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

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

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Content Running head: PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 1
THE PREPARATION, RECRUITMENT, AND RETENTION
OF CALIFORNIA K–12 PRINCIPALS
by
Roy Umana
____________________________________________________________________
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
EDUCATION (LEADERSHIP)
May 2020
Copyright 2020 Roy Umana
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 2
DEDICATION
This dissertation is dedicated to my wife Bri, for her constant support and love
throughout this process. Without her and the sacrifices she made, I would not have been able to
complete this journey. I also want to dedicate this to my three sons: Elijah, Micah, and Ezra. All
I wanted was to set an example for the three of them and to show them that their dreams are
attainable but will require hard work, commitment, and drive.
This dissertation is also dedicated to my mom, Linda, and my grandmother, Esperanza.
Both of them have raised me to work hard and believe in myself. Without their love and support,
I would not be where I am today.
I love my brothers, Marcelino and Moises, and my sister Monique with my whole heart
and pray that they follow their dreams and accomplish them.
I would like to further dedicate this dissertation to Rick and Donna Huff. Their support,
prayers, and love for my family through this process helped to make this accomplishment
possible, and I could not be more thankful for them.
Finally, I would like to thank my extended family and friends. Their support has provided
me with motivation and drive. This would not have been possible without them.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 3
ACKNOWLEDGMENTS
It is my great honor to thank and recognize those individuals who have supported me
throughout the doctoral program at USC as well as throughout the dissertation writing process. I
would like to start by thanking Andrea Katanic. I am grateful that we went through this process
together. I believe that we truly became friends through this process, and I know that I could not
have done this without her.
I would also like to thank Dr. Richard Sheehan, Dr. Jonathan Blackmore, and Dr.
Elizabeth Eminhizer. All three encouraged me throughout this process and have helped me
tremendously throughout my career. I thank them all for allowing me to be a part of their team at
Covina-Valley Unified. Any success that I have achieved is a reflection of the amazing teams of
which I have been a part.
I am grateful to Dr. Michael Escalante, my dissertation chair, for including me in this
wonderful journey. His vision and tireless effort made this dream become a reality. This
accomplishment would not have been possible without him.
I thank the dissertation committee members: Dr. Michele Doll, Dr. David Cash, and Dr.
Owen Crosby. Their thoughtful insights allowed me to grow as an educational leader.
I thank the members of the Rossier School of Education. Finally, I would like to thank
my editor, Phyllis Parmet, for her assistance and advice.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 4
TABLE OF CONTENTS
Dedication 2
Acknowledgments 3
List of Tables 7
List of Figures 9
Abstract 10

Chapter 1: Introduction 11
Background of the Problem 11
Statement of the Problem 12
Purpose of the Study 13
Research Questions 14
Significance of the Study 14
Assumptions 14
Limitations 15
Delimitations 15
Definition of Terms 15
Organization of the Dissertation 17
Chapter 2: Literature Review 18
History of the Position 18
The Principal Teacher (1647–1850) 18
The Scientific Manager 20
The Principal as Administrator and Instructional Leader 21
The Principal and the Age of Accountability 22
Preparation and Preservice 22
University Preservice Programs 22
California State Certification 24
Nonuniversity Training Programs 25
Diversity 27
Recruitment 27
Creating a Pipeline 29
Tapping 30
Deterrents to Applying for a Principalship 31
Retention of the Principal 32
Mentorship 33
Measurement of a High-Performing School 35
Skills Needed by the 21st-Century Principal 36
Transformational Leadership 37
Servant Leadership 37
Instructional Leadership 38
Situational Leadership 38
School Leadership That Works 40
Four Frames 42
Fullan: The Principal 43
The Coherence Framework 44
Conceptual Framework 46
Chapter Summary 47
Chapter 3: Methodology 49
Research Questions Restated 49
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 5
Research Design and Method 50
Qualitative Research 50
Why a Mixed-Methods Approach 50
Research Team 51
Population and Sampling 52
Access and Entry 53
Instrumentation 53
Quantitative Instrumentation 54
Qualitative Instrumentation 54
Data Collection 55
Data Analysis 56
Validity, Credibility, and Trustworthiness 56
Reliability 56
Ethical Considerations 57
Chapter Summary 57
Chapter 4: Findings 58
Study Participants 59
Qualitative Interview Participants 59
Quantitative Survey Participants 60
Findings for Research Question 1 61
On-the-Job Experience 62
Working in Collaboration With Mentors and Other Principals 69
Summary of Results for Research Question 1 78
Findings for Research Question 2 79
Pipelines to the Principalship 91
Tapping Successful Assistant Principals 103
Summary of Results for Research Question 2 119
Findings for Research Question 3 119
District Office Support 127
Working With Peers 135
Summary of Results for Research Question 3 139
Chapter Summary 148
Chapter 5: Discussion, Implications, and Recommendations 150
Purpose of the Study Restated 151
Summary of the Findings 152
Research Question 1 152
Research Question 2 153
Research Question 3 154
Implications 155
Recommendations for Future Study 155
Conclusion 156

References 157

Appendices
Appendix A Research Participants’ Invitation E-Mail 166
Appendix B Informed Consent 167
Appendix C Principal Survey 168
Appendix D Human Resources Administrator Survey 175
Appendix E Immediate Supervisor of Principal Survey 179
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 6
Appendix F Superintendent Survey 183
Appendix G Principal Interview Guide 187
Appendix H Human Resources Administrator Interview Guide 189
Appendix I Immediate Supervisor of Principal Interview Guide 191
Appendix J Superintendent Interview Guide 193
Appendix K Question Alignment Matrix 195
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 7
LIST OF TABLES
Table 1: Summary of Participants, Their Organization/Position, and Data Types 61
Table 2: Participant Responses Indicating That Principals Perceived That On-the-Job
Experience Was More Valuable Than University Training Programs
(Percentages) 80
Table 3: Participant Responses Indicating That Superintendents Perceived That
On-the-Job Experience Was More Valuable Than University Training
Programs (Percentages) 83
Table 4: Participant Responses Indicating That Human Resources Administrators
Perceived That On-the-Job Experience Was More Valuable Than University
Training Programs (Percentages) 86
Table 5: Participant Responses Indicating That Immediate Supervisors of Principals
Perceived That On-the-Job Experience Was More Valuable Than University
Training Programs (Percentages) 89
Table 6: Participant Responses Indicating That Superintendents Perceived That
Building Pipelines to the Principalship and Recruiting From Within Were
More Beneficial Than University Preparation Programs (Percentages) 113
Table 7: Participant Responses Indicating That Human Resources Administrators
Perceived That Building Pipelines to the Principalship and Recruiting From
Within Were More Beneficial Than University Preparation Programs
(Percentages) 116
Table 8: Participant Responses Indicating That Immediate Supervisors of Principals
Perceived That Building Pipelines to the Principalship and Recruiting From
Within Were More Beneficial Than University Preparation Programs
(Percentages) 120
Table 9: Participant Responses Indicating That Principals Perceived That Building
Pipelines to the Principalship and Recruiting From Within Were More
Beneficial Than University Preparation Programs (Percentages) 124
Table 10: Participant Responses Indicating That Superintendents Agree That Supporting
Principals and Principals Working in Professional Learning Communities Help
to Retain Principals (Percentages) 140
Table 11: Participant Responses Indicating That Human Resources Administrators
Agree That Supporting Principals and Principals Working in Professional
Learning Communities Help to Retain Principals (Percentages) 142
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 8
Table 12: Participant Responses Indicating That Immediate Supervisors of Principals
Agree That Supporting Principals and Principals Working in Professional
Learning Communities Help to Retain Principals (Percentages) 144
Table 13: Participant Responses Indicating That Principals Agree That Supporting
Principals and Principals Working in Professional Learning Communities
Help to Retain Principals (Percentages) 146
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 9
LIST OF FIGURES
Figure 1: The situational leadership model 39
Figure 2: The coherence framework 46
Figure 3: Conceptual framework for the study 48
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 10
ABSTRACT
The K–12 public school principal is an important position that ultimately affects student
achievement. To be successful, principals must be prepared to navigate the complexities of the
position. This qualitative study examined the preparation, recruitment, and retention of K–12
school principals who served in public schools in a region of public school districts in southern
California. Perspectives from the qualitative participants of 37 public school districts served to
answer this study’s three research questions through common themes. The common themes were
also supported by quantitative survey data. The aim of the three research questions was to
understand principal preparation, recruitment, and retention, respectively. Preparation occurred
through prior on-the-job training, mentorships from practitioners in the field, and experience as a
teacher and assistant principal. In the recruitment process, districts created pipelines to the
principalship that provided principal candidates with opportunities to gain experiences that were
relevant to the principal position. Principals also felt that they were “tapped,” or encouraged to
become an administrator during their time as a teacher. Principals believed that it was the support
from the district office and the relationships that they developed with their district office that
helped with their retention as a principal. Additionally, principals found value in collaborating
with their peers to share best practices and ideas that could benefit their school sites.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 11
CHAPTER 1: INTRODUCTION
The K–12 principal holds one of the most influential positions in the school district (Ash,
Hodge, & Connell, 2013; Fullan, 2014; Norton, 2002). The role of the principal is a balance
between a manager and an instructional leader who is ultimately responsible for the well-being
of the members of their organization and for production by teachers and students, as measured by
state summative assessments (Brubaker & Simon, 1986; Palmer, 2017). The principal is
responsible for managing certificated and classified staff, establishing a shared vision for student
success, building a collaborative culture, and ensuring the safety and well-being of faculty and
students (Bolman & Deal, 2013; Brubaker & Simon, 1986; Fullan, 2014). To be successful, it is
imperative that aspiring and current principals understand how to navigate the complexities of
the position with proper training, recruitment strategy, and skillsets for retention. Even though
being a teacher is a prerequisite for the job of principal, teaching experience is not an indicator of
a successful principal. School districts must be cognizant of the many roles of a principal in
order to select a candidate who is adequately trained and prepared.
This chapter contains the background of the problem, statement of the problem, purpose
of the study, research questions, significance of the study, limitations, delimitations, and
definitions of terms. This study examines the perceptions of current principals and district office
personnel regarding the preparation of principals, the techniques and strategies used to recruit
potential candidates, and how districts retain a principal.
Background of the Problem
The principalship is multifaceted; 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
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 12
requirements of the job. The pressures of accountability systems, expectations placed on
principals, low compensation for high demands, and the excessive amount of time required for
the job have led to challenges in retaining successful principals (Norton, 2002). The
responsibilities of the principal 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 that 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 principal preparation,
recruitment, and retention.
Statement of the Problem
Since its inception in the mid-1600s, the role of the principal has evolved drastically from
a head teacher position to one who is charged with establishing a schoolwide vision, being an
instructional leader, planning effective professional development to build the capacity of
teachers, managing school discipline, managing and attending school events, ensuring the day-
to-day safety of all school personnel, and increasing student achievement and teaching
production in the classroom (Brubaker & Simon, 1986; Fullan, 2014; Norton, 2002; Walker &
Kwan, 2012). Aspiring principals must thoughtfully consider proper preparation and the skill-
sets that are necessary to be successful in the role.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 13
Both university and nonuniversity programs have made attempts to prepare prospective
principals for the roles and responsibilities that the principalship requires, but many have fallen
short in their efforts, as seen in the high turnover rates that exist today (Barnet, 2004; Brown,
2005; Davis & Darling-Hammond, 2012; Hess & Kelly, 2007; Jackson & Kelly, 2002). School
districts should be cognizant of their strategies for recruitment of principal candidates to ensure
that they are hiring principals who are effective for the specific school. Support such as
mentoring and networking have contributed to successful principals’ longevity and should be
taken into consideration by preparation programs, school districts, and those serving in a
principalship (Brown, 2005; Service, Dalgic, & Thornton, 2016). The fact that disparities in the
recruitment and retention of female principals and principals of color exist magnifies the
problem for these subgroups (Hill, Ottem, & DeRoche, 2016; Hoff, Menard, & Tuell, 2005).
These inadequacies signify an overall problem in principal’s preparation, recruitment, and
retention.
Purpose of the Study
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of successful California K–12 principals. While the most significant direct influence on
student achievement is the teacher, the second most critical influence is the principal (Fullan,
2014). The principal is charged with being an instructional leader, a provider of resources to both
students and teachers, and overall manager of the school site. Considering that the role of the
principal is a major component of student achievement, it is essential to identify the preparation,
supports, and skills needed for principals to meet the challenges and complexities of the
principalship, as well as the support and retention efforts that districts must use to keep principals
in this important role (Marzano et al., 2005).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 14
Research Questions
The following research 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
This study serves to inform multiple stakeholders. Preparation programs and universities
will be informed about innovative strategies that are effective in preparing prospective
candidates for the demands of the principalship. Principal candidates will be informed of the
many responsibilities that the role of the principal entails, as well as strategies and skills that are
needed to be successful in the role. K–12 districts will be informed on how to change recruitment
strategies when hiring new principals to ensure that they are hiring someone who possesses the
skills, vision, and experience that are needed for the school. The principal’s direct supervisor and
K–12 district personnel can learn strategies to retain successful principals by providing
mentorships, coaching, or increased pay to keep effective principals in their current roles.
Assumptions
The results of this study were based on the assumptions that successful principals are
currently employed as a principals in their districts. It was assumed that all participants were
truthful in their survey and interview responses and that the survey protocols provided the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 15
research team with accurate, reliable, and valid information. It was assumed that the sample
would reflect the beliefs of district office personnel and superintendents in the state of California.
Limitations
Limitations address matters that are beyond the control of the researcher (Simon & Goes,
2013). Even though measures were taken to ensure the reliability and validity of the study, the
study has recognized limitations. The first limitation of this study is that it was not possible to
sample the entire census of California K–12 principals. The results of the study were limited to
participants in California due to location constraints of the research team. Second, only
participants who responded voluntarily were included in the study. The study was constrained by
limited time, which reduced generalizability (Merriam & Tisdell, 2016). Findings are
generalizable only to districts that participated in the study. The reliability of the quantitative and
qualitative instruments could have affected the validity of the study. The research group used
triangulation and examine multiple theories to increase the credibility of the study (Merriam &
Tisdell, 2016).
Delimitations
Simon and Goes (2013) defined delimitations as the limitations that result from specific
decisions made by the researcher. One delimitation of the study was the small study sample,
based on time and convenience. Although the research group collected data from a purposeful
sample, a delimitation of this study is that the research group collected data only from a
convenience sample of California K–12 principals and district office personnel.
Definition of Terms
For the purpose of the study, the following terms are defined.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 16
Association of California School Administrators (ACSA): The largest umbrella
organization for school leaders in the United States, serving more than 17,000 California
educators (ACSA, 2019).
Coaching: A task-oriented, performance-driven relationship with a focus on increasing
an individual’s specific skills.
Direct supervisor: A district office administrator who oversees the evaluation and
mentoring of a site principal
Human resource personnel: Those who work in the human resources department of a
school district and oversee hiring practices.
Mentor: A person who holds experience and knowledge and works with others to develop
their skills (Galbraith & Cohen, 1995).
Mentoring: A relationship focused on developing an individual, professionally and
personally.
Preparation programs: University, professional organization, or embedded training that
supports a principal candidate in obtaining the skills necessary for the principalship.
Principal: The head or leader of a school.
Principal preparation: The strategies used by an aspiring principal to equip him or her
for the principalship.
Principal recruitment: The process or strategy used by school districts or individuals to
hire principals
Principal retention: The process or strategies used by a principal or district personnel to
support retention of the principal.
Principalship: The office, position, or jurisdiction of a principal.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 17
School district: A local education agency that operates schools in a local geographic
location.
Successful principals: Persons who are currently serving as principals successfully.
Superintendent: The administrator or manager in charge of multiple schools in a school
district.
Tapping: The informal process of current administrators identifying and encouraging
teachers with leadership skills to pursue administrative positions.
Organization of the Dissertation
This dissertation is organized in five chapters. Chapter 1 presented an introduction to the
study, the problem that the study was designed to solve, the research questions that the study was
designed to answer, the significance of the study, the limitations and delimitations of the study,
and the definition of terms. Chapter 2 contains a review of the scholarly literature relevant to this
study; it also provides a theoretical and conceptual framework that acts as a lens for the study.
Chapter 3 presents the study’s methodology, a description of the sample and population,
instrumentation, and data collection and data analysis processes that were utilized in the study.
Chapter 4 reports the study’s findings and addresses the study’s research questions. Chapter 5
presents conclusions, future implications, and recommendations for further research relating to
K–12 principal preparation, recruitment, and retention.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 18
CHAPTER 2: LITERATURE REVIEW
History of the Position
The position of principal in the United States is unique and multifaceted; it has evolved
drastically since its inception in the late 18th century. In fact, the current roles and
responsibilities of the principal are new to the history of public education and have shifted as
public schools have evolved into what they are today (Kafka, 2009). Regardless of the period,
the responsibilities of the principal have balanced between two significant domains: the principal
in governance of the school and the principal’s responsibility for curriculum and instruction in
the classroom (Brubaker & Simon, 1986). The modern principal is responsible for both domains
and must understand how to balance the two.
The Principal Teacher (1647–1850)
The earliest role of the principal was as principal teacher or head teacher (Brubaker &
Simon, 1986; Kafka, 2009; Kavanaugh, 2005; Rousmaniere, 2009). The Colony of
Massachusetts enacted the first school law that required every town with 50 or more families to
establish a school to teach children how to read and write (Brubaker & Simon, 1986). These
schools were managed and taught by one teacher, who had the responsibility of teaching the
children and reporting to the school board, elected officials who helped to manage the school
(Brubaker & Simon, 1986).
During the 1800s, there were two significant shifts in the public school system. The first
was that schools needed more teachers due to the increase in student of population. This was
truer in schools located in urban settings, as jobs were more readily available in the cities
compared to the rural areas (Brubaker & Simon, 1986; Kafka, 2009; Kavanaugh, 2005;
Rousmaniere, 2009). The other significant shift was implementation of the graded system in
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 19
schools, which was the origin of the K–12 system. Students were in classes based on grade level
and were introduced to specific curriculum based on the grade. These two major shifts required
the position of the principal teacher (Brubaker & Simon, 1986; Kafka, 2009; Kavanaugh, 2005;
Rousmaniere, 2009). The principal teachers were responsible for the assigning of classes,
discipline of the students, the condition of the school, and ensuring that school began and ended
on time (Kafka, 2009).
The principal teacher served a unique role as liaison between the school district and the
teachers. Depending on the size of the school, the principal was either completely removed from
the classroom to carry out duties or taught part time with an assistant covering classes in his
absence (Brubaker & Simon, 1986). The principal teacher received no formal education to
prepare for the job of principal and, depending on the district, there were no clear guidelines on
how to perform the job (Brubaker & Simon, 1986).
In the mid-19th to early 20th century, school populations continued to grow, and the
principal teacher became more a manager of the school. The principal was completely relieved
of teaching responsibilities and focused solely on school management (Brubaker & Simon, 1986;
Kafka, 2009; Kavanaugh, 2005; Rousmaniere, 2009). Still with no formal training or education,
the principal took on expanded responsibilities those of the principal teacher and was now
required to conduct classroom observations, provide teachers with professional development,
manage discipline, and oversee testing and measurement of student performance (Brubaker &
Simon, 1986). It was also during this period that the principal was given more autonomy over the
school, including making and enforcing decisions that affected the culture of the school and the
hiring and firing of teachers (Kafka, 2009).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 20
The Scientific Manager
In the mid-20th century, principal preparedness programs were developed by universities
to train and prepare candidates for the principal position (Rousmaniere, 2009). During this time,
it was believed that the principal should learn to run a school like a business. Therefore, the
principal preparation programs offered classes that were very similar to those leading to a
business degree to prepare principals for responsibilities such as budgeting, maintenance, and
pupil accounting (Kavanaugh, 2005). The path to become a principal required more than just
teaching experience. Teachers who were interested in administrative work had to attend a
university and complete course work to be qualified for the principalship; those who were
already in the profession prior to the preparation programs were expected to attend to learn the
new methods of principal leadership (Rousmaniere, 2009). It was during this time that there was
a clear distinction between the role of a principal and the role of a teacher.
A major difference from the principal as a manager to the principal as a scientific
manager was that the principal was expected to use popular literature and theory to make
informed decisions (Brubaker & Simon, 1986). Tax dollars from the public were the main source
of funding for public education; therefore, it was expected that the principal would use evidence
from quantitative research prior to spending from the budget (Brubaker & Simon, 1986). The
principal as a scientific manager was also expected to stay current with popular theory and
literature; therefore, the principal was expected to attend conferences to build capacity in new
practices (Brubaker & Simon, 1986). Because of this scientific approach, it was believed that
there was a correct way of doing things, leaving little room for the principal to be innovative
with curriculum and instruction (Rousmaniere, 2009).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 21
The Principal as Administrator and Instructional Leader
After World War II, the principal role followed a more humanistic approach, along with
the scientific methods of management. The principal was responsible for preparing youth for
their role as citizens in a democratic nation. To do this, the principal had to be more involved in
development of the curriculum, which involved working collaboratively with the teachers
(Kavanaugh, 2005). It was also during this time that the principal was distinctly responsible for
both the bureaucratic responsibilities of the school and the curriculum and instruction in the
classroom. The principal was expected to use a humanistic lens to develop teachers by observing
them in the classroom, scheduling one-to-one conferences with them, and providing resources
for improving areas of deficit (Kafka, 2009; Kavanaugh, 2005).
The Cold War and the Soviet launch of Sputnik in 1957 further involved the principal in
the management of curriculum and instruction, as there was a major public demand to improve
student performance in the fields of science and mathematics (Brown, 2005). Principals were
expected to recruit and hire qualified teachers in these fields and improve the curriculum and
facilities in the sciences to prepare students (Brown, 2005). Adding to the pressure from the
public to increase student performance was the publication of A Nation at Risk in 1983, which
highlighted that American students were underperforming against international peers in
education (Kavanaugh, 2005).The principal was expected to reach measurable outcomes by
various groups and therefore had to use both the scientific and humanistic approach by studying
theories from current literature and sharing these theories with teachers to build their capacity to
improve performance (Kavanaugh, 2005). This focus on curriculum and instruction led the
principal to step into the age of the principal as instructional leader. As instructional leader, the
principal’s priority was to increase teacher productivity and student performance (Kavanaugh,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 22
2005). This included providing teachers with instructional resources, professional development,
and any other entity that was believed to be necessary to increase production in the classroom.
The Principal and the Age of Accountability
The 21st century marked the era of accountability for the principalship. Principals were in
competition with public schools, private schools, and charter schools, as parents had more
options on where to enroll their children (Kavanaugh, 2005). Principals were also held
responsible for the performance of their students, as funding from both federal and state
governments was tied directly to student performance by all racial and ethnic categories on
summative tests at the end of the year (Kavanaugh, 2005). This era of accountability led
principals to make their schools more student centered. To accomplish this, principals ensured
that teachers were creating lessons that were related to the standards, monitored progress of
student performance, and built relationships with students to overcome cultural differences.
Preparation and Preservice
As the role of the principal changed and progressed throughout its history, preparation for
the job of the principalship became more necessary (Kavanaugh, 2005). Various avenues for
preparation of principals developed, such as university preservice programs, nonuniversity
training programs, and certification programs. The following sections review the literature on
each of the possible ways in which principals can be prepared for the position.
University Preservice Programs
Universities training programs developed during the 1900s. The role of a principal was
compared to the role of a business manager; therefore, university programs focused their courses
to build the principal’s capacity for scientific management (Brubaker & Simon, 1986). It was not
until 1947–1985, when the United States became more aware of underperformance compared to
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 23
European peers in subjects such as mathematics and science, that universities focused their
course work on theories and research on learning, curriculum and instruction, and leadership.
In the mid-1980s, organizations such as the National Policy Board for Educational
Administration (NPBEA), the National Association of Elementary School Principals (NAESP),
and The National Association of Secondary School Principals (NASSP; 2018) made efforts to
define standards for the role of a principalship in efforts to convince universities to develop
course work to meet these criteria. It was not until development of the Interstate School Leaders
Licensure Consortium (ISLLC) standards that there was a clear standard for universities
regarding what curriculum content and performance measures were needed for the role of
principal (Jackson & Kelly, 2002). The ISLLC standards ensure that school principals are held
responsible for the following; (a) facilitating development, articulation, implementation, and
stewardship of school or district visions for learning supported by the school community; (b)
promoting a positive school culture, providing an effective instructional program, applying best
practices to student learning, and designing comprehensive professional growth plans for staff;
(c) managing the organization, operation, and resources in a way the promotes a safe, efficient,
and effective learning environment; (d) collaborating with families and community members,
responding to diverse community interest and needs, and mobilizing community resources; (e)
acting with integrity, fairly, and in an ethical manner; (f) understanding, responding to, and
influencing the larger political, social, economic, legal, and cultural context; and (g) internship.
The internship provides significant opportunities for candidates to synthesize and apply the
knowledge and practice and develop the skills identified in Standards A through F through
substantial, sustained, standards-based work in real settings, planned and guided cooperatively
by the institution and school district personnel for graduate credit (NPBEA, 2002). With the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 24
ISLLC standards providing universities a blueprint on how to prepare aspiring principals, there
are still critics of university preparation programs and the candidates who graduate from them
(Jackson & Kelly, 2002).
Critics of the university preparation programs argue that universities do not adequately
prepare students for the roles and responsibility of a principalship and therefore should change
their approach (Barnet, 2004; Brown, 2005; Cray & Weiler, 2011; Hess & Kelly, 2007; Styron,
Ronald, & LeMire, 2011). Areas for improvement are as follows: (a) less focus on theory and
more opportunities for application; (b) active instructional strategies that link theory and
practice, such as problem-based learning; (c) rigorous recruitment practices of both candidates
and faculty; (d) a clear focus and values about leadership and learning around which the program
is coherently organized; (e) organization of candidates into cohorts that create opportunities for
collaboration; (f) field-based internships with skilled supervision; and (g) strong partnerships
with schools and districts to support quality field-based learning (Davis & Darling-Hammond,
2012).
California State Certification
Each state has its own certification process for candidates to receive an administration
credential. In California, in order to be eligible for the Preliminary Administrative Services
Credential, candidates must have one of the following: (a) a valid California teaching credential
and a bachelor’s degree from a regionally accredited institution; (b) a valid California
Designated Subjects Teaching Credential, along with at least a bachelor’s degree, or (c) a valid
California Pupil Personnel Service Credential, Teacher Librarian Services Credential, Speech-
Language Pathology Service Credential, Clinical Rehabilitation Service Credential, or School
Nurse Service Credential, along with at least a bachelor’s degree and completion of a program of
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 25
professional preparation. In addition, candidates must complete an administrator preparation
program approved by the Commission on Teacher Credentialing (CTC; 2014, 2017). Candidates
can be exempted from completing a preparation program by passing the California Preliminary
Administrative Credential Examination (CPACE; CTC, 2017).
In order to convert the preliminary credential to a Clear Administrative Services
Credential, candidates must complete one of the following: (a) an individualized program of
advanced preparation in cooperation with the candidate’s employer and the program sponsor; (b)
a State Board of Education-approved Administrative Training Program; or (c) a Commission-
approved alternative preparation program or equivalent examination or experience. In addition,
candidates must complete at least 2 years of full-time administrative experience while holding
the Preliminary Administrative Services Credential (Teaching Ccertification.com, 2016).
Nonuniversity Training Programs
Candidates for the principalship can bypass enrolling in a Commission-approved
administrative program by taking the CPACE. Another alternative to university training
programs is district-based programs (Hess & Kelly, 2007). Districts form partnerships with local
schools of education or other education groups to create a streamlined program to produce their
own leadership prospects (Hess & Kelly, 2007). These programs use current curriculum used by
traditional university programs but tailor them to match the needs of the district (Hess & Kelly,
2007). Common characteristic of these programs are that they match the administrative
requirements outlined by the ISLLC standards, apply theory into practice, and offer aspiring
administrators mentorships to guide them through the program (Hess & Kelly, 2007).
Another pathway to attaining the principalship consists of nonprofit and for-profit
programs that are emerging throughout the United States. New Leaders for New Schools
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 26
(NLNS), a prominent nonprofit organization, offers an alternative approach to attaining the
principalship. NLNS accepts students who either have 3 years of teaching experience or
experience in leading adults in an organization. Accepted candidates are gathered into a national
cohort that meets for 6 weeks, 7 days a week. The curriculum is divided into three stands:
transformational leadership, instructional leadership, and organizational leadership (Hess &
Kelly, 2007). The is drawn from popular literature from the business and educational fields.
Once students have completed their coursework, they are placed at a school site under a
mentorship, where they are charged to complete three objectives throughout the year: (a) work
with three teachers and show evidence of improved student achievement, (b) oversee a team to
ensure a focus on the core business of student achievement, and (c) start an initiative to address a
building-wide problem and then document its success (Gates et al., 2019). After their residency
at a site, students who become principals then enroll in a postresidency group that provides
guidance and mentorship from veteran successful principals in the area (Newleaders.org, 2019).
NLNS and providers of other nontraditional pathways would argue that they provide a
more innovative alternative to preparing aspiring principals for the role of principalship than do
traditional university programs (Newsleaders.org, n.d.). However, districts that are not familiar
with NLNS and other nontraditional preparation programs are skeptical of these programs and do
not offer interviews to many graduates. Many who oversee hiring for a principalship, such as a
school council team, district personnel, or superintendents, are familiar with traditional
university programs and therefore prefer candidates from those programs rather than candidates
from programs such as NLNS (Hess & Kelly, 2007).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 27
Diversity
Research shows an overwhelming representation of White principals throughout the
nation (Hill et al., 2016). In the 89,910 principal jobs reported in the United States, 80% of those
jobs were reported to be White, compared to 10% Black and 7% Hispanic (Hill et al., 2016). In
the past 25 years, there has been surge of women in the role of principal. Since 1987, there has
been a 22% increase of women in the principalship. Currently, 52% of the nation’s principals are
women.
A major issue that arises is that the minority student population is more than 55% in
certain states in the West and less than 20% of total minority principals throughout the whole
United States (Sanchez, Thornton, & Usinger, 2008). This is a problem because minority
students may not identify with the principal of their school. Minority principals can serve as role
models to students of minority. The National Council of La Raza stated that Hispanic
administrators are highly significant to schools that are highly populated by Hispanic students
because they can provide the social capital and modeling to students who may not have these
resources readily available to them (Sanchez et al., 2008).
The literature has identified some possible barriers that may impede minority candidates
from seeking the role of principals, such as not enough role models in the position, minorities
aspiring for the principalship facing conscious or unconscious resistance from the educational
system, lack of support for aspirations, negative stereotypes, and a lack of research on minority
principals and their career aspirations (Sanchez et al., 2008).
Recruitment
Second only to teachers who have a direct impact on student performance, the leadership
qualities of a principal can have a profound impact on student achievement (Ash et al., 2013).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 28
For this reason, it is imperative that superintendents and school districts be purposeful in their
selection of a new principal in order to improve student outcomes. Unfortunately, the literature
shows that districts fail to be intentional in their selection strategies and often do not hire the
most effective candidate (Ash et al., 2013; Palmer, 2017; Walker & Kwan, 2012; Whitaker,
2001). Instead, the selection process of a principal can be simplified to a panel’s feeling about a
candidate based on interview skills and overall aesthetics, rather than qualifications and
experience (Ash et al., 2013; Palmer, 2017; Walker & Kwan, 2012; Whitaker, 2001). For this
reason, it is suggested that school districts and superintendents revamp their principal
recruitment procedures.
Prior to posting the vacancy for a principalship, superintendents and their leadership team
should assess the needs of the school (Ash et al., 2013). Some schools may need a principal who
is strong in analyzing and collecting data, while other schools may need a principal who is strong
in creating a student-focused culture. The needs of each school are unique, and it is important for
the superintendent and the leadership team to identify these needs as they narrow their search
(Ash et al., 2013).
During the screening process, applicants should be organized by experiences and
credentials. By knowing the needs of the school, the superintendent and the leadership team can
call references prior to the interview of the candidate to determine whether the applicant is a
potential right fit for the position (Ash et al., 2013). By calling references and asking them
specific questions that address the needs of the school, the superintendent and leadership team
increase their chances of selecting qualified applicants to be interviewed (Palmer, 2017).
Interviews are the most common strategy in the recruitment process for a principal. It is
recommended that the interview process be based on the framework suggested by Waters,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 29
Marzano, and McNulty (2003). Their work 21 Responsibilities of Effective Leaders outlines the
behaviors and characteristics of successful principals. Interview questions should ask about
experiences, hypotheticals, or situations that may arise that allow candidates to speak to those 21
responsibilities (Palmer, 2017).
Other recommendations presented in the literature are that training should be provided for
the interview panel to recognize the characteristics of effective principals and to ask interview
questions that reflect those attributes (Ash et al., 2013; Palmer, 2017; Walker & Kwan, 2012;
Whitaker, 2001). By changing the selection process, districts can hire candidates who are more
qualified for the principalship, which can result in improvement of student achievement and less
principal turnover.
Creating a Pipeline
Pijanowski et al. (2009) and Thomson, Blackmore, Sachs, and Tregenza (2003)
suggested that school districts should develop their own internal pipeline of leaders. These
leaders should already hold administrative credentials and should be provided meaningful
leadership opportunities to develop skills to make a smooth transition into the principalship when
they are needed. In developing these leaders, districts should create collaborative partnerships
with university credentialing programs and develop supportive induction programs to interest
potential candidates to the position (Cooley & Shen, 2000; Pijanowski et al., 2009; Whitaker,
2001, 2003; Whitaker & Vogel, 2005). A new thought in this direction involves hiring less-
experienced candidates, who are traditionally younger than previous generations of principals,
who may need additional preparation on the job but would be farther from retirement, which
would allow more years in the position (Gajda & Militello, 2008; Pijanoswki et al., 2009). This
essentially allows district leaders to groom young emerging leaders into the strong
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 30
transformational leaders to meet the needs of the district and of specific school sites while
assuring longevity in the position.
Tapping
Tapping is described as a process in which standing administrators actively select and
recruit teachers who demonstrate effective or developing leadership qualities so they can
eventually become principals. Several researchers (Browne-Ferrigno & Muth, 2004; Whitaker,
2001, 2003) have identified this type of practice as an effective, direct, and informal method to
recruit potential candidates for principal positions. The logic lies in the fact that current
administrators understand the characteristics that are necessary to take on the responsibilities of
being a principal and are therefore able to identify those qualities in other people. Many current
principals report that they were ready to take on a principalship due to increased responsibilities
that had been assigned to them by site supervisors while they were school site teachers (Browne-
Ferrigno & Muth, 2004). This practice encourages site administrators, as well as superintendents,
to encourage teachers with strong leadership skills to take on leadership positions while
providing ongoing support and mentoring to help them move eventually into a principal position
(Brown-Ferrigno & Muth, 2004; Whitaker, 2001, 2003). Given the fact that many candidates
stop looking for principal positions within 2 years (Pijanowski et al., 2009), recruiting processes
should start from within school districts to develop a pipeline from the classroom to the principal
position and reduce or remove factors that inhibit candidates from applying (Brown-Ferrigno &
Muth, 2004; Thomson et al., 2003; Whitaker, 2001). In doing so, districts can structure the role
of the principal based on the strongest qualities of their candidates, ensuring that the districts can
place new principals in schools where their skillset might be used best (DiPaola & Tschannen-
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 31
Moran, 2003; Doyle & Locke, 2014; Whitaker & Vogel, 2005) and reduce existing barriers in
applying for principal positions (Pijanowski et al., 2009; Whitaker, 2001).
Deterrents to Applying for a Principalship
The role of the principal has evolved drastically from the simple role of head teacher to a
position that must balance the roles of an instructional leader and manager of the school. Today,
the principal is accountable for student achievement, teacher performance, maintenance and
business of the school, and liaison between the school and community. With so many
responsibilities, the role of a principal is not as appealing as it once was (Thomson et al., 2003).
Gajda and Militello (2008) called the principal’s job a “revolving door” and stated that the
position in its current form is “nearly untenable” (p. 14).
One major reason that potential candidates have turned away from applying for the role
of principal deals with the stress that the position entails (Thomas et al., 2003). Gajda and
Militello (2008) found in their research that 21% of principals who were planning to leave the
office listed stress as the primary reason for leaving. Stressors such as long working hours at
night and on weekends, dealing with conflicts between students and adults, and going from one
crisis to the next were examples that made the principal job unappealing for potential candidates
(Thomas et al., 2003).
Another reason candidates were not applying for the job was that the salary of a principal
did not match the roles and responsibilities that the position entailed (Gajda & Militello, 2008).
This was exceptionally true of principals who served in a rural community (Fuller, Hollingworth,
& Young, 2015). Principals who served in urban communities were more likely to stay in their
position because the pay was much more lucrative compared to that of their rural peers. The
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 32
higher the principal salary, the more likely the principal was to stay in the position (Fuller et al.,
2015).
The complexity of the role of the principal was another reason potential candidates
declined to apply for a principalship (Gajda & Militello, 2008). The principal’s role has evolved
drastically from the role of head teacher. Today, the principal is an instructional leader, a human
resources director, and a school manager (Brown, 2005). In addition, the principal is responsible
for student and teacher performance on state summative assessments, which adds to the growing
pressure faced by the principal (Fuller et al., 2015). With the various and often unpredictable
responsibilities of the principal, the job is not as glamorous as it once was. For this reason, there
is a shortage of applicants for the role (Richardson, Watts, Hollis, & McLeod, 2016).
Retention of the Principal
It has been recognized that the principal is one of the most influential persons in a school
(Marzano et al., 2005). Therefore, to increase student achievement, it is imperative to hire and
retain effective principals. Unfortunately, a rising problem in education is the rapid turnover rate
of principals (Baker et al., 2010; Fuller & Young, 2009; Norton, 2002; Whitaker, 2003). A study
by NASSP revealed a 50% turnover rate of high school principals and a 42% turnover rate of
elementary school principals (NAESP, 2018). The literature has identified numerous reasons for
principals leaving the profession: (a) the changing demands of the job, (b) low salary, (c) time
requirements, (d) lack of parent and community support and the negativity of the media and
pupils toward schools, and (e) lack of respect (Norton, 2002). In addition, Fuller, Young and Orr
(2007) found a correlation between the retention of a principal and the academic performance
level of the school, as well as the level of poverty.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 33
The increase in turnover has a negative effect on hiring effective principals for the role
(Norton, 2002). Richardson et al. (2016) reported a lack of individuals applying for
principalships. They attributed the lack of interest to how nebulous the role of the principalship
can be (Richardson et al., 2016). Principals are asked to be business managers, human resources
managers, providers of support for both teachers and students, transformative and instructional
leaders, community liaisons, safety managers, , and even marketers for the school (Fuller &
Young, 2009; Norton, 2002). The role is growing continuously, making the job impossible to do.
Another major factor that has led to principal turnover is salary (Baker et al., 2010; Fuller
& Young, 2009; Norton, 2002; Whitaker, 2003). Principals barely make more than veteran
teachers. When comparing daily rates, working calendars, and job responsibilities, it is evident
that principals are underpaid for their services and responsibilities (Norton, 2002). Baker et al.
(2010) found that a common characteristic of principals who stayed in their position was a higher
salary than their peers. They also found that principals who left the position to seek another
principalship often realized a 5% increase in salary (Baker et al., 2010). It is evident that, if
districts want to retain effective principals, they must implement an action plan that addresses the
turnover rate. Support from district personnel, clear expectations of the principalship, and
mentoring are suggested strategies that emerge from the literature (Baker et al., 2010; Fuller &
Young, 2009; Norton, 2002; Whitaker, 2002).
Mentorship
Due to the potential impact of the principal on school culture and overall achievement by
students, it is critical that newly hired principals engage in a mentorship to guide them through
the complexities of the position (Sciarappa & Mason, 2014). The turnover rate for principals is
extremely high, leaving schools with principals who are not prepared for the demands of the job.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 34
For this reason, a mentorship program is essential to assisting principals to overcome some of the
hurdles that they will face as principal (Norton, 2002).
Even though new principals receive literature on school leadership, instructional
strategies, and business leadership theories, many prefer onsite learning that places them in an
internship with a mentor (Sciarappa & Mason, 2014). The mentorship can prepare the new
principal on how to learn the school culture, find their own voice, form alliances and networks,
balance custodianship and innovation, and make connections with the larger community
(Sciarappa & Mason, 2014). Farkas, Johnson, Duffett, and Foleno (2003) found that 96% of
principals agreed that on-the-job experience and support from peers was far more helpful than
their academic studies. James-Ward (2013) noted that mentorships can assist principals on how
to provide effective feedback to teachers, provide teachers with needed professional
development, develop capacity in leadership skills, and act as a sounding board for the principal
on critical decisions.
NAESP offers the only national mentorship program in the United States. Although
NAESP is an association for principals at the elementary and middle school levels, any principal
can apply for a mentorship in the program. NAESP hires mentors with at least 5 years of
experience as a principal or experience in the district office (Sciarappa & Mason, 2014). NAESP
follows the ISLLC standards in their approach to mentorship to offer advice to new principals on
how to implement the standards at their school sites. Mentees are placed in cohorts of 10 or
fewer and meet monthly online. The meetings include discussion on books, articles, and research
that is related to leadership (Sciarappa & Mason, 2014).
Mentorships helps the new principal deal with the demands of the position, which can
seem overwhelming. Mentorships can build the capacity of principals in areas of need, provide
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 35
feedback on performance, and provide motivation (Norton, 2002). Principals who have
experienced a mentorship stated that their job satisfaction increased, relationships with their
colleagues improved, and, most important, they felt more likely to continue in their role as a
principal (Norton, 2002).
Measurement of a High-Performing School
A major shift in the principalship occurred during the age of accountability, when
principals were responsible to improve student achievement on federal and state summative
examinations. In California, the principal is responsible for student performance on the Common
Core Standards as measured by the California Assessment of Student Performance and Progress
(CAASPP; 2017). In addition, the principal and the school are accountable for various reports
that are shared with the public in the California Dashboard, such as suspension rate, progress for
English Learners, graduation rates, college and career readiness, and performance on the English
Language Arts (ELA) and Mathematics portion of the CAASPP assessment.
The CAASPP assessment is a summative test that measures students’ performance in
ELA and mathematics in Grades 3 through 8 and 11. The assessment determines whether a
student has exceeded the standards, met the standards, approached the standards, or was below
the standards. The assessment is delivered through a computer and is adaptive to the student
responses. This means that students in the eighth grade demonstrate that they are at grade level,
below grade level or above grade level on the standards. Principals can have an impact on the
CAASPP assessment by building the capacity of their ELA and Mathematics teachers in best
instructional strategies and teaching them how to analyze the data that the assessment provides
(Waters et al., 2003).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 36
The California Dashboard holds principals accountable for how their schools measure on
multiple reports, such as suspension rate, English learner progress, graduation rate, college/
career readiness, ELA, and Mathematics. The purpose of the Dashboard is to see how schools
develop an action plan to increase performance in the various areas and subgroups that are
represented. The measures are drawn from the eight priority areas of the Local Control Funding
Formula (LCFF), which is used when districts allocate funding received throughout the district.
The eight priorities are (a) Basic Services and Conditions at schools, (b) Implementation of State
Academic Standards, (c) Parent Engagement, (d) Student Achievement, (e) Student Engagement,
(f) School Climate, (g) Access to a Board Course of Study, and (h) Outcomes in a Board Course
of Study (California Department of Education [CDE], 2109. The reports are open to the public
and show how schools are or are not addressing the needs of various subgroups. The data from
the Dashboard are relative, meaning that the assessment is tracking progress and growth made by
the school in each report from year to year.
Skills Needed by the 21st-Century Principal
Stepping into the age of accountability, the principal’s main responsibility is to improve
performance by students (Waters et al., 2004). The government’s effort to improve student
performance introduced increased accountability by districts through federal mandated
assessments to (a) measure student performance (Linn, 2003), (b) provide parents with
alternatives to public education, such as enrollment in competing districts, charter schools, or
private schools (U.S. Department of Education, Office of Innovation and Improvement, 2018), or
(c) restructuring or closing schools based on their continued underperformance on state
assessments (Walberg, 2007). Due to this added pressure on the principal, the role has evolved
drastically and now requires a specific set of skills. To be an effective leader in the 21st century,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 37
the principal must be a student of the following leadership theories to improve student outcomes:
transformational leadership, servant leadership, instructional leadership, and situational
leadership.
Transformational Leadership
One of the more popular leadership theories taught in preparation programs is
transformational leadership. Transformational leadership emerged in the 1980s, when
researchers began to explore organizational models that focused less on the principal as a
visionary leader and more on how the principal empowered and transformed the people in the
organization (Northouse, 2016). Transformational leadership focuses on how leaders model their
values and philosophy to those around them, inspire others to mirror their behavior, inspire
others to follow a shared vision, challenge the status quo through creative and innovative
solutions, and contribute through distributive leadership that allows diverse points of views to be
heard and considered when solving problems (Kouzes & Posner, 2002). The model focuses more
on the needs of the individual stakeholders and less on controlling and steering behaviors.
Servant Leadership
Servant leadership puts emphasis on how the leader of an organization cares for the well-
being of those in the organization (Waters et al., 2005). Instead of leading an organization from
the top, the servant leader leads the organization from the center. This allows the servant leader
to be in contact with all areas of the organization (Waters et al., 2005). Servant leaders are
concerned about the well-being and needs of those in the organization, are receptive to the
emotions of others and are empathetic, understand the importance of developing the skills of
members of the organization, practice effective listening, and provide resources to those in need
(Northouse, 2016; Waters et al., 2005).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 38
Instructional Leadership
A more common theory of leadership, especially in the era of accountability of the
principal, is the instructional leadership theory proposed by Wilma Smith and Richard Andrews
(1989). In their model of instructional leadership, they describe four dimensions of instructional
leadership: (a) resource provider, (b) instructional resource, (c) communicator, and (d) visible
presence (Waters et al., 2004). As a resource provider, the principal is focused on ensuring that
teachers have the necessary supplies and instructional material to carry out instruction in the
classroom. This also entails the principal’s ability to leverage the school budget, schedule, and
other onsite resources to support instruction in the classroom (Smith & Andrews, 1989). As an
instructional resource, the principal is actively sharing best pedagogical strategies with their
teachers to support instruction. The principal as a communicator is sharing the goals and vision
of the school with staff and additional stakeholders in the community. With visible presence, the
principal is constantly visible to the staff and faculty by observing instruction in the classroom
and is openly accessible (Smith & Andrews, 1989).
Situational Leadership
Situational leadership theory holds that successful leaders can adapt their leadership style
based on the maturity level of the followers in the environment (Hersey, 1984). Situational
leadership theory requires that the leader to assess the followers’ maturity level and his/her own
leadership approach to lead the group effectively (Waters et al., 2004). Blanchard, Zigarmi, &
Zigarmi (2013) refined the situational leadership originally developed by Hersey and Blanchard
(1969), which stresses that leadership is composed of both a directive and a supportive
dimension and that they should be applied simultaneously. Directive behaviors tell followers
how to accomplish a task in a one-way conversation. Supportive behaviors allow for a two-way
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 39
conversation to help the follower feel comfortable in completing the task at hand. Supportive
behaviors use social and emotional supports to build the follower’s confidence (Northouse,
2016). The situational leadership II model proposed by Blanchard et al. (2013) is shown in
Figure 1.

Figure 1. The situational leadership model.

The first style (S1) is high directive-low supportive. This approach is used when
followers do not have the skills necessary to complete the desired task and the leader must
provide direction on how to complete the task in the desired manner. There is very little
supportive behavior because the leader is focused on building capacity (Northouse, 2016). The
second style (S2) is high directive-high supportive. In this case, the follower has some skill to
complete the task but needs support from the leader to complete it. This approach is also called a
coaching model because the leader is constantly giving directive to refine the follower’s skills
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 40
but is also giving praise and support to complete the task (Northouse, 2016). The third style (S3)
is high supporting-low directing. The follower has the skills necessary to complete the task but
needs support from the leader to complete the task. The leader is there to provide emotional
support and to provide feedback and clarify confusion (Northouse, 2016). The fourth style (S4) is
low supporting-low directing. In this style, the leader is a facilitator and does not intervene
unless needed. The follower has both skills and self-confidence to complete the tasks, although it
is possible to ask the leader for advice.
School Leadership That Works
Marzano et al. (2005) conducted a longitudinal, quantitative meta-analysis of 70 studies
to identify the direct and indirect effects of school leadership on student achievement. Student
achievement was measured by student performance on standardized tests or summative
assessments given at the end of the year. The 70 studies encompassed 2,894 schools, 1.1 million
students, and 14,000 teachers (Marzano et al., 2005). The findings suggested a .25 correlation
between school leadership behaviors and student achievement.
Marzano et al. (2005) proposed 21 responsibilities of the school leader that emerged from
their meta-analysis with higher correlation to student achievement. the list was led by Situational
Awareness (.33), Focus (.24), Monitoring/Evaluating (.27), Knowledge of Curriculum,
Instruction, and Assessment (.25), Change Agent (.25), and Input (.25). Many of the practices
identified by Marzano et al. (2005) are also highlighted in leadership frameworks that were
previously cited; however Marzano et al. also included an action plan for implementing these
theories. Their plan consisted of the following steps: (a) develop a strong leadership team, (b)
distribute some responsibilities throughout the leadership team, (c) select the right work, (d)
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 41
identify the order of magnitude implied by the selected work, and (e) match the management
style to the order of magnitude of the change initiative.
In developing a strong leadership team, the principal should gather members from the site
who believe that they have an impact on student achievement (Marzano et al., 2005). The
leadership team is purposely selected rather than randomly selected because the leadership team
must have a collective efficacy and capability to develop and use assets to accomplish goals that
matter to all community members through agreed-on processes (Marzano et al., 2005).
Within this team, the principal must practice distributive leadership by allowing members
to take on leadership roles. Various members of the team can lead each of the 21 responsibilities
of a school leader that directly involve classroom instruction. By doing this, teachers in the
leadership team take ownership and responsibility for the selected responsibilities (Marzano et
al., 2005).
To select the right work, the principal and the leadership team assess their school’s needs
and identify areas of deficit. By identifying their needs, the leadership team can then investigate
research-based practices that can help to build capacity in the areas of need to increase student
performance (Marzano et al., 2005). This work is not done independently but together as a
leadership team; the results are shared with the entire school.
To identify the order of magnitude implied by the selected work means that the
leadership team should prioritize the work that is critical to improving student outcomes
(Marzano et al., 2005). This also means that the leadership team considers what first-order and
second-order changes might occur as a result of accomplishing the desired goal. It is important
for the principal and the leadership team to understand the impact of the desired change on the
school because they will need to implement various strategies and management styles listed in
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 42
the 21 responsibilities of a school leader to support members of the school through the change
(Marzano et al., 2005).
Four Frames
Bolman and Deal’s (2013) four frames to leadership can be an essential tool to any leader
of an organization. Although they were not specifically developed for education, a principal can
use the four frames (structural, human resource, political, and symbolic) as a resource on how to
lead their organization effectively.
The structural frame is focused on the systems, goals, and metrics of an organization. It is
a task-oriented frame that looks at how leaders strategize and implement change in order to meet
desired outcomes. Principals who use this frame understand that there is a vertical orientation to
authority. They are responsible for measurements established by the district office and state and
federal governments. At the same time, they are responsible for relaying the expected outcomes
to their subordinates and implementing strategies to accomplish the goals. There is also an
opportunity for the principal to engage laterally in meetings with peers, instructional leadership
teams, and networks. Regardless of the approach, principals in the structural frame look to
complete desired goals and metrics (Bolman & Deal, 2013).
The human resource frame is specifically concerned with how the leader develops the
people in the organization (Bolman & Deal, 2013). The leader is aware the people in the
organization have needs and is prepared to provide resources to fulfill those needs. The focus is
to build up the employees in the organization so they can perform their jobs to the highest level.
Leaders can address needs such as knowledge gaps, psychological needs, reassurance of safety, a
desire for belongingness, and the need for self-esteem. For a principal, this is filling the needs of
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 43
his faculty and staff to ensure that they have the necessary resources or conditions to perform
their job well (Bolman & Deal, 2013).
The political frame addresses interest groups, unions, and hidden agendas associated with
an organization. Within this frame there is coalition building, conflict resolution work, and
power-based building to support the leader’s initiatives. This frame is often used when resources
are scarce and leaders must make difficult decisions on how resources will be allocated or when
values and goals conflict (Bolman & Deal, 2013).
Leaders who make change through the symbolic approach focus on vision and inspiration
within an organization. Leaders using the symbolic framework recognize that traditions,
ceremonies, and rituals in an organization are important to recognize. Principals who use this
framework recognize that the work of the organization preceding the principal is important and
meaningful (Bolman & Deal, 2013).
Bolman and Deal’s (2013) four frames are not independent; leaders may use multiple
frames in their organization. Depending on the circumstances or the organization, the principal
must decide which frames to utilize to lead their organization effectively.
Fullan: The Principal
Fullan (2014) identified three keys for principals to follow to be effective principals. The
first is leading learning. Fullan stated that “to increase impact, principals should use their time
differently. They should direct their energies to developing the group.” (p. 55). For the principal,
this means investing in human capital and building the capacity of teachers to improve
instruction in the classroom. The principal is actively involved in professional development and
learning with teachers on what works and what does not work for their schools (Fullan, 2014).
Within this key there is also an investment in social capital.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 44
Social capital concerns the quality and quantity of interactions and relationships among
people. In a school, it affects teachers’ access to knowledge and information; their sense
of expectation, obligation and trust and their commitment to work together for a common
cause. (Fullan, 2014, p. 70)
The principal should establish a shared vision of what the school is to accomplish. This vision
must be clear and agreed on by the staff. It is the role of the principal to get the staff on board,
working together toward a common cause. Last, the principal should invest in decisional capital,
which “refers to the resources of knowledge, intelligence, and energy that are required to put the
human and social capital to effective use. It is basically the capacity to choose well and make
good decisions” (p. 70). The principal should provide teachers with relevant information to make
the best informed decisions that affect student learning.
The second key is being a district and system player. Fullan (2014) defined the system
player as one who looks outside the confines of the school to other systems. Improved
performance by other schools and the entire system will benefit the principal and teachers as they
now have models and examples from which to learn. “Principals and teachers from different
schools learn from each other. Schools get stronger because the district and other schools are
getting stronger” (p. 103). By looking outside the school, the principal is provided another
perspective and learning opportunity for both the principal and the teachers.
The third key is becoming a change agent. Fullan (2014) stated that a change agent is one
who acts to move people and organizations forward, even under difficult circumstances. Fullan
identified seven change competencies that a leader must possess: (a) challenges the status quo,
(b) builds trust through clear communication and expectations, (c) creates a commonly owned
path for success, (d) focuses on team over self, (e) has a sense of urgency for sustainable results,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 45
(f) commits to continuous improvement for self, and (g) builds external networks and
partnerships. A change agent can combine passion and mastery in order to guide the school
toward continuous improvement.
The Coherence Framework
Fullan and Quinn (2016) developed the coherence framework for leadership that
encompasses four components: focusing direction, cultivating collaborative cultures, securing
accountability, and deepening learning. The four components are intended to work together
simultaneously and continuously through the leader. The coherence framework is illustrated in
Figure 2.
Focusing direction is the leader’s ability to involve and engage others in the system
around a clear purpose. This is the leader’s ability to inspire others around vision by providing
purpose for the vision and a clear plan on how this vision will be attained (Fullan & Quinn,
2016).
The leader’s ability to create collaborative cultures that work together toward a common
goal requires a mindset that the principal will be a lead learner and build the capacity of others in
the system to attain the vision. The principal also ensures a culture that is supportive of a growth
mindset that allows individuals in the organization to grow and learn from one another (Fullan &
Quinn, 2016).
Securing accountability focuses on the leader’s ability to establish internal and external
systems of accountability. This is done by establishing systems that use evidence to create
continuous reflective processes in the group for internal accountability, which in turn will reflect
in the external accountability systems.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 46

Figure 2. The coherence framework. From “Coherence: The Right Drivers in Action for Schools,
Districts and Systems,” by M. Fullan & J. Quinn, 2016, retrieved from https://michaelfullan.ca/
coherence-the-right-drivers-in-action-for-schools-districts-andsystems)

Deepening learning focuses on the leader’s ability to develop expertise in the
organization. To accomplish this, the leader must support an environment that is centered on
learning and sharing best practices to increase production in the organization.
Conceptual Framework
The successful principal is capable of implementing and exercising multiple components
of leadership. The principal must be capable of assessing the needs of the school and the teachers
in the organization. The principal must be a situational leader who can assess the needs and
maturity levels of the teachers to determine which leadership style they will practice (Blanchard
et al., 2013; Bolman & Deal, 2013). The principal must also be an instructional leader who can
build the capacity of the teachers in researched-based pedagogical strategies to improve student
learning outcomes (Fullan, 2014; Fullan & Quinn, 2016; Marzano et al., 2005). The principal
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 47
must be capable of cultivating a collaborative culture in the organization that is driven by a
shared vision and internal systems of accountability to improve student achievement (Fullan,
2014; Fullan & Quinn, 2016; Marzano et al., 2005). The principal must be invested in the
teachers by practicing servant leadership. The principal must demonstrate concern for the
teacher’s well-being and be cognizant of both the physical and emotional needs of teachers.
These required capabilities are illustrated in Figure 3.
Chapter Summary
This chapter has presented a review of the literature relevant to the topic of the
principalship to provide context for the study. Aspiring and successful principals must carefully
consider the historical and current roles of hat the principal. They must take proper measures to
prepare for, enter, and stay in the position.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 48

Figure 3. Conceptual framework for the study.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 49
CHAPTER 3: RESEARCH METHODOLOGY
The purpose of this study was to examine the preparation, recruitment, and retention of
California K–12 principals. Second to teachers, the principal holds one of the most influential
position in terms of impact on student achievement (Ash et al., 2013; Fullan, 2014; Fullan &
Quinn, 2016; Norton, 2002; Walker & Kwan, 2012). Therefore, it is imperative that preparation
programs, school districts, and principals understand the preparation that is required to meet the
needs of a 21st-century school principal and how to support and retain effective principals to
improve student outcomes. A problem that requires some attention is that the average tenure of
school principals is dropping, especially in the secondary level, where there is a 50% turnover
rate (Norton, 2002). Chapter 2 presented a review of the literature that involved the various
aspects of principal preparation, recruitment, and retention. This chapter describes the study’s
research questions, research design and methods, sample and population, access and entry,
instrumentation, data collection, ethical consideration, and data analysis.
Research Questions Restated
This study was seeking to answer the following 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?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 50
Research Design and Method
Qualitative Research
This study took a qualitative approach to address the research questions. Surveys and
interviews with principals, direct supervisors, and superintendents were used to explore how
principals were prepared for their position, what recruitment methods were used by districts and
other personnel, and how districts retained principals.
Why a Mixed-Methods Approach
The qualitative method allows the researcher to understand how people make sense of
their lives and how they construct their worldviews (Merriam & Tisdell, 2016). To address the
research questions, the research team utilized the qualitative method of interviews. Patton (2002)
stated that interviewing allows the researcher to access information and data that cannot be
collected through observation. A qualitative research method immerses the researcher in the
environment and provide in-depth understanding of how principals and other district personnel
think about principal preparedness, recruitment, and retention (Merriam & Tisdell, 2016).
This qualitative research took on the lenses of a constructivist worldview that sought to
find meaning that people construct regarding a problem, process, and phenomenon (Creswell,
2014; Merriam & Tisdell, 2016). The study was designed to gain an understanding of the
preparation process and to evaluate the process that principals took for their current position. In
addition, the aim was to understand the process of how districts recruited their principals and
what strategies they used to accomplish this. The research team also sought to understand how
districts retained principals. Therefore, a constructivist worldview was necessary to gain in-depth
understanding (Creswell, 2014; Merriam & Tisdell, 2016).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 51
In addition to interviews, the research team utilized surveys to address the research
questions. The quantitative data were collected in the form of survey responses to allow the
researchers to obtain a large amount of data in a structured manner (Creswell, 2014). Surveys
used standardized questions and comparison of responses among subgroups, which was an
appropriate way to collect interview information (Weiss, 1994). The use of surveys helped the
researchers to measure the thoughts, feelings, and perceptions of principals, district personnel,
and superintendents regarding principal preparation, recruitment, and retention (Creswell, 2014).
Combining quantitative data within the themes of the qualitative study allowed the researchers to
address the research questions through a qualitative lens with the support of quantitative data
(Creswell, 2014).
The qualitative interviews and quantitative surveys were conducted concurrently,
analyzed separately, and used to support the themes to address the research questions (Creswell,
2014). By using both interviews and surveys, the researchers could triangulate the data to ensure
the credibility and internal validity of the findings (Merriam & Tisdell, 2016).
Research Team
Part of this study was conducted by a group of 12 researchers at the University of
Southern California (USC) Rossier School of Education. The research team took 2 years of
coursework and met regularly to develop the study and all of the corresponding documents,
including data collection protocols, literature sources, and conceptual frameworks. Because some
of the data collection was done as a group, there were shared comments and information from
the group members. Despite these similarities, each member of the research team gathered
individual data from an assigned superintendent, district personnel, and principals. Each member
wrote an individual and distinct dissertation.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 52
Population and Sampling
The purpose of this study was to examine the preparation, recruitment, and retention of
California principals in K–12 schools. In order to fulfill the purpose of the study, sampling was
used to recruit current principals, district personnel, and superintendents (Maxwell, 2013;
Merriam & Tisdell, 2016). To maintain confidentiality, the researcher used pseudonyms for the
participating districts and participants.
Although the study was mainly qualitative, the researcher also collected quantitative
survey data. Both types of data were collected through a mixed sampling design that considered
the time orientation of the collection of qualitative data and the relationship between qualitative
and quantitative samples (Johnson & Christensen, 2014). The mixed sampling design drew
samples for the qualitative components during the same time period from different people in the
same population (Johnson & Christensen, 2014). The qualitative data were collected by the
purposive sampling of qualified participants. These qualitative data, in the form of interviews,
were collected by the researcher from principals, district office personnel, and superintendents.
The qualitative findings were then be triangulated with the quantitative data collected by the
researcher (Merriam & Tisdell. 2016).
The qualitative data were drawn using a purposive sampling technique to select qualified
participants for the interviews (Merriam & Tisdell, 2016). The qualitative data were collected
solely by the researcher. Qualitative data, in the form of interviews, were collected by the
researcher from superintendents, district personnel, and principals. The researcher triangulated
the qualitative data with the quantitative data collected collectively by the research team to
increase the validity and reliability of the data (Merriam & Tisdell, 2016).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 53
The superintendents, district personnel, and principals were active employees in a school
district in California. The criterion for superintendents and district personnel was active
participation in the hiring, preparation, and retention of K–12 principals in the district. The
criterion for principals was active service as a principal in a K–12 school in California. The
perspectives collected from the superintendents, district personnel, and principals helped to
address the research questions.
Quantitative data were collected by the research team. The quantitative data sample was
drawn from three groups in California: superintendents, district personnel, and active principals.
Surveys were administered through Qualtrics™.
Access and Entry
In order to conduct this study, the research team first obtained permission from the USC
Internal Review Board (IRB). The IRB process ensured that the study would be conducted in an
ethical manner, that participants were informed about their rights and privacy, that participants
could withdraw at any time, and that the involved risks were outweighed by the positive impact
that the results of the study provided (Rubin & Rubin, 2012).
The participants were the only gatekeepers with respect to participating in the study. The
research team reached out to superintendents, district personnel, and principals who met the
criteria for the study and who either give access by giving consent or declined to participate in
the study (Bogdan & Biklen, 2007).
Instrumentation
The instrumentation and protocols used by the team to conduct this mixed-methods
research are comprised of four interview protocols and one survey protocol. The research team
developed these data protocols based on the three research questions, with input and feedback
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 54
from Dr. Escalante. The research team also referenced work done by prior USC research teams
who conducted similar research on the preparation, recruitment, and retention of superintendents.
All protocols will be finalized prior to conducting the study. Participants were contacted via an
invitation letter and received informed consent prior to participating in the study (Appendices A
and B). All research instruments and recruitment correspondence were submitted to the USC
IRB for approval in spring 2019 (IRB #APP-19-00787).
Quantitative Instrumentation
The instrument to collect quantitative data was in the form of a survey (Fink, 2013),
developed using Qualtrics, a web-based survey tool. The survey used a 4-point Likert-type scale
(4 = Strongly Agree, 3 = Agree, 2 = Disagree, 1 = Strongly Disagree, 0 = Don’t know or Not
Applicable) to gain the perceptions of superintendents, district personnel, and principals about
the preparedness of current principals, while incorporating the literature review as a lens for the
study (Appendices C through F). The survey was piloted and modified to ensure that it would
provide information to address the research questions (Merriam & Tisdell, 2016).
Qualitative Instrumentation
A qualitative interview matrix was used for each of the participant groups: California
superintendents, direct supervisors, assistant superintendents of human resources, and principals
(Maxwell, 2013). The purpose of the interviews will be to understand the phenomenon that a
survey would not provide to the research team (Merriam & Tisdell, 2016). Interview questions
(Appendices G through J) were designed to address the research questions.
The qualitative interview matrix for each sample group was developed by the research
team. The interview matrix was a standardized, open-ended interview with each participant so
that each participant in a categorical group was asked the same questions in the same order
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 55
(Patton, 2002). Variations in questions might have occurred when members of the research team
used tools such as probing or clarification questions; however, the use of an open-ended
interview guide reduced variations by the team of 12 researchers (Patton, 2002).
Data Collection
Data for this study were collected from California K–12 school districts during spring
and summer 2019. The research group first uses Qualtrics, a web-based survey tool that is
available to all doctoral candidates at USC to capture quantitative survey data. After collecting
all data, the research group analyzed the quantitative data and identified trends in survey
responses (Kurpius & Stafford, 2005). The research team then conducted face-to-face interviews
and administered the survey at sites.
Qualitative interviews were conducted at the time and location that was most convenient
for the participant (Weiss, 1994). The researchers met with participants in person and asked them
to participate in the study by providing informed consent prior to the interviews (Appendix B).
With permission by the interview participants, an audio recording device was used to capture
data (Bogdan & Biklen, 2007). In addition, the research group collected descriptive and
reflective field notes during interviews (Bogdan & Biklen, 2007). After the interviews were
completed, the research group had the audio recordings transcribed (Bogdan & Biklen, 2007;
Weiss, 1994). Interviews last approximately 30-45 minutes, with only one interview per
participant.
Survey and interview questions were organized to provide consistency and alignment to
the research questions. Section I of the survey and interview protocols aligned to Research
Question 1, Section II of both protocols aligned to Research Question 2, and Section III of both
protocols aligned to Research Question 3 (Appendix K).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 56
Data Analysis
After collecting both quantitative and qualitative data, the research team used Creswell’s
(2014) model for data analysis and interpretation of qualitative and quantitative research.
Members of the research team shared gathered data from their assigned school districts and
pooled data from the research team. The team followed a coding protocol to facilitate the coding
process, including listing topics and common themes, establishing codes to identify the data,
consolidating similar categories, and recoding data as necessary (Creswell, 2014; Merriam &
Tisdell, 2016).
Validity, Credibility, and Trustworthiness
Credibility and trustworthiness are essential to qualitative research. To ensure both, the
research team used multiple methods suggested by Merriam and Tisdell (2016), such as
triangulation of data and recognizing biases and assumptions of the researcher acting as the
instrument of the research. Triangulation is the method of using multiple sources of data and
cross-checking the data (Merriam & Tisdell, 2016). To triangulate the data, the research team
conducted interviews, observations, and field notes for review. The team also checked the data
through observation and interviews and compared it to the literature regarding the preparation,
recruitment, and retention of K–12 principals to ensure credibility of the findings. The research
team acknowledged potential bias and committed to minimizing the impact of bias on the
validity of the findings.
Reliability
According to Merriam and Tisdell (2016), reliability is the extent to which research
findings can be replicated and whether the results are consistent with the collected data. Creswell
and Creswell (2017) suggest that, in order to increase study reliability, researchers (a) analyze
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 57
transcripts to ensure that they were accurately transcribed, (b) analyze identified codes to ensure
uniformity and consistent definitions, (c) communicate effectively with research team members
to document and share analysis of data, and (d) cross-check codes developed by other research
team members for accuracy. Following this protocol ensured the reliability of the research study.
Ethical Considerations
According to Creswell and Creswell (2017), ethical considerations must be reflected
through the research process. Merriam and Tisdell (2016) noted that researchers are responsible
for protecting the privacy and rights of study participants. The research team, led by Dr. Michael
Escalante, completed the IRB process, including required completion of the Collaborative IRB
Training Initiative (CITI). Each team member completed online learning modules that addressed
ethical considerations associated with completing research. Each study participant was presented
with an informed consent statement that stated the purpose of the study and participants’ rights
(Appendix B). The research team is committed to protecting the rights and anonymity of study
participants.
Chapter Summary
This study is designed to understand the preparation, recruitment, and retention of K–12
principals in California through a mixed-methods approach. Data collected from principals,
superintendents, and human resource personnel through a survey and interviews will be analyzed
both statistically and analytically. This chapter presented the methodology, research design,
population, and sample, as well as the instruments to be used to collect the data.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 58
CHAPTER 4: FINDINGS
The purpose of this study was to examine the preparation, recruitment, and retention of
principals in southern California. This chapter analyzes the data collected by the researcher and
presents the findings to address the research questions. Triangulating the data improved the
reliability of the themes (Merriam & Tisdell, 2016). The researcher presents perspectives from
each of his qualitative interview participants (principals, immediate supervisors of principals,
human resources administrators, and superintendents). Quantitative data collected by the team of
12 researchers was supplied by principals, immediate supervisors of principals, human resources
administrators, and superintendents. The researcher indicated commonalities in responses from
the shared qualitative interview data gathered by the team of 12 researchers when appropriate.
Finally, the researcher incorporated themes from the literature review to confirm the findings.
This study was designed to address the following 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 California, with an emphasis on qualitative interviews with
principals, immediate supervisors of principals, human resources administrators, and
superintendents in southern California. The researcher incorporated a qualitative approach, using
qualitative interviews (Creswell, 2014). However, quantitative surveys were also used to support
and reinforce the identified themes. Qualitative interviews were conducted with three
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 59
superintendents, three human resources administrators, two immediate supervisors of principals,
and nine principals, using the interview guides shown in Appendices D, E, and F. A constant-
comparative method was applied in analyzing the qualitative data, including coding the data with
open and axial codes to identify emergent findings (Merriam & Tisdell, 2016). Quantitative
survey questions were compared to qualitative interview questions using the Question Alignment
Matrix in Appendix G. Although the methodology of this study was qualitative and the study’s
findings were drawn primarily from the qualitative interview data, quantitative survey data were
incorporated when the survey supported each theme. When appropriate, references to the
literature in Chapter 2 were made in the discussions.
Study Participants
Qualitative Interview Participants
The researcher gathered qualitative data from 18 participants who served in three districts
in southern California. Of the 18 interviewees, three were superintendents, three were human
resources administrators, three were direct supervisors of principals, and nine were site
principals. The following discussion presents a brief background of each district.
District A is a suburban district located in southern California. District A consists of 22
schools: one preschool, 12 elementary schools, two K–8 schools, four middle schools, and three
high schools. District A serves 21,356 students, 67.9% of whom students are considered
socioeconomically disadvantaged, 11.5% are English learners, and 0.5% are foster youth.
Academically, students are 24.9 points below standard in English and 61.2 points below standard
in mathematics; 40.2% of their graduating seniors are considered prepared, as measured by the
College and Career Indicator.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 60
District B is a suburban school district located in southern California. District B consists
of 21 schools: 13 elementary schools, four middle schools, three comprehensive high schools,
and one continuation high school. District B serves 21,962 students, 70.3% of whom are
considered socioeconomically disadvantaged, 14.9% are English learners and 0.6% are foster
youth. Academically, students are 1 point below standard in English and 35.3 points below
standard in mathematics; 45.9% of their graduating seniors are considered prepared, according to
the College and Career Indicator.
District C is a suburban school district located in southern California. District C consists
of eight comprehensive high schools and one continuation high school. District C serves 29,969
students, of whom 63.1% are considered socioeconomic disadvantaged, 7.7% are English
learners, and 0.5% are foster youth. Academically, students are 31.7 points below standard in
English and 43.9 points below standard in mathematics; 51.7% of their graduating seniors are
considered prepared, according to the College and Career Indicator.
Quantitative Survey Participants
The researcher was a member of a team of 12 researchers who gathered quantitative
survey data from superintendents, human resources administrators, direct supervisors of
principals, and principals. Survey questions were developed, administered, and analyzed by the
research team.
The research team distributed the survey to members of 37 school districts. Of the 854
surveys distributed, the research team received 206 responses, for a response rate of 24%. Within
that total, 126 of 708 principals responded, for a response rate of 16%; 28 of 68 supervisors of
principals responded, for a response rate of 41%; 22 of 41 human resources administrators
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 61
responded, for a response rate of 53%; and 21 of 37 superintendents responded, for a response
rate of 56%. Table 1 summarizes the participants involved in the study.

Table 1

Summary of Participants, Their Organization/Position, and Data Types

Group District Data type

Superintendents (n = 21) District A Surveys/interviews
District B Surveys/interviews
District C Surveys/interviews

Human resources administrators (n = 22) District A Surveys/interviews
District B Surveys/interviews
District C Surveys/interviews

Immediate supervisors of principals (n = 28) District A Surveys/interviews
District B Surveys/interviews
District C Surveys/interviews

Principals (n = 115) District A Surveys/interviews
District B Surveys/interviews
District C Surveys/interviews

Findings for Research Question 1
In order to understand how training programs and professional experiences prepared
principals for the principalship, Research Question 1 asked, “How have training programs and
professional experience prepared principal to manage the complexities and challenges of the
principals?”
Training programs, such as university preservice programs or programs offered by the
NAESP, the NASSP, and the ACSA have been utilized by principals to prepare them for the role
of principal (Brubaker & Simon, 1986). However, critics of preservice programs have argued
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 62
that these programs do not prepare principals adequately for the roles and responsibilities of the
principalship due to their heavy focus on theory and lack of attention to real experiences that a
principal would encounter on the job.
The principalship is a complex and challenging position for which the person must be
prepared thoroughly. The data analysis in this study revealed three themes related to how
training programs and experience prepared principals: (a) Principals gained richer learning
experience to prepare them for the principalship through on-the-job training (OJT), and (b)
principals agreed that working in collaboration with a mentor or principal peer benefited their
growth as a principal.
On-the-Job Experience
In California, aspiring principals are required to complete an administrator preparation
program approved by the CTC or pass the CPACE to attain a Preliminary Administrative Service
Credential (CTC, 2014, 2017). To obtain the credential, principals can attend traditional
programs such as a university program or enroll in a program offered by NASESP, NASSP, or
ACSA. To clear the Preliminary Administrative Service Credential to a Clear Administrative
Credential, the candidate must complete an individualized program of advanced preparation in
cooperation with the candidate’s employer and the program sponsor, complete a State Board of
Education-approved Administrative Training Program, or complete a commission-approved
alternative preparation program or equivalent examination or experience. In addition, candidates
must complete at least 2 years of full-time administrative experience to obtain a Clear
Administrative Credential (CTC, 2014, 2017).
As stated in the literature, the role of a principal has evolved significantly to require the
principal to serve in many roles and to fulfill many responsibilities at both the state and federal
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 63
levels (Kavanaugh, 2005). The 12 principals who were interviewed by this researcher indicated
that knowledge of the responsibilities of a principal became evident in the courses that they took
for their preservice program, but putting theory into action benefited them most in their
preparation.
A common theme that emerged from the qualitative interviews was that on-the-job
experience was more beneficial than university training to preparation for the principalship.
According to the one of the principals,
in my opinion, the administrative preparation programs, the classes that we took . . . I
mean as far as learning the Ed Code and law, was interesting. But I think as far as
everything else goes that it’s . . . I believe it’s poor. (Principal B3, June 18, 2019)
The principals found that the classes in the preparation program were beneficial in
providing information on concepts such as educational code or leadership theory that would not
be obvious to them in their role as a teacher. However, the field work or on-the-job experience
provided needed insight into the complexities of the role of a principal.
Of the 115 principals surveyed, 14.16% strongly agreed and 67.26% agreed that
university programs provided training and experience that were important to their preparation as
a principal. This was also true of the 14 principals in this researcher’s district who surveyed:
21.43% strongly agreed and 64.29% agreed that university programs provided training and
experience that were important to their preparation as a principal. However, when comparing
these data to those of the principals who were interviewed, a key indicator in the question was
the word experience.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 64
Principal B2 from District B indicated that she went to California State University, Long
Beach, to earn a master’s degree and credential. However, when she was asked what was most
effective about the program, she stated,
I would say the most effective was the time I needed to put in. . . . You have to do so
many hours. So when I would put in hours at my school site doing different
administrative responsibilities, it really gave me more of a true picture of what a school
administrator really did. (interview, July 22, 2019)
This response was consistent with responses by all 108 principals who were interviewed by the
research team. They agreed that there was value in the preparation programs as they provided
contextual knowledge about the legality and theories needed for the principalship, but the
experience while on the job provided needed capacity to prepare them for the role of a principal.
Principal A1 indicated that experience as an assistant principal was the best preparation
for the role of a principal:
The biggest training was being a vice principal for 6 years in the district at two different
levels. I was given the opportunity to be in the elementary level for quite a long time and
stayed there for 11 years before I went into the middle school principalship. (interview,
June 27, 2019)
Principal A1 indicated that preservice programs provided the theories needed for leadership.
However, her experience as an assistant principal at various locations built her capacity to be a
principal.
When asked whether “having experience as an assistant principal was a crucial element
in preparing me for my position as a principal,” the 115 principals who were surveyed answered
as follows: 73.45% strongly agreed and 9.73% agreed. When comparing the value of the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 65
experience obtained from the university training programs versus the value of the experience that
candidates received from their work experience, 46.9% strongly agreed and 30.09% agreed that
on-the-job experience was far more valuable than the training and experience that they received
from the universities.
The superintendent from District A indicated that he recognized the lack of experience
coming from principal candidates who were interviewing for principalships in his district, so he
created pathways to the principalship that would provide interested candidates with experience
for the principalship:
Over the course of the last 6 years since I’ve been here, we’ve built that at the elementary
level as a pipeline. Categorical resource teacher, which is a teacher position, but it’s
outside the classroom. You work very closely with your principal and your vice principal
while you’re still working with students. Again, there are other duties that you get
exposed to that help that. And then that position has fed into our vice principals. And then
our vice principals at the elementary have ultimately led into our principal positions. So
that’s created our nice, natural pathway there.
At the secondary starting with the LCAP [Local Control and Accountability Plan],
when we started with our LCAP in 2014, we created dean positions at the middle school
and the high school level. And these deans are teaching positions. They’re not
administrative deans, we’ve kept them as teachers. Some districts have as an
administrator, some have them as teachers. We have them as teachers. And what that
does is that creates a pathway now for that. All our high school assistant principals have
come from being deans through that pathway where they’ve gotten those exposure[s],
those experiences. And then that’s led them. And quite frankly, some of our deans who
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 66
have elevated to assistant principals have actually now left us to go to other districts as
high school principals as well because they’ve gotten that experience through that
pipeline as well. (interview, Superintendent A, June 27, 2019)
Superintendent A stated that, by creating pathways to the principalship, he was providing
opportunities for interested candidates to attain experience needed for the principalship.
Depending on the area of interest, candidates in his district could choose a pathway that would
lead them either into a primary principalship or a secondary principalship role. These pathways
are scaffolded in skills to build on the candidate’s prior knowledge as a teacher. As the candidate
continues to build capacity and obtain experience, the candidate moves to the next level in the
pathway. Superintendent A uses two components of Bolman and Deal’s (2013) framework for
leadership in an organization: the structural and human resources frames. He uses the structural
frame by creating pipelines to the principalship by utilizing his resources and developing
positions within the pipeline to provide candidates with job opportunities outside their role as a
teacher. Simultaneously, he employs the human resources frame by using these positions to
provide candidates opportunities to gain experience on the job.
The survey data from the 20 superintendents indicated similar results as those from the
principals, in that 10% strongly agreed and 75% agreed that university programs provided
training and experience that are important in preparing principals for the position. However,
when comparing the experiences gained from the university level versus the experiences gained
on the job, 100% of the superintendents agreed that on-the-job experience was far more valuable.
The sentiment was shared by human resources administrators when comparing the
experiences that principal candidates received from their university programs versus experiences
learned from on-the-job experience. Human Resources Administrator from District A stated,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 67
Quite frankly, we don’t put a lot of credibility in any Tier One or Tier Two administrative
credentials. You know, if you’re going to work your way up through the ranks, if you’re
an internal candidate . . . . One of the things in our district we always do is summer
school. So for those administrators that are looking to cut their teeth, you do a summer
school gig and then we kind of see how you do. So if it’s a paid principal job . . . is it a
summer school . . . . Principal is paid and then the vice-principal is kind of like a
volunteer thing. So that’s just always been an internal system we’ve had to kind of show
you’re interested and show us you can do the job. (interview, Human Resources
Administrator A, June 27, 2019)
The data collected via the surveys for 22 human resources administrators also indicated
more valued place on a candidate’s work experience than on experience gained from the
university, in that 50.0% strongly agreed and 40.9% agreed to the statement, “Prior work
experience was more important than university training experience in preparing principals from
their current positions.”
Immediate supervisors of principals also agreed that principals gained valuable
experience from on-the-job experiences. Immediate Supervisor B stated:
I think a lot of it had to do with their involvement district wide. They often, what I have
found, they’ve been very instrumental in being on committees. They’re often tapped to sit
on negotiations. They step up and they take on those roles that you don’t necessarily get
paid to do. They do a lot of PD, they’ve been a lot in not only attending, but providing
PD, maybe to their peers . . . in the role of TOSA [Teacher on Special Assignment], here
they do a lot of the SST [Student Support Team] meetings, they might be the admin
designee for IEPs [Individual Education Plans]. I think those would be the key things I
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 68
find that make them a successful principal, when they’ve participated in those things.
(interview, August 6, 2019)
Immediate Supervisor B mentioned that the most valuable experience that his principals
obtained was to serve in pseudo administrator roles in the district. He mentioned that many of
these positions allow pseudo administrators to build professional development, lead an SST
meeting, be an administrative designee in an IEP meeting, or be a part of negotiations. By
serving in these roles and taking on additional duties outside the classroom, interested principal
candidates gain valuable experience.
Immediate Supervisor C shared many of the same sentiments in the theme of on-the-job
experience. The supervisor stated that the administrator credentialing program “makes them
eligible” to be an administrator but added that “most of their training is what they do once they
get the job” (interview, June 20, 2019). The supervisor explained the importance of why on-the-
job experience is far more beneficial in preparing principals than the university preparation
programs. He mentioned that on-the-job experience teaches principals how to maintain the
budget and manage their schools.
The qualitative data collected from 28 immediate supervisors agreed with the theme of
on-the-job experience. When asked to respond to the statement, “Prior work experience was
more important than university training experience in preparing principals for their current
positions,” 50% strongly agreed and 32.14% agreed. In response to the statement, “Having
experience as a teacher leader was crucial for preparing principals for their current positions,”
75% strongly agreed and 21.43% agreed.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 69
Working in Collaboration With Mentors and Other Principals
The participating principals found that working in collaboration with other principals
helped their development as a leader. Fullan’s framework on the principalship states that, for
principals to build capacity to move their schools forward, they should work in collaboration
with other principals inside and outside the district (Fullan, 2014). This study confirmed the
importance of working in collaboration with other principals as stated in the literature. A
common theme across the qualitative interviews of the nine principals was that working in
collaboration with other administrators at similar schools helped in their development as a
principal:
We have principals’ meetings twice a month, where every principal, we all come
together, and we meet with our superintendent and his cabinet. We talk about that all the
time. We sit down and we’ll have meetings about best practices and what we’re doing on
our campuses. We’ll get a chance to go visit each other’s campus, if there’s certain
programs or strategies or things that one of our colleagues are implementing. That’s been
effective. There’s a culture of collaboration in our district that allows us to stay connected
in what’s going on. I’ve worked at other districts where the principal and the
administrative team I work with is like, “Well, we’re not going to share with the other
high school in the district what we’re doing. We’re going to keep it closed.” They got to
figure it out on their own, but that’s not the case here. That’s not the case here. To be able
to reach out to my assistant superintendent of instruction, to call my superintendent and
talk to them about situation and get some guidance. It’s a place where you can do that.
Now the expectations are high. The expectations are no doubt high. . . . We establish
certain metrics and a belief as to why these metrics are important, such as A-G
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 70
completion, decreasing freshman failure rate, cast scores, what does that mean for kids
and opportunities and skillset. That drives a lot of what we do, so there’s a high level of
expectation accountability. But with that comes a lot of support and conversations of
collaboration, and that’s a big part of it. Our assistant principals and our assistant
superintendent of instruction, our system superintendent personnel, they’re recently out
of the office as a principal themselves. They’re one and a half, 2 years away from being
principals. That’s been very helpful to be able to have honest conversations with them,
knowing that they still know what it’s like to be in this role on a high school site this day
and age. That’s helpful. (interview, Principal C2, July 11, 2019)
Principal C2 identified the benefits of working in collaboration with other principals in
the district. He stated that the district has established both internal and external metrics for
accountability that all principals must follow. To make progress in these metrics, principals work
in collaboration by sharing best practices and allowing other principals access to their campus to
see implementation of the best practices (Fullan & Quinn, 2016). Principal C2 also identified the
benefit of having supervisors who once were principals to call on for help and guidance
(Sciarappa & Mason, 2014).
Principal A1 pointed out that having a supervisor as a mentor helped in her growth and
development as a principal:
Whoever my supervisor is at the time, I always make sure that I make it a mentor/mentee
relationship because it’s important to learn from people who have gone ahead of you and
know the path. And so, I make sure to try and sit down with them to discuss goals, my
goals, and I make sure we carve out time for that. I think that’s really important instead of
just having it as a supervisory role to me. So, my assistant superintendent, my
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 71
superintendent, I make sure I build in time with them so that they are my mentors, but
they’re not formally a mentor. (interview, June 27, 2019)
Principal A1 mentioned that she actively sought a mentorship-type relationship with her
superiors. These relationships are not formal, but she leverages their knowledge and guidance to
support her career. She stated that she discusses her goals with her superiors so they can be
aware and support her in accomplishing these goals (James-Ward, 2013).
Principal A2 pointed out that the mentoring that he received from his superiors as a
teacher encouraged him into administration and the continued mentorship from his principal
peers and superiors built his capacity as a principal:
My relationship with Dr. [removed for confidentiality]. He was one of my professors at
Azusa Pacific. He also happened to be a student services director at the time. The
relationships that I built with principals within Downey Unified and just that fostering of
that growth in me by those mentors really is what propelled me to become an
administrator and ultimately a principal. It would have to be the fact that their
experiences, coupled with their desire to build capacity in younger educators really, really
solidified me jumping into administration and then ultimately, while I was an
administrator and as I continued my education, taking larger steps toward becoming
potentially a superintendent or a higher level leader in an organization. It just kind of
continued to propel itself, kind of continued to snowball, so once I got the bug to become
an administrator because of their encouragement and their capacity building in me, it just
continued to grow me down that path toward bigger roles of responsibility within the
district and just in education in general. (interview, June 28, 2019)
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 72
Principal A2 recognized the importance of mentorship in the infancy of his administrative
career. He stated that his relationships with two mentors propelled him into an administrative
role and eventually a principalship. He also mentioned that the continued mentorship that he
receives from his peers and superiors continues his growth and development as a principal
through capacity building and encouragement.
Quantitative data from the survey of 115 principals confirmed this theme. When asked to
respond to the statement, “Having mentors was instrumental in preparing me for my position as a
principal,” 76.99% strongly agreed and 22.12% agreed. When asked to respond to the statement,
“Informal networks of support (such as professional colleagues) were important in preparing me
for my position as a principal,” 73.34% strongly agreed and 24.78% agreed.
Human Resources Administrator C described the importance of being mentors for
principals but also encouraging principals to work in professional learning communities (PLCs)
to address the challenges that they face as principals:
You have to also give them enough guidance and enough support, and you have to have
that trust level with them so that if there’s something that they don’t know, something
that they’re concerned about, or have questions about; that they feel like they can come to
me, the superintendent, one of the other assistant superintendents, or even their peers for
guidance. I think that that PLC, that I was mentioning to you about with our principals
and the superintendent cabinet, has been so helpful for building that kind of a trust,
camaraderie, and teamwork. We’re sharing best practices; we’re calling one another
about issues that we’re dealing with. We realized that this principal on this huge campus
who has all this responsibility and this heavy load on them, that they’re alone. They’re
the only ones who know what it’s like to be principal at that school, at that time. If
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 73
they’re not able to talk to other people who understand that level of commitment and
responsibility, then they’re really in a tough place to be successful. (interview, July 11,
2019)
Human Resources Administrator C elaborated on the importance of principals
collaborating. This collaboration is not only professional; it is also personal. “They are the only
ones who know what it’s like to be principal at that school, at that time.” The loneliness of being
a principal can be a heavy burden. Therefore, District C has created PLCs for the administrators
so they have a space to share best practices and support one another (Bolman & Deal, 2013).
Human Resources Administrator A stated that mentorships were important for principals.
He believed that the relationships that the principals developed with district administrators and
with one another were critical to their development as a principal:
I think a lot of it again goes back to relationships. We have a director and then we have
myself for the secondary and then the same sort of structure with the elementary schools.
Most of our folks have been in the district for quite awhile. Most of our administrators
have worked their way up and have been in the district for quite some time, and so those
long, established relationships are what allow us to really get the things done in our
district and allow us to have those hard conversations because we have those
relationships to fall back on. (interview, June 27, 2019)
Human Resources Administrator A emphasized “relationships” that the principal has with
personnel at the district office and how that can be conducive to the principal’s career. He saw
his role and the role of the district office to be mentors for principals. He stated that they can help
the principal with “getting the work done” and having “tough conversations” with them as a
mentor to provide guidance and build capacity (Bolman & Deal, 2013).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 74
Quantitative data from the 22 Human Resources Administrators confirmed this theme. In
response to the statement, “Having a mentor was important in preparing my principals for their
current position,” 81.82% strongly agreed, and 13.64% agreed. In response to the statement,
“Informal networks (e.g., professional colleagues) were important in preparing principals for
their current positions,” 72.73% strongly agreed and 27.27% agreed.
Immediate supervisors of principals also agreed with the theme that working in
collaboration with principal peers or mentors prepared principals for their current positions:
I would say those that reach out to oftentimes maybe a former principal who’s now at the
district level as a coordinator or as a director, I’ve seen that. I have others that . . . . I
think the other relationships is some of them that they have peers in other districts,
they’ve developed that piece. (interview, Immediate Supervisor B, August 6, 2019)
Immediate Supervisor B stated that many principals reach out to former principals who
now serve in the role of coordinator or director as mentors to assist them in their leadership.
Immediate Supervisor B also mentioned that principals call on peers in other districts to serve as
mentors.
Immediate Supervisor C2 mentioned the importance of the role of a mentor in assisting
the principal in the current role but stressed also the importance of the role of a mentor on the
principal prior to the principalship:
The relationship that an assistant principal has with a mentor if they’re assigned, or that
they have with someone else that they’ve just worked with. A lot of assistant principals,
even if it’s not an official mentoring relationship, know or are taken under the wing of
another principal and that principal will tap them on the shoulder, sit down with them and
practice interview questions, kind of prepare the way for that person by putting in a good
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 75
word with the trustee, or the superintendent or myself. Just something along those lines.
It’s just super important that they not only have a good mentor who’s helping them
navigate the career path, but that they think about every interaction with a member of the
public, a trustee, the superintendent, as being somewhat of like a job interview because it
can really mess things up. It takes a lot of maneuvering on my end as an example, if I’ve
got someone who I think is a strong assistant principal, but they have a negative
community interaction. It’s hard to undo those when they happen. (interview, September
9, 2019)
Immediate Supervisor C2 stated that many assistant principals have principals as their
mentors to guide them through the roles and responsibilities of the principalship and to prepare
them when they are ready to make the next step in their career. Immediate Supervisor C2 also
mentioned that the mentor of an assistant principal often puts in a “good word” with the superior
to let that person know that the assistant principal is ready for the next role as a principal. It was
also mentioned that the mentor teaches the assistant principal how to navigate relationships with
various individuals, such as the superintendent or other major public figures, to ensure that the
principal is representing himself or herself correctly (Bolman & Deal, 2013).
The qualitative survey data collected from the 28 immediate supervisors supported this
theme, as 67.86% strongly agreed and 25% agreed with the statement, “Having a mentor was
important in preparing my principals for their current positions” and 67.86% strongly agreed and
28.57% agreed with the statement, “Informal networks (e.g., professional colleagues) were
important in preparing principals for their current position. The qualitative data strongly
supported the importance of mentors on preparation of a principal.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 76
Superintendent C elaborated on the importance of mentorship from principal peers and
superiors who have experience as a principal:
I always tell our principals, especially our elementary principals, but it’s true for all
levels, that it’s a lonely position. There’s only one of them in this school. So, I think the
relationships they build with each other is important. It’s one thing to call superintendent
say I’m struggling with something and really be open and honest and transparent, but
when you have a resource that’s not evaluating you, that you don’t feel there’s any threat
and I hope I’ve established relationships where they come to me and they do. Still the
reality is if you have somebody that’s not . . . if you have a colleague that . . . whether in
the district or outside of the district that understands what you’re going through and can
give you guidance and direction professionally, personally, whatever it may be, I think
that’s really important. So, we try to do things to encourage collaboration amongst our
principals to take away that isolated feeling. . . . Then, I think other opportunities they
have to be around mentors. You’re talking about as they’re coming up to the system. I
always tell people stories about . . . . I was always that guy asking questions. So, when I
wanted to become a superintendent, I was the guy that stuck around after a board meeting
and bugged our superintendent’s like, “Why did you do this? Why did we do it that way?
Tell me about this.” I encourage our assistant principals to do the same thing. You’re
going to learn from the successes that your principal has, but you’re also going to learn a
lot from the things that didn’t go quite the way he or she hoped they would. You’re also
going to do things differently than them, but you should find out. . . . I mean, you have a
front row seat of how they’re leading an organization. If you’re not asking questions and
if you’re not trying to get into their brain and figure out why are you doing it this way,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 77
whether you agree with it or not, then I think you’re missing an opportunity. So, those
connections with the people that they work directly with I think are super important.
(interview, June 20, 2019)
Superintendent C explained how lonely the principalship can be. He said that he
encourages his principals to build relationships with other principals, either inside or outside the
district, to provide guidance on both the professional and personal levels. These relationships
help to build capacity in his principals by allowing them to work collaboratively in sharing best
practices or solutions to potential problems (Fullan, 2014). Superintendent C also explained how
he used mentorships to learn about the roles and responsibilities of a superintendent prior to
obtaining his seat as a superintendent. He explained the advantages of “getting into their brain”
about decision making and the purpose behind decisions.
Superintendent A emphasized the importance of mentorship for his principals through his
own experience as a principal and described how his mentor had taught him how to deal with the
complexities of the principalship while he was an assistant principal:
My first principal when I was an assistant principal taught me how to be an administrator.
He was a great mentor, a really highly professional individual. And really taught me two
things. Number 1 was how to conduct myself as an administrator in which people were
watching me. So very simple things like you need to be here before the teachers get here
in the morning. And you don’t leave until after they leave, generally speaking in the
afternoon. But if there’s a contractually agreed upon time where they have to be there say
half an hour before school starts, then you better be there 31 minutes before school starts,
minimum 31 minutes before school starts. Then again, just the way to sit down and have
tough conversations with people. When I was new in the role and having to have tough
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 78
conversations with people, he would sit me down and say, “Let’s role play this. Let’s role
play this. How are you going to approach this? What do you want to do?” And so really
things like that really were great mentoring. And quite honestly, he was a teacher. He was
teaching me how to be a school administrator. And I credit him greatly with that because
it really taught me some really strong professional habits early on in my administrative
career that I continue to utilize today. (interview, June 27, 2019)
Superintendent A was mentored by his principal during his time as an assistant principal.
His mentor taught him how to conduct himself professionally as an administrator and even built
his capacity to have “tough conversations” with personnel on his site (Bolman & Deal, 2013).
Superintendent A’s principal was a model whom he could emulate, which prepared him for his
principalship.
Quantitative data from the survey of 20 superintendents confirmed this theme. In
response to the statement, Having a mentor was important in preparing my principals for their
current position,” 50% strongly agreed and 45% agreed. In response to the statement, “Informal
networks (e.g., professional colleagues) were important in preparing principals for their current
positions,” 55% strongly agreed and 45% agreed.
Summary of Results for Research Question 1
The principal position is complex and challenging and requires aspiring principals to be
prepared for the position before entering it. Results from this study pointed to two common
themes from the qualitative interview participants that were confirmed in the quantitative survey
data. First, in preparing for the principal position, successful principals had on-the-job
experience through their career path that prepared them for the role of a principal. Second,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 79
successful principals collaborated with peers, supervisors, or practitioners as mentors who helped
them to prepare for the principalship.
Table 2 summarizes the survey responses from principals aligned to Research Question 1.
Table 3 summarizes the survey responses from superintendents aligned to Research Question 1.
Table 4 summarizes the survey responses from human resources administrators aligned to
Research Question 1. Table 5 summarizes the survey responses from immediate supervisors of
principals aligned to Research Question 1.
Findings for Research Question 2
In order to understand the recruitment experience of principals, Research Question 2
asked, “What are the perceptions of principals, human resources administrators, immediate
supervisors of principals, and superintendents regarding strategies to recruit successful principal
candidates?”
Due to the impact that a principal can have on student achievement, districts should hire
principals who possess the needed skill sets of an effective leader (Marzano et al., 2005).
Principals should have a balance of managerial skills and instructional leadership skills in order
to move a school forward culturally and academically (Kowalski, 2010). Traditionally, districts
use an interview process to hire a principal from a pool of applicants. This process can be
subjective and can lead to districts hiring the wrong applicant (Ash et al., 2013; Palmer, 2017;
Walker & Kwan, 2012; Whitaker, 2001). To ensure that the correct applicant is hired for the job,
districts should rethink their recruitment strategies for the principalship (Ash et al., 2013).
Results from qualitative interviews and quantitative data from the surveys revealed two
themes related to Research Question 2: (a) Superintendents created pipelines to a principalship to
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 80
Table 2

Participant Responses Indicating That Principals Perceived That On-the-Job Experience Was
More Valuable Than University Training Programs (Percentages)

All Districts
Survey item and response categories principals A, B, C

University programs provided training and experience that were
important in preparing me for the position as a principal.
Strongly Agree 13.91 21.43
Agree 66.96 64.29
Disagree 13.04 7.14
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 6.09 7.14

My prior work experience was more important than my university
training experience in preparing me for my position as a principal.
Strongly Agree 47.83 42.86
Agree 29.57 28.57
Disagree 16.52 21.43
Strongly Disagree 0.87 0.00
Don’t Know or Not Applicable (N/A) 5.22 7.14

Holding an advanced degree (e.g., EdD or PhD) was important
in preparing me for my position as a principal.
Strongly Agree 16.65 35.71
Agree 18.26 21.43
Disagree 29.57 21.43
Strongly Disagree 7.83 7.14
Don’t Know or Not Applicable (N/A) 28.70 14.29

Nonuniversity training programs (such as The ACSA Principal Academy)
were important in preparing me for my position as a principal.
Strongly Agree 12.71 14.29
Agree 26.96 42.86
Disagree 18.26 14.29
Strongly Disagree 2.61 0.00
Don’t Know or Not Applicable (N/A) 40.00 28.57

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 81
Table 2 (continued)

All Districts
Survey item and response categories principals A, B, C

Holding certification and/or licensure from organizations (such as
USC or ACSA) was important in preparing me for my position
as a principal.
Strongly Agree 8.07 21.43
Agree 28.70 21.43
Disagree 33.04 35.71
Strongly Disagree 5.22 7.14
Don’t Know or Not Applicable (N/A) 24.35 14.29

Having mentors was instrumental in preparing me for my position
as a principal.
Strongly Agree 77.39 71.43
Agree 21.74 28.57
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.87 0.00

A professional network of support (such as CALSA, NASSP, NAESP,
ACSA, or through a university) was important in preparing me for my
position as a principal.
Strongly Agree 13.91 21.43
Agree 41.74 35.71
Disagree 27.83 28.57
Strongly Disagree 3.84 0.00
Don’t Know or Not Applicable (N/A) 13.04 14.29

Informal networks of support (such as professional colleagues) were
important in preparing me for my position as a principal.

Strongly Agree 74.78 78.57
Agree 24.35 21.43
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.87 0.00

Networks with university professors were important in preparing
me for my position as a principal.
Strongly Agree 8.70 14.29
Agree 45.22 57.14
Disagree 27.83 21.43
Strongly Disagree 6.96 7.14
Don’t Know or Not Applicable (N/A) 11.30 0.00
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 82
Table 2 (continued)

All Districts
Survey item and response categories principals A, B, C

Planning my career was important in preparing me for my
position as a principal.
Strongly Agree 10.43 21.43
Agree 54.78 57.14
Disagree 23.48 14.29
Strongly Disagree 3.48 0.00
Don’t Know or Not Applicable (N/A) 7.83 7.14

My university training program provided intentional supports or
resources to prepare me for my position as a principal.
Strongly Agree 13.04 21.43
Agree 48.70 42.86
Disagree 24.35 21.43
Strongly Disagree 5.22 0.00
Don’t Know or Not Applicable (N/A) 8.70 14.29

Having experience as a teacher leader was a crucial element in
preparing me for my position as a principal.
Strongly Agree 73.91 64.29
Agree 24.35 35.71
Disagree 1.74 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Having experience as an assistant principal was a crucial element
in preparing me for my position as a principal.
Strongly Agree 73.91 71.43
Agree 9.57 0.00
Disagree 1.74 7.14
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 14.78 21.43

Note. EdD = Doctor of Education, PhD = Doctor of Philosophy, ACSA = Association of
California School Administrators, CALSA = California Association of Latino Superintendents
and Administrators, NASSP = National Association of Secondary School Principals, NAESP =
National Association of Elementary School Principals.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 83
Table 3

Participant Responses Indicating That Superintendents Perceived That On-the-Job Experience
Was More Valuable Than University Training Programs (Percentages)

Districts
Survey item and response categories All A, B, C

University programs provided training and experience that are
important in preparing principals for their positions.
Strongly Agree 9.52 0.00
Agree 76.19 100.00
Disagree 9.52 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.76 0.00

Prior work experience was more important than university training
experience in preparing principals for their current positions.
Strongly Agree 61.09 100.00
Agree 38.10 0.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Holding an advanced degree (e.g., EdD or PhD) was important in
preparing principals for their current positions.
Strongly Agree 0.00 0.00
Agree 33.33 0.00
Disagree 42.86 100.00
Strongly 19.05 0.00
Don’t Know or Not Applicable (N/A) 4.76 0.00

Nonuniversity training programs (e.g., The ACSA Principal Academy)
were important in preparing principals for their current positions.
Strongly Agree 4.76 0.00
Agree 57.14 100.00
Disagree 28.57 0.00
Strongly Disagree 4.76 0.00
Don’t Know or Not Applicable (N/A) 4.76 0.00

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 84
Table 3 (continued)

Districts
Survey item and response categories All A, B, C

Holding certification and/or licensure from organizations (such as
USC or ACSA) was important in preparing principals for their
current positions.
Strongly Agree 14.29 0.00
Agree 38.10 100.00
Disagree 33.33 0.00
Strongly Disagree 9.52 0.00
Don’t Know or Not Applicable (N/A) 4.76 0.00

Having a mentor was important in preparing my principals
for their current positions.
Strongly Agree 52.38 0.00
Agree 42.86 100.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.76 0.00

A professional network of support (e.g. NASSP, ACSA, or through
a university) was important in preparing my principals for their
current positions.
Strongly Agree 23.81 0.00
Agree 42.86 100.00
Disagree 28.57 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.76 0.00

Informal networks (e.g. professional colleagues) were important in
preparing principals for their current positions.
Strongly Agree 57.14 0.00
Agree 42.86 100.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Having experience as a teacher leader was crucial for preparing
principals for their current positions.
Strongly Agree 80.95 100.00
Agree 14.29 0.00
Disagree 4.76 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 85
Table 3 (continued)

Districts
Survey item and response categories All A, B, C

Having experience as an assistant principal was crucial for preparing
principals for their current positions.
Strongly Agree 61.09 100.00
Agree 28.57 0.00
Disagree 4.76 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.76 0.00

Note. EdD = Doctor of Education, PhD = Doctor of Philosophy, ACSA = Association of
California School Administrators, CALSA = California Association of Latino Superintendents
and Administrators, NASSP = National Association of Secondary School Principals, NAESP =
National Association of Elementary School Principals.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 86
Table 4
Participant Responses Indicating That Human Resources Administrators Perceived That On-the-
Job Experience Was More Valuable Than University Training Programs (Percentages)

Districts
Survey item and response categories All A, B, C

University programs provided training and experience that are
important in preparing principals for their positions.
Strongly Agree 13.64 0.00
Agree 72.73 100.00
Disagree 9.09 0.00
Strongly Disagree 4.55 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Prior work experience was more important than university training
experience in preparing principals for their current positions.
Strongly Agree 50.00 50.00
Agree 40.91 50.00
Disagree 9.09 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Holding an advanced degree (e.g., EdD or PhD) was important in
preparing principals for their current positions.
Strongly Agree 27.27 0.00
Agree 45.45 50.00
Disagree 9.09 50.00
Strongly 0.00 0.00
Don’t Know or Not Applicable (N/A) 18.18 0.00

Nonuniversity training programs (e.g., The ACSA Principal Academy)
were important in preparing principals for their current positions.
Strongly Agree 27.27 0.00
Agree 45.45 100.00
Disagree 9.09 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 18.18 0.00

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 87
Table 4 (continued)

Districts
Survey item and response categories All A, B, C

Holding certification and/or licensure from organizations (such as
USC or ACSA) was important in preparing principals for their
current positions.
Strongly Agree 9.09 0.00
Agree 68.18 50.00
Disagree 9.09 0.00
Strongly Disagree 4.55 0.00
Don’t Know or Not Applicable (N/A) 9.09 50.00

Having a mentor was important in preparing my principals for their
current positions.
Strongly Agree 81.82 50.00
Agree 13.64 50.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

A professional network of support (e.g., NASSP, ACSA, or through
a university) was important in preparing my principals for their
current positions.
Strongly Agree 23.73 50.00
Agree 63.64 50.00
Disagree 9.09 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

Informal networks (e.g., professional colleagues) were important in
preparing principals for their current positions.
Strongly Agree 57.14 50.00
Agree 42.86 50.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Having experience as a teacher leader was crucial for preparing
principals for their current positions.
Strongly Agree 73.73 50.00
Agree 22.73 0.00
Disagree 4.55 50.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 88
Table 4 (continued)

Districts
Survey item and response categories All A, B, C

Having experience as an assistant principal was crucial for preparing
principals for their current positions.
Strongly Agree 73.73 100.00
Agree 27.27 0.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Note. EdD = Doctor of Education, PhD = Doctor of Philosophy, ACSA = Association of
California School Administrators, CALSA = California Association of Latino Superintendents
and Administrators, NASSP = National Association of Secondary School Principals, NAESP =
National Association of Elementary School Principals.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 89
Table 5
Participant Responses Indicating That Immediate Supervisors of Principals Perceived That On-
the-Job Experience Was More Valuable Than University Training Programs (Percentages)

Districts
Survey item and response categories All A, B, C

University programs provided training and experience that are
important in preparing principals for their positions.
Strongly Agree 10.71 12.50
Agree 67.86 50.00
Disagree 10.71 12.50
Strongly Disagree 7.14 12.50
Don’t Know or Not Applicable (N/A) 3.57 12.50

Prior work experience was more important than university training
experience in preparing principals for their current positions.
Strongly Agree 50.00 12.50
Agree 32.14 50.00
Disagree 10.71 12.50
Strongly Disagree 0.00 12.50
Don’t Know or Not Applicable (N/A) 7.14 12.50

Holding an advanced degree (e.g., EdD or PhD) was important in
preparing principals for their current positions.
Strongly Agree 27.27 0.00
Agree 45.45 12.50
Disagree 9.09 62.50
Strongly 0.00 12.50
Don’t Know or Not Applicable (N/A) 18.18 12.50

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

Strongly Agree 27.27 0.00
Agree 45.45 12.50
Disagree 9.09 25.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 18.18 62.50

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 90
Table 5 (continued)

Districts
Survey item and response categories All A, B, C

Holding certification and/or licensure from organizations (such as
USC or ACSA) was important in preparing principals for their
current positions.
Strongly Agree 0.00 0.00
Agree 46.43 25.00
Disagree 28.57 37.50
Strongly Disagree 3.57 12.50
Don’t Know or Not Applicable (N/A) 21.43 25.00

Having a mentor was important in preparing my principals
for their current positions.
Strongly Agree 67.86 50.00
Agree 25.00 37.50
Disagree 3.57 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 12.50

A professional network of support (e.g., NASSP, ACSA, or through a
university) was important in preparing my principals for their current
positions.
Strongly Agree 0.00 0.00
Agree 57.14 50.00
Disagree 32.14 12.50
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 10.71 37.50

Informal networks (e.g., professional colleagues) were important in
preparing principals for their current positions.
Strongly Agree 67.86 75.00
Agree 28.57 12.50
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 12.50

Having experience as a teacher leader was crucial for preparing
principals for their current positions.
Strongly Agree 75.00 62.50
Agree 21.43 25.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 12.50

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 91
Table 5 (continued)

Districts
Survey item and response categories All A, B, C

Having experience as an assistant principal was crucial for
preparing principals for their current positions.
Strongly Agree 71.43 87.50
Agree 14.29 0.00
Disagree 7.14 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 7.14 12.50

Note. EdD = Doctor of Education, PhD = Doctor of Philosophy, ACSA = Association of
California School Administrators, CALSA = California Association of Latino Superintendents
and Administrators, NASSP = National Association of Secondary School Principals, NAESP =
National Association of Elementary School Principals.

build capacity of potential principal candidates within the district, and (b) principals were
encouraged to enter the principalship as assistant principals by their superiors through “tapping.”
Pipelines to the Principalship
A theme that emerged from the qualitative interviews and that was supported by the
quantitative data was that superintendents created pipelines to the principalship for internal
principal candidates (Pijanowski et al., 2009). Pipelines allowed a district to create various
positions leading up to a principalship to provide candidates with the needed experience for the
principalship (Cooley & Shen, 2000; Pijanowski et al., 2009; Whitaker, 2001, 2003; Whitaker &
Vogel, 2005). Superintendent A discussed the use of a pipeline and its purpose for his district:
I will tell you right now where they’ve [principals] received the most effective training is
absolutely in those categorical resource teacher positions at the elementary level, and the
dean positions at the secondary level. And that’s really borne out by originally when I did
some early interviews years ago before we had those positions. You would listen to
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 92
people and the answers and the quality of their answers, and just didn’t feel they had the
depth of knowledge and understanding. But once we formulated those pipelines every
year, when we see those in those people coming in to interview for VP [vice principal] or
AP [assistant principal] positions, you see the depth and the quality of their answers and
their experiences are so much more robust, that they really have become those fertile
training grounds for our up and coming administrators. The categorical resource teacher,
the elementary and the dean at the secondary level. (interview, June 27, 2019)
Superintendent A recognized that his district lacked positions that purposely provided
principal candidates experiences to develop skills needed for the principalship. He stated that,
when he used to conduct interviews for open administrative positions, candidates did not have
the “depth of knowledge and understanding” that was needed for the principalship. With a
formulated pipeline, principal candidates can gain experience and skills that can develop them
into a prospective principal.
Superintendent B recognized the need to build potential principal candidates’ capacity
through experience by creating leadership opportunities through the use of a pipeline:
We begin with allowing that teacher to be part of district committees and meetings, so
they get a global sense of how a district works, how a site works, and the relationship that
that’s created. We also then move forward to opportunities to become an administrator on
assignment at their school site so that they can have some responsibilities interacting with
parents and their colleagues in a different role. In some cases when the principal is right
there as a right-hand person, or in some cases when the principal might be off campus for
a time. They would actually have the opportunity to kind of hold down the school site.
We also then, if they’re very adept at that assignment, those two assignments. The third
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 93
step in the rung is to be a summer literacy camp administrator/principal. There’ll oversee
multiple sites at the elementary and secondary level. And beginning from setting up the
classes beginning in May, to finishing up the classes at the end of July, and everything in
between. In a garden environment with two of our assistant superintendents mentoring
those people. (interview, July 22, 2019)
Superintendent B also recognized the lack of opportunity that his district offered to
teachers who were interested in administration. As teachers are allowed to be a part of district
committees and meetings, they gain insight into how decisions are made at a district level.
Superintendent B also allowed schools to identify teachers who could be administrators on
assignment to provide them opportunities to interact with parents, teachers, and students from a
different perspective. Superintendent B created summer school principals for literacy camps that
allowed teachers to learn how to build a master schedule, manage a school site, and interact with
teachers, students, and parents from the lens of an administrator. By creating these various
opportunities, Superintendent B exercised Bolman and Deal’s (2013) structural and human
resource frames by creating various entry points for potential administrators that were scaffolded
in capacity and by providing assistant superintendents as mentors over the summer.
Superintendent C also recognized the importance of teachers being interested in
becoming principals to seek leadership opportunities to build their capacity in leadership:
What’s typical here in [our district] for our principals is that they have their
administrative credential. We also require 5 years of classroom experience, and that can
also include working as a counselor, for example, so either teaching classroom
experience or working as a counselor, for example. So aside from those two things, there
are some other factors that we take into consideration when they apply to become a
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 94
principal. And those are their other experiences that they may have obtained outside of
the classroom, so for example, an assistant principal, a teacher on special assignment,
were they a classroom or an instructional coach, or a digital coach. . . . they volunteered
to serve on committees, they made themselves available to help out, for example, during
summer school, enrichment programs, after school programs. And they were looking for
challenges. They wanted to participate in school site council, they ran for those positions.
They wanted to learn more about how do you develop a safe schools plan. And they
attended and asked about, for example, strategic planning. They asked about the LCAP
[Local Control and Accountability Plan]. And so they were a little bit more assertive in
seeking those opportunities. (interview, July 11, 2019)
Superintendent C’s district also created positions prior to the principalship to offer
teachers an opportunity to gain experience in administration (Bolman & Deal, 2013). Positions
such as TOSA, instructional coach, or digital coach allow teachers to gain experience in working
with teachers, students, and parents in a different lens. The position of assistant principal was
very popular as a position prior to the principalship that offered valuable experience.
Superintendent C cited opportunities for teachers to be on committees such as the LCAP
committee, where they would learn how global decisions are made at the district level to make
an impact on student achievement. Superintendents also mentioned the opportunity to run a
summer school program to give experience in setting up a master schedule, hiring teachers,
working with students and parents, and managing the school.
Quantitative survey data supported this theme. In response to the survey by 21
superintendents, 66.67% strongly agreed and 28.57% agreed with the statement, “Candidates’
previous experience in education is an important factor in recruiting for principal position in my
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 95
district. In response to the statement, “A candidate’s level of understanding of district initiatives
and goals were important factors for being recruited in principal positions in my district,” 35%
strongly agreed and 50% agreed. In response to the statement, “District resources and
recruitment strategies help candidates get recruited into principal positions in my district,”10%
strongly agreed and 75% agreed. In response to the statement, “University principal preparation
programs help candidates get recruited into principal positions,” 65% disagreed and 10%
strongly disagreed.
What was evident with the superintendents who were interviewed and surveyed was a
lack of trust in preparation programs from the university level. Nearly all of the superintendents
had created pipelines to the principalship in their districts to create micro-levels of experience in
administration prior to the principalship. This also allowed superintendents to provide principal
candidates an opportunity to learn how decisions and policies were made in their own district. By
creating these pipelines, superintendents groomed their future principals.
Human Resources Administrator A shared the same sentiments as the superintendents
about the need for a pipeline of pseudo-administrator positions.
What are leadership roles you’re [the teacher] taking on at the site, i.e., are you on the
WASC [Western Association of Schools and Colleges]? Are you on the instructional
leadership team? Are you a PLC lead? Are you a department chair? So internally within
sites there’s many opportunities to become leaders. So, we’re going to look to see are you
taking advantage of the leadership roles that you have on your site? Secondly, there’s
other positions. So prior to the dean, athletic director, activity director, those were kind of
always seen as a pathway to become a leader in our district. So again, are you taking
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 96
those leadership roles that are at the teacher level? So that’s really the way that you
signify you’re in the mix with us. (interview, June 27, 2019)
Human Resources Administrator A mentioned the importance of the pseudo-
administrator role for teachers created by the district to offer opportunities for leadership
experience (Bolman & Deal, 2013). For a teacher to step into an entry-level leadership role, there
are opportunities such as being on the WASC committee, being on the leadership team, or
becoming a department chair. These roles offer different sets of responsibilities that help to build
the capacity of teachers who are interested in the administration route. Human Resources
Administrator A also mentioned other roles that require the teacher to move from teacher to
pseudo administrator, such as dean, athletic director, or activity director.
Human Resources Administrator B stated many of these sentiments about principals,
suggesting that, prior to the principalship, teachers enter pseudo administrator roles to build
capacity for leadership. Human Resources Administrator B also mentioned that their district has
held an administrative intern program for teachers to build capacity on how decisions are made
and to introduce them to the roles and responsibilities of an administrator (Bolman & Deal,
2013).
Many of our principals or even our administrators prior to becoming a principal, assistant
principals, coordinators and directors even, attended our administrative intern program
that we run through the district. We don’t necessarily offer it every year, but every couple
of years we’ll offer that . . . . Some of them are still with us as teacher leaders, department
shares, athletic directors, those types of positions and they receive some preparation
there. I would say for the most part they’re [principals] local and they’ve worked their
way up obviously as teachers and many of them are assistant principals prior to becoming
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 97
a principal. Many are from, for our district, many are from within the district. They’ve
been brought up . . . . Occasionally, we’ll have somebody from out of town or has moved
to the area or something of that nature. But most of it’s local and it’s people knowing the
culture. (interview, Human Resources Administrator B, June 18, 2019)
Human Resources Administrator C stated that, prior to a principal position in his district,
there are multiple assistant principalship roles that a teacher can enter:
They were successful assistant principals in our district. That’s the most, I think, stand
out kind of thing. They were noted as being superstars in multiple assistant principal
roles. I’ve said that we have four assistant principal positions on each one of our sites,
and it’s kind of rare that someone will be a principal in our district without serving in all
of those assistant principal positions, or at least having experiences in all four of those
things. That helps them to be well rounded. We don’t typically have somebody who will
come in and be assistant principal of instruction for 2 years and then be the principal.
They usually have gone through, really learned, and stood out as being really a star in
multiple roles over the course of a number of years. (interview, July 11, 2019)
Human Resources Administrator C stated that, prior to the principalship, a principal
candidate will enter four administrator positions before entering the principalship. Human
Resources Administrator C stated that the purpose of the assistant principal roles is to make the
candidate more well rounded and to teach the candidate the roles and responsibilities of the
principalship. By creating these various assistant principalship roles in the school site, the district
has developed a pipeline that builds the capacity of principal candidates (Bolman & Deal, 2013).
Quantitative data from the human resources administrator survey supported this theme.
The 22 human resources administrators who were responded to the statement, “Candidates’
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 98
previous work experience in education is an important factor in recruiting for principal position
in my district,” as 77.27% strongly agreed and 22.73% agreed. In response to the statement,
“Having instructional leadership experience is an important factor in recruiting for principal
positions in my district,” 63.64% strongly agreed and 36.36% agreed. In response to the
statement, “District resources and recruitment strategies help candidates get recruited into
principal positions in my district,” 31.82% strongly agreed and 63.64% agreed. In response to
the statement, “University programs preparation programs help candidates get recruited into
principal positions in my district,” 50% agreed and 45.45% disagree.
Immediate Supervisor C referred to many pseudo leadership positions that helped in the
preparation for the principalship:
I think all of our principals, we have 14 of them; all 14 were classroom teachers. And
then if they were elementary principals, most of them went straight from classroom
teacher to becoming a principal. If they’re internal people for our district, it’s elementary
teacher, we have what’s called an ELS, an Elementary Learning Specialist. They do not
teach, but they’re doing coaching with teachers and so on and so forth. So we’ve hired
several that have done that for a few years, and then became a principal. So that’s kind of
the elementary route. But I’ve noticed with our secondary principals, their pathways have
been a teacher, somewhere they were involved with coaching, or performing arts, so they
were leading large groups, to an assistant principal and then into a principalship. We have
a unique position also. We’ve got a couple of them that have been infrastructural deans at
the high school. That’s unique to our admin structure. (interview, June 20, 2019)
Immediate Supervisor C cited instances that allowed an elementary teacher to move
directly into the role of principal. However, there were opportunities for an elementary teacher to
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 99
become an ELS, which took them out of the classroom and gave them different roles and
responsibilities, such as coaching teachers. In the secondary level there are pseudo leadership
roles such as a coach, department chair, or even dean, which provide valuable experiences prior
to a principalship.
Immediate Supervisor C stated that people who serve in these pseudo leadership roles
along the pipeline to a principalship also gain a wealth of experience that serves them well in the
interview process:
I notice what really separates these folks is when they come back and say, “You know,
that was actually something that I’ve dealt with most recently in my position of doing
this.” . . . They can reference where others would just say what they know, which is very
minimal. (interview, Immediate Supervisor C, June 20, 2019)
The supervisor stated that these pseudo leadership positions within the pipeline to the
principalship mold a candidate for the principalship.
Immediate Supervisor A also mentioned that a pipeline that their district was
implemented to prepare principal candidates for the principalship:
I think that the secondary, a teacher leader, department chair, dean, assistant principal,
principal. I think that’s critical to be successful, and you have to have done all those
different jobs to really know the struggles that a principal face. It’s different when you
look at it from a teacher’s perspective, even with a dean position where you’re dealing a
lot with discipline, and you may have great classroom management, but now you’re
trying to help teachers who may not and help students who have very real struggles. At
the elementary level, I look for people who are strong leaders instructionally. It’s a little
bit more challenging because we don’t have assistant principals typically, but we do have
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 100
what we call Title I intervention teachers, and they tend to be our instructional leaders.
They’re organizing interventions, and they’re being advocates for students. They’re
organizing reading activities and family nights and stuff. They’re getting some of the
experience, and they typically are in charge when the principal’s off site. (interview, May
31, 2019)
Immediate Supervisor A mentioned that various positions such as a teacher leader,
department chair, dean, and assistant principal gave interested principal candidates an insight
into the reality of the principalship. Immediate Supervisor A mentioned that these roles provide a
different perspective to the principal candidate that they would not have had if they were just in
the classroom. By establishing a pipeline to the principalship, districts are providing interested
administrators an experience that they would have in the classroom. Principal candidates learn to
manage people, establish relationships with teachers and parents, organize events, and be
advocates for students while serving in a new role.
The quantitative survey data collected from the 28 immediate supervisors supported the
findings in this theme, as 54.14% strongly agreed and 35.71% agreed with the statement,
“Candidates’ previous experience in education is an important factor in recruiting for principal
positions in my district.” In response to the statement, “Having instructional leadership
experience is an important factor in recruiting for principal positions in my district,” 75.00%
strongly agreed and 17.86% agreed. In response to the statement, “District resources and
recruitment strategies help candidates get recruited into the principal position in my district,”
28.57% strongly agreed and 53.57% agreed. Based on the quantitative data, the structure, such
as creating a pipeline of pseudo leadership positions, contributed to preparing candidates for the
principalship.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 101
Principal A2 explained his route to the principalship. He served as a teacher for many
years and wanted to gain experience in administration. His district created summer school
administrative positions for aspiring administrators to gain field administrative experience:
I was a classroom teacher for about 7 years and decided to make the jump into
administration. . . . I began by applying for a summer school position as a vice principal
to kind of just get into the administrative role. Then the following year, I took a position
as a summer school principal, and that same year, I got a position as a vice principal at
the high school. (interview, June 28, 2019)
The opportunity to serve in the summer school administrative role allowed him to gain
experience as an administrator:
Principal B1 discussed his route to the principalship. He mentioned that he had also
started as a teacher who took on pseudo leadership roles that the district created, such as program
specialist, coordinator, assistant director, then eventually principal:
I taught for 8 years also in middle school all FTC here in [name removed for
confidentiality] and then transitioned to a program specialist position in 2011 which was
my entry into the admin world. I did that for a year and a half and then was promoted to
the coordinator of mental health. I actually started the mental health program for [Name
removed for confidentiality] because when funding changed, we didn’t have a program,
and so I helped to spearhead that. I did that for a year and a half and then was promoted
to assistant director of special education in [name removed for confidentiality]. Did that
up through 5 years. Then I transitioned to be the principal at [name removed for
confidentiality]. (interview, July 22, 2019)
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 102
Principal B1 was provided opportunities by his district, through an established pipeline,
to enter the world of administration. This was also an opportunity for Principal B1 to learn the
systems and culture and to build relationships throughout the district that were important to his
route to the principalship:
Because I was at the district office, I think I had relationships with all the principals in the
district, all 23 schools, all the assistant principals. I had relationships with everybody at
the district level. So building those relationships gave me a huge leg up when I finally did
go to the site. (interview, July 22, 2019)
Principal C2 shared that the multiple roles in which he served prior to his principalship
helped to build his capacity for the principalship:
I worked in every assistant principal office, discipline, athletics, activities, interventions
and supports, parental involvement. The one office I did not get a chance to do was the
instruction office, Assistant Principal of Instruction. That’s the office I was going to at
[name removed for confidentiality] before everything changed really quick. I’ve done
master schedule on a smaller scale, summer school, and I still help here with putting it
together. But I’ve never worked as an assistant principal in instruction where I was over
creating the master schedule. That part I believe would have really helped me before
coming into this position. I really had to continue to learn that role while I was a
principal. Having someone strong in that office has been very helpful for me in my
growth. (interview, July 11, 2019)
Principal C2’s perspective confirms that, through the established pipeline the district
created, he was able to serve in various administrative roles that built his capacity for the
principalship. By participating in this pipeline as an assistant principal, he learned the various
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 103
roles and responsibilities of a principal and assured the district that he was next in line for a
principalship.
The quantitative data from survey of 113 principals supports the findings in this theme. In
response to the statement, “Having experience as a teacher leader was a crucial element in
preparing me for my position as a principal, 74.34% strongly agreed and 23.89% agreed. In
response to the statement, “Having experience as an assistant principal was a crucial element in
preparing me for my position as a principal,” 73.45% strongly agreed and 9.73% agreed. In
response to the statement, “As an aspiring principal, district resources and programs were
important in being recruited into my current position as a principal,” 24.78% strongly agreed and
48.67% agreed. Entering the established pipeline by participating in various established roles,
principals were able to build capacity in the culture, routines, and systems of the district. The
pipeline also gave principal candidates an opportunity to establish themselves as potential
principals to district personnel who often make decisions on hiring principals.
Tapping Successful Assistant Principals
Assistant principals were encouraged by their superiors to enter the principalship through
tapping. The act of tapping is described as a process in which standing administrators actively
select and recruit assistant principals or administrators who demonstrate effective or developing
leadership qualities to eventually become principals. Several researchers (Browne-Ferrigno &
Muth, 2004; Whitaker, 2001, 2003) have identified this type of practice as an effective, direct,
and informal method to recruit potential candidates for principal positions. Many current
principals report that they were ready to take on a principalship due to increased responsibilities
assigned to them by site supervisors while they were school site teachers (Browne-Ferrigno &
Muth, 2004). Results from the current study related to Research Question 2 confirmed the theme
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 104
that “tapping” was used by the district to encourage current administrators to step into the
principalship.
Superintendent A restructured his district to have pseudo administrative roles prior to the
principalship. He did this so he could build the capacity of potential candidates by giving them
opportunities to work with students, teachers, and parents in a different lens. This also gave his
pseudo administrators an opportunity to learn how global decisions were made at the district
level that would have impact on the school site. As administrators moved up the ranks, they
could establish a reputation with various members in the district who ultimately choose who the
next principal will be.
I’ll give a great example of a one of our high school assistant principals. He started as a
middle school dean and then he became a middle school AP. And then after a couple of
years in middle school AP, we moved him up to a high school AP. Well, he’s been a
principal, summer school principal at middle school, at the high school, and at the
elementary school. And at one of our extended school year programs as well. . . . Success
as an assistant principal or vice principal. In my mind, there is no predictor of future
success than prior success. And those people who have been successful assistant
principals or vice principals typically have done well in the principal jobs. So again, it’s
those experiences of having that job for an amount of time that adequately prepares them
to take that next step and be ready. And with every individual, that is different based on
their experiences and where they are. And quite frankly, the position and the needs of that
particular positions. So it’s finding the match between someone’s set of experiences and
what that particular position at that time needs. (interview, Superintendent A, June 27,
2019)
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 105
Superintendent A mentioned that success as an assistant principal is a predictor of
success as a principal. However, Superintendent A also alluded to a candidate needing to be a
match for the school that has an opening. This means that a principal candidate has to build a
certain set of skills and reputation to fit the needs of a particular school (Ash et al., 2013). With
his assistant principal who ultimately became one of his principals in the district, he was
encouraged to move around to various positions to build a set of skills needed for the
principalship. Ultimately, when he showed success as an assistant principal at both the middle
school and high school levels, he was encouraged to apply for a position as a principal:
I think the ones who reach out to people downtown and get to know us because as you
know, as an AP at a school site, my principal knows what I do, but I don’t know what
they do. And I think maybe principals too who are good at mentoring, help them get
recognized too, and share the good things that they do. When I go to a school site and
walk, it’s interesting. If I was a principal, and I had an AP and I was walking classrooms
with the superintendent or associate or deputy, I would bring my AP with me. You would
be amazed at how many don’t. I think it’s also some of those principles of like, “Hey, can
my AP go?” And they want their AP to go because they want you to hear when you walk
out of a classroom, “Okay, what did you see?” And then that gives them the opportunity
to hear them, and to hear their thought process of how they’re thinking. And I can tell
you a number of APs that have gone on those walks, was my first insight to, “Oh, that
person’s pretty sharp. Let me follow up with them.” And so it gives that connection. So I
think that’s an important piece. But it’s also they know [name removed for
confidentiality] or they know that Dr. [name removed for confidentiality] or they know
[name removed for confidentiality] or they know me. I think those parts help because
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 106
when we’re doing the screening and we’re interviewing, we know those individuals. We
know a lot more about them than some of the other APs. And I think that’s that piece of
getting yourself known. Especially in a fairly large district. (interview, June 26, 2019)
Superintendent A stated that assistant principals needed to build a relationship with
himself or his assistant superintendents in order to be recognized as potential principal
candidates. This act of reaching out to join committees or to join classroom walk-throughs with
the principal help in building a reputation for these assistant principals when it comes time to
interview for a principalship. In this case, the tapping is by the principal, who ultimately
recognizes that the assistant principal is ready for the principalship. Inviting the assistant
principal to join him and the superintendent as they walk through classrooms provides an
opportunity for the assistant principal to build rapport with the superintendent who will
ultimately make the decision on who becomes a principal.
Superintendent C also acknowledged recruiting known administrators to apply for a
principalship where they might be a good fit:
Then in terms of me recruiting, if we know of somebody that would be a good fit for a
principal position, then we will have somebody potentially have a conversation with that
person. I’m always really clear whether it’s me or somebody that works with us to let the
person know that there’s no guarantees in this process and that you have shown attributes
and qualities and the kind of people skills of someone that might make a great principal
in our district. We think you should apply and go through the process, but you had to be
careful about promising anybody a job, because there’s so many things once you get into
the process. (interview, June 20, 2019)
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 107
Superintendent C stated, “If we know of somebody that would be a good fit for a
principal position, then we will have somebody potentially have a conversation with that person”
(interview, June 20, 2019). Superintendent C must know of an administrator’s reputation and
skill set during the administrator’s tenure as an assistant principal or when serving in a pseudo
administrative role prior to encouraging that person to apply for the principalship.
The qualitative survey data from 20 superintendents support the findings in this theme. In
response to the statement, “Networking with district personnel helps candidates get recruited into
principal positions in my district,” 5% strongly agreed and 65% agreed. In response to the
statement, “Being an employee of my school district helps candidates get recruited into principal
positions in my district,” 15% strongly agreed and 70% agreed.
Human Resources Administrator A promoted known administrators within the district
who had moved up the ranks in the established pipeline:
To be that leader, you need to start identifying and build leadership amongst others. So
we were very explicit with our principals to identify either some of their subordinates or
either some teachers and really start building that leadership capacity in those folks. So I
do think, while at one point it may have been more just kind of maybe cultural how we
did things, I think we’ve even moved to now to be a more of an explicit model. You need
to go identify some future leaders on your campus, and tap them on the shoulder, and say
that you see that in them. And then once you do, start giving them leadership
opportunities on your campus to really start building that to see if it’s going to work for
both of us. (interview, June 27, 2019)
Human Resources Administrator A stated that it was the job of current leaders to identify
potential leaders within their staff and to provide leadership opportunities to build their capacity.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 108
“You need to identify some future leaders on your campus, and tap them on the shoulder, and
say that you see that in them” (interview, June 27, 2019). This practice in Human Resources
Administrator A’s district is intentional, as they want to create a strong applicant pool within the
district for future principalships.
Human Resources Administrator C stated that it was common practice to encourage
others to step into leadership roles:
We do give every opportunity for our own people to be able to advance. That’s one of the
ways that we keep good people in the school district by . . . . They know that if they
continue to do well, they are working hard, achieving positive results, and doing positive
things for the school district; that there’s a good chance that we’re going to find a role for
them to continue to grow in. . . . When we go through and we’re interviewing somebody
who’s potentially going to be a principal, it’s not like this is the first time we meet them
and we’re wondering what makes this person tick. This is usually somebody that we
know really well. We know how they respond to pressure, what their strengths are, what
areas that they possibly would need to work on as well. It’s not a surprise to us.
(interview, July 11, 2019)
Human Resources Administrator C mentioned that providing opportunities to those
people who have leadership capabilities was a way to groom and retain good leaders within the
district (Bolman & Deal, 2013). He mentioned that the district typically finds a role for these
individuals to grow and to build capacity. When it is time for them to interview for a
principalship, they already know the strengths and weaknesses of the candidates.
Human Resources Administrator A stated that his district made an intentional plan to hire
candidates for principalships from within the district:
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 109
In the last several years there’s been a very cohesive plan to hire from within as much as
possible. So the people that they know, our system, they know what the expectations are.
They know where we’re going. They know the mission and vision. They have that built
into them, as well as they know the regular structures and processes to be able to
implement that stuff. (interview, June 26, 2019)
Part of the purpose of promoting from within the district is to ensure that candidates for a
principalship have been trained on the culture, systems, and expectations of the district. By
tapping interested persons within the district, they are grooming their own people to be leaders
and promoting them when they are ready for a principalship.
Quantitative survey data from the human resources administrators supported the findings
in this theme. In response to the statement, “Networking with district personnel helps candidates
get recruited into principal positions in my district, 31.82% strongly agreed and 63.64% agreed.
In response to the statement, “Being an employee of my district helps candidates get recruited
into principal positions in my district,” 31.82% strongly agreed and 61.18% agreed.
Immediate Supervisor B also referred to tapping through mentors who believed that their
mentees were ready for the next step in leadership:
I think also mentors guide them and might say, “Hey, I think you’re ready for this
opportunity,” whereas maybe they aren’t as self-confident in that. A potential candidate
for the principalship may not be aware of their potential till someone like a mentor
informs them they are ready. (interview, August 6, 2019)
Immediate Supervisor B confirmed that her district practices tapping:
We are a district that likes to hire from within if we have really strong qualified
individuals and believe in rewarding folks for working hard and doing that work. And so,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 110
[the district] offers a principal academy, so it gives us an opportunity to kind of get to
know candidates. Certainly, our teacher leaders where we will encourage them, “You
might want to think about going into administration. We can see that you have a skill
set.” I think being small kind of really helps to facilitate that. So, super important.
(interview, June 18, 2019)
Immediate Supervisor B mentioned that potential leaders are asked to join the principal academy
to build capacity in administration. This gives the district an opportunity to become familiar with
the potential candidates to determine whether they are good fits for the principalship.
Quantitative survey data from the 28 immediate supervisors of principals supported the
findings in this theme. In response to the statement,” Networking with district personnel helps
candidates get recruited into principal positions in my district,” 39.29% strongly agreed and
42.86% agreed. In response to the statement, “Being an employee of my district helps candidates
get recruited into principal positions in my district,” 50% strongly agreed and 35.71% agreed .
Principal candidates also agreed that it was an administrator who had seen potential in
them and had given them expanded opportunities to build capacity in leadership, which inspired
them to become administrators:
I was able to, with the permission of the principal I was working with as a teacher at
[name removed for confidentiality] High School at the time, I was able to create a
program for a social-emotional support program for students that required that level of
support on campus. I was able to work with the director of student services at the time,
Dr. [name removed for confidentiality], and create that program and bring that to [Name
removed for confidentiality] High, and it was that experience in creating programs that
caused me to want to be an administrator. I really liked that aspect of influence on a
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 111
campus. Being able to create programs, that was, that was my main goal in becoming an
administrator. (interview, Principal A2, June 28, 2019)
Principal A2 had an administrator who saw potential in him and allowed him to start a
socioemotional support program at his high school. This gave Principal A2 a lens to work with
parents, students, and other stakeholders that was different from his lens as a teacher. This also
expanded his sphere of access, as he had the opportunity to work with other administrators in the
district such as the director of student services. Having this different relationship with
stakeholders provided Principal A2 the perspective that inspired him to be an administrator.
Principal A3 reported that the influence of his administrators had encouraged him to step
into administration:
Numerous principals I worked for always said, “You should go into the admin program.”
And I said, “No, no, no.” And they started this leadership academy, and my principal
says, “You should apply.” And I thought, “Oh, that’s nonthreatening. I can at least see
what it’s about and see how that looks.” So I started with that, and then that started me on
the trajectory of, “Well, it’s not so hard. I’ll apply for a job. If I don’t get it, I’m happy
where I am,” and kind of do that. (interview, June 26, 2019)
Principal A3 had administrators who believed that he had the potential to go into administration
and strongly encouraged him to obtain an administration credential. The leadership academy in
his district encouraged him to apply and begin his trajectory into administration.
Principal A1 cited multiple tapping events in her career. As a long-time teacher in the
district, she built a reputation that caught the eye of multiple administrators to encourage her to
apply for administration:
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 112
There was some level of that there because I had been in the district for so long. I did
have some people at the district office at that time reach out to me or have conversations
with me about applying for those positions, which I was already considering. (interview,
May 31, 2019)
As an assistant principal, she continued to build her reputation, which encouraged the
superintendent to promote her to principal without an interview:
I did use my relationships and mentorship. Because of my record speaking for itself, I
guess, is one of the reasons why I was able to be placed in that principalship. Trusted it
enough to not even have to do the interview process that they had picked me for that
position. (interview, May 31, 2019)
Salazar Principal A1 had established a strong enough reputation throughout her career that she
had garnered trust from her administration. This trust encouraged her administration to promote
her to an assistant principalship and even a principalship without an interview.
The qualitative survey data from 113 principals strongly supports the theme related to
this question. In response to the statement, “My level of understanding of district initiatives and
goals were important factors being recruited in my current position as principal,” 41.59%
strongly agreed and 43.36% agreed. In response to the statement, “As an in district candidate,
networking with district personnel was an important factor in being recruited in my current
position as a principal,” 40.71% strongly agreed and 29.20% agreed. In response to the
statement, “Being an employee of my district was an important factor in being recruited in my
current position as a principal, 47.79% strongly agreed and 23.89% agreed.
Table 6 summarizes the survey responses from superintendents aligned to Research
Question 2. Table 7 summarizes the survey responses from human resources administrators
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 113
Table 6

Participant Responses Indicating That Superintendents Perceived That Building Pipelines to the
Principalship and Recruiting From Within Were More Beneficial Than University Preparation
Programs (Percentages)

Districts
Survey item and response categories All A, B, C

District resources and recruitment strategies help candidates
get recruited into principal positions in my district.
Strongly Agree 9.52 0.00
Agree 76.19 100.00
Disagree 14.29 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

University principal preparation programs help candidates get
recruited into principal positions in my district.
Strongly Agree 0.00 0.00
Agree 19.05 0.00
Disagree 61.09 100.00
Strongly Disagree 9.52 0.00
Don’t Know or Not Applicable (N/A) 9.52 0.00

The salary and benefits offered are important factors in candidates
applying for principal positions in my district.
Strongly Agree 19.05 0.00
Agree 66.67 100.00
Disagree 9.52 0.00
Strongly 4.76 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Candidates’ previous experience in education is an important factor
in recruiting for principal positions in my district.
Strongly Agree 66.67 0.00
Agree 28.57 100.00
Disagree 4.76 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 114
Table 6 (continued)

Districts
Survey item and response categories All A, B, C

Candidates’ previous experience outside of education is an important
factor in recruiting for principal positions in my district.
Strongly Agree 0.00 0.00
Agree 33.33 100.00
Disagree 42.86 0.00
Strongly Disagree 19.05 0.00
Don’t Know or Not Applicable (N/A) 4.76 0.00

The reputation of my school district is an important factor in
candidates applying for principal positions in my district.
Strongly Agree 47.62 0.00
Agree 52.38 100.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

A candidate’s level of level of understanding of district initiatives
and goals were important factors in being recruited into principal
positions in my district.
Strongly Agree 38.10 0.00
Agree 47.62 0.00
Disagree 14.29 100.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Networking with district personnel helps candidates get recruited into
principal positions in my district.
Strongly Agree 9.52 0.00
Agree 61.09 100.00
Disagree 23.81 0.00
Strongly Disagree 4.67 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Having a mentor helps candidates get recruited into principal
positions in my district.
Strongly Agree 28.57 0.00
Agree 52.38 100.00
Disagree 9.52 0.00
Strongly Disagree 4.76 0.00
Don’t Know or Not Applicable (N/A) 4.76 0.00

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 115
Table 6 (continued)

Districts
Survey item and response categories All A, B, C

Being an employee of my school district helps candidates get
recruited into principal positions in my district.
Strongly Agree 14.29 0.00
Agree 71.43 0.00
Disagree 14.29 100.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Candidates’ participation in professional organizations helps candidates
get recruited into principal positions in my district.
Strongly Agree 0.00 0.00
Agree 33.33 0.00
Disagree 57.14 100.00
Strongly Disagree 4.76 0.00
Don’t Know or Not Applicable (N/A) 4.76 0.00

Holding an advanced degree (e.g., EdD or PhD) helps candidates get
recruited into principal positions in my district.
Strongly Agree 4.76 0.00
Agree 23.81 0.00
Disagree 66.67 100.00
Strongly Disagree 4.76 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Having instructional leadership experience is an important factor in
recruiting for principal positions in my district.
Strongly Agree 66.67 100.00
Agree 33.33 0.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Note. EdD = Doctor of Education, PhD = Doctor of Philosophy.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 116
Table 7

Participant Responses Indicating That Human Resources Administrators Perceived That
Building Pipelines to the Principalship and Recruiting From Within Were More Beneficial Than
University Preparation Programs (Percentages)

Districts
Survey item and response categories All A, B, C

District resources and recruitment strategies help candidates get
recruited into principal positions in my district.
Strongly Agree 31.82 25.00
Agree 63.64 25.00
Disagree 4.55 37.50
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 12.50

University principal preparation programs help candidates get
recruited into principal positions in my district.
Strongly Agree 0.00 0.00
Agree 50.00 37.50
Disagree 45.45 50.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 12.50

Nontraditional principal preparation programs help candidates get
recruited into principal positions in my district.
Strongly Agree 4.55 0.00
Agree 59.09 12.50
Disagree 18.18 25.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 18.18 62.50

The nonmonetary incentives offered by my district are important
factors in candidates applying for principal positions in my district.
Strongly Agree 22.73 0.00
Agree 45.45 62.50
Disagree 13.64 25.00
Strongly Disagree 9.09 0.00
Don’t Know or Not Applicable (N/A) 9.09 12.50

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 117
Table 7 (continued)

Districts
Survey item and response categories All A, B, C

The salary and benefits offered are important factors in candidates
applying for principal positions in my district.
Strongly Agree 19.05 25.00
Agree 66.67 62.50
Disagree 9.52 0.00
Strongly 4.76 0.00
Don’t Know or Not Applicable (N/A) 0.00 12.50

Candidates’ previous experience in education is an important factor
in recruiting for principal positions in my district.
Strongly Agree 77.27 62.50
Agree 22.73 12.50
Disagree 0.00 12.50
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 12.50

Candidates’ previous experience outside of education is an important
factor in recruiting for principal positions in my district.
Strongly Agree 9.09 12.50
Agree 31.82 12.50
Disagree 40.91 50.00
Strongly Disagree 9.09 12.50
Don’t Know or Not Applicable (N/A) 9.09 12.50

The reputation of my school district is an important factor in
candidates applying for principal positions in my district.
Strongly Agree 50.00 50.00
Agree 50.00 12.50
Disagree 0.00 25.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 12.50

A candidate’s level of level of understanding of district initiatives and
goals were important factors in being recruited into principal positions
in my district.
Strongly Agree 27.27 37.50
Agree 61.18 25.00
Disagree 4.55 25.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 12.50

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 118
Table 7 (continued)

Districts
Survey item and response categories All A, B, C

Networking with district personnel helps candidates get recruited
into principal positions in my district.
Strongly Agree 31.82 62.50
Agree 63.64 12.50
Disagree 4.55 12.50
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 12.50

Having a mentor helps candidates get recruited into principal positions
in my district.
Strongly Agree 50.00 37.50
Agree 40.91 12.50
Disagree 4.55 25.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 25.00

Being an employee of my school district helps candidates get recruited
into principal positions in my district.
Strongly Agree 31.82 37.50
Agree 68.18 37.50
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 25.00

Candidates’ participation in professional organizations helps candidates
get recruited into principal positions in my district.
Strongly Agree 4.55 0.00
Agree 54.55 37.50
Disagree 31.82 37.50
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 9.09 25.00

Holding an advanced degree (e.g., EdD or PhD) helps candidates get
recruited into principal positions in my district.
Strongly Agree 0.00 25.00
Agree 54.55 25.00
Disagree 45.45 37.50
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 12.50

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 119
Table 7 (continued)

Districts
Survey item and response categories All A, B, C

Having instructional leadership experience is an important factor in
recruiting for principal positions in my district.
Strongly Agree 63.64 62.50
Agree 36.36 12.50
Disagree 0.00 12.50
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Note. EdD = Doctor of Education, PhD = Doctor of Philosophy.

aligned to Research Question 2. Table 8 summarizes the survey responses from immediate
supervisors of principals aligned to Research Question 2. Table 9 summarizes the survey
responses from principals aligned to Research Question 2.
Summary of Results for Research Question 2
The results of analysis of the survey data identified two themes related to Research
Question 2 on strategies that superintendents, human resources administrators, immediate
supervisors of principals, and principals used in the principal recruitment process. First, to
prepare potential principal candidates for administration, superintendents created a pipeline to
the principalship to provide candidates experiences to prepare for them for the roles and
responsibilities of the principalship. Second, principals reported that they had been “tapped” or
encouraged by administrators to go into administration based on their reputation and work ethic.
Findings for Research Question 3
To understand retention of principals, Research Question 3 asked, “What are the
perceived strategies that support retention of principals?” Even when a candidate attains the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 120
Table 8

Participant Responses Indicating That Immediate Supervisors of Principals Perceived That
Building Pipelines to the Principalship and Recruiting From Within Were More Beneficial Than
University Preparation Programs (Percentages)

Districts
Survey item and response categories All A, B, C

District resources and recruitment strategies help candidates get
recruited into principal positions in my district.
Strongly Agree 28.57 50.00
Agree 53.57 50.00
Disagree 14.29 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 0.00

University principal preparation programs help candidates get
recruited into principal positions in my district.
Strongly Agree 3.57 0.00
Agree 46.43 0.00
Disagree 35.71 100.00
Strongly Disagree 3.57 0.00
Don’t Know or Not Applicable (N/A) 10.71 0.00

Nontraditional principal preparation programs help candidates
get recruited into principal positions in my district.
Strongly Agree 3.57 0.00
Agree 35.71 0.00
Disagree 17.86 100.00
Strongly Disagree 7.14 0.00
Don’t Know or Not Applicable (N/A) 35.71 0.00

The nonmonetary incentives offered by my district are important factors
in candidates applying for principal positions in my district.
Strongly Agree 0.00 0.00
Agree 64.29 100.00
Disagree 21.43 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 14.29 0.00

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 121
Table 8 (continued)

Districts
Survey item and response categories All A, B, C

The salary and benefits offered are important factors in candidates
applying for principal positions in my district.
Strongly Agree 17.86 50.00
Agree 75.00 50.00
Disagree 3.57 0.00
Strongly 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 0.00

Candidates’ previous experience in education is an important factor
in recruiting for principal positions in my district.
Strongly Agree 57.14 50.00
Agree 35.71 50.00
Disagree 3.57 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 0.00

Candidates’ previous experience outside of education is an important
factor in recruiting for principal positions in my district.
Strongly Agree 7.14 0.00
Agree 7.14 50.00
Disagree 75.00 50.00
Strongly Disagree 7.14 0.00
Don’t Know or Not Applicable (N/A) 3.57 0.00

The reputation of my school district is an important factor in
candidates applying for principal positions in my district.
Strongly Agree 46.43 0.00
Agree 46.86 100.00
Disagree 7.14 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 0.00

A candidate’s level of level of understanding of district initiatives and
goals were important factors in being recruited into principal positions
in my district.
Strongly Agree 39.29 50.00
Agree 46.43 50.00
Disagree 10.71 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 0.00

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 122
Table 8 (continued)

Districts
Survey item and response categories All A, B, C

Networking with district personnel helps candidates get recruited
into principal positions in my district.
Strongly Agree 38.29 50.00
Agree 42.86 50.00
Disagree 10.71 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 7.14 0.00

Having a mentor helps candidates get recruited into principal
positions in my district.
Strongly Agree 39.29 50.00
Agree 39.29 50.00
Disagree 10.71 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 10.71 0.00

Being an employee of my school district helps candidates get recruited
into principal positions in my district.
Strongly Agree 50.00 50.00
Agree 35.71 50.00
Disagree 7.14 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 7.14 0.00

Candidates’ participation in professional organizations helps
candidates get recruited into principal positions in my district.
Strongly Agree 0.00 0.00
Agree 50.00 100.00
Disagree 35.71 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 14.29 0.00

Holding an advanced degree (e.g., EdD or PhD) helps candidates get
recruited into principal positions in my district.
Strongly Agree 14.29 0.00
Agree 25.00 50.00
Disagree 46.43 50.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 14.29 0.00

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 123
Table 8 (continued)

Districts
Survey item and response categories All A, B, C

Having instructional leadership experience is an important factor
in recruiting for principal positions in my district.
Strongly Agree 75.00 50.00
Agree 17.36 50.00
Disagree 3.57 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 0.00

Note. EdD = Doctor of Education, PhD = Doctor of Philosophy.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 124
Table 9

Participant Responses Indicating That Principals Perceived That Building Pipelines to the
Principalship and Recruiting From Within Were More Beneficial Than University Preparation
Programs (Percentages)

Districts
Survey item and response categories All A, B, C

As an aspiring principal, district resources and programs were important
in being recruited into my current position as a principal.
Strongly Agree 24.35 28.57
Agree 49.57 42.86
Disagree 14.78 28.57
Strongly Disagree 4.35 00.00
Don’t Know or Not Applicable (N/A) 6.96 0.00

My university principal preparation program was an important factor
in being recruited in my current position as a principal.
Strongly Agree 4.35 0.00
Agree 36.52 50.00
Disagree 34.78 42.86
Strongly Disagree 8.70 0.00
Don’t Know or Not Applicable (N/A) 16.65 7.14

My nonuniversity principal preparation program was an important
factor in being recruited in my current position as a principal.
Strongly Agree 16.65 21.43
Agree 31.30 35.71
Disagree 13.04 28.57
Strongly Disagree 3.84 0.00
Don’t Know or Not Applicable (N/A) 36.52 14.29

The nonmonetary incentives offered by my district were important
factors in applying for the principal position in my district.
Strongly Agree 8.70 21.43
Agree 31.30 28.57
Disagree 30.43 35.71
Strongly Disagree 10.43 7.14
Don’t Know or Not Applicable (N/A) 19.13 7.14

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 125
Table 9 (continued)

Districts
Survey item and response categories All A, B, C

The salary and benefits offered by my district were important factors
in applying for the principal position in my district.
Strongly Agree 10.43 7.14
Agree 44.35 50.00
Disagree 33.91 35.71
Strongly 6.96 0.00
Don’t Know or Not Applicable (N/A) 4.35 7.14

My previous experience in education was an important factor in
being recruited in my current position as a principal.
Strongly Agree 73.04 78.57
Agree 24.35 21.43
Disagree 0.87 0.00
Strongly Disagree 0.87 0.00
Don’t Know or Not Applicable (N/A) 0.87 0.00

My previous experience outside of education was an important factor
in being recruited in my current position as a principal.
Strongly Agree 10.43 28.57
Agree 20.00 7.14
Disagree 38.26 50.00
Strongly Disagree 8.70 0.00
Don’t Know or Not Applicable (N/A) 22.61 14.29

The reputation of my school district was an important factor in
|applying for the principal position in my district.
Strongly Agree 37.39 21.43
Agree 36.52 57.14
Disagree 18.26 14.29
Strongly Disagree 2.61 0.00
Don’t Know or Not Applicable (N/A) 5.22 7.14

My level of understanding of district initiatives and goals were important
factors in being recruited in my current position as a principal.
Strongly Agree 41.74 28.57
Agree 43.48 57.14
Disagree 11.30 7.14
Strongly Disagree 0.87 0.00
Don’t Know or Not Applicable (N/A) 2.61 7.14

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 126
Table 9 (continued)

Districts
Survey item and response categories All A, B, C

As an in-district candidate, networking with district personnel was an
important factor in being recruited in my current position as a principal.
Strongly Agree 40.87 50.00
Agree 29.57 14.29
Disagree 5.22 14.29
Strongly Disagree 0.87 0.00
Don’t Know or Not Applicable (N/A) 23.48 41.43

As an out-of-district candidate, networking with district personnel was an
important factor in being recruited in my current position as a principal.
Strongly Agree 6.09 0.00
Agree 20.87 21.43
Disagree 15.65 21.43
Strongly Disagree 2.61 0.00
Don’t Know or Not Applicable (N/A) 54.78 57.14

Having a mentor was an important factor in being recruited in my
current position as a principal.
Strongly Agree 48.70 35.71
Agree 28.70 50.00
Disagree 12.17 7.14
Strongly Disagree 2.61 0.00
Don’t Know or Not Applicable (N/A) 7.83 7.14

Being an employee of my school district was an important factor in
being recruited in my current position as a principal.
Strongly Agree 49.96 50.00
Agree 24.35 28.57
Disagree 6.09 7.14
Strongly Disagree 1.74 0.00
Don’t Know or Not Applicable (N/A) 20.87 14.29

My participation in professional organizations was an important factor
in being recruited into my current position as a principal.
Strongly Agree 7.83 28.57
Agree 23.48 21.43
Disagree 35.65 35.71
Strongly Disagree 13.04 0.00
Don’t Know or Not Applicable (N/A) 20.00 14.29

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 127
Table 9 (continued)

Districts
Survey item and response categories All A, B, C

Holding an advanced degree (e.g., EdD or PhD) was an important factor
in being recruited into my current position as a principal.
Strongly Agree 15.65 28.57
Agree 15.65 7.14
Disagree 27.83 21.43
Strongly Disagree 12.17 14.29
Don’t Know or Not Applicable (N/A) 28.70 28.57

Having instructional leadership experience was an important factor
in being recruited into my position as a principal.
Strongly Agree 65.22 78.57
Agree 32.17 21.43
Disagree 1.74 0.00
Strongly Disagree 0.87 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Note. EdD = Doctor of Education, PhD = Doctor of Philosophy

principalship, retention is not guaranteed (Kowalski, 2010). Principals and school districts must
take steps to support retention of qualified individuals as principals. Results in this study student
confirmed two themes related to Research Question 3: (a) Support by district administrators
contributes to the retention of principals, and (b) district administrators and principals agreed that
principals working in collaboration with peers helped to retain principals.
District Office Support
Superintendent A supported the findings in this theme that district support encouraged the
retention of his principals:
That’s a great question. Retaining our principles. I think honestly in my estimation, it’s
because we pay them a good salary. But it’s not always about money, and every study
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 128
will show you that. But I also think that we work really hard, although we’re not perfect.
We work really hard at creating a supportive environment for principals. I learned that
from Dr. [named removed for confidentiality] who is my mentor is that so go the
principals, so go the school district. And that valuing your principles is so, so important
and supporting them. It doesn’t always mean, and I tell our principals this, that our job is
to try to say yes to you as much as we can. But we can’t always say yes just so you know.
And it doesn’t mean we don’t love you and we don’t care about you. We just can’t
always say yes, because there are bigger considerations. But our goal is going to be to try
to find a way to get you what it is that you need to do your job well. (interview, June 27,
2019)
Superintendent A stated that it intentional support for principals by the district helped to
retain principals. He began by stating that increasing salaries for principals was a factor for
retention but immediately changed his answer to indicate district support. If administrators
visited principals at school sites and created a supportive environment, principals did not leave
the district. Superintendent A utilized Bolman and Deal’s (2013) human resource frame of
organizational leadership. By building capacity and supporting principals, Superintendent A
provided resources for his principals to be successful at their jobs. “Our goal is going to be to try
to find a way to get you what it is that you need to do your job well” (interview, June 27, 2019).
Superintendent B shared the sentiments expressed by Superintendent A about the
district’s ultimate responsibility to support principals:
I think a big part of the superintendent’s responsibility is to ensure that principals are
successful. And that starts with an honest, open relationship between principals and the
superintendent. Principals have to feel 100% comfortable with picking up the phone and
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 129
calling the superintendent with a question. Whether it’s of great importance, or whether
it’s on the scale of more insignificant. It just has to have that communication. And also, I
think that that allows for better planning. It allows for better support. It gives the
superintendent a better idea of how to help that principal with mentorship. And also,
some principals have earned more autonomy than others. And I think that when we have
a new principal, it starts out with a level one of autonomy. And through that
communication and honesty, it can grow to a level seven or eight. And I think that isn’t
because the superintendent, or in this case myself becomes disinterested in that person.
But because they’ve earned that amount of autonomy with their professionalism. . . . And
there’s a trust that if that principal needs help, assistance, or support, I know they’re
going to call. I know that and they know that I’m going to answer the phone, and they
know that I’m going to give them the best advice that I can or that I believe for the
situation or the time. And that I have their success in mind always. And I believe their
success translates into the success of the teachers, and then therefore to the kids.
(interview, July 22, 2019)
Superintendent B suggested the amount of support that the district should provide to
principals. He stated that communication between the principal and the superintendent should be
open and honest, regardless of the level of significance. He also mentioned the importance of
providing autonomy to the principals at various levels. “I think that when we have a new
principal, it starts out with a level one of autonomy. And through that communication and
honesty, it can grow to a level seven or eight” (interview, July 22, 2019). By assessing the level
of support needed for the principal, Superintendent B will provide additional support that will
eventually be phased out as the principal builds experience (Northouse, 2016). Ultimately,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 130
Superintendent B recognized that providing support to the principal would translate to success by
the teachers, which in turn translates to success by the students (Marzano et al., 2005).
Superintendent B agreed that district support was a main factor in the retention of his
principals:
Everything from a pretty systematic onboarding process for new folks, a pretty intensive
professional development program with our principals and assistant principals. So, we
see them structurally. Our meeting structure looks like this. Some districts say every
Wednesday you’re going to seat up and we’re going to do a variety of things. We try
really hard to differentiate. So, every month we’ll see our principals three times. It’s
always on Tuesday. It’s always from 9:15 to 11:30. It allows them to start school and
make sure everything’s okay. And that allows them to be out of here before lunch,
they’re back for lunch supervision. So, we set up so there’s a PLC getting, it’s just
instructional. It’s run by our ed services department. We set up a management meeting,
we actually try to make that meeting 90 minutes only. It’s straight business. You’re going
to have a bunch of things thrown at you and it’s going to be just the things we have to get
in front of you to hear and listen to and talk about. And then I get to see them once a
month and we just talk about leadership. So, those leadership components are everything
from communication and developing communication plans, to reading a book, to like I
said, self-assessments that we did. I think that structure that we put them in allows us to
have multiple people involved in their development, but also they know what they’re
walking into and the mindset that they have to carry into each meeting. Versus from 9:00
to 10:00 we’re going to do business, from 10:00 to 11:00 we’re going to do ed services,
from 11:00 to 12:00 we’re going to do leadership. I think that too many back and forth
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 131
and most people can’t kind of sit in it enough. So, I think getting people ready for the
mindset of what they’re walking into. (interview, September 26, 2019)
Superintendent B was very intentional about how he structured the support system for
principals. He broke down the level of district support into three areas: support in management,
support in instruction, and support in leadership. Doing this in three monthly meetings allowed
the superintendent to distribute the information for the principals to avoid informational
overload. He also made these meetings short to allow principals to attend professional
development sessions but also supervise their schools.
The responses from the human resources administrators supported the findings in this
theme. Human Resources Administrator A shared that the support that the district provided to the
principals helped with retention.
People have always felt well supported and have the resources necessary to do the job. So
as such, we have very little to no turnover. The only turnover we really see is that if
people are advancing and there’s just not going to be job opportunities within our district
is typically when they choose other districts. We only have four middle schools, two high
schools in continuation . . . so three high schools . . . an adult school, 13 elementary.
(interview, June 27, 2019)
Human Resources Administrator A stated that district support ultimately helped to retain
principals. By providing support and resources, there is very little turnover in the district. In fact,
he stated that, due to very high retention of principals, the only time there is turnover is when co-
administrators leave the district to find another job.
Human Resources Administrator C confirmed these sentiments in his interview about
supporting the principal as the main reason principals retain their positions:
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 132
Myself, the superintendent, the other assistant superintendents, our job is to support those
principals and to make sure that they have everything they need to be successful. If a
principal calls one of us during a meeting or while we’re doing something, our
expectation is that we’re going to step away from what we’re doing and take that
principal’s call, and we’re going to do what we can to give them what they need in order
to move on and be successful. That’s our commitment to them. That’s a blank
commitment. We don’t know what they’re calling about or what it is that they need. Our
commitment is we’re going to drop what we’re doing so that we can help them with what
they need to do. They’re that important. Our superintendent models that for all of us. I
mean I could be talking with the superintendent about something that’s a huge problem,
intense, important kind of a thing. A principal rings his cell phone and he’s like, “Hey,
hold on a sec, let me take this call,” then deal with whatever that principal has to do, and
then we go on with what it is we’re working on or whatever. That’s really a strong
statement of support for the principals and also a demonstration of how important they
are to our schools. (interview, July 11, 2019)
Human Resources Administrator C mentioned the importance of the level of support for
principals in his district. He said that district administrators have been trained by the
superintendent to make it a priority to answer principals when they call. By demonstrating this
level of support, the principal recognizes that they are important and that the district is willing
give priority to this support.
Immediate Supervisor A continued with the theme of support from the district as a reason
principals were retained but defined this support through the use of an instructional coach. “I
strategically pick who is their instructional coach based on their needs. Some might need
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 133
something that is more tied to culture, while others may need support with the nuts and bolts of
running a school” (interview, May 31, 2019). By assessing the various needs of her principals,
Immediate Supervisor A designates a distinctive coach to provide support that is tied to that
principal’s specific needs. Immediate Supervisor A2 also mentioned that district support was
provided through hiring instructional coaches for their principals. “We also contract with Pivot,
so they have mentors that have been former principals that meet with the feeder group”
(interview, June 18, 2019).
The 12 principals who were interviewed agreed that support provided by the district
helped with retention of principals. Principal A1 stated that the district provided bimonthly
principal meetings that were rich in professional development on instructional leadership.
Principal A1 stated, “I would say the bulk of the meeting is on professional development, is
making sure that we are current so that we’re able to support our teachers in whatever
instructional strategies or instruction that we want” (interview, June 27, 2019). The district is
building the capacity in instructional leadership in their principals to provide them resources
needed to be instructional leaders at their sites (Bolman & Deal, 2013).
Principal B1 mentioned that district support was also given through an instructional
coach. The instructional coach helped Principal B1 to support his staff in leadership but also
provided mentorship when he needed to make difficult decisions:
Really helped for me to help frame where I was going, and kind of reassure me when I
was struggling and, you know, questions I had about how to deal with certain situations.
. . . He was a retired, like long-time retired principal. And so he came and mentored me in
my first year. So that was helpful. (interview, July 22, 2019)
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 134
The district invested in an instructional coach to build the capacity of Principal B1 to ensure that
he was meeting levels of success as a first-year principal (Bolman & Deal, 2013).
Principal C1 also attributed his retention in the district to the level of support that was
provided by the district. This level of support was shown by the immediate availability of district
personnel when he needed their help:
It’s more of a family setting, really, that’s I would say the difference. A professional
family setting of course. So yeah, you feel that support. So when times are good or times
are more challenging, that support is always there. And I can always pick up the phone,
without any hesitation, and call an assistant super or my superintendent without
hesitation, without getting any filters or like, “Oh, he’s not available. Oh, please call
back.” Because that happens sometimes with bigger organizations. And we’re not like
small, but we’re not too big either. We’re about 25,000 students. So the support system is
there. (interview, July 11, 2019)
Principal C1 maintained that supporting principals was the district’s priority. When he
has called for support, everyone from the superintendent to the directors made it a priority to
drop what they were doing to answer the call of their principals. Principal C1 also alluded to the
sense of belonging to a family, making him feel important and valued by the district; he cited this
as another reason that supported his retention (Northouse, 2016).
Survey data aligned to interview data showed that 96.52% of surveyed principals strongly
agreed or agreed with the statement, “My relationship with directors, assistant superintendents,
and my superintendent supports my success in retaining my position as a principal.” Further
supporting this finding, 96.42% of surveyed supervisors of principals, 100% of surveyed human
resources administrators, and 100% of surveyed superintendents strongly agreed or agreed that
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 135
relationships with directors, assistant superintendents, and the superintendent support retention of
principals.
Working With Peers
Working in collaboration with peers was a major component of support for retention of
principals. The literature review on this topic stated that principals need to reach outside their
schools and collaborate with other principals in order to improve the learning experience for
students (Fullan, 2014). By creating the opportunity for collaboration, districts are supporting
retention of their principals by allowing them to work with peers to share best practices, solve
problems, and implement a support system (Marzano et al., 2005).
Superintendent A created collaborative groups within his leadership team to allow all
administrators to familiarize themselves with other administrators in the district:
We sit people in different groupings and different levels just so they get to know what’s
happening with other people. And really feel like quite honestly, it’s energizing for our
leaders not only to just get with their own level and talk about their common, but to
understand each other and that everybody’s got challenges and things associated with
their job. Everybody’s got great things happening at their sites as well. So feel like those
things have led to our principals feeling more collaborative, closer with one another, all
up and down the continuum. And really just being comfortable working together.
(interview, June 27, 2019)
By grouping his administration by various levels, he provided a collaborative support system
within his administration team. Principals were grouped with other administrators with whom
they did not work but with whom they could share experiences as administrators and support
each other in this environment.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 136
Superintendent B also attributed principals working in collaboration as a major
component in principal retention:
I think the relationship that they build with their colleagues internally is essential. I think
that if the principals have a strong relationship within a district, then they’re all better off
for that. They can have a network amongst themselves, they can be mentors for
themselves, and they could all learn from each other. Without that network, I believe the
job is very isolated. And you can become on an island really, really quick. And that gets
lonely, and then that leads to people leaving the principalship or not doing well in the
principalship. I think it’s really important that those jobs that can be on an island need to
be pulled together into as small an archipelago as possible. (interview, July 22, 2019)
Superintendent B alluded in his interview to the loneliness that can be felt by a principal. To
counter this, he mentioned the importance of principals reaching out to one another in a
supportive collaborative network. This network serves two purposes: to support one another and
to share best practices.
Human Resources Administrator A also attributed the retention of principals to the
“relationships” they establish and utilize within the district. His focus was on relationship with
the district personnel that enabled them to reach out and call for support.
The importance of establishing a working collaborative relationship with peers was also
mentioned by Human Resources Administrator C. “I think that that PLC, that I was mentioning
to you about with our principals and the superintendent cabinet, has been so helpful for building
that kind of a trust, camaraderie, and teamwork” (interview, July 11, 2019). By establishing a
PLC, principals share best practices or even seek the advice from peers if they are having a
conflict that they need help in resolving.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 137
Immediate Supervisor B also cited peer collaboration as a major contributor to retention
of principals:
Another support that they have is we break them up. We call them, oh my gosh, what do
we call them? Principal collaboratives. Principal collaboratives. And we have them
divided into groups, and we come up with a topic. Let’s say, parent, increasing parent
support, increasing parent involvement. And then, they have to, between meetings, meet
once a month, between meetings, they meet outside of work, and they collaborate on
various topics such as “What do you do to increase parent support? (interview, May 13,
2019)
By creating the principal collaboratives, principals can work through conflicts together
and even gain perspective on how to resolve situational issues that are addressed by the district.
Immediate Supervisor B also noted that these principal collaboratives allow principals to
establish close relationships within their group, which is extremely supportive.
Immediate Supervisor C1 attributed peer collaboration to retention of principals. In her
district they established PLCs to ensure that principals work collaboratively:
We have the PLC groups that I mentioned and then we also four times a year we bring all
of us together PK12 and we always have them sit in families, high school families so they
also have that group as well. If you’re all part of the same community family, you sit
together and then you collaborate around different topics usually related to PLC or what
we’re trying to do with interventions and things like that. There’s vertical articulation,
essentially, between middle, high, and elementary as well in addition to the just
elementary principal meetings where it’s more within PLC. (interview, September 9,
2019)
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 138
By working in PLCs, the principals establish relationships and learn from one another as they
collaborate on various topics that challenge the school.
The 12 principals who were interviewed agreed that working collaboratively with peers
was a major component in their retention as principals. Principal C2 specifically mentioned his
collaboration with peers at district principal meetings:
We have principals’ meetings twice a month, where every principal–we all come
together, and we meet with our superintendent and his cabinet. We talk about that all the
time. We sit down and we’ll have meetings about best practices and what we’re doing on
our campuses. We’ll get a chance to go visit each other’s campus, if there’s certain
programs or strategies or things that one of our colleagues are implementing. That’s been
effective. There’s a culture of collaboration in our district that allows us to stay connected
in what’s going on. (interview, July 11, 2019)
Principal C2 stated that working in a collaborative group allowed the principals in his district to
stay up to date on best practices. This collaboration allowed them to work together in solving
problems at their school sites and even to see a possible solution by visiting other schools.
Principal B2 attributed peer relationships to his retention as a principal. He stated that
“the relationships with my colleagues in a like role” (interview, July 22, 2019) are help him to
retain his position. He stated that those relationships can help in solving problems and
identifying potential solutions. He even stated that he has worked in a district that did not believe
in collaboration and saw how “detrimental” that can be for the schools in the district.
Survey statements did not align completely with the theme of professional relationships
in that the survey statement specifically referred to formal professional networks and not to
informal relationships cited by the interviewees. In response to the statement, “Professional
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 139
networks provided me with processes/strategies that currently support my success in retaining
my position as principal,” 40.86% of surveyed principals, 81.81% of surveyed human resources
administrators, and 71.42% of surveyed superintendents strongly agreed or agreed and with the
survey statement as posed.
While survey data did not align with the theme of peer relationships, the theme aligned
with the theoretical framework presented by Bolman and Deal (2013). Peer relationships are part
of the human resource frame, which focuses on people and relationships as the key components
of the organization. When viewing an organization from a human resource perspective,
individuals are investments to develop so they can perform at their highest potential (Bolman &
Deal, 2013). In this case, the investments are principals who lead the organization.
Table 10 summarizes the survey responses from superintendents aligned to Research
Question 3. Table 11 summarizes the survey responses from human resources administrators
aligned to Research Question 3. Table 12 summarizes the survey responses from immediate
supervisors of principals aligned to Research Question 3. Table 13 summarizes the survey
responses from principals aligned to Research Question 3.
Summary of Results for Research Question 3
Principals and school districts must adopt strategies to support the retention of principals.
Analysis of the data in this study indicated the following themes related to the retention of
principals. First, the perceived support of district office administrators contributes to the
retention of principals. Second professional relationships with peers contribute to the retention of
principals.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 140
Table 10

Participant Responses Indicating That Superintendents Agree That Supporting Principals and
Principals Working in Professional Learning Communities Help to Retain Principals
(Percentages)

Districts
Survey item and response categories All A, B, C

University training programs provide principals with skills/strategies
that support their success in retaining their current positions.
Strongly Agree 4.55 0.00
Agree 63.64 100.00
Disagree 27.27 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

Professional networks (such as NAESP, NASSP, ACSA, university
networks) provide principals with processes/strategies that support
their success in retaining their current positions.
Strongly Agree 4.55 0.00
Agree 77.27 100.00
Disagree 13.64 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

Having mentor(s) provides principals with processes/strategies that
support their success in retaining their current positions.
Strongly Agree 77.27 0.00
Agree 18.18 100.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

The relationships principals have with directors, assistant
superintendents, and the superintendent support their success
in retaining their current positions.
Strongly Agree 81.82 100.00
Agree 18.18 0.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 141
Table 10 (continued)

Districts
Survey item and response categories All A, B, C

Principals’ compensation determines their desire to continue
in their current positions.
Strongly Agree 18.18 0.00
Agree 54.55 0.00
Disagree 22.73 100.00
Strongly 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

Having a formal, written strategic plan supports principals’ success
in retaining their current positions.
Strongly Agree 22.73 0.00
Agree 45.45 100.00
Disagree 31.82 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Pressures from accountability measures affect principals’ desires
to retain their current position.
Strongly Agree 4.55 0.00
Agree 63.64 100.00
Disagree 27.27 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

Note. NAESP = National Association of Elementary School Principals, NASSP = National
Association of Secondary School Principals, ACSA= Association of California School
Administrators.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 142
Table 11

Participant Responses Indicating That Human Resources Administrators Agree That Supporting
Principals and Principals Working in Professional Learning Communities Help to Retain
Principals (Percentages)

Districts
Survey item and response categories All A, B, C

University training programs provide principals with skills/strategies
that support their success in retaining their current positions.
Strongly Agree 4.55 0.00
Agree 63.64 50.00
Disagree 27.27 50.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

Professional networks (such as NAESP, NASSP, ACSA, university
networks) provide principals with processes/strategies that support
their success in retaining their current positions.
Strongly Agree 4.55 0.00
Agree 77.27 50.00
Disagree 13.64 50.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

Having mentor(s) provides principals with processes/strategies
that support their success in retaining their current positions.
Strongly Agree 77.27 100.00
Agree 18.18 0.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

The relationships principals have with directors, assistant
superintendents, and the superintendent support their success
in retaining their current positions.
Strongly Agree 81.82 50.00
Agree 18.18 50.00
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 143
Table 11 (continued)

Districts
Survey item and response categories All A, B, C

Principals’ compensation determines their desire to continue
in their current positions.
Strongly Agree 18.18 50.00
Agree 54.55 0.00
Disagree 22.73 50.00
Strongly 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

Having a formal, written strategic plan supports principals’ success
in retaining their current positions.
Strongly Agree 22.73 0.00
Agree 45.45 50.00
Disagree 31.82 50.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 0.00 0.00

Pressures from accountability measures affect principals’ desires to
retain their current position.
Strongly Agree 4.55 0.00
Agree 63.64 100.00
Disagree 27.27 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.55 0.00

Note. NAESP = National Association of Elementary School Principals, NASSP = National
Association of Secondary School Principals, ACSA= Association of California School
Administrators.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 144
Table 12
Participant Responses Indicating That Immediate Supervisors of Principals Agree That
Supporting Principals and Principals Working in Professional Learning Communities Help to
Retain Principals (Percentages)

Districts
Survey item and response categories All A, B, C

University training programs provide principals with skills/strategies
that support their success in retaining their current positions.
Strongly Agree 7.14 12.50
Agree 50.00 37.50
Disagree 35.71 37.50
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 7.14 12.50

Professional networks (such as NAESP, NASSP, ACSA, university
networks) provide principals with processes/strategies that support
their success in retaining their current positions.
Strongly Agree 19.71 12.50
Agree 75.00 75.00
Disagree 7.14 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 7.14 12.50

Having mentor(s) provides principals with processes/strategies that
support their success in retaining their current positions.
Strongly Agree 67.86 50.00
Agree 28.57 37.50
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 12.50

The relationships principals have with directors, assistant
superintendents, and the superintendent support their success in
retaining their current positions.
Strongly Agree 71.43 75.00
Agree 25.00 12.50
Disagree 0.00 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 12.50

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 145
Table 12 (continued)

Districts
Survey item and response categories All A, B, C

Principals’ compensation determines their desire to continue
in their current positions.
Strongly Agree 14.29 12.50
Agree 39.29 25.00
Disagree 32.14 37.50
Strongly 7.14 0.00
Don’t Know or Not Applicable (N/A) 7.14 25.00

Having a formal, written strategic plan supports principals’
success in retaining their current positions.
Strongly Agree 25.00 12.50
Agree 28.57 37.50
Disagree 32.14 25.00
Strongly Disagree 3.57 0.00
Don’t Know or Not Applicable (N/A) 10.71 25.00

Pressures from accountability measures affect principals’ desires
to retain their current position.
Strongly Agree 7.14 12.50
Agree 60.17 25.00
Disagree 28.57 50.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 3.57 12.50

Note. NAESP = National Association of Elementary School Principals, NASSP = National
Association of Secondary School Principals, ACSA= Association of California School
Administrators.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 146
Table 13

Participant Responses Indicating That Principals Agree That Supporting Principals and
Principals Working in Professional Learning Communities Help to Retain Principals
(Percentages)

Districts
Survey item and response categories All A, B, C

My university training program provided me with processes/strategies
that currently support my success in retaining my position as a principal.
Strongly Agree 11.30 35.71
Agree 47.83 35.71
Disagree 22.61 14.29
Strongly Disagree 6.96 0.00
Don’t Know or Not Applicable (N/A) 11.30 14.29

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.
Strongly Agree 4.35 21.43
Agree 36.52 35.51
Disagree 34.78 28.57
Strongly Disagree 7.83 0.00
Don’t Know or Not Applicable (N/A) 16.52 14.29

Having a mentor(s) provided me with processes/strategies that
currently support my success in retaining my position as a principal.
Strongly Agree 58.26 57.14
Agree 33.91 35.71
Disagree 3.48 7.14
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 4.35 0.00

My relationship with directors, assistant superintendents, and my
superintendent supports my success in retaining my position as
a principal.
Strongly Agree 61.74 71.43
Agree 34.78 28.57
Disagree 0.87 0.00
Strongly Disagree 0.00 0.00
Don’t Know or Not Applicable (N/A) 2.61 0.00

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 147
Table 13 (continued)

Districts
Survey item and response categories All A, B, C

My compensation determines my desire to retain my position
as a principal.
Strongly Agree 6.69 28.57
Agree 38.26 7.14
Disagree 38.26 57.14
Strongly 12.17 7.14
Don’t Know or Not Applicable (N/A) 4.35 0.00

Having a formal, written strategic plan supports my success in
retaining my position as a principal.
Strongly Agree 14.78 35.71
Agree 52.17 42.86
Disagree 24.35 14.29
Strongly Disagree 0.87 7.14
Don’t Know or Not Applicable (N/A) 7.83 0.00

Pressures from accountability measures affect my desire to retain
my position as a principal.
Strongly Agree 15.65 21.43
Agree 33.04 14.29
Disagree 46.96 64.29
Strongly Disagree 1.74 0.00
Don’t Know or Not Applicable (N/A) 2.61 0.00

Note. NAESP = National Association of Elementary School Principals, NASSP = National
Association of Secondary School Principals, ACSA= Association of California School
Administrators

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 148
Chapter Summary
This chapter identified themes from the qualitative interview data related to the study’s
three research questions regarding the preparation, recruitment, and retention of principals. The
themes were drawn from 17 qualitative interviews with nine principals, two supervisors of
principals, three human resources administrators, and three superintendents. The themes found in
interview data were triangulated with responses to quantitative surveys and the relevant literature
reviewed in Chapter 2. The use of multiple data sources increased the validity and reliability of
this study (Maxwell, 2013; Merriam & Tisdell, 2016).
In response to Research Question 1, two major themes emerged. These themes related to
Bolman and Deal’s (2013) human resource frame and Fullan’s (2014) idea of being a system
player. The themes related to principal preparation were that (a) OJT was perceived as more
effective than university training programs, and (b) mentors prepared aspiring principals for the
principalship.
In response to Research Question 2, two major themes emerged. These themes also
related to Bolman and Deal’s (2013) human resource and structural frame, as well as Fullan’s
(2014) idea of being a system player. The themes relating to principal recruitment were that (a)
superintendents created pipelines to a principalship to build capacity of potential principal
candidates within the district, and (b) principals were encouraged through “tapping” to enter the
principalship as assistant principals.
In response to Research Question 3, two major themes emerged. The two major themes
related to the theoretical framework of Bolman and Deal (2013). In particular, their human
resource frame related to people’s needs and relationships. The themes related to principal
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 149
recruitment were that (a) support by district office administrators contributes to the retention of
principals, and (b) professional relationships with peers contribute to the retention of principals.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 150
CHAPTER 5: DISCUSSION, IMPLICATIONS, AND RECOMMENDATIONS
Since its inception in the mid-1600s, the role of the principal has grown to be more
complex and challenging (Brubaker & Simon, 1986). Today, the principal is responsible to
provide direction for the school, build teacher efficacy, be an instructional leader, and be a
manager of the school functionalities (Marzano et al., 2005). The role of the principal is the
second most influential role contributing to student achievement (Fullan, 2014). Aspiring
principals must be prepared for the demands of the position, which requires knowledge in
classroom instruction, management of the school budget, management of both certificated and
classified staff, and functioning as a support system for teachers, students, and staff (Marzano et
al., 2005). While having served as a teacher is a prerequisite of the job, teaching experience is
not an indicator of future success as a principal. K–12 school districts must understand the
complexities of the principal position in order to select candidates with the proper training and
skill set for success in the position. The preparation, recruitment, and retention of California
principals are essential components in the development of aspiring principals.
Preparation programs, both university and nonuniversity, have made attempts to train
aspiring principals to be recruited and to have success in the position, but may have fallen short
in their efforts (Barnet, 2004; Davis & Darling-Hammond, 2012; Hess & Kelly, 2007). Supports
for current principals, including mentoring, and coaching, have also contributed to the ongoing
success and retention of those in the position; however, principal turnover remains high
(McConney, Ayres, Hansen, & Cuthbertson, 2003). This signifies an overall problem in the
preparation, recruitment, and retention of successful principals (Meyer & Feistritzer, 2003).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 151
Purpose of the Study Restated
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of successful California K–12 principals. The principal has the second most critical
influence on student achievement, behind only that of the teacher (Fullan, 2014). Considering
that the role of the principal is critical to student achievement, it was valuable to identify the
preparation, supports, and skills needed for principals to meet the challenges and complexities of
the principalship, as well as the support and retention efforts that districts must make to keep
principals in this crucial role (Marzano et al., 2005). Three leadership models served as
theoretical frameworks to guide this study: (a) Bolman and Deal’s (2013) organizational frames,
(b) Fullan’s (2014) three keys to maximizing impact, and (c) School Leadership That Works by
Marzano et al. (2005).
This study serves to inform multiple stakeholders. Aspiring principals are informed of the
strategies and skills needed to prepare themselves for the principalship. K–12 school districts are
informed on how best to recruit stronger candidates and then retain those candidates in the
position. University and nonuniversity training programs are informed on the impact that their
programs make on principal success once they enter the profession. This study also informs
current principals about the strategies that are necessary to achieve success and longevity in the
position.
This study was conducted by a group of 12 researchers at the University of Southern
California Rossier School of Education. The research team consisted of practitioners in school
districts in the greater Los Angeles area. The research team collaborated to design the study,
research questions, methodology, and instrumentation. The research team collaboratively
collected quantitative survey samples from 37 school districts in southern California. Each
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 152
researcher worked independently to gather qualitative data from at least three school districts.
Qualitative and quantitative instruments were designed to align with the three research questions
of this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, 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 researcher identified three themes for each research question. The theme of
mentoring was a common finding for all three research questions.
Summary of the Findings
Research Question 1
In order to understand how principal candidates are prepared for the principalship,
Research Question 1 asked, “How have training programs and professional experiences prepared
principals to manage the complexities and challenges of the principalship?” Data collected from
interviews and surveys resulted in two themes related to the preparation of principals.
First, data indicated that the principals agreed that on-the-job experience prepared them
for the role of the principalship more effectively than their training from university programs.
Qualitative data from interviews from 16 participants at the secondary level indicated clearly that
on-the-job experience was the best preparation for the principalship. Levine (2005) concurred
that the ideal framework for preparing future principals pairs on-the-job experience with theory.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 153
Second, mentors play an important role in preparing candidates for the principalship.
Mentoring could be provided by a practitioner who has served in the principalship or a peer who
is currently in the position. The findings relating to mentors and informal systems of support
confirmed that Bolman and Deal’s (2013) human resource frame applies both to how principals
lead others and how principals learn how to be a leader.
Research Question 2
In order to understand the recruitment experience of principals, Research Question 2
asked, “What are the perceptions of principals, immediate supervisors of principals, human
resource administrators, and superintendents regarding strategies to recruit successful principal
candidates?” Two themes emerged from the qualitative and quantitative data collected from K–
12 administrators related to Research Question 2.
First, superintendents, human resource administrators, and immediate supervisors of
principals agreed that preparation programs did not adequately prepare principals for the role, so
they created pipelines to the principalship to prepare and recruit principals within their district.
This theme is strongly supported by Bolman and Deal’s (2013) human resource frame. The
district provided resources to build capacity of potential principals by creating pseudo leadership
roles that would prepare the candidates. After creating a pool of potential principal candidates,
the district interviews and hires a candidate within the district that is considered to be fully
prepared for the job.
Second, the principals reported that, as teachers, they had been encouraged or “tapped”
by their administrators to begin the process of becoming a principal by joining the pipeline. As
stated earlier, by joining the pipeline to the principalship, principal candidates built their capacity
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 154
in leadership in preparation for the role of principal. Qualitative data from the interviews with
principals strongly supported this theme.
Research Question 3
In order to understand the retention of principals, Research Question 3 asked. “What are
the perceived strategies that support the retention of principals?” Analysis of the data identified
two themes related to this question.
First, perceived support by district office administrators contributes to retention of
principals. Supportive relationships between district office administrators and site administrators
are essential to principal retention. The superintendents made it clear that support of their
principals was their top priority. This support was displayed by immediately answering the
phone when principals called and being fully present to address questions pertaining to their
schools. This was a priority that was expected of all district administrators. All principals
interviewed in this study agreed that their retention was due to support by their district
administrators. This theme is supported by Bolman and Deal’s (2013) human resource frame.
When principals identified a need to support their leaders, district administrators went out of
their way to provide resources in the form of giving direction or physical resources.
Second, principals agreed that working in collaboration with their principal peers
supported their retention in the position. They stated that they can work through complex
problems and share best strategies with principal peers to improve their own school sites. This
theme is supported by Fullan’s (2014) second key to the principalship of being a system player.
By being a system player, principals are encouraged to seek advice from outside their realm of
knowledge from other principals in their districts and even from those outside the district, as well
as to bring that knowledge to their sites to improve their schools (Fullan, 2014).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 155
Implications
This study contributes to the research base of strategies to support principals through
preparation, recruitment, and retention. The data gleaned from quantitative data from 37 school
districts, paired with qualitative data from three districts, provided insight beyond those districts.
The findings inform prospective principals about strategies to support preparation, recruitment,
and retention.
Aspiring principals can be assured that the experience that gain on the job will assist
them in the future. They should make concerted efforts to participate in leadership opportunities
in order to gain leadership experience that will help them with their recruitment and retention as
a principal. Pairing this teacher leader experience with a university credential program will
ensure a highly desirable candidate for principal. Current principals should seek mentor
relationships if they are not already engaged in one. Having a mentor will assist principals with
both the recruitment process and their retention of a principalship.
This study showed that district support of principals should be a priority in all districts to
retain principals. Principals need to feel connected and supported by district office administrators
and know that they can call and inquire about any topic that will support them or their sites. To
accomplish this, both the district and the principal must invest in developing relationships. If the
principal does not already have a trusted mentor, one should be sought.
Recommendations for Future Study
Based on this study’s findings, the researcher presents three recommendations for further
research:
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 156
1. Future research could focus on mentor relationships and the role that mentors play in
the preparation, recruitment, or retention of principals. Qualitative interviews and surveys could
involve the perspectives of both the principal and the mentor.
2. Future research could focus on specific on-the-job experiences that are beneficial to
principal preparation. Qualitative interviews and survey data could focus on how an aspiring
principal can prepare for the position outside of university coursework.
3. Future research could replicate this study in other parts of California and in other states
to validate the findings.
Conclusion
The principalship is a complex and challenging position. Aspiring and current principals
must apply appropriate strategies to demonstrate success in the position. This study provided
insight on principal preparation, recruitment, and retention. Themes were drawn from qualitative
data and supported by quantitative data to address three research questions based on principal
preparation, recruitment, and retention. The researcher made every effort to ensure that data were
obtained ethically and that the reported themes were derived scientifically, with minimal bias. It
is critical that an aspiring principal proactively build on work experience and establish
relationships with mentors, colleagues, and district office leaders in order to gain the skills that
are needed to meet the many demands and challenges of the position.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 157
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PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 166
APPENDIX A
RESEARCH PARTICIPANTS’ INVITATION E-MAIL

Dear _______________ [stakeholder group role],

I am a doctoral candidate in the Rossier School of Education at the University of Southern
California and a _______________ [role] in the _______________ Unified School District. I
invite you to participate in a research study that will investigate the preparation, recruitment, and
retention of public school principals.

You are asked to participate only if you are currently employed as a [role] in a public school
district. If you agree to participate, you will be asked to complete a survey; 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
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 167
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
directors/assistant superintendents, immediate supervisors of principals, and principals.

You have been invited to participate in a graduate research study that will shed light on the preparation,
recruitment, and retention of public school principals in southern California. The results of this study will
inform multiple stakeholders, including aspiring principals, 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
collected will be kept confidential and anonymous by the researcher and members of the dissertation
committee. Data will be presented in a manner that will ensure that no individual or district can be
identified.

If you have any questions or concerns regarding your participation in this study, you may contact me at
_______________ or Dr. Michael F. Escalante at the University of Southern California.

Thank you, in advance, for your time and assistance.

Sincerely,

_______________, Researcher [_______________@usc.edu]
(xxx) xxx-xxxx

Dr. Michael F. Escalante, Dissertation Chair mescalante@usc.edu
(818) 802-4769

( ) I have read this form and have been given the opportunity to ask questions. I consent to my
participation in the research described above.

Participant’s Signature: __________________________________________________________

Participant’s Printed Name: _______________________________________________________

Date: _________________________________________________________________________
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 168
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
retention 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
principal 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) ___________________________________________

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 169

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
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 170
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
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 171

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
preparing me for my position as a principal.

7. A professional network of support (such as
CALSA, NASSP, NAESP, ACSA, or
through a university) was important in
preparing me for my position as a principal.

8. Informal networks of support (such as
professional colleagues) were important in
preparing me for my position as a principal.

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

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 172

10. Planning my career was important in
preparing 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
position 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
principal.

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.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 173
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
education was an important factor in being
recruited into my current position as a
principal.

21. The reputation of my school district was an
important factor in applying for the
principal position in my district.

22. My level of understanding of district
initiatives and goals was an important factor
in being recruited into my current position
as a principal.

23. As an in-district candidate, networking with
district personnel was an important factor in
being recruited into my current position as a
principal.

24. As an out-of-district candidate, networking
with district personnel was an important
factor in being recruited in my current
position as a principal.

25. Having a mentor was an important factor in
being recruited in my current position as a
principal.

26. Being an employee of my school district
was an important factor in being recruited
into my current position as a principal.

27. My participation in professional organiza-
tions was an important factor in being
recruited into my current position as a
principal.

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
principal.

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

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 174
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
principal.

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.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 175
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
preparing principals for their current
positions.

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

4. Nonuniversity training programs (e.g., the
ACSA Principal Academy) were 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.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 176

8. Informal networks (e.g., professional
colleagues) were important in preparing
principals 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
positions in my district.

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

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 177
17. Candidates’ previous experience outside of
education is an important factor in recruiting for
principal positions in my district.

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

19. Candidates’ level of level of 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 positions
in my district.

21. Having a mentor helps candidates to get recruited
into principal positions in my district.

22. Being an employee of my school district helps
candidates to get recruited into principal positions
in my district.

23. Candidates’ participation in professional
organizations helps candidates to get recruited into
principal positions in my district.

24. Holding an advanced degree (e.g., Ed.D. or Ph.D.)
helps candidates to get recruited into principal
positions in my district.

25. Having instructional leadership experience is an
important factor in recruiting for principal
positions in my district.

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

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 178

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
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 position.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 179
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
principals for their positions.

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

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

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

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 180
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
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.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 181

18. The reputation of my school district is an
important factor for 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
positions in my district.

21. Having a mentor helps candidates to get
recruited into principal positions in my district.

22. Being an employee of my school district helps
candidates to get recruited into principal
positions in my district.

23. Candidates’ participation in professional
organizations helps candidates 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
positions in my district.

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

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 182

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
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
position.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 183
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
preparing principals for their current positions.

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

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

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 184
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
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 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.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 185

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
positions in my district.

21. Having a mentor helps candidates to get
recruited into principal positions in my district.

22. Being an employee of my school district helps
candidates to get recruited into principal
positions in my district.

23. Candidates’ participation in professional
organizations helps candidates to get recruited
into principal positions in my district.

24. Holding an advanced degree (e.g., Ed.D. or
Ph.D.) helps candidates to get recruited into
principal positions in my district.

25. Having instructional leadership experience is
an important factor in recruiting for principal
positions in my district.

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

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 186

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
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
position.

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 187
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
California 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?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 188
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
principal?
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?

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 189
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
California 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?

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 190
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?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 191
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
California 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?

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 192
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
candidates 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?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 193
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
California 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?

PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 194
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
candidates 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?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 195
APPENDIX K
QUESTION ALIGNMENT MATRIX

Instrument
RQ1
How have training
programs and
professional
experiences prepared
principals to manage
the complexities and
challenges of the
principalship?
RQ2
What are the
perceptions of
principals, immediate
supervisors of princi-
pals, human resources
administrators, and
superintendents
regarding strategies to
recruit successful
principal candidates?
RQ3
What are the
perceived strategies
that support the
retention of
principals?
Principal Survey 1-13 14-29 30-36
Principal Interview
Guide
1-4 5-9 10-12
Human Resources
Administrator Survey
1-10 11-26 27-33
Human Resources
Administrator
Interview 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
Interview Guide
1-4 5-9 10-12

Abstract (if available)

Abstract The K–12 public school principal is an important position that ultimately affects student achievement. To be successful, principals must be prepared to navigate the complexities of the position. This qualitative study examined the preparation, recruitment, and retention of K–12 school principals who served in public schools in a region of public school districts in southern California. Perspectives from the qualitative participants of 37 public school districts served to answer this study’s three research questions through common themes. The common themes were also supported by quantitative survey data. The aim of the three research questions was to understand principal preparation, recruitment, and retention, respectively. Preparation occurred through prior on-the-job training, mentorships from practitioners in the field, and experience as a teacher and assistant principal. In the recruitment process, districts created pipelines to the principalship that provided principal candidates with opportunities to gain experiences that were relevant to the principal position. Principals also felt that they were “tapped,” or encouraged to become an administrator during their time as a teacher. Principals believed that it was the support from the district office and the relationships that they developed with their district office that helped with their retention as a principal. Additionally, principals found value in collaborating with their peers to share best practices and ideas that could benefit their school sites.

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Asset Metadata

Creator Umana, Roy Robert (author)

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

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 05/14/2020

Defense Date 01/16/2020

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

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

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Escalante, Michael (committee chair)

Creator Email roy.umana@gmail.com,royumana@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-308421

Unique identifier UC11663326

Identifier etd-UmanaRoyRo-8520.pdf (filename),usctheses-c89-308421 (legacy record id)

Legacy Identifier etd-UmanaRoyRo-8520.pdf

Dmrecord 308421

Document Type Dissertation

Rights Umana, Roy Robert

Type texts

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

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

Repository Name University of Southern California Digital Library

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