals were asked how their certification program prepared them for the position, only 33%
replied that they were well prepared for their role (Sciarappa & Mason, 2014), and 96% of
practicing principals reported that on-the-job experience or guidance from colleagues had been
more helpful in preparing them for their current position than their graduate school studies (Hess
& Kelly, 2007). This study confirmed prior literature that suggested that on-the-job experiences
better prepared principals for the position.
Finally, mentors served to better prepare and support aspiring principals for the principal-
ship. Mentoring for 21st-century principals is built into the Every Student Succeeds Act of 2015
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 106
(U.S. Department of Education, 2015), and districts can leverage this to provide mentoring and
ongoing professional learning for sitting principals (Carver-Thomas & Darling-Hammond,
2017). Mentoring occurs when an experienced person passes along his or her skills to a less
knowledgeable person through support, motivation, guidance, and encouragement (Service et al.,
2016). This study confirmed that mentoring was critical to their preparation for this study’s
sample.
Research Question 2
Data analysis for this study yielded three common themes for Research Question 2, which
related to how to recruit for the principalship. First, networking with other districts and utilizing
professional networks assist districts in identifying candidates for the principalship. The district
office administrators, including the superintendent participants in this study, used their networks
and acted as systems players (Fullan, 2014). They knew when and how to apply the human
resource and political frames (Bolman & Deal, 2013) to support the needs of their districts. The
findings from this study confirmed the prior literature.
Second, tapping, or creating an internal pipeline of candidates, supported principal
recruitment. Myung et al. (2011) suggested tapping teacher leaders so that they would consider
entering the principalship, and Pijanowski et al. (2009) recommended that superintendents
identify teacher leaders who hold an administrative credential and provide leadership opportuni-
ties for them so that they can acquire the skills necessary to move into the principalship when
they are needed, thus creating an internal pipeline of candidates. The findings from this study
confirmed that districts that have a system for identifying, preparing, and recruiting from within
are successful in their recruitment efforts.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 107
Finally, knowledge of the performance and reputation of the candidate can aid in recruit-
ment. Districts who build leaders from within, watch their career progression, and provide
leadership opportunities know the skills of aspiring principals. This study confirmed that
knowing the performance and reputation of the candidate supported recruitment efforts (Ash et
al., 2013; Lowe et al., 1996).
Research Question 3
Results from this study confirmed three final themes that answered Research Question 3,
which related to how to retain principals in the principalship. First, having a mentor supported
success in retaining a principal’s position. The need for principal mentoring stems from the need
for quality school leadership in a complex education system (Sciarappa & Mason, 2014). One
form of ongoing support available for sitting principals is mentoring after the principal has
obtained the position. Formal and informal mentoring can serve to build networks, increase
capacity, and keep professional development current and relevant (Sciarappa & Mason, 2014;
Whitaker, 2003). This study confirmed that mentoring was a key component in the retention of
the study participants.
Second, maintaining relationships and professional networks with directors, assistant
superintendents, and the superintendent supported success in retaining the principal’s position.
Having support from the district office in streamlining the work requested of principals can free
up time that can then be spent on instructional needs (Van Vooren, 2018). When principals feel
supported by the district and by peers, they are more likely to remain in their position. This
study’s participants confirmed the prior literature that support from the district office is a critical
component to their retention.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 108
Finally, compensation may play a role in determining retention in the principalship.
Through a review of the literature, it was noted that compensation has a varying level of impor-
tance based on the location and size of the district (Fuller et al., 2015). Quantitative data sup-
ported this concept to an extent, but the qualitative interview data did not yield a strong correla-
tion. The researcher conjectures that this finding may be due to the nature of the districts that
participated in the qualitative interviews.
Limitations
The research design of this study resulted in several identified limitations. The first
limitation of this study was that it did not sample the entirety of California K–12 school princi-
pals. The sample was limited to southern California public school principals and district person-
nel in Los Angeles, Orange, San Bernardino, and San Diego Counties. Second, only participants
who completed the surveys were included in the quantitative data analysis for this study. Partici-
pants who were interviewed were selected because they met inclusion criteria. The results of the
study were limited to the participants in the study. Third, the study was constrained by the time
and resources available to collect data, which may reduce generalizability. Finally, the reliability
of the survey and interview instruments may have affected the validity of the study. The quanti-
tative data collected did not necessarily support the qualitative interview data.
Implications
The findings from this study contribute to the body of scholarly literature by identifying
strategies that aspiring principals, sitting principals, and school districts can use for the prepara-
tion, recruitment, and retention of principals. Although the insights gained came form the
perceptions and experiences of the study participants, aspiring principals, sitting principals, and
school districts can use the findings to inform their practice.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 109
Aspiring principals can use the findings from this study to begin their preparation for a
principalship. Seventy-seven percent of principal survey participants agreed that prior work
experiences were more important than their university program to their preparation for the role,
and 99.2% identified mentorship as critical to their preparation. The knowledge that university
and other formal preparation may not be enough to prepare one for the 21st-century principalship
can lead aspiring principals to seek out learning opportunities in the form of teacher leadership,
the TOSA position, and quasi-administrative roles. These experiences can build their skills and
may better prepare them for the principalship. Aspiring principals can also begin to build a
network within their district and find mentors who can support them in their preparation.
To be successful in recruiting quality principals, school districts can build networks
within and across districts by utilizing professional relationships to identify potential candidates
for their openings. Maintaining a positive reputation as a district can also assist in recruiting the
best candidates. Districts can also develop an internal pool of candidates who will be ready to
move into a principal role by providing leadership development opportunities for aspiring
principals and connecting them with mentors who can guide their career development.
In order to be retained in their position, current principals should seek out a mentor or
mentors who can provide support while they are in the position of principal. Ninety percent of
principal survey respondents (n =104) agreed that having a mentor was important to their reten-
tion. Additionally, 95% of HR administrators (n = 21), 96% of immediate supervisors of princi-
pals (n = 27), and 100% of superintendents (N = 21) surveyed agreed that having the support of a
mentor plays a role in retaining people in the principalship. Another strategy that current princi-
pals can use to support their retention is maintaining relationships and professional networks
with directors, assistant superintendents, and the superintendent.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 110
Recommendations for Future Study
This study examined the preparation, recruitment, and retention of K–12 principals.
Based on the themes identified in this study, the researcher identified the following to be consid-
ered for future study: (a) a case study of districts currently exploring and/or implementing a
pipeline to the principalship; (b) a study of the planning, design, and execution of university
programs that prepare candidates for the principalship by providing practical experiences, on-the-
job opportunities, and mentorships; (c) a study of districts that use formal recruitment strategies,
including job postings that reflect the reality of the 21st-century principalship; and (d) research
on the success and longevity of principals who are provided with mentoring from the district as
well as those who seek out their own informal mentors.
Conclusion
The modern-day principalship is filled with challenges as the pressures of societal change
place new and increasingly complex demands on this important role. A growing number of
research studies about effective schools have confirmed that quality school leadership is the
second most influential factor impacting student success in the United States, behind the class-
room teacher (Fullan, 2014; Leithwood et al., 2004; Louis et al., 2010; Marzano et al., 2005;
Simkin et al., 2010). With this level of impact, the role of the principal is critical.
This study explored the preparation, recruitment, and retention of California principals.
Themes were drawn from qualitative interview data and supported by quantitative survey data to
answer three research questions. The study has informed the reader on strategies to support the
preparation, recruitment, and retention of 21st-century principals.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 111
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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 Cali-
fornia 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, recruit-
ment, 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
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 123
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: __________________
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 124
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) ___________________________________________
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 125
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
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 126
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
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 127
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 128
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 129
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
recruited 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
initiatives and goals was an important
factor 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
recruited 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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 130
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 131
36. Pressures from accountability measures
affect my desire to retain my position as
a principal.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 132
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 133
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
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 134
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
recruited 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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 135
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 136
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 137
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 138
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 139
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 140
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 141
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 re-
cruiting for principal positions in my
district.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 142
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
recruited 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.
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 143
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.
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 144
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?
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 145
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?
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 146
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?
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 147
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?
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 148
Appendix I
IMMEDIATE SUPERVISOR OF 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 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?
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 149
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?
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 150
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?
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 151
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?
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 152
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
PRINCIPALS: RECRUITMENT, MENTORING, RETENTION 153
Appendix K
QUESTION ALIGNMENT MATRIX
Instrument
RQ1
What preparation pro-
grams and experiences
enhance a potential prin-
cipal’s skills to manage
the complexities of the
principalship?
RQ2
What are the recruitment
strategies of districts to
help identify and select
principal candidates?
RQ3
What are the successful
strategies used by dis-
tricts to support the re-
tention 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)
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Asset Metadata
Creator
Gruebel, Lara Susan
(author)
Core Title
The 21st-century principal: the recruitment, mentoring, and retention of principals
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
lead learner,learning opportunities,mentoring,networking,OAI-PMH Harvest,on-the-job experience,principal pipeline,principal preparation,principal recruitment,principal retention,professional networks,Relationships,tapping
Language
English
Contributor
Electronically uploaded by the author
(provenance)
Advisor
Escalante, Michael (
committee chair
), Cash, David (
committee member
), Crosby, Owen (
committee member
), Doll, Michele (
committee member
)
Creator Email
lgruebel@icloud.com
Permanent Link (DOI)
https://doi.org/10.25549/usctheses-c89-307219
Unique identifier
UC11663517
Identifier
etd-GruebelLar-8512.pdf (filename),usctheses-c89-307219 (legacy record id)
Legacy Identifier
etd-GruebelLar-8512.pdf
Dmrecord
307219
Document Type
Dissertation
Rights
Gruebel, Lara Susan
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
Tags
lead learner
learning opportunities
mentoring
networking
on-the-job experience
principal pipeline
principal preparation
principal recruitment
principal retention
professional networks
tapping