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

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

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Content Running head: PUBLIC SCHOOL DISTRICT PRINCIPALS 1
PUBLIC SCHOOL DISTRICT PRINCIPALS IN CALIFORNIA:
PREPARATION, RECRUITMENT, AND RETENTION
by
Richard James Noblett
____________________________________________________________________
A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION
May 2020
Copyright 2019 Richard James Noblett
PUBLIC SCHOOL DISTRICT PRINCIPALS 2
DEDICATION
Having this degree is just a speck of dust in my world compared to the blessings that
God has given me. This work is dedicated to my beautiful and amazing wife, Jodie. She has
sacrificed so much for me to be successful in the field of education while maintaining her
status as the world’s greatest teacher, mom, and wife. I love her more than she will ever
know and appreciate all that she has done for me and our family.
Next, this work is dedicated to my precious children, Kyle, Luke, and Paige. They are
incredible students and the kindest, most loving, and hardworking young people that I know. I
am so proud of them and what they have become, and I look forward to seeing more brilliance
in their bright futures. Although completing this dissertation felt good, watching them grow
into remarkable adults has brought me abundantly more joy. This work is also dedicated to
my amazing extended family, who have been patient, loving, and supportive while I pursued
this degree (you know how you are). A special thank you to my GanGan for giving me the
tools that I needed to be successful in my life and for teaching me always to be the best version
of myself.
In the words of the great Steve Jobs,
your work is going to fill a large part of your life, and the only way to be truly satisfied is
to do what you believe is great work. And the only way to do great work is to love what
you do. If you haven’t found it yet, keep looking. Don’t settle. As with all matters of the
heart, you’ll know when you find it. Things don’t have to change the world to be
important but the people who are crazy enough to think they can change the world are the
ones who do. (BrainyQuote, 2019, para. 1)
PUBLIC SCHOOL DISTRICT PRINCIPALS 3
ACKNOWLEDGMENTS
My dissertation chair, Dr. Michael Escalante, has coached and taught me about
leadership, relationships, perseverance, and what it takes to rise to the top while remaining above
reproach. I also acknowledge the support and expertise from the members of my dissertation
committee: Dr. David Cash, Dr. Owen Crosby, and Dr. Michelle Doll.
I acknowledge the participants of this study, including all of the principals, supervisors,
and superintendents. They made this research come alive through their rich insights and
commentary. I acknowledge my fellow students and friends in my dissertation group and
the Thursday night/Sunday morning USC EdD Cohort. They made this process fun, and I learned
a lot from them. They are truly the next generation of powerful leaders in education.
Next, I would like to mention my core team: Angela and William. They are like my
personal board of directors who encourage me and help me to make the best decisions.
Finally, I acknowledge my BPUSD Family. They kept pushing me and have remained
my friends even when I was absent from their lives so much. Their persistent love is appreciated
and not unnoticed.
PUBLIC SCHOOL DISTRICT PRINCIPALS 4
TABLE OF CONTENTS
Dedication 2
Acknowledgments 3
List of Tables 7
Abstract 8

Chapter 1: Introduction 9
Background of the Problem 9
Statement of the Problem 10
Purpose of the Study 11
Research Questions 11
Significance of the Study 12
Assumptions 12
Limitations 13
Delimitations 13
Definition of Terms 13
Organization of the Dissertation 16
Chapter 2: Review of the Literature 17
History of the Position 19
The Changing Role of the Principalship 26
Skills Needed by the 21st-Century Principal 27
Principal Shortage 31
Preparation for the Principalship 33
University Training Programs 33
Nonuniversity Training Programs 35
State Certification and Licensure 38
Mentoring and Coaching for the Principal 40
Recruitment of the Principal 41
Deterrents to Applying for a Principalship 42
Recruitment Strategies for Attracting Quality Candidates 44
Aligning Job and District Expectations 46
Tapping 47
Retention of the Principal 48
Theoretical Framework 52
The Principal: Three Keys to Maximizing Impact 53
School Leadership That Works 54
Four Frames Model of Leadership 58
Conceptual Framework 61
Figure 1. Conceptual framework for the study 62
Chapter Summary 63
Chapter 3: Methodology 64
Research Questions Restated 64
Research Design and Method 65
Research Team 68
Population and Sample 68
Access and Entry 70
Instrumentation 71
Quantitative Instrumentation 71
Qualitative Instrumentation 72
Data Collection 73
PUBLIC SCHOOL DISTRICT PRINCIPALS 5
Data Analysis 74
Credibility and Trustworthiness 75
Ethical Considerations 75
Chapter Summary 76
Chapter 4: Research Results 78
Purpose of the Study 79
Participants and Response Rate 80
Study Participants 80
Qualitative Interview Participants 80
Quantitative Survey Participants 84
Findings for Research Question 1 84
On-the-Job Training and Prior Administrative Experiences 86
Mentors, Role Models and Access to Formal and Informal Networks 91
Being a Hardworking Effective Instructional Leader, Developing Good
Relationships, and Building Trust Networks 96
Summary of Results for Research Question 1 101
Findings for Research Question 2 101
Being the “Right Fit” and Possessing the Desired Qualities to Be Recruited 103
Proactive Efforts in Being Exposed and Visible Inside and Outside the
District 107
Prior Knowledge of the District and Connections Through Networking 110
Summary of Results for Research Question 2 115
Findings for Research Question 3 116
Ongoing Professional Development and Training for Principals Through
Mentoring, Professional Networks, and Personal Coaching 117
A Positive Relationship With Peers and Supervisors That Builds Efficacy
With Personnel at All Levels in the Organization 121
Maintaining a Work-Self-Life Balance 125
Summary of Results for Research Question 3 130
Chapter Summary 130
Chapter 5: Findings, Conclusions, and Recommendations 133
Purpose of the Study Restated 134
Summary of Findings 135
Findings for Research Question 1 135
Findings for Research Question 2 137
Findings for Research Question 3 140
Limitations 141
Implications for Practice 142
Recommendations for Future Study 144
Conclusion 145
References 146

Appendices
Appendix A Research Participants’ Invitation E-Mail 164
Appendix B Informed Consent 165
Appendix C Principal Survey 166
Appendix D Human Resources Administrator Survey 173
Appendix E Immediate Supervisor of Principal Survey 177
Appendix F Superintendent Survey 181
Appendix G Principal Interview Guide 185
PUBLIC SCHOOL DISTRICT PRINCIPALS 6
Appendix H Human Resources Administrator Interview Guide 187
Appendix I Immediate Supervisor of Principal Interview Guide 188
Appendix J Superintendent Interview Guide 190
Appendix K Question Alignment Matrix 192
PUBLIC SCHOOL DISTRICT PRINCIPALS 7
LIST OF TABLES
Table 1: Principal’s Responsibilities and Increase in Time Spent on Each 29
Table 2: Organizations/Positions of Interview Participants 81
Table 3: Organizations/Positions of Survey Respondents 85
PUBLIC SCHOOL DISTRICT PRINCIPALS 8
ABSTRACT
The K–12 public school principalship is an important position that ultimately affects
student achievement. To be successful, principals must be prepared to navigate the complexities
of the position or run the risk of losing the position or ending their careers early. 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 addressed this study’s three
research questions through common themes. The common themes were supported by
quantitative survey data.
The three research questions of this study were designed to understand principal
preparation, recruitment, and retention, respectively. Preparation occurred through prior on-the-
job training), experience as a teacher and assistant principal, mentorship and access to formal and
informal networks, and being a hardworking effective instructional leader who develops
relationships and builds trust networks. Being the right fit, making a proactive effort to be
exposed and visible inside and outside of the district, and prior knowledge of the district with
connections through networking were effective recruiting strategies for principals. Having a
positive relationship with supervisors and the superintendent, receiving ongoing professional
development, building personal networks of support and trust networks, and maintaining a
balance between work, self-care and life supported the retention of principals.
Future research can include a focus on principal preparation, recruitment, and retention
through a case study or focus group. In addition, future research can include a qualitative study
on how high-performing school district principals focus on being learning leaders and maintain
an effective work-self-life balance.
PUBLIC SCHOOL DISTRICT PRINCIPALS 9
CHAPTER 1: INTRODUCTION
The K–12 principal holds the highest leadership position at a school site (Leithwood,
1994). By serving as effective leaders, principals manage site staff, create and apply vision and
mission, and implement effective change while maintaining an ultimate goal of improving
student achievement (Kowalski, Petersen, & Fusarelli, 2007; Waters & Marzano, 2006).
Principals have to manage the complexities of working with, mentoring, and maintaining an
ongoing positive relationship with staff (Adams, 1999; Byrd, Slater, & Brooks, 2006; Darling-
Hammond, 2003; DuFour & DeFour, 2013). Although it is not necessary, a successful history in
a traditional school system as a classroom aide, teacher, and assistant principal would be
beneficial to success in the position. This success can lead to ongoing retention and high self-
fulfillment (Bogler, 2001). However, termination follows inadequate performance or a poor
relationship with the superintendent or board (Byrd et al., 2006). Therefore, it is imperative that
aspiring and current principals understand how to navigate the complexities of the position with
the proper training, recruitment strategy, and skillsets for retention.
This is the first chapter of a five-chapter report of a study on successful principals. 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 the definitions of
terms.
Background of the Problem
The principalship is multifaceted, and many potential candidates do not recognize the
complexity of the position (Baker, Punswick, & Belt, 710; Kavanaugh, 2005). Most principal
candidates hold the necessary prerequisites but do not have a thorough understanding of the
requirements of the job. The pressures of accountability systems, expectations placed on
PUBLIC SCHOOL DISTRICT PRINCIPALS 10
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 principalship have become more challenging and complex due to decades
of mandated reform, rapidly changing demographics, technological advances, and dwindling
financial support for schools (Fullan, 2014; Hoyle & Wallace, 2005; Marzano, Waters, &
McNulty, 2005; Spillane & Lee, 2014).
Although many principals are successful in the position, the pipeline of aspiring
principals with potential for success may be insufficient (L. Meyer & Feistritzer, 2003; Normore,
2006). Research has shown that 1 in 5 principals left their school within 2 years and many school
districts report a lack of qualified applicants (Pijanowski, Hewitt, & Brady, 2009). Given the
potential for an insufficient pipeline of principals, as well as principals leaving the position,
further consideration must be given to principal preparation, recruitment, and retention.
Statement of the Problem
The roles, responsibilities, and expectations of principals have become more complex and
challenging since the inception of the position in the mid-1600s (Brubaker & Simon, 1986).
Districts must thoughtfully consider proper preparation, recruitment strategies, and skillsets for
ongoing retention and success in the position. Preparation programs administered by universities
and nonuniversity entities have made attempts to train prospective principals but may have fallen
short in their efforts (Barnett, 2004; Brown, 2011; Davis & Darling-Hammond, 2012; Hess &
Kelly, 2007; Jackson & Kelley, 2002).
Support for current principals, including networking, mentoring, and coaching, have
contributed to most principals’ ongoing stability and retention in the position (Brown, 2011;
Matthews & Crow, 2003; Service, Dalgic, & Thornton, 2016). However, principal turnover
PUBLIC SCHOOL DISTRICT PRINCIPALS 11
remains high (Hull, 2012). Although many principals are successful in the position, those who
are dismissed face the risk of career termination (Byrd et al., 2006; Kowalski & Brunner, 2011).
Disparities in the recruitment and retention of female principals and principals of color
magnify the problem for these subgroups (Hill, Ottem, & DeRoche, 2016; Hoff, Menard, &
Tuell, 2006). These inadequacies indicate an overall problem in principal preparation,
recruitment, and retention.
Purpose of the Study
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California K–12 school principals. While the most significant direct influence on
student achievement is the teacher, the second most critical influence is the principal (Fullan,
2014). It is important to identify the preparation and support that principals must have in order to
meet the challenges and complexities of the principalship, as well as the support and retention
efforts that districts must use to keep principals in this crucial role.
Research Questions
The following research questions guided this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, 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?
PUBLIC SCHOOL DISTRICT PRINCIPALS 12
Significance of the Study
This study should serve to inform multiple stakeholders. Aspiring principals will be
informed on the strategies in preparation, skills, and relationships that will support their
transition to the principalship. Superintendents will be informed on the insights that will help
them to recruit better candidates for the position and to maintain a positive relationship with their
principals and board. Immediate supervisors of principals and human resources administrators
will be informed on strategies to recruit candidates for the position and strategies related to
principal retention. University and nonuniversity training programs will be informed on the
impact of their programs on training aspiring principals. This study will also inform current
principals about the strategies that are necessary to achieve success and longevity in their
positions. This study may also affect multiple stakeholders. University and nonuniversity
programs may have to evaluate their effectiveness in preparing aspiring principals for the
position (Bottoms & O’Neill, 2001; Bottoms, O’Neill, Fry, & Hill, 2003; Hale & Moorman,
2003; Hess & Kelley, 2007). Organizations such as the Association of California School
Administrators (ACSA) may be affected by the results of this study regarding their influence on
principal preparation, recruitment, and retention. Immediate supervisors of principals and human
resources administrators will be affected in their hiring practices. Aspiring principals will be
affected by their adoption of strategies to be prepared and recruited for the position. Current
principals will be affected by incorporating strategies and skillsets that improve their ongoing
retention.
Assumptions
The conduct of this study was based on the assumptions that the participating principals
were currently employed for at least 3 years in their current district. It was assumed that all
PUBLIC SCHOOL DISTRICT PRINCIPALS 13
participants would be truthful in their survey and interview responses. It was assumed that test
scores from the state accountability system are accurate indicators of student achievement and
district success.
Limitations
The first limitation of this study was that it could not sample the census of California K–
12 school principals. Second, only participants who completed the surveys were included in this
study. Third, participants who were interviewed were selected because they met inclusion
criteria. Fourth, the results of the study were limited to the participants. The study was
constrained by time and resources to collect data, which could reduce generalizability. The
reliability of the survey and interview instruments may have affected the validity of the study.
Delimitations
The study was delimited to principals who had generally been deemed to be successful.
Principals who were not identified as successful were not sampled. Although the researcher was
collecting purposeful sample data, the researcher collected only a convenience sample from
California K–12 principals, immediate supervisors of principals, human resources administrators,
and superintendents (Johnson & Christensen, 2014).
Definition of Terms
For the purpose of this study, the following terms are defined based on the literature
reviewed:
Association of California School Administrators (ACSA): The largest umbrella
organization for school leaders in the United States, serving more than 17,000 California
educators.
PUBLIC SCHOOL DISTRICT PRINCIPALS 14
Beginning or novice principal: A principal who has been in the principalship for less than
4 years.
Change agent: A leader who challenges the status quo (Marzano et al., 2005).
Coaching: A task-oriented, performance-driven relationship with a focus on increasing
an person’s specific skills.
Colleagues: Peers who work in the same profession and are at the same level in their job.
Direct supervisor: A district office administrator who oversees the evaluation and
mentoring of a site principal.
Human resource personnel: Those who work in the human resources department of a
school district and oversee hiring practices.
Job Description Index: A job satisfaction questionnaire developed by Bowling Green
State University (Balzer et al., 1997). The index has five facets: work on present job, pay,
opportunities for promotion, supervision, and people at work.
Job in General: A scale that provides a rating for overall satisfaction with a job. It is used
in conjunction with the Job Description Index (Balzer et al., 1997).
Job satisfaction: A general feeling or attitude toward the job (Brayfield, Wells, &
Strate, 1957).
Mentee: A person who is the “learner” in the mentoring relationship (Kerka, 1998).
Mentor: A person who holds experience and knowledge and works with others to
develop their skills (Cohen, 1995).
Mentoring: A relationship in which an experienced person provides guidance and support
to a less experienced person (Haney, 1997).
PUBLIC SCHOOL DISTRICT PRINCIPALS 15
Opportunities for Promotion: A subcategory of the Job Description Index that refers to
advancement possibilities within the organization.
Pay: A subcategory of the Job Description Index that describes monetary compensation
for the job.
People at Work: A subcategory of the Job Description Index that refers to the coworkers
of the employee. This may include subordinates as well as peers.
Preparation program: A university, professional organization, or embedded training
program that supports a principal candidate in obtaining the skills necessary for the principalship.
Protégé: The person who is being mentored.
Principal: The person whose main responsibility is to serve as the educational and
instructional leader of the school (Brayfield et al., 1957; Waters, Marzano, & McNulty, 2003).
Principalship: The position of presiding rank, especially the head of an elementary
school, middle school, or high school.
Principal recruitment: The process or strategies used by administrators and school boards
to recruit principals.
Principal retention: The process or strategies used by a principal or district personnel to
support the retention of the position.
Purposive sampling: Selection of participants based on specific characteristics.
School district: A local education agency that operates schools in a local geographic
location.
Superintendent: The administrator or manager in charge of multiple schools in a school
district.
PUBLIC SCHOOL DISTRICT PRINCIPALS 16
Supervision: A subcategory of the Job Description Index that refers to the boss or
manager of the employees.
Tapping: The informal process of current administrators identifying and encouraging
teachers with leadership skills to pursue administrative positions.
Work on Present Job or Present Job: A subcategory of the Job Description Index
referring to the requirements and conditions of the job.
Organization of the Dissertation
This dissertation is organized into five chapters. Chapter 1 introduced the study and
presented the background and purpose of the study, the research questions, the significance of
the study, limitations and delimitations, and definition of key terms. In Chapter 2, a review of
relevant literature is organized into six sections: historical overview of the principalship,
preparation options for the principalship, the changing nature of the role, recruitment strategies
relevant to current job requirements and the shortage of candidates for the position, and retention
strategies that districts can utilize; the chapter closes with a discussion of frameworks that will
serve as a lens to inform the study’s findings. Chapter 3 describes the methodology of the study,
including the qualitative design, a description of the sample and population, instrumentation,
data collection, and data analysis. Chapter 4 reports the study’s findings and how they addressed
the research questions. Chapter 5 summarizes the study’s findings, addresses future implications,
and provides recommendations for further research pertaining to the preparation, recruitment,
and retention of principals.
PUBLIC SCHOOL DISTRICT PRINCIPALS 17
CHAPTER TWO: REVIEW OF THE LITERATURE
The demands placed on educators in the 21st century differ greatly from those placed on
educators in prior centuries. In the past, educators were faced with the basic task of preparing
workers with specific skills that would transfer to the workplace. Economies were driven by
successful, nationalized industries that excelled at trading with other nations while maintaining
development and manufacturing of products in the country of origin (Friedman, 2005). The
schools of the 19th and 20th centuries were designed to prepare students for this type of
industrial society. However, the current K–12 school system must prepare workers for jobs that
do not yet exist, for current service and knowledge-based jobs, and for innovative and
entrepreneurial-based industries that provide goods and services to enhance living and improve
the quality of life (Clifton, 2011). Today’s schools must evolve, change, and adapt to this new
workplace and world economy. The 21st-century school principal has been described as a leader
of learners in the age of accountability (Guskey, 2007). The position is a difficult one to
navigate. The principalship has moved from a middle management role (Rousmaniere, 2007) to a
complex role of transforming, restructuring, and stabilizing school sites while meeting the needs
of stakeholders: students, staff, district administration, and community partners (Brown, 2011).
This chapter provides a review of the relevant literature related to principal success and
effectiveness in a constantly changing world. It contains information about the history of the
position and the qualities that are necessary to be a successful 21st-century principal. It also
reviews the background of principal preparation, networking, recruitment, and retention.
Theoretical and conceptual frameworks are discussed at the end of the chapter.
The success of a principal may be influenced by distributed and transformational
leadership practices and supported by effective professional learning. Such leadership ultimately
PUBLIC SCHOOL DISTRICT PRINCIPALS 18
produces school-level changes that must take place for student success. First, the review explores
research that elaborates the changing role of the school principal in the constantly evolving
institutional environment of public schooling. Next, a broad overview of the literature is
presented pertaining to school leadership and the ongoing success of the principal.
The principal is the second most important factor in the success or failure of a school
(Fullan, 2014). Earning the designation “successful” or “effective” principal is not an easy task.
The principal must be a team builder, a leader, a building manager, a human resource director, a
competent negotiator, a visionary, a communicator, an advocate, and a moral and cultural agent.
He or she must address the needs of children, employees, parents, community groups, district
employees, and board members, while raising test scores in the absence of adequate resources
and keeping the day-to-day operational running of the school within the confines of the ever-
changing political landscape (Adams, 1999; Blackman & Fenwick, 2000; Brown, 2011;
Hallinger & Heck, 1996).
The first part of the discussion reviews what is required to develop a successful principal
who is both instructionally and managerially effective. Next, the review cites a series of scholars
whose theoretical and conceptual work on effective principalships has served to define this
somewhat amorphous construct across various social science disciplines. Then, empirical
research that explains phenomena in both educational and business settings with a particular
focus on leadership in the role of a principal is reviewed. The review concludes with a
description of the manner in which distributed leadership practices and quality professional
learning combine to allow the principal to initiate and sustain organizational change that is
supported by a majority of the faculty and staff, as well as by parents and students. This change
leads to sustainability of the effectiveness of the principal at any given school site and ultimately
PUBLIC SCHOOL DISTRICT PRINCIPALS 19
to improvement of student achievement. By defining and understanding the role of the principal
and the work that is necessary, the aim is to identify the most effective and comprehensive way
to hire, train, and retain effective school principals.
History of the Position
From its beginnings through the present, the position of school principal has evolved
(Brown, 2005; Murphy, 1994; Pierce, 1935). Currently, the principal fulfills the role of
instructional, collaborative, distributive, and transformational servant leader (Brown, 2005;
Kavanaugh, 2005; Muhammed & Cruz, 2019). Although multiple roles are expected from a 21st-
century principal, a highly effective principal should exercise each role at the appropriate time
and in the appropriate way.
Since the inception of the first public school to serve a small town in Massachusetts in
1647, the demands and challenges of public education have forced the role of the principal to
evolve dramatically (Brown, 2005; Copland, 2001; Fullan, 2014; Kavanaugh, 2005; Sandham,
2001). The single-room school house originally had a teacher who taught reading and writing to
a wide range of students (Brubaker & Simon, 1986). Over the course of the next century, higher
numbers of students attended school, forcing the principalship to grow in responsibilities. As
more teachers were added, the “headmaster” usually taught the highest grade in the school
(Brubaker & Simon, 1986). In due time, the headmaster began to monitor other teachers and
their classroom procedures, and the position was augmented with responsibilities of basic
clerical and janitorial tasks (Brown, 2005). Kavanaugh (2005) conceptualized the evolution of
the position through 12 periods of time, from the start of the principalship until the present day.
In the mid-18th century, the leader’s title changed again, and even more responsibilities
were added (Brubaker & Simon, 1986; Kavanaugh, 2005). With a new title of Principal-Teacher,
PUBLIC SCHOOL DISTRICT PRINCIPALS 20
responsibilities beyond being the lead teacher included keeping attendance records, maintaining
buildings, managing the complexities of schools with multiple grade levels, and serving as
mediator between the teachers and the school board. No special training was needed to fill the
position, and appointment was often based on proof of efficiency with clerical tasks and the
ability to follow commands of the school board (Brubaker & Simon, 1986; Kavanaugh, 2005).
The official role and title of principal was formally established between 1850 and 1920
(Brubaker & Simon, 1986). The Common School Movement started in the 1830s; by the time
of the Civil War, organized systems of common schools had become commonplace throughout
most of the northern and Midwestern states. Expansion of common school systems into the
southern and far western states progressed at a slower rate; however, by the opening years of
the 20th century, publicly supported systems of common schools had become a cornerstone of
the American way of life. This was accelerated in the late 1800s due to a call to maintain social
order, build nationalism, shape good citizens, reform society, and stimulate economic growth in
response to immigration, urbanization, and expansion (Brown, 2005). At that time, the goal of
the Common Schools Movement was to assimilate new students into American culture through
public schools, which offered common courses and curricula (Kowalski & Brunner, 2011).
Subsequently, the primary role of the head teacher was to implement the common curricula and
supervise and manage teachers through centralization of control. A reputation as a good teacher
was prerequisite to the position so the head teacher could supervise and have credibility with
the teachers that he managed (Kavanaugh, 2005). Instructional leadership was not the primary
focus for the head teacher through 1910, not becoming relevant until subsequent roles were
assumed (Kavanaugh, 2005).
PUBLIC SCHOOL DISTRICT PRINCIPALS 21
During this time period, the role of the “principal” was to act as a general manager and
official liaison between the school and the central office. Supervisory duties included observing
classes, demonstrating teaching, conferring with teachers, conducting meetings, and overseeing
testing (Pierce, 1935). According to a mid-1800s study in Providence, Rhode Island, 58.8% of
the principal’s duties were characterized as clerical, 23.5% as organization of the school, 11.8%
as care for the school plant, and 5.9% as interacting with students, including handling
disciplinary issues (Pierce, 1935).
In the late 19th century, America had already begun its transition from an agrarian
economy to an industrialized one (Callahan, 1966). As a result, city demographics continued to
urbanize rapidly, leading to larger school districts (Kowalski, 1998). The urbanization of school
districts created a need for principals to take the primarily role of manager, which followed the
trends of scientific management during the Industrial Revolution (Kowalski & Brunner, 2011;
Kowalski et al., 2007). Being a teacher-scholar was secondary to being a business manager.
In 1921, the Department of Elementary School Principals was established (Kavanaugh,
2005). This started the grade leveling of schools and led to removal of teaching responsibilities
from the principal’s role (Kavanaugh, 2005). For the next 10 years, the principal served as a
spiritual and social leader, influenced by the Progressive Movement and a call for moral
earnestness and a sense of mission (Brown, 2011). With no formal training, the principal
monitored teachers in a democratic style, organized curriculum, and helped teachers to develop
their teaching practices. He also served as an active member of the community (Kavanaugh,
2005).
In the 1930s the role was influenced by industrialization and the emergence of
corporations. Principals ran their schools based on business models; they were labeled as
PUBLIC SCHOOL DISTRICT PRINCIPALS 22
scientific managers (Beck & Murphy, 1993; Kavanaugh, 2005). Students were seen as the raw
materials and schools as factories (Knott & Miller, 1987). Due to this change in direction and a
need for training in business ideas and research practices, preparation programs appeared. By
1932, nearly half of the states had adopted certification standards (Brown, 2011). Training for
the principalship included learning business practices for budgeting, maintenance, and pupil
accounting (Kavanaugh, 2005).
In the 1940s, the principal was considered to be a democratic leader with a coordinated
focus on human relations. The principal was a personal relations consultant who worked directly
with teachers to develop curriculum and instruction through shared decision making
(Kavanaugh, 2005). State certification was mandated and many principals returned to school to
earn higher degrees. New job responsibilities included a focus on preparing youth to earn a
decent living and serve an active and productive role in society.
From 1930 to the mid-1950s, as American schools experienced very scarce resources
after the Great Depression, principals adopted the role of “statesmen” (Kowalski, 1998;
Kowalski & Brunner, 2011). Ironically, political activism prior to this period was considered
unprofessional (Kowalski et al., 2007). However, a negative public sentiment about principals as
business managers arose when the public lost local control and the power of the principal was
centralized (Kowalski et al., 2007).
In 1957, when the Soviet Union launched Sputnik, the public demanded an increase in
science education in schools. The responsibilities of the principal became a combination of both
scientific management and human relations. Principals were now expected to have both
organizational and individual purpose and to become leaders and managers. As budgets
increased and schools were updated, new teachers were recruited and instructional materials
PUBLIC SCHOOL DISTRICT PRINCIPALS 23
were developed in all subject areas, with empirical data used to support teaching strategies
(Brown, 2011; Kavanaugh, 2005).
With the Civil Rights Movement and Brown v. Board of Education, the 1960s were the
start of a movement that called for reorganization of schools to correct inequalities such as
segregation and financial disparities (Brown, 2011). With this came the need for the principal to
be a powerful bureaucrat with a technical perspective, including using formal assessments to
demonstrate academic performance and report the findings to numerous entities with differing
needs and wants (Brown, 2011; Kavanaugh, 2005).
In the 1970s, the principal wore many hats and juggled the needs of various competing
stakeholders. The growth of social problems during this time, including substance abuse, an
increase in teen pregnancy, and racial tensions, required the principal’s focus to shift from
academic leadership to development of mutual respect, support of teachers, and team building.
The principal also had to implement and oversee federally funded programs related to
compensatory education such as bilingual education and educating the disabled (Brown, 2011).
This decade also saw an increase in unions demanding contractual language, so the principal had
to be politically active and engaged in policy making (Brown, 2011).
The roles, responsibilities, and personal characteristics of the school principal have
changed dramatically in the past 30 years. The typical principal in the early 1980s was a 45-year-
old White male who worked 40 hours per week and enjoyed most of the summer months off
(Protheroe, 2008). The early 1980s principal dedicated little time to observing classroom
instruction, thereby characterizing him more as a building manager who aspired to ascend the
career ladder than as an instructional leader who focused on long-term, sustainable student
achievement.
PUBLIC SCHOOL DISTRICT PRINCIPALS 24
In 1983, “A Nation at Risk: The Imperative for Educational Reform Report of American
Schools” was published by President Ronald Reagan’s National Commission on Excellence in
Education (1983). The commission consisted of 18 members drawn from the private sector,
government, and education. Its publication was a landmark event in modern American
educational history. The report contributed to the ever-growing assertion that American schools
were failing, and it initiated a wave of local, state, and federal reform efforts. The report led to
extensive school overhaul reforms in a top-down format (Brown, 2011). Educational
standardization, increased accountability for everyone in education, and much stricter
professional certification requirements led to changes in the role of the principal (Brown, 2011).
The principal had to be a change agent with a mission, a vision, and a clear plan of action. The
principal had to be directly involved in the teaching and learning process, provide intensive
professional development, and improve student achievement while solving problems and
ensuring a safe and effective school environment (Kavanaugh, 2005).
In the 1990s the principal was seen as a developer of strong ties between the school and
the community (Kavanaugh, 2005). A second wave of reforms, called the restructuring stage,
used a bottom-up approach to empower teachers to initiate change and bring school
improvement (Brown, 2011). The role of the principal changed again in response to changing
demographics, which included meeting the needs of English Language Learners and students in
poverty. The principal also had to deal with increased accountability when high-stakes state
testing became prevalent. Schools had to maintain enrollment and were held accountable to a
competitive market with charter schools and private schools vying for the same students at an
accelerated rate (Kavanaugh, 2005).
PUBLIC SCHOOL DISTRICT PRINCIPALS 25
The principal in the 21st century must be a transformational leader who is labeled as a
leader of learners in the age of accountability (Kavanaugh, 2005). The principal should utilize
professional learning communities to support academic performance by all students, regardless
of the subgroups by which they are identified (DuFour & DuFour, 2013). A focus on academic
standards, connecting learning to prior knowledge, providing real-world learning experiences,
and promoting student-centered curriculum requires a “superprincipal” (Copland, 2001;
Kavanaugh, 2005).
In addition to being first-rate instructional leaders, principals are being exhorted to be
highly skilled building managers, outstanding human resource directors, and competent
negotiators. They are expected to be change agents and problem solvers who provide
visionary leadership, moral leadership, and cultural leadership while practicing
transformational leadership, collaborative leadership, servant leadership, and distributive
leadership. (Brown, 2011, p. 29)
While principals in the new millennium remain predominantly White males, they work
longer hours and are required to spend a significant amount of their time in supervising and
evaluating staff, interacting with students, and addressing student discipline and school
management (Sergiovanni, 2001). The widespread demand to improve academic performance—
a result of state and federal accountability policies, such as California’s Public Schools
Accountability Act (PSAA), No Child Left Behind (NCLB) and most recently the California
Accountability Model, School Dashboard, and Every Student Succeeds Act (ESSA)—has, in
addition to other changes, propelled the principal from manager to instructional leader (McEwan,
2003b).
PUBLIC SCHOOL DISTRICT PRINCIPALS 26
The demand for highly qualified principals is more important than ever, and preparation
for the position must match the current job requirements. The following section explores the
changing nature of the principalship, the skills needed by 21st-century principals, and the
shortage of candidates for this role.
The Changing Role of the Principalship
Organizational change is pervasive today, as organizations struggle to adapt to avoid
decline in the volatile environments of a global economic and political world. The many potent
forces in these environments—competition, technological innovations, professionalism, and
demographics—shape the process of organizational adaptation. As a result, organizations may
shift focus, modify goals, restructure roles and responsibilities, and develop new forms. With
educational organizations, the changes affect the role of the principal at an accelerated rate. The
principalship has changed dramatically since the turn of the 21st century, and there is no doubt
that it will continue to change just as rapidly in the coming years.
The professional requirements—as opposed to the actual responsibilities—for principals
have remained mostly unchanged in the past two decades (Knuth, 2004). In general, principals
must complete an appointed number of years (as determined by each state) as a classroom
teacher, complete additional coursework beyond a Bachelor’s degree at an accredited university,
and possess an administrative credential. Although the prerequisites for the position may have
changed only slightly over the years, it is the actual role that the principal plays, once assigned to
a school site, that has changed most dramatically (Sergiovanni, 2001). The principal today is
expected to spend a significant amount of time and effort on professional development; this
ensures the capacity to support all teachers in achieving student academic success. Considering
that 41 states, the District of Columbia, four territories, and the Department of Defense
PUBLIC SCHOOL DISTRICT PRINCIPALS 27
Education Activity (DoDEA) have adopted the Common Core State Standards (Achieve, Inc.,
2013), it is not surprising that school principals are expected to spend a substantial amount of
time in learning and teaching as well as in informally and formally evaluating teachers in the
classroom (Lunenburg & Ornstein, 1996; Wallace Foundation, 2013).
Skills Needed by the 21st-Century Principal
Principals in the 21st century are expected to perform as effective instructional leaders,
thereby ensuring that teaching and learning encompass a significant portion of their overall
responsibilities (McEwan, 2003b). Embedded in this important responsibility is the expectation
that the principal act as a coach to all staff members and, specifically, to teachers who are failing
to perform at optimal levels. When coaching does not prove effective, the principal must ensure
quality instruction by applying evaluation and progressive discipline processes while complying
with due process and teacher tenure policy monitored by local teacher unions. In other words, a
principal may have justification to recommend removal of a teacher from the profession, yet the
tenure process in most public school systems severely hinders the principal’s effort to do so
(Guthrie, 2001).
Goleman, Boyatzis, and McKee (2002) claimed that emotionally intelligent leaders and
emotionally intelligent organizations are essential in complex times. They identified 18
competencies in four domains: self-awareness, self-management, social awareness, and
relationship management. Emotionally intelligent leaders are aware of their own emotional
makeup, are sensitive and inspiring to others, and are able to deal with day-to-day problems as
they work on more fundamental changes in the culture of the organization (Fullan, 2002). It is
clear that having so-called “soft skills” or “essential skills” allows them to build relationships, be
a lead learner alongside the staff, and have strong managerial skills, all of which are necessary to
PUBLIC SCHOOL DISTRICT PRINCIPALS 28
lead in this time of change (Cerit, 2009; Fullan, 2014; Lowe, Kroeck, & Sivasubramaniam, 1996;
Waters, Marzano, & McNulty, 2003). The principal of the future must be much more attuned to
the “big picture” and much more sophisticated at conceptual thinking and transforming the
organization through people and teams (Fullan, 2002).
Marzano et al. (2005) conducted a meta-analysis of 35 years of research and concluded
that effective school leadership has a “substantial effect on student achievement and can provide
guidance for all principals” (p. 12). Marzano identified 21 responsibilities of the school leader
that directly align with student academic achievement. For example, situational awareness,
building relationships, and clear communication are essential aspects of a successful principal.
All of these attributes encompass the critical component of effective leaders building not only
their own knowledge but the knowledge that they must infuse throughout the organization in
order to achieve academic success (Muhammed & Cruz, 2019).
The role of a school site principal from general manager to a combination of manager and
leader has changed the position entirely. Many principals do not last beyond a few years. Those
who do endure tend to exist in survival mode, juggling too many tasks with insufficient time or
energy to make a real difference in instructional improvement and improved student
achievement. When districts act on the assumption that their principals already have these skills,
they are likely to watch them fail to meet their expectations when they do not act on such
assumptions.
The changing role of the principal is further validated through literature. In The
Principalship, Sergiovanni (2001) shared the results of a nationwide survey that listed seven
areas that principals identified as prominent in their many responsibilities. Table 1 identifies
principal responsibilities and the corresponding increase in time spent on each.
PUBLIC SCHOOL DISTRICT PRINCIPALS 29
Table 1

Principal’s Responsibilities and Increase in Time Spent on Each

Area of responsibility in the 21st century Percentage increase

Marketing/politics, etc. to generate support for school and education 70.0
Working with social agencies 66.0
Planning/implementing site-based staff development 65.5
Development of instructional practice 63.5
Curriculum development 62.4
Working with site-based councils/other constituencies 61.6
Attention to issues related to potential legal liabilities 58.1

Note. Based on The Principalship: A Reflective Practice (p. 73), by T. J. Sergiovanni, 2001,
Needham Heights, MD: Pearson.

The seven responsibilities identified in Table 1 and the corresponding increase in time
that principals indicate they spend on each task shed light on the changing role of the school
principal. Principals, beyond simply managing schools, must demonstrate a keen ability to
interact effectively with others, including teachers, students, and parents. Furthermore, the
relationships in which the principal engages extend beyond the school site to the community,
including elected officials, community members, social agency members, and law enforcement
officers. The principal must expand the role so that relationships established between and among
people are designed to be inclusive rather than exclusive, so that as many people as possible feel
a sense of meaning and value toward the school (Hopkins, 2000). In short, principals are
PUBLIC SCHOOL DISTRICT PRINCIPALS 30
expected to be entrepreneurs who solve problems effectively and collaboratively with others,
rather than simply manage schools (Ouchi, 2003).
Beyond managing the pressing operations on which a school is dependent to survive, the
effective principal must have a strong ability to get the job done through people (Kelly, 1980).
While there is little doubt that a principal’s professional experience, knowledge of curriculum,
and familiarity with the operation of schools are important elements that may contribute to
success, the degree of meaningful relationships that the principal develops over time with
members of the organization is of equal importance (Ortiz & Ogawa, 2000).
The idea that school leadership is a collaborative endeavor suggests that social
relationships are critical to the successful functioning of schools. Leadership exists within a
social context in part because, as previously mentioned, high-stakes accountability from both the
federal and state governments has catapulted the role of the principal from manager to
instructional leader (Mendels, 2017). With this in mind, districts have the daunting task of
recruiting and hiring more than just organizers and managers. Districts must look at multiple
abilities, skills, and character traits to select high-quality candidates for the position of school
leader.
The successful leader must play three key roles: the learning leader, the district and
system player, and the change agent (Fullan, 2014). According to Fullan (2014), these three key
roles will simplify the role of the principal, make the work less fragmented, and yield widespread
positive results. The principal must also be able to develop relational trust between himself and
his faculty, as suggested in numerous current theories about successful leadership (Cerit, 2009;
DuFour & DuFour, 2013; Fullan, 2014; Lowe et al., 1996; Waters, Marzano, & McNulty, 2004).
PUBLIC SCHOOL DISTRICT PRINCIPALS 31
Being a principal in the 21st century is almost impossible, and this is a possible
explanation for the looming principal shortage (Department for Professional Employees [DPE],
2016; Fuller, Young, Richardson, Pendola, & Winn, 2018; Gates, Ringel, Santibanez, Chung, &
Ross, 2003; Normore, 2006; Rand Corporation, 2003; Sanham, 2001). The principal shortage
from the lens of the superintendent is reviewed in the next section.
Principal Shortage
Due to population growth and the increase in immigration, the need for more elementary,
middle, and high school principals will grow 6% nationwide by the year 2022 (Ferris & Raley,
2016). The demand for more principals will also increase the financial burden on districts. The
yearly cost to recruit, hire, prepare, mentor, and continue training principals can range from
$36,850 to $303,000 (not including salary), but only about $75,000 is allocated by most urban
school districts for this task (National Association of Secondary School Principals [ASSP],
2016). Many school districts across the country are facing a teacher and principal shortage that
requires immediate attention and careful long-term planning. Included is budgeting enough funds
to hire and train high-quality candidates (NASSP, 2016).
Since the Rand Corporation published a report regarding a possible shortage of
administrative candidates in 2003, there has been a steady pace toward an inevitable tipping
point. The corporation noted three areas of concern: substantial variation in financial rewards at
the state and local levels, barriers to entry into the field that affect willingness to become an
administrator, and an administrative population with many members nearing retirement (Gates et
al., 2003).
According to the Institute for Education Statistics (IES, 2016), 1 in 5 principals working
in schools in the 2011-12 school year left their school after only 1 year in the position. Other
PUBLIC SCHOOL DISTRICT PRINCIPALS 32
research shows that 1 of every 2 principals are not retained beyond their third year of leading a
school (Beach, 2010; Clifford & Chiang, 2016; Doyle & Locke, 2014; Mendels, 2017; Turnbull,
Anderson, Riley, MacFarlane, & Aladjem, 2016). At the same time, school leaders who are
retiring, transferring schools, or pursuing new opportunities in the education sector are not being
replaced by the same number of qualified candidates (Turnbull et al., 2016).
With the increase in the numbers of students and schools, lack of willingness to go into
administration, lack of funding for training, and lack of effective skills to stay in the position,
coupled with the high retirement or job promotion rate, school districts in the United States are
increasingly reporting principal vacancies and there is a grim lack of qualified applicants (Beach,
2010; Clifford & Chiang, 2016; Doyle & Locke, 2014; Mendels, 2017).
If school leadership is a key to closing achievement gaps and increasing student
performance in all subjects across all grade levels and if the principal is the second most
important contributor to doing that, then America is facing a pending crisis in schools. While
there can be successful teachers in failing schools, there are few effective schools without
effective school leaders (Leithwood & Strauss, 2009). With the passage of the Every Student
Succeeds Act (ESSA), principals face even greater uncertainty about state policy decisions
concerning new accountability requirements, principal evaluation systems, and funding for
schools.
High-quality, sustained professional development for principals focused on instructional
leadership, organizational management, schoolwide reform, innovation, and other 21st-century
practices is lacking for current principals. On average, states spend less than 4% of federal Title
II dollars on principal professional development activities, with several states opting to make no
investment at all (NASSP, 2016). Only 70% of school districts across the United States use any
PUBLIC SCHOOL DISTRICT PRINCIPALS 33
strategy to recruit candidates and many simply use the concept of self-selection to fill positions
(Normore, 2006). As districts seek to fill open positions, personnel departments must be more
specific in the process and future oriented in their job postings and recruitment efforts. This may
alleviate the issue of principal applicant shortages, especially in urban schools, which report an
even more severe problem (Whitaker, 2003).
Preparation for the Principalship
Little to no training was required in the early decades of the principalship; however, as
the role became more complex and responsibilities increased, there was a need for more formal
training. In more recent history, principals have been prepared through a variety of avenues. The
pressures that are part of the position have led institutional and policy leaders to foster a variety
of systems designed to support educational leaders (Hale & Moorman, 2003). These systems
may include university training programs, nonuniversity training programs, certification,
mentoring, and networking. The course of preparation is contingent on each state’s requirements
for the position of school principal. Some states’ requirements for the position are more
regulated while others are less stringent. With an increase in accountability and a greater need for
leaders to manage the multiple responsibilities of the position, it is essential to review the
recruitment of principals to maximize positive outcomes for finding eligible and qualified
candidates. The following subsections review the literature on each of the possible systems by
which principals can be prepared for the position, as well as the principal’s ability to meet the
increasing challenges of the role.
University Training Programs
Many universities claim to prepare principals with the leadership skills necessary to lead
21st-century schools. In 2016, the Wallace Foundation wrote a report about the general
PUBLIC SCHOOL DISTRICT PRINCIPALS 34
perceptions of university programs that prepare the nation’s future school principals. It looked at
barriers to their improvement and the state’s role in encouraging program upgrades. It reported
on how these essential training grounds of future school leaders are viewed and asked the
question, “Do the programs need to improve and if so how?” (Mendels, 20167, p. 4). The
Foundation suggested five common themes:
1. District leaders are largely dissatisfied with the quality of principal preparation
programs, and many universities believe that their programs have room for improvement.
2. Strong university-district partnerships are essential to high-quality preparation but are
far from universal.
3. The course of study at preparation programs does not always reflect principals’ real
jobs.
4. Some university policies and practices can hinder change.
5. States have authority to play a role in improving principal preparation, but many are
not using this power as effectively as possible. (Mendels, 2016, p. 5)
The Foundation offered insight into the obstacles to preparation program improvement and
suggested the need for action in redesigning principal preparation by building on what is known
from research and high-quality programs, establishing stronger connections between universities
and districts, and ensuring that state policymakers create structures that encourage proliferation
of high-quality programs (Wallace Foundation, 2013).
The good news, according to the report, was that many university programs seemed to be
open to change and have benefitted from having strong programs to be viewed as models.
Political changes should include more hands-on training, more rigorous coursework, and higher
standards for professional development. Universities could raise their admissions requirements
PUBLIC SCHOOL DISTRICT PRINCIPALS 35
for principal preparation programs and could require that successful past experience in a
leadership role be part of the prerequisites for admission (Brown, 2011; Service et al., 2016).
University program curricula should reflect the shift in responsibilities of the
principalship and provide practical application opportunities, as well as field experience, as part
of the coursework (Barnett, 2004; Brown, 2011; Hess & Kelly, 2007; Service et al., 2016; Styron
& LeMire, 2011). Principal preparation programs currently focus on theoretical coursework for
future leaders and include minimal practical application. University programs should offer
changes in coursework, including refocusing the nature of the curricula, updating teaching and
learning strategies, increasing opportunities for practice, and expanding clinical experiences
(Darling-Hammond et al., 2007). State and local leaders have begun to develop policy strategies
that hold promise for eventually making such programs commonplace rather than the exception.
The required collaborative effort is made worthwhile based on the importance of developing a
generation of strong, skilled leaders who can create schools that provide expert teaching for all
students (Darling-Hammond et al., 2007).
Nonuniversity Training Programs
Many nonuniversity training programs also claim to deliver the best preparation for
principals for their demanding role. A growing number of principal candidates are departing
from the traditional university classroom in favor of these alternate-route principal preparation
programs (Zubnzycki, 2013). Organizations such as The Broad Foundation have contended that
university training programs are ineffective (Fordham Institute & The Broad Foundation, 2003).
Instead, they claim that certification requirements should be reduced and training should come
from providers rather than from universities (Fordham Institute & The Broad Foundation, 2003).
Hess (2003) echoed the sentiment, attributing principal candidate shortages to burdensome
PUBLIC SCHOOL DISTRICT PRINCIPALS 36
university training programs and heavy standards for licensure. These barriers to entry could
prevent potentially strong candidates from pursuing the principalship (Hess, 2003).
Organizations such as The Broad Center Academy have provided an alternative to universities
by training principals via both traditional and nontraditional methods and placing their alumni in
large urban school districts (Fordham Institute & The Broad Foundation, 2003).
Many states permit nonuniversity organizations to develop principal preparation and
training programs aligned to state standards but tailored to the potential leader’s needs (Hess &
Kelly, 2005). Professional organizations, district-based programs, and principal academies are
examples of alternative preparation programs to support aspiring principals.
Principals and future principals have access to many nonuniversity organizations. The
ACSA is the largest organization for school leaders in California. ACSA helped to develop a
program called Coaching Leaders to Attain Student Success (CLASS) that uses a blended
coaching strategy to support growth and change in both what principals do and who they are
(Bloom, Castagna, & Warren, 2003). NASSP is the leading organization for secondary principals
and other school leaders across the United States. The National Association of Elementary
School Principals (NAESP) is the leading organization for elementary principals and other
school leaders in the United States. Both NASSP and NAESP seek to transform education
through school leadership and recognize that fulfillment of student potential relies heavily on
having effective leaders in every school, committed to the success of each individual student. All
three organizations provide principals and future principals with professional, research-based,
and peer-tested resources and tools to support them as current or future school leaders.
Some organizations focus on certain subcategories of leadership and address more
granular needs for future leaders. The California Association of Latino Superintendents and
PUBLIC SCHOOL DISTRICT PRINCIPALS 37
Administrators (CALSA) is a professional association of diverse educational leaders skilled in
addressing the specific needs of Latino/a students and is dedicated to increasing the number of
highly effective Latino/a administrators in California. What all of these examples of professional
organizations have in common is that they provide intense preparation for aspiring principals to
increase experience and knowledge prior to entering the role of principal and to support the
principal once he or she is in the role.
Many districts have district-based programs that serve as an additional pathway for
principal preparation and support. These programs provide practical curriculum focused on real-
time experiences that are directly aligned with particular needs of the district (Hess & Kelly,
2005). Many district-based programs collaborate with an educational group or institution to
develop and recruit candidates from within the district’s teaching ranks (Hess & Kelly, 2005).
District-based and partnership programs create a pathway for school districts to develop future
leaders from within the organization.
The California State Polytechnic University, Pomona, and the Pomona Unified School
District have formed a partnership under a 5-year federal grant entitled Great Leaders for Great
Schools Academy (GLGSA). In developing a “community of leaders,” the focus of the
Preliminary Administrative Services Credential program includes the following:
• A thematically integrated, problem-based curriculum focused on real world problems
and issues and the application of relevant academic theories and concepts;
• A curriculum designed to leverage the workplace through fieldwork and a school-wide
change initiative project as a key medium for leadership development by providing
learning activities designed to confront students with problems (and their solutions)
commonly experienced by school leaders; and,
PUBLIC SCHOOL DISTRICT PRINCIPALS 38
• Regularly scheduled presentations that provide focused, skill-based, timely and in-
depth examinations of the administrator proficiencies/competencies set forth in the
credential standards. (California Polytechnic University, 2019, para. 1)
Principal academies serve as another pathway for principal preparation. ACSA offers a
Principals Academy that provides new or aspiring principals a chance to build the capacity of the
next generation of principals and to become transformational leaders who can identify critical
paradigm shifts, create a guiding and unifying vision through inspiration, and execute essential
change with site staff. The intensive academy focus is on developing and refining applied
leadership and management skills required of principals at the elementary, middle grades, and
high school levels within the context of local control accountability planning and the Local
Control Funding Formula (LCFF; ASCA, 2019).
Even though principal preparation is essential for new and aspiring principals and there
are several program options, there is still little evidence that principal academies, district-based
programs, or innovative education school partnership programs have a significant impact on
future leaders (Hess & Kelly, 2005).
State Certification and Licensure
States have specific guidelines for certification and licensure of school administrators.
The common baseline criterion is that a principal must hold a valid teaching credential, earn at
least a master’s degree from an accredited university, and in many cases, have a certain amount
of experience in the classroom. Many states have additional administrator programs or
examinations s prerequisites for applying for state certification. Typically, after at least 3 years of
experience, a candidate must apply for a professional certification for the state, whether the
experience was in the same state or a different state than where they intend to be an
PUBLIC SCHOOL DISTRICT PRINCIPALS 39
administrator. Many states have adopted or adapted licensure and accreditation policies based on
the standards for school administrators developed by the Interstate School Leaders Licensure
Consortium in 1996 and revised in 2008 (Fry, O’Neill, & Bottoms, 2006). However, not all
states have completely aligned professional standards with principal preparation programs,
licensure requirements, and evaluation systems (Davis, 2010).
In California, the Commission on Teacher Credentialing (CTC) requires candidates to
possess a Preliminary Administrative Services Credential, and one of the following prerequisite
teaching credentials: (a) a valid California teaching credential along with at least a bachelor’s
degree, (b) a valid California Designated Subjects Teaching Credential, along with at least a
bachelor’s degree, or (c) a valid California Pupil Personnel Services Credential, Teacher
Librarian Services Credential, Speech-Language Pathology Services Credential, Clinical or
Rehabilitative Services Credential, or a School Nurse Services Credential (Clear or Professional
Clear level only), along with at least a bachelor’s degree and completion of a program of
professional preparation (CTC, n.d.).
The Preliminary Administrative Services Credential is valid for 5 years and must then be
converted to a Clear Administrative Services Credential. Educational requirements for
the Clear Credential include completing one of the following: (a) an individualized
program of advanced preparation in cooperation with the employer and the program
sponsor, (b) a State Board of Education-approved Administrator Training Program, or (c)
a Commission-approved alternative preparation program, or equivalent examination or
experience (CTC, n.d.).
The Professional Standards for Educational Leaders emerged from various national and
state professional organizations. The standards are grounded in current research and real-life
PUBLIC SCHOOL DISTRICT PRINCIPALS 40
experiences of educational leaders. They articulate the leadership that schools need and that
students deserve and they provide guideposts from achieving leadership success. They outline
foundational principles of leadership to guide the practice of education and focus on equity in
student learning outcomes. They are designed to ensure that educational leaders are ready to
meet the challenges and opportunities of the job today and in the future, as education, schools,
and society continue to transform (National Policy Board for Educational Administration
[NPBEA], 2015).
Mentoring and Coaching for the Principal
It is important to mentor and coach educators who show an interest in or potential to
become a principal (Daresh, 2004). The mentoring and coaching of principals has helped to
increase principal effectiveness and the likelihood of longevity of novices in the position. It has
also proven to be necessary for ethical decision making (Alsbury & Hackmann, 2006).
Mentoring and coaching play a critical role for success; aspiring and novice principals must
consider the right qualities in and sources of mentors with respect to support with execution of
the position (Alsbury & Hackmann, 2006). With a focus on the exchange and transmission of
acquired knowledge, the mentorship or coaching must promote growth and insight into trends,
issues, and social realities that go beyond existing practices and avoid merely cloning the mentee
to be a replica of the coach (Daresh, 2004).
According to Schechter (2014), effective mentoring or coaching can be measured in three
distinctive categories of success: personal characteristics, professional discourse, and time and
frequency of communication. In findings across qualitative studies (Coleman, 1996; Farver &
Holt, 2015; Hussin & Al Abri, 2015; Sciarappa & Mason, 2014; Warren & Kelsen, 2013), it was
determined that principals need a significant amount of training and professional development,
PUBLIC SCHOOL DISTRICT PRINCIPALS 41
especially with new and ever-changing policies. In addition, the top-down policy implementation
model fails to consider the diversity of human dispositions, values, strategies, and the lack of
professional knowledge and skills of policy implementers at the school and district levels. It also
fails to understand transformational leadership and the need for principals to inspire and motivate
teachers and students (Hussin & Al Abri, 2015).
Recruitment of the Principal
The DPE published a fact sheet titled “School Administrators: An Occupational
Overview” in 2016 that provided extensive information on educational administrators in the
United States. It showed that, since 2010, there has been a 10% decrease in the number of
administrators serving American schools. This included preschool through postsecondary
settings at all types of schools. While the National Center for Education Statistics (NCES)
predicted that total public school enrollment in prekindergarten through Grade 12 would increase
by 3% (from 50.4 million to 52.1 million students), with changes across states ranging from an
increase of 28% in the District of Columbia to a decrease of 12% in Connecticut, it predicted that
the growth in the number of school administrators would not increase sufficiently to fill the need
(McFarland et al., 2018).
Normore (2006) asserted that effective recruitment and selection can help to increase the
pool of principal candidates and Sandham (2001) reported that recruiting qualified principals in
California was becoming increasingly difficult as the role has become increasingly complex.
Whitaker (2001) reported that 40% of superintendents who responded to a survey reported a
“moderate” principal candidate shortage and 50% reported a “somewhat extreme” or “extreme”
shortage.
PUBLIC SCHOOL DISTRICT PRINCIPALS 42
Pijanowski et al. (2009) found that current superintendents expect to have over 40%
fewer candidates apply for principal positions in comparison to 15 years prior. According to
Whitaker (2003), principal applicant shortages are a more severe problem in urban school
districts, complicated further by the disproportion of applicants who are actually qualified for the
position. Reports have shown that less than 50% of candidates meet the minimum requirements
to take on the principalship (Pijanowski et at., 2009; Whitaker, 2001). The outlook is even more
dire when taking into consideration the declining interest in the position in general and the need
for a call to action to identify and recruit quality candidates (Gajda & Militello, 2008; Pijanowski
et al., 2009). The following section presents a review of possible reasons educators are not
applying for the position and possible recruitment strategies to attract and recruit high-quality
candidates for principal position.
Deterrents to Applying for a Principalship
There are multiple pathways to become a principal and the recruitment process is
arduous, but many factors are related to the underlying causes of potential candidates not
positioning themselves to be considered. There is a widening gap in the shortage of applicants
moving into the pipeline to the principalship. This topic requires examination in order to
understand the causes.
The most prominent reason potential candidates are not applying for the principalship is
that the responsibilities of the position are constantly changing, ever increasing in volume, and
becoming much more complex (Whitaker, 2001). When this is coupled with an increase in time
commitments, an increase and strong emphasis on high-stakes testing, increases in school
violence, absence of respect from the public perspective, and overall job-related stress, the
position does not lend itself to being attractive (DiPaola & Tschannen-Moran, 2003; Thomson,
PUBLIC SCHOOL DISTRICT PRINCIPALS 43
Blackmore, Sachs, & Tregenza, 2003). In addition, the principal must deal with site-based
personnel conflicts, fluctuating relationships with parents and the community, balance in
management and leadership, inadequate funding, and highly charged political environments
(Cooley & Shen, 2000; Whitaker, 2003). In addition, an increase in pressures from school board
members, along with federal, state, and local mandates, limits principals from having sufficient
authority at their school site (DiPaola & Tschannen-Moran, 2003). This limited autonomy is
challenging when making decisions in the face of a large bureaucracy. A negative or nonexistent
relationship with the board of education, the superintendent, and/or other administrators can
create a difficult work environment that many experienced leaders choose to avoid (Cooley &
Shen, 2000).
A principal’s salary does not match the responsibilities, increased paperwork, lack of job
security, and multiple stresses required of the position; in many districts, a veteran teacher’s
salary is more than what a first-year principal makes (Cooley & Shen, 2000). Considering that
experiencing rites of passage toward the principalship, which include years of classroom
experience, extra duty assignments, and even earning National Board Certification, which were
all listed as being helpful to attaining and being successful in a principalship, the pathway does
not seem worth it, especially for female candidates (Kruse & Krumm, 2016).
All of these concerns are deterrents for principal candidates. Prospective participants
have indicated that, to reach the highest levels of leadership, one must either be a high school
principal or serve at the district office level, which means at least 5 years “in the trenches” in a
lower-paying and less respected administrative level. If districts and school boards are to
mitigate the principal candidate shortage, they must address and remove these deterrents.
Strategies to address these issues are considered next.
PUBLIC SCHOOL DISTRICT PRINCIPALS 44
Recruitment Strategies for Attracting Quality Candidates
Recruitment involves not only an employee who is seeking to fill a position but also a
quality candidate to fill the position. Examining the causes of the candidate shortage described in
the previous section suggests possible solutions to address the issue. Recruitment must be
organized and ongoing and should be appropriately funded by the recruiting districts, especially
in urban areas, where the shortage is most dire (J. W. Meyer & Rowan, 1977).
Although several studies have shown that many district-level administrators perceive a
shortage of candidates for principal position openings, Pijanowski et al. (2009) found that 24%
of superintendents in large districts actually underestimated the applicant pool size. This may
include not analyzing the credentials and qualifications of possible candidates in their districts
(Doyle & Locke, 2014). It may also be due to the fact that some districts have extremely limited
recruitment practices, with very little outreach beyond the actual job posting (Doyle & Locke,
2014). Districts should use innovative ways to advertise principal positions beyond the
traditional job listing. School districts can no longer simply wait for people to apply. They must
actively engage and persuade possible candidates to apply by implementing standardized,
research-based practices (Doyle & Locke, 2014; Myung, Loeb, & Horng, 2011).
Pijanowski et al. (2009) recommend five actions that school districts and superintendents
can take to attract high-quality candidates. The first recommendation is that superintendents
identify potential leaders who hold an administrative credential and provide them with leadership
opportunities to develop the skills to move into the principalship when they are needed
(Pijanowski et al., 2009). The second recommendation is that leadership programs in institutions
of higher education, in partnership with local school districts, develop ongoing alumni networks.
These networks can serve as recruitment sources to ensure that graduates do not stop applying
PUBLIC SCHOOL DISTRICT PRINCIPALS 45
for jobs if they do not acquire a position in their first few years of applying (Pijanowski et al.,
2009). The third recommendation from Pijanowski et al. (2009) is that a district actively explore
methods to reduce the amount of time spent on paperwork, e-mails, and other distractions that
steal a principal’s time from working with students and being an instructional leader to the staff.
Fourth, Pijanowski et al. (2009) recommended hiring less experienced candidates who may need
additional preparation on the job but would be further from retirement, allowing for more years
in the position. A young, trainable, and influential rookie has the potential to provide many years
of successful service. This recommendation requires the employer to take a risk for the promise
of long-term benefits. Fifth, future candidates should be willing to assume leadership roles at
their school site while in their current positions in order to gain depth and become stronger
candidates for future administrative positions. The idea is to build experienced leaders who can
acquire leadership experience while serving as a classroom teacher. This allows district
leadership to groom young emerging leaders into strong transformational leaders to meet the
needs of the district and of specific school sites and ensure longevity in the position (Pijanowski
et al., 2009).
Normore (2006) suggested that school leaders be identified early in their careers and
mentored into leadership positions, with current school leaders being proactive in identifying
prospective future leaders who fit their needs and who are committed to the improvement of
education. Educators who are encouraged to enter leadership positions earlier in their careers
increase the amount of time that they are able to spend as principals prior to retiring (Gajda &
Militello, 2008).
Lowe et al. (1996) suggested several strategies to assist districts in identifying candidates
with skills to be successful 21st-century administrators: (a) interviewing practices that have
PUBLIC SCHOOL DISTRICT PRINCIPALS 46
situational questions about transformational experiences, (b) lower-level leaders with a focus not
just on technical expertise but also on interpersonal abilities and team building, (c) training
modules that include techniques for enhancing intellectual stimulation, and (d) training that
utilizes situational and interactive exercises to develop transformational skills. At the same time,
the role of the principal should be reexamined so that some of the factors that inhibit candidates
to apply and to stay in the position once seated, are removed (Fullan, 2014; Whitaker, 2001).
Aligning Job and District Expectations
There is a current mismatch between what researchers and academics say is the job of the
principal and what districts advertise that they want and need in a principal (Richardson, Watts,
Hollis, & McLeod, 2016). An analysis of job postings for principal positions across seven states
revealed that, in most cases, the role of the principal was essentially described as one that could
easily be interchanged between states without regard to setting or specific needs (Hassel &
Hassel, 2016). Richardson et al. (2016) concluded that job postings have changed very little from
previous decades, despite extensive changes in the structure of district, state, and federal
guidelines.
Possible candidates might be attracted to apply for a position based on simple criteria
such as district reputation, geographic location, or salary, rather than based on their leadership
strengths and specific skills (Richardson et al., 2016). In other words, the right candidates are not
applying for the right positions, which generates two very specific problems. First, school
districts are not clearly identifying the existing needs for their schools and therefore are not
attracting the appropriate candidates for the position. Second, the vagueness of job descriptions
is causing possible candidates to apply carelessly for the position without taking into
consideration their own personal strengths and knowledge.
PUBLIC SCHOOL DISTRICT PRINCIPALS 47
In a large study of the principalship, Parlyo and Zepeda (2014) concluded that an
effective principal holds eight measurable and identified characteristics. He or she has a good
track record, is a good manager, is a good instructional leader, is an effective data leader, is a
team player, is a leader in the community, is a perfect fit for the school, and has passion in
leading. These skills are not often achievable without experience and training. These skills are
not necessarily aligned with the district job requirements that are listed for principal positions.
DiPaola and Tschannen-Moran (2003) and Thompson et al. (2003) proposed a formal
restructuring of the role of the principal with clear duties, expectations, and complexities that are
required of candidates. This includes an appropriate increase in salary, along with innovative
incentives to match the requirements of the difficult role (Cooley & Shen, 2000).
Tapping
The act of tapping is described as a process in which standing administrators actively
identify and recruit teachers who demonstrate effective or developing leadership qualities to
eventually become principals. Multiple researchers (e.g., Browne-Ferrigno & Muth, 2008;
Whitaker, 2003) have identified this type of practice as an effective, direct, and informal method
to recruit potential candidates. The logic lies in the fact that current administrators, more than
anyone else, understand the characteristics that are necessary to take on the responsibilities of a
site administrator and are therefore able to identify those qualities in others (Whitaker, 2003).
Many current principals report that they were better prepared to undertake a principalship due to
increased responsibilities assigned to them by their site supervisors while they were teachers
(Browne-Ferrigno & Muth, 2004).
Pijanowski et al. (2009) stated that recruiting processes should start from within school
districts to develop a pipeline from the classroom to the principal position while reducing or
PUBLIC SCHOOL DISTRICT PRINCIPALS 48
removing factors that inhibit candidates from applying. This practice also helps in building
capacity that assists in the long-term retention of principals in their difficult roles. The next
section presents a review of literature that investigates the ability to maintain long-term school
leaders needed for systemic growth.
Retention of the Principal
While research on school improvement is now in its third decade, systematic research on
the role of the principal and its relationship to stability and change is quite recent (Fullan, 2002).
Some of the earlier research identified the role of the principal as central to promoting or
inhibiting change, but it did not examine the principal’s role in depth or perspective and
generally the only consistence was that effective principals attacked incoherence (Bryk, Sebring,
Kerbow, Rollow, & Easton, 1998).
During the 1980s, research and practice focusing on the role of the principal resulted in
greater clarity but also greater appreciation of the complexities and various paths to school
success (Fullan, 2000). With the move at the turn of the century toward self-management of
schools, the principal appeared to have been given the worst of both worlds. The old-world
expectation was to manage a school efficiently and be responsive to all aspects of the position,
confronted by the new world’s disconnected demands and constantly changing expectations,
requiring better test results and a highly productive learning organization (Fullan, 2000).
In reality, the principalship is a complex multifaceted role that focuses on educational
leadership of the school with increasingly challenging student achievement standards (Crow,
Hausman, & Scribner, 2002). Researchers have confirmed that educational leadership is a
necessary driving force for school improvement efforts (Educational Research Service, 1985;
Fullan, 2014; Haberman & Dill, 1999; Rutherford, 1985). Although school-based decision
PUBLIC SCHOOL DISTRICT PRINCIPALS 49
making and strong leadership are critical parts of a successful school, Zellner et al. (2002) touted
the principalship as one of the “loneliest jobs in town” (p. 3). The role of the principal has
expanded from simply managing schools to addressing high-stakes student achievement,
accountability, fundraising, and nurturing business partnerships (Usdan, 2004; Winston, 2002).
The high stress and daily demands of this new principal position, with increasingly high
expectations and accountability related to student outcomes coupled with long work hours, an
increase in paperwork, elevated legal and political bureaucracy, lower pay, and a decrease in
support structures, have been observed as reasons for the decline in potential principal applicants
and an increase in current principals leaving the position (DPE, 2016; Gajda & Militello, 2008;
Normore, 2006; Thomson et al., 2003). There is a severe and increasing shortage of applicants
for principal job openings nationally, even though there are more than twice as many potential
candidates with administrative certification than there are openings for principal positions (Gajda
& Militello, 2008).
To make matters worse, principals are leaving the profession at an accelerated rate. A
Texas-based study found that 50% of current principals were expected to leave the position in 5
years and more than 75% would leave within 10 years (Fuller, Young, & Orr, 2007). A study in
North Carolina showed that less than 50% of new principals were still in the position after 6
years and only 18% remained at the same school in the 6-year period (Fuller et al., 2007). Also,
14% of the new principals had returned to teaching positions after 6 years, while 12% had taken
other administrative positions (Fuller et al., 2007). From a recent NAESP 10-year study, 38% of
principals indicated that they were planning to leave the position of principal in the next 3 years,
and 22% of the 38% had been in the position for 5 years or less (Fuller et al. 2018).
PUBLIC SCHOOL DISTRICT PRINCIPALS 50
The top five role changes in the principal position that affect principal retention are local
site management issues, increased accountability at all levels, tension between management and
leadership, altered relationships with parents and community, and the increase of school choice
(Whitaker, 2003).
A study of more than 300 research reports and articles determined the impact of the
principal on student achievement (Leithwood, Seashore Lewis, Anderson, & Wahlstrom, 2004).
The conclusive findings were that school leadership is outranked only by classroom instruction
in terms of factors that influence student achievement. Approximately one fourth of the effects
on learning stem from direct and indirect school leadership (Leithwood et al., 2004). Leadership
has the greatest impact on schools that are most in need of improving learning. There were no
documented cases of distressed schools being turned around without strong leadership
(Leithwood et al., 2004). Given the impact that principals have on student outcomes, it makes
sense to work toward providing every school with an effective leader (Sun, 2011).
Effective principals should be visionary leaders, and their role in 21st-century schools
does not resemble the principalship of the past (Institute for Educational Leadership, 2002).
Principals must be (a) instructional leaders who are committed to academic success for students,
(b) community oriented to bring the stakeholders of a school together, and (c) a leader with a
vision for the school and a belief that all students can learn and be successful (Institute for
Educational Leadership, 2002). The school leader should be cognizant of the school culture,
rather than merely serve as a manager of a facility. There is a distinct connection between these
role changes and the issue of principal retention; the role must be better defined so that principals
can receive needed support for whole system change (Fullan, 2014; Whitaker, 2003).
PUBLIC SCHOOL DISTRICT PRINCIPALS 51
Waters et al. (2003) correlated the effect of school leadership on student test scores.
Quinn (2002) drew a bleak picture related to the lack of qualified candidates for the school
leadership position to fill vacancies created by administrators reaching retirement age. The
situation has reached the crisis stage and the immediate shortfall is a reality for education.
Leaders must be cultivated and assisted in school administration; training for new administrators
must be addressed by school districts and state leaders (Fullan, 2000). The following section
identifies possible methods to increase retention of current principals.
As districts contemplate the overall shortage of candidates and the impending retirement
and resignation of a large portion of current principals, they should rethink the role of the
principal so that it becomes a more manageable, effective, and fulfilling job (Fullan, 2014;
Thompson et al., 2003). It is clear that the problem of principal turnover requires new strategies
on the part of school district leadership, as well as extended efforts to educate school
communities about the significance of principal retention (Norton, 2002).
Whitaker (2003) suggested that school districts reexamine the role of the principal and
develop an action plan for retaining quality personnel. A viable plan sets forth the goals that the
school district wants to accomplish relative to retention of its administrative leadership, specifies
procedures for accomplishing these goals, and provides necessary human and monetary
resources for its implementation (Norton, 2002).
Mentoring, sabbatical leaves, and peer-assisted leadership programs could serve to
promote the professional and personal renewal and growth of school principals (Norton, 2004).
Mentoring and coaching have gained increased credibility in the field of educational leadership
as support and development strategies for administrators (Atherton, 2018). The benefits of
mentoring and coaching include better relationships with colleagues, increased job satisfaction,
PUBLIC SCHOOL DISTRICT PRINCIPALS 52
greater organizational commitment, and improvement of employee retention (“Mentoring and,”
2001). Coaches and mentors are experienced persons who serve as active listeners, supporters,
and motivators for the protégé and build useful communication channels to continue professional
growth. This allows for new knowledge and a system of personal support and increased self-
confidence as a role model for successful practice (Winter & Sweeney, 1994).
Sabbatical leaves for school principals not only foster personal growth and self-renewal;
they can provide assistant principals and other administrators who are appointed as temporary
replacements opportunities for career advancement (Norton, 2002). Peer-Assisted Leadership
(PAL) programs for school principals are a development process in which peers help other peers
in the improvement of their personal skills. These programs have proven effective for analyzing
personal behavior, enabling principals to gain support where they need it, and allowing for
valuable insight from colleagues regarding how others lead, teach, and create (Webb & Norton,
1999).
These and alternative actions are of paramount importance for keeping quality school
principals on the job. Unless they are taken seriously and implemented as a primary part of the
school district’s efforts to achieve quality programming, the problem of principal turnover will
remain unresolved and the school district’s desire to retain high-quality school leaders will
remain only a hope (Norton, 2002).
Theoretical Framework
For the purposes of this study, the researcher focused on three specific frameworks: (a)
Fullan’s The Principal: Three Keys to Maximizing Impact (2014), (b) School Leadership That
Works by Marzano et al. (2005), and (c) Bolman and Deal’s Reframing Organizations (2013),
with their four frames model of leadership. Since the principalship is a role that is critical for
PUBLIC SCHOOL DISTRICT PRINCIPALS 53
providing effective leadership, these leadership frameworks served as a lens for the researcher in
this study.
The Principal: Three Keys to Maximizing Impact
The first theoretical lens used to inform this study is Fullan’s The Principal: Three Keys
to Maximizing Impact (2014). Fullan described the role of the principal as one that has become
nearly impossible and too complex to maneuver. “No one has sufficiently clarified the new role
of the principal and given principals the detailed attention required in order to enable schools to
thrive under new conditions” (2014, p. 8). This challenge has led to 75% of principals reporting
that their job has become too complicated and therefore unsatisfying (Fullan, 2014). This
includes being faced with multiple conflicting responsibilities such as district, state, and federal
mandates, accountability issues, and social and political problems that face school sites. Fullan
argued that the traditional role of the principal should be formally reevaluated so that schools are
able to adapt to changes and so that students are able to succeed. He described four wrong
drivers to create change: accountability, individualistic solutions, technology, fragmented
strategies. He also described four right drivers to create change: capacity building, collaborative
effort, pedagogy, and systems thinking. He argued that, in order to have the right drivers in
action, principals must play three keys roles: become the leading learner, become a district and
system player, and become a change agent.
The correct drivers serve as the force to guide the actions of systems and ultimately
transform the work that principals do into something that is energizing, productive, and
instructionally effective for all. In order to employ the right drivers, the administrator must play
three key roles: leading learner, district and system player, and the change agent. These key roles
PUBLIC SCHOOL DISTRICT PRINCIPALS 54
will ultimately simplify the role of the principal, make the work less fragmented, and yield
widespread results (Fullan, 2014).
Leading learner. The principal should no longer be looked at as only the instructional
leader. Principals must act like learning leaders who model learning opportunities and shape “the
conditions for all to learn on a continuous basis” (Fullan, 2014, p. 9). As leading learner, the
principal does not lead many groups. Instead, teacher leaders lead groups and the principal is
learning along with the rest of the staff. Teachers must develop the school’s existing professional
capital across and beyond the school.
District and system player. Fullan (2014) encouraged principals to develop internal and
external partnerships to become district and system players. Sharing best practices with other
school sites becomes a valuable asset leading to capacity building and increased leadership
opportunities for teacher leaders.
Change agent. A change agent is described as a person who moves people and
organizations forward under difficult circumstances. Fullan (2014) recommended that, instead of
making extensive plans, the principal should focus on a few clear goals to ensure that a team is
not overwhelmed and can follow through with a clear plan of action. A thorough understanding
of the principal as a leading learner, a district and system player, and a change agent will assist
the researcher in understanding the findings of this study.
School Leadership That Works
The second leadership framework to be incorporated as a lens for this study is that of
Marzano et al. (2005) in their work School Leadership That Works. In an attempt to address the
question, “What are the effects of school leadership on student achievement?” Marzano et al.
PUBLIC SCHOOL DISTRICT PRINCIPALS 55
(2005) performed a meta-analysis of literature from 1978 to 2001 to identify leadership
characteristics with a statistically significant relationship with student achievement.
Of the 300 studies examined, 69 met the researchers’ criteria. The study included 2,802
K–12 schools, more than 14,000 teachers, and 1,400,000 students. For each study analyzed, a
correlation between general leadership and student achievement was computed or extracted. The
authors found a .25 strength of correlation between instructional leadership and student
achievement, indicating that an “increase in principal leadership behavior from the 50th
percentile to the 84th percentile is associated with a gain in the overall achievement of the school
from the 50th percentile to the 60th percentile” (Marzano et al., 2005, p. 30). This implies that a
change in principal actions that is one standard deviation above the actions of an average
principal (50th percentile) directly corresponds to a one-standard deviation change in student
achievement. This effectively answers their research question that principal leadership actions
directly correlate with a positive change in student achievement levels. As principals improve
their demonstrated abilities in 21 identified responsibilities by one standard deviation, leadership
ability translates into increased student achievement.
Marzano et al. (2005) identified 66 practices that principals used to fulfill 21 specific
responsibilities that significantly improved student achievement. The top four responsibilities,
along with their associated coefficient of correlation, were situational awareness (.30), flexibility
(.28), discipline (.27), and monitoring/evaluating (.27).
Situational awareness. Situational awareness refers to a leader’s knowledge of details
regarding the school and the leader’s ability to use this information to address current and
potential problems (Marzano et al., 2005). This entails having a thorough understanding of their
school site and the people who are a part of it. It means being able to use existing resources to
PUBLIC SCHOOL DISTRICT PRINCIPALS 56
overcome and even prevent disasters. Marzano et al. (2005) found the following three
characteristics associated with this responsibility: predicting what could go wrong from day to
day, being aware of informal groups and relationships at the site, and being aware of issues in the
school that could potentially cause harm.
Flexibility. Flexibility refers to a leader’s ability to adapt to the needs of the current
situation. This implies the ability to apply various leadership styles contingent with the resources
or information at hand while being open to new ideas and the feelings of others. The researchers
found the following three characteristics associated with this responsibility: being directive or
nondirective depending on the situation, encouraging people to express varying or contrary
opinions, and being comfortable with making changes in the way things are done.
Discipline. Marzano et al. (2005) defined discipline as a leader’s ability to develop
timelines or procedures to create an efficient environment. As an example, they suggested that an
effective leader may create a buffer between the school and the effects of a potentially negative
district initiative. In this case, discipline refers to protection from negative issues and influences
that can be harmful to the school’s mission and vision. The researchers found two characteristics
to be associated with this responsibility: protecting instructional time from interruptions and
protecting teachers from internal and external distractions.
Monitoring/evaluating. Monitoring/evaluating places a focus on creating systems that
provide immediate and meaningful feedback to improve student achievement. Specifically,
Marzano et al. (2005) referred to this as the “extent to which the leader monitors the
effectiveness of school practices in terms of their impact on student achievement” (p. 55). The
researchers found two characteristics to be associated with this responsibility: continually
PUBLIC SCHOOL DISTRICT PRINCIPALS 57
monitoring the effectiveness of the school’s curricular, instructional, and assessment practices;
and being continually aware of the impact of the school’s practices on student achievement.
Marzano et al. (2005) defined a change agent as a leader who challenges the status quo.
This leadership responsibility is demonstrated in the leader’s willingness to upset the culture of a
school and its equilibrium temporarily. The leader is willing to lead change initiatives with
uncertain outcomes, consider new ways of doing things, and push the school’s capabilities.
When the principal undertakes a change, he or she is willing to commit for a period of time; if
the staff seems too comfortable with their work, the leader asks them, “What else could we be
doing?”
Input occurs when the school leader involves teachers in the design and implementation
of school decisions. Teachers must participate in all aspects of the school’s functioning. This
leadership responsibility is seen when the leader builds whole-staff consensus and communicates
priorities to all stakeholders. Building and using an effective leadership team is part of this
responsibility to build collective efficacy.
Marzano et al. (2005) stated, “Leaders need to understand the magnitude of the changes
they are attempting to lead, the predictable reactions to first versus second order change, and
how to tailor their leadership practices accordingly if their leadership is to have their intended
effect on student achievement” (p. 7). They noted the importance of navigating first-order and
second order-change to ensure school success.
First-order change. First-order change can be thought of as incremental and as the most
obvious next step to take in a school. This can be as simple as fine tuning an existing system
through small steps that do not diverge significantly from previous practices. The five most
influential responsibilities to implement first-order change were monitoring/evaluating, culture,
PUBLIC SCHOOL DISTRICT PRINCIPALS 58
ideals/beliefs, knowledge of curriculum, assessment, and instruction, and involvement in
curriculum, assessment, and instruction.
Second-order change. Second-order change involves a dramatic departure from what
has been expected at a school site, both in defining a problem and the process toward a solution.
It is considered a deep, significant change to existing practices, in contrast to first-order change,
which is incremental and fundamentally similar to previous practices. Second-order change may
require new ways of thinking and acting, and can, therefore, be difficult to execute. The five
most influential responsibilities to implement second-order change were knowledge of
curriculum, instruction, and assessment, optimization, intellectual stimulation, being a change
agent, and monitoring/evaluating.
A thorough understanding of the responsibilities identify by Marzano et al. (2005) that
correlate positively with student achievement will assist in understanding the findings of this
study.
Four Frames Model of Leadership
In their book Reframing Organizations: Artistry, Choice and Leadership, Bolman and
Deal (2013) identified and described four lenses that can be used to analyze leadership styles:
structural, human resources, political, and symbolic. Each frame is embedded with a wide range
of concepts and values that provide the opportunity to analyze a given leadership situation and
manage an organization from that standpoint. Most important, these cognitive frames help
managers to determine what is important and what can be ignored to develop a clearer
understanding of a given situation. Bolman and Deal (2013) emphasized that no one frame alone
can help a leader to manage an organization; rather, a combination of frames helps to determine
the best plan of action. Following is a brief description of each of the four frames.
PUBLIC SCHOOL DISTRICT PRINCIPALS 59
Structural. The structural frame has its origins in the fields of sociology and
management science; it focuses on the obvious “how” of change. It is mainly a task-orientated
frame that concentrates on strategy: setting measurable goals, specialized roles, firm deadlines,
and implementation of systems and procedures through formal relationships. There is a clear
emphasis on individual and organization responsibilities, rules, policies, and procedures where
rationality prevails over personal preferences. This frame works well when goals are clear,
relationships are firmly established, and there is no conflict or uncertainty within an
organization. Leaders focus on organizational goals, implement strategies to meet the goals, and
allocate resources to ensure that the goals are completed, using a clearly defined organizational
structure. Using this frame can be challenging when a given structure does not fit the situation.
Human Resources. The human resources frame has its origins in the field of psychology
and places emphasis on people’s needs, seeing the organization as an extended family. This
frame recognizes that workers are people with needs, feelings, prejudices, skills, and limitations.
As such, the use of the human resources frame focuses on giving employees the power and
opportunity to perform their jobs well through human interaction, personal growth, and job
satisfaction while ensuring that organizational needs are also met. This is done through
empowering employees through distributed leadership, staff development, or responsiveness to
people’s needs. There is an embedded belief that all people and organizations have the capacity
to learn and grow. The use of the human resources frame may face a challenge when attempting
to tailor an organization to the skills and needs of a largely varying group of people.
Political. The political frame has its origins in the field of political science and addresses
the political realities within and outside of organizations, such as the problems of individuals and
interest groups that might have conflicting or hidden agendas. Organizations are viewed as
PUBLIC SCHOOL DISTRICT PRINCIPALS 60
arenas or contests where groups compete for power and resources, especially at times when
budgets are limited and difficult decisions have to be made. The political frame recognizes that
conflict arises from differences in needs and perspectives. Situations require bargaining and
negotiation to develop compromises and coalitions of support. Leaders must strategize to create
favorable outcomes to reach organizational goals. A challenge in using this frame may arise
when power is concentrated in an area that goes against the organization’s goals or when the
power is too broadly dispersed to make meaningful change occur.
Symbolic. The symbolic frame has its origins in the fields of social and cultural
anthropology and addresses people’s needs for a sense of purpose and meaning in their work.
Leaders view their organizations as tribes, with a clear focus on vision and culture to create
inspiration to convince people that their work is valuable and meaningful. This is done by
recognizing achievements through celebrations and consistent rituals or expectations. The
symbolic frame is most appropriate when organizational goals and relationships are unclear or
uncertain. Problems may arise when using this frame when people are not genuine in their
actions, when symbols lose their meaning, or when traditions become irrelevant.
Bolman and Deal (2013) proposed that an effective leader should see the organization’s
challenges through each of these four frames or “lenses” to gain an overall view and to decide
which combination of frames will achieve the desired results. The leader may use one frame for
a time and then switch to another (implying a behavioral approach). Instead, the leader might
combine and use several or all four frames at the same time.
A crucial aspect of Bolman and Deal’s (2013) model is to avoid the temptation to become
stuck, viewing and acting on conditions through one lens or frame alone. Bolman and Deal
(2013) asserted that, because no frame works well in every circumstance, a leader who sticks
PUBLIC SCHOOL DISTRICT PRINCIPALS 61
with one frame is bound eventually to act inappropriately and ineffectively. Instead, it is the
leader’s responsibility to use the appropriate frame of reference and behavior for each challenge.
Central to this methodology is asking the right questions and diagnosing vital issues. A principal
does not engage in only one frame or a combination of frames but must be able to switch
between frames to provide support for the organization. In essence, the four frames serve as a
means to diagnose an organization by asking the right questions to identify existing challenges
and context and then take appropriate actions to fulfill the mission and vision.
To understand their use, Bolman and Deal (2013) provided three examples of when some
frames might be used. If the organization faces a problem dealing with motivation and
commitment, the leader will likely use the symbolic and human resources frames. If the
organization experiences confusion about priorities and responsibilities, the leader may use the
structural and political frames. If the organization experiences uncertainty and anxiety about the
future, the leader may use the symbolic and political frames. Knowledge of Bolman and Deal’s
(2003) four frames will assist in understanding the findings of this study.
Conceptual Framework
The successful principal is “savvy” and able to shift actions to incorporate the three
specific frameworks: Fullan’s The Principal, Three Keys to Maximizing Impact (2014); the work
of Marzano et al. (2005), School Leadership That Works; and Bolman and Deal’s (2013) four
frames model of leadership. The researcher adopted the conceptual framework, shown in Figure 1,
that describes a successful principal who incorporates the three theoretical frameworks.
School leadership requires a multitude of skills and knowledge in this age of
accountability. The need for effective principals to replace principals who are reaching
PUBLIC SCHOOL DISTRICT PRINCIPALS 62

Figure 1. Conceptual framework for the study. Based on (a) Reframing Organizations: Artistry,
Choice and Leadership (3rd ed.), by L. G. Bolman & T. E. Deal, 2013, San Francisco, CA:
Jossey-Bass; (b) “The Principal: Three Keys to Maximizing Impact, by M. Fullan (2014), New
York, NY: Wiley; and (c) School Leadership That Works: From Research to Results, by R. J.
Marzano, T., Waters, & B. A. McNulty, 2005, Alexandria, VA: Association for Supervision and
Curriculum Development (credited to William Avila).

retirement age, address the rapid turnover of principals, and confront the low incentives for
teachers to move into the leadership position is critical.
The successful principal adopts Fullan’s (2014) suggested posture when reacting to his or
her own successes and failures in the position. The successful principal also develops and
implements strategies based on work by Marzano et al. (2005). By developing and implementing
these strategies, the successful principal focuses the school staff on the nonnegotiable goals that
are collaboratively set. Finally, the successful principal strategically exercises Bolman and
PUBLIC SCHOOL DISTRICT PRINCIPALS 63
Deal’s (2013) four frames with the various relationships that he or she has within the
organization. The use of each frame depends on the circumstances of the various relationships
and the context of the organization. Depending on the situation, successful principals act within
these three theoretical frameworks in unison or in a continuum, depending on the circumstances
and context in which they find themselves. Nonetheless, these theoretical frameworks are critical
for successful principal to utilize.
Chapter Summary
This chapter presented a review of the literature relevant to the study topic to provide a
context for the purpose of the study. Aspiring and successful principals must carefully consider
the historical and current roles that the position has adopted with regard to systematic
improvement for all students. Principals must take proper measures to prepare for, enter, and stay
in the position; and districts must employ appropriate recruitment and retention strategies to keep
effective principals in the position. Successful principals and supportive districts may adopt
theoretical frameworks for the position. Exploring current recruitment strategies, support for
sitting principals, and retention options will provide insight into possible solutions to support site
leaders’ growth and development, expand their influence on student achievement, and support
them to stay in the position.
PUBLIC SCHOOL DISTRICT PRINCIPALS 64
CHAPTER 3: METHODOLOGY
Public school principals work in a difficult professional position that is filled with daily
complex challenges and multiple factors that change often and outside of their control.
Successful California public school principals have experiences in their preparation, recruitment,
and retention that have served to support their ongoing success in the position. This is important
to study because the principal is the second most important factor affecting the success or failure
of a school (Fullan, 2014). The purpose of this study was to examine the preparation,
recruitment, and retention of California K–12 public school district principals. Chapter 2 is 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
considerations, and data analysis.
Research Questions Restated
Research questions are the component of a study that directly links all elements of the
design together (Maxwell, 2013). The research questions are also significant tools that are
developed to shape and provide direction for the study (Agee, 2009). They also identify how to
collect the data in a study (Merriam & Tisdell, 2016). The purpose of this qualitative study was
to examine the preparation and support that principals must have to meet the daily complex
challenges and changing issues outside of their control, as well as the support and retention
efforts that districts must use to keep principals in their leadership role.
The study was guided by the following research questions:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
PUBLIC SCHOOL DISTRICT PRINCIPALS 65
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?
Research Design and Method
Taking into account that a research design must incorporate a plan for organizing data
and producing specific findings, the selection of a particular design is critical to the type of end
product desired (Merriam, 1991). This study utilized a qualitative methods approach that involve
qualitative data in the form of interviews that were collected for analysis (Creswell, 2014).
Studies that use a qualitative approach emphasize exploring and understanding the meaning of a
problem (Creswell, 2014). In addition, qualitative studies may take on a constructivist worldview
that seeks to understand the meaning that people construct of a problem, process, or phenomenon
(Creswell, 2014; Merriam & Tisdell, 2016). The qualitative design of this study helped to
understand the processes of principal preparation, recruitment, and retention through the
participants’ perspectives. Although this study was not a quantitative or a mixed-methods study,
the researcher incorporated quantitative data drawn from survey instruments to support the
study’s themes. By combining and integrating quantitative data with the qualitative themes, a
study can address the research questions from a qualitative perspective with the support of
quantitative data (Creswell, 2014).
Qualitative data were collected in the form of qualitative interviews with California K–12
public school principals, immediate supervisors of principals, human resources administrators,
and superintendents (Johnson & Christensen, 2014; Maxwell, 2013). Interviews provided
evidence through interpretive data that contributed to the findings of this study (Creswell, 2014).
PUBLIC SCHOOL DISTRICT PRINCIPALS 66
These interviews also gave insight into the thoughts, beliefs, knowledge, and motivations of
California K–12 public school principals, immediate supervisors of principals, human resources
administrators, and superintendents with regard to principal preparation, recruitment, and
retention (Johnson & Christensen, 2014). To conduct the interviews, the researcher incorporated
interview protocols tailored to each group to address the research questions (Johnson &
Christensen, 2014; Maxwell, 2013).
The source of quantitative data for this study was surveys containing Likert-type scale
items (Fink, 2013). These surveys were administered to California K–12 public school
principals, immediate supervisors of principals, human resources administrators, and
superintendents. The surveys were used to gain a general measurement of the thoughts, feelings,
attitudes, beliefs, and perceptions of California K–12 public school principals, immediate
supervisors of principals, human resources administrators, and superintendents on principal
preparation, recruitment, and retention (Johnson & Christensen, 2014). It was anticipated that the
results from these various groups would illuminate common and varied perceptions on principal
preparation, recruitment, and retention.
Qualitative interview and quantitative survey data were collected concurrently, analyzed
separately, and used to support the themes to address the research questions (Creswell, 2014).
The use of surveys allowed the research team to collect a large amount of data in a structured
manner to address the research questions (Creswell, 2014). While this study did not utilize a
mixed-methods approach, the use of surveys to collect quantitative data was important to support
the study’s themes. Combining quantitative data within the themes of the qualitative study
provided additional insight to address the research questions through a qualitative lens with the
support of quantitative data (Creswell, 2014).
PUBLIC SCHOOL DISTRICT PRINCIPALS 67
Qualitative interviews are important because they allow the researcher to collect
information that cannot be observed and to understand a participant’s perspective on the
phenomenon being studied (Merriam & Tisdell, 2016; Patton, 2002). Interviews were conducted
to elicit information from participants (Merriam & Tisdell, 2016). According to Weiss (1994),
interviewing gives the researcher access to the observations and experiences of others, which are
both necessary elements for the research questions to be addressed. Interviewing allowed the
researcher to spend time with the participants in their natural environment (Bogdan & Biklen
2007). For this study, interviews were appropriate because the research team was attempting to
understand the experiences and perceptions of principals and district office personnel regarding
the preparation, recruitment, and retention of principals. For the research team to understand the
perception of the participants, the research team needed to script interview questions.
The researchers worked to triangulate connections in the data among the study’s
participants and gain information about the various aspects of principal preparation, recruitment,
and retention (Maxwell, 2013). The triangulation of interview and surveys data from California
K–12 public school principals, immediate supervisors of principals, human resources
administrators, and superintendents increased the credibility and internal validity of this study
(Maxwell, 2013; Merriam & Tisdell, 2016).
The researchers decided that the qualitative approach would aid in understanding the
problem of principal preparation, recruitment, and retention (Creswell, 2014). In summary, the
qualitative approach of this study provided a comprehensive and nuanced understanding of the
research questions (Creswell, 2014).
PUBLIC SCHOOL DISTRICT PRINCIPALS 68
Research Team
This study was conducted by a group of 12 researchers at the University of Southern
California (USC) Rossier School of Education, with Dr. Michael Escalante as the lead researcher
and supervisor of the study. In addition, a committee of USC staff and other mentors supported
the team throughout the course of the study. The research team met on a bi-monthly basis to
receive guidance and instruction, establish research questions, present relevant literature, and
determine the conceptual frameworks that would shape the study. Due to this thematic group
approach, there were some similarities among dissertations; however, the majority of each team
member’s study was individual and distinct. As part of the process where some of the data
collection was done as a group, there were shared comments and information from other
members in the group.
Population and Sample
The purpose of this study was to examine the preparation, recruitment, and retention of
California K–12 public school principals. In order to fulfill the study’s purpose, the researcher
focused on the population of current California K–12 public school principals, immediate
supervisors of principals, human resources administrators, and superintendents. Although the
most accurate findings could be obtained by taking a sample of the entire population of
California K–12 public school principals, immediate supervisors of principals, human resources
administrators, and superintendents, time and financial constraints limited the researchers to
collecting quantitative and qualitative data from a sample of the population of these four groups
(Johnson & Christensen, 2014).
Aligning with the work of Merriam and Tisdell (2016), the researcher must select a
sample from which the most learning can be uncovered, especially when the goal is to discover,
PUBLIC SCHOOL DISTRICT PRINCIPALS 69
understand, and gain insight. The units of analysis for this study were principals, direct
supervisors, human resources personnel, and superintendents in California public K–12 school
districts. A convenient purposeful sample is one that is deliberately selected due to time, money,
location, and availability of participants (Maxwell, 2013; Merriam & Tisdell, 2016). Purposeful
sampling was used in this study to select the participants and the research team collaborated to
determine the population and sample for the study. Patton (2002) indicated that purposeful
sampling allows for in-depth study of the problem. To protect the identity of the participants,
pseudonyms were assigned to school districts and individual participants.
Throughout the spring and summer of 2019, the research team, with Dr. Escalante’s
support, made contact with California K–12 public school district superintendents to identify
potential participants. The team worked with the established contacts to create an interview and
survey pool that would ensure participation from principals and district office personnel.
Although the study incorporated a qualitative method design to collect qualitative data,
the researchers 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 that this study incorporated was the parallel concurrent mixed
sampling design, which signifies that the study drew samples for the qualitative components
during the same time period from different people of the same population (Johnson &
Christensen, 2014).
The qualitative data were drawn from a purposive sampling technique that qualified
participants to be selected to be interviewed (Johnson & Christensen, 2014). The qualitative data
were collected solely by the researcher. Qualitative data, in the form of interviews, were
PUBLIC SCHOOL DISTRICT PRINCIPALS 70
collected by the researcher from six California K–12 public school principals, three immediate
supervisors of principals, three human resources administrators, and three superintendents.
The researcher’s findings were drawn solely from his collected qualitative data and
triangulated with the quantitative data collected by the team of researchers (Merriam & Tisdell,
2016). When appropriate, the findings were compared with the trends in the qualitative
interviews made by the other researchers with their respective California K–12 public school
principals, immediate supervisors of principals, human resources administrators, and
superintendents and with permission from team members and their participants.
Access and Entry
In order to conduct this study, and prior to beginning this study, the research team
obtained permission from the USC Internal Review Board (IRB; #APP-19-00787). The IRB
process ensured that the study would be conducted ethically, that participants would have
sufficient knowledge to make a decision to participate in the study, and that the study would
present no unnecessary risks. To ensure the rights of the participants and avoid an impact on the
participants and to mitigate any personal or professional repercussions, safeguards were put in
place so that each participant’s anonymity and confidentiality could be guaranteed (Glesne,
2011).
When conducting a qualitative study, gaining access to participants is an essential part of
the methods (Merriam & Tisdell, 2016). The gatekeepers to all participants are the participants
themselves (Clark, 2011). In order to conduct the study, the research team gained access to the
locations and participants. Participants gave access by their willingness to participate (Bogdan &
Biklen, 2007). The team of researchers asked permission from participants via a written request
for permission to conduct the surveys (Appendix A). Participants for the qualitative interviews
PUBLIC SCHOOL DISTRICT PRINCIPALS 71
gave informed written consent prior to the start of the interviews (Appendix B). For reliability
purposes, the research team used an audio recording device to capture the data with permission
from the participants. With permission from the qualitative interview participants, an audio
recording device captured the data (Bogdan & Biklen, 2007).
Instrumentation
Members of the research team collaboratively developed the instrumentation for this
study. The team used concepts from the leadership and conceptual frameworks to construct
quantitative and qualitative instruments to collect data to address the research questions. The
research questions guided the content found in the surveys and interview guides. The use of both
types of instruments provided a meaningful approach to understand principal preparation,
recruitment, and retention and addressed the research questions.
Quantitative Instrumentation
Quantitative data were collected via surveys (Fink, 2013). Using survey instruments
(Appendices C, D, E, F) allowed the researchers to gather and share data from a large population
and sample (Weiss, 2014). The surveys were developed using Qualtrics™, a web-based survey
tool available to all doctoral candidates at USC. The surveys were designed to collect data
specifically from California K–12 public school principals, immediate supervisors of principals,
human resources administrators, and superintendents. The surveys were designed collaboratively
by the research team with all participants in mind. The surveys were designed with 4-point
Likert-type scale items to gain the perceptions of California K–12 public school principals,
immediate supervisors of principals, human resources administrators, and superintendents
(Appendices C–F, respectively) about principal preparation, recruitment, and retention while
incorporating the literature review as a lens for the study. Because of the 4-point scale, answers
PUBLIC SCHOOL DISTRICT PRINCIPALS 72
in the survey indicated an opinion of either agree or disagree. Answers were given numerical
values (4 = Strongly Agree, 3 = Agree, 2 = Disagree, 1 = Strongly Disagree). An option with a
numerical value of 0 was also included to indicate Don’t Know. The four surveys were pilot
tested by the four participant groups and modified thereafter by the collaborative research team
to ensure that they were usable and would provide the information necessary to address the
research questions (Fink, 2013). Data collected via these quantitative instruments were analyzed,
compared, and connected to the qualitative data.
Qualitative Instrumentation
The instrument used to collect qualitative data was a qualitative interview protocol
developed by the collaborative research team for each of the participant groups: California K–12
public school principals, immediate supervisors of principals, human resources administrators,
and superintendents (Johnson & Christensen, 2014; Maxwell, 2013; Appendices G–J,
respectively). The purpose of qualitative interviews is to gain in-depth information from the
sample and to address the research questions. Qualitative interviews from the four participation
groups served the purpose of triangulation and connected the qualitative data and quantitative
data (Maxwell, 2013; Merriam & Tisdell, 2016).
The qualitative interview matrix for each respective qualitative participation group was
developed by collaborative research team for the purpose of staying focused and guided during
the limited amount of time available with each participant (Patton, 2002). The interview matrix
facilitated a standardized, open-ended interview with each participant so that each participant
was asked the same questions in the same order as the other participants (Patton, 2002).
Variations in questions occurred when the researcher asked probing questions or follow-up
questions to develop a participant’s responses. Use of an open-ended interview guide reduced
PUBLIC SCHOOL DISTRICT PRINCIPALS 73
variations for participants interviewed by the researcher and by the team of 12 researchers
(Patton, 2002). The questions were designed to explore the preparation, recruitment, and
retention experiences as they related to remaining in the critical role of principal.
Data Collection
Data were collected via quantitative surveys and qualitative interviews from California
K–12 public school principals, immediate supervisors of principals, human resources
administrators, and superintendents (Johnson & Christensen, 2014). Quantitative survey data
were captured using the Qualtrics™ survey service. Once the window for receiving data closed,
a date that was agreed on by the research team, the group of 12 researchers analyzed quantitative
data and identified trends in survey items where the majority of participants responded similarly;
the team mainly used the mode of the data (Kurpius & Stafford, 2006).
An important part of developing rapport in the study is making the interviews convenient
for participants (Bogdan & Biklen, 2007). The interview was arranged with each participant at a
time that was most convenient for the interviewee. Prior to the start of each interview, the
participant signed informed consent. Merriam and Tisdell (2016) recommended recording
interviews so the information can be preserved for analysis at a later time. Each participant was
requested to give permission for the use of an audio recording device prior to the start of the
interview (Weiss, 1994). The researcher chose to capture an audio recording in order to attend to
the participant more than attending to taking notes. However, the researcher was also intentional
in collecting descriptive and reflective field notes that captured the participant’s responses in
reference to the research questions (Bogdan & Biklen, 2007). The researcher followed the
standard open-ended interview protocol with predefined questions that were sequenced and
organized to identify patterns in responses and allow the researcher to be efficient with the
PUBLIC SCHOOL DISTRICT PRINCIPALS 74
participant’s time (Patton, 2002). After the interviews were completed, the researcher
memorialized the audio recordings through transcription (Bogdan & Biklen, 2007; Weiss, 1994).
Interviews took 30 to 45 minutes to complete, with only one interview per participant.
When obtaining informed consent, the participant was informed that he or she could pause or
stop at any time during the interview. Finally, for the sake of the participant’s comfort and
freedom during the interviews, the location of the interview was arranged at the venue that the
participant preferred (Weiss, 1994). The research team anticipated that these data collection
choices would enhance the findings to address the study’s research questions.
Data Analysis
Once both quantitative and qualitative data were collected, the researcher made the
following efforts to draw findings from each source of data. For quantitative data from Likert-
type scale items, a statistical analysis was executed to identify measures of central tendency,
common trends, and competing perspectives within the sample (Kurpius & Stafford, 2006).
Qualitative data were transcribed and imported into computer-assisted qualitative data analysis
software, where they were coded and analyzed (Harding, 2013). Using the constant comparative
method, the researcher identified themes in the qualitative data to address the research questions
(Merriam & Tisdell, 2016). The researcher used open and axial coding to identify emergent
themes from the data. Thereafter, quantitative and qualitative data were analyzed through a side-
by-side comparison by using the Question Alignment Matrix (Appendix K). Emerging findings
from qualitative data were triangulated between qualitative interview participants and the
quantitative survey results with sources from the literature review and, when applicable, with
data from the participants of the other researchers on the team (Merriam & Tisdell, 2016). The
researcher is confident that this data analysis approach addressed the research questions.
PUBLIC SCHOOL DISTRICT PRINCIPALS 75
Credibility and Trustworthiness
In order to maintain credibility and trustworthiness, the research team first checked their
own affect and biases when analyzing the data. Miles, Huberman, and Saldaña (2014) stated that
personal bias can skew a researcher’s ability to represent and present fieldwork and complete
data analysis in a trustworthy manner. A researcher’s affect can have a profound influence on the
quality and amount of collected data (Mile et al., 2014). To maintain credibility and
trustworthiness, the research team continually revisited the survey data and interview transcripts
to ensure that the perspectives of the participants were understood and that the researcher did not
interject personal thoughts, ideas, or experiences.
Another way to maintain credibility and trustworthiness in this study was through
triangulation. Triangulation refers to collecting information from multiple participants in a
variety of settings (Maxwell, 2013). Triangulation was used to examine the consistencies among
the literature, survey data, and interview transcripts. Utilizing triangulation allowed the research
team to collect data from multiple participants, with different perspectives to determine whether
the evidence was found in multiple settings. Maxwell (2013) recommended using this strategy to
reduce the risk of personal biases and confirm emerging findings.
Ethical Considerations
Ethical considerations must be made by the researcher of any study; during any
qualitative data collection and analysis, ethical dilemmas are expected to happen (Merriam &
Tisdell, 2016). Any researcher should make rigorous plans to ensure full, honest, and ethical
findings to the study (Merriam & Tisdell, 2016). The validity and reliability of a study are
dependent on the credibility and ethics of the researcher (Merriam & Tisdell, 2016). To ensure
PUBLIC SCHOOL DISTRICT PRINCIPALS 76
the rights of the participants and to maintain the integrity of the study, the researcher put the
following safeguards into place.
Initially, to address the ethical considerations of the study, all members of the research
team participated in the Collaborative IRB Training Initiative (CITI). This is an online process
that trains researchers on how to consider the ethical implications of research. Next, the research
team sought USC IRB approval prior to collecting any data for the study (Glesne, 2011). Next,
the researcher empowered the research participants through informed consent so that participants
were aware that participation was voluntary, that any aspects of the research might affect their
well-being, and that they could choose to stop participation at any point of the study (Glesne,
2011). This informed consent was required from each participant prior to survey distribution and
at the beginning of each interview (Merriam & Tisdell, 2016). Because the data collection and
communicated findings might affect the professional outcomes of the participants, the researcher
made each participant anonymous and confidential in this study (Glesne, 2011). Data collected
via the Internet were managed and protected by the researcher by taking every measure
necessary to ensure that data collection and dissemination were done in a strictly secure manner
(Glesne, 2011; Merriam & Tisdell, 2016). All computerized data were maintained securely by
the researchers for 2 years from the date of the study’s publication. The goal of the researcher
was to maintain the integrity of the study and the privacy of the participants.
Chapter Summary
This chapter described the process that the research team employed to guide this
qualitative study to address the research questions. The study was designed to understand
principal preparation, recruitment, and retention through a qualitative methods approach.
PUBLIC SCHOOL DISTRICT PRINCIPALS 77
Maxwell (2013) stated that the researcher should use triangulation to examine
consistencies in the collected data. In this study, the literature review, surveys, and interviews
provided the researcher an opportunity to triangulate the data to analyze the preparation,
recruitment, and retention of California K–12 public school principals to address the research
questions. Data were analyzed both statistically and analytically to uncover emerging findings.
PUBLIC SCHOOL DISTRICT PRINCIPALS 78
CHAPTER 4: RESEARCH RESULTS
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California K–12 public school principals. Considering that the role of the principal is
critical to student achievement, it is important to identify the preparation, supports, skills and
relationships that principals need in order to meet the challenges and complexities of the
principalship (Waters & Marzano, 2006). According to Fullan (2014) and Leithwood et al.
(2004), while the most significant direct influence on student achievement is the teacher, the
second most critical influence is the principal. This chapter presents the results of analysis of the
data collected by the researcher and presents the findings as they relate to the research questions.
Qualitative interviews were conducted by the researcher in three southern California school
districts. In each district, interviews were conducted with the superintendent, one human
resources person, at least one direct supervisor of principals, and at least three school site
principals. In addition, the researcher was part of a 12-person research team. Surveys were
conducted with each person interviewed, and in some cases, with additional principals from the
same public school districts. The responses to the research questions were formulated through
triangulation of the research literature, survey responses, and interview responses. Triangulating
the data improved the reliability of the themes (Merriam & Tisdell, 2016). The questions for the
surveys and the interviews were aligned to the following three research questions:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
PUBLIC SCHOOL DISTRICT PRINCIPALS 79
3. What are the perceived strategies that support the retention of principals?
This study was conducted in southern California public schools with an emphasis on
qualitative interviews with 10 district representatives, including three superintendents, three
human resources personnel, and four district personnel who are direct supervisors of site
principals. In addition, 12 principals were interviewed to gain their perspective in relation to the
research questions. The researcher utilized a qualitative approach with interviews (Creswell,
2014). The interview guides (Appendices G, H, I, and J) provided a format to administer a
structured interview with all participants. Quantitative survey questions were connected to
qualitative interview questions by use of the Question Alignment Matrix (Appendix K) to
support each emergent theme. In addition, quantitative survey data were collected and used to
support and reinforce the identified themes.
Purpose of the Study
This qualitative study serves to inform multiple stakeholders. Aspiring principals will be
informed on the preparation, skills, and relationships that will support their transition to the role
of the principal. Superintendents and Assistant Superintendents of Human Resources will gain
insights that help them to recruit better candidates into the principalship and to maintain a
positive relationship with their current principal team. Universities and nonuniversity training
programs will be informed on the impact that their programs make on training principals. The
study will also inform current principals about the perceived skills needed to achieve success and
longevity in the principal position. It is important to identify the preparation and support that
principals must have to meet the challenges and complexities of the principalship, as well as the
support and retention efforts that districts must use to keep principals in this crucial role.
PUBLIC SCHOOL DISTRICT PRINCIPALS 80
Participants and Response Rate
Upon IRB approval, the team of 12 researchers interviewed 37 superintendents, 37
human resource personnel, 38 immediate supervisors of principals, and 56 public school
principals. However, in this study, the researcher focused on reporting data based on interviews
with superintendents, assistant superintendents, immediate supervisors of principals, and
principals who had experience as administrators in public school districts at each of the three
levels: elementary school, middle school, and high school. This study examines the perceptions
held by superintendents, assistant superintendents, immediate supervisors of principals, and
principals regarding preparation, recruitment, and retention of principals in public schools. The
demographic data collected from survey participants included basic information that identified
the personal and school district information. Personal data gathered from the survey included
gender, ethnicity, age range, highest degree earned, university with which participant identified
professionally, years in the education profession, years in the current role, whether the
participant was promoted from within the organization or from outside the organization, prior
experience in education, salary amount, and school site student enrolment.
Study Participants
Qualitative Interview Participants
The researcher gathered qualitative data from 22 participants from three public school
districts. Three were superintendents, three were assistant superintendents, four were immediate
supervisors of principals, and 12 were school principals (three elementary schools, three
middle/junior high schools, and two comprehensive high schools). Table 2 shows the
organizations/positions of the participants who were involved in the qualitative interviews.
PUBLIC SCHOOL DISTRICT PRINCIPALS 81
Table 2

Organizations/Positions of Interview Participants

Organization Position

District NA Superintendent
Assistant Superintendent of Human Resources
Immediate Supervisor of Principals (Asst. Supt. of Ed. Services) 1
Immediate Supervisor of Principals (Director of Ed. Services) 2
Principal A1– Comprehensive High School
Principal A2 – Junior High School
Principal A3 – Elementary School
Principal A4 – Junior High School

District NB Superintendent
Assistant Superintendent of Human Resources
Immediate Supervisor of Principals (Asst. Supt. of Ed. Services)
Principal B1 – Elementary School
Principal B2 – Elementary School
Principal B3 – Comprehensive High School
Principal B4 – Middle School

District NC Superintendent
Assistant Superintendent of Human Resources
Immediate Supervisor of Principals (Asst. Supt. of Ed. Services)
Principal C1 – Elementary School
Principal C2 – Elementary School
Principal C3 – Elementary School
Principal C4 – Elementary School

Note. Pseudonyms for school districts and participants were assigned by the researcher.

District NA is a suburban district in Sun Barbarino County (pseudonym) in southern
California with a K–12 student enrollment of about 30,000 students in 36 schools. The district
has about 43% of students identified as socioeconomically disadvantaged and a student
population that is about 57% Latino, 11% identified as English Learners, and 13% in special
education. Superintendent NA had a mostly traditional career pathway to the superintendency,
starting as a classroom teacher before entering School District NA as a director 11 years ago and
PUBLIC SCHOOL DISTRICT PRINCIPALS 82
progressing through the ranks. He has been in his superintendent seat for 18 months. HRA1,
ISA1, and ISA2 all spent their entire administrative careers in school district NA and followed
traditional pathways to their current positions. They have been in their current position for 18
months. Principal NA1 is the only principal who was hired as an assistant principal from outside
District NA, has been in his current position as principal for less than 1 year, and was the only
one holding a doctoral degree. The other three interviewed principals started as teachers, became
assistant principals, and were now principals in District NA. Principal NA2 has been in his
current position as principal for 4 years. Principal NA3 has been in his current position as
principal for 1 year. Principal NA4 has been in his current position as principal for 4 years. The
mission of District NA is to provide all students with a rigorous and relevant education in a safe
learning environment.
District NB is a suburban district in Las Anjone County (pseudonym) in southern
California with a K–12 student enrollment of about 7,600 students in 9 schools. The district has
about 53% of students identified as socioeconomically disadvantaged and a student population
that is about 41% Latino, 6% identified as English Learners, and 13% in special education.
Superintendent NB had a mostly traditional career pathway to the superintendency, starting as a
classroom teacher before entering District NB as a superintendent about 10 years ago. HRB1
started as a classroom teacher before entering District NB as a director about 15 years ago and
has been in his current position for 10 years. ISB1 started as a classroom teacher before entering
District NB as a director about 13 years ago and has been in her current position for the past 8
years. Two of the four interviewed principals started as students in District NB, then became
classroom aides, teachers, assistant principals, and now principals at the schools that they had
attended as students. Principal NB1 has been in her current position as principal for 20 years at
PUBLIC SCHOOL DISTRICT PRINCIPALS 83
the same school. Principal NB3 has been in his current position as principal for 10 years at the
same school. Principal NB2 was hired in a lateral move as a principal from outside District NB
and has been in her current position as principal for 7 years; she is the only one holding a
doctoral degree. Principal NB4 has been in her current position as principal for 4 years and was
hired from a coordinator position from a different district. She is currently working on a doctoral
degree. The mission of District NB is to equip students with knowledge, skills, and character to
succeed in college, career, and life in an ever-changing global society.
District NC is a rural district in Las Anjone County (pseudonym) in southern California
with a K–6 student enrollment of about 6,600 students in 10 schools. The district has about 39%
of students identified as socioeconomically disadvantaged and a student population that is about
48% Latino, 23% identified as English Learners, and 14% in special education. Superintendent
NC had a mostly traditional career pathway to the superintendency, starting as a classroom
teacher before entering District NB as an assistant superintendent about 5 years ago from out of
state; he has been in his current role as superintendent for 18 months. HRC1 started as a
classroom teacher before entering District NB as a director about 3 years ago and has been in her
current position for the past 18 months. ISC1 started as a principal in District NC about 5 years
ago and has been in her current position for the past 18 months. Two of the four interviewed
principals started as students in District NC, then became teachers, assistant principals, and now
principals. Principal NC1 has been in his current position as principal for 14 years and moved
from the Los Angeles County Office of Education as a coordinator to become a principal in
District NC. Principal NC2 has been in his current position as principal for 11 years; he moved
through the ranks to be the principal of a school that he attended as a student. Principal NC3 has
been in her current position as principal for 2 years and moved through the ranks to serve as
PUBLIC SCHOOL DISTRICT PRINCIPALS 84
principal of a school that she attended as a student. Principal NC4 has been in her current
position as principal for 4 years and was hired as a teacher from another district 6 years prior to
starting her role as a principal. The mission of District NC is that students will become global
citizens who think critically, solve problems, persevere, embrace diversity in people and
viewpoints, and have a passion for learning and the arts. There is much diversity of pathways and
experience in each district in which the interviews were conducted.
Quantitative Survey Participants
The researcher worked with a team of 12 researchers to gather quantitative survey data
from 37 public school districts in southern California. The team of researchers surveyed four
groups: superintendents, administrators of human resources, direct supervisors of principals, and
school site principals. Survey questions were developed, distributed, and analyzed by the team.
The survey was distributed to 854 participants. The participants were asked to complete a survey
delivered digitally using Qualtrics software. The total number of participants who completed the
entire survey was 184. A total of 21 superintendents, 22 administrators of human resources, 28
immediate supervisors of principals, and 113 K–12 principals returned completed surveys. The
total number of participants who completed the survey was 184 of 854, for a 22% response rate.
Table 3 shows the organizations/positions of a participants who completed the quantitative
surveys.
Findings for Research Question 1
To understand how training programs and experience prepared principals, Research
Question 1 asked, “How have training programs and professional experiences prepared
principals to manage the complexities and challenges of the principalship?” Traditionally,
training programs, including university programs, nonuniversity programs, and certification
PUBLIC SCHOOL DISTRICT PRINCIPALS 85
Table 3

Organizations/Positions of Survey Respondents

Superintendents Human Resources Supervisors Principals

Surveys distributed 37 41 68 708
Response sets 21 22 28 113
Response rate (%) 57 54 41 16

programs, have been utilized by prospective principals to prepare for the principalship. The
literature showed that university program curricula should reflect the shift in responsibilities of
the principalship and provide practical application opportunities, as well as field experience, as
part of the coursework (Brown, 2011; Hess & Kelly, 2007; Service et al., 2016; Styron &
LeMire, 2011). Principal preparation programs currently focus on theoretical coursework for
future leaders and include minimal practical application. University programs should offer
changes in coursework, including refocusing the nature of the curricula, updating teaching and
learning strategies, increasing opportunities for practice, and expanding clinical experiences
(Davis & Darling-Hammond, 2012).
The principalship is a complex and challenging position in which daily interactions and
problems can go beyond the scope of what is learned in the formal trainings provided. The
position requires someone to be highly successful in order to improve student achievement and
be an effective leader and manager. The analysis of data in this study revealed three themes on
how training programs and experience prepared principals: (a) OJT as a teacher leader and prior
administrative experience, including committee work, were perceived as preparation to manage
PUBLIC SCHOOL DISTRICT PRINCIPALS 86
the challenges and complexities of the principalship; (b) having at least one mentor and/or role
model and access to both formal and informal networks prepares aspiring principals for the
challenges and complexities of the principalship; and (c) working hard, being an effective
instructional leader, becoming known, developing good relationships with peers, community,
and supervisors, and building trust networks prepares aspiring principals for the challenges and
complexities of the principalship.
On-the-Job Training and Prior Administrative Experiences
Principal preparation is a critical component in preparing effective future leaders who are
responsible for managing and leading schools. While university programs have a significant role
in preparing future principals with academic knowledge, the data collected as part of this
study indicated that prior experience gained from OJT and prior administrative opportunities was
a much more effective way of preparing principals.
This study confirmed the theme of the importance of OJT and prior administrative
opportunities as found in the literature that recommended hiring less-experienced candidates who
may need additional preparation on the job but would be farther from retirement, allowing for
more years in the position (Pijanowski et al., 2009). Also, future candidates should be willing to
assume leadership roles at the school site while in current positions in order to gain depth and
become stronger candidates for future administrative positions (Pijanowski et al., 2009). This
allows district leadership to groom young emerging leaders into strong transformational leaders
to meet the needs of the district and specific school sites and to ensure longevity in the position
(Pijanowski et al., 2009). Normore (2006) suggested that school leaders be identified early in
their careers and mentored into leadership positions, with current school leaders being proactive
in identifying prospective future leaders who fit their needs and who are committed to
PUBLIC SCHOOL DISTRICT PRINCIPALS 87
improvement of education. Educators who are encouraged to enter leadership positions earlier in
their careers have more time to spend as principals prior to retiring (Gajda & Militello, 2008).
Superintendent NA changed the entire administrative onboarding process when he moved
from human resources to the role of superintendent:
When I was the assistant superintendent of HR, I would sit on assistant principal, and
principal interviews and would always notice that the outside [of the district] applicants
seemed to blow our inside applicants away. So, one of the things I immediately integrated
when I became superintendent was to start an administrative academy to help really
recruit and prepare our assistant principals to be principals, and also as a way to train
future administrators to become assistant principals in our district. We even created an
application process and then the current principals were given the opportunity to shadow
and mentor future potential candidates and all the district departments did some piece of
the training to prepare them for the job. Then we actively recruited highly effective
teachers and started their pipeline after their first year of successful teaching. (interview,
August 1, 2019)
As part of the qualitative interview process, 22 participants noted that OJT was a critical
element and served as a better form of principal preparation than traditional principal preparation
programs:
[We] implemented assistant principal positions at all school sites, including elementary
schools, to allow for a training ground for future principals. This allowed us to really
recruit and train our future principals. We needed to be explicit and direct in exactly what
professional learning they were given with a laser-like focus. We did not want to leave
any of the training to chance or any of the difficult scenarios to second-guessing. We
PUBLIC SCHOOL DISTRICT PRINCIPALS 88
used a Professional Learning Community focus and invested time in them. I believe it is
essential that a district should be responsible for preparing current and future principals
and train them on more than just FRISK and other management responsibilities. We need
to build leaders if we want them to succeed. (Superintendent NA, interview, August 1,
2019)
Prior on-the-job experience supports development of essential skill sets that are critical
for administrative preparation. As one immediate supervisor of principals noted,
all of them have been teachers and highly successful teachers and were performing
pseudo-administrative tasks while a teacher. They were involved in multiple districtwide
initiatives and very instrumental on-site and district-level committees and often led
professional development for their peers. Many of them served as administrative
designee for their site and participated in a lot of meetings. I find that having
these experiences and being “home-grown” made them a successful assistant principal.
(Immediate Supervisor NB, interview, August 27, 2019)
These on-the-job experiences provided future principals with a solid base of knowledge
once they were in the principal position:
All of our principals have been effective teachers and are required to attend CEL [Center
for Educational Leadership] teacher training prior to applying for an administrator
position and I think that is an essential piece of their success. That’s an important piece
for their experience and their track record. Outside of being a great teacher, it is essential
they get seat time in many different roles and experiences that take them outside of the
classroom and allow them to see a better-quality picture or what school is about beyond
the students. From leading a club, running a committee, serving on school site council,
PUBLIC SCHOOL DISTRICT PRINCIPALS 89
and getting some basic experiences where they’re responsible for working with
other adults, learning how to handle politics with other adults and be creative and flexible
in working with adults. This is where most administrators struggle, so they must get a
grasp on it prior to getting the position and build experiences working with difficult
adults. They are comfortable with difficult students and the occasional difficult parent,
but not with peers or adults that push back against change. And I think if they’ve had that
experience already, that should be a part of their required kind of set of experiences
leading to a principalship. (Assistant Superintendent NC, interview, August 14, 2019)
These on-the-job experiences provided potential administrators with a real view of the
differences between being a teacher and being a site administrator. As the high school principal
from District NA noted that
there were some pretty clear support pieces in place, not just along the way but as
checkpoints as well for me as a teacher. So, as I got more involved and started to have
hands-on experiences, whether it was through being on committees, or shadowing other
administrators, there was always something to learn that could clarify the process that a
principal or an administrator might go through. I felt like I got a really good learning
experience with my on-the-job training as a teacher. I don’t know that I would’ve gotten
the same experience out of it or the same results out of it if I had relied on just my classes
as I went through my master’s program. Ironically, I got into education because I didn’t
want to be around politics and then got into education and found out I dove smack in the
middle of politics, which was somewhat unfortunate, and I struggled with it. My principal
at the time suggested I work on that if I wanted to ever be an administrator one day. I
immediately joined two different committees within the district. One was the Common
PUBLIC SCHOOL DISTRICT PRINCIPALS 90
Core committee when that was starting to roll out, and I started doing presentations to
staff as part of the district committee over the summer. That summer I did that on my
own time, and 3 months later, I was appointed to an assistant principal’s position. So, I
think understanding the dynamics of the politics involved and the strategy of aligning
yourself for the opportunity benefited me as a teacher and helped me get my first admin
position. (interview, August 1, 2019)
In addition to the qualitative interviews, the quantitative survey data supported the
common theme of the importance of OJT and prior experience supporting principal
preparation. According to the responses to the survey, 100% of superintendents, 90.91% of
human resources administrators, and 82.14% of immediate supervisors of principals strongly
agreed or agreed with the statement, “Prior work experience was more important than university
training experience in preparing principals for their current positions.” However, the percentage
decreased for current principals, as 76.99% of principals strongly agreed or agreed with the
statement, “My prior work experience was more important than my university training
experience in preparing me for my position as a principal.”
An additional indicator from the survey was that 95.24% of superintendents, 95.46% of
human resources administrators, and 96.43% of immediate supervisors of principals strongly
agreed or agreed with the statement, “Having experience as a teacher leader was a crucial for
preparing principals for the current positions.” The percentage increased for current principals, as
98.23% of principals strongly agreed or agreed with the statement, “Having experience as a
teacher leader was a crucial element in preparing me for my position as a principal.” The
quantitative data reinforces the importance of prior work experience and teacher leadership in
principals to manage the complexities and challenges of the principalship.
PUBLIC SCHOOL DISTRICT PRINCIPALS 91
Mentors, Role Models and Access to Formal and Informal Networks
Having positive mentors and/or role models, along with utilizing formal and informal
educational networks, provides added support in the preparation of principals. This theme
emerged from the qualitative interviews and surveys. This data confirmed the theme of the
importance of mentors as found in the literature, which states that support for current principals,
including networking, mentoring, and coaching, have contributed to most principals’ ongoing
stability and retention in the position (Brown, 2011; Matthews & Crow, 2003; Service et al.,
2016). It is important to mentor and coach educators who show an interest in or potential to
become principals (Daresh, 2004). Mentoring and coaching play a critical role for success;
aspiring and novice principals must consider the right qualities in and sources of mentors with
respect to support in execution of the position (Alsbury & Hackmann, 2006). Mentoring and
coaching have gained increased credibility in the field of educational leadership as support and
development strategies for administrators (Atherton, 2018). The benefits of mentoring and
coaching include better relationships with colleagues, increased job satisfaction, greater
organizational commitment, and improvement of employee retention (“Mentoring and Coaching
Help Employees Grow,” 2001). Coaches and mentors are experienced persons who serve as
active listeners, supporters, and motivators for the protégé and build useful communication
channels to continue professional growth. This allows for new knowledge and a system of
personal support and increased self-confidence as a role model for successful practice (Winter &
Sweeney, 1994).
This theme appeared consistently across all 22 interviews. During the study of District
NA, all eight interviewees spoke to the exact same process in assigning mentors to future
PUBLIC SCHOOL DISTRICT PRINCIPALS 92
principals at the teacher level and assistant principal levels and establishment of formal and
informal networks to build on the support that the mentors provide.
I also feel that probably the most important aspect of how to develop better principals is
to ensure that assistant principals are mentored by a good principal that does not share the
same strengths as them. The same goes for teachers who aspire to be future
administrators. Part of personnel growth is connecting with other people. So, the focused
and specific professional mentor partnerships we create helps in developing a true
pipeline program. In order for a teacher to become an assistant principal, we pair them
with an assistant principal for at least 2 years in a row, but each year is a different
experience. So, in Year 1 they get mentor Assistant Principal A, and in Year 2 they get
mentor Assistant Principal B; somebody completely different, with different strengths
and a different school environment. In order for an assistant principal to become a
principal, we pair them with a principal for at least 2 years in a row, but each year is also
a different experience. Again, in Year 1 they get mentor Principal C, and in Year 2, they
get mentor Principal D. So, if they start as a teacher, it is a 4-year journey with four
different mentors, who give them four different experiences before they get the chance at
applying for a principal position. We screen and pair candidates very strategically to help
fill in gaps that we feel they have and so far we have had over a dozen successful teachers
go through this process and become highly effective principals. We feel the time we
invest in mentoring them and providing them with role models will pay off to our
advantage when they become the leader of a school. (Superintendent NA, interview,
August 1, 2019)
Principal A2 commented:
PUBLIC SCHOOL DISTRICT PRINCIPALS 93
I had the opportunity to learn from two different principals that had different approaches.
One allowed me to master your traditional assistant principal responsibilities and handled
the day-to-day operations. While on the other hand, another one allowed me to have more
oversight and provided me with more change agent opportunities based on some cultural
things that were happening. In just 2 years I was able to make some pretty big changes in
how I was as a leader and have difficult and some courageous conversations. The first
principal kept me in a box and taught me management and the second did not even see a
box and helped me build other strengths. They wanted me to be able to develop other
areas that I was not strong in and get outside of my comfort zone. I was really blessed to
have been formally paired this way and combined with informal ongoing collaboration
with other assistant principals, I was able to gain wisdom and insight from their
experience as well. My first year as an AP [assistant principal], I was very blessed to
work with an experienced AP, which was a huge technical and emotional support. I
gained more wisdom and insight and affirmation from my relationship with my fellow
AP than I did from my first principal. (interview, August 1, 2019)
Principal B2 commented,
I think it’s the mentor relationship. I think really the key relationship for a teacher is to
have a role model that becomes your mentor. If you talk to principals, you often hear
about that person who said, “I see this in you and let me give you opportunities to kind of
dabble in it. I think you have the skill set.” So, I really believe that the pipeline starts
there. I think it’s important to let people know what you see as far as skill set and
leadership skill set and encourage them. (interview, August 27, 2019)
Principal C1 commented:
PUBLIC SCHOOL DISTRICT PRINCIPALS 94
So early on I had a colleague principal who really took on the role of mentoring. It was
nothing formal, nothing prescribed by the district the way it is now. And really, having
that connection really helps. It gives you a place to go before going to the assistant
superintendent to ask questions. Someone to bounce ideas off and learn from. (interview,
August 14, 2019)
The idea of aspiring principals learning from and being paired with successful mentors
and guiding role models was echoed by Superintendent NB:
The best training you can have is having somebody that you work under who is an
excellent leader. Developing long-term partnerships allows your teacher leaders or
assistant principals to receive support and guidance from mentors and help prepare them
to get to the next level. My mentor, who was the principal that I worked for as an
instructional dean, was an incredible principal, and I learned a lot from her. I have been
fortunate to have many positive mentors that have done the positions that I aspired to and
that have taken me on as a project and now I get to do the same thing for others who are
working towards the next level. (interview, August 27, 2019)
Many interviewees spoke about informal and formal networks from ACSA and the
Center for Educational Leadership (CEL) to associations of universities such as USC, where
social connections can be used to build capacity as a future principal.
Formal and informal networks are hugely important, starting with our newer principals
getting together with more veteran principals. The hanging out thing, what are you doing
about this call? I mean, those sorts of connections are huge. I think it’s an interesting
thing that we’re talking. I’m not so sure that as a district, we have purposely nurtured
those relationships. They’ve developed on their own, which we’re thrilled with. So
PUBLIC SCHOOL DISTRICT PRINCIPALS 95
maybe that’s just a way, maybe that just happens naturally, the way we were set up. It’s
interesting to reflect upon. What can we do as a district that would help them find some
time to be together as a group or without administrators there over a beer or coffee or
even in the after-hours of a conference? (Superintendent NB, interview, August 27, 2019)
Assistant Superintendent of District NC shared:
I think ACSA is a good professional organization that supports principals, and whether it
is principals as a principal or assistant principals moving up into a principal position , I
think ACSA is an important network to belong to. I think it’s a good networking
opportunity for all future and current administrators. I think, knowing who people are
outside of your district is essential. In a small district, it’s a lot harder to have a big group
of people that you can rely on. With networking events through ACSA, and remaining in
contact with people that you went through a program with, it is easy to pick up the phone
and say, “Hey, two other principals, can we meet for breakfast? I want to pick your brain
on something.” I think those are the networks that are the most successful, and create the
most opportunities for learning and growth (interview, August 14, 2019)
In addition to the qualitative interviews, the quantitative survey data supported the theme
of the importance of mentoring for principal preparation. According to the responses from the
survey, 95.24% of superintendents, 95.46% of human resources administrators, and 92.86% of
immediate supervisors of principals strongly agreed or agreed with the statement, “Having a
mentor was important in preparing my principals for their positions.” The percentage increased
when principals responded to the question, as 99.11% strongly agreed or agreed with the
statement, “Having mentors was instrumental in preparing me for my position as a principal.”
The importance of mentoring for aspiring principals was evident in the qualitative data and
PUBLIC SCHOOL DISTRICT PRINCIPALS 96
confirmed by the survey data. In addition to mentoring, informal networks supported the
preparation of principals.
An additional indicator from the quantitative survey data supported the theme of the
importance of formal and informal networks as critical to principal preparation. According to
the responses to the survey, 100% of superintendents, 100% of human resources administrators,
and 96.43% of immediate supervisors of principals strongly agreed or agreed with the statement,
“Informal and formal networks (e.g. professional colleagues) were important in preparing
principals for their current positions.” Among principals, 99.12% strongly agreed or agreed with
the statement, “Informal and formal networks of support (such as professional colleagues) were
important in preparing me for my position as a principal.” Having informal and networks of
support was a crucial element in preparing aspiring principals for the principalship.
Being a Hardworking Effective Instructional Leader, Developing Good Relationships, and
Building Trust Networks
Being a hardworking effective instructional leader as a teacher and building trust
networks by developing positive relationships with peers and supervisors are essential in the
preparation of principals. This theme emerged from the qualitative interviews and surveys. This
study confirmed the importance of being an effective instructional leader as a teacher,
developing good relationships, and building trust networks, as found in the literature that stated
that principals have to manage the complexities of working with, mentoring, and maintaining an
ongoing positive relationship with staff (Adams, 1999; Byrd et al., 2006; Darling-Hammond,
2003; DuFour & DuFour, 2013). Goleman et al. (2002) claimed that emotionally intelligent
leaders and emotionally intelligent organizations are essential in complex times. They identified
18 competencies in four domains: self-awareness, self-management, social awareness, and
PUBLIC SCHOOL DISTRICT PRINCIPALS 97
relationship management. Emotionally intelligent leaders are aware of their own emotional
makeup, are sensitive and inspiring to others, and are able to deal with day-to-day problems as
they work on more fundamental changes in the culture of the organization (Fullan, 2002). It is
clear that having so-called “soft skills” or “essential skills” allows the principal to build
relationships, to be a lead learner alongside the staff, and to have strong managerial skills, all of
which are necessary to lead in a time of change (Cerit, 2009; Fullan, 2014; Lowe et al., 1996;
Waters et al., 2003). The principal of the future must be much more attuned to the “big picture”
and much more sophisticated at conceptual thinking and transforming the organization through
people and teams (Fullan, 2002). Marzano et al. (2005) conducted a meta-analysis of 35 years of
research and concluded that effective school leadership has a “substantial effect on student
achievement and can provide guidance for all principals” (p. 12). Marzano et al. (2005)
identified 21 responsibilities of the school leader that directly align with student academic
achievement. For example, situational awareness, building relationships, and clear
communication are essential aspects of a successful principal. All of these attributes encompass
the critical component of effective leaders building not only their own knowledge but the
knowledge that they must infuse throughout the organization to achieve academic success
(Muhammed & Cruz, 2019). The foundation for this aspect of being prepared to become a
principal is developing peer and supervisor relationships and building ongoing trust networks.
This theme appeared consistently across all 22 interviews.
Principal A2 in District NA commented that
in this district, I truly feel like they value you as an instructional leader. They offer you
the opportunity to grow as a professional. They support you in that growth. They’re
encouraging, caring. It’s a very family feel, and that is the best way I could put it. They
PUBLIC SCHOOL DISTRICT PRINCIPALS 98
focus on relationships and building effective leaders that are the hardest-working people
in the room. I am a relationship person, and this district is led by people that believe in
the same philosophy. We trust each other and since I came to this district as a teacher, it
has always been about the relationships I built with people along the way. I would lean
on them for guidance and support and counseling. There were more personal professional
relationships that I relied on rather than appointed professional relationships. I know
people, and I know I can talk to people if something’s not going right; that makes things
less intimidating. (interview, August 1, 2019)
As an immediate supervisor of principals from District NC noted that
over the last 4 years, as we began to focus in on the development of principal as leader,
not as manager, I would say they have focused on developing relationships and
developing trust networks. Our assistant principals have had the same opportunity to
engage in that essential work and therefore that will be the pathway they’ve follow to
prepare them for the principalship. (interview, August 14, 2019)
Principal C3 in District NC commented,
Being a leader really, to me, is about investing in the people you have around you. If you
do that and you do a good job of that, your workload becomes so much easier and less
stressful for you. I go out of my way to make sure I get to know everyone. If I want to do
anything with change, I want my instructional leadership team that I have built
strategically. I have four teacher leaders across the grade levels that are hand selected by
my assistant principal and myself. We didn’t want every single one of those teachers
being the strongest, strongest teacher. We wanted some to come along and learn with the
strongest, and I think we’ve achieved that. It’s not a “me” or a “Diane and I.” It’s a “we,”
PUBLIC SCHOOL DISTRICT PRINCIPALS 99
as a site. If you ever watch us work together as a team, I don’t stand up and deliver
everything. I’ll chime in every once in a while. But I have four teacher leaders that lead
that work, have built relationships and developed trust networks and the rest of the staff
buy into that work. This is how we prepare our future leaders to be successful. (interview,
August 14, 2019)
Consistent with the concept, Superintendent of District NA shared:
When looking for administrators, we want people that build relationships with people
because everything starts with building positive relationships first. You need to go in
there and build a culture of trust because until you have the trust of the staff, you’re not
going to be able to move change forward. And so that’s the directive that we give all of
our new administrators. And we monitor that. All of the district administrators are out at
the sites always visiting our principals modeling the behavior and building relationships.
I visit our new principals more than I do my veteran ones because I just want to check in
with them, make sure that they’re building on those relationships. I think that’s a key part
of when you’re going to implement change. (interview, August 1, 2019)
Superintendent of District NA shared:
We are in a relationship business and obviously you have to have other skills, but unless
you have the relationship piece first, you will never be able to build the trust networks
needed to create effective organizational change. All those professional relationships that
you develop, whether it’s above their position or below their position, are important, and
they all have roles to play in their success. So, the best predictor for me always, at future
success, is the current success. If there’s somebody that’s struggling in their current role,
it’s pretty hard to see them being successful in the next role. You see a lot of people fail
PUBLIC SCHOOL DISTRICT PRINCIPALS 100
that are really bright and maybe really talented in other ways, but without relationships
and trust they cannot succeed. (interview, August 1, 2019)
In addition to the qualitative interviews, the quantitative survey data supported the theme
of the importance of being a hardworking, effective instructional leader as a teacher and building
trust networks by developing positive relationships with peers and supervisors. According to
the responses to the survey, 100% of superintendents, 100% of human resources administrators,
and 96.43% of immediate supervisors of principals strongly agreed or agreed with the statement,
“Informal and formal networks (e.g. professional colleagues) were important in preparing
principals for their current positions.” Among principals 99.12% strongly agreed or agreed with
the statement, “Informal and formal networks of support (such as professional colleagues) were
important in preparing me for my position as a principal.” Having informal and networks of
support is a crucial element in preparing aspiring principals for the principalship.
According to the responses to the survey, 100% of superintendents, 100% of human
resources administrators, and 100% of immediate supervisors of principals strongly agreed or
agreed with the statement, “The relationships that principals have with directors, assistant
superintendents, and the superintendent support their success in retaining their current positions.”
The percentage was the same for principals, as all strongly agreed or agreed with the statement,
“My relationships with directors, assistant superintendents, and my superintendent supports my
success in retaining my position as principal.” The importance of developing relationships and
building trust networks for aspiring principals was evident in the qualitative data and confirmed
by survey responses. In addition to developing relationships and building trust networks,
working hard and being an effective instructional leader supports the preparation of principals.
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Summary of Results for Research Question 1
The results of data analysis revealed three themes related to how training programs and
experience prepare principals. It was clear that the principal position is complex and challenging
and requires aspiring principals to be prepared for the position before entering it.
The first theme was that OJT as a teacher leader and prior administrative experiences,
including committee work, were perceived as a better preparation for the job to manage the
challenges and complexities of the principalship. The participants noted that training programs
were needed for the position but that OJT as a teacher leader and prior administrative
experiences better prepared to them manage the complexities and challenges of the principalship.
The second theme was that having at least one mentor and/or role model and access to
both formal and informal networks prepared aspiring principals for the challenges and
complexities of the principalship. All participants agreed that this was an essential piece of being
successful and prepared for the position of principal.
The third theme was that working hard, being an effective instructional leader, getting
yourself known, developing good relationships with peers, community, and supervisors, and
building trust networks prepared aspiring principals for the challenges and complexities of the
principalship. All participants agreed that this was an essential piece of being successful and
being prepared for the position of principal.
Findings for Research Question 2
In order to understand the recruitment experiences of principals and, given the substantial
evidence establishing the impact of school leadership on student outcomes, it is critical to
understand the recruitment experiences of school district-level personnel, along with current
principals. Research Question 2 asked, “What are the perceptions of principals, immediate
PUBLIC SCHOOL DISTRICT PRINCIPALS 102
supervisors of principals, human resources administrators, and superintendents regarding
strategies to recruit successful principal candidates?” To prepare for recruitment, prospective
principals take active steps and districts also utilize many strategies. As shown in the literature,
as districts seek to fill open positions, personnel departments must be specific in the process and
future orientation in job postings and recruitment efforts. This may alleviate the issue of
principal applicant shortages, especially in urban schools, which report a severe problem
(Whitaker, 2003). Normore (2006) asserted that effective recruitment and selection can help to
increase the pool of principal candidates and Sandham (2001) reported that recruiting qualified
principals in California had become increasingly difficult as the role has become increasingly
complex. Whitaker (2001) reported that 40% of superintendents who responded to a survey
reported a “moderate” principal candidate shortage and 50% reported a “somewhat extreme” or
“extreme” shortage. Pijanowski et al. (2009) found that current superintendents expected to have
more than 40% fewer candidates apply for principal positions in comparison to 15 years prior.
According to Whitaker (2003), principal applicant shortages are a more severe problem in urban
school districts, complicated by the disproportion of applicants who are actually qualified for the
position. Reports have shown that less than 50% of candidates meet the minimum requirements
to take on the principalship (Pijanowski et at., 2009; Whitaker, 2001). The outlook is even more
dire when taking into consideration the declining interest in the position in general and the need
for a call to action to identify and recruit quality candidates (Gajda & Militello, 2008; Pijanowski
et al., 2009). Recruitment involves not only an employee who is seeking to fill a position but also
a quality candidate to fill the position. Recruitment must be organized and ongoing and should be
appropriately funded by the recruiting districts, especially in urban areas, where the shortage is
most severe (J. W. Meyer & Rowan, 1977).
PUBLIC SCHOOL DISTRICT PRINCIPALS 103
While strategies for recruitment often mirrored the strategies for preparation, there were a
few additional techniques that aspiring principals used to seek positions. The data analysis
revealed three themes on how recruitment strategies are used to recruit successful principal
candidates: (a) The candidates have to be the right fit, both for the school site and the district,
and have the desired qualities (including previous experience and experience) as instructional
leaders to be recruited to the principal position; (b) the candidates have to take proactive efforts
to initiate exposure and visibility within their district and outside their district; and (c) the
candidates, through prior knowledge of the district, have to make connections through
networking.
Being the “Right Fit” and Possessing the Desired Qualities to Be Recruited
For the majority of the interviewees, the hiring process started from within to identify
high-quality candidates who had attended the preparation programs that they had provided. In the
rare case that they hired from outside of the district pipeline, the paper screening and interview
process provided an opportunity for candidates to show their skills and for the districts to
determine candidate competency. It was evident in the qualitative data that, with both internal
and external candidates, the districts placed greater value on the soft (essential) skills than on
foundational knowledge. They were specifically looking for instructional leaders who were
passionate, driven, and interpersonal, with prior administrative experience, not just site managers
who possessed the basic knowledge and functions to lead a school. They were also looking for
principals who were in alignment with the district mission and vision and site-specific needs and
goals. To hire the right candidates, district s must have a clear understanding of exactly what
they want in a candidate. Good school principals are essential and are the cornerstones of good
PUBLIC SCHOOL DISTRICT PRINCIPALS 104
schools; without effective principal leadership, efforts to raise student achievement cannot
succeed (DiPaola & Tschannen-Moran, 2003).
This study confirmed the theme of the importance of being the “right fit” and possessing
the desired qualities and prior experience to be recruited, which was found in literature that
showed that possible candidates sometimes apply for a position based on simple criteria such as
district reputation, geographic location, or salary, rather than based on their leadership strengths
and specific skills (Richardson et al., 2016). Because the right candidates are not applying for the
right positions, two very specific problems occur. First, school districts are not clearly
identifying the existing needs for their schools and therefore are not attracting the appropriate
candidates. Second, vagueness of job descriptions causes possible candidates to apply carelessly,
without taking into consideration their own personal strengths and knowledge. Pijanowski et al.
(2009) stated that recruiting processes should start from within school districts to develop a
pipeline from the classroom to the principal position while reducing or removing factors that
inhibit candidates from applying. This practice helps in building capacity that assists in long-
term retention of principals.
Immediate Supervisor of Principals NA2 stated that “the most desirable candidates are
the ones that are energetic, open to new ideas, that could sustain an audience, and they clearly
understand policies and procedures. (interview, August 1, 2019)
In District NC, the immediate supervisor of principals provided an example of a practice
used by a school district to ensure there is a strong principal candidate pool to select the most
qualified person for the position. Immediate Supervisor of Principals NC stated:
I think when you’re recruiting and you’re overseeing the hiring of a principal position as
a district office staff, you need to reach out to any candidates that you think are the right
PUBLIC SCHOOL DISTRICT PRINCIPALS 105
fit and have them go through the process; not to guarantee the job but to experience the
process and see if they are the right fit. The recruiting part is really important for us to
find the best candidates. (interview, August 14, 2019)
In District NA, the Assistant Superintendent of Human Resources shared insight as to
why they hire principals only from within the ranks of district administrators and filter out
potentially poor candidates:
It is essential that they come highly regarded by the staff that they are working with as an
assistant principal. That coincides with their relationships with the unions and with the
school community, including parents, classified personnel and certificated personnel. So,
the reality is when you’re applying to be a principal, you have to be very respected by all
different groups, because if you cannot do that as an assistant principal, it is unlikely you
will be able to do it as a principal. Assistant principals also have to put themselves out
there to gain other experiences, too, to make sure that they are doing much more than just
their job as an assistant principal, and that they can also bring people on board to be part
of a collaborative team. This helps prepare them for the difficulties ahead, not to mention
they should be known by the people that will be on the hiring panel. (interview, August 1,
2019)
An additional indicator from the quantitative survey data was that prior experience was
essential when recruiting candidates for the principalship. According to the responses to the
survey, 95.24% of superintendents, 100% of human resources administrators, and 92.85% of
immediate supervisors of principals strongly agreed or agreed with the statement, “Candidates’
previous experience in education is an important factor in recruiting for principal positions in my
district.” In comparison, 97.35% of principals strongly agreed or agreed with the statement, “My
PUBLIC SCHOOL DISTRICT PRINCIPALS 106
previous experience in education was an important factor in being recruited in my current
position as a principal.” Prior education experience was evident in the qualitative data and
confirmed by the survey responses. In addition to prior experience, specific experience as an
instructional leader was relevant for recruitment of principals.
A theme throughout the interviews was that principals should be able to serve as
instructional leaders on the campus. Given that the primary responsibilities of schools is to
increase student achievement, there should be a clear focus and expertise level of ability in
teaching and learning. Superintendent NC noted that the most important factor he seeks in
principals is ability to be an instructional leader:
There’s so much that’s on a plate of administrator nowadays, but I think that even though
an understanding of evaluations and human resources is important, instruction and being
an instructional leader and a deep knowledge and understanding in instruction in the
classroom as a leader is vital. Instructional leadership is an essential quality that aspiring
principals are expected to possess as they enter the principal position. This belief is
supported by research that a correlation exists between instructional leadership and the
impact on student achievement. I believe it was Marzano and his team that found the
correlation between instructional leadership and student achievement and Marzano has
provided a structure organized as a “plan of action” to guide school leaders in developing
specific behaviors for enhanced student achievement. Developing these essential skills
and responsibilities will support aspiring principals’ knowledge to be successful in the
role of principal. (interview, August 14, 2019)
The quantitative survey data indicated the importance of instructional leadership
experience for being recruited for the principal position. According to the responses to the
PUBLIC SCHOOL DISTRICT PRINCIPALS 107
survey, 100% of superintendents, 100% of human resources administrators, and 92.86% of
immediate supervisors of principals strongly agreed or agreed with the statement, “Having
instructional leadership experience is an important factor in recruiting for principal positions in
my district.” When principals responded to the item, 97.34% strongly agreed or agreed with the
statement, “Having instructional leadership experience was an important factor in being recruited
into my position as principal.”
The literature supports that principals as instructional leader have a positive impact on
student achievement. Instructional leadership experience is essential, as was clearly indicated in
the qualitative data and confirmed by the survey data.
Proactive Efforts in Being Exposed and Visible Inside and Outside the District
For the majority of the interviewees, the hiring process started from within to ensure that
high-quality candidates had attended the preparation programs that the district had provided. In
the rare case of hiring from outside the district pipeline, the paper screening and interview
process provided an opportunity for candidates to show their skills and for districts to determine
candidate competency. It was evident in the qualitative data that, with both internal and external
candidates, the districts wanted to see that candidates had been proactive in pursuing a principal
career pathway.
Normore (2006) suggested that school leaders be identified early in their careers and
mentored into leadership positions, with current school leaders being proactive in identifying
prospective future leaders who fit their needs and who are committed to the improvement of
education. Educators who are encouraged to enter leadership positions earlier in their careers
increase the amount of time that they are able to spend as principals prior to retiring (Gajda &
Militello, 2008). Parlyo and Zepeda (2014) concluded that an effective principal holds eight
PUBLIC SCHOOL DISTRICT PRINCIPALS 108
measurable and identified characteristics. He or she has a good track record, is a good manager,
is a good instructional leader, is an effective data leader, is a team player, is a leader in the
community, is a perfect fit for the school, and has passion in leading. This literature lends
supports the second theme in concurring that aspiring candidates should take proactive efforts to
obtain an administrative position. One key strategy is to increase visibility and exposure by being
seen at the district level while serving on committees, taking initiative with new projects, and
volunteering for special initiatives. This can also be done outside of the district by becoming
involved in organizations such as ACSA or CEL and completing one of the many institutes that
they offer.
The qualitative data confirmed the importance of candidates having proactive efforts in
being exposed and visible inside and outside their district and an awareness of and experience in
district initiatives as a means to gain visibility and exposure at the district level. As shared by a
junior high school principal in District NA,
I began to work regularly with our [district administrative association] conducting mock
interviews and joined multiple panels that were interviewing potential administrative
candidates, and I invested time talking to and learning from other administrators in the
district. I also attended the ACSA leadership academy, which connected me to
administrators outside of [the district]. I asked for guidance and started to learn more and
volunteered for everything so people would learn to know my name and what I could do.
I was moldable, and I didn’t know all the answers, but I was vulnerable enough to admit
that, and I believe that the higher ups, directors, and assistant superintendents understood
that they could work with me and that I would take their direction. They also learned that
I was passionate about learning, and I was passionate about people, and that they could
PUBLIC SCHOOL DISTRICT PRINCIPALS 109
work with me in molding me into somebody that they could see leading at a higher level.
They learned I was genuine and adaptive to their feedback. I was a systems player, and
people who I worked with started to trust me, and I just had this inner drive, I just wanted
to be in a leadership role. (interview, August 1, 2019)
The immediate supervisor of principals in District NA1 noted:
They need to be able to stand out when they’re at a district-level meeting, shine in
professional development sessions, and attend board meetings. We have pacing
committees, piloting committees, and benchmark committees. They have to be willing to
volunteer for those other things districtwide so that we’re getting to know them a little bit
better, and not just as a classroom teacher or as an assistant principal. We’re seeing them
as a potential leader. (interview, August 1, 2019)
An elementary principal of District NB strategically volunteered to be on a committee
with district leaders to increase her visibility. She explained that
as a teacher, I was all about being on any committees, any district committee, so all the
people district office got to know my face when I was there for trainings. I heard of a
committee that the supe[rintendent] was going to be on at the high school that my child
went to, and so I signed up and I was able to get more insight of how the high school
world worked, and I built a little bit of relationship and get to know him. He later hired
me as a principal because he knew who I was and what I was about. (interview, August
27, 2019)
The superintendent of District NB explained how he appreciated people who were
proactive in being leaders and reached out directly to him:
PUBLIC SCHOOL DISTRICT PRINCIPALS 110
So I would say that the people that have been promoted in this district are the people who
I call daily learners where they take advantage of opportunities to, meet with me, meet
with assistant principals, meet with principals, to just sort of get ideas and network and
learn as much as they can. When they are going through their administrative program,
they’re using us for interviews, to shadow, or to be guest speakers, and they’re taking
opportunities to network within those classrooms so that if the jobs aren’t available here,
then they have connections outside. (interview, August 27, 2019)
An additional indicator from the quantitative survey data supported the theme of the
importance of formal and informal networks ass critical to principal preparation. According to
the responses to the survey, 100% of superintendents, 100% of human resources administrators,
and 96.43% of immediate supervisors of principals strongly agreed or agreed with the statement,
“Informal and formal networks (e.g., professional colleagues) were important in preparing
principals for their current positions.” Of the principals who were surveyed, 99.12% strongly
agreed or agreed with the statement, “Informal and formal networks of support (such as
professional colleagues) were important in preparing me for my position as a principal.”
Having informal networks of support was a crucial element in preparing aspiring principals for
the principalship.
Prior Knowledge of the District and Connections Through Networking
The qualitative data indicated that networking is one factor but prior knowledge of the
district and being an employee of the district were themes that emerged from the data. The data
indicated that, when recruiting candidates, districts give preference to candidates with prior
knowledge of the district and current employees of the district. Beyond managing the pressing
operations on which a school is dependent to survive, the effective principal must have a strong
PUBLIC SCHOOL DISTRICT PRINCIPALS 111
ability to get the job done through people (Kelly, 1980). While there is little doubt that a
principal’s professional experience, knowledge of curriculum, and familiarity with the operation
of schools are important elements that may contribute to success, the degree of meaningful
relationships that the principal develops over time with members of the organization is of equal
importance (Ortiz & Ogawa, 2000). The idea that school leadership is a collaborative endeavor
suggests that social relationships are critical to the successful functioning of schools. Leadership
exists within a social context in part because high-stakes accountability from both the federal and
state governments has catapulted the role of the principal from manager to instructional leader
(Mendels, 2017).
Pijanowski et al. (2009) stated that recruiting processes should start from within school
districts to develop a pipeline from the classroom to the principal position while reducing or
removing factors that inhibit candidates from applying. This practice also helps in building
capacity that assists in the long-term retention of principals.
Prior knowledge of the district and selective networking are key strategies that both
districts and candidates utilize in the recruitment process. Candidates reach out to people in the
district to learn about the position and express an interest. Districts contact colleagues in other
districts to find prospective candidates. Districts also obtain reference checks, not just from those
listed in the formal application process but also from their own connections in other districts.
Many districts develop a pipeline within their own system to create succession planning from
within.
Superintendent NA commented on the networking factor used when recruiting and hiring
principal candidates in the district:
PUBLIC SCHOOL DISTRICT PRINCIPALS 112
The district networking piece is really important, and the cream always rises to the top.
So just because you’re in a principal training program doesn’t mean you got a pathway to
the principalship. You still have got to build relationships and have people who are
willing to give you positive recommendations. Internal candidates are who I always look
to first. They already know the culture of the district, and if they are well respected, that’s
an easy sell to cabinet and the board. Just knowing internal people who are highly
qualified is a great recruiting process. (interview, August 1, 2019)
Superintendent NB noted how prior knowledge of the district and internal networking
could be used as a strategy to build relationships that can provide candidates with a
recommendation for a position:
Given the potential size of principal candidate pool, there could be a range of 50 to
75 applicants, depending on the district. Therefore, district must go through a screening
process to select a qualified candidate. That is when networking serves as a strategy to
assist candidates make it through the screening process for a potential interview. I think
the most successful administrators we have networked throughout the district have had
relationships with people, and they have been known as being somebody who is a
professional and who is a role model as a teacher, and they have demonstrated leadership
skills beyond the classroom. (interview, August 27, 2019)
This practice was also mentioned by an immediate supervisor in District NC:
From that standpoint, we all know everybody. And we may reach out to someone we
trust to ask for potential candidates who they believe are ready to be the principal at a
specific site. That is why I think it is important to have the network connections and
know your people well. (interview, August 14, 2019)
PUBLIC SCHOOL DISTRICT PRINCIPALS 113
The high school principal of District NB also mentioned that having these networks
allowed him to establish a good reputation, thus making him attractive in the recruitment
process:
With regard to being in a position to know people at the district office, I think the biggest
piece of that relationship is that they could trust me. That if I was given something to do,
that it was a project that was going to be done well. If I pitched an idea, I knew when to
pull back; I knew when it was something that needed to be advocated for. I think I was
able to garner a lot of professional respect from them in that way, following through with
things that were going to get done. I don’t know how strategic that was, as much as it just
comes from being a person of integrity, hopefully, and character. But knowing the district
and what it stands for and the people that are in charge – really helped and was probably
the main reason I was selected as principal. (interview, August 27, 2019)
This insight is from district leaders who are responsible for hiring principals and having
them note how prior knowledge of the district and internal and external networking can have a
positive impact in the selection of a principal shows the power of connections.
In addition to the qualitative interviews, the quantitative survey data supported the theme
of the importance of mentors to help candidates be recruited for principal positions. According to
the responses to the survey, 80.95% of superintendents, 90.91% of human resources
administrators, and 78.58% of immediate supervisors of principals strongly agreed or agreed
with the statement, “Having a mentor helps candidates get recruited into principal positions in
my district.” Among principals, 77.87% strongly agreed or agreed with the statement, “Having a
mentor was an important factor in being recruited in my current position as a principal.” Mentors
PUBLIC SCHOOL DISTRICT PRINCIPALS 114
have a positive impact on recruitment of principals. The importance of mentoring and
networking for principal candidates during the recruitment process was evident in the data.
According to survey responses, 95.2% of superintendents, 100% of human resources
administrators, 92.9% of immediate supervisors, and 97.4% of principals agreed or strongly
agreed with the statement, “Candidates’ previous experience in education is an important factor
in recruiting for principal positions in my district.” The quantitative data confirmed the
importance of networking by candidates, as 71.9% of superintendents, 95.5% of human
resources administrators, and 82.1% of immediate supervisors agreed or strongly agreed with
the statement, “Networking with district personnel helps candidates get recruited into principal
positions in my district.” Of the 88 respondents who described themselves as in-district
candidates, 92% indicated that networking with district personnel was an important factor in
being recruited. Of the 52 respondents who described themselves as out-of-district candidates,
59.6% indicated that networking with district personnel was an important factor in being
recruited.
The survey data indicated the importance of having an understanding of district goals and
initiatives for recruiting candidates for the principal position. According to the responses to the
survey, 85.75% of superintendents, 95.45% of human resources administrators, and 85.72% of
immediate supervisors of principals strongly agreed or agreed with the statement, “A
candidates’ level of understanding of district initiatives and goals were important factors in being
recruited into principal positions in my district.” Among principals, 84.95% strongly agreed or
agreed with the statement, “My level of understanding of district initiatives and goals were
important factors in being recruited in my current position as a principal.” Having an
understanding of district initiatives and goals was important when considering candidates for the
PUBLIC SCHOOL DISTRICT PRINCIPALS 115
principal position and was evident in the qualitative data and confirmed by the survey data. In
addition to understanding district initiatives, being an employee of the district helps candidates to
be recruited for principal positions.
An additional indicator from the quantitative survey data was that being an employee of
the district was an important factor when recruiting candidates for the principal position.
According to the responses to the survey, 85.72% of superintendents, 100% of human resources
administrators, and 85.71% of immediate supervisors of principals strongly agreed or agreed
with the statement, “Being an employee of my district helps candidates get recruited into
principal positions in my district.” Among principals, 71.68% strongly agreed or agreed with the
statement, “Being an employee of my school district was an important factor in being recruited
in my current position as a principal.” The data indicated that being an employee of the district
helps candidates to be recruited for principal positions.
Summary of Results for Research Question 2
The principal position is complex and challenging and requires aspiring principals to be
prepared for the position. Results from this study pointed to three common themes from the
qualitative interviews and the quantitative surveys data. The first theme was that candidates have
to be the right fit, both for the school site and the district, and must have desired qualities,
including previous experience and experience as an instructional leader to be recruited to the
position. The second theme was that candidates should take proactive efforts to initiate exposure
and visibility within their district and outside their district. The third theme was that candidates,
through prior knowledge of the district, should make connections through networking. The three
themes were factors that were determined in recruiting principal candidates.
PUBLIC SCHOOL DISTRICT PRINCIPALS 116
Findings for Research Question 3
In order to understand the retention of principals and given the substantial evidence of the
impact of sustainable school leadership on positive student outcomes, it is critical to understand
the strategies used by districts and principals to retain principals. Research Question 3 asked,
“What are the perceived strategies that support the retention of principals?” To formulate
strategies for retention, prospective principals take active steps and districts utilize many
strategies. As shown in the literature, as districts seek to retain principals, personnel departments
must be specific in the focus of support that they offer to principals in new roles and maintain
support to promote longevity in the position. In reality, the principalship is a complex
multifaceted role that focuses on educational leadership of the school with increasingly
challenging student achievement standards (Crow et al., 2002). Researchers have confirmed that
educational leadership is a necessary driving force for school improvement efforts (Educational
Research Service, 1985; Fullan, 2014; Haberman & Dill, 1999; Rutherford, 1985). Although
school-based decision making and strong leadership are critical parts of a successful school,
Zellner et al. (2002) described the principalship as one of the “loneliest jobs in town” (p. 3). The
role of the principal has expanded from simply managing schools to addressing high-stakes
student achievement, accountability, fundraising, and nurturing business partnerships (Usdan,
2004; Winston, 2002). The high stress and daily demands of this new principal position, with
increasingly high expectations and accountability related to student outcomes, coupled with long
work hours, an increase in paperwork, elevated legal and political bureaucracy, lower pay, and a
decrease in support structures, have been observed as reasons for the decline in potential
principal applicants and an increase in current principals leaving the position (DPE, 2016; Gajda
& Militello, 2008; Normore, 2006; Thomson et al., 2003).
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Data analysis revealed three themes that support the retention of principals to address
Research Question 3: (a) ongoing professional development and training for principals through
mentoring, professional networks, and personal coaching; (b) a positive relationship with peers
and supervisors that allows innovation autonomy and builds efficacy with personnel at all levels
in the organization; and (c) maintaining a work-self-life balance.
Ongoing Professional Development and Training for Principals Through Mentoring,
Professional Networks, and Personal Coaching
Principal retention is a critical component in preparing effective future leaders to be
responsible for managing and leading schools. While university programs have a significant role
in preparing future principals with academic knowledge, the data collected in this study indicated
that principal retention is possible only with ongoing professional development and training
through mentoring, professional networks, and personal coaching.
This study confirmed the importance of ongoing professional development and training
through mentoring, professional networks, and personal coaching found in the literature across
qualitative studies (Coleman, 1996; Farver & Holt, 2015; Hussin & Al Abri, 2015; Sciarappa &
Mason, 2014; Warren & Kelsen, 2013) in which it was determined that principals need a
significant amount of training and professional development, especially with new and ever-
changing policies. In addition, the top-down policy implementation model fails to consider the
diversity of human dispositions, values, strategies, and the lack of professional knowledge and
skills of policy implementers at the school and district levels. It also fails to understand
transformational leadership and the need for principals to inspire and motivate teachers and
students (Hussin & Al Abri, 2015). Support for current principals, including networking,
PUBLIC SCHOOL DISTRICT PRINCIPALS 118
mentoring, and coaching, have contributed to most principals’ ongoing stability and retention in
the position (Brown, 2011; Matthews & Crow, 2003; Service et al., 2016).
Ongoing professional development and training for principals through mentoring,
professional networks, and personal coaching was an emerging theme in effective principal
retention. The superintendent of District NC is an advocate of professional learning; his district
invested in a partnership with the University of Washington for all district principals and
assistant principals for an ongoing commitment (currently in Year 4) with yearly contracts that
are nearly a hundred thousand dollars for professional development designed solely for his
assistant principals and principals.
Each of my site admin[istrators] had a minimum of 7 half-days of ongoing training last
year, digging into an instructional teaching framework, a principal framework, to help
them be successful and really looking in at an area of focus where teachers are trying to
get better at student learning and engagement. We have completely transformed our
admin[istrator] collaboratives or what you might call leadership meetings. They are 90%
professional development, staff training, modeling, coaching and role playing. They’re
not nuts and bolts kind of things that can be put in an email. (interview, August 14, 2019)
The Superintendent of District NA also supports ongoing training and professional
development of his administrative teams. Regarding his principal teams, he shared:
We provided them a personal coach, an external coach, and they give us check-in
feedback at the end of each month. What they discuss is whatever they need to discuss to
help them grow and be successful. The structure is formal, but the coaching is done in an
informal setting, and that information is not shared with downtown. That was done
strategically because I wanted the principals to work as system players to come together
PUBLIC SCHOOL DISTRICT PRINCIPALS 119
and share the work that they’re doing together and collectively to help them through their
coaches, because I always thought that was the most important piece. One of the things I
liked the most as a principal, but we didn’t do it often, was we would sometimes after
principal meetings all go out to lunch. I found that sometimes to be more valuable than
sitting in at the principal meeting. And so, I wanted to kind of duplicate that, but on more
of a structured basis. So, we have created that kind of Principal PLC [professional
learning community]. The other part that’s formal about that is those coaches come to our
PD and see the PD that the principals are getting and what we’re working on. Those
coaches are indirectly also supporting that. My whole district support team also go out
and visit the principals and walk classrooms with them. We often ask questions like
“What can I do to help support you? Do you have any issues?” and work with them on
anything they need. This is done on a monthly basis. (interview, August 1, 2019)
The immediate supervisor of principals in District NB noted that mentors serve as a
support for principal development:
Two years ago, I had two brand new principals, and they came out of the classroom
to TOSA positions, and they interviewed and got jobs as principals. New, younger, and
they hadn’t really had those other relationships that you might typically have, so I offered
them Joe Smith [pseudonym], who was a former principal as a mentor and coach.
(interview, August 27, 2019)
The immediate supervisor of principals in District NC provided another example.
We’ve always sat there, and they will be like, “Okay, who do I talk to?” And they’re the
ones that, they’re not successful. But those that pick up the phone, those that go to
networking events through ACSA, or they remain in contact with those people that they
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went through a program with, or they pick up the phone and say, “Hey two other
principals, can we meet for breakfast? I want to pick your brain on something.” I think
those are the ones that are the most successful, as well as those that take advantage of
opportunities. (interview, August 14, 2019)
An elementary principal in District NB provided the following insight:
I did use my own professional relationships and some mentoring and networking as a
way of growing as a professional. It was never my goal to seek out a mentor that would
help me to move in a certain direction. I know people who do, they’re great. They’re
smart and they know where they want to go, and they’re driven. Mine was more the
places where I felt that I could trust their guidance because I’d seen how that person
worked with other people. It worked out well because the people that I did pick up as
mentors really helped me and have given me great insight, so, it did work out well, but
that was never the original plan. Now that we have an assigned coach, I still meet with
my mentor the same amount of time that I meet with my coach–about once a month. I
was never too great at finding the time to help get me to that next level, but now that I am
used to it, I know how incredibly valuable it is. (interview, August 27, 2019)
In addition to the qualitative interviews, the quantitative survey data supported the theme
of the importance of mentoring for principal retention. According to the responses to the
survey, 100% of superintendents, 95.45% of human resources administrators, and 96.43% of
immediate supervisors of principals strongly agreed or agreed with the statement, “Having
mentor(s) provides principals with processes/strategies that support their success in retaining
their current positions.” The percentage increased when principals responded to the question, as
92.04% strongly agreed or agreed with the statement, “Having a mentor(s) provided me with
PUBLIC SCHOOL DISTRICT PRINCIPALS 121
processes/strategies that currently support my success in retaining my position as a principal.”
The importance of mentoring principals was evident in the qualitative data and confirmed by the
survey responses to support retention of principals. In addition to mentoring, having professional
networks supported principal retention.
An additional indicator from the quantitative survey data was the importance of receiving
support from professional networks for principal retention. According to the responses to the
survey, 71.42% of superintendents, 81.82% of human resources administrators, and 85.71% of
immediate supervisors of principals strongly agreed or agreed with the statement, “Having a
mentor was important in preparing my principals for their positions.” The percentage increased
when principals responded to the question, as 99.11% strongly agreed or agreed with the
statement, “Having mentors was instrumental in preparing me for my position as a principal.”
The importance of mentoring for aspiring principals was evident in the qualitative data and
confirmed by the survey data. In addition to mentoring, having informal networks supported the
preparation of principals.
A Positive Relationship With Peers and Supervisors That Builds Efficacy With Personnel
at All Levels in the Organization
Developing and maintaining relationships is an essential skill for principals to retain the
position. Principals must manage the complexities of working with, mentoring, and maintaining
an ongoing positive relationship with staff (Adams, 1999; Byrd et al., 2006; Darling-Hammond,
2003; DuFour & DuFour, 2013). Goleman et al. (2002) claimed that emotionally intelligent
leaders and emotionally intelligent organizations are essential in complex times. They identified
18 competencies in four domains: self-awareness, self-management, social awareness, and
relationship management. It is clear that having so-called “soft skills” or “essential skills” allows
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principals to build relationships, to be lead learners alongside the staff, and to have strong
managerial skills, all of which are necessary to lead in this time of change (Cerit, 2009; Fullan,
2014; Lowe et al., 1996; Waters et al., 2003). Marzano et al. (2005) conducted a meta-analysis of
35 years of research and concluded that effective school leadership has a “substantial effect on
student achievement and can provide guidance for all principals” (p. 12). Marzano identified 21
responsibilities of the school leader that directly align with student academic achievement. For
example, situational awareness, building relationships, and clear communication are essential
aspects of a successful principal. The principal must expand the role so that relationships are
inclusive rather than exclusive, so that as many people as possible feel a sense of meaning and
value regarding the school (Hopkins, 2000).
While there is little doubt that a principal’s professional experience, knowledge of
curriculum, and familiarity with the operation of schools are important elements that may
contribute to success, the degree of meaningful relationships that the principal develops over
time with members of the organization is of equal importance (Ortiz & Ogawa, 2000). A
negative or nonexistent relationship with the board of education, the superintendent, and/or other
administrators can create a difficult work environment that many experienced leaders choose to
avoid (Cooley & Shen, 2000).
According to the immediate supervisor of principals in District AC, “without
relationships, they are finished as a leader.” He continued:
The relationship piece of leadership is essential because to be successful, a principal has
got to know who they are working with. The listening and learning part of the job
is going to have a big impact because if you’re going to try to make changes, and you
don’t know how your staff feels about things, or what they value or don’t value, then
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when you go to make change you’re going to get a hundred different opinions. But if you
listen and learn and understand what they value, then it does one of two things for you.
You’re either going to say, “We’re probably not going to make that change yet because
they feel really strongly about that, and I need more time to work them over or to build
that relationship with them,” or you are going to move forward with making the
change. (interview, August 20, 2019)
This aligns exactly with what the superintendent from District NC identified as “the most
important piece of the puzzle.”
You build relationships by reaching out and talking to people and getting on committees
and listening and soaking it all in and letting people get to know who you are and what
you stand for. Staying isolated will not help you. Maybe you need to be that somebody
who needs to give some extra TLC to a staff, and you become the relationship builder
and change the culture of your school. Obviously, relationships are going to be important
for any leader, but it depends on the position and what you’re looking for. Build those
relationships because, if nothing else, you’re going to need some letters of references.
(interview, August 14, 2019)
The superintendent of District NC shared:
We’re in a relationship business and obviously you have to have other skills, but unless
you have the relationship piece first you will never be able to build the trust networks
needed to create effective organizational change. All those professional relationships that
you develop, whether it’s above their position or below their position are important, and
they all have roles to play in their success. (interview, August 1, 2019)
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Many principals spoke at length on the importance of establishing relationships. The high
school principal from District NA shared:
Relationships are going to be important for any leader, but it depends on the needs of
your staff how much. I have really good relationships with the people that are in this
district, I really can’t think of a negative one. There are also people outside of the district
that I have really good relationships with, probably even maybe a little stronger, and if
opportunities came up to go work with somebody that I thought of as a mentor or
somebody that inspired me or motivated me, a strong relationship is the one thing that
would influence me to go. (interview, August 14, 2019)
It is not always the relationships of people on the site that aid in retention of an
administrator. As the junior high school principal in District NA shared,
I gained more wisdom and insight and affirmation from my relationship with my fellow
AP’s than I did from my first principal. They kept me grounded. So there have been times
where I thought, “Maybe I’m going to go another way,” and I think he supported my
retention more than anyone. And then there’s all those informal relationships with your
peers, when you have a like-minded peer and you connect and really kind of assist one
another, especially in keeping that whole growth mindset. (interview, August 1, 2019)
In addition to the literature and qualitative interviews, the quantitative survey data
supported the theme of the importance of developing relationships for principal retention.
According to the responses to the survey, 100% of superintendents, 100% of human resources
administrators, and 96.43% of immediate supervisors of principals strongly agreed or agreed
with the statement, “The relationships principals have with directors, assistant superintendents,
and the superintendent support their success in retaining their current position.” The percentage
PUBLIC SCHOOL DISTRICT PRINCIPALS 125
increased when principals responded to the question, as 97.46% 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.” The importance of developing
relationships to support the retention of principals was evident in the survey results.
Maintaining a Work-Self-Life Balance
In order to manage the stresses of the principal position, a principal must maintain a
healthy and balanced view of work, self, and life. It is paramount that central office staff provide
an ongoing supportive work environment, a critical component of ensuring a balance in work,
self, and life to help principals to manage the stress of the position. This includes modeling to
principals how to delegate responsibility and then helping them do so.
Fullan described the role of the principal as one that has become nearly impossible and
too complex to maneuver. “No one has sufficiently clarified the new role of the principal and
given principals the detailed attention required in order to enable schools to thrive under new
conditions” (2014, p. 8). This challenge has led to 75% of principals reporting that their job has
become too complicated and therefore unsatisfying (Fullan, 2014). The most prominent reason
potential candidates are not applying for the principalship is that the responsibilities of the
position are constantly changing, ever increasing in volume, and becoming much more complex
(Whitaker, 2001). When this is coupled with an increase in time commitment, an increase and
strong emphasis on high-stakes testing, increases in school violence, absence of respect from the
public perspective, and overall job-related stress, the position does not lend itself to being
attractive (DiPaola & Tschannen-Moran, 2003; Thomson et al., 2003).
An increase in pressures from school board members, along with federal, state, and local
mandates, limits principals from having sufficient authority at the school site (DiPaola &
PUBLIC SCHOOL DISTRICT PRINCIPALS 126
Tschannen-Moran, 2003). This limited autonomy is challenging when making decisions in the
face of a large bureaucracy. A negative or nonexistent relationship with the board of education,
the superintendent, and/or other administrators can create a difficult work environment that many
experienced leaders choose to avoid (Cooley & Shen, 2000).
A principal’s salary does not match the responsibilities, increased paperwork, lack of job
security, and multiple stresses required of the position; in many districts, a veteran teacher’s
salary is more than what a first-year principal makes (Cooley & Shen, 2000). Participants also
identified a lack of authority and a lack of district support as deterrents to effectiveness. The
principals indicated the following barriers to pursuing the principalship: 91% identified the stress
of the job, 86% noted the long hours, 67% indicated low pay, and 64% specified increased
responsibility (DiPaola & Tschannen-Moran, 2003).
The high stress and daily demands of this new principal position, with increasingly high
expectations and accountability related to student outcomes coupled with long work hours, an
increase in paperwork, elevated legal and political bureaucracy, lower pay, and a decrease in
support structures, have been observed as reasons for the decline in potential principal applicants
and the increase in current principals leaving the position (DPE, 2016; Gajda & Militello, 2008;
Normore, 2006; Thomson et al., 2003). There is a severe and increasing shortage of applicants
for principal job openings nationally, even though there are more than twice as many potential
candidates with administrative certification than there are openings for principal positions (Gajda
& Militello, 2008).
In order to achieve a balance of work-self-life and get the needed support as a principal,
expectations should be clearly established by the superintendent of schools. A supportive
superintendent is an important factor in the retention of principals. As noted by the Assistant
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Superintendent of Human Resources in District NB, the impact of a supportive superintendent
can have on principals
is the number one factor for the retention of our principals. We have an absolutely
supportive and amazing superintendent, and his ability to develop positive relationships
and show support is incredible. There is not a principal, I think, in our district, that would
not feel like they’re not being supported and have not heard regularly about the
importance of family and time away from work. His mission is always that my number
one job is to support principals and make sure they are not unbalanced. (interview,
August 27, 2019)
As shared by each of the elementary principals in District NC, the district support team is
key in ensuring the success of the principals.
At meetings they provide us with the resources we need. They work with us on thinking
out of the box on what else can we do to make space in our impacted schedules for
ourselves. They ask, “What else can we support them on?” Sometimes it is a need for
time away—a break—or maybe it’s to support their leadership teams at the site. Maybe
it’s cancelling meetings, maybe it’s additional encouragement, again, resources and in a
number of ways. So basically, what are our needs and how can we support them? It is just
an ongoing discussion with them and having that relationship with them and knowing
they care and that they trust us and reminding us to breathe and spend time with family.
(interview, August 14, 2019)
As the immediate supervisor of principals in District NA2 noted, it is of utmost
importance to ensure that principals are in touch with the needs of their staff and the needs of
themselves to stay healthy and balanced.
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I think we touched on it. That real balance of EQ and IQ. It’s a people business. You
have to be able to get along with people and read their needs. You have to be able to get
people to do things and not do things. You want to be able to inspire people and have
them want to follow you and take time off and you have to model the behavior. This is
what we expect from our leaders and what will lead to longevity in our district.
(interview, August 1, 2019)
As Superintendent AC noted, the importance of ensuring principals have a work-
life balance is critical:
We have got to deal with burnout and stress and things like that as well. The amount of
pressure and public scrutiny and work that it takes to be a good principal, is at an all-
time high. So, I preach balance the best I can. Kick them out of the office sometimes. I’m
going to go home. Encourage them to do things with their family. Encourage them to go
to their daughter’s softball game at 3:15, even if that means missing something after
school one day. You got to have that balance as well. (interview, August 20, 2019)
Superintendent AC discussed the matter further:
I think you need to support the principals. I think just being empathetic at a district level
and understanding what they’re going through and helping them understand doesn’t mean
they always get what they want. Rather, they need to know clearly that we care about
them, we’re here for them, is there anything we can do to help them through a situation or
what they are dealing with, recognizing how much is on their plate. So, I think to help
retain them, they have to feel like they have that connection with their school district and
with the superintendent and the district office staff; the “higher ups” in the organization.
(interview, August 20, 2019)
PUBLIC SCHOOL DISTRICT PRINCIPALS 129
In addition to the qualitative interviews, the quantitative survey data supported the theme
of the importance of a work-self-life balance for principal retention; good mentors can help to
ensure that balance. According to the responses to the survey, 100% of superintendents, 95.45%
of human resources administrators, and 96.43% of immediate supervisors of principals strongly
agreed or agreed with the statement, “Having mentor(s) provides principals with processes/
strategies that support their success in retaining their current positions.” The percentage
increased when principals responded to the question, as 92.04% strongly agreed or agreed with
the statement, “Having a mentor(s) provided me with processes/strategies that currently support
my success in retaining my position as a principal.” The importance of mentoring principals to
support the retention of principals was evident in the qualitative data and confirmed by the
survey data.
An additional indicator from the quantitative survey data was the importance of having
an appropriate work-self-life balance for principal retention; receiving support from professional
networks helps to ensure principal retention. According to the responses to the survey, 71.42% of
superintendents, 81.82% of human resources administrators, and 85.71% of immediate
supervisors of principals strongly agreed or agreed with the statement, “Having a mentor was
important in retaining my principals in their positions.” The percentage increased when
principals responded to the question, as 99.11% strongly agreed or agreed with the statement,
“Having mentors was instrumental in helping me retain my position by having good work-self-
life balance as a principal.” The importance of receiving support from professional networks for
principal retention ensures that principals maintain a good work-self-life balance.
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Summary of Results for Research Question 3
Today, principals are held accountable for continuous growth in student achievement,
closing achievement gaps, decreasing dropout rates, and increasing college or workplace
readiness among disadvantaged students (Davis & Darling-Hammond, 2012). Given the
increased demands placed on principals, strategies should be identified to support retention of
principals. The results of this study identified three themes that can support retention of
principals. The first theme addressed ongoing professional development and training for
principals through mentoring, professional networks, and personal coaching. The second theme
addressed the importance of principals building positive relationship with peers and supervisors
that allows innovation and autonomy and builds efficacy with personnel at all levels in the
organization. The third theme addressed the need to maintain a work-self-life balance to manage
the stresses and demands of the position. Given the importance of retaining K–12 public school
principals, these themes serve as strategies for principals and districts to support retention of
principals.
Chapter Summary
This chapter examined the emergent themes to address the study’s three research
questions regarding the preparation, recruitment, and retention of principals in K–12 public
schools in southern California. The themes were drawn from qualitative interviews (Creswell,
2014) with 22 participants, including three superintendents, three human resources personnel,
four district personnel who are direct supervisors to site principals, and 12 site principals. The
themes were confirmed with quantitative data where applicable, as well as by relevant literature
reviewed in Chapter 2. The triangulation of these multiple data sources served to strengthen the
validity and reliability of the study’s themes (Maxwell, 2013; Merriam & Tisdell, 2016).
PUBLIC SCHOOL DISTRICT PRINCIPALS 131
Three emergent themes were identified relating to principal preparation: (a) On-the-job
training as a teacher leader and prior administrative experiences, including committee work,
were perceived as effective preparation for the job to manage the challenges and complexities of
the principalship; (b) having at least one mentor and/or role model and access to both formal and
informal networks prepared aspiring principals for the challenges and complexities of the
principalship; and (c) working hard, being an effective instructional leader, getting known,
developing good relationships with peers, community, and supervisors, and building trust
networks better prepared aspiring principals for the challenges and complexities of the
principalship.
Three emergent themes were identified relating to principal recruitment: (a) The
candidates have to be the right fit, both for the school site and the district, and have the desired
qualities (including previous experience and experience) as an instructional leader to be recruited
to the principal position; (b) the candidates have to take proactive efforts to initiate exposure and
visibility within their district and outside their district; and (c) the candidates, based on prior
knowledge of the district, must make connections through networking.
Three emergent themes were identified relating to principal retention: (a) ongoing
professional development and training for principals through mentoring, professional networks,
and personal coaching; (b) a positive relationship with peers and supervisors that allows
innovation and autonomy and builds efficacy with personnel at all levels in the organization; and
(c) maintaining a work-self-life balance.
Many in education would disagree, but the principalship is not an impossible job. The
author submits that many capable individuals are failing. The reason is most likely that they are
failing to develop relationships, build trust networks, take care of themselves, participate in
PUBLIC SCHOOL DISTRICT PRINCIPALS 132
ongoing professional development, or receive support from district leaders. They are failing
because they do not use the networks that are available to them. They do not have effective
mentors and role models or do not take advantage of the mentors and role models who are
available to them. They are failing because they are not the right fit for a school or district, and
no one guides them. They are failing because they do not communicate the right messages. It is
important to know that a principal is communicating constantly. Failure to communicate is
communicating, albeit negatively. Through building relationships, developing trust networks,
practicing self-care, and using professional learning, teamwork, mentors, role models and
coaches, it can be done. This chapter presented the nine identified themes to address the study’s
three research questions.
PUBLIC SCHOOL DISTRICT PRINCIPALS 133
CHAPTER 5: FINDINGS, CONCLUSIONS, AND RECOMMENDATIONS
This qualitative study was conducted to gain insight into what some call the toughest job
in education: the principalship. Many difficulties are faced by educators who choose to become
principals. The challenges that are faced in this role are very different from those faced in the
classroom and are becoming increasingly complex and political. Education is unique in that the
role of administrator is very different from the role of classroom teacher. Combining
management skills with instructional leadership is essential in navigating the journey to
becoming a successful principal. Although principals have taken on multiple roles, their main
role in the position is as communicator (Kowalski et al., 2007).
Because the principal position has become more complex since its inception in the early
1700s and because the demands and challenges of public education have forced the role of the
principal to evolve dramatically (Brown, 2005; Copland, 2001; Fullan, 2014; Kavanaugh, 2005;
Sandham, 2001), aspiring principals must consider how to prepare properly, be recruited, and
maintain the position. The principal in the 21st century must be a transformational leader who is
labeled as a leader of learners in the age of accountability (Kavanaugh, 2005). The principal
should utilize professional learning communities to support academic performance by all
students, regardless of the subgroups by which they are identified (DuFour & DuFour, 2013). A
focus on academic standards, connecting learning to prior knowledge, providing real-world
learning experiences, and promoting student-centered curriculum requires a “superprincipal”
(Copland, 2001; Kavanaugh, 2005).
Prospective principals have pursued preparation programs such as university and
nonuniversity programs; however, these programs may have been burdensome and inadequate to
prepare aspiring principals for the position (Barnett, 2004). Through mentoring and coaching,
PUBLIC SCHOOL DISTRICT PRINCIPALS 134
some candidates have been successfully recruited (Kowalski et al., 2007). Still, the complexities
and challenges of the position have caused some principals to have poor relationships with their
respective supervisors and to be dismissed from the position (Byrd et al., 2006; McEwan, 2003;
Kowalski et al., 2007). These shortfalls indicate an overall problem in principal preparation,
recruitment, and retention.
Purpose of the Study Restated
The purpose of this qualitative study was to examine the preparation and support that
principals must have to meet the daily complex challenges and changing issues outside of their
control, as well as the support and retention efforts that districts must use to keep principals in
their leadership role.
The study was guided by 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?
The researcher focused on three specific frameworks: (a) Fullan’s The Principal: Three
Keys to Maximizing Impact (2014), (b) School Leadership That Works by Marzano et al. (2005)
and (c) Bolman and Deal’s Reframing Organizations (2013), with their four-frames model of
leadership. Because the principalship is a role that is critical for providing effective leadership,
these leadership frameworks served as a lens for the researcher in this study.
PUBLIC SCHOOL DISTRICT PRINCIPALS 135
The researcher worked as part of a team of 12 researchers from the USC Rossier School
of Education to design the study, research questions, qualitative methodology, and qualitative
and quantitative instrumentation. The team collaboratively took quantitative survey samples
from additional participants. With his own qualitative sample, the researcher identified three
emergent themes for each research question in this study, resulting in nine emergent themes.
Summary of Findings
Findings for Research Question 1
Research Question 1 asked, How have training programs and professional experiences
prepared principals to manage the complexities and challenges of the principalship? The
analysis of qualitative interview data produced three themes in which training programs and
experience have prepared principals for the position: (a) On-the-job training as a teacher leader
and prior administrative experiences, including committee work, were perceived as preparation
for the job to manage the challenges and complexities of the principalship; (b) having at least one
mentor and/or role model and access to both formal and informal networks prepared aspiring
principals for the challenges and complexities of the principalship; and (c) working hard, being
an effective instructional leader, getting known, developing good relationships with peers,
community, and supervisors, and building trust networks prepared aspiring principals for the
challenges and complexities of the principalship.
First, principals in this study’s sample identified that OJT as a teacher leader and prior
administrative experiences, including committee work, and time as an assistant principal
provided better preparation for the job to manage the challenges and complexities of the
principalship than the university programs that they had attended.
PUBLIC SCHOOL DISTRICT PRINCIPALS 136
This study confirmed prior literature that suggested that future candidates should be
willing to assume leadership roles at their school site while in their current positions in order to
gain depth and become stronger candidates for future administrative positions (Pijanowski et al.,
2009). This allows district leaders to groom emerging leaders into strong transformational
leaders to meet the needs of the district and of specific school sites and to ensure longevity in the
position (Pijanowski et al., 2009). Normore (2006) suggested that school leaders be identified
early in their careers and mentored into leadership positions, with current school leaders being
proactive in identifying prospective future leaders who fit their needs and who are committed to
the improvement of education. Educators who are encouraged to enter leadership positions
earlier in their careers increase the amount of time that they are able to spend as principals prior
to retiring (Gajda & Militello, 2008).
The survey data indicated that 95.24% of superintendents, 95.46% of human resources
administrators, and 96.43% of immediate supervisors of principals strongly agreed or agreed
with the statement, “Having experience as a teacher leader was a crucial for preparing principals
for the current positions.” The percentage increased for surveyed principals, as 98.23% strongly
agreed or agreed with the statement, “Having experience as a teacher leader was a
crucial element in preparing me for my position as a principal.”
Second, having at least one mentor and/or role model and access to both formal and
informal networks prepared aspiring principals for the challenges and complexities of the
principalship. This study confirmed prior literature that suggested that mentors helped aspiring
principals to build confidence, to be pushed forward, to not make damaging decisions, and to
have a model that they could emulate (Alsbury & Hackmann, 2006; Kowalski, 1998).
PUBLIC SCHOOL DISTRICT PRINCIPALS 137
The survey data confirmed that support for current principals, including networking,
mentoring, and coaching, has contributed to most principals’ ongoing stability and retention in
the position (Brown, 2011; Matthews & Crow, 2003; Service et al., 2016). The literature also
showed that it is important to mentor and coach educators who show an interest in or potential to
become a principal (Daresh, 2004).
Principals prepared for the principalship by working hard, being effective instructional
leaders, getting known, developing good relationships with peers, community, and supervisors,
and building trust networks to prepare for the challenges and complexities of the principalship.
This study confirmed prior literature that stated that the principal of the future must be attuned to
the “big picture” and sophisticated at conceptual thinking and transforming the organization
through people and teams (Fullan, 2002). The importance of developing relationships and
building trust networks for aspiring principals was evident in the qualitative data and confirmed
by survey data. According to the responses to the survey, 100% of superintendents, 100% of
human resources administrators, and 100% of immediate supervisors of principals strongly
agreed or agreed with the statement, “The relationships that principals have with directors,
assistant superintendents, and the superintendent support their success in retaining their current
positions.” The percentage was the same when principals responded to the question, as 100%
strongly agreed or agreed with the statement, “My relationships with directors, assistant
superintendents, and my superintendent supports my success in retaining my position as
principal.”
Findings for Research Question 2
Research Question 2 asked, What are the perceptions of principals, immediate
supervisors of principals, human resources administrators, and superintendents regarding
PUBLIC SCHOOL DISTRICT PRINCIPALS 138
strategies to recruit successful principal candidates? The analysis of qualitative interview data
produced three themes to address this research question, which was in reference to principal
recruitment. The three themes identified were not as evident as the themes for the other research
questions but were still notable to be identified. The three themes were that (a) candidates have
to be the right fit, both for the school site and the district, and have the desired
qualities (including previous experience and experience) as an instructional leader to be recruited
to their principal position; (b) candidates have to take proactive efforts to initiate exposure and
visibility within their district and also outside their district; and (c) through prior knowledge of
the district, candidates have to make connections through networking.
First, the study sample identified that a strategy to support the recruiting of principal
candidates was that they are make sure that they are the right fit, both for the school site and the
district, and have the desired qualities (including previous experience and experience) as
instructional leaders to be recruited to the principalship. This study confirmed prior literature that
suggested that possible candidates might be attracted to apply for a position based on simple
criteria such as district reputation, geographic location, or salary, rather than based on their
leadership strengths and specific skills (Richardson et al., 2016). In other words, the right
candidates are not applying for the right positions, which generates two very specific problems.
First, school districts are not clearly identifying the existing needs for their schools and therefore
are not attracting the appropriate candidates for the position. Second, the vagueness of job
descriptions is causing possible candidates to apply carelessly for the position without taking into
consideration their own personal strengths and knowledge.
Second, the study sample identified that a strategy to support the recruiting of principal
candidates was that principal candidates should take proactive efforts to initiate exposure and
PUBLIC SCHOOL DISTRICT PRINCIPALS 139
visibility within the district and outside the district. This study confirmed prior literature that
suggested that educators who are encouraged to enter leadership positions earlier in their careers
increase the amount of time that they are able to spend as principals prior to retiring (Gajda &
Militello, 2008). While there is little doubt that a principal’s professional experience, knowledge
of curriculum, and familiarity with the operation of schools are important elements that may
contribute to success, the degree of meaningful relationships that the principal develops over
time with members of the organization is of equal importance (Ortiz & Ogawa, 2000).
Third, the study sample identified that a strategy to support the recruiting of principal
candidates was for principal candidates to gain prior knowledge of the district and work on
making connections through networking. This study confirmed prior literature; Parlyo and
Zepeda (2014) concluded that an effective principal holds eight measurable and identified
characteristics. He or she has a good track record, is a good manager, is a good instructional
leader, is an effective data leader, is a team player, is a leader in the community, is a perfect fit
for the school, and has passion in leading. This literature supports the second theme and concurs
that aspiring candidates should take proactive efforts to get an administrative position.
One key strategy is to increase visibility and exposure by being seen at the district level,
serving on committees, taking initiative with new projects, and volunteering for
special initiatives. The quantitative data confirmed the importance of networking by candidates.
For the statement, “Networking with district personnel helps candidates get recruited into
principal positions in my district,” 71.9% of superintendents, 95.5% of human resources
administrators, and 82.1% of immediate supervisors agreed or strongly agreed. Of the 88
respondents who described themselves as in-district candidates, 92% indicated that networking
with district personnel was an important factor in being recruited. Of the 52 respondents who
PUBLIC SCHOOL DISTRICT PRINCIPALS 140
described themselves as out-of-district candidates, 59.6% indicated that networking with district
personnel was an important factor in being recruited.
Findings for Research Question 3
Research Question 3 asked, What are the perceived strategies that support the retention
of principals? Three themes were identified related to this research question related to principal
retention: (a) ongoing professional development and training for principals through mentoring,
professional networks, and personal coaching; (b) a positive relationship with peers and
supervisors that allows innovation autonomy and builds efficacy with personnel at all levels in
the organization; and (c) maintaining a work-self-life balance.
First, the study sample identified that principal retention is best supported by ongoing
professional development and training for principals through mentoring, professional networks,
and personal coaching. This study confirmed prior literature that support for current principals,
including networking, mentoring, and coaching, has contributed to most principals’ ongoing
stability and retention in the position (Brown, 2011; Matthews & Crow, 2003; Service et al.,
2016).
Second, the study sample identified that principal retention is best supported by
establishing and maintaining positive relationships with peers and supervisors that allows
innovation, autonomy and builds efficacy with personnel at all levels in the organization. This
study confirmed prior literature that suggested that developing and maintaining relationships is
an essential skill for principals to retain the position. Principals must manage the complexities of
working with, mentoring, and maintaining an ongoing positive relationship with staff (Adams,
1999; Byrd et al., 2006; Darling-Hammond, 2003; DuFour & DuFour, 2013).
PUBLIC SCHOOL DISTRICT PRINCIPALS 141
Third, the study sample identified that principal retention is supported by principals
maintaining a work-self-life balance. This study confirmed prior literature that suggested that the
most prominent reason that potential candidates are not applying for the principalship is that the
responsibilities of the position are constantly changing, ever increasing in volume, and becoming
more complex (Whitaker, 2001). When this is coupled with an increase in time commitment, an
increase and strong emphasis on high-stakes testing, increases in school violence, absence of
respect from the public perspective, and overall job-related stress, the position does not lend
itself to being attractive (DiPaola & Tschannen-Moran, 2003; Thomson et al., 2003).
An increase in pressures from school board members, along with federal, state, and local
mandates, limits principals from having sufficient authority at the school site (DiPaola &
Tschannen-Moran, 2003). This limited autonomy is challenging when making decisions in the
face of a large bureaucracy. A negative or nonexistent relationship with the board of education,
the superintendent, and/or other administrators can create a difficult work environment that many
experienced leaders choose to avoid (Cooley & Shen, 2000).
Limitations
The research design of this study called for a parallel-concurrent data collection period
wherein all participants were sampled in the same brief time period of 2 months. Emerging
themes were not always explicitly mentioned or described by participants. The data collection
design of this study was a limitation on the identified themes. The instrumentation of this study,
through quantitative and qualitative instruments, was also a limitation. Emergent themes from
qualitative participants were not necessarily pointed out by other qualitative participants due to
the design of the semistructured interview protocols and the quantitative surveys. Finally,
PUBLIC SCHOOL DISTRICT PRINCIPALS 142
quantitative data were limited due to time constraints on collecting data and by the total survey
response rate of 22%.
Implications for Practice
This study contributed to the body of scholarly literature by identifying strategies that
principals can take during their preparation, recruitment, and retention of the position. Although
the insights came only from the participating superintendents, human resources personnel,
district personnel who are direct supervisors of site principals, and site principals, aspiring and
current principals, superintendents, human resources personnel, and district personnel who are
direct supervisors of site principals can use the insights and themes identified in this study.
Aspiring principals can begin preparation immediately in their current position by
learning their work to the deepest levels possible and doing it to the best of their ability. In this
study, 100% of the participants pointed to the importance of their OJT as teacher leader, prior
administrative experiences, including committee work, and time as an assistant principal as more
effective preparation for the job to manage the challenges and complexities of the principalship
than the university programs that they had attended. Currently, aspiring principals can be ensured
that their own experiences and quality of work would not potentially disqualify them from being
a principal. Having at least one mentor and/or role model and access to both formal and informal
networks better prepared aspiring principals for the challenges and complexities of the
principalship; working hard, being an effective instructional leader, getting known, developing
good relationships with peers, community, and supervisors, and building trust networks prepared
potential principals for the challenges and complexities of position.
Aspiring principals should participate in networks with other educators and leaders to
build and maintain relationships with them, as well as with stakeholders, to build trust and
PUBLIC SCHOOL DISTRICT PRINCIPALS 143
confidence in their work. This process would require aspiring principals to pursue doing good
work in their current positions and sharing news of their good work through their networks.
When applying for positions, aspiring principals should make sure that they are the right fit, both
for the school site and the district, and have the desired qualities (including previous experience
and experience) as instructional leaders to be recruited to the principal position. Potential
candidates should make proactive efforts to initiate exposure and visibility within their district
and outside their district, as well as gain thorough prior knowledge of any district to which they
apply and make strategic connections through networking. Superintendents, human resources
personnel, and district personnel and site principals who are direct supervisors to aspiring
principals can contribute to principal recruitment. Although principals must pursue a positive
relationship with the superintendent, human resources personnel, and district personnel who are
direct supervisors and site principals to ensure being known as a potential candidate,
superintendents, human resources personnel, and district personnel who are direct supervisors to
site principals and site principals must also pursue a positive relationship with their future leaders
to support ongoing recruitment. If principals do not feel that they have a positive relationship and
a chance at promotion, they may leave the district for a position in another district. If a principal
position vacancy should exist, superintendents can prepare to fill the position by seeking
candidates who have had a career record of good work, site leadership, and right fit for the
position.
In order to be retained in their position, current principals must continue to maintain a
strong and positive relationship with their district support teams, as a whole and individually,
through consistent informal and formal communication. Current principals must invest time in
creating and maintaining good relationships and developing a trust network so that, when the
PUBLIC SCHOOL DISTRICT PRINCIPALS 144
organization is challenged, the principal’s position can be supported, protected, and retained.
Current principals should focus on developing and implementing strategies that increase student
achievement and focus on innovation. Ongoing professional development and training for
principals through mentoring, professional networks, and personal coaching is essential in their
success. Also, principals must learn to manage a health work-self-life balance that allows them to
remain resilient in their role. The balance will take ongoing training and a life-long learning
posture on the principal’s part.
Recommendations for Future Study
This study examined the preparation, recruitment, and retention of principals. Other areas
are worthy of study. Based on the themes identified in this study, the researcher presents the
following research recommendations for future study.
First, future research could focus on specific on-the-job experiences of principals that
were beneficial to their preparation, including mentoring relationships. Qualitative interviews
with principals and their respective mentors, both past and present, could provide insight into the
subtleties of preparing for the position.
Second, future research could include a case study or focus group on how a principal in a
high-performing school district focuses on innovation. Qualitative interviews, observations, and
collection of minutes and artifacts could inform specific strategies on innovative initiatives in
successful districts.
Third, future research could include case studies on the perceptions of successful
principals’ preparation, recruitment, and retention. In this case, future research could include a
qualitative study on how high-performing school district principals focus on being learning
PUBLIC SCHOOL DISTRICT PRINCIPALS 145
leaders and maintain an effective work-self-life balance. The focus group could produce
emergent findings that would add to this study’s findings.
Conclusion
The K–12 school principal position is complex and challenging and requires the right
strategies for preparation, recruitment, and retention (Kowalski et al., 2011). Aspiring and
current principals must carefully consider their approach toward the principal position to ensure
a successful career.
This study examined the preparation, recruitment, and retention of principals. Themes
were drawn from qualitative data and supported by quantitative data to address three research
questions related to principal preparation, recruitment, and retention. The researcher took
measures to ensure that data were collected ethically and that the themes reported were derived
scientifically. Although there is no guarantee to attain or be successful in the principal position,
aspiring principals can employ specific strategies in their preparation for and recruitment into the
position, and current principals can take action on strategies that will support retention. This
study has suggested strategies for successful principal preparation, recruitment, and retention.
PUBLIC SCHOOL DISTRICT PRINCIPALS 146
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PUBLIC SCHOOL DISTRICT PRINCIPALS 163
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
PUBLIC SCHOOL DISTRICT PRINCIPALS 164
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: _________________________________________________________________________
PUBLIC SCHOOL DISTRICT PRINCIPALS 165
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) ___________________________________________

PUBLIC SCHOOL DISTRICT PRINCIPALS 166

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
PUBLIC SCHOOL DISTRICT PRINCIPALS 167
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
PUBLIC SCHOOL DISTRICT PRINCIPALS 168

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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 169

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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 170
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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 171
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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 172
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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 173

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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 174
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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 175

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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 176
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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 177
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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 178

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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 179

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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 180
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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 181
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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 182

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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 183

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.

PUBLIC SCHOOL DISTRICT PRINCIPALS 184
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?
PUBLIC SCHOOL DISTRICT PRINCIPALS 185
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?

PUBLIC SCHOOL DISTRICT PRINCIPALS 186
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?

PUBLIC SCHOOL DISTRICT PRINCIPALS 187
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?
PUBLIC SCHOOL DISTRICT PRINCIPALS 188
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?

PUBLIC SCHOOL DISTRICT PRINCIPALS 189
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?
PUBLIC SCHOOL DISTRICT PRINCIPALS 190
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?

PUBLIC SCHOOL DISTRICT PRINCIPALS 191
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?
PUBLIC SCHOOL DISTRICT PRINCIPALS 192
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 principalship is an important position that ultimately affects student achievement. To be successful, principals must be prepared to navigate the complexities of the position or run the risk of losing the position or ending their careers early. 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 addressed this study’s three research questions through common themes. The common themes were supported by quantitative survey data. The three research questions of this study were designed to understand principal preparation, recruitment, and retention, respectively. Preparation occurred through prior on-the-job training, experience as a teacher and assistant principal, mentorship and access to formal and informal networks, and being a hardworking effective instructional leader who develops relation-ships and builds trust networks. Being the right fit, making a proactive effort to be exposed and visible inside and outside of the district, and prior knowledge of the district with connections through networking were effective recruiting strategies for principals. Having a positive relation-ship with supervisors and the superintendent, receiving ongoing professional development, building personal networks of support and trust networks, and maintaining a balance between work, self-care and life supported the retention of principals. Future research can include a focus on principal preparation, recruitment, and retention through a case study or focus group. In addition, future research can include a qualitative study on how high-performing school district principals focus on being learning leaders and maintain an effective work-self-life balance.

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Asset Metadata

Creator Noblett, Richard James (author)

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

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 05/15/2020

Defense Date 01/16/2020

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

Tag aspiring,experience,instruction,K-12 education,leadership,mentor,network,OAI-PMH Harvest,preparation,Principal,professional development,recruitment,Relationships,retention,role model,Success

Language English

Contributor Electronically uploaded by the author (provenance)

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

Creator Email rjnoblett225@bpusd.net,rnoblett@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-308837

Unique identifier UC11663298

Identifier etd-NoblettRic-8527.pdf (filename),usctheses-c89-308837 (legacy record id)

Legacy Identifier etd-NoblettRic-8527.pdf

Dmrecord 308837

Document Type Dissertation

Rights Noblett, Richard James

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