University of Southern California Dissertations and Theses

Understanding the 21st-century principalship: contemporary preparation, recruitment and retention practices

(USC Thesis Other)

Understanding the 21st-century principalship: contemporary preparation, recruitment and retention practices

PDF

Download a page range

Download transcript

Copy asset link

Request this asset

Transcript (if available)

Content Running head: UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 1
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP:
CONTEMPORARY PREPARATION, RECRUITMENT
AND RETENTION PRACTICES
by
Jessica Berenice Correa Muñoz
____________________________________________________________________
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 Jessica Berenice Correa Muñoz
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 2
DEDICATION
This work is dedicated to my mother, Rosa Garcia. My accomplishments are her
accomplishments. She raised me to believe in myself and taught me that there is no substitute for
hard work.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 3
ACKNOWLEDGMENTS
I will always take with me what my dissertation chair, Dr. Michael Escalante taught me:
The only way to eat an elephant is . . . one bite at a time. I thank Dr. David Cash, Dr. Michelle
Doll, and Dr. Owen Crosby for serving on my dissertation committee.
I wish to thank my husband, Jorge, for taking this journey with me and for being my
partner throughout the process. His support was invaluable.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 4
TABLE OF CONTENTS
Dedication 2
Acknowledgments 3
List of Figures 7
Abstract 8

Chapter 1: The Problem 9
Background of the Problem 9
Statement of the Problem 10
Purpose of the Study 11
Research Questions 11
Significance of the Study 11
Assumptions 12
Limitations 12
Delimitations 13
Definition of Terms 13
Organization of the Dissertation 15
Chapter 2: Review of the Literature 17
History of the Position 17
Diversity of Principals 20
Principals of Color 20
Why Does It Even Matter? 21
Women in the Principalship 23
Recruitment 24
Types of Recruitment 25
Logistics of Recruitment 25
Who Should Be Recruited? 26
Factors of Recruitment 27
Factors That Deter Qualified Candidates From Applying 28
Preparation of Principals 29
Characteristics of Quality Preparation Programs 30
Traditional Route: Through a University 31
Contemporary Findings on University Programs 31
Nontraditional Routes: Outside of a University 32
Informal Preparation 33
Macrosystems and Preparation 34
Retention 35
Coaching and Mentoring 35
What Leads to Principal Turnover? 37
Need for Restructuring the Principalship 39
Impact of Retention on Student Achievement 40
Frameworks on Leadership 40
Reframing Organizations 40
School Leadership That Works 42
The Principal: Three Keys to Maximizing Impact 44
Conceptual Framework 45
Chapter Summary 47
Chapter 3: Methodology 48
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 5
Research Design and Methods 48
Research Questions 48
Qualitative Design (Informed With Quantitative Methods) 48
Sample and Population 49
Data Collection 50
Instrumentation 50
Relation of Research Questions to Instrumentation 51
Data Analysis 51
Validity, Credibility, and Trustworthiness 52
Ethical Considerations 52
Chapter Summary 53
Chapter 4: Findings 54
Purpose of the Study 55
Study Participants 55
Qualitative Interview Participants 55
Quantitative Survey Participants 56
Findings for Research Question 1: Preparation 57
Out-of-the-Classroom Experience: Having First-Year Administrator
Knowledge 57
Out-of-the-Classroom Experience: Human Resources and Relationships 61
Demonstrating Lead Learner Characteristics 65
Summary of Findings for Research Question 1 68
Findings for Research Question 2: Recruitment 69
Positive Perception of the District/School Site By the Community 70
Professional and Informal Networking 75
Possessing Value-Added Characteristics 79
Summary of Findings for Research Question 2 84
Findings for Research Question 3: Retention 84
District Support Structures 86
Embodying Lead Learner Characteristics 90
Opportunities to Be an Agent of Change 95
Summary of Findings for Research Question 3 99
Chapter Summary 100
Chapter 5: Discussion, Implications, and Recommendations 102
Purpose of the Study Restated 103
Summary of Findings 104
Research Question 1 104
Research Question 2 105
Research Question 3 106
Limitations 107
Implications 107
Recommendations for Future Study 109
Conclusion 110
References 111

Appendices
Appendix A Research Participants’ Invitation E-Mail 123
Appendix B Informed Consent 124
Appendix C Principal Survey 125
Appendix D Human Resources Administrator Survey 132
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 6
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

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 7
LIST OF FIGURES
Figure 1: The 21 responsibilities of day-to-day management of a school 43
Figure 2: Conceptual framework for the study 46
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 8
ABSTRACT
The K–12 public school principal plays a vital role in student achievement. The
principalship is multifaceted. The 21st-century principal is expected to manage a wide range of
tasks such as building manager, instructional leader, and being the overall leader at the school
site–knowing that ultimately he or she is responsible for the school site as a whole. Often, aspir-
ing principals do not have an accurate understanding of the demands of the position and do not
thrive in the position, ultimately exiting the principalship. The purpose of this qualitative study
was to understand the preparation, recruitment, and retention practices of 21st-century public
school principals. Superintendents, immediate supervisors of principals, human resources
administrators, and principals served as participants in the study and shared their experiences and
understanding about the preparation, recruitment, and retention of public school principals.
Themes pertaining to three research questions were identified and reported. Having first-year
administrator knowledge and skills on how to build relationships along with demonstrating lead-
learner characteristics were identified as successful ways to prepare for the principalship. A
positive perception from the community of the district/school site, use of professional and infor-
mal networking opportunities, and possessing value-added characteristics were identified as
factors in the recruitment process. District support structures, embodying lead-learner character-
istics as a principal, and having the opportunity to be an agent of change were identified as
factors in the retention of principals. The themes of this study have implications for aspiring
principals as they seek the principalship, for administrative credentialing programs as they
prepare curriculum, and for school districts as they seek to strengthen their pipelines.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 9
CHAPTER 1: THE PROBLEM
Background of the Problem
The principal has the single most influence on a school’s culture (Deal & Peterson,
1999). The principal is the driving force at a school site and the principal’s leadership defines the
atmosphere of the campus (Donmoyer, 1985; Marzano, 2012). As the head of leadership at the
school site, the principal is responsible and accountable for the structures, systems, and happen-
ings at the school site.
The responsibilities of the principal have grown extensively since the inception of the
position in the mid-1600s (Brubaker & Simon, 1986). Principals have an extensive list of duties
and expectations, including, executing the mission and vision of the school, managing and evalu-
ating personnel, budgeting funds appropriately, all while wearing the hat of instructional leader.
It is imperative for a principal to be equipped with the skills necessary to succeed, given the
complexities of the position.
As education continues to evolve through the 21st century, more and more responsibili-
ties have been placed on principals, often without equipping them with the tools to carry out the
job successfully (Barnett, 2004; Brown, 2005; Davis & Darling-Hammond, 2012; Hess & Kelly,
2007; Jackson & Kelley, 2002; Seifert & Vernberg, 2002). Given the evolution of the position,
further attention should be given to recruitment, preparation, and retention of incumbent and
aspiring principals. Although principal turnover remains high (Hull, 2012), there has been an
increase in systems of support, such as mentoring, coaching, and networking opportunities
(Brown, 2005; Matthews & Crow, 2010). The inadequacies in the recruitment, preparation, and
retention of principals become magnified for people of color (J. Hill, Ottem, & DeRoche, 2016;
Hoff, Menard, & Tuell, 2006).
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 10
This is the first of five chapters of a study examining the recruitment, preparation, and
retention of K–12 public school principals. This chapter details the background of the problem,
the problem, the purpose of the study, the research questions, the significance of the study, its
limitations and delimitations, and definitions of key terms.
Statement of the Problem
The principalship is multifaceted, and many potential candidates do not recognize the
complexity of the position (Baker, Punswick, & Belt, 2010; Kavanaugh, 2005). Most principal
candidates hold the necessary prerequisites but do not have a thorough understanding of the
demands of the position. The pressures of accountability systems, expectations placed on princi-
pals, 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 principalship 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, Waters, & McNulty, 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). Research has shown that 1 in 5 principals left their school within 2 years and many school
districts report a lack of qualified applicants (Pijanowski, Hewitt, & Brady, 2009). Given the
potential for an insufficient pipeline of principals, as well as principals leaving the position,
further consideration should be given to preparation, recruitment and retention strategies for
contemporary K–12 public schools principals.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 11
Purpose of the Study
The purpose of this qualitative study was to identify current best practices for the
recruitment, preparation, and retention of California K–12 principals. Principals are the single
most important factor in influencing a school’s culture, second only to teachers as a factor in
overall student achievement. This makes it imperative to analyze, identify, and deconstruct the
current practices for recruitment, preparation, and retention of principals in the pursuit of under-
standing and clarifying the complexities of the skills, support structures, relationships, and cir-
cumstances that must be present for principals to meet the demands of the job. The results of this
study should serve to inform school boards, superintendents, university administrator preparation
programs, and various other stakeholders on possible recruitment, preparation, and retention
practices to bring in qualified candidates.
Research Questions
The following questions guided the study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
Significance of the Study
The study should bring knowledge to multiple stakeholders, including aspiring and
current principals, immediate supervisors of principals, hiring committees of principals, and
superintendents. Aspiring principals will learn about the history of the position and ways in
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 12
which they could be preparing for the challenges of the position. Incumbent principals can assess
their own experience and possibly learn about access and resources that would allow them to be
more successful in the position. Direct evaluators of principals will learn about the demands of
the position and the most current trends and challenges of the position. Human resources
employees will benefit from sections of the study that address best practices in the system of
recruitment for the principalship. Superintendents will become better versed in the current
challenges that incumbents of the position perceive. The findings of this study can be used to
guide policy makers and schools of educational leadership as they reconfigure and revamp the
ways in which principals are prepared for the challenges and many needs of the position.
Assumptions
The results of the study were based on the assumption that participants had a sincere
interest in participating in the study to advance their knowledge of the field. It was also assumed
that participants would answer survey and interview questions honestly and to the best of their
ability.
Limitations
Limitations in this study are acknowledged. The first limitation was that the study relied
on qualitative interview data from superintendents, immediate supervisors of principals, human
resources administrators, and K–12 public school principals. The researcher assumed that par-
ticipants addressed the questions with honest consideration and opinion and that they were
invested in giving a rich interview. The second limitation was that surveys responses were self-
reported and participants were trusted to give their genuine opinions. The third limitation was the
possibility of researcher bias in the interpretation and analysis of the data.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 13
Delimitations
A delimitation of the study was that only secondary high school principals were inter-
viewed. Given the time constraint, interviewing all four principals from the same secondary high
school level would allow for a greater degree of generalizability with this particular subgroup of
southern California public school principals.
Definition of Terms
For the purpose of this study, the following terms are defined based on the literature:
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.
Beginning or novice principal: A principal who has been in the principalship for less than
4 years.
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
specific skills.
Colleagues: Peers who work in the same profession and are at the same level in their job.
Direct supervisor: A district office administrator who oversees the evaluation and men-
toring of a site principal.
Human resource personnel: People who work in the human resources department of a
school district and oversee hiring practices.
Job Description Index: A job satisfaction questionnaire developed by Bowling Green
State University (Balzer et al., 1997). The Job Description Index has five facets: Work on
Present Job, Pay, Opportunities for Promotion, Supervision, and People at Work.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 14
Job in General: A scale that provides a rating for overall satisfaction with a job. It is used
in conjunction with the Job Description Index (Balzer et al., 1997).
Job satisfaction: A general feeling or attitude towards the job (Brayfield, Wells, &
Strate, 1957).
Mentee: The “learner” in the mentoring relationship (Kerka, 1998).
Mentor: The person who holds experience and knowledge and works with others to
develop their skills (Cohen, 1995).
Mentoring: A relationship focused on developing an individual professionally and per-
sonally.
Mentoring: A relationship in which an experienced person provides guidance and
support to a less experienced person (Haney, 1997).
Opportunities for promotion: A subcategory of the Job Description Index that refers to
advancement possibilities within the organization.
Pay: A subcategory of the Job Description Index that describes the monetary compensa-
tion for a job.
People at Work: A subcategory of the Job Description Index that refers to the coworkers
of the employee. This may include subordinates as well as peers.
Preparation program: A university, professional organization, or embedded training that
supports a principal candidate in obtaining necessary skills for the principalship.
Principal recruitment: The process or strategies used by an aspiring principal to obtain
the first principalship.
Principal retention: The process or strategies used by a principal or district personnel to
support retention.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 15
Principal: Person whose main responsibility is to serve as the educational and instruc-
tional leader of the school (Brayfield et al., 1957; Waters, Marzano, & McNulty,
2003).
Principal: The head or leader of a school.
Principalship: The position of presiding rank, especially the head of an elementary
school, middle school, or high school.
Protégé: A person who is being mentored.
Purposive sampling: Selecting participants based on specific characteristics.
School district: A local education agency that operates schools in a local geographic
location.
Superintendent: The administrator or manager in charge of multiple schools within a
school district.
Supervision: A subcategory of the Job Description Index that refers to the boss or
manager of the employees.
Tapping: The informal process of current administrators identifying and encouraging
teachers with leadership skills to pursue administrative positions.
Work on Present Job: A subcategory of the Job Description Index referring to the
requirements and conditions of the job.
Organization of the Dissertation
This dissertation is divided into five chapters. The purpose of Chapter 1 was to give
background on the problem of practice and to provide relevant background information, as well
as to frame the purpose and research questions. Chapter 2 presents an extensive literature review
on factors related to recruitment, preparation, and retention of principals and closes with a
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 16
synthesis of leadership theories that acted as conceptual and theoretical frameworks for the
study. Chapter 3 describes the methodology, process, and protocols for data collection and analy-
sis. Chapter 4 will report the study’s findings and explain how they address the research ques-
tions. The dissertation concludes with Chapter 5, where conclusions, implications, and
recommendations for future research are discussed.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 17
CHAPTER 2: REVIEW OF THE LITERATURE
This chapter provides a review of current literature to give context to understanding the
recruitment, preparation, and retention of public K–12 principals whose job role has shifted in
the past few decades. The chapter first delves into the history of the principalship, its origins, and
how responsibilities of the position changed over time. The contemporary principal needs a
unique set of skills to thrive in the position. The chapter reviews literature on current practices in
the recruitment, preparation, and retention of individuals in the position of public K–12 principal.
The theoretical and conceptual framework utilized by the study concludes the chapter.
History of the Position
The principal position, as it is known today, was nonexistent in the initial development of
the school system in the mid 1600s. As the population of the country grew, so did the need for
efficient schools. In the onset of school leadership, schoolmasters were charged with teaching all
students reading and writing in one-room schoolhouses, while special committees of town coun-
cils helped to manage the schools. Schoolmasters are the first iteration of the contemporary prin-
cipal (Brubaker & Simon, 1986).
During the next 100 years, the role began to shift and the concept of a “head teacher” was
introduced in schools where there were more than one teacher (Brubaker & Simon, 1986). Other
names used for persons in this position were headmaster, rector, preceptor, provost, and princi-
pal. The head teacher’s main responsibility was still teaching (usually the highest grade), with
the added responsibilities of monitoring schoolwide procedures, implementing board policies,
and even performing clerical and janitorial tasks (Brown, 2005). Double-headed schools also
existed, where one master taught grammar, geography, and other subjects upstairs while the
second master taught writing downstairs, dividing the authority in one building (Pierce, 1935).
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 18
During this period, the school board set policies that the headmaster was charged with imple-
menting.
Beginning in 1747 and until the mid 1800s, these leaders were known as head teachers or
principal-teachers and they were appointed to the position by the board (Brubaker & Simon,
1986; Kavanaugh, 2005). It was during this time period that the head teacher kept a full-time
teaching schedule and added responsibilities, including giving attention to routine clerical duties
and supervision. The responsibilities grew exponentially and headmasters were charged with
managing the complexities of multigrade schools and the logistics involved with effectively
running a growing school site. Headmasters during this period acted as liaisons between teachers
and the school board. It is interesting to note that, at this time, headmasters did not receive any
sort of additional training to prepare them for the tasks of the position. The bulk of the headmas-
ter’s responsibility in this period was more managerial and less about day-to-day student instruc-
tion.
The onset of the early 20th century introduced the principal as a general manager and
liaison between the school and the board. It is here that the direct link to teaching was lost. The
principal’s largest task in this time period was comprised of administrative duties, including
clerical concerns, organization of the school, care of the school plant, and pupil services such as
discipline (Pierce, 1935). It was also during this time that Horace Mann, first Secretary of the
State Board of Education, began the Common School Movement, an effort to provide free edu-
cation to all students. The increase in population through immigration and other factors led to the
Common School Movement, a vehicle to ensure order in society with the purpose of shaping
good citizens to propel economic growth (Brown, 2005; Kavanaugh, 2005).
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 19
The 1920s saw the principal emerge as a values broker (Kavanaugh, 2005). The principal
did not receive any type of formal training for the job and was charged with teacher observation,
curriculum organization, and other responsibilities while maintaining an active and involved role
in the community. As the position progressed into the 1930s, it shifted in an effort to be more
methodical and scientific. Principals began to make use of research to make informed decisions.
During this period, schools operated like factories in the sense that students were thought of as
the raw material (Knott & Miller, 1987). Industrialization and emergence of corporations led to a
society that was more prone to pay attention to detail. By 1932, nearly half of the states had
adopted certification standards (Brown, 2005).
It was not until the 1940s that state certification was required for a person to assume the
position of principal. In this era, the principal was viewed as a democratic leader who prepared
youth in an effort to mold them into productive members of society through a cooperative cur-
riculum, instructional development, and shared decision making with teachers. Late in the 1950s,
the Soviet launch of Sputnik in 1957 provoked the public to demand an increase in science edu-
cation, an update in facilities, better recruitment of teachers, and development of materials in all
content areas (Brown, 2005). This meant that the principal had to act both on scientific manage-
ment and human relations.
The Civil Rights Movement of the 1960s and the civil unrest led principals to act as
bureaucratic executives to use scientific strategies to reach measurable outcomes. At this point,
principals became concerned with issues of accountability that might affect student competence
and performance. Kavanaugh (2005) equated the principal of this time period to a humanistic
facilitator wearing many hats, including managing federal monies and serving as negotiator in
matters of union demands. This time period separated the principal from instructional leadership.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 20
The 1980s shifted the principalship toward issues of teaching and learning, with princi-
pals being directly involved with teaching and learning in order to provide adequate learning
opportunities. The 1990s saw principals as leaders of teachers, who needed to develop strong ties
between school and community. A transformational leadership approach was called for; the
changing demographics of the country forced principals to be responsive to contemporary issues
of the time, such as an influx of English language learners, children living in poverty, and
increased mandatory testing. Given the popularity of the bottom-up approach, principals had to
have a paradigm shift in leadership style to one in which they were partners and not “bosses.”
This meant that principals lost some authority and positional power as more decision making was
shared with teachers.
Kavanaugh (2005) equated the 21st-century principal to a leader of learners in the age of
accountability, leading to the expectation of the “super principal” (Copland, 2001). Principals are
currently held accountable for most things that occur at their site. Therefore, they are expected to
be instructional leaders, curriculum experts, building managers, and human resources directors,
the prior are among the endless hats that principals must be able to wear, and wear well.
Diversity of Principals
There is a shortage of qualified principals, and an even greater shortage in representation
of principals of color, with women of color being the most underrepresented in the position.
Principals of Color
Although more than half of school age children are students of color, leadership at school
sites does not reflect those demographics. Principals are overwhelmingly White: in 1987-1988,
White males filled 87% of the position; this statistic dropped to 80% in 2011-2012, reflecting an
increase in the number of principals of color. However, the 7% increase in representation of
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 21
principals of color is not adequate when the student population is increasingly made up of
minority students. It is projected that, by the year 2027, representation of White students in
public schools will drop to 45% (J. Hill, Ottem, & DeRoche, 2016).
Recognizing that principal turnover is becoming a national concern, Snodgrass Rangel
(2018) reviewed the existing literature on principal turnover in order to identify potential causes
of the phenomenon. She shared statistics that reflected the disadvantage of principals of color.
For example, a Texas study found that Latino and Black principals were 50% as likely to retain
the position longer than 5 years, compared to their White counterparts, and their White counter-
parts were 60% more likely to become superintendent. At a national level, principals of color are
21% more likely to leave the position than their White counterparts. Gates et al. (2006) shared
that Latino principals were 29% more likely to change schools and twice as likely to leave the
position altogether than their White counterparts. Principals were 25% less likely to leave a
position when there was a racial match between the principal and the student population.
Why Does It Even Matter?
The disproportion between students of color and principals of color is concerning in
research on student achievement. Research shows that students of color tend to underperform on
various measures when compared to their White counterparts Fryer & Levitt, 2004. Could there
be a link between student achievement and the principal? Green (2017) explored the connection
between principals of color and student achievement. She made the argument that principals of
color would have a positive impact on the achievement by students of color. Her logic was that
hiring principals of color would have positive trickle-down effects. Among them was the likeli-
hood that a principal of color would attract more teachers of color, which has been positively
linked in the research to an increase in student achievement (Villegas & Irvine, 2010). It would
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 22
be of interest to learn which specific key characteristics principals of color offer that motivate
student achievement. If a principal of color were put in charge after a White principal and
student achievement rose, educational psychologists could credit this to the construct of a rise in
student self-efficacy due to a new positive role model with which the students relate and identify.
Having a principal of color lead a school with predominantly students of color automatically
allows students access to a positive role model—something few students of color can currently
access. Further research is needed to explore these hypotheses.
One must look back in history to frame the current disparity between White principals
and principals of color. Nearly all working-age professionals are familiar with the landmark case
Brown v. Board of Education, in which it was decided that separate but equal was not the Ameri-
can way and brought about desegregation of public schools. However, there were many more
impacts of the landmark case. One of those impacts was the pushing out of Black school leaders;
the landmark case called for desegregation of students but did not clearly address what would
happen to Black staff at Black schools (Ethridge, 1979). It is estimated that 90% of Black princi-
pals lost their positions, about 30% left the field altogether, and about 60% were demoted (prin-
cipals were not just demoted back into the classroom; there were reported cases of principals
being demoted to janitorial and clerical positions). In 1964, Florida had Black principals in all 67
schools districts; that number decreased to 40 by 1974 (Toppo, 2004). This showcases the degree
of severity endured by Black school leaders.
The happenings surrounding the landmark case have had lasting ripple effects in the
prominence of educational leaders of color. Losing the presence of principals of color meant that
Black students lost role models. The years 1975–1985 showed a decline (66%) in the number of
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 23
Black college students choosing to major in education (Toppo, 2004). This undoubtedly had, has,
and will continue to have an impact on the number of principals of color.
Women in the Principalship
Throughout its existence, the position has been filled predominantly by men, although
there were more female administrators in 2011-2012 than in 1987-1988 (J. Hill et al., 2016).
Brinia’s (2011) study addressed some of the barriers that stall female advancement and exclude
women from the main leadership pipeline. The study found that women’s familial responsibili-
ties deterred them from applying for the position. In order to understand the underrepresentation
of women in educational leader positions, Hoff et al. (2006) structured an open-ended survey
(response rate 58% of 300 participants) and identified four categories that act as gatekeepers for
women: (a) access, (b) acculturation, (c) advancement, and (d) advocacy. Kruse and Krumm
(2016) conducted a study with the Oklahoma Department of Education, surveying 91 female
first-year principals; factors most commonly cited for keeping women away from the position
were (a) delayed entry due to family obligations, (b) lack of confidence in formal education, (c)
lack of mobility, (d) lack of mentoring, and (e) lack of networking. In an international study,
Cubillo and Brown (2003) noted traditional patriarchal cultures as common barriers for women
and noted greater success for those who had access to positive influences on career advancement,
such as paternal support, peer support, self-esteem, and confidence.
Winter, Rinehart, Keedy, and Bjork (2004) found that, while there may have been equal
numbers of women and men in the qualified applicant pool, there were more men in the position.
Normore (2006) suggested that a more proactive selection process in place might identify future
leaders who fit their needs, are committed to the improvement of education, and identify the
need for districts to encourage more minority and women candidates to apply for leadership
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 24
roles. Consequently, researchers Myung, Loeb, and Horng (2011) found that male teachers were
more likely to be tapped into the position by their principals. They also found that aspiring prin-
cipals utilized sponsored mobility, with sponsors typically being White males.
Watson and Normore (2017) gave context to the historical perspective of women leaders
in education and the underrepresentation thereof, with the majority of female representation at
the elementary level, lower levels of representation at the secondary level, and even lower levels
in superintendent positions. The researchers recommended expansion in the research on the
experience of the woman to shed light on how to bring forth women who have the potential to be
efficacious and successful leaders but are often overlooked because of the patriarchal narrative
positions of power that intrinsically exist in society. Gates et al. (2006) found that women were
less likely to leave the position as they aged, signaling that a woman principal might be more
loyal to the school site (they found no effect for men). The best way for women to learn, they
argued, is through women mentors with whom they identify and utilizing networks of support.
Snodgrass Rangel (2018) pointed out that, at a national level, women were 21% less likely to
intend to switch schools and 19% less likely to intend to leave the principalship. Watson and
Normore (2017) cautioned that overlooking qualified women keeps the educational system from
reaching its full potential.
Recruitment
Recruitment is a two-way street: On one side is the employer who is seeking a quality
candidate and on the other side is the aspiring principal who is seeking the position. The most
effective recruitment process is ongoing, organized, and purposeful (DiPaola & Tschannen-
Moran, 2003; Doyle & Locke, 2014; Richardson, Watts, Hollis, & McLeod, 2016; Whitaker,
2001). Districts, particularly urban ones, should set aside funds to recruit, keeping in mind that
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 25
more money is spent in recruiting principals to underperforming schools in impoverished neigh-
borhoods.
Types of Recruitment
It is important for a district to seek a candidate to match the needs of the school. All prin-
cipals are not created equal.
Being sought. Often, incumbent school and district leaders “tap” a candidate who they
believe has the potential to become a principal. Using a survey and administrative data, Myung
et al. (2011) found that, while tapping does take place, it is usually based on shared gender or
ethnicity of the principal and the teacher being tapped. The implication is that, while tapping is
successful, active principals should be conscientious about whom they are tapping into the prin-
cipal position and ensure that they are doing it because the candidate is legitimately a good can-
didate, rather than due to personal traits.
Seeking. Individuals may opt to self-select as a candidate for the principalship, exploring
the hiring process on their own. As a part of self-recruitment, candidates should prepare them-
selves for the interview process, being mindful of the type of questions and skills the interviewer
is seeking. Self-recruits tend to seek resources and through their journey may acquire an informal
mentor who can guide them through the pipeline to become a principal.
Logistics of Recruitment
Effective recruitment follows a sequence to find the best candidate. Ash, Hodge, and
Connell (2013) offered 10 steps, divided into three phases, for effective recruitment and hiring.
Phase 1 includes prescreening: (a) Identify and train community committees that understand the
needs of schools, (b) identify both the required and preferred qualifications for the principals, (c)
post the vacancies, (d) networks, and (e) keep applications organized. Phase 2 is screening and
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 26
interviewing: (a) conduct initial screening and prioritize, interview, and reference checks; and (b)
use interview question that cover the standards. Phase 3 is follow-up: (a) visit the candidates in
action, (b) cabinets screen, (c) cabinets select.
In 2006, The New Teacher Project found that building a model principal hiring process is
imperative for success in finding the right candidate. They outlined a four-step process: (a)
recruitment, (b) initial eligibility screen, (c) district competency screening, and (d) school fit
panel interviews.
Schlueter and Walker (2008) pointed out that many districts overlook the most capable
candidates due to disorganized and haphazard manner of recruitment. They noted that most
districts base their decision on an assessment of candidate qualities in terms of being able to
effect first-order change when they are actually interested in finding candidates who can effect
second-order change. Essentially, they found that districts were not using the correct metrics in
the interview process to hire the most desirable candidate for the position.
However, the type of recruitment necessary to find a fit principal will vary depending on
various factors, such as whether the school is high or low performing, its location, and number of
students (Ash et al., 2013). Stark-Price, Munoz, Winter, and Petrosko (2006) used a role-playing
exercise as a means of determining which candidates might thrive better at low-performing
schools, finding that current principals would be the best equipped to thrive in that setting instead
of school counselors or teacher leaders entering the position for the first time.
Who Should Be Recruited?
Browne-Ferrigno and Muth (2008) found that targeting high-quality teachers who
maintain learning-supportive environments and model exemplary goals are likely to become
quality principals. The researchers advised those in power to tap successful teachers early on in
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 27
their teaching career and allow them to have administrative experiences prior to completion of
their administrative program.
Through a secondary analysis of data from a larger study on the principalship, Parylo and
Zepeda (2014) identified eight major characteristics (membership categories) of an effective
principal: (a) having a track record, (b) a good manager, (c) an instructional leader, (d) a data
leader, (e) a team player, (f) a community leader, (g) a perfect fit for the school, and (h) a pas-
sionate leader.
Normore (2006) offered solutions to making the job easier to recruit for: (a) providing
opportunities to classroom and school site teacher leaders to practice leadership skills so they
will be ready to move into positions, (b) identifying school leaders early in their career and
mentoring them into leadership positions, (c) identifying university undergraduates who show
commitment and interest and provide them with shadowing opportunities, and (d) recommending
districts to consider investing funds into strategies that would attract desirable candidates. He
also urged districts to make a targeted intention of recruiting minorities and women.
Factors of Recruitment
McLaughlin (2013) focused on small rural districts and how they fill vacancies at both
the principal and superintendent levels, concluding that there is a large need to fill vacancies in
smaller rural districts and that EdD programs could help to fill this gap. Pijanowski et al. (2009)
found that about 6.8 candidates apply to a position in a rural, compared to 14.6 candidates at a
larger district.
Winter and Morgenthal (2002) confirmed that experienced Assistant Principals would
rather take a job at a high-achieving school than at a low-achieving one. The implications of this
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 28
study were that districts should be prepared to spend more funds in recruiting for their lower-
achieving schools than for their higher-achieving campuses (Grier & Bonner, 2005).
Factors That Deter Qualified Candidates From Applying
It is undeniable that the position of the public school principal has changed over the
decades. The position demands more and more as accountability is at an all-time high and the
compensation does not reflect the duties (DiPaola & Tschannen-Moran, 2003; Whitaker, 2003;
Doyle & Locke, 2014). In fact, the literature shows that there is often a disparity between a can-
didates’ perception of what the job entails and the actual duties of the position (Richardson et al.,
2016; Thomson, Blackmore, Sachs, & Tregenza, 2003). Research has demonstrated that having a
partnership with schools of education is an advantage for school districts in finding the right
candidate (Whitaker, 2003; Whitaker & Vogel, 2005); districts without such a partnership are
lacking a valuable resource.
Among the reasons potential candidates decide not to become principals are the stress
related to the position, coupled with the long work days. Many researchers advise that redesign-
ing the position of the principal into one that has more attractive job categories may increase the
desire for the position (Stark-Price et al., 2006; Winter et al., 2004). Whitaker (2003) suggested
reexamining the role of principals, providing ongoing support and mentoring for principals,
providing increased salaries and incentives, developing partnerships with universities, and
encouraging and developing teachers and assistant principals.
The process of recruiting qualified candidates becomes a challenge when there are not
enough candidates seeking the opportunity; many districts believe that they have enough poten-
tial qualified applicants when in fact they do not (Winter et al., 2004). Those districts are not
preparing to face the realities of a principal shortage.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 29
Preparation of Principals
Aspiring principals are not created equal, and neither is their preparation for the position.
To become a principal in California, one must obtain a California Preliminary Administrative
Credential. However, there are various routes to obtain the preliminary credential. Of course, one
must also consider the informal ways in which aspiring principals prepare for the position
through their experiences in the classroom, as school-level coordinators, and as district-level
employees. In fact, Hess and Kelly (2007) reported that 96% of the principals whom they inter-
viewed shared that on-the-job experience and guidance were more helpful than the licensure
program.
California has adopted a two-tier credentialing system. To become a principal, one must
first earn an administrative services credential. The first tier earns a preliminary administrative
services credential, which the candidate clears in the second tier through an induction program
recognized by the California Commission on Teacher Credentialing (CCTC). There are five
requirements to meet before submitting an application to the CCTC for the preliminary adminis-
trative services credential. The first requirement is to hold a valid teaching credential and
complete one of the following: (a) a Commission-approved program of specialized and profes-
sional preparation in administrative services resulting in the formal recommendation of the
program sponsor, or (b) a 1-year Commission-approved administrative services intern program
consisting of supervised inservice training resulting in the formal recommendation by the Cali-
fornia college or university where the program was completed, or (c) achieve a passing score on
the California Preliminary Administrative Credential Examination (CPACE), administered by
Evaluation Systems, Pearson.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 30
The candidate must also satisfy the Basic Skills Requirement, complete 5 years of full-
time experience, and verify employment in an administrative position. After earning the prelimi-
nary credential, the candidate has 5 years to clear the credential. Before submitting an application
to the CCTC for a clear credential, an individual must possess a preliminary credential, verify a
minimum of 2 years of successful experience in a full-time administrative position, complete a
Commission-approved administrative services induction program, and obtain the program
sponsor’s recommendation for the credential (California Education Code §§ 44270, 44270.5).
There are currently 90 CCTC-approved programs that offer the administrative services creden-
tial. All 90 programs are offered by one of five types of institutions: (a) California state universi-
ties, (b) University of California (multiple sites), (c) private/independent universities, (d) Local
Education Agencies, or (e) Other.
Characteristics of Quality Preparation Programs
There are several preparation program options for the aspiring principal. Jackson and
Kelley (2002) found that preparation programs that possess a clear vision that drives program-
matic decisions and opportunities for development, a well-defined curricular focus of first-year
administrator knowledge, a collaborative relationship with the local districts, embedded field
experiences, prescreened applicants by district leaders, and a cohort-based model indicate an
innovative preparation program. Davis and Darling-Hammond (2012) compared five principal
preparedness programs and identified the following characteristics of overlap: (a) clear focus and
values about leadership and learning around which the program is coherently organize, (b)
standards-based curriculum emphasizing instructional leadership, (c) organizational development
and change management, (d) field-based internships with skilled supervision, (e) cohort-based
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 31
collaboration, (f) active instructional strategies that link theory to practice, (g) rigorous recruit-
ment of candidates, and (h) strong partnership with districts.
Pannel, Peltier-Glaze, Haynes, Davis, and Skelton (2015) compared standardized test
scores of principals who were trained in the traditional route versus those who took an alternative
program. They found that, although those who were trained in the traditional route scored higher
on the tests, the difference was not statistically significant.
Traditional Route: Through a University
One way to obtain administrative credentials is through university schools of education,
which usually offer cohort-based models. Often, applicants are nominated and/or endorsed by
their school district. For example, Los Angeles Unified School District has a partnership with
California State University, Dominguez Hills and even awards scholarships for teacher leaders to
obtain the administrative credential.
Another route is through universities outside of schools of education where the credential
program is housed in various departments, such as the Graduate School of Management Leader-
ship and Administration (University of Central Arkansas) or the School of Public Policy
(Rutgers University).
Contemporary Findings on University Programs
Taylor Backor and Gordon (2015) explored the established link between principal’s
instructional leadership and student achievement. The sought to determine how well university
preparation programs were preparing aspiring principals to be instructional leaders. After discus-
sions with university faculty, principals, and expert teacher leaders, they concluded that
preservice programs were not doing enough to prepare aspiring principals to lead instruction
effectively. Browne-Ferrigno (2011) documented professors’ perspectives of required program
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 32
redesign for the principalship. Hess and Kelly (2007) surveyed 56 principal preparation
programs and collected 31 sets of syllabi. They found that 2% of course weeks addressed
accountability in the context of school management or school improvement; 11% of course
weeks made reference to statistics, data, or empirical research in some context; and 12% of
course weeks focused on norms and values but within those weeks there was evidence of norma-
tive bias in the topic descriptions and assigned readings. The results of the research indicated that
preparation programs may be using outdated knowledge that no longer matches the demands of
the contemporary principalship.
Nontraditional Routes: Outside of a University
CPACE. The CPACE tests for standards-relevant knowledge necessary for competent
professional practice of an aspiring principal through both content and performance-level
questions. The CPACE replaced the School Leaders Licensure Assessment in 2011, with its
current version in place since 2015. The test is aligned to the California Professional Standards
for Educational Leaders. In order to pass the assessment, the candidate must pass two subtests:
Content Examination and Performance Assessment. In June 2011 to February 2014, the passing
rate of the CPACE was 40.3%, rising to 43% in 2015 to 2017.
Professional Association Program: Association of California School Administrators
(ACSA). ACSA, in partnership with the Sacramento Office of Education, offers a one-of-a-kind
program: the Leadership Institute Preliminary Administrative Credential Program. The
program’s inception was in 2017. The program was developed as a response of administrative
programs that are outdated and out of touch with the needs of the contemporary 21st-century
principal. It is a cohort-based model that offers both face-to-face instruction and online learning.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 33
The teaching staff is comprised of local and regional school administrators who bring a real-
world lens to the curriculum. The third cohort entered the program in 2019.
Informal Preparation
Professional association program networks. There is a large number of professional
association programs for principals to receive professional support. The National Association of
Elementary School Principals (NAESP) designs activities to help principals and learning com-
munities to achieve desired results for every child. The National Association of Secondary
School Principals (NASSP) provides members with professional research-based and peer-tested
resources, as well as practical tools and materials to develop visionary school leaders. The Cali-
fornia Association of Latino Superintendents and Administrators (CALSA) offers mentoring
opportunities, serves as a source of information for employment opportunities in school admin-
istration, and provides members opportunities for professional growth. Kearney (2005) described
how ACSA and WestEd have developed a community of practice aimed at finding ways to
improve principal guidance, support, and evaluation. Bloom, Castagna, and Warren (2003)
explored the need for the Coaching Leaders to Attain Student Success (CLASS) program
developed by ACSA to meet the growing consensus that preservice programs have not ade-
quately prepared candidates for the principalship and the importance of ongoing support to prin-
cipals already in the position.
Other informal preparation. Aspiring principals have reported that they were encour-
aged by informal networks such as friends and family to pursue the leadership position. Those
who felt efficacious enough to pursue the position often turned to informal preparation methods
to prepare for applying to the position. For example, aspiring school leaders have reported asking
their principals for extra leadership duties so that they could get a sense of what goes on behind
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 34
the scenes and out of the classroom. Others have reported reading about the principalship in
efforts to prepare themselves for the challenges ahead. Through conversations with friends or
family members who are already in the principalship, aspiring principals decide whether to
pursue the position.
Those who took the CPACE reported studying for the test through district-run prepara-
tion programs that helped them to understand the context and structure of the test. Others
reported joining aspiring principal networks where they could learn about best practices.
Macrosystems and Preparation
The literature highlights a disconnect between what traditional administrative licensure
programs offer and the needs of a principal (Clayton & Myran, 2013; Cray & Weiler, 2011; Hess
& Kelly, 2007; Lochmiller & Chesnut, 2017). Cray and Weiler (2011) identified the need for
preparation programs to emphasize the real-life demands of the principalship, the need for prin-
cipals to be better instructional leaders, and the need to possess the skills of personnel manage-
ment. Barnett (2004) and Lochmiller and Chesnut (2017) agreed that programs are not
incorporating enough field experience, leading to a disconnect between theory and practice
(Clayton & Myran, 2013).
Thomas and Kearney (2010) explored what will be needed to have effective principal
support in California. The paper highlighted that no single agency can prepare the principal for
the job and noted the importance of maintaining consistent high-quality professional develop-
ment throughout the principal’s career. State education leaders should be responsible for creating
differentiated professional development to fit the needs of every principal.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 35
Retention
Principal turnover is at an all-time high, with more than one half of middle school princi-
pals and nearly three quarters of high school principals leaving their initial school within 5 years
(Fuller, 2012). Research has documented that both most effective and least effective principals
are likely to leave high-poverty schools (Branch, Hanushek, & Rivkin, 2009). Methods of
retaining principals must be addressed and revamped as principal turnover has a significant
impact on student achievement. As demonstrated by Masewicz and Vogel (2014) in their case
study of four principals, all were faced with resistance from their staff but, when they had per-
sonal mastery over leadership behaviors and practices, they witnessed transformation of the
school’s instructional practices and climate.
Coaching and Mentoring
A system of supports in place for new principals has been shown to lead to an engaged
principal. Research has shown that a top-down policy implementation approach is not as success-
ful as using principles of transformational leadership (Hussin & Al Abri, 2015). This finding
implies that principals will find more success by being guided by a constant mentor rather than
being told by a superior what to do and how to do it. Coleman and Others (1996) found benefits
to the role of mentoring principals and identified potential factors that might hinder such a rela-
tionship: finding time, establishing a positive relationship in the early phase, and the mentor lis-
tening rather than just “fixing.”
Following a mentoring or coaching model has been shown to have positive outcomes
when certain factors are present. Schechter (2014) identified three main categories as determi-
nants of a productive mentor-mentee relationship: (a) personal characteristics, (b) professional
discourse, and (c) time and frequency of communication. Sciarappa and Mason (2014) studied
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 36
the effectiveness of a national principal mentoring program and found that participating princi-
pals considered their mentors to be well prepared, good listeners, and instrumental in strength-
ening their instructional leadership, signaling the importance for novice principals to have access
to guidance from someone with relevant experience.
For effective mentor-mentee relationships one of the most important factors is the
mentor. To be an effective mentor to a novice principal, the mentor must possess certain charac-
teristics. Lochmiller and Chesnut (2017) found that leadership coaches focused on improvement
of classroom instruction, adapted various responses to principal and school needs, used past
experience to develop leadership in the mentee, and provided opportunities for the mentee to
identify and reflect on the politics associated with school reform. It is evident that someone who
is serving as a mentor to a new administrator has to be well versed in the requirements of the job
and have had first-hand experience in managing similar responsibilities. Hinnman (2003) studied
transformational superintendent leaders serving as mentors for new principals and found a posi-
tive correlation between the amicable relationship and the principal’s success. Syed (2015)
paired veteran principals with two or more newer ones with the objective to serve as mentors; he
found a mutually beneficial relationship between mentor and mentee. The fact that veteran prin-
cipals were paired with aspiring principals led to creation of a pipeline of future educator leaders.
Farver and Holt (2015) conducted in-depth interviews and direct observations and
reviewed archival information that revealed significant perceptions of mentee principals. They
found that executive coaching can serve as targeted support for district leaders as it helps to
establish a vision and mission, builds trusting relationships, and facilitates goal attainment.
Coaching and mentoring can be especially beneficial when the novice principal is taking
charge of an underresourced, underperforming school, which is often the case in urban settings.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 37
Warren and Kelsen (2013) assessed the effects of leadership coaching on the knowledge, skills,
and disposition of urban public school administrators. They identified nine leadership responsi-
bilities that showed significant growth: (a) input, (b) affirmation, (c) relationship, (d) visibility,
(e) situational awareness, (f) communication, (g) optimizer ideals, (h) beliefs, and (i) culture.
That study highlighted the importance of on-the-job embedded training for acting principals.
What Leads to Principal Turnover?
Gates, Ringel, Santibanez, Chung, and Ross (2003) studied a sample of principals in rural
United States to understand some of the reasons for high principal turnover. The study showed
that there was no way to account for all of the variables that led to principal turnover but showed
some commonalities. For example, having an advanced degree made it more likely for the prin-
cipal to persist in the position. Younger and older principals were most likely to leave the posi-
tion, while principals of color were less likely to leave if they were at a school that mirrored their
race/ethnicity.
Snodgrass Rangel (2018) identified factors that appear in the literature to account for
principal turnover. She found the following factors: race, age, experience, principal education,
characteristics of position, school performance, school condition, school level and size, school
urbanicity, student characteristics, policy, principal salary, accountability policy, district
expenditures, challenges hiring and firing teachers, teachers, school type, district retirement
incentives, and professional development initiatives. All of these measures were seen in the
literature; however, findings were at times inconsistent or even conflicting, suggesting that
research in this area is weak and that there is a need to study factors that affect retention with
better instruments and protocols.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 38
Snodgrass Rangel (2018) pinpointed factors that recurred in the literature and revealed
consistent findings across studies. The most salient of these findings was that school perfor-
mance, accountability policy, and professional development were strong factors in principal
turnover. Consistently, the research showed that school performance had a high impact on prin-
cipal turnover.
Cullen and Mazzeo (2007) found that higher-performing schools tended to retain princi-
pals longer; a decrease in school performance of one standard deviation was associated with a
3.4% increase in turnover among Texas principals. Another interesting finding was the differ-
ence in retention rates of principals in Exemplary, Recognized, Acceptable, and Low-Performing
schools. Principals at Recognized schools were 1.6 times more likely to leave than their counter-
parts at Exemplary schools, principals at Acceptable schools were 4.2 times more likely to leave
than their counterparts at Recognized schools, and principals at Low-Performing schools were
16.3 times more likely to leave the position than their counterparts at Acceptable schools. This
trend shows that principals leave at a higher rate from underperforming schools and are more
likely to stay in the position at schools with high levels of school performance. Fuller, Young,
and Orr (2007) found that 20% of principals at higher performing schools were more likely to
stay in the position for at least 3 years. Farley-Ripple, Bruton, McDuffie, and Solano (2010)
found a relationship between mathematics scores and principal tenure: For every point increase
on the mathematics assessment, tenure increased by .02 years. Principals at schools with higher
mathematics performance were 10% more likely to leave the position for a district office job.
Loeb, Kalogrides, & Horng, 2010; Loeb, Kalogrides, & Béteille, 2013) found that principals who
transferred within the district transferred into better-performing schools, while principals of
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 39
schools in the bottom quarter of student achievement were twice as likely to leave the position
altogether.
Accountability policy can account for principal turnover (D. M. Hill & Barth, 2004). Li
(2015) found that, after No Child Left Behind (NCLB) was implemented, principals with options
to transfer did so out of the lower-performing schools. There as high turnover at schools who had
previously met adequate yearly progress (AYP) progress but were no longer meeting the
standard under the new NLCB guidelines. Through analysis of data sets, Mitani (2018) that
found that principals were 1.63 times as likely to leave a school that was facing sanctions for not
meeting NCLB accountability requirements. De Angelis and White (2011) found that principals
at schools that met AYP goals under NCLB were 25% less likely to leave their position,
compared to those whose schools did not meet the AYP goals, and 18% less likely to leave the
public school system. Jacob, Goddard, Kim, Miller, and Goddard (2015) reported a connection
between principals who participated in a leadership program and documented a decline in turn-
over rates for participants of the program.
Need for Restructuring the Principalship
The position of principal has evolved throughout the past couple of decades, leaving
remnants of the original position. The added job duties have made retention of principals an
issue. Papa (2007) suggested that “schools with higher proportions of at-risk students and less
qualified teachers are highly disadvantaged with respect to their ability to attract and retain
effective principals” (p. 87). Papa conclude that this effect diminishes as the salary for the prin-
cipal is increased, suggesting that policy officials may need to designate more money for
principals at underperforming schools as a type of incentive.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 40
Whitaker (2003) painted an international picture of the change in the role of the principal.
highlighting role changes in the local management of schools, rising tension between manage-
ment and leadership, increased accountability, altered relationships with parents and community,
and school choice. Districts were not able to find enough qualified candidates to fill open posi-
tions.
Impact of Retention on Student Achievement
High principal turnover goes hand in hand with high teacher turnover, directly influence
student achievement, and high principal turnover tends to be a mark of low-achieving high-
poverty schools (Béteille, Kalogrides, & Loeb, 2011; Fuller, 2012). Walsh and Dotter (2014)
found statistically significant gains for middle school students in both mathematics and reading
after their low-performing principal was replaced with a higher-performing principal. Without
the consistency of a leader at the school site, efforts to create a cohesive plan to execute the
mission and vision of the school can be lost in the constant transition of leadership, meaning that
no real systems or reforms are achieved at the school site (Béteille et al., 2011; Fuller, 2012;
Manna, 2015).
Frameworks on Leadership
There is no prototypical style of leadership for a principal to emulate; an individual prin-
cipal can forge success or failure from a wide array of leadership frameworks.
Reframing Organizations
Bolman and Deal (2017) argued that all leadership interactions can be categorized into
four fundamental frames. The frames can work in tandem under a successful leader who is able
to utilize them to leverage direction of a successful organization. Each frame comes with its own
tools and its own strengths and limitations. One could say there is no “better” frame; they are
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 41
simply different but all are necessary. It is common to prefer one or two of the frames over the
others; however, all four frames have their respective value.
The structural frame emphasizes rules, roles, goals, and policies as ways to obtain a
means to an end. The structural frame utilizes formal relationships (hierarchies) to ensure that
logistics are executed systematically as intended. Specialization is important in this frame as it is
seen to increase efficiency and excellence is the mark of organizational ethics.
The human resources frame emphasizes that humans value family-like relationships. This
frame recognizes employees as unique human beings who have needs, feelings, skills, and limi-
tations. Thus, it is an organization’s responsibility to ensure that employees are prepared to fulfill
their job duties so they may feel good about executing them. The challenge can become how to
keep all happy while they are performing their duties.
The political frame is often compared to a “jungle” in which different interests are com-
peting for power. There is a sense that resources are scarce and that one must align with the
greatest power to get what is needed. Conflict and competition are rampant in this frame. Indi-
viduals come with conflicting agendas and negotiate, collaborate, bargain, build coalitions, and
display other behaviors to obtain what is on their agenda. The power resides in who is able to get
what he or she wants.
The symbolic frame makes use of traditions and ceremonies within the organization to
continue the culture of the organization. Inspiration is seen as a quality of leadership and a leader
is able to use the symbolic frame to guide the direction of the organization and make members
feel that what they are working toward is significant and distinctive.
All frames are essential. Bolman and Deal (1991) argued that an effective leader does not
live in one frame but is capable of moving between frames, depending on what the situation calls
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 42
for. An effective leader must be skillful and flexible enough to know which frame would be best
to operate under given circumstances and do so comfortably and confidently. The present study
is designed to understand how principals leverage the four frames within their organizations.
School Leadership That Works
Marzano et al. (2005) conducted a meta-analysis of 69 studies published between 1978
and 2001 to quantify the overall impact of general leadership behavior on student achievement.
Their results indicated an average correlation of .25, indicating that principal leadership behav-
iors had a significant impact on student achievement. They identified 21 responsibilities of the
school leader that positively correlated to student achievement. Although the identified 21
responsibilities are not new concepts in the field, they reinforce and support previous findings on
school leadership. The 21 responsibilities of a school leader are (a) monitoring/evaluating; (b)
ideals/beliefs; (c) culture; (d) knowledge of curriculum, instruction, and assessment; (e)
involvement in curriculum, instruction, and assessment; (f) focus; (g) order; (h) affirmation; (i)
intellectual stimulation; (j) communication; (k) input; (l) relationships; (m) optimizer; (n) flexi-
bility; (o) resources; (p) contingent rewards; (q) situational awareness; (r) outreach; (s) visibility;
(t) discipline; and (u) change agent. Figure 1 and the 21 responsibilities identified with a short
description of what each responsibility might entail. No one responsibility is greater than another
and it is imperative that a school leader be equipped with an understanding of each and the
capacity to carry it out.
First- and second-order change were described by Marzano et al. (2005) as being corre-
lated with the 21 responsibilities of school leaders that lead to student achievement. First-order
change can be seen as incremental; there is an expectation that traditional solutions will
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 43

Figure 1. The 21 responsibilities of day-to-day management of a school. From School Leadership That
Works: From Research to Results, by R. J. Marzano, T. Waters, & McNulty, 2005, Alexandria, VA:
Association for Supervision and Curriculum Design.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 44
suffice. The authors maintained that all 21 responsibilities are necessary to effect first-order
change.
In contrast, second-order change requires out-of-the-box thinking and to tackle issues
through deep change, which necessitates a dramatic shift in direction and a strong leader to lead
the charge. Usually, the prospect of second-order change is met negatively; people argue that it is
too much work or too hard and give the principal pushback. The principal must know how to
mitigate these concerns and articulate a vision that everyone can support. The principal is
charged with getting everyone on board, making people identify the positives that second-order
change will bring about for them and for students. However, to effect these changes, the princi-
pal must strategically and purposefully use his or her skillset and knowledge. Marzano et al.
(2005) identified 7 of the 21 responsibilities as necessary for second-order change: (a)
knowledge of curriculum, instruction, and assessment; (b) optimizer; (c) intellectual stimulation;
(d) change agent; (e) monitoring/evaluating; (f) flexibility; and (g) ideals/beliefs.
The Principal: Three Keys to Maximizing Impact
The first key: Leading learning. In order to achieve success as a school leader a princi-
pal must be willing to lead the learning at the school site. The principal must be willing to model
learning and shape conditions at the school site for all to have the opportunity to learn. This
means that the principal is knowledgeable about the skills that teachers need to sharpen through
quality professional development. Through this process, the principal is open to learning along-
side teachers what works and what does not work. As principals lead the learning at the school
site, they must also assess whether it is the type of learning that will promote student achieve-
ment. Leading the learning does not necessarily mean that the team is directly learning from the
principal; it means that the principal facilitates rich opportunities for teacher learning.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 45
The second key: Being a district and system player. Successful principals are invested
in the school and leverage their district and community resources to bring about cohesiveness
toward the mission and vision of the school. Through their interactions with the outside world,
they forge professional relationships and systems that encourage an exchange of knowledge
among stakeholders to improve the system of education. As dynamic members of the district and
larger educational system, principal will acquire professional networks to guide and inform their
own initiatives.
The third key: Becoming an agent of change. An agent of change is talented in moti-
vating a group of people in difficult circumstances. At the school site, the principal is charged
with motivating certificated and classified staff, students, parents, and the community to strive
for academic excellence. In times of dissonance, the role of the agent of change is to get both
sides to see what they would gain by working together toward the optimal solution for student
success. It is imperative that principals as change agents be passionate, but passion is not enough.
Change agents must be passionate and possess the skills to carry out the task. Successful change
agents exhibit the following seven behaviors: (a) challenge the status quo, (b) build trust through
clear communication and expectations, (c) create a commonly owned plan for success, (d) focus
on team over self, (e) show a sense of urgency for sustainable results, (f) commit to continuous
improvement for self, and (g) build external networks and partnerships.
Conceptual Framework
The researcher utilized the framework in Figure 2 to frame the study. The framework
utilizes Bolman and Deal’s (2017) four frames, Fullan’s (2014) three keys to maximizing
impact, and the Marzano et al. (2005) 21 leadership responsibilities and second-order change to
depict capabilities, qualities, and skills necessary for the 21st-century principal.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 46

Figure 2. Conceptual framework for the study. Taken from Reframing Organizations: Artistry,
Choice, and Leadership (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, New York,
NY: Wiley; and School Leadership That Works: From Research to Results, by R. J. Marzano, T.
Waters, and B. A. McNulty, 2005, Alexandria, VA: ASCD.

The 21st-century principal must be able to manage the organizational aspects of the
school and navigate confidently and gracefully within Bolman and Deal’s four frames. He or she
must correctly analyze a situation in order to identify which of the frames to use. The 21st-
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 47
century principal must be equipped with tools to lead instructional initiatives through 21 leader-
ship responsibilities to effect second-order change. Concurrently, the 21st-century principal must
be knowledgeable about being a district and systems player and leverage resources to propel the
mission and vision of the school. This requires use of energy, position, and effort to be an agent
of change.
There is no doubt that the 21st-century principal is expected to be equipped with a
breadth of tools and knowledge. It is imperative to understand how to build capacity in those
who are choosing to take on the challenging position.
Chapter Summary
This chapter synthesized literature about the history, development, preparation, recruit-
ment, retention, and contemporary findings about the principalship. Aspiring and incumbent
principals must have an accurate understanding of the duties and responsibilities of the position.
Thus, having systems in place for recruitment, preparation, and retention of principals is essential
to purposefully selecting qualified candidates. The chapter concludes with the theoretical frame-
work for the study.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 48
CHAPTER 3: METHODOLOGY
Research Design and Methods
This study was designed to capture the perceptions of incumbent principals, immediate
supervisors of principals, human resources administrators, and superintendents regarding current
practices related to the preparation, recruitment, and retention of K–12 public school principals
in order to inform how they might revamp the process for preparing, recruiting, and retaining
principals in the position.
This study was completed in collaboration with a dissertation research team. The research
team shared frameworks, raw quantitative data, and raw interview data to reach individual
findings for each of the research questions. Implications, discussion, and conclusions about the
topic were unique to each researcher.
Research Questions
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
Qualitative Design (Informed With Quantitative Methods)
This study utilized a qualitative research design and was informed with quantitative data
gathered via online surveys. Online surveys were sent to pertinent individuals at chosen southern
California public school districts holding one of the positions (superintendent, immediate super-
visor of principals, human resources administrator, or principal) and they answered questions
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 49
about their perspectives and experiences with recruitment, preparation, and retention strategies of
public school principals. The interviews utilized the same appropriate semistructured interview
protocols and were recorded and transcribed to facilitate access to the raw data by the research
team.
Surveys provided the opportunity to reach a wide number of participants and to give
voice to the participants as collective representation of their group. The data generated via
surveys were used to support the themes identified from the face-to-face interviews. Survey
results helped to triangulate the findings provided by the qualitative data.
Qualitative methods were used in this study to explore the understandings of superinten-
dents, immediate supervisors to principals, human resources administrators, and principals on the
preparation, recruitment, and retention of principals. A qualitative approach allowed the
researcher to understand each participant’s experiences in the context of the situations (Maxwell,
2013). The results of this study were descriptive in nature and the analysis went from the specific
experiences of the participants to overarching recurring themes.
Semistructured interviews were appropriate for this study because they allowed the par-
ticipant and researcher to engage in a structured conversation to gain insight into the manner in
which the participants think, perceive, and/or observe the world around them. Semistructured
interviews allow the researcher to probe and be flexible with questioning (Bogdan & Biklen,
2017; Creswell, 2014; Merriam & Tisdell, 2009).
Sample and Population
Purposive sampling of California public school administrators was utilized for this study.
The targeted population of the study can be categorized as administrators in public education,
specifically, superintendents, immediate supervisors of principals, human resources
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 50
administrators, and principals in Los Angeles County, Orange County, Riverside County, and
San Diego County, California. The sample was comprised of persons holding one of the four
listed positions.
Data Collection
Surveys were emailed to eligible participants in 37 districts; they received an email intro-
ducing them to the study and inviting them to participate (Appendix A). Interviews were then
arranged by the researcher based on participant availability. The purpose was to interview at
least one person in each position (superintendent, immediate supervisor of principals, human
resources administrator, and principal) in each district. Appointments for semistructured inter-
views were allotted a minimum of 60 minutes, with most interviews lasting 25 to 45 minutes.
Informed consent was collected at this time (Appendix B). A total of 183 interviews were con-
ducted by the research team: 33 superintendents, 27 immediate supervisors of principals, 35
human resources administrators, and 89 principals. The researcher wrote memos after the
interviews to record initial observations.
Instrumentation
A survey was developed to understand the perceptions of superintendents, immediate
supervisors of principals, human resources administrators, and principals regarding recruitment,
preparation, and retention of public school K–12 principals in southern California. The surveys
were tailored to the four stakeholder groups—principals (Appendix C), human resources admin-
istrators (Appendix D), immediate supervisors of principals (Appendix E), and superintendents
(Appendix F)—as a means of collecting data to address the research questions (Maxwell, 2013).
An interview protocol was developed to understand the perceptions and experiences of
superintendents, immediate supervisors of principals, human resources administrators, and
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 51
principals regarding recruitment, preparation, and retention of public school K–12 principals in
southern California. Interview protocols were tailored for each of the four participating stake-
holder groups—principals (Appendix G), human resources administrators (Appendix H), imme-
diate supervisors of principals (Appendix I), and superintendents (Appendix J)—as a means of
collecting data to address the research questions.
Relation of Research Questions to Instrumentation
Surveys were developed with the research questions in mind, aligning survey questions
directly to research questions to ensure focus of the aims of the study. Interview guides were
designed to have participants answer questions about their observed behaviors and experiences.
Both study instruments were field tested. Field testing ensured that there were no dichotomous
interview questions, which can result in an interview feeling like a quiz or interrogation (Patton,
1987). Validity of the study was ensured through various means. Rich data were obtained via
face-to-face interviews to give insight into the experiences related to recruitment, preparation,
and retention of principals. The large sample size helped to triangulate the data. Collaborating on
the study with co-researchers produced more data available to the group, making it easier to
identify trends and patterns.
Data Analysis
Raw data from the completed surveys and interviews were analyzed. Raw survey data
were manipulated and presented through descriptive statistics using the Qualtrics™ software.
Raw interview data were transcribed and then coded for themes and patterns using Atlas.ti. Data
were analyzed for measures of central tendency, common trends, and competing perspectives
within the sample (Robinson-Kurpius & Stafford, 2006).
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 52
Validity, Credibility, and Trustworthiness
Validity, credibility, and trustworthiness are heavily dependent on the researcher. It is
imperative that researchers be aware of their own bias to ensure that researcher bias is not
affecting the validity of the analysis of the data (Miles, Huberman, & Saldaña, 2014). In order to
maintain credibility and trustworthiness, the research team revisited survey and interview data to
ensure that the analysis was true to the participant interviewed.
Triangulation was used as another method to maintain credibility and trustworthiness.
Triangulation refers to the use of multiple data sources in qualitative research to develop a com-
prehensive understanding of the phenomena being studied (Maxwell, 2013). Triangulation
ensures consistency of the analysis through the different methods of data collection: survey data,
interview data, and data from the literature review. These types of data allow the researcher to
make certain that the trends and themes found are not random.
Ethical Considerations
Ethical considerations were considered by researchers as they designed the methodology.
The validity and reliability of any study are dependent on the researcher (Merriam & Tisdell,
2016).
To ensure that all ethical considerations are made appropriately, the dissertation team
received approval from the university’s Institutional Review Board (IRB; study ID UP-19-
00293). In preparation for the IRB application, all 12 members of the dissertation team com-
pleted a Human Subjects Course to make certain that ethical considerations were taken (Glesne,
2011). The researchers provided participants the opportunity to review and sign an informed
consent; they explained to participants that their participation was completely voluntary and that
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 53
they have the right to stop at any time (Glesne, 2011). Informed consent was obtained before
beginning the interview (Merriam & Tisdell, 2016).
The researchers kept participants’ names anonymous and their interviews confidential.
All computerized data was maintained securely through password-protected software.
Chapter Summary
The purpose of this chapter was to describe the design and methodology of the study. The
chapter outlined the choice of the qualitative design of the study and described the sample and
population. Data collection, instrumentation, and data analysis were discussed. The chapter con-
cluded with an explanation of how validity, credibility, trustworthiness, and ethical considera-
tions were addressed.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 54
CHAPTER 4: FINDINGS
The purpose of this study was to understand the 21st-century principalship and contem-
porary preparation, recruitment, and retention practices. This chapter reports results of analysis
of the collected data and presents salient findings to address the research questions. Triangulation
was accomplished by gathering survey data and qualitative interview data, which increased the
reliability of the study (Merriam & Tisdell, 2016). The researcher presents findings gathered
through analysis of the quantitative and qualitative data. Findings are related to current literature
and the conceptual framework; direct quotes from the open-ended interviews give insight into
the perspectives of superintendents, immediate supervisors of principals, human resources
assistant superintendents, and principals regarding perceived preparation, recruitment, and reten-
tion strategies of the contemporary principal of the public K–12 school.
This study was designed to address three research questions:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
This study was conducted in southern California and used a qualitative methods approach
informed by quantitative data from a digital survey. Qualitative interviews were conducted with
superintendents, immediate supervisors of principals, human resources assistant superintendents,
and principals. Quantitative data were gathered from the same participants. Quantitative survey
data served to support and frame the qualitative interviews. Through a constant-comparative
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 55
method, qualitative data were coded utilizing parent codes to identify emergent findings (Mer-
riam & Tisdell, 2016). This chapter addresses each of the three research questions by presenting
relevant data related to the framework. The mode was used as a point of reference to identify
trends within participant groups and, when appropriate, across groups. Quantitative items were
connected to qualitative data through the use of the Question Alignment Matrix (Appendix K).
Pertinent findings relating to each of the research questions are discussed as they align to the
literature and conceptual framework presented in Chapter 2.
Purpose of the Study
The purpose of this study was to explore and understand the preparation, recruitment, and
retention of 21st-century K–12 public school principals in southern California. The study serves
to inform aspiring principals of the strategies used by incumbent principals to obtain their posi-
tion. Aspiring principals can learn about the expectations of superintendents, human resources
administrators, and immediate supervisors of principals as they engage in the principal hiring
process. Administrator credentialing programs can use the findings of this study to inform their
curriculum and perhaps shift the curriculum to support students through to the principalship.
School districts may use this study in the same way, to inform their internal administrator pipe-
line programs on best practices and content to be covered during the program. Current principals
can inform themselves on potential strategies to ensure their retention in the position.
Study Participants
Qualitative Interview Participants
The researcher conducted in-person semistructured interviews to gather qualitative data.
Participants from three public school districts were targeted to participate in the study. The
superintendent, immediate supervisors of principals, and human resources administrator were
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 56
interviewed, along with at least one principal from each district. In some districts, responsibilities
of an individual may span more than one of the targeted groups. For example, a superintendent
may also be the immediate supervisor of principals.
The researcher gathered qualitative data from 14 participants. Three southern California
superintendents of K–12 districts, two immediate supervisors to principals, two human resources
assistant superintendents, and seven principals were interviewed directly by the researcher. As a
team, the researchers conducted 183 interviews in 36 districts, including 33 superintendents, 27
immediate supervisors to principals, 35 human resources assistant superintendents, and 89 prin-
cipals.
District A is a suburban district that serves slightly fewer than 6,000 students at 10 school
sites. The district employs almost 300 teachers. The most recent available data (2017-2018) indi-
cated that 12.9% of the students are identified English learners and 59.5% are eligible for free or
reduced-price meals.
District B is an urban school district that serves almost 15,000 students at 20 school sites.
The most recent available data (2017-2018) indicated that 6.6% of enrolled students are English
learners and 47.9% are eligible for free or reduced-price meals.
District C is an urban district that serves almost 10,000 students in 13 schools. English
learners make up 4.6% of the student population and 17.0% of students are eligible for free or
reduced-price meals.
Quantitative Survey Participants
The research team, comprised of 12 members, developed the surveys and administered
them to superintendents, immediate supervisors of principals, human resources assistant super-
intendents, and principals. The surveys were first pilot tested and fine tuned based on feedback.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 57
Surveys were distributed to participants via email, along with the Research Participant’s
Invitation letter (Appendix A) before the in-person interviews. Qualtrics™, a management
software, was utilized to create the instruments and to analyze survey results.
A total of 21 superintendents from the 37 to whom their survey were sent completed the
surveys, for a response rate of 56%; 22 of 41 human resources administrators completed their
survey, for a response rate of 53%; 28 of 68 immediate supervisors of principals completed their
survey, for a response rate of 41%; and 115 of 708 principals completed their survey, for a
response rate of 16%.
Findings for Research Question 1: Preparation
Research Question 1 asked, “How have training programs and professional experiences
prepared principals to manage the complexities and challenges of the principalship?” Interviews
with superintendents, immediate supervisors of principals, assistant superintendents of human
resources, and principals led to identification of three themes: (a) out-of-the-classroom experi-
ence before coming into the position having first-year administrator knowledge, (b) out-of-the-
classroom experience with a foundation on how to build relationships and work with a diverse
set of stakeholders in difficult situations, and (c) demonstrating lead learner characteristics to
build a track record of an aspiring principal seeking learning opportunities to grow profession-
ally.
Out-of-the-Classroom Experience: Having First-Year Administrator Knowledge
Superintendents, immediate supervisors of principals, and human resources administra-
tors agreed that an ideal candidate for the principalship would come equipped with knowledge
about the daily demands of the principalship. As such, the ideal candidate is well versed in the
day-to-day operations of the school site. A large majority of participants agreed that the position
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 58
of assistant principal is a good avenue for candidates to gain desirable experiences and
knowledge of what the principalship entails. They considered this to be a more powerful under-
standing than knowledge gained through a traditional university credentialing program.
Bolman and Deal (2017) categorized this type of desired organizational leadership
knowledge under the structural frame. Structural knowledge is the most obvious type of
knowledge needed to keep an organization going. Aspiring principals who have structural
knowledge are versed in how to manage and create systems and procedures to achieve desired
outcomes. It is important to remember that the roots of the principalship shifted in the 20th
century to a managerial role in which the major task comprised administrative duties, including
clerical concerns, organization of the school, care of the school plant, and pupil services such as
discipline (Pierce, 1935). The expectation is that the 21st-century principal is an instructional
leader while simultaneously running the day-to-day school operations.
Entering the principalship without base knowledge of the intricacies of the position
leaves the principal, as well as the district, in danger of inadvertently making a move that could
lead to negative consequences. This theme was exemplified in the response by a human
resources administrator who was asked about experiences that candidates often lack:
[It is important to take] new administrators and take them through the labor laws and
contracts, collective bargaining agreements. . . . Many times, grievances are filed with the
district and they’re filed because an administrator wasn’t taken through just a step by step
process of if you do this, this is going to have an impact, a negative impact. (interview,
C.HR.A, August 21, 2019)
This response shows why it is important for new principals to come prepared with struc-
tural knowledge of the job. The current world is litigious, and having an unprepared principal
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 59
can lead to lawsuits and negative perceptions of the district. However, a large number of partici-
pants in this study commented that principals simply do not come prepared with this type of
knowledge and often learn it on the job while the district is prepared to step in and help if
needed. It appears that the credentialing programs that aspiring principals attend are not prepar-
ing principals in this area. In fact, survey results indicated that the superintendents unanimously
agreed with the statement that “prior work experience was more important than university
training experience in preparing principals for their current positions,” while 90.0% of human
resource administrators, 82.0% of immediate supervisors of principals, and 77.4% of principals
agreed with the statement.
It is important for an aspiring principal to be prepared for the position and to be proactive
about gaining the appropriate knowledge. U.Sup.A shared insight about his strategic decisions as
he prepared himself to be ready for the position:
What we didn’t have when I got here that I really wanted to start was that pathway to the
principalship for elementary. So really focused on the categorical resource teacher posi-
tion that if you were going to be a categorical resource teacher, that it understood that that
was the first step toward administration. The reason that a categorical position prepares
you for the principalship is because you deal with a lot of behind the scenes paperwork
and activities that are necessary to be versed in when you are responsible for running a
school. As a principal you want to know the ins and outs of compliance and mandated
bulletins, experience you can gain as a school coordinator. (interview, June 27, 2019)
U.Sup.A knew that the knowledge to be gained by being a categorical resource teacher would aid
in the pursuit of the principalship:
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 60
Typically generally speaking, it means having a successful track record in being
respected and regarded for doing well in their previous positions. And then typically it
means, and these are all generalizations, having at least 3 years as an assistant principal
underneath their belt. Minimum of 3 years. And again, have I ever promoted people with
1 year? Absolutely. Have I ever promoted people with 2 years? Absolutely. But generally
speaking, having at least 3 years as a co-administrator under their belt because that’s
given them at least enough time to understand and observe how to do the job working
with their principal. (interview, June 27, 2019)
U.Sup.A again identified the importance for an entering principal to have an accurate idea of the
demands of the job. The principalship is already a position where one must worry about time
commitments, overemphasis on high-stakes testing, school report cards, increases in school vio-
lence, lack of respect from the public, and overall job pressures and stress (DiPaola &
Tschannen-Moran, 2003; Thomson et al., 2003; Whitaker, 2001). It is important for a new prin-
cipal to have foundational understanding of the myriad skills that will be needed daily.
All participants who had previously held an assistant principal position agreed that it was
the most important experience that prepared them for the principalship. Not all principals who
participated in the study had been an assistant principal. A principal without assistant principal
experience shared some of her challenges in the first year of her principalship:
Part some of the technical pieces as far as being a principal, you know, working on
budget and LCAP [Local Control and Administration Plan] and all those things that are
learnable, you know, you can learn about them. . . . It’s a lot. But without that, without
that experience, it really made me kind of feel overwhelmed my first year. (interview,
C.Prin.B1, August 13, 2019)
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 61
C.Prin.B1’s experience indicates that not having prior administrative experience was a
stressor during her first year as principal. The demands of the principalship are plentiful and it is
imperative that those who enter the position be versed on the details of the job. While these can
be learned on the job, it is desirable for the aspiring principal to have an accurate vision of the
many demands of the position in order to face the first year head on and to be prepared for the
challenges that will lie ahead. An assistant principal experience under a principal who is invested
in being a mentor and truly teaching the assistant principal the complexities of the job prepares
the assistant principal much more than being an assistant principal under a principal who simply
assigns tasks to be completed without seeking input and cultivating a principal-assistant principal
team relationship. N.Sup.C shared that sentiment: “If you don’t have a principal who knows how
to mentor and co-facilitate and empower an assistant principal, then the assistant principal is
trained to simply be a manager and not an instructional leader” (interview, N.Sup.C, August 14,
2019).
Out-of-the-Classroom Experience: Human Resources and Relationships
The second theme was that traditional university programs are lacking in preparing
aspiring principals to deal with the complexities of working with a diverse group of stakeholders
in difficult situations. Bolman and Deal’s (2017) human resource frame highlights that it is
imperative for principals to know how to treat those with whom they work, to know how to
deescalate situations involving students, employees, and parents, as well as other stakeholders.
Failure to grasp the relationships at the school site will make it impossible for a principal to
effect second-order change or to become a change agent in the school site. To be successful and
carry the mission forward, a principal needs a supportive team. Participants in this study agreed
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 62
that traditional university preparation programs do not focus on the art of relationships and how
to manage these relationships as a principal.
An immediate supervisor to principals said that
understanding those principles from a principal perspective I think is really good. You
know, and being able to have those conversations with others helps you to contextualize
it to the place that, where you work, you know, and understanding the people that you’re
reading. The bottom line is, is that the principal’s a leader. They have to have people
following them. So those relationships between those that follow and him or her who
leads that needs to be a solid relationship or you can be leading the most wonderful stuff
with nobody following and your organization doesn’t move. (interview, C.IS.A, August
9, 2019)
C.IS.A made it clear that, without sound relationships, a principal’s work will be difficult to
accomplish. Principals must know how to work with staff and get them to join in taking owner-
ship of the vision. Often, this means that the principal is versed in conflict resolution and
collaborative leadership strategies. The principal is intentional in communicating with staff; the
principal understands that human beings are complex and therefore must be flexible in approach.
Several interview participants shared that they did not feel that their administrative cre-
dential program had prepared them adequately to deal with the relationships that the job requires
and had relied on their personal experiences, bridging these to inform their professional prac-
tices. This finding is consistent with results reported by Cray and Weiler (2011), who identified
the need for preparation programs to emphasize the real-life demands of the principalship, the
need for principals to be better instructional leaders, and the need for principals to possess the
skills of personnel management. At least half of the principal participants in this study stated that
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 63
they had learned how to manage relationships on the job or brought experiences from their per-
sonal life in their first years in the position. As reported by Barnett (2004) and Lochmiller and
Chesnut (2017), programs are not incorporating enough field experience, leading to a disconnect
between theory and practice. C.Prin.C1 shared how being in the customer service industry for 16
years had prepared her with essential people skills:
[I] valued the background that I had and customer service. And I’m going to be honest,
like people say like I’m the parent whisperer. After doing it for 16 years is probably not
much you haven’t seen, you know, as I’m really good at like diffusing situations and
really working with parents. So I think that piece has been valuable. (interview, August
14, 2019)
The demands of the principalship (Levin & Bradley, 2019) are many, and principals are
accountable for high-stakes policies with inadequate preparation and professional development,
as well as a lack of decision-making authority. These pressures mean that principals often deal
with unforeseen situations. A successful principal must be able to think on his or her feet and
know how to manage relationships in difficult situations. This principal learned to do this from
previous job experience, not from a university program, a finding that was evident in several of
the principal interviews in this study.
C.Prin.A1 noted the importance of having skills related to managing unique individuals
in the pursuit of a shared mission and vision:
I think one of the biggest challenges as an administrator is, is working with human
beings. And that goes, that’s all stakeholders. So how to handle challenging situations
with students, with employees and with parents. Nobody ever talked about that anywhere.
And I think that’s the thing that administrators are faced with. Like the problem solving
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 64
aspect of dealing with the human interaction dominates the job. And while instructional
leadership is so important, if you don’t have those human relations in place and know
how to manage them it can, it can burn out an administrator out. And so I think the, I
would say my only human interaction, I don’t even call it training, but my, my tools in
my toolbox were only because of my own experiences. I think there, there could have
been something that teaches you how to navigate through really tough situations with
people in general. (interview, August 29, 2019)
The principal highlighted the inadequacy of her traditional administrative credentialing program
in preparing her for managing complex situations. She noted that having the skill to manage
complex relationships is imperative and nonnegotiable to be successful in the principalship. Not
being versed in this skill may be the factor that makes one an unsuccessful principal without
anyone willing to follow one’s lead. In agreement, 77% of principals agreed with the statement,
“My prior working experience was more important than my university training experience in
preparing me for my position as principal.”
Evidence of these phenomena is also salient in the interview data of the larger research
team, with human resources being the most coded theme in the codebook, encompassing nearly
half of the codes of the dissertation team as a whole. Survey data revealed that 98.3% of the
principals agreed with the statement, “Having experience as a teacher leader was a crucial ele-
ment in preparing me for my position as a principal.” Interview data indicated that it was through
teacher leader positions that candidates shifted from working with students to working with
adults.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 65
Demonstrating Lead Learner Characteristics
Superintendents, immediate supervisors of principals, and assistant superintendents of
human resources described a prepared aspiring principal as someone with a track record of con-
sistently seeking learning opportunities in preparation for the position. Fullan (2014) described
this as a lead learner, someone who actively engages in activities to broaden knowledge, includ-
ing experiences, paid or unpaid, outside of the job description. A lead learner shows initiative
and demonstrates willingness to work to be well versed in the complexities of principalship.
Someone who is prepared to be a principal seeks learning opportunities in a diverse set of
domains:
I think the more leadership roles that they take on, the better it is because you have to
have that piece in you that says, “You know, I want to lead that committee.” So when the
principals, you know, in front of you as a teacher in a staff saying so you know, the
district’s looking for someone to be in charge of the tech committee and you have that
little voice inside you says, “All right, I think I could do that.” Or people are telling you
you can do that. You know, you have to gravitate towards that and listen to mentors and
listen to your own voice and, you know, kind of follow that. (interview, C.IS.A, August
9, 2019)
C.IS.A spoke to the innate desire that must be present in a principal aspirant to keep learning, an
indicator of principal success. Principals gain this type of experience on the job, not in an
administrative credentialing program. This highlights a disconnect between what traditional
administrative licensure programs offer and the needs of a principal (Clayton & Myran, 2013;
Cray & Weiler, 2011; Hess & Kelly, 2007; Lochmiller & Chesnut, 2017).
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 66
Aspiring principals often showcase their lead learner quality as they begin to explore the
idea of pursuing the principalship, such as seeking opportunities to shadow administrators at the
site to gauge whether they sense a fit for an administrative position:
I want to find out if it was something for me to be very honest. So at the time we had two
APs [assistant principals], and I asked one of them if I could shadow him and just kind of
understand what his day entailed and if it was something that I would be interested in
doing. And I actually ended up doing it off and on for like a couple of weeks and just,
and sitting there and sometimes with discipline and just telling him how he managed that.
And again, cause I know that’s a big piece of like maybe assistant principal, like you
have oh, discipline. And so just seeing if that would be something that I’d be good at
about one to do and I think I have to see and I’m like, I like it. I really did. (interview,
C.Prin.A1, August 29, 2019)
The most prepared aspiring principals seek to understand the intricacies of role of the
principal and explore experiences such as the one described above. Lead learners have a desire to
learn because they are hungry to grow professionally. They aim to share their learning for the
benefit of the whole. C.Prin.A shared more about what is required to attain a principal role:
I would say it’s important to be well versed. I think if you are a person with this as an
aspiration, you’ve got to put yourself out there to learn different things. You have to be,
you have to be willing to step out of your current role and do something that you might
not use for 8 years and you may not use for 10 years, but it’s gonna give you something
to pull back from. Because you know, if I think back to being a teacher, there almost is
nothing in the teaching experience outside of classroom management that prepared me to
be an assistant principal. So you really have to, the, the qualities and characteristics, I
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 67
mean, I could list a lot here. Being willing to do things that aren’t attached to your current
job, being a learner, being a people person ,being positive, staying calm in difficult situa-
tions. Those are all really important characteristics that you have to be able to hold at the
forefront to be able to come to that job every day and be okay because it’s such a intense
job. It’s the best way for me to describe it. (interview, August 29, 2019)
In C.Prin.A’s experience, she embodied being a lead learner by taking on job duties that were not
technically in her job description; however, she valued the experience that those duties brought.
She practiced delayed gratification; although she might be learning a skill that might not be
useful in her time in the classroom, she knew that she would be glad to know the skill later. She
expressed forethought in choosing to be a lead learner.
A necessary practice of a lead learner is to remain abreast of the current literature to
ensure implementing research-based best practices. An immediate supervisor of principals said,
“Honestly, I think a lot of it has to do with staying current and relevant in their readings and
what’s happening. How when we do our book studies, being part of the conversations and dia-
logue, our management retreats” (interview, N.IS.C, August 14, 2019). Principals must be inten-
tional about staying informed and fighting to follow the status quo simply because it is the status
quo. As N.IS.C shared, they can do this through reading the latest research. However, they must
be intentional about making the time to find and read the research and then be intentional about
putting the findings into practice.
As lead learners, aspiring principals have learned that they must showcase their lead
learner characteristics as part of being prepared for the job. They understand that being a lead
learner is an asset and that graduate-level education is a way in which they can proudly display
this characteristic to the general public. U.Prin.B1 shared his experience:
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 68
Definitely furthering my education. So, I mean the decision to go get my doctorate at FC
was definitely purposeful in, in trying to expand my education first and foremost, but my
experiences and ultimately the opportunity to be more, I guess marketable, to be consid-
ered for higher level jobs. And I felt like doing the, the leadership program, having a dif-
ferent lens with which to be a better leader in whatever position. I don’t think I– honestly,
I might change my answer to that. I don’t know that I went to FC with the hopes of
becoming a principal, but I think it’s made me a better principal now. Knowing what I
know now, having gone through the program has definitely made me have a different, a
different lens to everything that I, that I do. (interview, July 22, 2019)
In explaining that he pursued his doctorate in order to be more marketable as he was preparing to
pursue higher-level positions, he shared that his lead learner self thrived in the doctoral program
and he described how his learning in the doctoral program shaped his current perceptions and
lenses. This embodying lead learner essence benefits a principal.
Evidence from the survey shows that the majority (> 90%) of superintendents, immediate
supervisors of principals, and human resources administrators agreed that having experience as
an assistant principal is crucial for preparing principals for the position. This suggests that the
assistant principal who demonstrates lead learner characteristics will be able to focus on the
experience in preparing to make the transition from assistant principal to principal.
Summary of Findings for Research Question 1
The complexities of the principalship require that an aspiring principal be equipped with
the basic knowledge of school site administrative duties and a good understanding of the com-
plexities to be faced in the position. Findings from the present study highlight three themes to
understand how training programs and professional experiences prepared principals to manage
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 69
the complexities and challenges of the principalship. Participants cited their professional experi-
ences rather than their schooling as the key to preparation for the position of principal. First-year
administrator knowledge is a necessity for an aspiring principal; although some things are
learned in traditional programs, participants said that there was no substitute for on-the-ground
experience that the assistant principalship brings. Participants also agreed that learning how to
handle human relationships would have been a useful unit in their traditional program rather than
one that they had to learn on their own through experience. Finally, superintendents, immediate
supervisors of principals, and human resources assistant principals agreed that the better-
prepared aspiring principals were those who were eager to seek lead learner opportunities; this
quality made these candidates more knowledgeable about a range of topics, leading them to be
the more desired candidate.
Findings for Research Question 2: Recruitment
Research Question 2 asked, “What are the perceptions of principals, immediate super-
visors of principals, human resources administrators, and superintendents regarding strategies to
recruit successful principal candidates?” In order to understand the perceived experiences of
principals by superintendents, immediate supervisors of principals, human resource administra-
tors, and principals, common themes recurring from the qualitative interviews and survey data
were analyzed to explain and contextualize strategies that were used to recruit successful princi-
pal candidates: (a) positive perception of the district/school site by the community, (b) profes-
sional and informal networking opportunities, and (c) possession of value-added characteristics
in the form of a skillset of creativity that can contribute to the organization as a whole.
Connections to Bolman and Deal’s (2017) symbolic frame were evident when participant
superintendents, immediate supervisors of principals, human resource superintendents, and
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 70
principals spoke about the phenomenon of recruitment. The symbolic frame makes use of tradi-
tions and ceremonies within the organization to continue the culture of the organization.
Inspiration is seen as a quality of leadership, and a leader is able to use the symbolic frame to
guide the direction of the organization and make members feel that what they are working
toward is significant and distinctive. Connections can also be made to Fullan’s (2014) three keys
to maximizing impact, particularly being a district and systems player, a skill that is useful to
principals. Successful principals are invested in the school and leverage their district and com-
munity resources to bring about cohesiveness toward the mission and vision of the school.
Through their interactions with the outside world, they forge professional relationships and
systems that encourage an exchange of knowledge among stakeholders to improve the system of
education. As dynamic members of the district and larger educational system, principals acquire
professional networks to guide and inform their own initiatives. A candidate who brings forth
ideas and relationships with outside networks brings along resources that will enable him or her
to be successful in the position.
Positive Perception of the District/School Site By the Community
More than 70% of the participating principals agreed with the statement, “The reputation
of my school district is an important factor in candidates applying for principal positions in my
district.” This indicates that aspiring principals care about their placement, and they probably
have in mind the type of setting of which they want to be a part. It is evident that it matters to
principals where they work, as well as the perception of the district by the community. Districts,
particularly urban ones, should set aside funds to recruit principals, keeping in mind that more
money is spent in recruiting principals for underperforming schools in impoverished neighbor-
hoods (DiPaola & Tschannen-Moran, 2003; Doyle & Locke, 2014; Richardson et al., 2016;
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 71
Whitaker, 2001). It is easier to hire principals in high-performing districts. Participants of the
current study, particularly superintendents, agreed that having a perceived positive relationship
between the district and the community helped in recruiting principal candidates; many called
this factor the best recruitment tool:
I’d say the other one is discreet. I’ve learned this, you know, by talking to the principals
afterwards and other administrators I’ve hired is that I guess word on the street is [district
name] is changing. So in the past 2 years I’ve made an explicit effort to change our public
relations, our PR [public relations] or marketing or branding, what we stand for, what’s
our mission. We now have a strategic plan in place for the district. So I think, again, dis-
creetly. And maybe going back to number six on the networking piece, even people chat,
how would you hear about what they’re doing and next to my with little say, “Yeah, I
think you can go over there and they’re doing some good things over there.” So I–I think
there’s–there’s some, you know, ‘cause the administrators want to know is it a safe
place? I’m going to work. Is it a safe, positive, healthy environment I think is often, you
know, primary concern when you’re looking for employment. So I think that piece is
probably the second way we at least discreetly recruit. (interview, C.Sup.B, August 13,
2019)
C.Sup.B explained why a particular district may attract a desirable candidate: working in a safe
environment. Therefore, he has made a conscious effort to market his district as safe and is aware
of moves that he makes and how they will be interpreted by the community. He wants to com-
municate that his district is a positive, safe, and desirable place to work. Recognizing that
research has found that the position demands more and more as accountability is at an all-time
high and compensation does not reflect the duties (DiPaola & Tschannen-Moran, 2003; Doyle &
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 72
Locke, 2014; Whitaker, 2003), it is important for districts to ensure candidates a safe working
environment. They must focus also on noncompensatory factors to increase the number of inter-
ested applicants for the position. Indicative of this, 54.7% of the principals surveyed agreed with
the statement, “The salary and benefits offered are important factors in candidates applying for
principal positions in my district,” while 92.9% of human resources administrators agreed with
the statement. This means that, although salary and benefits are factors, they are not at the fore-
front of requisites for nearly half of candidates. Other factors heavily influence the decision to
pursue a principal position in a particular district.
Another superintendent, C.Sup.A, commented:
I also always believe whether it’s for recruiting principals or anybody else, if you are in a
district that is where people talk on the outside about it being a positive place to work, I
think that that yields a lot of benefits. So that is something we constantly try and do.
Whether or not you’re successful as a whole different story. (interview, July 25, 2019)
Positive perceptions by the community come when schools are high performing and pro-
gressing in many areas, including academics and extracurricular programs. Winter and
Morgenthal (2002) reported that experienced assistant principals would rather take a job at a
high-achieving school than at a low-achieving school. The implication is that positively per-
ceived districts will have an easier time in finding qualified candidates and will avoid excessive
spending. Grier (2005) found that more funds are spent in recruiting for lower-achieving schools
than for higher-achieving schools.
C.Sup.C said that, regarding recruitment strategies,
our goal truly is to just be the best district that we can be and promote that in a variety of
different ways. Whether it be local papers or through word of mouth is hugely important
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 73
to us. Obviously if parents are happy with what is happening and they’re going to spread
the word and they know people are, maybe those parents are administrators. We’ve had
our own parents apply who are principals and other districts. If kids are happy, they’re
gonna talk about it. If substitutes are happy, they’re to want to work here. So our job
really is just to be the best that we can be and treat people with respect and care and
support. No matter whether you’re a 2-hour duty supervisor or you’re, you know, an
assistant superintendent. So if you do that and which we have done, then you’re going to
attract people to want to come work here. And it’s not just fluff. They can talk to some-
one who can speak to this, what it’s like to work in [District C] and some people, well,
“Let’s hear about” and go, “No, that’s not a district for me.” And some people go, “Oh
God, I’d love to work here!” (interview, August 16, 2019)
C.Sup.C was very proud that at his district people came to work and were agents of change, not
individuals who simply came to maintain the status quo and collect a paycheck. He described a
rigorous interview process and hiring conversations that ensure that the chosen candidate will fit
into the district mantra of working hard for students. Having a process like this in place ensures
that qualified candidates will not be overlooked. As Schlueter and Walker (2008) pointed out,
many districts overlook the most capable candidates due to an disorganized and haphazard
manner of recruitment. This superintendent spoke about diligence to ensure that the best candi-
date is hired every time. All 21 superintendents who responded to the survey agreed with the
statement, “The reputation of my school district is an important factor in candidates applying for
principal positions in my district.” It is rare to see unanimous consensus among superintendents
spanning various cities, which indicates that community perception of the school district is a
priority factor in recruitment practices. More than 85% of the superintendents, immediate
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 74
supervisors to principals, and human resources administrators agreed with the statement, “A
candidate’s level of understanding of district initiatives and goals was an important factor in
being recruited into principal positions in my district.” This means that districts are attuned to
finding candidates who will be invested in the mission of the district, striving to be part of a team
that is trying to achieve a goal.
A human resources administrator, C.HR.C, shared the following:
We don’t have any particular strategies that were conscientiously or overtly using to
recruit principals. It’s gonna sound a little arrogant, but we don’t feel like we need to
recruit principals because the district is so high performing and so desirable and our
reputation and our brand so to speak is it’s so positive out in the community that we get
multiple principals applying to the job when we post it. (interview, C.HR.C, August 14,
2019)
In her experience, principals have been attracted to the district due to its reputation for putting
students first and the dedicated commitment that employees of the district exemplify. The type of
recruitment that is necessary to find a fit principal will vary depending on various factors, such
as whether the school is high or low performing, its location, and the number of students (Ash et
al., 2013). Stark-Price et al. (2006) used a role-playing exercise to determine which candidates
might thrive better at low-performing schools; they found that current principals would be the
best equipped to thrive in that setting, rather than school counselors or teacher leaders who are
entering the position for the first time. It is important that the administrator of human resources
sift through candidates and be aware of the type of characteristics and track record that are desir-
able.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 75
Professional and Informal Networking
Professional networking emerged as an important factor in the recruitment of principals.
Aspiring principals benefited from professional networks, whether they used them casually or
conscientiously as a strategy obtain the position. Professional networking requires people to
practice skills from Bolman and Deal’s (2017) political frame, in that they are able to negotiate,
collaborate, bargain, build coalitions, and display other behaviors to obtain what is on their
agenda. People come with conflicting agendas and the power resides in who is able to get what
he or she wants. Alternatively, networking might have involved mentors who advised and
prompted potential candidates to consider entering the principalship.
A qualified aspiring principal must display political frame skills, in which they are able to
build coalitions to achieve their goal of obtaining a principal position. In many instances, aspir-
ing principals used professional networks made through administrative credential programs to
move to a principalship opportunity. Likewise, many superintendents, immediate supervisors of
principals, and human resources administrators shared that they were able to identify qualified
applicants from the pools of administrative credential students who were part of a cohort in
which they had been involved. Although this phenomenon did not appear in the literature review
for this study, it was clear that there is a lack of qualified applicants for the position (Doyle &
Locke, 2014). This correlates with what was found in this study: Because of the lack of qualified
applicants, those who are in charge of hiring a principal are more likely to grant an interview and
second look to a candidate who comes with a positive recommendation from a trusted educa-
tional leader.
An assistant superintendent of human resources, C.HR.C, shared how networking may
come into play for an aspiring principal during the hiring process:
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 76
I can say that the last few principals that were hired were- at least got our attention in
terms of really checking their resume and getting into an interview because of network-
ing. So there are some type of informal relationship, whether they knew a superintendent
who reached out or a previous connection through a previous working with somebody in
our district currently at a previous district. So that it helps when someone says, “Hey, I
worked with this person before and they’re pretty solid candidate, should at least give
them an interview.” So it does help in, in terms of getting an interview, but they have to
deliver when they go through the interview process. And there’s a writing sample we
asked for as well. But I would say professional relationships are probably more important
or not. I would say more important are going to open the door of opportunity in our
district a little bit wider than experiences, because we value the opinions of people we
work with. (interview, August 14, 2019)
The assistant superintendent explained how some candidates are able to shine on paper
and some are not; for those who do not shine on paper, it is especially helpful when someone in
their network puts in a good word for them because it allows the hiring team to go ahead and
take a closer look. A hiring team can easily miss a good candidate simply because the candidate
is not able to present well on paper. In these situations, formal and informal networks can aid a
candidate in the hiring process. Survey data indicated that 70% of superintendents, 95.5% of
immediate supervisors to principals, and 82% of human resources administrators agreed with the
statement, “Networking with district personnel help candidates get recruited into principal posi-
tions in my district.” Therefore, it is wise for aspiring principals to begin to network with various
people in their district as they prepare for the position.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 77
A principal, C.Prin.B2, described how she used her networks as she was considering a
specific opportunity:
One of my college classmates told me about the position where I’m at now. So, and I told
her I didn’t have any middle school experience at all. But she said, “I think you’d be a
great fit.” I loved shoes at the time. The elementary counselors for middle, I think you’d
be really great fit for middle school. She’d been a teacher and an instructional aide in
middle school. We were good friends and she goes, “I just think you’d be great.” I also
bounced the idea off of my coach, Jill [pseudonym]. And Jill and I researched a little bit.
I’m familiar with the community because my parents are within 20 minutes. And so I was
able to ask him to also my dissertation chair, my former boss, Dr. Ree [pseudonym], I
kind of walked through it with him too, him that I am thinking of applying for a position
with less hours. And really putting my family first. And he was actually networking as
well. And he came back with, “You know, they have a new superintendent. He’s very
well liked, and word is, he’s going in a new direction. I think this actually would be a
good fit.” So it was kind of a blend of all you know that networking by mentoring and
also just you know, personal friends. (interview, August 13, 2019)
In the same way that formal and informal networks can help by putting in a good word
for the candidate with the hiring district, they can also be a source of information for the aspiring
principal while considering various positions. The excerpt above exemplifies how C.Prin.B2
used her formal and informal networks to find out more about the potential district so that she
would be able to formulate a decision about whether she would ultimately apply for the position.
In fact, 81% of superintendents, 90% of immediate supervisors of principals, and 78.6%
of human resources administrators surveyed agreed with the statement, “Having a mentor helps
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 78
candidates get recruited into principal positions in my district.” These results indicated that those
individuals with mentors have added support that propels them and in a sense holds them
accountable for applying for the position. Mentors help aspiring principals to feel self-efficacious
so that they are able to develop the confidence to see themselves in the position. Mentors can
encourage potential candidates to pursue a leadership position. In the survey responses, 77.4% of
principals agreed that having a mentor was an important factor in being recruited into their
current position. Normore (2006) identified mentoring candidates into the position as a solution
for recruitment.
C.HR.A shared the following when asked how aspiring principals used their professional
networks to attain the position:
I think there are a couple of different ways. One, you know, attending whether it’s in
you’re enrolling in a master’s program and or a doctoral program you know, USC has a
significant network, you know, in, in education. And so just through the reference
checking process and, or on the flip side, these professors knowing that their particular
openings that exist. And so that connection, that network to say, “Hey, I know a candi-
date by the name of [XXX] and I think she would be great for this position because she
possesses, you know, these particular qualities.” She goes, “She’s a great communicator.
She’s got strong pedagogical leadership. She’s got a strong network of support as far as
the mentors are concerned.” So that would be one way just from the university stand-
point. And then the association of school leaders. (interview, August 21, 2019)
C.HR.A shared that a district values the types of networks that the aspiring principal brings as
they identify the person. In his opinion, the candidate’s networks paint a picture of the candidate
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 79
by identifying the types of organizations with which the candidate has worked. Networks show
what a candidate finds important.
B.Prin.A2 cited the value of having a mentor with whom to reflect:
I also think conversations with mentors and really recognizing that no matter what work
environment in, you’re technically always interviewing for a job, because that’s kind of
founded in how you perform, how you face adversity, how you kind of navigate difficult
obstacles both in employee relations, students’ relations, staff relations. I think all those
things are kind of tantamount to getting ready to get a job that you want. (interview, June
25, 2019)
A candidate with a mentor can test ideas with the mentor to get a new perspective. Ulti-
mately, the candidate will choose what action to take, but having a mentor is often a benefit to
aspiring principals, as they are able to learn from someone who has walked that path.
Possessing Value-Added Characteristics
The leadership experiences that aspiring principals bring with them into the principalship
are valued by superintendents, immediate supervisors of principals, and human resources
administrators, as shown in this study. People with leadership experience in a range of subgroup
student services are desirable for the principalship. Examples include knowledge of instructional
and compliance items related to English Learners or special education students. Bolman and
Deal (2017) characterized value added through their four frames. A candidate who is versed in
skills in the structural frame will be able to use rules, roles, goals, and policies to obtain a means
to an end. A candidate who is versed in skills in the human resources frame will be able to rec-
ognize employees as unique human beings who have needs, feelings, skills, and limitations and
use this knowledge to make a positive work environment. A candidate who is versed in skills in
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 80
the political frame will be able to accomplish goals with scarce resources. A candidate who is
versed in skills the in symbolic frame will be able to guide the direction of the organization and
make members feel that what they are working toward is significant and distinctive.
C.Sup.A shared that she has observed candidates gain value-added characteristics in
positions prior to the principalship:
Not just competent, but excellent and demonstrating initiative, working on new programs
or processes or innovative ideas to move from a baseline to something more. Principals in
order to get to that next level will engage in some of those value added endeavors. Not
always because, and hopefully not because it's a resume builder, but because it's the right
thing to do for the school in which they found themselves. So they were, what I like to
see is that they were totally invested in their school and their programs and what that was
they were doing and, and doing it because it's, what was needed and they had the capacity
to do it. (interview, July 25, 2019)
In this reflection, C.SUP.A suggested that candidates are able to gain value-added characteristics
through their positions by putting 100% effort into the endeavor and engaging in tangible
processes and innovative ideas. In other words, possessing value-added characteristics should
translate into action that others at the school site can see and should help to accelerate a common
school goal, such as student achievement:
I want principals to enjoy students. Students are entertainment, they are you know, why
we do what we do. But getting to somebody who is willing and interested in getting to
know their students is, is really part of that value added. I want somebody who's compas-
sionate, somebody who is a consensus builder. And somebody who has the courage to
determine that their vision, share it and get everybody on board. I want a principal who
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 81
dreams big and is able to articulate that vision because for a school to, to grow, you need
to have a goal to which to aspire. And a principal who can determine that vision and, and
base it on the data, base it on the information they have and develop consensus will create
a culture on a campus that will overcome the traditional arts. (C.Sup.A, Interview, July,
25, 2019)
It is not just that an individual cares about students but is able to be proactive and make
the vision a reality. People with these value-added characteristics can move a team forward
toward a shared goal by motivating the group to make an effort to make the best setting for
students.
C.Sup.B highlighted the importance of experience in various roles before entering the
principalship:
Integrity, honesty, transparency, candor, tact. Evidence of instructional leadership, Evi-
dence of some experience in personnel dealing with difficult to employees. Showing that
they have a an ability to lead, capitalizing on people’s strengths. Building a team. Some
knowledge of fiscal services. Some basic cursory knowledge of what a budget looks like.
What is your reserve? How do I make purchases? What’s an illegal purchase? Some are,
or at least the resources of where to go for those things if they’ve had some experience
with that. So it’s, you know, saying all these things I’m realizing, you know, we ask a lot,
but it’s a tough job. And so the, the, and this isn’t really answering the question, but if
they don’t have these characteristics when they come in the door because the bar is so
high for stakeholders, they won’t make it because people expect a level of expertise when
they’re hiring a principal and the expectations have gotten, people want to be wowed. So,
so there’s a high bar out there. (interview, August 13, 2019)
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 82
The superintendent identified some of the many expectations of principals held by stakeholders
and acknowledged that the position calls for a person who is already very talented upon entering
the position. The experiences identified by C.Sup.B will make an informed new principal who
will be better able and ready to confront the many complexities of the job. Each of the experi-
ences that an aspiring principal brings to the position brings value-added characteristics that will
facilitate the time in the principalship.
The importance of coming to the position with value-added characteristics was also men-
tioned by a human resources administrator, C.HR.A, who described how one can add these char-
acteristics to a portfolio:
There are many experiences that you won't necessarily gain through a paid position.
Because many of the positions that I apply for, individuals are applying for, the organiza-
tions are going to be looking for individuals who already have those particular
experiences. And so volunteering to gain experiences in different forms or fashions, I
think is probably the number one way. (interview, August, 21, 2019)
C.HR.A noted that gaining value-added characteristics does not happen organically; the aspiring
principal must be intentional about gaining them. An aspiring principal should seek situations
and opportunities in which to gain desired knowledge that can contribute to the candidacy for the
principalship
One principal, C.PRIN.C3, shared her experience in gaining value-added characteristics
and described how they were useful to her in her principalship.
The background in special ed prepared me for this job more than anything, especially
because I did both a teaching position and special Ed. And then I was a special education
coordinator for four years prior. So that experience, working with families, working with
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 83
district office, working with attorneys, all of that definitely provided me with a lot of
experience for this role. (interview, August 16, 2019)
This principal was grateful for the knowledge that she had gained in the various positions that
she had held in special education. At one point during the interview, she wondered how princi-
pals without such knowledge could deal with the intricacies of the many compliance items
related to special education.
Experience in a variety of leadership roles equips the candidate with value-added char-
acteristics. In fact, 100% of human resources administrators, 95% of superintendents, and 93%
of immediate supervisors of principals agreed with the statement, “Candidates’ previous experi-
ence in education is an important factor in recruiting for principal positions in my district.”
District personnel value an aspiring principal who comes with varied experiences on which to
draw to lead a school. One such value-added characteristic is instructional leadership experience.
All of the superintendents and immediate supervisors of principals agreed with the statement,
“Having instructional leadership experience is an important factor in recruiting for principal
positions in my district.”
Expectations are set high for an aspiring principal (Norton, 2002). Survey data indicated
that 42.8% of immediate supervisors of principals agreed with the statement, “My district is
experiencing g a shortage of quality candidates for the principal position,” while 31.8% of
human resources administrators and 18.2% of superintendents agreed with similar statements. It
is possible that immediate supervisors are more privy to a principal’s struggles by the nature of
the position. These survey data indicate that a subsection of aspiring principals is not equipped
with tools and experiences that will allow them to thrive in the principalship.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 84
Summary of Findings for Research Question 2
Recruiting for the principalship is a complex process. School districts should be inten-
tional and methodical in order to hire the best candidate for the position. Results from this study
indicated two significant themes related to districts actively hiring a principal. First, the district
must know (and it appears from survey data that they did so) that they are first judged by their
relationship with the community. Aspiring principals are attracted to districts with positive track
records and they will ultimately want to work in a positive and safe environment. Second, pro-
fessional networks can advise a district when they have a viable candidate. On the other hand,
these professional and informal networks can advise a potential candidate about a position that
may be a good fit. Third, value-added characteristics in an aspiring principal (a skillset of
creativity that can contribute to the organization as a whole) are a factor in the principal recruit-
ment process.
Findings for Research Question 3: Retention
Research Question 3 asked, “What are the perceived strategies that support the retention
of principals?” In order to understand the perceived experiences of principals by superintendents,
immediate supervisors, human resources assistant superintendents, and principals regarding what
supports retention of principals in the position, three themes emerged from qualitative inter-
views: (a) district support structures, in which the district offers professional learning opportuni-
ties to support the principal throughout the year with a positive working relationship with district
office personnel; (b) embodying lead learner characteristics as a principal, being willing to learn
and adapt; and (c) opportunity to be an agent of change, feeling and knowing that one is making
a positive difference in students’ lives.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 85
The data indicated these themes associated with the perceived strategies to support reten-
tion of principals. In relation to the literature, it became evident that being versed in Bolman and
Deal’s (2017) four frameworks—political, human resources, symbolic, and structural—is an
asset for principals. All frames are essential. Bolman and Deal argued that an effective leader
does not live in one frame but is capable of moving between frames, depending on what the situ-
ation calls for. An effective leader must be skillful and flexible enough to know which frame
would be best in given circumstances and to do so comfortably and confidently.
Principals who are versed in putting into practice Fullan’s (2014) three keys—leading
learning (principal must be willing to model learning and shape conditions at the school site for
all to have the opportunity to learn), being a district and systems player (forging professional
relationships and systems that encourage an exchange of knowledge among stakeholders to
improve the system of education), and being an agent of change (to encourage both sides to see
what could be gained by working together toward the optimal solution for student success)—
facilitate the principal.
The data also highlighted the ability to bring about second-order change as indicative of
the success in retention. Second-order change requires out-of-the-box thinking and tackling
issues through deep change, which necessitates a dramatic shift in direction and a strong leader
to lead the charge. Usually, the prospect of second-order change is met negatively; people argue
that it is too much work or too difficult and give the principal pushback. The principal must
know how to mitigate these concerns and articulate a vision that everyone can support. The prin-
cipal is charged with getting everyone on board, leading people to identify the positives that
second-order change will bring for them and for students. However, to effect these changes, the
principal must strategically and purposefully use his/her skillset and knowledge.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 86
District Support Structures
All superintendents who were interviewed spoke about support structures that their
district embeds for principals to aid in retention in the position. More than half of the superinten-
dents shared that they specifically ensured that their new principals have a coach assigned
through them formally through the district. The superintendents shared that it was important to
lay out a structure in which the principal could get support and advice from someone other than
the immediate supervisor, someone who is not their formal evaluator with whom they could
check in often and informally. Districts invest money in having paid coaches work with newer
principals. Some districts mentioned that even their veteran principals had access to a coach.
Stakeholders shared that it was important for their principals to have someone with whom to talk
about challenges in the position without feeling as if they were being evaluated. Superintendent
C.Sup.B shared the following:
So we have coaches. There’s been cases where I’ve let the principals bring a coach with
them. I think I mentioned that earlier in the interview, but yeah, sometimes a principal
has a coach that worked with in a prior district. They want to keep the same coach.
We’ve done that. I brought in coaches to help out. (interview, August 13, 2019)
In his case, allowing his principal to bring a coach with her from a previous district showed that
he valued the work of coaches and valued the success of the principal enough to bring on a coach
with a proven track record. A gesture such as this lets principals know that their district is
invested in their long-term professional success.
Another superintendent, C.Sup.A, shared the following:
For our newer principals, we, we find a coach. In fact, we had, up until very recently,
every principal had a coach at one point or another. Just to be able to have that, a person
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 87
who might be able to provide support or additional guidance or ideas from the outside.
(interview, July 25, 2019)
C.Sup.A cited the importance of the principal having someone with whom to think aloud, espe-
cially in the initial years. It is not always the case that the principal needs to share concerns with
district administrators; sometimes, a trusted assigned coach or mentor is sufficient. The district
may provide such a person, although the principal may seek such a person. Some principals can
reach out both to a district-assigned coach/mentor and professional informal networks.
Districts also support retention of principals by offering professional learning opportuni-
ties in the operational and managerial aspects of the position, as well as in the instructional lead-
ership needs of the position. A human resources administrator, C.HR.A, shared:
I would say it’s in two parts. One is the, the conferences that we send them to. Specifi-
cally, you know, this year continued focus on professional learning communities. We
were, we had all of our administrators attend that training this past summer down in San
Diego. Now again, it’s been an ongoing training. We’ve been focused on professional
learning communities these last 3 or 4 years. So it’s that ongoing training that I think is
the most effective because it becomes a systemic and of course you’re making adjust-
ments or modifications along the way. And then I think the second part to the training
would be that training that again focuses on the aspects that are related to labor laws the
legal aspects to keep themselves out of harm’s way and most importantly, keeping
students out of harm’s way. And then, you know, learning in positive, conducive learning
environment. (interview, August 21, 2019)
C.HR.A saw the connection between district initiatives and ensuring that principals have enough
education to encourage these initiatives back at the school site. District administrators recognized
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 88
that they should provide ongoing training for principals so they are able to succeed in their
endeavors at the school site. This ongoing training must be meaningful for the principal, so that
they leave with a greater understanding of the importance of the initiative and with tips and tools
to implement at the school site. The principalship is a complex beast; persons in the position
must be continuously informed of best practices.
Human resources administrator C.HR.C, shared:
What we do is we do like a–we call an onboarding process. So we hire a new principal.
They take time to meet with each of the departments so they have an understanding of
who to talk to if they have a question, how departments work. We recognize that you’re
really not going to understand how you get in there and do the work. But I’m thinking of
someone who we’ve just recently hired over the summer to be an elementary principal.
She met with me for an hour and I kind of went over what HR [Human Resources] does,
who you would talk to for benefits. If a teacher wants to leave, you don’t need to know
everything about leaves. You just know you need to call Robin. Right? So just like, so
they just don’t feel like they’re lost. I’m going to the business office and like you don’t
need to know every element of your budget. Just know this is what you have and this is
what you can spend it on. And if you have questions, who you call, right? And then Ed
Services. So we kind of have this onboarding. Everybody goes to a leadership retreat
where the expectations are spelled out by our PR, our superintendent. And then I think
really it comes down to kind of partnering that new principal and saying, hey, if you have
any questions or you’re not sure how to communicate something, or you’re just like, how
do you do a bill schedule? How do you do instructional minutes? Don’t sit there for five
minutes and fret over it. (interview, August 14, 2019)
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 89
C.HR.C realized that the demands placed on the principal are many and complex. For this
reason, her district has created an onboarding process that lets the principal know where to turn
for appropriate answers. The district has acknowledged that principals cannot hold all of the
information that is required of them, but they can be expected to know where to turn to get
answers. For principals, knowing that there are protocols in place and that they do not need to
know every aspect of the job lowers the affective filter so that they can thrive as leaders. This is
in alignment with Snodgrass Rangel’s (2018) finding that lack of participation in professional
development was a strong factor in principal turnover. In the current study, 96.5% of principals
agreed with the statement, “Their relationships with directors, assistant superintendents, and my
superintended supports my success in retaining my position as a principal.” This indicates that a
district that fosters a positive relationship with principals realizes a higher retention rate.
A principal, C.Prin.B2, shared why it is important that her district invests in her ongoing
training:
Onboard, ongoing training, helps support me, stay in it because I know that their district
is investing in me personally. And if I’m able to see trainings or gaps, not just for me, but
also for my staff, my classified and certificated staff, knowing that the district can support
it financially, but also if they can’t I can connect with someone to say, okay, well do we
have to write some grants or how do we, how do we figure out this funding? So being
part of a again, being part of a district team that says we’re gonna fix, they’ll figure away,
so figure away. So I think that that has been super beneficial. Also, whatever trainings we
go to, we share out and we prepare too. So it’s not like I go to ACSA and say, great, and
then not doing anything about it. You know, everything is meaningful and purposeful.
And so that when I can come back, I could say, you know, I really am coming back with
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 90
these new strategies, or have we heard about, you know, suicide assessments and what
that looks like, or students safety. I’m able to bring it back and share with the team.
(interview, August 13, 2019)
The fact that her district allows her to partake in desired learning opportunities makes her feel
validated and treated as a professional by her district. She said that she appreciates that her
district is willing to spend money on training to ensure that she will be the best principal she can
be. She realizes that she will be able to carry this learning with her wherever she may go. She
also knows that the training must be brought back to the school site and be implemented for the
betterment of the student body. Learning is not valuable unless it is put into action. It is
important to note that this finding intersects with the characteristics of a lead learner, another
factor in the retention of principals.
Embodying Lead Learner Characteristics
Once in the position, a principal must embody the role of lead learner to be retained in the
position. In alignment with Fullan’s (2014) description of principal as lead learner, the principal
encourages learning and participates in that learning alongside the staff. As lead learner, the
principal is willing to enter into dialogue with others and to seek multiple perspectives as they
work to identify best practices. Being a lead learner also means that one is able to assess the situ-
ation for best practices and to identify when a system is not working as intended, with a need to
revamp the status quo. Lead learners are accepting of trial and error, knowing that they are
learning as they gain experience.
A principal, C.Prin.C3, shared how her district supports principals in the pursuit of being
lead learners:
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 91
We get to rely on each other and learn from each other because as school administrators
we’re all experiencing sometimes very different things. And then on the flip side, very
similar things and we can put all of that knowledge together into like a think tank and it
makes, it makes things, well, number one, it makes you feel like you’re not alone. It’s a
team to lean on. And number two, it allows you to really think critically without just
using yourself to like navigate through challenging situations. So it really allows for pro-
fessional growth. (interview, August 16, 2019)
Part of being a lead learner is accepting that one does not yet, have all of the answers and
being open to seeking answers from various sources. One of those sources might be professional
colleagues. Principals who tend to succeed seek and use available resources to inform their prac-
tice and to carry out their duties efficiently and effectively. The district can facilitate the princi-
pal acting as lead learner by identifying worthwhile professional learning opportunities.
An immediate supervisor of principals, C.IS.A, identified qualities of effective principals:
So you just have to be willing to learning, keep learning and keep growing so you can
better inform your team on different things. And I think that there has to be some type of
knowledge of how to train others, you know, professional development trainings and
things like that because you don’t get too much money as a site administrator. And
districts are getting tighter and tighter with their ADA [average daily attendance].
Enrollment is decreasing. So you have to figure out like you did when you were a
teacher. Innovative and creative ways to make it work out. So I think that’s important.
(interview, August 9, 2019)
She noted that a successful principal must be a problem solver because there will be many chal-
lenges in the position to allocate resources for all programs that are necessary for student
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 92
success. She stated that a principal must be a district and system player, as described by Fullan
(2014). A principal must be a district player in order to tap into district resources for the school
and a system player who is aware of potential avenues of support from the community, universi-
ties, and other allies. The principalship makes many demands, so the more ways the principal can
find support, the easier it will be to manage the complexities of the position.
A human resources assistant superintendent, C.HR.C, shared:
There are a lot and I think that you learn skills and strategies as you go, but the ones that
you need to have innately in, you have some things are hard to learn. You just have it or
you don’t, you have to be willing to be open to a variety of ideas and suggestions and
have an openness that allows people to have a voice, even if it’s a dissenting voice and
disagreeing voice. That doesn’t mean you always have to agree and doesn’t mean you
always have to change your decision. But you should be open to allowing people to speak
up and share their thoughts. And it may lead to you changing your opinion or it may lead
to you saying, “You know what, I got that wrong. I messed up.” And, and that’s not
always the case for people who are administrators because there’s some level of ego that
kind of goes along with the role. But I think one skill is just being, it’s going to sound
cliché, but human and coming in knowing that you’re gonna make mistakes. So look in
the mirror before you criticize someone else. (interview, August 14, 2019)
C.HR.C noted the importance of the principal embodying the lead learner spirit. Principals must
anticipate episodes of failure; they are a given. However, it is the reaction to those episodes that
will matter. Do they take these mishaps as a learning opportunity to grow, with determination not
to repeat the mistake in the future? Or do they crumble under pressure and spiral into a cycle of
failure? A true lead learner will handle difficult situations with grace, always seeking the
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 93
learning opportunity in the situation and bringing the team along for the learning. More than 40%
of the principals who were surveyed in this study agreed with the statement, “Professional net-
works (e.g., NAESP, NASSP, ACSA, university networks) provided me with process. Strategies
that currently support my success in retaining my position as principal.” These types of organi-
zations offer continual learning.
An immediate supervisor, C.IS.A, validated the importance of the principal embodying
lead learner characteristics and the positives that this can produce:
Our administrators need to be the lead learner in their building. They need to know the
content standards and they need to attend some of the professional development with
their teachers. How do you lead something that you don’t know? So, you know, that’s
another facet of learning. So there are categories of learning that aren’t in silos. They’re
connected, but it, it’s a menu of things that administrators need to be knowledgeable
about. You know, its, all of the things that are, that come down the pipe all the time in
relation to students’ safety and you know, what do we do with our homeless youth? They
need to keep abreast of those mechanical things as well. And you know, the biggest
responsibility that they have is to be that instructional leader on their campus, leading
their teachers to be the very best that they can in terms of that output with students.
(interview, August 9, 2019)
As she pointed out, the job is always developing and should be informed by research. The prin-
cipal leader must stay abreast of current research and be intentional to stay informed about initi-
atives that matter to the school in order to maintain initiatives that grounded in research-based
literature. It is imperative that, as lead learner, the principal learns and grows and brings learning
experiences to the staff so that everyone has the same information and can make better informed
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 94
decisions. The principal is not the keeper of knowledge; instead, the principal should seek to
share and disseminate knowledge to the team so that they can be strong together. The report,
Developing the Effective Principal Hiring, Evaluation, and Retention Practices for the Superin-
tendent (Whaley, 2002) reported that current principals want professional development and
desire to be lead learners. Unfortunately, the countless demands placed on the 21st-century
public school principal make it difficult to schedule time for professional learning. Principals
must recognize that ongoing learning is required; they must keep up with current educational
research.
This requirement was stressed by B.Prin.A2:
So if I can stay in this position and feel like I’m consistently growing and being chal-
lenged as a principal, then maybe I would stay here longer. So I think if you feel like you
have new challenges and you’re offered new challenges and you’re able to grow as a pro-
fessional, that’s for me personally, that is what keeps me around, I think. I usually find
now that I have around a 5-year cycle, where if . . . . I was at my previous school for 6
years, the school before that for 5, the school before that for a year and a half because it
was a middle school and then I got moved to the high school. Then as an assistant princi-
pal about 4 or 5 years. Just like, I like to keep it new and exciting. (interview, June 25,
2019)
B.Prin.A2 exhibited qualities of a lead learner, eager to master new challenges and sharing that
her retention in the position is affected by opportunities for professional growth. A desire to learn
is a characteristic exhibited by principals. They welcome new endeavors because they know that
they will gain a wealth of knowledge through every experience.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 95
Opportunities to Be an Agent of Change
Nearly all participant principals agreed that having the opportunity to be an agent of
change fueled the drive to remain in the position. In order to be a change agent, one must be able
to move the organization forward in difficult circumstances. Fullan (2014) cited Kirtman’s
(2013) list of seven indictors of competency in a competent change agent: (a) challenges the
status quo, (b) builds trust through clear communications and expectations, (c) creates a com-
monly owned plan for success, (d) focuses on team over self, (e) has a sense of urgency for sus-
tainable results, (f) commits to continuous improvement for self, and (g) builds external
networks and partnerships. As evident from the list, being an agent of change is no simple task; it
requires effort from a strong leader to become an agent of change through the principalship.
Marzano et al. (2005) spoke of second-order change: a change that is perceived to break with the
past, may conflict with existing norms, and requires resources. A change agent must be able to
bring about second-order change.
Principal C.Prin.A1 shared her experience and perspective:
This is not a school of high-achieving wealthy, everything is wonderful, which is what is,
is how the school presented itself. And so I had a big job to do. So when I got in there I
said, wow, in my head, I’ve never said this out loud. This is a 7-year project at least, at
least. And so I made a commitment to myself that they were used to principals coming
through every, like 3 to 4 years. And I, it’s part of what perpetuated the lack of flexibility,
the, the, the unwillingness to change to keep using traditional practice and strategies in
the classroom that weren’t addressing the needs of all kids. And so, I knew that I had to
stay because I had to do something different for this community. And it’s been hard. In
fact, last year, year number eight was my hardest yet. And that’s a story in and of itself,
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 96
but you would think that in your eighth it’s like, but I’ve experienced my own peaks and
valleys and I think that comes with the dynamic of having, being a principal during
changing times or a lot of things in society and, and a lot of things in terms of expecta-
tions for kids and accountability. It’s just all piled on. And so with that doesn’t come the
easy journey. But it, it really comes back to my drive and my commitment. I said I
wouldn’t walk away unless I left it better than when I arrived. And I’m going to do that.
And if that takes 1 more year, great. If it takes 3 more years, then, then I can, I’ll be able
to sleep at night, but I’m not done. I have work to do. (interview, August 29, 2019)
C.Prin.A1 expressed her passion and commitment to turn the school around. She has had chal-
lenging experiences in the position, but these do not deter her from being an agent of change for
the community. Her level of commitment keeps her grounded in the work, along with doing
better for students. She recognizes that she plays a major role and affects many students’ lives.
She appreciates the complexities of the position and takes in stride the challenging times, always
keeping her mission of school improvement at the forefront, which motivates her to continue in
the position and to commit to continuous self-improvement.
A female principal, C.Prin.C1, shared the following:
You have to trust the people you’re delegating. But here I’m able to help support a
program and then go and see the students every day. You know, I’m really able to really
see the connection with kids. I didn’t have that before, but I felt like I was, I’m confident
that those skills have really helped where I’m at today. And then also just having a differ-
ent perspective of learning and looking at different ways, different ways that students
learn through hands on experience versus completely academic college prep type.
Thinking of my path to a principal position, any position, the principals position I’ve had,
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 97
they’ve always been different, you know, kind of alternative-ish. So I’m able to kind of
pull on those experiences to where I’m at, at the middle school today. (interview, August
14, 2019)
C.Prin.C1 validated the importance of the team and the trust that must be present to make educa-
tion better for the students. She draws from her experience to create a program for her students
that meets their unique needs. By doing this, she challenges the status quo as she commits to
delivering whatever her students need. The leader must embody characteristics of a change
agent, and challenging the status quo can be one way to do so.
Principal C.Prin.B2 shared:
I love middle school. It’s always, they say you’re either gonna love it or hate it. I know,
right? Like so many people hate it, but it’s a, it’s a very difficult time for kids. I joke
around, and I say it’s like the terrible twos of adolescents. But to be able to be support
students, to be able to just be there. I think I’ve had probably the most heartbreaking year
last year where, I really, I’ve had DCFS [Department of Children and Family Services]
reports, I think we made over 20, like legit kids were taken out of homes. I mean, it was
the, and we’ve had three suicide attempts where I had the student in my office. I mean,
and it’s heartbreaking and I cry on the way home and my heart aches for these kids, but
I’m so grateful that they were able to talk to somebody on this campus, you know, that,
that, that the student was able to come to the counselor or come to the PE [physical edu-
cation] attendant who’s been working there for 20 years, or the student who came to me,
the principal to say, “You know, I took a bottle of pills and I don’t want to live anymore.”
I mean, it’s, it’s, we’re really supporting these kids and like saving their lives and are
being that one person that believes in them. And I have never had experiences like this
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 98
where I get to know kids who intimately I don’t know how long emotionally. . . . I don’t
see myself doing this for 20 years, but I know right now that this is where I need to be.
(interview, August 13, 2019)
Although she spoke of the stress that comes with the multifaceted nature of the principalship and
questions whether she could be in this type of position for 20 years, she reflected that she felt
truly needed by the community. The knowledge that she is able to provide necessary services
keeps her grounded and motivated to continue the work. She shared a sense of urgency for sus-
tainable results (Kirtman, 2013). She knows that students depend on her and are affected by her
decision making. Knowing that she makes a difference in students’ lives stokes her desire to stay
in the principalship.
Principal C.PrinC.3 shared the following when asked what kept him in the position:
“Knowing that I’m hopefully making some kind of a difference at this school is really important
to me to, you know, moving it forward. And then just the people who are depending on me here.
That’s also a factor” (interview, August 16, 2019). He spoke honestly about what keeps him in
the position. Throughout the interview, he referred to the importance of creating a culture of trust
though clear communication and expectations. He has a sense of fulfillment in leading a school
forward, knowing that he has affected the experiences of students through his leadership. He is
able to do this by creating a shared vision and motivating others to take part in executing the
plan.
Superintendents also took note of whether principals are serving as change agents for
their school sites:
Having the opportunity to be engaged in the community, as a principal, is critical. It can
make you or break you. Through you participating in programs within the school
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 99
community such as a service club, such as attending the city meetings, meeting elected
officials, advocating for education. Because that principal, part of their job is to advocate
for students. Advocate for their school. But also, be a resource to the community, and if
you can bridge the school to your city hall or to your community to your school home
program, you’re going to be a successful principal because now you have buy in from a
community who sees you as a leader. And sees you as, not only a leader on campus, but a
leader within the community. (interview, A.Sup.A, July 8, 2019)
A.Sup.A explained that a successful principal exhibits characteristics of a change agent, organ-
ically. A principal who acts as a change agent inevitably becomes involved with the larger com-
munity and understands the intricacies of the value not only of the school but of the community.
Being a true change agent requires one to put the organization above self, as Kirtman (2013) rec-
ommended.
Summary of Findings for Research Question 3
Once principals have attained the position, they must engage in best practices to retain
the position. Districts should be aware of their best practices in order to retain a principal.
Results of this study identified three salient themes. First, systematic district support such as
assignment of a coach and an amicable relationship with the district office was identified as a
best practice for the retention of a principal. Second, embodying lead learner characteristics and
engaging in ongoing professional learning are positively related to retention in the position.
Third, the desire to be an agent of change was identified by current principals as a factor in their
retention in the principalship.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 100
Chapter Summary
This chapter reported the emergent themes that were identified by the researcher to
address the three research questions.
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
The emergent themes in this study were drawn from 14 interviews, including three
superintendents, two human resources administrators, two immediate supervisors of principals,
and seven principals. Triangulation of emergent themes was ensured through a combination of
quantitative survey data, the research team’s qualitative interviews, and literature reviewed in
Chapter 2. Multiple data sources ensured validity and reliability of the identified themes (Mer-
riam & Tisdell, 2016).
Three emergent themes were identified in relation to Research Question 1, regarding how
training programs and professional experiences prepare aspiring principals to manage the com-
plexities and challenges of the principalship: (a) out-of-the-classroom experience with first year-
administrator knowledge, (b) out-of-the-classroom experience with a foundation on how to build
relationships and work with a diverse set of stakeholders in difficult situations, and (c) demon-
strating lead learner characteristics in positions prior to the principalship.
Two emergent themes were identified in relation to Research Question 2, regarding the
perceptions of principals, immediate supervisors of principals, human resources administrators,
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 101
and superintendents about strategies to recruit successful principal candidates: (a) positive per-
ception of the district/school site by the community, and (b) professional and informal network-
ing opportunities.
Three emergent themes were identified in relation to Research Question 3, regarding per-
ceived strategies that support the retention of principals: (a) district support structures, including
professional learning opportunities to support the principal throughout the year and as needed;
(b) embodying lead learner characteristics as a principal, being willing to learn and adapt; and (c)
opportunity to be an agent of change, feeling and knowing that one is making a positive differ-
ence in students’ lives.
This chapter summarized the most salient themes identified in this study. The findings
related to the three research questions were presented, supported by qualitative interview data,
quantitative survey data, and connections to the literature.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 102
CHAPTER 5: DISCUSSION, IMPLICATIONS, AND RECOMMENDATIONS
The 21st-century principalship is a complex position that has changed since its inception
in the mid-1600s (Brubaker & Simon, 1986). Principals must contend with expectations from
various stakeholder groups, including students, parents, subordinates, colleagues, supervisors,
and the community at large. The responsibilities of the principalship have become more chal-
lenging and complex due to decades of mandated reform, rapidly changing demographics, tech-
nological advances, and dwindling financial support for schools (Fullan, 2014; Hoyle & Wallace,
2005; Marzano et al., 2005; Spillane & Lee, 2014). The principal is expected to be an instruc-
tional leader, curriculum expert, building manager, and human resources director. Often, princi-
pals enter the position lacking preparation to take on these challenges. On the other hand, those
who possess the qualities needed in the principalship shy from the position for many reasons,
including the long hours, rising accountability, and misalignment of compensation with respon-
sibilities (DiPaola & Tschannen-Moran, 2003; Doyle & Locke, 2014; Whitaker, 2003). In fact,
there is a mismatch between candidates’ perceptions of what the job entails and the actual duties
of the position (Richardson et al., 2016; Thomson et al., 2003)
Principals are the single most influential factor in a school’s culture (Deal & Peterson,
1990). They also have a great effect on student success, second only to teachers (Louis,
Leithwood, Wahlstrom, & Anderson, 2010). However, as education continues to evolve through
the 21st century, more and more responsibilities have been placed on principals, often without
equipping them with the tools to carry out the job successfully (Barnett, 2004; Brown, 2005;
Davis & Darling-Hammond, 2012; Hess & Kelly, 2007; Jackson & Kelley, 2002; Seifert &
Vernberg, 2002). This leaves current principals feeling overwhelmed by the position and deters
potential candidates from applying for the position.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 103
Purpose of the Study Restated
The purpose of this qualitative study was to examine the perceived preparation, recruit-
ment, and retention strategies utilized to identify prospective principals by current superinten-
dents, immediate supervisors to principals, human resources administrators, and principals. The
theoretical framework of the study was informed by three leadership models: Bolman and Deal’s
(2017) four frames, Fullan’s (2014) three keys to maximizing impact, and the Marzano et al.
(2005) 21 leadership responsibilities and second-order change to depict capabilities, qualities,
and skills necessary for the 21st-century principal.
The researcher collaborated with the research team of 11 members (all USC Rossier
School of Education students) to design the study, research questions, interview guides, and
surveys that were utilized for the study. Each member of the team collected interviews from
superintendents, immediate supervisors of principals, human resources administrators, and
principals and then shared the raw interview data with the team. The team also collaborated to
send out surveys to appropriate participants and shared raw survey data to analyze the results.
The qualitative and quantitative instruments were aligned to address three research questions:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 104
Summary of Findings
Research Question 1
The analysis of qualitative interview data produced three salient themes to address the
first research question. Overall, preparation programs were not seen as the most effective method
of preparing aspiring principals for the position. The first theme was the need for an aspiring
principal to have out-of-the-classroom experience to gain first-year administrator knowledge. In
essence, a well-prepared candidate enters the principalship with an accurate idea of the logistics
of the job. Aspiring principals who are prepared for the position can move fluidly in the struc-
tural framework set by Bolman and Deal (2017). They are versed in organizational leadership
and know the fundamentals of what their work will entail.
Second, aspiring principals prepare by having out-of-the-classroom experience that helps
to lay a foundation on how to build relationships and work with a diverse set of stakeholders in
difficult situations. The participants reported not feeling prepared by their university preparation
programs on how to build relationships and talk to a diverse group of stakeholders during diffi-
cult situations. Although each situation is unique, candidates said that their programs could have
done a better job in preparing them to have these types of conversations. Many principals com-
mented that they had to use tools from their personal toolbox and bring them into the profes-
sional setting.
The third theme related to lead learner characteristics. An aspiring principal must have a
track record of enjoying the learning process and seeking opportunities for learning. The lead
learner is happy to take on leadership roles to expand the repertoire of knowledge. A lead learner
welcomes learning opportunities with the team and shares learning with others at the site so that
they can also be well informed.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 105
Research Question 2
The analysis of qualitative interview data produced three themes to address the second
research question. The first theme identified positive perceptions of the district by the school and
community as an important factor to principal recruitment. Principals want to work in a safe
environment with like-minded individuals. It is not rare for principals to identify the leadership
in a district in order to determine whether their own beliefs align. A positive relationship
between school and community at large signals to aspiring principals that there are positive
aspects about the district that are worth learning more about. The positive perception of the
community toward the district can be an indicator of district success. Aspiring principals want to
work in an efficient work environment.
The second theme was the importance of professional and informal networks. Through
professional networks, aspiring candidates can secure a positive recommendation to the district
to which they are applying. Professional networks can ensure that a candidate will get an inter-
view. Informal networks serve to give aspiring candidates opinions and insight about the district
or the position that they seek. Often, professional and informal networks are the catalyst that
encourage prospective principals to apply for a position. These networks give candidates confi-
dence to apply for the principalship.
The third theme related to value-added characteristics. An aspiring principal who brings a
skillset or creativity that can contribute to the organization as a whole is an attractive candidate.
Candidates who offer creativity will be more attractive to a district, even if they do not possess
years of experience in administration.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 106
Research Question 3
The analysis of qualitative interview data identified three themes to address the third
research question. The first theme indicated district support structures that support retention of
principals. When districts allow principals to have open discussions and to bring concerns to the
district leadership, they will have the necessary support to be successful. Districts should offer
ongoing training for principals so that they are able to stay current on best practices. Some
districts offer support through mentors and coaches assigned to their principals, providing a
thought partner and someone with whom to share and process ideas.
The second theme for retention was a principal having lead learner characteristics. A
principal who acts as the lead learner in the building will recognize where opportunities for
learning are needed and take part in the learning along with the staff. As a lead learner, a princi-
pal is open to engaging in learning opportunities that can be used to facilitate the work. The lead
learner is also eager to share learning with staff and promote a culture of collaboration and cohe-
siveness. Principals are comfortable in not knowing everything, but they must be able to identify
where growth is needed and must be proactive about gaining that knowledge.
The third theme related to retention of principals was the opportunity to be change
agents. Principals are motivated to stay in the position because they know that their decisions
make a tangible difference in young people’s lives. They come to work knowing that they have a
large responsibility to students and the community to produce educated students who will con-
tribute to the betterment of the community. Principals stay motivated to remain in the position
because they know that their role entitles them to be agents of change for their students and
school.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 107
Limitations
A limitation of the study might be that one of the research tools was a survey that relied
on self-reported data. The assumption was made that participants would answer truthfully and to
best of their ability. There is the possibility that participants interpreted a given question differ-
ently than was intended during the semistructured in-person interviews. Another limitation might
be researcher bias, regarding in the way in which the researcher interpreted participants’
responses.
Implications
The findings of the study contributed to the body of scholarly literature on the prepara-
tion, recruitment, and retention of K–12 public school principals. The study highlighted how
current principals attained the position and shed light on how superintendents, immediate
supervisors to principals, and human resources administrators judge candidates and identified
strategies that they use to promote retention of principals. This information can be used by a
variety of stakeholders, including districts, credentialing programs, and aspiring principals, to
inform decisions in hiring principals or in applying to be a principal.
Aspiring principals can prepare for the principalship by seeking leadership opportunities
in their current context. Teachers can seek lead teacher opportunities in order to develop com-
munication skills, which may not be taught in credentialing schools or shared by other principals
but simply drawn from personal experience. Aspiring principals might also seek out-of-the-
classroom responsibilities, such as teacher on special assignment, to gain insight into the every-
day logistics of running a school. Aspirants must be proactive in seeking leadership positions,
such as becoming a member of the School Site Council and joining committees. The more expe-
riences an aspiring principal brings to the principalship, the better to deal with the complexities
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 108
of the position. Aspiring principals can seek mentorship opportunities. Mentors can give aspiring
principals the confidence to apply for the position. They can also make a positive recommenda-
tion of the candidate. No matter what they do, aspiring principals must distinguish themselves as
excellent in the positions that they hold so that they can come to the principalship with an excel-
lent track record.
In order to be retained in the position, current principals would benefit from having
mentors and mentor-like relationships. Mentors serve as a support structure for principals and
can give principals advice or insight into how to deal with situations. While decisions ultimately
lie with the principal, mentors can provide valuable insight. Having a positive and professional
relationship with district personnel helps to retain the principal in the position. When the district
office provides genuine support, principals feel comfortable in turning to the district office for
help, without concern about trouble for needing support. Finally, many principals in the study
identified that the opportunity to be a change agent kept them in the position. Veteran principals
should always remember their “why” to keep them motivated to stay in this very complex and
challenging position.
Districts with their own principal pipelines and administrator credentialing programs can
use information in this study to inform the units of study that they offer to their aspiring princi-
pals. They can add lessons about how to build and form relationships, as well as essentials of
communication and how to deal with the human element in difficult situations. Incoming princi-
pals can be more prepared for the position than they have been. Internal district pipelines could
designate a mentor to new principals or invest in coaches for principals. This study showed that
mentorships are invaluable for the success of principals as they offer someone who can give
advice in a nonthreatening manner.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 109
Employers of principals should be aware that monetary compensation is not the most
important factor in the retention of principals. Therefore, they can work to determine what is
important to principals in an effort to recruit and retain them. Sometimes, principals value the
type of community, resources, and factors that allow them to be change agents more than the
monetary compensation. Employers would benefit from clearly defining these for principals in
their district.
Recommendations for Future Study
Based on the themes identified in this study, the researcher proposes the following rec-
ommendations for future research.
First, future research could focus on the experience of women in the principal role and
how they have attained the position. This research would highlight the nuances that women face
when aspiring to be principals, and it would give insight to women who are aspiring principals
concerning the appropriate focus and what pursuit of the job will entail. Learning about the expe-
rience of women principals can inform district pipeline and credentialing programs on how to
support women who aspire to be principals.
Second, future research could focus on veteran principals who have been successful in
improving student achievement. This type of study would inform successful retention strategies
for K–12 public school principals. The study could investigate what elements were present that
allowed principals to have success in the position. This study showed that principals thrive on the
opportunity to be agents of change; it would be valuable to identify factors that allow for that
possibility.
Third, future research could follow aspiring principals and place them in a control group
or an experimental group. The experimental group would read the findings of this dissertation.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 110
Next, the researchers would track the amount of time taken for participants to attain a principal
position and determine whether reading the findings of this dissertation correlated to success in
attaining a principal position.
Conclusion
The 21st-century principalship is a complex and challenging position that requires an
aspiring candidate to be intentional about the approach to prepare, be recruited, and be retained
in the position. This study examined the preparation, recruitment, and retention of public school
K–12 principals. Themes were identified from coded qualitative data and supported with quanti-
tative data to address three research questions. The study’s design ensured that appropriate pro-
tocols and measures were in place. Data collection was ethical. Although there is no set recipe
for an aspiring principal to follow, there are strategies that can be employed to be the best candi-
date and gain the best chance for attaining a principal position. Through purposeful actions,
aspiring principals can distinguish themselves from other candidates. This study has informed
perceived best strategies for the preparation, recruitment, and retention of K–12 public school
principals.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 111
REFERENCES
Ash, R. C., Hodge, P. H., & Connell, P. H. (2013). The recruitment and selection of principals
who increase student learning. Education, 134(1), 94-100.
Baker, B. D., Punswick, E., & Belt, C. (2010). School leadership stability, principal moves, and
departures: Evidence from Missouri. Educational Administration Quarterly, 46, 523-557.
Balzer, W. K., Kihm, J. A. Smith, P. C., Irwin, J. L., Bachiochi, P. D., Robie, C., . . . Parra, L. F.
(1997). Users’ manual for the Job Descriptive Index (JDI: 1997 Revision) and the Job in
General scales. Bowling Green, OH: Bowling Green State University.
Barnett, D. (2004). School leadership preparation programs: Are they preparing tomorrow’s
leaders? Education, 125(1), 121-129.
Béteille, T., Kalogrides, D., & Loeb, S. (2012). Stepping stones: Principal career paths and
school outcomes. Social Science Research, 41, 904-919.
Bloom, G., Castagna, C., & Warren, B. (2003). More than mentors: Principal coaching. Leader-
ship, 32(5), 20-23.
Bogdan, R., & Biklen, S. K. (1997). Qualitative research for education. Boston, MA: Allyn &
Bacon.
Bolman, L. G., & Deal, T. E. (1991). Leadership and management effectiveness: A multiframe,
multisector analysis. Human Resource Management, 30, 509-534.
Bolman, L. G., & Deal, T. E. (2017). Reframing organizations: Artistry, choice, and leadership
(6th ed.). New York, NY: Wiley.
Branch, G. F., Hanushek, E. A., & Rivkin, S. G. (2009). Principal turnover and effectiveness.
Paper presented at the meeting of the American Economics Association, San Francisco,
CA.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 112
Brayfield, A. H., Wells, R. V., & Strate, M. W. (1957). Interrelationships among measures of job
satisfaction and general satisfaction. Journal of Applied Psychology, 41, 201-209.
Brinia, V. (2011). Female educational leadership in primary education in Greece: A theoretical
framework based on experiences of female school leaders. International Studies in Edu-
cational Administration (Commonwealth Council for Educational Administration &
Management (CCEAM)), 39(3), Article 8.
Brown, K. (2005). Pivotal points: History, development, and promise of the principalship. In
F. W. English (Ed.), Sage handbook of educational leadership (pp. 109-141). Thousand
Oaks, CA: Sage.
Browne-Ferrigno, T. (2011). Mandated university-district partnerships for principal preparation:
Professors’ perspectives on required program redesign. Journal of School Leadership, 21,
735-756.
Browne-Ferrigno, T., & Muth, R. (2008). Recruitment and retention of quality principles: Essen-
tial for successful schools. Educational Leadership and Administration: Teaching and
Program Development, 20, 19-45.
Brubaker, D. L., & Simon, L. H. (1986). Emerging conceptions of the principalship. Journal of
Instructional Psychology, 4, 2-26.
Creswell, J. W. (2014). Research design: Qualitative, quantitative, and mixed methods
approaches. Thousand Oaks, CA: Sage.
Copland, M. A. (2001). The myth of the superprincipal. Phi Delta Kappan, 82, 528-533.
Clayton, J. K., & Myran, S. (2013). Content and context of the administrative internship: How
mentoring and sustained activities impact preparation. Mentoring & Tutoring: Partner-
ship in Learning, 21(1), 59-75.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 113
Cohen, N. H. (1995). Principles of adult mentoring inventory. Amherst, MA: HRD Press.
Coleman, M., & Others, A. (1996, April). Re-thinking training for principals: The role of men-
toring. Paper presented at the Annual Meeting of the American Educational Research
Association, New York, NY.
Cray, M., & Weiler, S. C. (2011). Principal preparedness: Superintendent perceptions of new
principals. Journal of School Leadership, 21, 927-945.
Creswell, J. W. (2014). Research design: Qualitative, quantitative, and mixed methods
approaches. Thousand Oaks, CA: Sage
Cubillo, L., & Brown, M. (2003). Women into educational leadership and management: Interna-
tional differences? Journal of Educational Administration, 41, 278-291.
Cullen, J. B., & Mazzeo, M. J. (2007). Implicit performance awards: An empirical analysis of
the labor market for public school administrators. San Diego, CA: University of Califor-
nia.
Davis, S. H., & Darling-Hammond, L. (2012). Innovative principal preparation programs: What
works and how we know. Planning and Changing, 43, 25-45.
Deal, T., & Peterson, K. (1990). The principal’s role in shaping school culture. Washington, DC:
U.S. Department of Education
DeAngelis, K. J. & White, B. R. (2011). Principal turnover in Illinois public schools, 2001-2008
(IERC 2011-1). Edwardsville, IL: Illinois Education Research Council.
DiPaola, M., & Tschannen-Moran, M. (2003). The principalship at a crossroads: A study of the
conditions and concerns of principals. NASSP Bulletin, 87(634), 43-65. https://doi.org/
10.1177/019263650308763404
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 114
Donmoyer, R. (1985). Cognitive anthropology and research on effective principals. Educational
Administration Quarterly, 21, 31-57.
Doyle, D., & Locke, G. (2014). Lacking leaders: The challenges of principal recruitment, selec-
tion, and placement. Washington, DC: Thomas B. Fordham Institute.
Ethridge, S. B. (1979). Impact of the 1954 Brown v. Board of Education of Topeka decision on
Black educators. Negro Educational Review, 30, 217-232.
Farley-Ripple, E., Bruton, J., McDuffie, M., & Solano, P. (2010). Principal retention in the State
of Delaware, 2001-2008. Newark, DE: University of Delaware.
Farver, A. R., & Holt, C. R. (2015). Value of coaching in building leadership capacity of princi-
pals in urban schools. Education Leadership Review of Doctoral Research, 2(2), 67-76.
Fryer, R. G., & Levitt, S. D. (2004). Falling behind: New evidence on the Black-White achieve-
ment gap. Education Next, 4(4), 64-71.
Fullan, M. (2014). The principal: Three keys to maximizing impact. New York, NY: Wiley.
Fuller, E. (2012). Examining principal turnover. Boulder, CO: National Education Policy Center.
Fuller, E., Young, M. D., & Orr, T. (2007, April). Career pathways of principals in Texas. Paper
presented at AERA, Chicago, IL.
Gates, S. M., Ringel, J. S., Santibanez, L., Chung, K., & Ross, K. (2003). Who is leading our
schools? An overview of school administrators and their careers . Los Angeles, CA:
Rand Corporation.
Gates, S. M., Ringel, J. S., Santibanez, L., Guarino, C., Ghosh-Dastidar, B., & Brown, A. (2006).
Mobility and turnover among school principals. Economics of Education Review, 25,
289-302.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 115
Glesne, C. (2011). Becoming qualitative researchers: An introduction (4th ed.). Boston, MA:
Pearson.
Green, M. R. F. (2017). Public school principals of color: An exploration of trends in and pre-
dictors of representation, and influence on school-level outcomes (Doctoral dissertation).
University of Maryland, College Park.
Grier, K. S. (2005). Promising remedies for attracting principal candidates to uncompetitive
high school principal vacancies (Doctoral dissertation). Azusa Pacific University, Azusa,
CA.
Haney, A. (1997). The role of mentorship in the workplace. In M. C. Taylor (Ed.), Workplace
education (pp. 211-228). Toronto, ONT, Canada: Culture Concepts.
Hess, F. M., & Kelly, A P. (2007). Learning to lead: What gets taught in principal preparation
programs. Teachers College Record, 109(1), 244-274.
Hill, D. M., & Barth, M. (2004). NCLB and teacher retention: Who will turn out the lights? Edu-
cation and the Law, 16(2-3), 173-181. doi:10.1080/0953996042000291588
Hill, J., Ottem, R., & DeRoche, J. (2016). Trends in public and private school principal
demographics and qualifications: 1987-88 to 2011-12 (NCES 2016-189). Washington,
DC: National Center for Education Statistics.
Hinman, C. D. (2003). The superintendent's role in mentoring principals through transforma-
tional leadership. Columbia, SC: University of South Carolina.
Hoff, D. L., Menard, C., & Tuell, J. (2006). Where are the women in school administration?
Issues of access, acculturation, advancement, advocacy. Journal of Women in Leader-
ship, 4(1), 43-60.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 116
Hoyle, E., & Wallace, M. (2005). Educational leadership: Ambiguity, professionals and
managerialism. Thousand Oaks, CA: Sage.
Hull, J. (2012). The principal perspective: Full report. Retrieved from http://www
.centerforpubliceducation.org/principal-perspective
Hussin, S., & Al Abri, S. (2015). Professional development needs of school principals in the
context of educational reform. International Journal of Educational Administration and
Policy Studies, 7(4), 1-8.
Jackson, B. L., & Kelley, C. (2002). Exceptional and innovative programs in educational leader-
ship. Educational Administration Quarterly, 38(2), 192-212. doi:10.1177/
0013161X02382005
Jacob, R., Goddard, R., Kim, M., Miller, R., & Goddard, Y. (2015). Exploring the causal impact
of the McREL Balanced Leadership Program on leadership, principal efficacy, instruc-
tional climate, educator turnover, and student achievement. Educational Evaluation and
Policy Analysis, 37, 314-332.
Kavanaugh, A. L. (2005). Introduction to principalship. In Jianping Shen (Ed.), School princi-
pals (pp. 1-13). New York, NY: P. Lang.
Kearney, K. (2005). Guiding improvements in principal performance: ACSA and WestEd have
developed a community of practice aimed at finding ways to improve principal guidance,
support and evaluation. Leadership, 35(1), 18-26.
Kerka, S. (1998). New perspectives on mentoring. Columbus, OH: ERIC Clearinghouse on Adult
Career and Vocational Education.
Kirtman, L. (2013). Leadership and teams: The missing piece of the education reform puzzle.
Upper Saddle River, NJ: Pearson Education.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 117
Knott, J. H., & Miller, G. J. (1987). Reforming bureaucracy: The politics of institutional choice.
Upper Saddle River, NJ: Prentice Hall.
Kruse, R. A., & Krumm, B. L. (2016). Becoming a principal: Access factors for females. The
Rural Educator, 37(2), 1-5.
Levin, S., & Bradley, K. (2019). Understanding and addressing principal turnover: A review of
the research. Reston, VA: National Association of Secondary School Principals.
Li, D. (2015). School accountability and principal mobility: How No Child Left Behind affects
the allocation of school leaders. Boston, MA: Harvard Business School.
Lochmiller, C. R., & Chesnut, C. E. (2017). Preparing turnaround leaders for high-needs urban
schools. Journal of Educational Administration, 55(1), 85-102.
Loeb, S., Kalogrides, D., & Béteille, T. (2012). Effective schools: Teacher hiring, assignment,
development, and retention. Education Finance and Policy, 7, 269-304.
Loeb, S., Kalogrides, D., & Horng, E. L. (2010). Principal preferences and the uneven distribu-
tion of principals across schools. Educational Evaluation and Policy Analysis, 32(2),
205-229.
Louis, K. S., Leithwood, K., Wahlstrom, K., & Anderson, S. (2010). Investigating the links to
improved student learning: Final report of research findings. Retrieved from
www.wallacefoundation.org/knowledge-center/schoolleadership/key-research/
Documents/Investigating-the-Links-toImproved-Student-Learning.pdf
Manna, P. (2015). Developing excellent school principals to advance teaching and learning:
Considerations for state policy. New York, NY: Wallace Foundation.
Marzano, R. J. (2012). Marzano levels of school effectiveness. Bloomington, IN: Marzano
Research Laboratories.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 118
Marzano, R. J., Waters, T., & McNulty, B. A. (2005). School leadership that works: From
research to results. Alexandria, VA: ASCD.
Masewicz, S. M., & Vogel, L. (2014). Stewardship as a sense-making model of leadership: Illu-
minating the behaviors and practices of effective school principals in challenging public
school contexts. Journal of School Leadership, 24, 1073-1098.
Matthews, L. J., & Crow, G. M. (2010). The principalship: New roles in a professional learning
community. Upper Saddle River, NJ: Prentice Hall.
Maxwell, J. A. (2013). Qualitative research design: An interactive approach (3rd ed.). Thousand
Oaks, CA: Sage.
McLaughlin, M. (2013). Superintendent/principal recruitment strategies in small, rural school
districts in northern California [Data set]. Retrieved from https://doi.org/10.25549/
USCTHESES-C16-449350
Merriam, S. B., & Tisdell, E. J. (2016). Qualitative research: A guide to design and implementa-
tion (4th ed.). San Francisco, CA: Jossey-Bass.
Meyer, L., & Feistritzer, E. (2003). Better leaders for America's schools: A manifesto, with
profiles of education leaders and a summary of state certification practices. Washington,
DC: Thomas B. Fordham Foundation.
Miles, M. B., Huberman, A. M., & Saldaña, J. (2014). Qualitative data analysis: A methods
sourcebook (3rd ed.). Thousand Oaks, CA: Sage.
Mitani, H. (2018). Principals’ working conditions, job stress, and turnover behaviors under
NCLB accountability pressure. Educational Administration Quarterly, 54, 822-862.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 119
Myung, J., Loeb, S., & Horng, E. (2011). Tapping the principal pipeline: Identifying talent for
future school leadership in the absence of formal succession management programs. Edu-
cational Administration Quarterly, 47, 695-727.
New Teacher Project. (2006). Improved principal hiring: The new teacher projects’ findings and
recommendations for urban schools. Los Angeles, CA: The Broad Foundation.
Normore, A. H. (2006). Leadership recruitment and selection in school districts: Trends and
issues. Journal of Educational Thought, 40(1), 41-73.
Norton, M. S. (2002). Let’s keep our quality school principals on the job. The High School
Journal, 86(2), 50-56.
Pannell, S., Peltier-Glaze, B., Haynes, I., Davis, D., & Skelton, C. (2015). Evaluating the effec-
tiveness of traditional and alternative principal preparation programs. Journal of Organi-
zational and Educational Leadership, 1(2), 1-28.
Papa, F., Jr. (2007) Why do principals change schools? A multivariate analysis of principal
retention. Leadership and Policy in Schools, 6, 267-290. doi:10.1080/
15700760701263725
Parylo, O., & Zepeda, S. J. (2014). Describing an “effective” principal: Perceptions of the central
office leaders. School Leadership & Management, 34, 518-537.
Patton, M. (1987). How to use qualitative methods in evaluation. Newbury Park, CA: Sage.
Pierce, P. R. (1935). The origin and development of the public school principalship (Doctoral
dissertation). University of Chicago, Chicago, IL.
Pijanowski, J. C., Hewitt, P. M., & Brady, K. P. (2009). Superintendents’ perceptions of the
principal shortage. NASSP Bulletin, 93(2), 85-95.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 120
Richardson, J. W., Watts, D. S., Hollis, E., & McLeod, S. (2016). Are changing school needs
reflected in principal job ads? NASSP Bulletin, 100(1), 71-92.
Robinson-Kurpius, S. E., & Stafford, M. E. (2006). Testing and measurement: A user-friendly
guide. Thousand Oaks, CA: Sage.
Schechter, C. (2014). Mentoring prospective principals: Determinants of productive mentor-
mentee relationship. International Journal of Educational Reform, 23(1), 52-65.
Schlueter, K., & Walker, J. (2008). Selection of school leaders: A critical component for change.
NASSP Bulletin, 92(1), 5-18.
Sciarappa, K., & Y. Mason, C. (2014). National principal mentoring: Does it achieve its
purpose? International Journal of Mentoring and Coaching in Education, 3(1), 51-71.
Seifert, E. H., & Vornberg, J. A. (2002). The new school leader for the 21st century: The princi-
pal. New York, NY: Rowman & Littlefield.
Snodgrass Rangel, V. (2018). A review of the literature on principal turnover. Review of Educa-
tional Research, 88(1), 87-124.
Spillane, J. P., & Lee, L. C. (2014). Novice school principals’ sense of ultimate responsibility:
Problems of practice in transitioning to the principal’s office. Educational Administration
Quarterly, 50, 431-465.
Stark-Price, G., Munoz, M. A., Winter, P. A., & Petrosko, J. M. (2006). Recruiting principals to
lead low-performing schools: Effects on job attractiveness. Journal of Personnel Evalua-
tion in Education, 19(1-2), 69-83.
Syed, S. (2015). Experience makes a great teacher. Journal of Staff Development, 36(5), 12-14.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 121
Taylor Backor, K., & Gordon, S. P. (2015). Preparing principals as instructional leaders: Percep-
tions of university faculty, expert principals, and expert teacher leaders. NASSP Bulle-
tin, 99(2), 105-126.
Thomas, C., & Kearney, K. (2010). Effective principal support: What will it take? Leadership,
40(2), 8-11.
Thomson, P., Blackmore, J., Sachs, J., & Tregenza, K. (2003). High stakes principalship—
sleepless nights, heart attacks and sudden death accountabilities: Reading media repre-
sentations of the United States principal shortage. Australian Journal of Education, 47(2),
118-132.
Toppo, G. (2004, March 16). No Child Left Behind law eases some requirements. USA Today,
p. 9D.
Villegas, A. M., & Irvine, J. J. (2010). Diversifying the teaching force: An examination of major
arguments. Urban Review, 42(3), 175-192.
Walsh, E., & Dotter, D. (2014). The impact of replacing principals on student achievement in
DC public schools. In H. F. Ladd & M. E. Goertz (Eds.), Handbook of research in edu-
cation finance and policy (pp. 1-55). New York, NY: Routledge.
Warren, S. R., & Kelsen, V. E. (2013). Leadership coaching: Building the capacity of urban
principals in underperforming schools. Journal of Urban Learning, Teaching, and
Research, 9, 18-31.
Waters, T., Marzano, R. J., & McNulty, B. (2003). Balanced leadership: What 30 years of
research tells us about the effect of leadership on student achievement. Aurora, CO: Mid-
Continent Research for Education and Learning.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 122
Watson, T. N., & Normore, A. H. (2017). Racially and ethnically diverse women leading educa-
tion: A world view. Bingley, UK: Emerald Group.
Whaley, J. (2002). Developing the effective principal: Hiring, evaluation, and retention practices
for the superintendent. Retrieved from ERIC database (ERIC Document Reproduction
Service No. ED474252)
Whitaker, K. (2001). Where are the principal candidates? Perceptions of superintendents. NASSP
Bulletin, 85, 82-92.
Whitaker, K. (2003). Principal role changes and influence on principal recruitment and selection:
An international perspective. Journal of Educational Administration, 41(1), 37-54.
Whitaker, K., & Vogel, L. (2005). Joining the ranks: Opportunities and obstacles in obtaining
principal positions. Journal of Personnel Evaluation in Education, 18(1), 3-19.
Winter, P. A., & Morgenthal, J. R. (2002). Principal recruitment in a reform environment:
Effects of school achievement and school level on applicant attraction to the job. Educa-
tional Administration Quarterly, 38, 319-340.
Winter, P. A., Rinehart, J. S., Keedy, J. L., & Bjork, L. G. (2004). Recruiting certified personnel
to be principals: A statewide assessment of potential job applicants. Planning and
Changing, 35, 85-107.
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 123
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 invite
you to participate in a research study that will investigate the preparation, recruitment, and reten-
tion 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; 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
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 124
APPENDIX B
INFORMED CONSENT

Date: _______________

Dear _______________,

My name is _______________ and I am a doctoral student at the USC Rossier School of Education. 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 direc-
tors/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, superintendents, 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 col-
lected will be kept confidential and anonymous by the researcher and members of the dissertation com-
mittee. 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 participa-
tion in the research described above.

Participant’s Signature: __________________________________________________________

Participant’s Printed Name: _______________________________________________________

Date: _________________________________________________________________________
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 125
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
principalship. The goal of this brief, 15-minute survey is to quantify your perceptions on princi-
pal preparation, recruitment, and retention. Your participation in this survey is anonymous.
Thank you for your participation.

Personal Background

1. Gender
❏ Male
❏ Female

2. Ethnicity (check all that apply)
❏ Asian
❏ Black
❏ Latina/o
❏ Native American
❏ Pacific Islander
❏ White
❏ Multiple
❏ Other
❏ Decline to state

3. Age range:
❏ < 30
❏ 30-40
❏ 41-50
❏ 51-60
❏ 61+

4. Highest university degree earned:
❏ Ed.D.
❏ Ph.D.
❏ Master’s
❏ Bachelor’s
❏ Other (please specify) ___________________________________________

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 126

5. What university do you identify with professionally?

________________________________________________________________________

6. How many years in the education profession?
❏ 1-10
❏ 11-20
❏ 21-30
❏ 30 or more

7. How many years as a principal?
❏ 2 years or less
❏ 3-5
❏ 6-10
❏ 11-15
❏ 16 or more

8. Did you come from within your current district or outside your current district?
❏ Within
❏ Outside

9. What type of administrative preparation program did you participate in?
❏ University
❏ Nonuniversity, please specify: ____________________________________

10. Past experiences (check all that apply):
School site positions:
❏ Elementary school teacher
❏ Middle school teacher
❏ High school teacher
❏ Counselor (any level)
❏ College/university instructor
❏ Teacher on Special Assignment (TOSA)
❏ Other ______________________

School site administrator positions:
❏ Elementary School Assistant Principal
❏ Middle School Assistant Principal
❏ High School Assistant Principal
❏ Elementary Principal
❏ Middle School Principal
❏ High School Principal
❏ Dean of Students
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 127
District-level positions:
❏ Coordinator
❏ Specialist
❏ Director of Curriculum and Instruction
❏ Director of Research and Planning
❏ Director of Human Resources
❏ Director of Student Support Services
❏ Director: Other _____________________________________________________

Experiences other than education:
❏ Please specify: _____________________________________________________

11. Salary Range (approximate):
❏ Less than $100,000
❏ $100,001 - 110,000
❏ $110,001 - 120,000
❏ $120,001 - 130,000
❏ $130,001- 140,000
❏ $140,001- 150,000
❏ $150,001- 160,000
❏ $160,001- 170,000
❏ More than $170,001

School District Information

12. Type of school district:
❏ Urban
❏ Urban/suburban
❏ Suburban
❏ Rural

13. District student enrollment:
❏ Less than 5,000
❏ 5,001 - 10,000
❏ 10,001 - 20,000
❏ 20,001 - 30,000
❏ 30,001 - 40,000
❏ 40,001 - 50,000
❏ 50,001 - 60,000
❏ 60,001 - 70,000
❏ More than 70,000
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 128

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 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
(NA)
1. University programs provided training and
experience that were important in preparing
me for my position as a principal.

2. My prior work experience was more import-
ant than my university training experience 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 position 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 prepar-
ing 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 pre-
paring me for my position as a principal.

8. Informal networks of support (such as profes-
sional colleagues) were important in prepar-
ing me for my position as a principal.

9. Networks with university professors were
important in preparing me for my position as
a principal.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 129

10. Planning my career was important in prepar-
ing me for my position as a principal.

11. My university training program provided
intentional supports or resources to prepare
me for my position as a principal.

12. Having experience as a teacher leader was a
crucial element in preparing me for my posi-
tion as a principal.

13. Having experience as an assistant principal
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
(NA)
14. As an aspiring principal, district resources
and programs were important in being
recruited into my current position as a princi-
pal.

15. My university principal preparation program
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 being
recruited into my current position as a
principal.

17. The nonmonetary incentives offered by my
district were important factors in applying for
the principal position in my district.

18. The salary and benefits offered by my district
were important factors in applying for the
principal position in my district.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 130
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 educa-
tion 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 princi-
pal position in my district.

22. My level of understanding of district initia-
tives 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, networking
with district personnel was an important
factor in being recruited in my current posi-
tion 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 organiza-
tions was an important factor in being
recruited into my current position as a prin-
cipal.

28. Holding an advanced degree (e.g., Ed.D. or
Ph.D.) was an important factor in being
recruited into my current position as a prin-
cipal.

29. Having instructional leadership experience
was an important factor in being recruited
into my position as a principal.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 131
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 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
(NA)
30. My university training program provided me
with processes/strategies that currently
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 retaining my position
as a principal.

32. Having a mentor(s) provided me with
processes/strategies that currently support my
success in retaining my position as a princi-
pal.

33. My relationship with directors, assistant
superintendents, and my superintendent
supports my success in retaining my position
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 position
as a principal.

36. Pressures from accountability measures affect
my desire to retain my position as a principal.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 132
APPENDIX D
HUMAN RESOURCES 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
(NA)
1. University programs provided training and
experience that are important in preparing
principals for their positions.

2. Prior work experience was more important
than university training experience in pre-
paring principals for their current posi-
tions.

3. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was important in preparing prin-
cipals for their current positions.

4. Nonuniversity training programs (e.g., the
ACSA Principal Academy) were important
in preparing principals for their current
positions.

5. Holding certification and/or licensure from
organizations (such as USC or ACSA) was
important in preparing principals for their
current positions.

6. Having a mentor was important in prepar-
ing my principals for their current posi-
tions.

7. A professional network of support (e.g.
NASSP, ACSA, or through a university)
was important in preparing my principals
for their current positions.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 133

8. Informal networks (e.g., professional col-
leagues) were important in preparing prin-
cipals for their current positions.

9. Having experience as a teacher leader was
crucial for preparing principals for their
current positions.

10. Having experience as an assistant principal
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
(NA)
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 programs help
candidates to get recruited into principal positions
in my district.

14. The nonmonetary incentives offered by my district
are important factors in candidates applying for
principal positions in my district.

15. The salary and benefits offered are important
factors in candidates applying for principal posi-
tions in my district.

16. Candidates’ previous experience in education is an
important factor in recruiting for principal posi-
tions in my district.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 134
17. Candidates’ previous experience outside of educa-
tion is an important factor in recruiting for princi-
pal positions in my district.

18. The reputation of my school district is an
important factor in candidates applying for princi-
pal positions in my district.

19. Candidates’ level of level of understanding of
district initiatives and goals was an important
factor in being recruited into principal positions in
my district.

20. Networking with district personnel helps candi-
dates 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 organiza-
tions helps candidates to get recruited into princi-
pal 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 experience is an
important factor in recruiting for principal posi-
tions in my district.

26. My district is experiencing a shortage of quality
candidates for the principal position.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 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
(NA)
27. University training programs provide principals
with skills/strategies that support their success in
retaining their current positions.

28. Professional networks (such as NAESP, NASSP,
ACSA, university networks) provide principals
with processes/strategies that support their
success in retaining 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 direc-
tors, assistant superintendents, and the superin-
tendent support their success 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.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 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
(NA)
1. University programs provided training and
experience that are important in preparing princi-
pals for their positions.

2. Prior work experience was more important than
university training experience in preparing prin-
cipals 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 important in preparing
principals for their current positions.

5. Holding certification and/or licensure from
organizations (such as USC or ACSA) was
important in preparing principals for their current
positions.

6. Having a mentor was important in preparing 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 posi-
tions.

8. Informal networks (e.g., professional colleagues)
were important in preparing principals for their
current positions.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 137
9. Having experience as a teacher leader was crucial
for preparing principals for their current posi-
tions.

10. Having experience as an assistant principal 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
(NA)
11. District resources and recruitment strategies help
candidates to get recruited into principal posi-
tions in my district.

12. University principal preparation programs help
candidates to get recruited into principal posi-
tions in my district.

13. Nontraditional principal preparation programs
help candidates to get recruited into principal
positions in my district.

14. The nonmonetary incentives offered by my
district are important factors in candidates
applying for principal positions in my district.

15. The salary and benefits offered are important
factors in candidates applying for principal posi-
tions in my district.

16. Candidates’ previous experience in education 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.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 138

18. The reputation of my school district is an
important factor for candidates applying for prin-
cipal positions in my district.

19. Candidates’ level of understanding of district
initiatives and goals was an important factor in
being recruited into principal positions in my
district.

20. Networking with district personnel helps candi-
dates 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 posi-
tions in my district.

23. Candidates’ participation in professional
organizations helps candidates get to 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 experience is an
important factor in recruiting for principal posi-
tions in my district.

26. My district is experiencing a shortage of quality
candidates for the principal position.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 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
(NA)
27. University training programs provide princi-
pals with skills/strategies that support their
success in retaining their current positions.

28. Professional networks (such as NAESP,
NASSP, ACSA, university networks) provide
principals with processes/strategies that
support their success in retaining 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 success in retain-
ing 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 posi-
tion.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 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
(NA)
1. University programs provided training and
experience that are important in preparing
principals for their positions.

2. Prior work experience was more important
than university training experience in prepar-
ing 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 important in
preparing principals for their current positions.

5. Holding certification and/or licensure from
organizations (such as USC or ACSA) was
important in preparing principals for their
current positions.

6. Having a mentor was important in preparing
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 col-
leagues) were important in preparing princi-
pals for their current positions.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 141
9. Having experience as a teacher leader was
crucial in preparing principals for their current
positions.

10. Having experience as an assistant principal
was crucial in 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
(NA)
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 posi-
tions in my district.

13. Nontraditional principal preparation programs
help candidates to get recruited into principal
positions in my district.

14. The nonmonetary incentives offered by my
district are important factors for candidates
applying for principal positions in my district.

15. The salary and benefits offered are important
factors for candidates applying for principal
positions in my district.

16. Candidates’ previous experience in education
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.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 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 understanding 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 posi-
tions 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 posi-
tions 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 experience is
an important factor in recruiting for principal
positions in my district.

26. My district is experiencing a shortage of qual-
ity candidates for the principal position.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 143

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
(NA)
27. University training programs provide princi-
pals with skills/strategies that support their
success in retaining their current positions.

28. Professional networks (such as NAESP,
NASSP, ACSA, university networks) provide
principals with processes/strategies that
support their success in retaining 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 success 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 posi-
tion.

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 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 Califor-
nia 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?
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 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?

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 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 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 chose
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 Califor-
nia 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
principalship?
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?

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 147
Recruitment

5. How did principal training programs prepare your principals for the recruitment process?

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?
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 148
APPENDIX I
IMMEDIATE SUPERVISOR INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction

Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.

Your participation in this study is voluntary. The information 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 chose
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 Califor-
nia 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
principalship?
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?

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 149
Recruitment

5. How did principal training programs prepare your principals for the recruitment process?

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?
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 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 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 chose
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 Califor-
nia 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
principalship?
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?

UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 151
Recruitment

5. How did principal training programs prepare your principals for the recruitment process?

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?
UNDERSTANDING THE 21ST-CENTURY PRINCIPALSHIP 152
APPENDIX K
QUESTION ALIGNMENT MATRIX

Instrument
RQ1
How have training
programs and profes-
sional experiences
prepared principals to
manage the complex-
ities and challenges of
the principalship?
RQ2
What are the percep-
tions of principals,
immediate super-
visors of principals,
human resources
administrators, and
superintendents
regarding strategies to
recruit successful
principal candidates?
RQ3
What are the per-
ceived 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 Inter-
view Guide
1-4 5-9 10-12
Immediate Supervisor
Survey
1-10 11-26 27-33
Immediate Supervisor
Interview Guide
1-4 5-9 10-12
Superintendent
Survey
1-10 11-26 27-33
Superintendent Inter-
view Guide
1-4 5-9 10-12

Abstract (if available)

Abstract The K–12 public school principal plays a vital role in student achievement. The principalship is multifaceted. The 21st-century principal is expected to manage a wide range of tasks such as building manager, instructional leader, and being the overall leader at the school site–knowing that ultimately he or she is responsible for the school site as a whole. Often, aspiring principals do not have an accurate understanding of the demands of the position and do not thrive in the position, ultimately exiting the principalship. The purpose of this qualitative study was to understand the preparation, recruitment, and retention practices of 21st-century public school principals. Superintendents, immediate supervisors of principals, human resources administrators, and principals served as participants in the study and shared their experiences and understanding about the preparation, recruitment, and retention of public school principals. Themes pertaining to three research questions were identified and reported. Having first-year administrator knowledge and skills on how to build relationships along with demonstrating lead-learner characteristics were identified as successful ways to prepare for the principalship. A positive perception from the community of the district/school site, use of professional and informal networking opportunities, and possessing value-added characteristics were identified as factors in the recruitment process. District support structures, embodying lead-learner characteristics as a principal, and having the opportunity to be an agent of change were identified as factors in the retention of principals. The themes of this study have implications for aspiring principals as they seek the principalship, for administrative credentialing programs as they prepare curriculum, and for school districts as they seek to strengthen their pipelines.

Linked assets

University of Southern California Dissertations and Theses

Conceptually similar

PDF

The principalship: preparation, recruitment, and retention

PDF

School leadership: preparation, recruitment, and retention of principals

PDF

An analysis of the preparation, recruitment, and retention of principals

PDF

The preparation, recruitment, and retention of principals in southern California

PDF

The 21st-century principal: the recruitment, mentoring, and retention of principals

PDF

Developing longevity in the K-12 principal position: strategies for preparation, recruitment, and retention

PDF

K-12 public school district principals in California: strategies for preparation, recruitment, and retention

PDF

The preparation, recruitment, and retention of California K-12 principals

PDF

Public school district principals in California: preparation, recruitment, and retention

PDF

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

PDF

The preparation, recruitment, and retention of California K–12 principals

PDF

High-performing school district superintendents: preparation, recruitment, and retention

PDF

Influence of teacher recruitment, retention, training, working conditions, and improvement of district support of 21st-century teaching and learning

PDF

Influence of globalization and educational policy on development of 21st-century skills and education in science, technology, engineering, and mathematics and the science and technology fairs in ...

PDF

Globalization and the need for 21st-century skills: implications for policy education in science, technology, engineering, mathematics, and project-based learning in schools in Ireland

PDF

Influence of SciFest on Irish students in developing interest in science, technology, engineering, and mathematics and 21st-century skills in preparation for competing in a global economy

PDF

Influence of teacher recruitment, retention, training, and improvement on district support of 21st-century teaching and learning

PDF

Understanding the pathway leading to the recruitment, support, and retention of superintendents from multiple lenses

PDF

Successful superintendents of schools: preparation, recruitment, and retention

PDF

SciFest and the development of 21st-century skills, interest in coursework in science, technology, engineering, and mathematics, and preparation of Irish students for a globalized Ireland

Asset Metadata

Creator Correa Munoz, Jessica B. (author)

Core Title Understanding the 21st-century principalship: contemporary preparation, recruitment and retention practices

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 05/15/2020

Defense Date 01/16/2020

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

Tag K-12 education,leadership,OAI-PMH Harvest,principals

Language English

Contributor Electronically uploaded by the author (provenance)

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

Creator Email correajess86@gmail.com,jbcorrea@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-308990

Unique identifier UC11663525

Identifier etd-CorreaMuno-8526.pdf (filename),usctheses-c89-308990 (legacy record id)

Legacy Identifier etd-CorreaMuno-8526.pdf

Dmrecord 308990

Document Type Dissertation

Rights Correa Munoz, Jessica B.

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