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

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

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Content Running head: PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 1
THE PREPARATION, RECRUITMENT, AND RETENTION OF CALIFORNIA
K-12 PRINCIPALS
by
Andrea Katanic
A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION

May 2020
Copyright 2020 Andrea Katanic
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 2
Acknowledgments
I thank my parents for raising me to be a critical thinker, a problem solver, and to be
independent. My parents taught me the value of education, and it has become my life’s work.
I thank Roy Umana for his friendship throughout this process. When I was discouraged,
he encouraged me to keep going. I could not have made it through this program without his
support and feedback.
Thanks Jonathan Blackmore and Elizabeth Eminhizer for paving the way by going before
me through this program. I thank Jonathan for sharing resources and reteaching me when
necessary; his organization and encouragement were invaluable to me. I am grateful to Dr.
Richard Sheehan for his leadership and for encouraging me to pursue this degree.
Thanks to my Thursday cohort group for their support, companionship, and laughs.
Thanks especially to those in my dissertation group for their collaboration throughout the
process.
Thanks to my University of Southern California professors, particularly Dr. Michael
Escalante, dissertation chair, and committee member, Dr. David Cash. I am grateful to Dr.
Kenneth Yates, Dr. Briana Hinga, and Dr. Rudy Castruita for pushing my thinking as a practitio-
ner and scholar in educational leadership.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 3
Table of Contents
Acknowledgments 2
List of Tables 6
Abstract 7
Chapter One: Introduction 8
Background of the Problem 9
Statement of the Problem 9
Purpose of the Study 10
Research Questions 10
Significance of the Study 11
Assumptions 11
Limitations 11
Delimitations 12
Definition of Terms 12
Organization of Study 13
Chapter Two: Review of the Literature 15
A Brief History of the Principalship 15
Preparation for the Principalship 19
California Principal Certification 20
University Certification Programs 21
Nonuniversity Training Programs 24
Recruitment 25
Qualities Sought in Candidates 26
Strategies 26
Opportunities To Diversify 27
Increasing Applicant Pool 28
Retention 28
Mentoring 30
Conceptual Framework 30
Four-Frames Model 31
Figure 1. Conceptual framework for study 32
The Principal: Three Keys to Maximizing Impact 33
School Leadership That Works 34
Chapter Summary 35
Chapter Three: Research Methodology 36
Research Questions Restated 36
Research Design 36
Research Team 36
Conceptual Framework 37
Qualitative and Quantitative Research 37
Population and Sample 39
Access and Entry 40
Instrumentation 40
Quantitative Instrumentation 41
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 4
Qualitative Instrumentation 41
Data Collection 42
Data Analysis 43
Validity, Credibility, and Trustworthiness 43
Ethical Considerations 44
Chapter Summary 45
Chapter Four: Findings 46
Study Participants 47
Qualitative Interview Participants 47
Quantitative Survey Participants 49
Findings for Research Question 1: Preparation 52
On-the-Job Training 56
Mentors 61
Informal Networks of Support 64
Summary of Results for Research Question 1 66
Findings for Research Question 2: Recruitment 67
Mentoring 71
On-the-Job Experience 73
Teacher Leadership Experience 75
Summary of Results for Research Question 2 77
Findings for Research Question 3: Retention 77
District Office Support 79
Mentoring 82
Professional Relationships with Peers 84
Summary of Results for Research Question 3 86
Chapter Summary 86
Chapter Five: Discussion, Implications, and Recommendations 88
Purpose of the Study Restated 89
Summary of Findings 90
Research Question 1 90
Research Question 2 91
Research Question 3 92
Implications 93
Recommendations for Future Study 94
Conclusion 94
References 96
Appendices
Appendix A: Research Participants’ Invitation E-mail 104
Appendix B: Informed Consent 105
Appendix C: Principal Survey 106
Appendix D: Human Resources Administrator Survey 114
Appendix E: Immediate Supervisor of Principal Survey 118
Appendix F: Superintendent Survey 122
Appendix G: Principal Interview Guide 126
Appendix H: Human Resources Administrator Interview Guide 128
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 5
Appendix I: Immediate Supervisor of Principal Interview Guide 130
Appendix J: Superintendent Interview Guide 132
Appendix K: Question Alignment Matrix 134
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 6
List of Tables
Table 1: Summary of Quantitative Participants 50
Table 2: Demographic Data for Participating Principals (N = 115) 51
Table 3: Principals’ Survey Items and Responses Aligned to Research Question 1,
Dealing With Preparation (N = 115) 53
Table 4: Principals’ Responses Indicating Perception That on-the-Job Experience
Was More Valuable than University Training Programs (N = 115) 57
Table 5: Summary of Data on Whether Mentoring Was Instrumental in Preparing
Individuals for the Position of Principal: Survey Items and Responses
Aligned to Research Question 1, Dealing With Preparation 62
Table 6: Responses Indicating That Informal Networks of Support Prepared Principals
for the Position 65
Table 7: Principals’ Survey Items and Responses Aligned to Research Question 2,
Dealing With Recruitment (N = 115) 68
Table 8: Principals’ Survey Items and Responses Aligned to Research Question 3,
Dealing With Retention (N = 115) 78
Table 9: Responses Indicating That District Support Impacted Principal Retention in
District B: District B Principals and All Principals 81
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 7
Abstract
The purpose of this study was to examine the preparation, recruitment, and retention of
K-12 principals in California. Considering that the role of the principal is critical to student
achievement, it is valuable to identify the preparation and skills needed for principals to meet the
challenges and complexities of the principalship. It is also valuable to identify the recruitment
and retention strategies that individuals and districts must use to keep principals in this crucial
role. This study’s research questions were as follows:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
This study presented the perceptions of principals, immediate supervisors of principals,
human resource administrators, and superintendents from 37 public school districts in southern
California. Findings revealed nine themes related to each of the three research questions.
Effective principal preparation occurred through on-the-job training, mentorship, and informal
systems of support. Recruitment strategies for principals included mentor relationships, on-the-
job experience, and teacher leadership experience. Perceived support of district office adminis-
trators, having a mentor, and professional relationships with peers contributed to the retention of
principals. Finally, this study suggested that mentor relationships are a key component of the
preparation, recruitment, and retention of principals and that these relationships are a worthy
topic for further research.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 8
CHAPTER ONE: INTRODUCTION
The principal of a school holds a critical role in the education of California’s K-12
students. Principals provide direction for the school, build collective efficacy, shape instructional
focus, and ensure the function of the organization (Marzano, Waters, & McNulty, 2005). It is the
second most influential role contributing to student success, only behind that of the teacher
(Fullan, 2014). The principal is responsible for managing certificated and classified staff,
building culture, and monitoring facility maintenance, all while increasing student achievement
(Bolman & Deal, 2013). Aspiring principals must be prepared for the demands of the position,
which requires knowledge in classroom instruction, fiscal management, support services, and
human resources. While having served as a teacher is a prerequisite of the job, teaching experi-
ence is not an indicator of future success as a principal. K-12 school districts must understand
the complexities of the principal’s position in order to select candidates with the proper training
and skill set for success. The preparation, recruitment, and retention of California principals are
essential components in the development of aspiring principals.
The study dealt with the preparation, recruitment, and retention of successful principals in
California. This study examined the perceptions of current principals and district office person-
nel regarding the proper preparation, techniques for recruitment, and the strategies required to
retain the position of principal in a California K-12 school district. This chapter contains the
background of the problem, statement of the problem, the purpose of the study, research ques-
tions, significance of the study, limitations, delimitations, and definitions of terms.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 9
Background of the Problem
The principalship is multifaceted, and many potential candidates do not recognize the
complexity of the position (Baker, Punswick, & Belt, 2010; Kavanaugh, 2005). Most principal
candidates hold the necessary prerequisites but do not have a thorough understanding of the
requirements of the job. The pressures of accountability systems, expectations placed on princi-
pals, low compensation for high demands, and the excessive amount of time required for the job
have led to challenges related to retaining successful principals (Norton, 2002). The responsibili-
ties 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 et al., 2005; Spillane & Lee, 2014).
Although many principals are successful in the position, the pipeline of aspiring principals with
potential for success may be insufficient (Meyer & Feistritzer, 2003; Normore, 2006). Research
has shown that 1 in 5 principals left their school within 2 years and that many school districts
report a lack of qualified applicants (Pijanowski, Hewitt, & Brady, 2009). Given the potential for
an insufficient pipeline of principals as well as principals leaving the position, further consider-
ation must be given to principal preparation, recruitment, and retention.
Statement of the Problem
The role of the principal has become more complex and challenging since its beginnings.
According to Brubaker and Simon (1986), the roles, responsibilities, and expectations of a
principal have continued to evolve since the inception of the position in the mid-1600s. School
districts must thoughtfully consider the proper preparation and necessary skill sets for principals
to be successful in order to recruit and support the ongoing retention of those in the position.
Preparation programs, both university and nonuniversity, have made attempts to train aspiring
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 10
principals to be recruited and have success in the position but may have fallen short in their
efforts (Barnet, 2004; Davis & Darling-Hammond, 2012; Hess & Kelly, 2007). Supports for
current principals, including mentoring and coaching, have also contributed to the ongoing
success and retention of those in the position; however, principal turnover remains high (McCon-
ney, Ayres, Hansen, & Cuthbertson, 2003). This situation signifies an overall problem in the
preparation, recruitment, and retention of successful principals (Meyer & Feistritzer, 2003).
Purpose of the Study
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of successful California K-12 principals. The principal is the second most critical
influence on student achievement—only behind that of the teacher (Fullan, 2014). Considering
how the role of the principal is critical to student achievement, it is valuable to identify the
preparation, supports, and skills required for principals to meet the challenges and complexities
of the job as well as the support and retention efforts that districts must use to keep principals in
this crucial role (Marzano et al., 2005).
Research Questions
The following research questions guided the study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 11
Significance of the Study
This study should serve to inform multiple stakeholders. Aspiring principals will be
informed of the strategies and skills needed to prepare themselves for the principalship. K-12
school districts will be informed on how best to recruit stronger candidates and then to retain
those candidates in the position. University and nonuniversity training programs will be
informed on the impact that their programs make on principals’ success once they enter the
profession. This study should also inform current principals about the strategies necessary to
achieve success and longevity in their positions.
Assumptions
The results of this study were based on the assumption that successful principals are
individuals who are currently employed as a principal in their district. It was assumed that all
participants would be truthful in their survey and interview responses and that the interview and
survey protocols would provide the research team with accurate, reliable, and valid information.
It was assumed that the sample would reflect the beliefs of district office personnel and superin-
tendents in the state of California.
Limitations
Limitations address matters that are beyond the control of the researcher (Simon & Goes,
2013). Even though measures were taken to ensure the reliability and validity of the study, the
study had limitations. The first limitation was that the study could not sample the entire census
of California K-12 principals. Due to the location constraints of the research team, the results of
the study were limited to participants in California. Second, only participants who responded
voluntarily were included in the study. The study was constrained by time because it took place
over a brief period; this time constraint may have reduced generalizability (Merriam & Tisdell,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 12
2016). Findings may be generalizable only to districts that participated in the study. The reliabil-
ity of the quantitative and qualitative instruments may have affected the validity of the study.
The research group used triangulation and examined multiple theories to increase the credibility
of the study (Merriam & Tisdell, 2016).
Delimitations
Simon and Goes (2013) defined delimitations as the limitations that result from specific
decisions made by the researcher. One delimitation of the study was the small study sample
based on time and convenience. Although the research group collected data from a purposeful
sample, a delimitation of this study was that the research group collected a convenience data
sample from California K-12 principals and district office personnel.
Definition of Terms
For the purpose of this study, the following terms are defined:
Association of California School Administrators (ACSA): The largest umbrella organiza-
tion for school leaders in the United States (ACSA, 2019).
Change agent: A leader who challenges the status quo (Fullan, 2014; Marzano et al.,
2005).
Direct supervisor: A district office administrator who oversees the evaluation and
mentoring of a site principal.
Human resource personnel: Those working in the human resources department of a
school district who oversee hiring practices.
Mentoring: A relationship focused on developing an individual professionally and
personally (Bloom, Castagna, & Warren, 2003).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 13
Preparation programs: A university, professional organization, or embedded training that
supports a principal candidate in obtaining the skills necessary for the principalship.
Principal: The head or leader of a school.
Principal preparation: The strategies used by an aspiring principal that equip him or her
for the principal position.
Principal recruitment: The process or strategy used by school districts or individuals to
hire principals.
Principal retention: The process or strategies used by a principal or district personnel to
support the retention of the position.
Principalship: The office, position, or jurisdiction of a principal.
School district: A local education agency that operates schools in a particular geographic
location.
Successful principals: Individuals currently serving as principals.
Superintendent: The administrator or manager in charge of multiple schools within a
school district.
Tapping: The informal process of current administrators identifying and encouraging
teachers with leadership skills to pursue administrative positions.
Organization of Study
This dissertation is organized into five chapters. Chapter One has presented an introduc-
tion to the study, the problem the study will seek to understand, the research questions that the
study will seek to answer, the significance of the study, the limitations and delimitations, and the
definition of terms. Chapter Two contains a literature review of the scholarly literature relevant
to this study. Chapter Two also provides a theoretical and conceptual framework that acts as a
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 14
lens for the study. Chapter Three presents the study’s methodology, a description of the sample
and population, instrumentation, data collection, and data analysis that will be utilized for the
study. Chapter Four reports the study’s findings and how they answer the study’s research
questions. Finally, Chapter Five presents the study’s conclusions; future implications; and rec-
ommendations for further research relating to K-12 principal preparation, recruitment, and
retention.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 15
CHAPTER TWO: REVIEW OF THE LITERATURE
This chapter provides a review of relevant literature regarding successful school princi-
pals. The principalship is a complex role. Changing characteristics of schools, including student
populations, initiatives, and increased accountability put added pressure and responsibilities on
principals (Hoyle & Wallace, 2005). As a result, the recruitment, preparation, and retention of
principals are now more critical than ever. Given the significance of the role of principal, critical
skills are needed to fulfill the duties of the position successfully. This chapter first summarizes
the history of the position of principal, current preparation programs for principals, the recruit-
ment of qualified principals, and then the retention of successful principals. Theoretical and
conceptual frameworks are also addressed at the conclusion of the chapter.
A Brief History of the Principalship
Through the years education has evolved, and with that evolution, the position of princi-
pal has developed and changed. The literature on principals throughout the history of education
documents the evolution of the role in response to societal demands (Brown, 2005; Brubaker &
Simon, 1986; Kavanaugh, 2005). With each evolution, the demands of the position increase and
become more complex. Today the role calls for a synthesis of skills and knowledge.
The earliest role that evolved into what is now known as principal began as a teacher-
scholar referred to as the schoolmaster or headmaster (Brubaker & Simon, 1986). In the schools
of the 1600s and 1700s, these first principals were head teachers who spent most of their time
teaching even though they were in charge of the school and responsible for both teaching and
keeping order (Brubaker & Simon, 1986). In addition to teaching, the headmaster monitored
teachers and classrooms, implemented policies, and performed clerical and janitorial tasks
(Brubaker & Simon, 1986; M. D. Richardson, Short, & Prickett, 1993). The headmasters of this
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 16
time were adept in the field of education with a background in pedagogy and curriculum and
were referred to by historians as master teachers (Brown, 2005). The main responsibilities of
principals during this period were to implement curriculum and to maintain school operations.
As schools became more complex in the 1700s and 1800s, they required a full-time head
teacher more involved with administration and less with instructional matters (Kowalski, 2010).
These head teachers acted as supervisors, managed clerical duties, scheduled classes, oversaw
maintenance, and communicated with the community and school board (Kavanaugh, 2005). At
that time, the head teacher position had no requirements and was often the teacher who was most
efficient at clerical tasks (Kavanaugh, 2005). The headmaster, or principal, was required to learn
the profession from on-the-job experience (Kavanaugh, 2005). This role now included budget
development, personnel management, operations, and facilities (Murphy, 1998).
In the 1800s, the position evolved further to again take on instructional and disciplinary
responsibilities along with managerial responsibilities (Kowalski, 2010). From here, the position
became officially known as principal but remained loosely defined. The first principals held
conferences with teachers, oversaw testing, held teacher meetings, as well as suspended students
and prevented truancy (Brubaker & Simon, 1986). During this time frame, educational institu-
tions began school administrator preparation programs (Brubaker & Simon, 1986).
Subsequently, the role of principal evolved as the progressive era of the 1920s emerged
(Murphy, 1998). The principal, driven by the moral earnestness of the progressive movement,
was seen as the priest of the parish (Brown, 2005). The principal became a social activist for
education (Brown, 2005; Cubberley, 1923). In the 1930s, the role of principal shifted from an
evangelical extreme to being more of a business executive (Kavanaugh, 2005). The Industrial
Revolution had a lasting impact on education. During this time, educators were intent on
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 17
borrowing from business practices and applying them to education. This acceptance of business
practices led to the development of the principal as an executive (Kavanaugh, 2005). The
management movement of the corporate world began to influence school administrators
(Murphy, 1998). At this time, some even viewed schools as factories and students as the raw
materials (Kavanaugh, 2005). Formal school administrator preparation came about during this
time (Murphy, 1998). The Department of Education at Stanford created an education program to
train administrators in the science of school management (Brown, 2005; Miller & Knott, 1987).
Up until the 1900s, training for principals had been similar to that of teachers (Mondale &
Patton, 2001). When considering leaders in education, more value was put on managerial skills
over educational prowess.
With the Great Depression of the 1930s came yet another shift in school leadership, and
the principalship continued to evolve. Greater power was given to the government as a result of
the Great Depression (Kowalski, McCord, Peterson, Young, & Ellersion, 2011). With this shift,
the principal became a statesman, a political figure in an educational system. As a statesman, the
principal garnered support for education. During this era principals also championed public edu-
cation and lobbied for school funding to support free public education (Brown, 2005; Murphy,
1998). The mood of the times required a more political and human relations focus, with the
leader coming alongside teachers to make shared decisions (Kowalski, 2004).
After the Great Depression came the Cold War Era, where principals were asked to focus
on the science of their position along with science instruction for students. The running of the
school also became more of a science, with decisions based on current research (Kavanaugh,
2005). At this time, principals began using empirical research to support teaching strategies;
facilities were updated; and the best and brightest were sought out to teach the future of America
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 18
(Brown, 2005). Assessment and accountability began to play a role in the principal’s position,
and performance became an increasing expectation (Kavanaugh, 2005).
In the 1950s, external events further changed the role of the principal. Brown v. Board of
Education of Topeka (1954) changed American schools forever. School districts throughout the
country were ordered to desegregate and to be mindful of social issues (Jackson, 1995). The
immigration and urbanization of the 1960s increased the need to maintain social order, build
nationalism, shape good citizens, reform society, and stimulate economic growth (Jackson,
1995). The 1970s brought the increased impact of societal problems on education, including
racial tension, substance abuse, and teen pregnancy (Brown, 2005). These problems required the
principal to provide remedies and turned the principal’s primary attention away from academic
leadership (Brown, 2005). These social changes led to dramatic changes in the American educa-
tional system. The principal became a different type of executive, the social scientist (Kava-
naugh, 2005). Principals were expected to solve problems of democracy and multiculturalism
by using scientific reasoning (Kavanaugh, 2005). This evolution of the principal to scientific
manager and human relations agent continued through the 1980s (Kowalski, 2004).
With the publication of A Nation at Risk (Gardner, Larsen, Baker, Campbell, & Crosby,
1983) came a period of extensive school reform including increased accountability, stringent
education standards, and intense professional certification requirements (Murphy, 1998; Gardner
et al., 1983). This era required the principal to be directly involved in the teaching and learning
process in order to increase student achievement (Brown, 2005; Gardner et al., 1983). The prin-
cipal evolved into the instructional leader with a vision and plan for student success (Kavanaugh,
2005). This era of top-down leadership continued until the early 1990s, when a wave of reform
called for a shift from top-down to bottom-up leadership (Kavanaugh, 2005). During this era, the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 19
principal was faced with a simultaneous increase in expectations and a decrease of positional
power (Brown, 2005).
All of the foregoing leads to the current iteration of the principal as the lead learner
(Brown, 2005). The principal functioning as the lead learner requires the individual to facilitate
the learning community, but the principal cannot serve only as the facilitator. The current
position is a complex one that requires the principal to wear many hats. Principals today must
facilitate bottom-up leadership while maintaining immaculate campuses and providing outstand-
ing human resource support (Kavanaugh, 2005). Public schools now have to maintain enroll-
ment in a competitive market, with charter schools and private schools competing for the same
students (Brown, 2005). The principal must be a problem solver while avoiding the use of the
top-down approach to solve those problems (Kavanaugh, 2005). A principal today must focus on
academic standards, connecting learning to prior knowledge, providing real-world experiences,
and promoting a student-centered curriculum (Brown, 2005)—all while providing leadership that
is visionary, moral, cultural, transformational, collaborative, and distributive (Kavanaugh, 2005).
Preparation for the Principalship
Throughout the years, the responsibilities of the principal have increased; therefore, the
preparation of future school leaders is vital (Brown, 2005). While the first principals had no
formal training for the position, formal college courses have been available since the early 1800s
(Cubberley, 1923). In the early 1900s, education institutions in the United States began offering
a systematic study of educational leadership similar to programs for law and medical degrees
(Levine, 2005a). Early programs for educational leaders were inconsistent on what the program
would prepare them to do and what degrees they would earn (Levine, 2005a).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 20
School districts in the 21st century face constant demands and challenges that necessitate
principals who can manage instructional shifts, political bureaucracy, union relations, and more.
Over the years, the demands on principals have increased; and with those, preparation programs
have risen to meet those demands (Levine, 2005b). Early on in education, researchers deter-
mined that the quality of school leadership is dependent upon the quality of the leader’s prepara-
tion (Cubberley, 1923). This situation remains true today. In this age of accountability, the
preparation of quality principal candidates is more important than ever.
No single agency or organization has the capacity to provide the full range of professional
learning needed for California principals (Hernandez & Roberts, 2012). While many see two
options, university programs or nonuniversity programs, the answer may be both (Thomas &
Kearney, 2010). California principals have options for certification: traditional higher education
programs offered through universities, nontraditional programs offered through outside agencies,
or testing. For additional education but not California state certification, there are also nonuni-
versity education programs available to provide additional support for principals prior to attain-
ing a job and also once in the position. Principal preparation programs and ongoing support
programs are essential to a principal’s success. The following sections will discuss the literature
on certification for California principals and ways principals can prepare for the position.
California Principal Certification
California’s two-tiered principal certification program is outlined online by the Commis-
sion on Teacher Credentialing (CTC; 2017). To be eligible for a K-12 public school principal
position in California, a candidate must be eligible for the Tier One Preliminary Administrative
Services Credential (Thomas & Kearney, 2010). To be eligible for a Tier One Preliminary
Credential, candidates must also complete a commission-approved administrator preparation
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 21
program (CTC, 2017). In addition, the candidate must hold a valid California Teaching Creden-
tial, a California Pupil Personnel Service Credential, a Teacher Librarian Services Credential, a
Speech-Language Pathology Service Credential, a Clinical Rehabilitation Service Credential, or a
School Nurse Service Credential, along with at least a bachelor’s degree (CTC, 2017). Principal
candidates can be exempt from a formal preparation program by taking and passing the Califor-
nia Preliminary Administrative Credential Examination (CTC, 2017).
Once a candidate is hired as a principal, the employee must then clear the Tier One
Administrative Credential by completing a program of advanced preparation in cooperation with
the candidate’s employer, a State Board of Education-approved Administrative Training
Program, a CTC-approved alternative preparation program, or equivalent examination or experi-
ence (CTC, 2017). Once a program is completed along with at least 2 years of full-time adminis-
trative experience, the principal may apply for the Tier Two Clear Administrative Credential
(CTC, 2017).
University Certification Programs
Formal preparation for principals is offered through academic programs at universities.
While early preparation programs primarily focused on school management, the current age of
accountability requires a greater focus on leadership programs (CTC, 2017). Exemplary univer-
sity programs produce successful principal candidates, and studies have determined that these
exemplary programs had common characteristics (Reames, 2010). The research of Darling-
Hammond, Meyerson, LaPointe, and Orr (2007) identified seven characteristics present in
exemplary principal preparation programs, including content that is research based and aligned
with professional standards, internships, problem-based learning strategies, collaboration with
peers, and mentoring or coaching (Davis & Darling-Hammond, 2012; Jackson, & Kelley, 2002).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 22
Studies also stressed the importance of recruitment, financial support, and district or state infra-
structure support. With the implementation of Common Core State Standards for students, there
have been increased efforts to create principal preparation programs that reflect similar compo-
nents such as hands-on experiences, thematically integrated curriculum, and collaborative part-
nerships (Darling-Hammond et al., 2007). Many programs have taken steps to implement a
cohort model program where candidates work collaboratively with peers (Davis & Darling-
Hammond, 2012). These positive shifts toward principal preparation demonstrate a move toward
best practices for these programs (Olson, 2007).
California’s principal preparation programs are based on the California Professional
Standards for Educational Leaders (CPSELs) and carry many elements of the traits identified in
the research of Darling-Hammond et al. (2007). The CPSELs, based on the Interstate School
Leaders Licensure Consortium’s (ISLLC) standards, are the implementation of a shared vision
for instructional leadership teamed with management and learning environment, family and
community engagement, ethics and integrity, and external context and policy (Darling-Hammond
et al., 2007). The ISLLC standards were developed to maintain consensus on the standards on
which universities would base curriculum content and performance measures for principal
preparation programs (CTC, 2014). University programs offer credential eligibility and
advanced degrees to prepare individuals for the role of principal (Jackson & Kelley, 2002).
Even with clear indicators of exemplary principal preparation programs, Hess and Kelly’s
(2007) analysis of syllabi from actual principal preparation classes found that only 2% of course
weeks addressed accountability, less than 5% included instruction on managing school improve-
ment, and little attention was devoted to leaders in the areas of school management outside of
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 23
education. In spite of progress toward improving principal preparation programs, this research
leads to criticism regarding program effectiveness.
Critics of university programs argue that universities do not adequately prepare students
for the roles and responsibilities of the principalship and therefore need to change their approach
(Kowalski, 2010). Hess (2003) asserted that professors of education have insisted on linking
educational administration to teaching rather than developing the much-needed managerial skills
to lead a school. According to critics, university programs must do more than require a set of
predetermined coursework that leads to administrative licensure (Hess & Kelly, 2005). Some
suggestions for improvement include the application of skills, instructional strategies that link
theory and practice, providing candidates with field-based internships with school districts, and
organizing students into collaborative groups (Davis & Darling-Hammond, 2012). It was also
recommended that university programs implement rigorous recruitment practices of both candi-
dates and faculty (Davis & Darling-Hammond, 2012). Raising admissions requirements for
principal preparation programs to require the demonstration of successful experience in a leader-
ship role could increase the quality of candidates exiting programs (Brown, 2005).
Critics of university programs include organizations such as the privately funded Broad
Foundation (Meyer & Feistritzer, 2003). Research funded by the Broad Foundation calls univer-
sity training programs ineffective and asserts that the job should be taken out of the hands of
universities and given to outside providers (Brown, 2005; Hess & Kelly, 2007). The foundation
has argued that a more talented pool of candidates should be tapped, including candidates
without experience in education (Meyer & Feistritzer, 2003). The Broad Foundation created a
national executive leadership development program called The Broad Center, with the intention
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 24
of raising student achievement by recruiting executive leadership to become school district
leaders (Meyer & Feistritzer, 2003).
Nonuniversity Training Programs
Informal preparation programs for principals consist of training that is outside of univer-
sity training. The formal preparation program for a Tier One Preliminary Administrative
Services Credential can be bypassed by candidates taking and passing the California Preliminary
Administrative Credential Examination (CTC, 2017). There are a variety of alternatives to
university programs for the Tier Two Clear Administrative Credential. The most common
alternatives are district-based programs, but county-based programs and outside vendor programs
are also options (Hess & Kelly, 2007).
Professional organizations for principals help to share the burden of training future
principals. The ACSA (2019) offers credential programs for both preliminary and clear adminis-
trative credentials. ACSA’s preliminary credential program is a 1-year program with six courses.
The Tier Two credential program offered by ACSA is a unique program with individualized,
one-on-one, job-embedded coaching over the course of 2 years. ACSA’s goal by offering an
alternative to university programs was to improve practices related to principal guidance,
support, and evaluation because district and university programs were considered outdated
(Kearney, 2005). To fill the gap of providing support for principals after preservice programs,
ACSA developed a coaching program offering on the job support (Bloom et al., 2003). In addi-
tion to credential and coaching programs, ACSA (2019) offers training and workshops on current
topics in education for both future and current principals.
There are also nonprofit and for-profit programs available for principal certification. One
option, New Leaders for New Schools, offers an accelerated program for candidates who have 3
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 25
years of teaching experience (Hess & Kelly, 2005). In this program, candidates join a national
cohort that meets 7 days a week for 6 weeks straight (Hess & Kelly, 2005). The curriculum for
this unique accelerated program focuses on transformational leadership, instructional leadership,
and organizational leadership using literature from both the business and educational fields (Hess
& Kelly, 2005). Once coursework is complete, students are placed under site mentors in 1-year
internship positions, where they must show evidence of increased student achievement, oversee a
team with a focus on student achievement, and start an initiative to solve a problem and demon-
strate success (Hess & Kelly, 2005). Support continues after candidates become principals in the
form of support groups that provide guidance and mentorship (Hess & Kelly, 2005).
Recruitment
Given that the principal has one of the greatest impacts on student achievement, second
only to teachers, the recruitment of qualified principals is vital (Ash, Hodge, & Connell, 2013).
The recruitment of principals is a challenging human resources task that has remained largely the
same for the last 30 years in education (Normore, 2006). Districts must adopt recruitment strate-
gies to attract highly qualified administrators to fill their open principal positions.
There appears to be a significant mismatch between what researchers have identified as
the role of the principal and the qualifications that school districts require (J. W. Richardson,
Watts, Hollis, & McLeod, 2016). Attracting, screening, and identifying quality candidates is a
difficult task that is made even more difficult by the fact that 30% of school districts in the
United States do not even have strategies for recruiting candidates (Normore, 2006). The recruit-
ment and selection process for principals has been described as haphazard by Fenwick (2000).
Furthermore, literature shows that school districts that apply selection strategies still do not hire
the most effective principals (Ash et al., 2013; Whitaker, 2001).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 26
Qualities Sought in Candidates
According to Whitaker (2003), the picture of a principal has changed. Whitaker (2003)
identified five categories that principal candidates must master: site-based management, leader-
ship, accountability, parent and community relationships, and school policies (Whitaker, 2003).
School districts seek minimum and preferred qualifications in order to narrow the applicant pool
to the strongest candidates. Districts can increase retention of successful candidates by first
selecting individuals with the appropriate skill set. Candidates must have the skills to be both
instructional leaders and managers for the business of a school (Kowalski, 2010).
Strategies
Building successful administrative teams requires identification of potential internal
candidates as well as attracting successful external candidates. School districts should recognize
teachers with leadership potential and provide them with opportunities to develop the skills to
move into administration (Normore, 2006).
Another strategy for recruiting potential candidates is to foster relationships with local
colleges and universities. These partnerships can help school districts to find high-quality candi-
dates (Pijanowski et al., 2009). Districts should also consider using financial incentives to attract
candidates through salary incentives when possible (Normore, 2006).
A strong interview and selection process can significantly increase the quality of princi-
pals. The selection process for principalships in some school districts has been reduced to a
feeling that the interview panel has about a candidate rather than the qualifications and experi-
ence that the individual possesses (Ash et al., 2013; Whitaker, 2001). The selection process for a
principalship should focus instead on the behaviors and characteristics of successful principals
(Marzano et al., 2005).
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 27
Opportunities To Diversify
Data show that there is an overrepresentation of White principals throughout the nation
(Meyer & Feistritzer, 2003). Principal selection presents school districts with an opportunity to
diversify the position. In California, the ethnic and gender makeup of principals does not match
the diversity of California’s schools. Gender discrepancies in the principalship exist as well.
Although women account for 52% of California principals, the highest administrative positions
are still predominantly held by men (Hill, Ottem, & DeRoche, 2016). According to Hoff,
Menard, and Tuell (2005), 92% of survey respondents indicated that one must hold the position
of a high school principal in order to advance to the district office or to become superintendent.
The lack of women in the high school principal positions contributes to gender disparity at the
district office level as well. One study reported that 76% of females were nudged into their first
administrative position (Hoff et al., 2005). Females often doubt their abilities, even though
female candidates typically have more preparation, more years in the classroom, more advanced
degrees, and more administrative experience than their male counterparts (Kruse & Krumm,
2016). Since 1987, there has been a 22% increase of women in principalships, but that is not
enough (Meyer & Feistritzer, 2003).
In spite of legislation enacted in the 1970s and 1980s intended to extend equal opportuni-
ties and job opportunities to minorities, disparities exist for principals of color. Out of over
80,000 principals in the United States, only 10% of those principals identified as Black and only
7% as Hispanic (Sanchez, Thornton, & Usinger, 2008). Given that achievement for minority
students goes up with the presence of minority principals, school districts should see the recruit-
ment process as an opportunity to diversify the position (Sanchez et al., 2008). Since the 1980s,
the percentage of female principals and principals of color has increased toward more equitable
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 28
levels, but barriers continue to exist (Hoff et al., 2005). The recruitment process provides
districts with an opportunity to intentionally pursue female and minority candidates in order to
move towards greater equity.
Increasing Applicant Pool
There are many deterrents that potential candidates face when considering applying for a
principal position. Higher expectations, accountability related to student outcomes, long work
weeks, and mandated paperwork were noted as reasons for the shrinkage in principal applicant
pools (Normore, 2006). Another predominant obstacle was salary. Respondents perceived that
current salaries did not match the increased responsibilities of the job (Whitaker, 2001).
Whitaker and Vogel (2005) made a connection between these role changes and the issue of
principal recruitment.
Teachers once saw leaving the classroom for administration as a means of gaining higher
status and respect from colleagues. However, this situation is no longer true and contributes to
many highly qualified teachers staying out of the applicant pool (Normore, 2006).
Retention
School districts have the difficult task of recruiting and retaining high-quality principals.
The principal’s role is now at the most challenging point in the history of the position. Gajda and
Militello (2008) saw the principalship as a revolving door based on the attrition rate of the
position. With ever-increasing accountability and job expectations, districts face the possibility
of a shrinking applicant pool as well as the attrition of sitting principals. Strong principal leader-
ship has a positive effect on student achievement; hence, the retention of successful principals is
critical (Waters, Marzano, & McNulty, 2003). Now, more than ever, it is crucial to retain suc-
cessful principals. To retain successful principals, the reason that principals are leaving the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 29
position must be examined. School districts must then develop strategies to retain highly quali-
fied leaders.
A number of circumstances can limit a principal’s tenure in a position. Working condi-
tions, including stress, support, and salary, have been cited as concerns for retention (Fuller,
Hollingworth, & Young, 2015; Hoff et al., 2005; Thomson, Blackmore, Sachs, & Tregenza,
2003). The position of principal is plagued with long hours, low salary, high stress, and the
pressure of high-stakes accountability (Thomson et al., 2003). One of the most significant
impacts on principal turnover is salary (Fuller et al., 2015). Research on principalships in this era
of high-stakes testing and accountability has shown this to be a significant factor in the retention
of principals (Fuller, Young, & Baker, 2011). Thirteen of respondents in Gajda and Militello’s
(2008) study indicated that they were leaving the position due to the low salary in relation to the
responsibilities of the position. Research has demonstrated that the wages of principals have not
kept pace with salary increases outside the field of education. When examining daily pay rates,
work year calendars, and job responsibilities, it is evident that principals are underpaid (Norton,
2002). Research has shown that the principals who stay in their position are those with higher
salaries than their peers; one of the most powerful strategies for impacting principal retention is
salary (Baker et al., 2010).
Principals face considerable stress on the job. Gajda and Militello’s (2008) study indi-
cated that 21% of respondents cited stress as the primary reason for leaving the position. Addi-
tionally, 12% of respondents in the same study indicated that they were leaving because the job
was too complex and time demanding; an additional 6% cited the pressures of high-stakes testing
(Gadja & Militello, 2008). Job stressors can include long hours at night and on weekends,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 30
dealing with conflicting demands, and being pulled from one activity to another at a rapid pace
(Thomson et al., 2003).
Other concerns for principal retention were facilities, human resources, autonomy, and
relationships with the central office (Fuller et al., 2015). In addition, the research of Fuller et al.
(2015) demonstrated that academic performance and the level of poverty contribute to the reten-
tion of a principal. The current conditions of education are a concern for both potential princi-
pals and current principals.
Mentoring
While preparation of principals plays a significant role in future success, supporting
principals on the job is equally critical. Mentoring in the workplace has come to the forefront as
an important element in helping principals achieve personal and professional goals (Bloom et al.,
2003). Mentoring can be an effective strategy for supporting and retaining principals (Mitgang,
2007). Mentorship programs can effectively assist principals with overcoming some of the diffi-
culties they face (Norton, 2002). Farkas, Johnson, and Duffett’s (2003) survey of principals
indicated that 96% felt that on-the-job support from peers was far more helpful than academic
studies. Additional research has indicated that mentorships assist principals with effective
feedback to teachers, providing professional development, making critical decisions, and devel-
oping overall leadership capacity (James-Ward, 2013). Principals in effective mentor relation-
ships note an increase in job satisfaction, improved relationships with colleagues, and feel more
likely to continue as principals (Norton, 2002).
Conceptual Framework
Successful principals incorporate the four frames of Bolman and Deal (2013), qualities
from Fullan’s (2014) The Principal, and the 21 leadership responsibilities from School
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 31
Leadership That Works by Marzano et al. (2005). These three theoretical frameworks utilized by
successful principals are illustrated in Figure 1. The use of each theoretical framework depends
on the circumstances and the context of the organization. A successful principal implements
strategies from all three frameworks in unison and on a continuum, depending on the given
situation. These theoretical frameworks are critical components of principal preparation
programs, must be sought during the recruitment process, and must be applied by principals in
the position.
Four-Frames Model
Bolman and Deal’s (2013) research on management was centered around a four-frame
leadership model: the structural frame, the political frame, the symbolic frame, and the human
resource frame. This model categorizes the work that leaders do within their organization into
these frames.
The structural frame looks beyond individuals and focuses on the social architecture of
the organization. The policies, procedures, and rules of an organization fall under the structural
frame (Bolman & Deal, 2013). This frame is focused on the organization, expectations, and
purpose of the organization. In this task-oriented frame, principals strategize, implement, and
carry out change. The structural frame recognizes the division of labor, how work is allocated,
and how roles and responsibilities are defined.
The human resource frame focuses on people and relationships as the key components of
the organization. Interpersonal skills are critical in this frame. When viewing an organization
from a human resource perspective, individuals are seen as investments to build up so that they
can perform at their highest potential. Employees have a responsibility to be partners in the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 32
Figure 1. Conceptual framework for study. Based on Reframing Organiza-
tions: Artistry, Choice, and Leadership (6th ed.), by L. G. Bolman and T. E.
Deal, 2017, New York, NY: Wiley; The Principal: Three Keys to Maximiz-
ing Impact, by M. Fullan, 2014, San Francisco, CA: Jossey-Bass; and
School Leadership That Works: From Research to Results, by R. J. Mar-
zano, T. Waters, and B. A. McNulty, Alexandria, VA: Association for
Supervision and Development.
organization and, in the human resource frame, must contribute their talents to the success of the
organization (Bolman & Deal, 2013).
The political frame involves the political groups that influence schools including unions
and interest groups. When addressing this frame, the principal often builds connections with the
groups and applies conflict resolution strategies as needed. This frame assures a disbursement of
power among groups and helps maintain an effective organization (Bolman & Deal, 2013). This
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 33
frame is used when the leader has to make difficult decisions on how resources will be allocated
in the organization (Baker et al., Belt, 2010).
The symbolic frame focuses on the vision and inspiration within the organization. This
frame includes the traditions, ceremonies, and rituals of the organization. The symbolic frame
addresses the need for a sense of purpose and meaning in work. Inspiring and motivating people
constitute an essential aspect of this frame (Bolman & Deal, 2013).
The principal’s application of Bolman and Deal’s (2013) four frames were used to shape
the findings of this study. The frames helped to develop an understanding of how principals
apply their leadership skills.
The Principal: Three Keys to Maximizing Impact
This study also used Fullan’s 2014 work, The Principal: Three Keys to Maximizing
Impact, to shape the findings. In his book, Fullan reported that 75% of principals find the job too
complicated and, as a result, dissatisfying. Fullan’s research determined four strategies used to
drive a school system: capacity building, collaborative effort, pedagogy, and “systemness.” This
research determined key roles that simplify the role of the principal and make the administrative
work of the principal less fragmented (Fullan, 2014).
According to Fullan (2014), the principal must play the role of lead learner, coming
alongside teachers and taking part in the process of improving their own learning. Principals
operating as lead learners attempt to protect teachers from too many initiatives. Lead learners
pay attention to both human and social capital, and a lead learner uses both to produce deeper and
wider results (Fullan, 2014).
Fullan (2014) purported that principals must also be system players and understand the
school site as a larger system (Fullan, 2014). A principal who is a systems player contributes to
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 34
and benefits from the entire system. By focusing on the larger system, a system player increases
student achievement (Fullan, 2014).
The third key role for a principal is a change agent. Change agent principals act deci-
sively, are open to feedback, and are willing to challenge the status quo (Fullan, 2014). This role
often requires the most development. By developing capacity, a principal can better serve as a
change agent for his or her school (Fullan, 2014).
School Leadership That Works
School Leadership That Works (Marzano et al., 2005) was also used as a theoretical
framework for this study. This meta-analysis of 70 studies examined quantitative student
achievement data related to the effects of leadership and found a .25 strength of correlation
between instructional leadership and student achievement. The study demonstrated that in-
creased leadership led to increased student achievement (Marzano et al., 2005). As principals
demonstrated increased capacity in the 21 leadership responsibilities identified in this study,
student achievement increased. The leadership responsibilities with the highest correlation to
student achievement were situational awareness, intellectual stimulation, change agent, and input
(Marzano et al., 2005).
Situational awareness involves the principal reading situations and predicting outcomes
in order to prevent issues (Marzano et al., 2005). When demonstrating situational awareness,
principals problem solve and work with dissatisfied staff members (Marzano et al., 2005).
Intellectual stimulation involves the principal ensuring that staff is current with theories and
pedagogy, and the principal is part of regular conversations with staff on these topics (Marzano et
al., 2005). A change agent is defined as a principal who is not afraid to challenge the status quo
(Fullan, 2014; Marzano et al., 2005). A change agent principal is willing to temporarily upset the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 35
equilibrium of the school in order to bring about growth and change (Marzano et al., 2005).
Finally, input occurs when a principal involves staff members in all aspects of decision making;
principals practicing input work toward building consensus and effective teacher efficacy
(Marzano et al., 2005).
Chapter Summary
This chapter provided context for the study through a review of relevant literature.
Aspiring and current principals must consider the historical role of the principal as well as the
critical skills necessary for the role in order to be successful in the position. The recruitment,
retainment, and retention of high-quality principals are dependent on the application of these
three proven theoretical frameworks. In Chapter Three, the methodology used to address the
research questions will be addressed.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 36
CHAPTER THREE: RESEARCH METHODOLOGY
K-12 principals in California have experiences from their preparation and recruitment
that support their ongoing success as site administrators. The study was designed to examine
perceptions regarding the preparation, recruitment, and retention of K-12 principals in California.
In Chapter Two, the history of the role of principal was reviewed along with literature
related to preparation, recruitment, and retention. Chapter Three describes the study’s research
questions, research design and methods, sample and population, access and entry, instrumenta-
tion, data collection, ethical considerations, and data analysis (Bolman & Deal, 2013).
Research Questions Restated
To examine the perceptions of principals and district office personnel, the following
research questions were developed to guide the study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
Research Design
Research Team
This study was conducted by a group of 12 researchers at the University of Southern
California (USC) Rossier School of Education, under the supervision of the dissertation chair,
Dr. Michael Escalante, Professor of Clinical Education. The team researched and discussed
topics related to the preparation, recruitment, and retention of K-12 principals in California and
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 37
reached consensus regarding literature to review, research design, and study methodology. The
research team consists of practitioners in school districts in the greater Los Angeles area.
Because some of the data collection will be done as a group, there will be shared comments and
information from members of the research group.
Conceptual Framework
The researcher adopted the conceptual framework shown in Figure 1, which illustrates the
theories upon which a principal draws for success. A successful principal incorporates the four
frames of Bolman and Deal (2013), qualities from Fullan’s (2014) The Principal: Three Keys to
Maximizing Impact, and the 21 leadership responsibilities from School Leadership That Works
by Marzano et al. (2005). A principal strategically exercises Bolman and Deal’s four frames
within the organization. The use of each frame and the level at which the frame is used depend
upon the given circumstances. Successful principals will also demonstrate characteristics from
Fullan’s The Principal. Finally, the successful principal implements strategies from School
Leadership That Works (Marzano et al., 2005). By developing and implementing these theories
in unison or on a continuum, principals demonstrate the skills necessary for continued success in
the position.
Qualitative and Quantitative Research
This study was a mixed-method study that primarily utilized a qualitative approach to
research, supplemented by quantitative surveys to help to identify interview candidates as well as
to support and understand the qualitative data. Although a primarily qualitative study, quantita-
tive survey data will be collected through a mixed sampling design that considers the time
required for the collection of strictly qualitative data (Johnson & Christensen, 2008). Through
the qualitative design of this study, the research team intends to develop a better understanding of
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 38
principals’ preparation, recruitment, and retention through the perspective of the study partici-
pants. Quantitative data will be incorporated through survey instruments that support the study’s
themes. By combining quantitative data with the qualitative themes, this study will gain answers
to the research questions from a qualitative perspective with the support of quantitative data
(Creswell & Creswell, 2017).
Qualitative data, in the form of interviews, were collected by the research team from
principals and district office personnel of California K-12 school districts (Creswell & Creswell,
2017). Qualitative interview data provided insight into the thoughts, beliefs, knowledge, and
motivations regarding the preparation, recruitment, and retention California K-12 principals.
Interviews provided evidence that will contribute to the findings of this study (Creswell &
Creswell, 2017).
Quantitative data were collected in the form of surveys containing Likert scale items that
were administered to California K-12 principals and district personnel (Fink, 2015). These
surveys helped the research team to gain general thoughts, feelings, attitudes, beliefs, and percep-
tions of California K-12 principals and district office personnel regarding the preparation,
recruitment, and retention of principals. The quantitative data sample was drawn from surveys
given to K-12 principals and district office personnel. Surveys were administered through the
Qualtrics
™
service.
The qualitative findings were then triangulated with the quantitative data collected by the
research team to gain information regarding principals’ preparation, recruitment, and retention0
(Merriam & Tisdell, 2016). The qualitative interview and quantitative survey data collected were
analyzed for themes that answered the research questions (Creswell & Creswell, 2017). This
triangulation of interview and survey data of K-12 principals and district office personnel in-
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 39
creased the validity of this study (Maxwell, 2013; Merriam & Tisdell, 2016). The research team
felt that the qualitative approach of this study would provide a comprehensive understanding of
the research questions (Creswell & Creswell, 2017). The following section describes the study’s
research sample and population.
Population and Sample
Maxwell (2013) noted the importance of selected individuals participating in a research
study having the ability to answer the research questions. The research team collaborated to
determine the population and sample for this study. The purpose of this study was to examine
the preparation, recruitment, and retention of California K-12 principals. Although a sampling of
the entire population of California K-12 principals and district office personnel would have
provided the most accurate findings, the team considered the time and financial constraints that
limited the researchers to collecting both quantitative and qualitative data from a sample popula-
tion (Johnson & Christensen, 2008). According to Merriam and Tisdell (2016), “in purposeful
sampling the researcher selects participants based on what the researcher wants to discover,
understand, and gain insight from, so the sample is based on the sources that will furnish the
most information” (p. 96). The research team determined purposeful sampling strategies to be
used to select the participants for this study (Maxwell, 2013; Merriam & Tisdell, 2016).
Through a mixed sampling design, this study incorporated qualitative and quantitative
components from individuals of the same population (Johnson & Christensen, 2008). In order to
maintain the confidentiality of individual participants and participating school districts, the
research team used pseudonyms for both. The potential number of K-12 principals and district
office personnel constituted a limited population. The research group anticipated that the number
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 40
of completed surveys would represent a sufficient group to begin generalizing the findings
(Johnson & Christensen, 2008).
Access and Entry
Prior to conducting this study, the research group received approval from the USC Insti-
tutional Review Board (IRB). The IRB ensures that a study will be done ethically and that the
study participants will have sufficient knowledge to decide whether or not to participate. Before
participating in the study, individuals must know that they can withdraw from the study, that the
study provides no unnecessary risks, and that the benefits of the study outweigh any risks
(Glesne, 2011).
The research team requested permission from the ACSA to gather survey data for the
study from the organization’s constituents (Bogdan & Biklen, 2007). Additional participants
were identified based on relationships with the researchers in order to maximize responses to
surveys and interview requests.
Instrumentation
The research team collaborated to develop four survey protocols and four interview
protocols to conduct this mixed-methods study. Based on the leadership frameworks of Bolman
and Deal (2013), Fullan (2014), and Marzano et al. (2005), the members of the team developed
protocols based on the study’s three research questions. The research team used these qualitative
and quantitative instruments to collect data to aid in understanding the preparation, recruitment,
and retention of K-12 principals in California. The use of both types of instruments provided a
thorough and meaningful approach to answering the research questions.
Participants were contacted via an invitation letter (see Appendix A) and received an
informed consent prior to participating in the study (see Appendix B). All research instruments
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 41
and recruitment correspondence were submitted to the USC IRB for approval in the spring of
2019 (IRB #APP- 19-00787).
Quantitative Instrumentation
The research team worked collaboratively to develop survey instruments to collect quan-
titative data (Fink, 2015) and to create the survey data collection protocols for principals, human
resource administrators, supervisors of principals and superintendents (see Appendices C-F).
The surveys were designed with 4-point Likert scale items that served to gain the perceptions of
K-12 principals and district office personnel. A 4-point scale required survey participants to
either agree or disagree rather than to take a neutral stance. Answers were assigned numerical
values where 4 = Strongly Agree, 3 = Agree, 2 = Disagree, and 1 = Strongly Disagree. An option
with a numerical value of 0 was also included to represent the answer Don’t Know or Not Appli-
cable. The surveys were tested and modified to ensure that they would lead to the information
necessary to answer the research questions (Fink, 2015). Data collected from these quantitative
instruments were analyzed and connected to the qualitative research data.
Qualitative Instrumentation
The purpose of qualitative interviews was to gain in-depth information from the sample
to answer the research questions. Members of the research team worked collaboratively to create
the interview protocols for principals, district office human resource administrators, supervisors
of principals, and superintendents (see Appendices G-J). The interview protocols were devel-
oped to gather insight, information, and perceptions related to the research questions. The proto-
cols were semistructured to give the research team the freedom to ask probing questions to obtain
richer narratives, deeper insights, and to clarify answers.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 42
A qualitative interview protocol was used to collect data from qualitative interviews
(Johnson & Christensen, 2008; Maxwell, 2013). The interview protocol helped to standardize
the open-ended interview with each participant (Patton, 2002). The qualitative interview proto-
col for each sample group was developed by the research group to focus and guide the interviews
during the time with each participant (Patton, 2002). The research group asked probing questions
to develop each participant’s answers. The use of an open-ended interview guide reduced varia-
tions in interviews within the research group (Patton, 2002). This semistructured approach also
allowed the research team the flexibility to alter questions to maintain a relaxed and trusting
atmosphere. Qualitative interview data were triangulated with quantitative data (Merriam &
Tisdell, 2016).
Data Collection
Data for this study were collected from California K-12 school districts during the spring
and summer of 2019. Data collection took place in two phases. The first phase consisted of
survey data collection followed by the second phase of interview data collection. The research
group used Qualtrics
™
, a web-based survey tool that is available to all doctoral candidates at
USC, to capture the quantitative survey data. After collecting all data, the research group ana-
lyzed the quantitative data and identified trends in survey items where the majority of partici-
pants responded similarly (Kurpius & Stafford, 2005). The research team then conducted face-
to-face interviews at sites.
Qualitative interviews were conducted at the time and location most convenient for the
participants (Weiss, 1995). Participants completed a consent form that described the study’s
purpose and confidentiality (see Appendix B). Following the granting of permission by the
selected qualitative interview participants, an audio recording device was used to capture the data
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 43
(Bogdan & Biklen, 2007). In addition, the research group collected descriptive and reflective
field notes during interviews (Bogdan & Biklen, 2007). Interviews lasted approximately 20 to 60
minutes, with only one interview per participant. After the interviews were completed, the
research group had the audio recordings transcribed (Bogdan & Biklen, 2007; Weiss, 1995).
Survey and interview questions were organized to provide consistency and alignment to
research questions. Section I of both the survey and interview protocols aligned with Research
Question 1; Section II of both protocols, with Research Question 2; and Section III of both
protocols, with Research Question 3 (see Appendix K).
Data Analysis
Once quantitative and qualitative data were collected, the research team used the fol-
lowing protocol to reach findings from the data. For this study, the research group utilized
Creswell and Creswell’s (2017) model for data analysis and interpretation of the qualitative and
quantitative research. Research team members used data gathered from their assigned school
districts, as well as pooled data from the research team.
The research team first transcribed interview recordings and field notes to identify
emerging categories while the information was fresh. The research team then labeled and coded
the information using ATLAS.ti
™
software, identifying themes to create meaning. When coding,
the research team followed Creswell and Creswell’s (2017) steps for facilitating the coding
process, including listing topics and common themes, establishing codes to identify the data,
consolidating similar categories, and analyzing data and recoding data as necessary.
Validity, Credibility, and Trustworthiness
According to Merriam and Tisdell (2016), validity is the degree to which a study accu-
rately reflects the specific concept that the researcher is attempting to measure, whereas
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 44
credibility indicates the researcher’s conclusions supported by the research findings. Patton
(2002) noted that trustworthiness is the evidence of both validity and credibility. To maintain the
validity, credibility, and trustworthiness of this study, the research team checked with participants
to confirm the accuracy of the data throughout the process (Creswell & Creswell, 2017). The
research team acknowledged potential bias and committed to minimizing the impact of these
biases on the study’s validity. Triangulation of data and multiple data points were also used to
increase the validity of findings.
Reliability
According to Merriam and Tisdell (2016), reliability is the extent to which research
findings can be replicated and whether the results are consistent with the collected data. In order
to increase study reliability, Creswell and Creswell (2017) suggested that researchers (a) analyze
transcripts to ensure accuracy, (b) analyze identified codes to ensure uniformity and consistent
definitions, (c) communicate effectively with research team members to document and share
analysis of data, and (d) cross-check codes developed by other research team members for accu-
racy. Following this protocol ensured the reliability of the research study.
Ethical Considerations
According to Creswell and Creswell (2017), the ethical considerations that must be
anticipated are extensive and reflected through the research process. Merriam and Tisdell (2016)
noted that researchers are responsible for protecting the privacy and rights of study participants.
The research team, led by Dr. Michael Escalante, completed the IRB process, which included the
required completion of the Collaborative IRB Training Initiative (CITI). Each team member
completed online learning modules that addressed ethical considerations associated with com-
pleting research. Additionally, every study participant was presented with an informed consent
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 45
statement that stated the purpose of the study and participants’ rights (see Appendix B). The
research team was committed to protecting the rights and anonymity of study participants.
Chapter Summary
This chapter presented the methodology that was used throughout the study, a description
of the research design, the research team, population and sample, and the instrumentation used to
collect the data. The chapter also presented the data collection procedures, how the data were
analyzed, and the study’s ethical considerations.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 46
CHAPTER FOUR: FINDINGS
The purpose of this study was to examine the preparation, recruitment, and retention of
K-12 principals in California. The principal has the second most critical influence on student
achievement, only behind that of the teacher (Fullan, 2014). Considering the role of the principal
is critical to student achievement, it is valuable to identify the preparation, support, and skills
needed for principals to meet the challenges and complexities of the principalship. It is also
worthwhile to identify the retention strategies that individuals and districts must use to keep
principals in this crucial role (Marzano et al., 2005).
This chapter presents the findings from the data collected by the researcher and the
research group. The findings are presented as themes related to the research questions. Triangu-
lating the data improved the reliability of these themes (Merriam & Tisdell, 2016). The
researcher formulated this study’s findings through triangulation of the research literature,
theoretical frameworks, survey data, and interview data. The findings represented the perspec-
tives of a sampling of the 17 qualitative interviews conducted by the researcher. Although the
methodology of this study was qualitative and the study’s findings were drawn primarily from the
qualitative interview data, quantitative survey data were also incorporated to support each theme
of this study’s research questions. The team of researchers collected quantitative data from 206
surveys with items aligned to the preparation, recruitment, and retention of principals. Finally,
the researcher incorporated themes from the literature review and theoretical frameworks to
validate the findings.
The study sought to answer the following questions:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 47
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?
Three theoretical frameworks provided the focus for the analysis of study data and the
establishment of themes from the interview and survey data: (a) Bolman and Deal’s (2013) four
frames of organizational leadership; (b) Fullan’s (2014) The Principal: Three Keys to Maximiz-
ing Impact; and (c) the 21 leadership responsibilities from School Leadership That Works by
Marzano et al. (2005). Each of these theoretical frameworks provided greater insight into the
study’s findings. References to the literature in Chapter Two also supported this study’s find-
ings. For each research question, themes emerged that were triangulated with the study’s litera-
ture review and theoretical frameworks.
Study Participants
Upon IRB approval, the team of 12 researchers contacted districts for approval to conduct
surveys and interviews. In total, the research team surveyed and interviewed representatives of
37 K-12 school districts across southern California. The researcher personally conducted qualita-
tive interviews in three southern California school districts. In addition, quantitative survey data
were collected from all 37 school districts by the research group to help support identified
themes. Surveys were collected from 186 respondents from a pool of 854 district representatives.
Qualitative Interview Participants
The researcher gathered qualitative interview data from a total of 17 participants in three
southern California school districts. Of the 17 interview participants, nine participants were
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 48
principals, two were immediate supervisors of principals, three were human resources adminis-
trators, and three were superintendents. Following is a summary of each school district.
District A is a relatively small suburban school district in the San Gabriel Valley with a
student enrollment of about 6,000 students. It is a K-12 district that is home to one high school,
one intermediate school, and four elementary schools. The district is known for its above
average California Assessment of Student Performance and Progress (CAASPP) scores in both
English language arts and math. District A strives to provide a nurturing environment that
embraces the diversity of all students. Interview participants from District A were Superinten-
dent A; one assistant superintendent, referred to as Human Resource Administrator A; a curricu-
lum director, referred to as Supervisor A; and three elementary principals, referred to as Princi-
pals A1, A2, and A3.
District B is a large school district with approximately 13,500 students located in the San
Gabriel Valley. District B is a K-12 district that is home to three high schools, two middle
schools, two junior high schools, and 13 elementary schools. The district demonstrates below-
average CAASPP scores that are currently trending upward. District B strives to provide a
culture of high expectations and academic rigor in a supportive environment. Interview partici-
pants from District B were Superintendent B; an assistant superintendent, referred to as Human
Resource Administrator B; a curriculum director, referred to as Supervisor B; and three elemen-
tary principals, referred to as Principals B1, B2, and B3.
District C is a small school district located in Los Angeles County with approximately
7,000 students. District C is a K-8 district that is home to two middle schools, one K-8 school,
and eight elementary schools. The district is known for average CAASPP scores in both English
language arts and math. District C strives to ensure that every student learns core content
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 49
standards and reaches his or her optimum potential. Interview participants from District C were
Superintendent C; an assistant superintendent, referred to as Human Resources Administrator C;
and three elementary principals, referred to as Principals C1, C2, and C3.
Quantitative Survey Participants
The research group gathered quantitative survey data from principals, supervisors of
principals, human resource administrators, and superintendents representing 37 school districts in
southern California. Survey items were carefully aligned to the study’s three research questions
regarding the preparation, recruitment, and retention of principals. The quantitative surveys were
developed, collected, and analyzed by the 12 members of the research group. The researchers
distributed surveys through an email with a link to the online survey. Qualtrics
™
software was
used to collect the data.
The research group distributed the survey to 854 members of 37 school districts. Of the
854 surveys distributed, the research group received 186 responses, for a total response rate of
21.78%. Within that total, 115 of 708 principals responded, for a response rate of 16.25%. In
addition, 28 of 68 immediate supervisors of principals responded, for a response rate of 41.18%.
Twenty-two of 41 human resources administrators responded, for a response rate of 53.66%. Of
the 37 superintendents surveyed, 21 superintendents completed the survey, for a response rate of
56.76% (see Table 1).
Table 2 summarizes the demographic data provided by the principals who voluntarily
participated in the quantitative survey: gender, ethnicity, age, degrees held, number of years in
the education profession, and number of years as principal. Of the surveyed principals, most
(68.07%) held master’s degrees. The principal study participants represent many years of
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 50
Table 1
Summary of Quantitative Participants
Position N Total responses Response rate (%)
Principal 708 115 16.24
Immediate supervisor 68 28 41.18
Human resources administrator 41 22 53.66
Superintendent 37 21 56.76
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 51
Table 2
Demographic Data for Participating Principals (N = 115)
Characteristic %
Gender
Female 58.82
Male 41.18
Ethnicity
White 58.40
Multiple 43.20
Latina/o 20.80
Black 7.20
Asian 4.00
Pacific Islander 1.60
Native American 0.80
Other 1.60
Declined to state 2.40
Age (years)
31–40 15.13
41–50 55.46
51–60 26.05
61+ 3.36
Highest university degree earned
Master’s 68.07
EdD 30.25
Bachelor’s 0.84
PhD 0.84
Number of years in the education profession
1–10 0.84
11–20 36.97
21–30 48.74
Over 30 13.45
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 52
Table 2 (continued)
Characteristic %
Number of years as principal
Less than 2 14.29
3–5 35.29
6–10 24.37
11–15 15.97
16 or more 10.08
Note. EdD = Doctor of Education; PhD = Doctor of Philosophy.
experience as principals; all but one surveyed principal reported having been a principal longer
than 10 years, and 13.45% reporting length of time in field greater than 30 years.
Findings for Research Question 1: Preparation
To better understand how individuals are prepared for the principal position, Research
Question 1 asked, “How have training programs and professional experiences prepared principals
to manage the complexities and challenges of the principalship?” Research Question 1 examined
the perceptions of principals, supervisors of principals, human resource administrators, and
superintendents regarding the preparation of principals. Several survey and interview questions
(Appendix K) were asked regarding the preparation of principals and the effectiveness of the
preparation. Table 3 summarizes the survey items and principals’ responses to those items
aligned to Research Questions 1.
A review of pertinent literature noted that, traditionally, university training programs have
been utilized by principals to prepare for the principalship (Cubberley, 1923; Levine, 2005b).
While 91.6% of principals in this study completed university training programs, this study
revealed that these programs might not be adequately preparing educators for the complex and
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 53
Table 3
Principals’ Survey Items and Responses Aligned to Research Question 1, Dealing With Prepara-
tion (N = 115)
Survey item and response categories n %
University programs provided training and experience that were important in
preparing me for the position as a principal.
Strongly Agree 16 13.91
Agree 77 66.96
Disagree 15 13.04
Strongly Disagree 6 0.00
Don’t Know or Not Applicable (N/A) 7 6.09
My prior work experience was more important than my university training
experience in preparing me for my position as a principal.
Strongly Agree 55 47.83
Agree 34 29.57
Disagree 19 16.52
Strongly Disagree 1 0.87
Don’t Know or Not Applicable (N/A) 6 5.22
Holding an advanced degree (e.g., (EdD or PhD) was important in preparing
me for my position as a principal.
Strongly Agree 18 16.65
Agree 21 18.26
Disagree 34 29.57
Strongly Disagree 9 7.83
Don’t Know or Not Applicable (N/A) 33 28.70
Nonuniversity training programs (e.g., the ACSA Principal Academy) were
important in preparing me for my position as a principal.
Strongly Agree 14 12.71
Agree 31 26.96
Disagree 21 18.26
Strongly Disagree 3 2.61
Don’t Know or Not Applicable (N/A) 46 40.00
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 54
Table 3 (continued)
Survey item and response categories n %
Holding certification and/or licensure from organizations (e.g., USC or
ACSA) was important in preparing me for my position as a principal.
Strongly Agree 10 8.07
Agree 33 28.70
Disagree 38 33.04
Strongly Disagree 6 5.22
Don’t Know or Not Applicable (N/A) 28 24.35
Having mentors was instrumental in preparing me for my position as a
principal.
Strongly Agree 89 77.39
Agree 25 21.74
Disagree 0 0.00
Strongly Disagree 0 0.00
Don’t Know or Not Applicable (N/A) 1 0.87
A professional network of support (e.g., CALSA, NASSP, NAESP, ACSA,
or through a university) was important in preparing me for my position as a
principal.
Strongly Agree 16 13.91
Agree 48 41.74
Disagree 32 27.83
Strongly Disagree 4 3.84
Don’t Know or Not Applicable (N/A) 15 13.04
Informal networks of support (e.g., professional colleagues) were important
in preparing me for my position as a principal.
Strongly Agree 86 74.78
Agree 28 24.35
Disagree 0 0.00
Strongly Disagree 0 0.00
Don’t Know or Not Applicable (N/A) 1 0.87
Networks with university professors were important in preparing me for my
position as a principal.
Strongly Agree 10 8.70
Agree 52 45.22
Disagree 32 27.83
Strongly Disagree 8 6.96
Don’t Know or Not Applicable (N/A) 13 11.30
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 55
Table 3 (continued)
Survey item and response categories n %
Planning my career was important in preparing me for my position as a
principal.
Strongly Agree 12 10.43
Agree 63 54.78
Disagree 27 23.48
Strongly Disagree 4 3.48
Don’t Know or Not Applicable (N/A) 9 7.83
My university training program provided intentional supports or resources
to prepare me for my position as a principal.
Strongly Agree 15 13.04
Agree 56 48.70
Disagree 28 24.35
Strongly Disagree 6 5.22
Don’t Know or Not Applicable (N/A) 10 8.70
Having experience as a teacher leader was a crucial element in preparing me
for my position as a principal.
Strongly Agree 85 73.91
Agree 28 24.35
Disagree 2 1.74
Strongly Disagree 0 0.00
Don’t Know or Not Applicable (N/A) 0 0.00
Having experience as an assistant principal was a crucial element in preparing
me for my position as a principal.
Strongly Agree 85 73.91
Agree 11 9.57
Disagree 2 1.74
Strongly Disagree 0 0.00
Don’t Know or Not Applicable (N/A) 17 14.78
Note. EdD = Doctor of Education; PhD = Doctor of Philosophy; ACSA = Association of Cali-
fornia School Administrators; USC = University of Southern California; CALSA = California
Association of Latino Superintendents and Administrators.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 56
challenging role of principal. After examining the survey and interview data of principals and
district office administrators’ perceptions regarding principal preparation, three themes emerged
related to principal preparation:
1. On-the-job training was perceived as more effective than university training programs;
2. Having mentors prepared aspiring principals for the principalship; and
3. Informal networks of support were important in preparing principals for the position.
On-the-Job Training
To be eligible for a K-12 public school principal position in California, a candidate must
be eligible for the Tier 1 Preliminary Administrative Services Credential (Thomas & Kearney,
2010). To be eligible for a Tier 1 Preliminary Credential, candidates must complete a
commission-approved administrator preparation program (CTC, 2017). Principal candidates can
be exempt from a formal preparation program by taking and passing the California Preliminary
Administrative Credential Examination (CTC, 2017).
Most often, candidates complete Tier 1 credentialing through a university-based program.
Many aspiring principals complete university training, thinking that it would best prepare them
for the principalship. Completing a university program was a perceived strategy to become
qualified to hold the position of principal. However, 100% of superintendents surveyed indicated
that “prior work experience was more important than university training experience in preparing
principals for their current positions.” Likewise, 72% of human resource administrators and 82%
supervisors of principals agreed or strongly agreed with these superintendents that prior work
experience was more important than university training in preparing principals for the position.
Of the 126 principal survey participants in this study, 89 noted that on-the-job training was more
important than university training in preparing them for their current position. Table 4
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 57
summarizes principals’ responses to the statement, “My prior work experience was more impor-
tant than my university training experience in preparing me for my position as a principal.”
Table 4
Principals’ Responses Indicating Perception That on-the-Job Experience Was More Valuable
than University Training Programs (N = 115)
Survey item and response categories n %
My prior work experience was more important than my university training
experience in preparing me for my position as a principal.
Strongly Agree 55 47.83
Agree 34 29.57
Disagree 19 16.52
Strongly Disagree 1 0.87
Don’t Know or Not Applicable (N/A) 6 5.22
A review of the literature found that some researchers valued the instructional content
that university coursework provides but contended that it does not fully prepare individuals for
the role of the school administrator (Marzano et al., 2005). The principalship is a complex job
and requires much more than classroom and book knowledge for an individual to be successful in
the position. Levine (2005b) concurred that the ideal framework for preparing future principals
pairs on-the-job training with theory.
Qualitative interview data from 17 participants at all levels of K-12 administration shared
the clear theme that on-the-job training was the best preparation for the principalship. The
principals interviewed shared their personal experiences with university training and on-the-job
training. According to Principal 2 from District A,
to me, it’s a little bit like teaching, where they tell you what teaching is going to be like;
but until you get there, you don’t really know what it’s like. It’s the same thing I feel with
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 58
my experience with administration. There’s a lot of things that sound good in theory and
all of that; but once you get on the job, you realize, “Hmm, my bell schedule doesn’t
allow me to do things like that, or the teachers’ contract doesn’t allow me to do things
like that.” So I feel like the program was nice—but other than the few pieces of advice
that have stuck with me, I would say they are not helpful. (interview, June 17, 2019)
Principal A2’s response was consistent with all of the principals interviewed by the
researcher. The participating principals perceived value in the university preparation programs,
but it was on-the-job training that provided the future principals with the skills needed for
success in the position.
The superintendents interviewed agreed with Principal A2, stating that the best training
and preparation for the principalship came from work experience in the education field and
learning by doing. Superintendent A noted that on-the-job training prior to the position is
critical: “It’s much harder to start learning these skills once you become a principal. The more
you build on your repertoire of experience, the more you will be an effective leader” (interview,
June 27, 2019). Superintendent A went on to share how her district offered opportunities for
teachers to learn on the job through teacher leadership roles.
An interview with Principal B3 supported the same theme: “A lot of it didn’t make sense
until I actually became an administrator. Yeah, there was a lot about managerial concepts and
about leadership styles, but none of it made sense until I actually became an administrator” (inter-
view, July 29, 2019). Principal C1 shared Principal B3’s perceptions of university training and
on-the-job training when he noted that he learned more from his experience as an administrative
designee than he learned from his university training coursework:
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 59
I would say being the administrative designee taught me the most. I was still teaching in
the classroom but was able to learn more about both sides, instruction, and the function-
ing of the school. Seeing school procedures and the legal requirements, all the processes
like ELAC [English Learner Advisory Council], School Site Council, the school plan, and
special education. All that just really gave me a really good understanding of how every-
thing worked. (interview, June 18, 2019)
Superintendents, human resource administrators, and immediate supervisors of principals
all agreed that on-the-job training is more effective than university training programs in preparing
individuals for the principalship. In each interview that the researcher conducted, district office
administrators shared that on-the-job training was the most effective training for the principal
position. Superintendent B from District B echoed the opinions of Principals A2, B3 and C1:
On-the-job training is the most effective training. I mean, you get theory in university
programs, but you never really know what it’s like until you get in the seat. Again,
depending on the district, you’re going to get a variety of different experiences. So here,
in my district, we have an opportunity to grow our own leaders, which is really nice
because then they’re learning the ropes of our schools, our systems, our district, in terms
of how we do things. Once they get into a principalship, then they already have some of
the basics in place. (interview, July 11, 2019)
Superintendent B went to speak from his personal experience:
I remember my credentialing courses, but they didn’t prepare me for the work at hand. I
think that’s something that needs to be done a little bit more with a hands-on type of
training. I would put hands-on training far above any kind of training that you can get at
school. (interview, July 11, 2019)
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 60
Human Resource Administrator B from District B also credited on-the-job training as the
most effective training for principals: “From what I’ve observed, the most effective training for
principals is on-the-job training” (interview, July 18, 2019). Human Resource Administrator B
suggested that the most successful principals learned the job from a common career path that
included on-the- job learning as a classroom teacher, a teacher leader such as a teacher on special
assignment (TOSA), or an instructional coach and then serving as an assistant principal. Human
Resource Administrator B concluded:
And then even within that, I’ve seen the difference between an assistant principal whose
principal has helped prepare them to be a principal someday. For example, it is obvious
when a principal has sat down with an assistant principal and gone over the budget or
gone over the routine decision-making processes, as opposed to assistant principals
whose principal only gave them discipline and creating the recess schedule for on-the-job
experience. (interview, July 18, 2019)
The common theme of on-the-job training was present not only in interviews with Prin-
cipal A2, Superintendent B, and Human Resource Administrator B but also in interviews with
the 13 other qualitative interview participants, who all served as a principal at one point in their
career. The ideas presented in qualitative interviews with Principal A2, Superintendent B, and
Human Resource Administrator B were also validated by the quantitative survey data aligned to
Research Question 1. Responses from that survey indicated that 77% 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.” In addition,
83.18% of participating principals agreed or strongly agreed with the item, “Having experience
as an assistant principal was a crucial element in preparing me for my position as a principal.”
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 61
Survey data confirmed the finding that on-the-job training was more effective than university
training in preparing individuals for the principalship.
Mentors
Positive mentor relationships assist aspiring principals with preparation for the principal
position. Mentoring in the workplace has come to the forefront as an essential element in helping
individuals to achieve personal and professional goals (Beem, 2007). According to Björk, Glass,
and Brunner (2000), mentor relationships and professional networks can provide structure,
assistance, and guidance for those who are learning to lead organizations. Mentoring relation-
ships fall under Bolman and Deal’s (2013) theory that leaders use four frames when leading
organizations. In particular, mentoring reinforces Bolman and Deal’s (2013) human resource
frame by addressing an individual’s need for human contact, personal growth, and job satisfac-
tion. The human resource frame focuses on people and relationships as the key components of
the organization (Bolman & Deal, 2013).
The findings of this study confirmed the theoretical frameworks and literature regarding
the impact of mentors on the preparation of aspiring principals. Table 5 summarizes the survey
responses from principals, immediate supervisors of principals, human resources administrators,
and superintendents regarding mentors’ impact on the preparation, recruitment, and retention of
principals. According to survey data, 99.13% of principals surveyed strongly agreed or agreed
with the statement, “Having mentors was instrumental in preparing me for my position as a
principal.” Further supporting this finding, 94.36% of supervisors of principals, human resource
administrators, and superintendents strongly agreed or agreed that “having a mentor was impor-
tant in preparing my principals for their current positions.”
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 62
Table 5
Summary of Data on Whether Mentoring Was Instrumental in Preparing Individuals for the
Position of Principal: Survey Items and Responses Aligned to Research Question 1, Dealing
With Preparation
Survey item Strongly agree or agree (%)
Principals’ responses (N = 115)
Having mentors was instrumental in preparing me for my position
as a principal. 99.13
Having a mentor was an important factor in being recruited in my
current position as a principal. 77.40
Having a mentor provided me with processes/strategies that
currently support my success in retaining my position as a
principal. 92.17
Immediate supervisors’ responses (N = 22)
Having a mentor was important in preparing my principals for
their current positions. 92.86
Having a mentor helps candidates get recruited into principal
positions in my district. 77.58
Having a mentor provides principals with processes/strategies
that support their success in retaining their current positions. 96.43
Human resources administrators’ responses (N = 22)
Having a mentor was important in preparing my principals
for their current positions. 95.46
Having a mentor helps candidates get recruited into principal
positions in my district. 90.91
Having a mentor provides principals with processes/strategies
that support their success in retaining their current positions. 95.45
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 63
Table 5 (continued)
Survey item Strongly agree or agree (%)
Superintendents’ responses (N = 21)
Having a mentor was important in preparing my principals for
their current positions. 95.24
Having a mentor helps candidates get recruited into principal
positions in my district. 80.95
Having a mentor provides principals with processes/strategies
that support their success in retaining their current positions. 100.00
Principals and district office administrators interviewed recognized the critical role that
mentoring plays in the preparation and development of aspiring principals. Qualitative interview
responses confirmed the quantitative survey data on mentor relationships assisting individuals in
preparation for the principalship. During the qualitative interviews with principals, each princi-
pal indicated the impact of mentors on the decision to pursue a principalship, and the mentor
continued the support throughout the preparation process. These mentor relationships can be
formal or informal. Principal A2 affirmed the value of his mentor as a support person in prepar-
ing him for the position of principal:
She did a lot of coaching and mentoring me to help build skills. She would tell me that
you can get so much more by going the extra mile here, or by having that conversation, or
going out and saying hi to those parents instead of staying in my office. All the little
things that will then save you so much on the back end when something goes wrong. So
she shared a lot of those types of skills and strategies that have helped me on the job.
(interview, July 18, 2019)
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 64
Principal B2 benefitted from a mentor relationship prior to the principalship as well.
Principal B2 shared that prior to becoming a principal, “my mentor . . . was somebody I could
totally confide with what I was doing . . . and get practical advice” (interview, July 29, 2019).
Superintendent B shared specifically about the impact of mentor relationships, stating that the
mentorship of aspiring principals by district office staff was important in preparing for the
principalship.
Superintendent B shared the following about aspiring principals: “Those who’ve been in
the district if they had been teacher leaders if they had been coaches . . . those kinds of roles were
certainly helpful because they then had the mentorship of district office staff” (interview, July 11,
2019). The theme of mentor relationships in helping to prepare aspiring principals was also
present in interviews with Principals A1, A2, B3, C2, and C3 as well as Human Resources
Administrator A , Immediate Supervisor B, and Superintendent A.
Informal Networks of Support
Further supporting Bolman and Deal’s (2013) theory of the four frames in leadership,
their human resource frame was again evident in the preparation of aspiring principals. Princi-
pals and district office administrators agreed that informal networks of support, such as relation-
ships with professional colleagues, were critical in preparing aspiring principals for the position.
Informal networks of support address Bolman and Deal’s (2013) human resource frame by
meeting an individual’s need for human contact, personal growth, and job satisfaction. Qualita-
tive interview data from participating principals revealed that 99.13% of principals responding
agreed or strongly agreed with the statement, “Informal networks of support (such as professional
colleagues) were important in preparing me for my position as a principal.” One hundred percent
of superintendents and human resource administrators surveyed agreed or strongly agreed with
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 65
the statement that information networks of support were important in preparing principals for the
position. Table 6 summarizes responses indicating that information networks of support helped
to prepare aspiring principals for the position.
Table 6
Responses Indicating That Informal Networks of Support Prepared Principals for the Position
Survey item and response categories Prin IS HR Sup
Informal networks of support (such as professional colleagues)
were important in preparing me/individual for the position of
principal.
Strongly Agree 86 19 16 12
Agree 28 8 6 9
Disagree 0 0 0 0
Strongly Disagree 0 0 0 0
Don’t Know 1 1 0 0
Note. Prin = principals; IS = immediate supervisors; HR = human resource administrators; Sup =
superintendents.
Qualitative interview data aligned to Research Question 1 supported survey data aligned
to Research Question 1. During qualitative interviews, principals shared how informal networks
of support helped to prepare them for the principalship. Principals also shared how those infor-
mation networks continued to provide support through the recruitment process and remained a
system of support in the position. Regarding informal networks of support, Principal A2 shared:
I was fortunate to have good relationships with district office personnel and district prin-
cipals prior to becoming a principal. They were really willing to work with me to help
prepare me to be a principal; they kind of helped me along in the areas I did not know. . . .
And knowing that they had my best interest at heart really made a big difference for me.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 66
So, I’m glad I had those relationships built before I became a principal. (interview,
June 17, 2019)
Principal B2 also found informal networks of support, particularly those with her princi-
pals when she was a teacher, to be a support through the preparation process. She indicated that
those relationships had continued to support her through the recruitment process and on the job:
I think just having a relationship with my principals before I became one helped me. Like
I said, I always had a close relationship with Angela; she was my principal for such a long
time. When she left to be a principal-at-large, she still maintained that communication
with me and supported me. So I have always felt support knowing I have that relation-
ship. (interview, July 24, 2019)
Principal B3 noted that her informal networks “were always supportive. Like cheerleaders
for me, you know. They were encouraging, and it was always good to get their perspective on
things” (interview, July 29, 2019). Informal networks of support helped all the principals who
participated in the researcher’s qualitative interviews to prepare for the principalship, and those
networks of support helped them through the recruitment process and still were helping them as
they served as principals.
Summary of Results for Research Question 1
The principal position is complex and requires aspiring principals to be prepared for the
challenges that they will face on the job. Unfortunately, university programs do not adequately
prepare aspiring principals for the position. Results from this study indicated three significant
themes related to principal preparation. These themes were present in multiple qualitative
interviews and confirmed by quantitative survey data. Theoretical frameworks and the literature
were triangulated with data to reach common themes. First, on-the-job training was perceived to
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 67
be the most effective preparation for the principalship. Second, mentors play an important role in
preparing individuals for the principalship. Those who served as teacher leaders and had a
mentor at the district office level were even more prepared than those who did not. Finally,
informal networks of support helped to prepare principals for the principalship, and those net-
works continued to provide support through the recruitment process and in principals’ current
positions.
Findings for Research Question 2: Recruitment
To better understand the recruitment process of principals, Research Question 2 asked,
“What are the perceptions of principals, immediate supervisors of principals, human resources
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?” Research Question 2 examined the perceptions that principals, immediate supervisors of
principals, human resource administrators, and superintendents had regarding the recruitment of
principals. Several survey and interview questions (Appendices C-J) were asked regarding the
recruitment of principals and strategies for successful recruitment. Table 7 summarizes the
responses of principals to survey items aligned to Research Question 2.
According to Fullan (2014), the principal must play the role of lead learner, taking part in
the process of improving his or her own learning. This theory proved accurate prior to the prin-
cipalship as well. Aspiring principals must operate as lead learners and seek out leadership
learning experiences prior to the principalship.
The review of the literature, survey data, and interview data generated three major themes
in response to Research Question 2:
1. Mentoring is a successful strategy to assist aspiring principals with the recruitment
process;
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 68
Table 7
Principals’ Survey Items and Responses Aligned to Research Question 2, Dealing With Recruit-
ment (N = 115)
Survey item and response categories n %
As an aspiring principal, district resources and programs were important in
being recruited into my current position as a principal.
Strongly Agree 28 24.35
Agree 57 49.57
Disagree 17 14.78
Strongly Disagree 5 4.35
Don’t Know or Not Applicable (N/A) 8 6.96
My university principal preparation program was an important factor in
being recruited in my current position as a principal.
Strongly Agree 5 4.35
Agree 42 36.52
Disagree 40 34.78
Strongly Disagree 10 8.70
Don’t Know or Not Applicable (N/A) 18 16.65
My nonuniversity principal preparation program was an important factor
in being recruited in my current position as a principal.
Strongly Agree 18 16.65
Agree 36 31.30
Disagree 15 13.04
Strongly Disagree 4 3.84
Don’t Know or Not Applicable (N/A) 42 36.52
The nonuniversity incentives offered by my district were important factors
in applying for the principal position in my district.
Strongly Agree 10 8.70
Agree 36 31.30
Disagree 35 30.43
Strongly Disagree 12 10.43
Don’t Know or Not Applicable (N/A) 22 19.13
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 69
Table 7 (continued)
Survey item and response categories n %
The salary and benefits offered by my district were important factors in
applying for the principal position in my district.
Strongly Agree 12 10.43
Agree 51 44.35
Disagree 39 33.91
Strongly Disagree 8 6.96
Don’t Know or Not Applicable (N/A) 5 4.35
My previous experience in education was an important factor in being
recruited in my current position as a principal.
Strongly Agree 84 73.04
Agree 28 24.35
Disagree 1 0.87
Strongly Disagree 1 0.87
Don’t Know or Not Applicable (N/A) 1 0.87
My previous experience outside of education was an important factor
in being recruited in my current position as a principal.
Strongly Agree 12 10.43
Agree 23 20.00
Disagree 44 38.26
Strongly Disagree 10 8.70
Don’t Know or Not Applicable (N/A) 26 22.61
The reputation of my school district was an important factor in
applying for the principal position in my district.
Strongly Agree 43 37.39
Agree 42 36.52
Disagree 21 18.26
Strongly Disagree 3 2.61
Don’t Know or Not Applicable (N/A) 6 5.22
My level of understanding of district initiatives and goals were
important factors in being recruited in my current position as a
principal.
Strongly Agree 48 41.74
Agree 50 43.48
Disagree 13 11.30
Strongly Disagree 1 0.87
Don’t Know or Not Applicable (N/A) 3 2.61
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 70
Table 7 (continued)
Survey item and response categories n %
As an in-district candidate, networking with district personnel was an
important factor in being recruited principal.
Strongly Agree 47 40.87
Agree 6 5.22
Disagree 1 0.87
Strongly Disagree 27 23.48
Don’t Know or Not Applicable (N/A) 9 7.83
As an out-of-district candidate, networking with district personnel was an
important factor in being recruited in my current position as a principal.
Strongly Agree 7 6.09
Agree 24 20.87
Disagree 18 15.65
Strongly Disagree 3 2.61
Don’t Know or Not Applicable (N/A) 63 54.78
Being an employee of my school district was an important factor in
being recruited in my current position as a principal.
Strongly Agree 54 49.96
Agree 28 24.35
Disagree 7 6.09
Strongly Disagree 2 1.74
Don’t Know or Not Applicable (N/A) 24 20.87
My participation in professional organizations was an important
factor in being recruited into my current position as a principal.
Strongly Agree 9 7.83
Agree 27 23.48
Disagree 41 35.65
Strongly Disagree 15 13.04
Don’t Know or Not Applicable (N/A) 23 20.00
Holding an advanced degree (e.g., EdD or PhD) was an important
factor in being recruited into my current position as a principal.
Strongly Agree 18 15.65
Agree 18 15.65
Disagree 32 27.83
Strongly Disagree 14 12.17
Don’t Know or Not Applicable (N/A) 33 28.70
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 71
Table 7 (continued)
Survey item and response categories n %
Having instructional leadership experience was an important factor
in being recruited into my position as a principal.
Strongly Agree 75 65.22
Agree 37 32.17
Disagree 2 1.74
Strongly Disagree 1 0.87
Don’t Know or Not Applicable (N/A) 0 0.00
Note. EdD = Doctor of Education; PhD = Doctor of Philosophy.
2. on-the-job training increased a candidate’s success in attaining a principal position;
and
3. Prior teacher leadership experience increased a candidate’s success in attaining a
principal position.
Mentoring
Mentoring is a strategy that has a positive impact on principal candidates in the recruit-
ment process. Mentoring in the workplace has come to the forefront as an important element in
helping principals to achieve personal and professional goals (Bloom et al., 2003). As stated
previously, mentoring relationships fall under Bolman and Deal’s (2013) theory involving the
use of four frames when leading organizations. Mentoring reinforces the human resource frame
by addressing an individual’s need for human contact, personal growth, and job satisfaction
(Bolman & Deal, 2013). Positive mentor relationships help to prepare aspiring principals for the
position and through the recruitment process. Quantitative survey data confirmed the common
theme of mentor relationships as helping aspiring principals through the recruitment process.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 72
During the qualitative interviews, Principal C1 described his mentor’s specific support in
helping to prepare his application package for principal positions:
One of the most important things he did was he had me create a résumé and worked with
me on what to include and how to write it. And he also talked to me about how to write a
cover letter or letter of interest. And then, he taught me about interviewing, about how to
interview, and about why and when you should interview for a position. (interview,
June 18, 2019)
Before attaining a principal position, Principal B2 also received support from her mentor.
She shared her mentor’s valuable support in preparing for interviews:
We practiced the interview . . . and he gave me really good tips on interviewing, and he
had me really think deeply about my goals. . . . He made me think of three different goals.
He said no matter what, those are your three talking points in the interview. Make sure
you come back to them in the interview. And I did. It was a very effective strategy for
me. (interview, July 24, 2019)
When Principal B2 was discouraged during the recruitment process, it was her mentor who
picked her up and offered these words of encouragement and empowerment:
You know, one of the comments he made—he was like, “Well yeah, I think it’s time. It’s
time.” And I’m like, “It’s time for what?” And he was all like, “It’s time to have to have
a female Latina principal at the secondary level.” And I was like, “That’s right. There
hasn’t been one. I can be the one.” (interview, July 24, 2019)
Whether it was practical application support, interview advice, or encouraging words of empow-
erment, mentors made a difference in the recruitment process for aspiring administrators.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 73
The common theme of mentor support during the recruitment process was present not
only in interviews with Principal C1 and Principal B2 but also in the quantitative survey data
aligned to Research Question 2. Of the principals surveyed, 77.40% strongly agreed or agreed
with the statement, “Having a mentor was an important factor in being recruited in my current
position as a principal.” Further supporting this finding, 78.57% of immediate supervisors of
principals, 90.9% of human resource administrators, and 80.95% of superintendents strongly
agreed or agreed that “having a mentor helps candidates get recruited into principal positions in
my district.”
On-the-Job Experience
Throughout the recruitment process, on-the-job training was perceived as an important
strategy for attaining a principal position. Of the 115 principal survey participants in this study,
112 stated that previous experience in education was an important factor in being recruited for
principal positions. Levine (2005b) concurred that the ideal framework for preparing future
principals pairs on-the-job training with theoretical classroom learning.
Qualitative interview data from 17 participants at all levels of K-12 administration shared
the clear theme that on-the-job training contributed to their success in the recruitment process.
According to Supervisor B,
in my opinion, their history, their overall work experience is important. I tell them every
day is an interview; every interaction is an interview. So it’s everything they have done
along the way, not just at that one interview, that gets them the job. (interview, July 9,
2019)
An interview with Principal C2 supported the theme of on-the-job training as supporting
the recruitment process:
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 74
As an instructional coach, I was able to attend a lot of professional development, where I
was able to learn alongside district leaders and peers. I had to grapple with curriculum
concerns and write professional development. I was able to figure out what would be best
to lead teachers, and I used that knowledge during interviews. (interview, June 11, 2019)
Principal C1 shared that he was able to use his experience as an administrative designee
in his interviews for the principalship:
I would say being the administrative designee taught me the most. I was able to use what
I learned as a designee in my interviews. I was able to talk about ELAC, School Site
Council, the school plan, special education. (interview, June 18, 2019).
Superintendents, human resources administrators, and immediate supervisors of princi-
pals all agreed that on-the-job training helps a candidate through the recruitment process. Human
Resource Administrator B from District B credited on-the-job training as important: “When I
screen applicants, I am looking for on-the-job experience over anything else” (interview, July 18,
2019). Human Resource Administrator B went on to suggest that successful principals must
have on-the-job training with the preferred career path of classroom teacher, a teacher leadership
position such as a TOSA or instructional coach, and assistant principal if possible.
The theme of on-the-job training assisting aspiring principals in the recruitment process
was present in the qualitative interviews and validated with the quantitative survey data. Re-
sponses from the quantitative surveys indicated that 97.39% of principals strongly agreed or
agreed with the statement, “My previous experience in education was an important factor in
being recruited in my current position as a principal.” Of the superintendents surveyed, 95.24%
agreed or strongly agreed that “a candidate’s previous experience in education is an important
factor in recruiting principals.” Of the immediate supervisors of principals and human resources
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 75
administrators 92.86% and 100%, respectively, agreed or strongly agreed that experience in
education was an important factor in the recruitment process. Survey data confirm the finding
indicating that on-the-job training was an important factor in the recruitment process.
Teacher Leadership Experience
Many aspiring principals make an effort throughout their careers to gain administrative
experience through teacher leadership opportunities. According to the human resource adminis-
trators interviewed, prior teacher leadership experience was a highly desired quality for candi-
dates during the interview process. Human Resource Administrator C1 noted, “I would say that
the strongest candidates have had other administrative experiences coming into the interview”
(interview, June 18, 2019). She continued: “Those are the stronger candidates, those that have
familiarity with administrative work. They just are able to draw on anecdotes that can then help
them respond to interview questions” (interview, June 18, 2019).
Unfortunately, formal prior experience opportunities as an assistant principal are rare,
especially at the elementary school level. Consequently, aspiring principals are forced to find
their own work experience on the job through teacher leadership opportunities. Principal A2
made it a point to be involved with any and every leadership opportunity during his time as a
classroom teacher:
I tried to always throw myself into some form of leadership, whether it was a department
chair, whether it was on this committee or that committee. I wanted to learn as much as I
could just to kind of gain knowledge from all different perspectives so that one day when
I’m in this position, I’ll have a frame of reference about everything. So those were the
kind of steps that I took. It was just any and all opportunities. This committee, that com-
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 76
mittee, this adoption, that adoption. This report card committee, this whatever. I would
throw myself on those. (interview, June 17, 2019)
Principal C1 also sought leadership opportunities as a classroom teacher. He became the teacher
leader responsible for the school site when all administrators were off campus. He shared that
being
administrative designee really gave me a district-level understanding of what it takes to
be an administrator here. I think that helped out a lot . . . just having an opportunity to
really establish a lot of relationships across the district, at every school, and with all the
principals and coordinators and superintendents. (interview, June 18, 2019)
Principal B1 was also able to participate in teacher leadership learning experiences while
on the job: “At the time, I was a pseudo-administrator. So I sat on IEPs [Individual Education
Programs]. I was on the School Site Council. . . . Pretty much, I did a lot of administrative tasks
to learn the job” (interview, July 24, 2019). While Principal C2 did not have opportunities for
the pseudo-administrator learning experiences, she made it a point to learn through observation:
Because I had that principalship in my mind, I watched my principals with that kind of an
eye. Like “How do you lead, and how do you face challenges?” I just listened differ-
ently. That’s the way I learned—just looking, listening, and noting along the way.
(interview, June 11, 2019)
The common theme of teacher leadership experience as assisting the recruitment process
was present in all nine principal interviews as well as both human resource administrator inter-
views. The quantitative survey data further supported the theme of teacher leadership experi-
ences as assisting with the recruitment process in that 97.39% of surveyed principals surveyed
strongly agreed or agreed with the statement, “Having instructional leadership experience in
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 77
education was an important factor in being recruited in my current position as a principal.”
Further supporting this finding, 92.85% of surveyed supervisors of principals, 100% of surveyed
human resource administrators, and 100% of surveyed superintendents strongly agreed or agreed
that candidates’ instructional leadership experience was an essential factor in recruiting for
principal positions in their districts.
Summary of Results for Research Question 2
Prior to becoming a principal, participants in this study used strategies to assist them
through the recruitment process to attain a principal position. The results of the study identified
three common themes related to Research Question 2. First, participating principals indicated
that mentors played a role in assisting them through the recruitment process. Second, prior work
experience was of benefit during the recruitment process. Finally, teacher leadership experience
was an important factor in the recruitment process.
Findings for Research Question 3: Retention
To better understand the retention of principals, Research Question 3 asked, “What are
the perceived strategies that support the retention of principals?” Research Question 2 examined
the perceptions that principals, immediate supervisors of principals, human resource administra-
tors, and superintendents had regarding the retention of principals. Several survey items and
interview questions (Appendices C-J) were asked regarding the preparation of principals and the
effectiveness of the preparation. Table 8 summarizes the participating principals’ responses to
survey items aligned to Research Question 3.
Once a qualified candidate attains a principalship, the candidate’s retention in that posi-
tion is not guaranteed (Kowalski, 2010). Principals themselves as well as the school districts that
employ them must take steps to support the retention of qualified individuals in the principal
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 78
Table 8
Principals’ Survey Items and Responses Aligned to Research Question 3, Dealing With Retention
(N = 115)
Survey item and response categories n %
My university training program provided me with processes/strategies
that currently support my success in retaining my position as a
principal.
Strongly Agree 13 11.30
Agree 55 47.83
Disagree 26 22.61
Strongly Disagree 8 6.96
Don’t Know or Not Applicable (N/A) 13 11.30
Professional networks (e.g., NAESP, NASSP, ACSA, university
networks) provided me with processes/strategies that currently
support my success in retaining my position as a principal.
Strongly Agree 5 4.35
Agree 42 36.52
Disagree 40 34.78
Strongly Disagree 9 7.83
Don’t Know or Not Applicable (N/A) 19 16.52
Having a mentor(s) provided me with processes/strategies that
currently support my success in retaining my position as a
principal.
Strongly Agree 67 58.26
Agree 39 33.91
Disagree 4 3.48
Strongly Disagree 0 0.00
Don’t Know or Not Applicable (N/A) 5 4.35
My relationship with directors, assistant superintendents, and my
superintendent supports my success in retaining my position as a
principal.
Strongly Agree 71 61.74
Agree 40 34.78
Disagree 1 0.87
Strongly Disagree 0 0.00
Don’t Know or Not Applicable (N/A) 3 2.61
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 79
Table 8 (continued)
Survey item and response categories n %
My compensation determines my desire to retain my current position as
a principal.
Strongly Agree 8 6.69
Agree 44 38.26
Disagree 44 38.26
Strongly Disagree 14 12.17
Don’t Know or Not Applicable (N/A) 5 4.35
Having a formal, written strategy plan supports my success in retaining
my position as a principal.
Strongly Agree 17 14.78
Agree 60 52.17
Disagree 28 24.35
Strongly Disagree 1 0.87
Don’t Know or Not Applicable (N/A) 9 7.83
Note. NAESP = National Association of Elementary School Principals; National Association of
Secondary School Principals; ACSA = Association of California School Administrators.
position. Qualitative interview and quantitative survey results from this study confirmed the
following themes related to Research Question 3:
1. The support of district office administrators contributes to the retention of principals;
2. Having a mentor supports the retention of principals; and
3. Professional relationships with peers contribute to the retention of principals.
District Office Support
Supportive relationships between site principals and district office administrators are
essential to the retention of successful principals. These supportive relationships fall under a
principal’s need for human contact and job satisfaction, as outlined in Bolman and Deal’s (2013)
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 80
human resource frame. The human resource frame focuses on people and relationships as the key
components of the organization (Bolman and Deal, 2013).
When asked about principal retention, Superintendent B commented:
I think part of the retention piece is making sure that they’ve got good relationships with
your immediate supervisors. We always want to be a support—not always saying, “Hey,
you did this wrong. You did that wrong.” What we need to do is we need to make sure
that people feel as if they’re supported in their positions. I think that if you’ve got that
good connection with principals and supervisors, then that would retain them. (interview,
July 11, 2019)
The principals from District B agreed with their superintendent, with all three principal
participants from District B interviewed stating that feeling supported is an important part of
retention of principals. Principal B3 shared that her greatest support at the district office was her
assigned director:
Currently, my director is one of the biggest, solid relationships that I have right now. . . .
Every time I talk to her, I love hearing her perspective. That’s why I ask for her perspec-
tive. Sometimes I like her silence when she sits there and just listens to me and knows I
don’t necessarily want feedback. I just want somebody to help me just digest the situa-
tion. (interview, July 29, 2019)
Principal B1 also cited her district-assigned director as a major support person and a
reason for her retention in the principal position:
I have a director that has five principles under her. So she’s my direct contact, and I call
her if I need any help. So that is another piece that’s supportive. It’s always great when
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 81
you have questions, and you could call or email someone for their input. (interview,
July 24, 2019)
Principal B2 also shared that district office support impacted her retention in the district:
I think it’s the support, the overall support. A lot of it. I feel very supported by the school
district. Like I said, any time I feel there’s a concern, there’s an issue, everybody’s very
approachable. . . . So, having those personal relationships to me is, you know—I think
that’s a bonus. . . . You need to have that support. And I feel it—I feel it from the staff
here. (interview, July 24, 2019)
Table 9 summarizes the responses of the District B principal participants compared to all
principal participants in response to the statement, “My relationship with directors, assistant
superintendents, and my superintendent supports my success in retaining my position as a princi-
pal.”
Table 9
Responses Indicating That District Support Impacted Principal Retention in District B: District
B Principals and All Principals
Survey item and response categories District B All districts
My relationship with directors, assistant superintendents, and my
superintendent supports my success in retaining my position as a
principal.
Strongly Agree 5 71
Agree 5 40
Disagree 0 1
Strongly Disagree 0 0
Don’t Know 0 3
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 82
Superintendent C’s perspective on principal retention in her district mirrored Superinten-
dent B’s. Superintendent C said, “Principals like it here. They feel supported. They want to
make a difference” (interview, June 27, 2019). Principal 3 from District C also cited support
from the district office as an important part of her retention in the district:
It’s such a small district; the superintendent and the assistant superintendents are all very
much available, very much involved, and very helpful. So I feel very comfortable, you
know, texting or sending an email. You get an answer right away. . . . Just that closeness
to your directors and assistant superintendents and superintendent is really important.
(interview, June 11, 2019)
The survey data aligned to the interview data with 96.52% of surveyed principals agree-
ing or strongly agreeing with the statement, “My relationship with directors, assistant superinten-
dents, and my superintendent supports my success in retaining my position as a principal.”
Further supporting this finding, 96.42% of surveyed supervisors of principals, 100% of surveyed
human resource administrators, and 100% of surveyed superintendents strongly agreed or agreed
that relationships with directors, assistant superintendents, and the superintendent supported the
retention of principals.
Mentoring
Mentoring is a strategy that has a positive impact on principal candidates preparing for
the principalship, moving through the recruitment process, and also retaining the position of
principal. As stated previously, mentoring relationships reinforce Bolman and Deal’s (2013)
human resource frame by addressing an individual’s need for human contact, personal growth,
and job satisfaction. Positive mentor relationships not only help to prepare principals for the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 83
position and through the recruitment process but also help principals to retain their positions.
Survey data confirmed the common theme of mentor relationships supporting principal retention.
After attaining a principal position, Principal B2 continued to receive support from her
mentor. Principal B2 shared that when her formal mentoring program ended, her mentor contin-
ued to provide support informally:
Even after the program ended, I still would email him for advice. He said, “Just because
the program is over, doesn’t mean we stop.” At the end of the year, he called me and
said, “So how did this year go?” So that was really nice because I kind of, like I feel
alone, you know? I know I can email him or I can call him, or whatever. He was very
open to that, even though he didn’t have to do it. (interview, July 24, 2019)
Principal B3 had a similar relationship with a mentor. The relationship started as a
formal mentorship, and then her mentor continued to provide support informally after the formal
mentorship ended:
My mentor is very organized. She met with me twice a month initially, the first part of
the year. She provided a lot of support on topics like crucial conversations, finance,
budget to HR [human resources] concerns. So by the second semester, I was meeting
with her once a month. But that mentorship experience that I got through her was so
valuable. She offered me different platforms to have discussions and develop my learn-
ing as an administrator. It was always safe with her. (interview, July 29, 2019)
Immediate Supervisor B’s thoughts on mentor relationships supporting principal retention
validated the experiences of District B’s principals:
We try to facilitate mentorship by pairing up a more experienced principal with a new
principal. It’s not formal. It’s informal, kind of like a buddy system. So I think that’s the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 84
most powerful mentor relationship because you can be vulnerable. (interview, July 8,
2019)
While on the job, mentors serve as a sounding board for principals, often offering advice
from experience. Mentors also provide encouragement during times of stress on the job. Serving
as a principal can be a lonely profession, and having supportive relationships contributes to
principal retention. The quantitative survey data supported the theme of mentor relationships as
contributing to principal retention in that 92.17% of principals surveyed strongly agreed or
agreed with the statement, “Having a mentor provided me with processes/strategies that currently
support my success in retaining my position as a principal.” Further supporting this finding,
96.43% of supervisors of principals and 95.45% of human resource administrators agreed or
strongly agreed with the statement. One hundred percent of surveyed superintendents agreed or
strongly agreed that “having a mentor provides principals with processes/strategies that support
their success in retaining their positions.”
Professional Relationships With Peers
Successful principals engage in professional relationships with peers. Results from this
study demonstrated that professional relationships with peers impacted principal retention. All
nine principals interviewed noted relationships with peers as a retention strategy they used.
Superintendents and district office administrators also recognized the importance of peer rela-
tionships for principals. In his qualitative interview, Superintendent B noted, “I think the biggest
professional relationship that helps our principals are the relationships they have amongst
themselves. They almost kind of group themselves” (interview, July 11, 2019).
Principals confirmed the importance of professional relationships with peers in their
retention in the position. Principal C2 shared, “You need to have some colleagues that can guide
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 85
you when you need guidance and support” (interview, June 11, 2019). She went on to speak
about her principal peers: “We go through the learning process together. It is very collaborative”
(interview, June 11, 2019). Principal C1 also noted the impact of peer relationships on her
retention: “I’m constantly meeting with some of the other principals in the district. We’ll talk a
lot about, “Hey, what are you doing here? What are you doing there?” (interview, June 18,
2019). As well, Principal B2’s peer relationships supported her retention in the position:
I can pick up the phone and call another principal right now, and they’ll be like, “Hey,
what do you need?” You know? So it’s just having that closeness [and] knowing that,
yes, it’s a difficult position, it’s lonely up here, but at the same time you do have that
support system. So I think having a good, strong support system that I can call different
administrators and they can help me out keeps me in this position. (interview, July 24,
2019)
Quantitative survey statements did not completely align with the theme of professional
relationships in that the survey statement posed specifically referenced formal professional
networks and not the informal relationships discussed by those interviewed. Of the principals
surveyed, 40.86% agreed or strongly agreed with the statement, “Professional networks provided
me with processes/strategies that currently support my success in retaining my position as princi-
pal.” Moreover, 85.71% of surveyed immediate supervisors of principals, 81.81% of surveyed
human resource administrators, and 71.42% of surveyed superintendents strongly agreed or
agreed with the survey statement as posed.
While survey data did not align with the theme of peer relationships, the theme aligned
with the theoretical framework presented by Bolman and Deal (2013). Peer relationships are part
of the human resource frame that focuses on people and relationships as the key components of
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 86
the organization. When viewing an organization from a human resource frame perspective, the
individuals are seen as investments to build up so that they can perform at their highest potential
(Bolman & Deal, 2013). In this case, the investments are the principals themselves as they lead
the organization.
Summary of Results for Research Question 3
Principals themselves and the school districts that employ them must adopt strategies to
support the retention of principals. The results of this study found the following three themes
related to the retention of successful principals. First, the perceived support of district office
administrators contributes to the retention of principals. Second, having a mentor supports the
retention of principals. In addition, professional relationships with peers contribute to the
retention of principals.
Chapter Summary
This chapter examined the themes identified by the researcher as answers to the study’s
three research questions regarding the preparation, recruitment, and retention of principals. The
themes for this study were drawn from 17 qualitative interviews with nine principals, two
immediate supervisors of principals, three human resources administrators, and three superinten-
dents. The themes found in interview data were triangulated with data from 186 quantitative
surveys, three theoretical frameworks, and the relevant literature reviewed in Chapter Two. The
use of multiple data sources increases the validity and reliability of the study (Maxwell, 2013;
Merriam & Tisdell, 2016).
In response to Research Question 1, three major themes emerged. These themes related
to Bolman and Deal’s (2013) human resource frame and Fullan’s (2014) idea of being a system
player. The identified themes relating to principal preparation were (a) that on-the-job training
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 87
was perceived as more effective than university training programs, (b) that having mentors
prepared aspiring principals for the principalship, and (c) that informal networks of support were
important in preparing principals for the position.
In response to Research Question 2, three major themes emerged. These themes also
related to Bolman and Deal’s (2013) human resource frame and Fullan’s (2014) idea of being a
system player. The identified themes relating to principal recruitment were (a) that mentoring is
a successful strategy to assist aspiring principals with the recruitment process, (b) that prior work
experience increased a candidate’s success in attaining a principal position, (c) and that prior
teacher leadership experience increased a candidate’s success in attaining a principal position.
In response to Research Question 3, three major themes emerged. The three major
themes for this question related to the theoretical framework of Bolman and Deal (2013). In
particular, their human resource frame related to people’s needs and relationships. The identified
themes relating to principal recruitment were (a) that the support of district office administrators
contributes to the retention of principals, (b) that professional relationships with peers contribute
to the retention of principals, and (c) that professional relationships with peers contribute to the
retention of principals.
This chapter included a discussion of the study’s themes, which answered the research
questions regarding principal preparation, recruitment, and retention. The summary, limitations,
implications, recommendations for future study, and the study’s conclusion are presented in
Chapter Five.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 88
CHAPTER FIVE: DISCUSSION, IMPLICATIONS, AND RECOMMENDATIONS
The principal of a school holds a critical role in the education of southern California K-12
students. Principals provide direction for the school, build collective efficacy, shape the instruc-
tional focus, and ensure the function of the organization (Marzano et al., 2005). The principal is
responsible for managing certificated and classified staff, building culture, and monitoring
facility maintenance, all while increasing student achievement (Bolman & Deal, 2013). The
principal is the second most influential role contributing to student success, only behind that of
the teacher (Fullan, 2014). Aspiring principals must be prepared for the demands of the position,
which requires knowledge of classroom instruction, fiscal management, support services, and
human resources. While having served as a teacher is a prerequisite of the job, mere teaching
experience is not an indicator of future success as a principal. K-12 school districts must under-
stand the complexities of the principal position in order to select candidates with the proper
training and skill set for success in the position. The preparation, recruitment, and retention of
California principals are essential components in the development of aspiring principals.
The principalship has become more complex and challenging since its beginnings. The
roles, responsibilities, and expectations of a principal have continued to evolve since the incep-
tion of the position in the mid-1600s (Brubaker & Simon, 1986). Preparation programs, both
university and nonuniversity, have made attempts to train aspiring principals to be recruited and
have success in the position but may have fallen short in their efforts (Barnet, 2004; Davis &
Darling-Hammond, 2012; Hess & Kelly, 2007). Support for current principals, including
mentoring and coaching, have also contributed to the ongoing retention of principals successful
in the position; however, principal turnover remains high (McConney et al., 2003). This
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 89
situation signifies an overall problem in the preparation, recruitment, and retention of successful
principals (Meyer & Feistritzer, 2003).
Purpose of the Study Restated
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of successful California K-12 principals. The principal has the second most critical
influence on student achievement, only behind that of the teacher (Fullan, 2014). Considering
that the role of the principal is critical to student achievement, it was valuable to identify the
preparation, skills, and support needed for principals to meet the challenges and complexities of
the principalship as well as the retention efforts that districts must use to keep principals in this
crucial role (Marzano et al., 2005). Three leadership models served as theoretical frameworks
the guide this study: (a) Bolman and Deal’s (2013) organizational frames; (b) Fullan’s (2014)
The Principal: Three Keys to Maximizing Impact; and (c) School Leadership That Works by
Marzano et al. (2005).
This study serves to inform multiple stakeholders. Aspiring principals are informed of
the strategies and skills needed to prepare themselves for the principalship. K-12 school districts
are informed on how best to recruit candidates and then to retain successful candidates in the
position. University and nonuniversity training programs are informed on the impact that their
programs make on principal success once they enter the profession. This study also informs
current principals about the strategies necessary to achieve success and longevity in their posi-
tions.
The study was conducted by a group of 12 researchers at the USC Rossier School of
Education. The research team consisted of practitioners in school districts in the greater Los
Angeles area. The research team collaborated to design the study, research questions,
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 90
methodology, and instrumentation. The research team collaboratively collected quantitative
survey samples from 37 school districts in southern California. Each researcher worked inde-
pendently to gather qualitative data from three or four school districts. Qualitative and quantita-
tive instruments were designed to align with the three research questions of this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
The researcher identified three themes for each research question the study posed. The
theme of the importance of mentoring was a common finding for all three research questions.
Summary of Findings
Research Question 1
To better understand how individuals are prepared for the position of principal, Research
Question 1 asked, “How have training programs and professional experiences prepared principals
to manage the complexities and challenges of the principalship?” Data from this study revealed
three themes related to the preparation of principals. These themes were present in multiple
qualitative interviews and confirmed by the quantitative survey data.
First, the data indicated that effective training did not come from university programs but
rather from on-the-job and teacher leadership experience. Qualitative interview data from 17
participants at all levels of K-12 administration shared the clear theme that on-the-job experience
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 91
was the best preparation for the principalship. Levine (2005b) concurred that the ideal frame-
work for preparing future principals pairs on-the-job experience with theory.
Second, mentors play an important role in preparing individuals for the principalship.
Those who served as teacher leaders and had a mentor at the district office level were even more
prepared than those that did not. Finally, informal networks of support helped to prepare princi-
pals for the principalship. Those networks continued to show support through the recruitment
process and later provided support to principals in their current positions. The findings relating
to mentors and informal systems of support confirmed that Bolman and Deal’s (2013) human
resource frame applies both to how the principal leads others and how the principal learns how to
be a leader.
Research Question 2
The results of this study identified three common themes related to Research Question 2,
“What are the perceptions of principals, immediate supervisors of principals, human resources
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?” According to Fullan (2014), the principal must play the role of lead learner, taking part
in the process of improving his or her own learning. Aspiring principals must operate as lead
learners and seek out leadership learning experiences prior to the principalship. Prior to becom-
ing a principal, participants in this study used a variety of strategies to assist them with recruit-
ment.
First, participating principals indicated that mentors played a role in assisting them
through the recruitment process. As stated previously, mentoring relationships fall under
Bolman and Deal’s (2013) human resource frame by addressing an individual’s need for human
contact, personal growth, and job satisfaction. Mentors assisted principals with recruitment by
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 92
providing encouragement, holding mock interviews, reviewing application paperwork, and
writing letters of reference.
Second, on-the-job experience increased a candidate’s success in attaining a principal
position. Throughout the recruitment process, on-the-job experience was perceived by principals
and district office administrators as an important strategy for attaining a principal position.
Those with on-the-job experience were better prepared to answer interview questions.
Finally, teacher leadership experience increased a candidate’s success in attaining a
principal position. The common theme of teacher leadership experience in assisting the recruit-
ment process was present in all nine principal interviews conducted by this researcher. Teacher
leadership provided aspiring principals with many of the experiences necessary for the principal
position without actually holding the position.
Research Question 3
The results of this study found three themes related to Research Question 3, “What are the
perceived strategies that support the retention of principals?” First, the perceived support of
district office administrators contributes to the retention of principals; supportive relationships
between district office administrators and site administrators are essential for principal retention.
Second, having a mentor supports the retention of principals. Positive mentor relation-
ships not only help to prepare principals for the position and for the recruitment process but also
help principals to retain their positions. In addition, professional relationships with peers con-
tribute to the retention of principals. All nine principals interviewed noted relationships with
peers as a retention strategy. Superintendents and district office administrators also recognized
the importance of peer relationships for principal retention.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 93
All three of the findings for Research Question 3 involved relationships and fell under a
principal’s need for human contact and job satisfaction, as described in Bolman and Deal’s
(2013) human resource frame. District administrator relationships, mentor relationships, and
professional relationships with colleagues support principals by teaching skill strategies to apply
in the principal position.
Implications
This study contributes to the research base of strategies to support principals through
preparation, recruitment, and retention. The data gleaned from the quantitative data obtained
from 37 school districts, paired with qualitative data from three school districts, provide insight
beyond just those districts. The findings inform prospective principals about strategies to support
their preparation, recruitment, and retention.
Aspiring principals can be assured that the experience gained on the job will assist them
in the future. They should make a concerted effort to participate in leadership opportunities to
gain leadership experience that will help them with their recruitment and retention as a princi-
pals. Pairing this teacher leadership experience with a university credential program will ensure
that they are highly desirable candidates for a principal position. Aspiring principals should also
seek out mentor relationships if they do not already have a mentor. Having a mentor will assist
an aspiring principal not only with the preparation process but also with the recruitment process
and their retention in a future position.
This study showed that relationships are the key factor for principal retention. In order to
retain principals in their positions, they need to feel connected to district office administrators,
mentors they can trust, and colleagues. To accomplish this goal, both the district and the
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 94
principal must invest in developing relationships. If principals do not already have a mentors
they trust, they should seek one out.
Recommendations for Future Study
Based on this study’s findings, the researcher identified the following research recom-
mendations:
1. Future research could focus on mentor relationships and the role that mentors play in
the preparation, recruitment, or retention of principals. Qualitative interviews and surveys could
involve the perspectives of both the principal and the mentor.
2. Future research could focus on specific on-the-job experiences that were beneficial to
principal preparation. Qualitative interviews and survey data could focus on specific experiences
that an aspiring principal should have to prepare for the position outside of university course-
work.
3. Future research could replicate this study in other parts of California or other states to
validate the data and findings.
Conclusions
The principalship is a complex and challenging position. Aspiring and current principals
must apply appropriate strategies and demonstrate appropriate skills to have success in the
position. This study provided insight on principal preparation, recruitment, and retention.
Themes were drawn from qualitative data and supported by quantitative data, theoretical frame-
works, and literature to answer three research questions based on principal preparation, recruit-
ment, and retention. The researcher made every effort to ensure that the data collected were
obtained ethically and that the themes reported were derived scientifically with little bias. It is
critical that an aspiring principal proactively build on work experience, establish relationships
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 95
with mentors and colleagues and with district office leaders so as to gain the skills required to
meet the many demands and challenges of the position.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 96
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PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 104
Appendix A
RESEARCH PARTICIPANTS’ INVITATION E-MAIL
Dear _______________ [stakeholder group role],
I am a doctoral candidate in the Rossier School of Education at the University of Southern
California and a _______________ [role] in the _______________ Unified School District. I
would like to invite you to participate in a research study that will investigate the preparation,
recruitment, and retention of public school principals.
You are asked to participate only if you are currently employed as a [role] in a public school
district. If you agree to participate, you will be asked to complete a survey; the estimated time for
completion is approximately 20 minutes. The University of Southern California’s Institutional
Review Board has approved this research study (IRB #APP-19-00787).
Your participation is completely voluntary. If you decide to participate after reading this email,
you can access the survey via the following link: _______________
I value your input and hope that you will consider participating in this study. Please email me at
_______________ if you have any questions. Thank you in advance for your time.
Sincerely,
USC Doctoral Candidate Researcher
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 105
Appendix B
INFORMED CONSENT
Date: _______________
Dear _______________,
My name is _______________ , and I am a doctoral student at the USC Rossier School of Edu-
cation. I am conducting a research study under the guidance and direction of Dr. Michael F.
Escalante. The purpose of my mixed-methods study is to examine the preparation, recruitment,
and retention of public school principals in southern California. I will interview and survey
superintendents, human resources directors/assistant superintendents, immediate supervisors of
principals, and principals.
You have been invited to participate in a graduate research study that will shed light on the
preparation, recruitment, and retention of public school principals in southern California. The
results of this study will inform multiple stakeholders, including aspiring principals, superinten-
dents, and school boards. It is my hope that this study will serve as a valuable resource.
Your participation is voluntary, and you have the right to withdraw at any time. The information
collected will be kept confidential and anonymous by the researcher and members of the disserta-
tion committee. Data will be presented in a manner that will ensure that no individual or district
can be identified.
If you have any questions or concerns regarding your participation in this study, you may contact
me at _______________ or Dr. Michael F. Escalante at the University of Southern California.
Thank you, in advance, for your time and assistance.
Sincerely,
_______________, Researcher [_______________@usc.edu]
(xxx) xxx-xxxx
Dr. Michael F. Escalante, Dissertation Chair, mescalante@usc.edu
(818) 802-4769
( ) I have read this form and have been given the opportunity to ask questions. I consent to my
participation in the research described above.
Participant’s Signature: __________________________________________________________
Participant’s Printed Name: _______________________________________________________
Date: __________________
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 106
Appendix C
PRINCIPAL SURVEY
The purpose of this qualitative study is to examine the preparation, recruitment, and retention of
California K-12 public school principals. While the most significant direct influence on student
achievement is the teacher, the second most critical influence is the principal (Fullan, 2014). It is
important to identify the preparation and supports that principals must have in order to meet the
challenges and complexities of the principalship, as well as the recruitment strategies and reten-
tion efforts that public school districts must use to find and retain quality personnel in the prin-
cipalship. The goal of this brief, 15-minute survey is to quantify your perceptions on principal
preparation, recruitment, and retention. Your participation in this survey is anonymous. Thank
you for your participation.
Personal Background
1. Gender
Q Male
Q Female
2. Ethnicity (check all that apply)
Q Asia
Q Black
Q Latina/o
Q Native American
Q Pacific Islander
Q White
Q Multiple
Q Other
Q Decline to state
3. Age range:
Q < 30
Q 30-40
Q 41-50
Q 51-60
Q 61+
4. Highest university degree earned:
Q Ed.D.
Q Ph.D.
Q Master’s
Q Bachelor’s
Q Other (please specify) ___________________________________________
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 107
5. What university do you identify with professionally?

6. How many years in the education profession?
Q 1-10
Q 11-20
Q 21-30
Q 30 or more
7. How many years as a principal?
Q 2 years or less
Q 3-5
Q 6-10
Q 11-15
Q 16 or more
8. Did you come from within your current district or outside your current district?
Q Within
Q Outside
9. What type of administrative preparation program did you participate in?
Q University
Q Nonuniversity, please specify: ____________________________________
10. Past experiences (check all that apply):
School site positions:
Q Elementary school teacher
Q Middle school teacher
Q High school teacher
Q Counselor (any level)
Q College/university instructor
Q Teacher on Special Assignment (TOSA)
Q Other ______________________
School site administrator positions:
Q Elementary School Assistant Principal
Q Middle School Assistant Principal
Q High School Assistant Principal
Q Elementary Principal
Q Middle School Principal
Q High School Principal
Q Dean of Students
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 108
District-level positions:
Q Coordinator
Q Specialist
Q Director of Curriculum and Instruction
Q Director of Research and Planning
Q Director of Human Resources
Q Director of Student Support Services
Q Director: Other _________________________________
Experiences other than education:
Q Please specify: ________________________________________
11. Salary Range (approximate):
Q Less than $100,000
Q $100,001-110,000
Q $110,001-120,000
Q $120,001-130,000
Q $130,001-140,000
Q $140,001-150,000
Q $150,001-160,000
Q $160,001-170,000
Q More than $170,001
12. Type of school district:
Q Urban
Q Urban/suburban
Q Suburban
Q Rural
13. District student enrollment:
Q Less than 5,000
Q 5,001-10,000
Q 10,001-20,000
Q 20,001-30,000
Q 30,001-40,000
Q 40,001-50,000
Q 50,001-60,000
Q 60,001-70,000
Q More than 70,000
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 109
Based on your perception of the preparation of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that you took prior to
taking on your first principal position.
PREPARATION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
1. University programs provided training
and experience that are important in
preparing me for my position as a prin-
cipal.
2. My prior work experience was more im-
portant than my university training expe-
rience in preparing me for my position as
a principal.
3. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was important in preparing me
for my position as a principal.
4. Nonuniversity training programs (such
as the ACSA Principal Academy) were
important in preparing me for my posi-
tion as a principal.
5. Holding certification and/or licensure
from organizations (such as USC or
ACSA) was important in preparing me
for my position as a principal.
6. Having mentors was instrumental in pre-
paring me for my position as a principal.
7. A professional network of support (such
as CALSA, NASSP, NAESP, ACSA, or
through a university) was important in
preparing me for my position as a princi-
pal.
8. Informal networks of support (such as
professional colleagues) were important
in preparing me for my position as a
principal.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 110
9. Networks with university professors
were important in preparing me for my
position as a principal.
10. Planning my career was important in
preparing me for my position as a princi-
pal.
11. My university training program provided
intentional supports or resources to pre-
pare me for my position as a principal.
12. Having experience as a teacher leader
was a crucial element in preparing me
for my position as a principal.
13. Having experience as an assistant princi-
pal was a crucial element in preparing
me for my position as a principal.
Based on your perception of the recruitment of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps you took prior to taking
on your first principal position.
RECRUITMENT

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
14. As an aspiring principal, district
resources and programs were important
in being recruited into my current posi-
tion as a principal.
15. My university principal preparation pro-
gram was an important factor in being
recruited into my current position as a
principal.
16. My nonuniversity principal preparation
program was an important factor in be-
ing recruited into my current position as
a principal.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 111
17. The nonmonetary incentives offered by
my district were important factors in ap-
plying for the principal position in my
district.
18. The salary and benefits offered by my
district were important factors in apply-
ing for the principal position in my dis-
trict.
19. My previous experience in education
was an important factor in being re-
cruited into my current position as a
principal.
20. My previous experience outside of edu-
cation was an important factor in being
recruited into my current position as a
principal.
21. The reputation of my school district was
an important factor in applying for the
principal position in my district.
22. My level of understanding of district
initiatives and goals was an important
factor in being recruited into my current
position as a principal.
23. As an in-district candidate, networking
with district personnel was an important
factor in being recruited into my current
position as a principal.
24. As an out-of-district candidate, network-
ing with district personnel was an impor-
tant factor in being recruited in my cur-
rent position as a principal.
25. Having a mentor was an important factor
in being recruited in my current position
as a principal.
26. Being an employee of my school district
was an important factor in being re-
cruited into my current position as a
principal.
27. My participation in professional organi-
zations was an important factor in being
recruited into my current position as a
principal.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 112
28. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was an important factor in be-
ing recruited into my current position as
a principal.
29. Having instructional leadership experi-
ence was an important factor in being
recruited into my position as a principal.
Based on your perception of the retention of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is process/strategy that you used to maintain your current
principal position.
RETENTION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
30. My university training program provided
me with processes/strategies that cur-
rently support my success in retaining
my position as a principal.
31. Professional networks (e.g., NAESP,
NASSP, ACSA, university networks)
provided me with processes/strategies
that currently support my success in re-
taining my position as a principal.
32. Having a mentor(s) provided me with
processes/strategies that currently sup-
port my success in retaining my position
as a principal.
33. My relationship with directors, assistant
superintendents, and my superintendent
supports my success in retaining my po-
sition as a principal.
34. My compensation determines my desire
to retain my position as a principal.
35. Having a formal, written strategic plan
supports my success in retaining my po-
sition as a principal.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 113
36. Pressures from accountability measures
affect my desire to retain my position as
a principal.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 114
Appendix D
HUMAN RESOURCE ADMINISTRATOR SURVEY
Based on your perception of the preparation of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that principals took prior to
taking on their first principal position.
PREPARATION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
1. University programs provided training
and experience that are important in pre-
paring principals for their positions.
2. Prior work experience was more impor-
tant than university training experience
in preparing principals for their current
positions.
3. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was important in preparing
principals for their current positions.
4. Nonuniversity training programs (such
as the ACSA Principal Academy) were
important in principals for their current
positions.
5. Holding certification and/or licensure
from organizations (such as USC or
ACSA) was important in preparing prin-
cipals for their current positions.
6. Having a mentor was important in pre-
paring my principals for their current
positions.
7. A professional network of support (e.g.,
NASSP, ACSA, or through a university)
was important in preparing my principals
for their current positions.
8. Informal networks (e.g., professional
colleagues) were important in preparing
principals for their current positions.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 115
9. Having experience as a teacher leader
was crucial for preparing principals for
their current positions.
10. Having experience as an assistant prin-
cipal was crucial for preparing principals
for their current positions.
Based on your perception of the recruitment of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps that principals took prior to taking
on their first principal position.
RECRUITMENT

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
11. District resources and recruitment
strategies help candidates to get re-
cruited into principal positions in my
district.
12. University principal preparation
programs help candidates to get recruited
into principal positions in my district.
13. Nontraditional principal preparation pro-
grams help candidates to get recruited
into principal positions in my district.
14. The nonmonetary incentives offered by
my district are important factors in can-
didates applying for principal positions
in my district.
15. The salary and benefits offered are im-
portant factors in candidates applying for
principal positions in my district.
16. Candidates’ previous experience in edu-
cation is an important factor in recruiting
for principal positions in my district.
17. Candidates’ previous experience outside
of education is an important factor in
recruiting for principal positions in my
district.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 116
18. The reputation of my school district is an
important factor in candidates applying
for principal positions in my district.
19. Candidates’ level of level of understand-
ing of district initiatives and goals was
an important factor in being recruited
into principal positions in my district.
20. Networking with district personnel helps
candidates to get recruited into principal
positions in my district.
21. Having a mentor helps candidates to get
recruited into principal positions in my
district.
22. Being an employee of my school district
helps candidates to get recruited into
principal positions in my district.
23. Candidates’ participation in professional
organizations helps candidates to get
recruited into principal positions in my
district.
24. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) helps candidates to get re-
cruited into principal positions in my
district.
25. Having instructional leadership experi-
ence is an important factor in recruiting
for principal positions in my district.
26. My district is experiencing a shortage of
quality candidates for the principal posi-
tion.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 117
Based on your perception of the retention of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy used by principals to maintain their current
principal position.
RETENTION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
27. University training programs provide
principals with skills/strategies that sup-
port their success in retaining their cur-
rent positions.
28. Professional networks (such as NAESP,
NASSP, ACSA, university networks)
provide principals with processes/strate-
gies that support their success in retain-
ing their current positions.
29. Having mentor(s) provides principals
with processes/strategies that support
their success in retaining their current
positions.
30. The relationships that principals have
with directors, assistant superintendents,
and the superintendent support their suc-
cess in retaining their current positions.
31. Principals’ compensation determines
their desire to continue in their current
positions.
32. Having a formal, written strategic plan
supports principals’ success in retaining
their current positions.
33. Pressures from accountability measures
affect principals’ desires to retain their
current position.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 118
Appendix E
IMMEDIATE SUPERVISOR OF PRINCIPAL SURVEY
Based on your perception of the preparation of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that principals took prior to
taking on their first principal position.
PREPARATION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
1. University programs provided training
and experience that were important in
preparing principals for their positions.
2. Prior work experience was more impor-
tant than university training experience
in preparing principals for their current
positions.
3. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was important in preparing
principals for their current positions.
4. Nonuniversity training programs (e.g.,
the ACSA Principal Academy) were im-
portant in preparing principals for their
current positions.
5. Holding certification and/or licensure
from organizations (such as USC or
ACSA) was important in preparing prin-
cipals for their current positions.
6. Having a mentor was important in pre-
paring my principals for their current
positions.
7. A professional network of support (e.g.,
NASSP, ACSA, or through a university)
was important in preparing principals for
their current positions.
8. Informal networks (e.g., professional
colleagues) were important in preparing
principals for their current positions.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 119
9. Having experience as a teacher leader
was crucial for preparing principals for
their current positions.
10. Having experience as an assistant prin-
cipal was crucial for preparing principals
for their current positions.
Based on your perception of the recruitment of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps that principals took prior to taking
on their first principal position.
RECRUITMENT

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
11. District resources and recruitment strate-
gies help candidates to get recruited into
principal positions in my district.
12. University principal preparation
programs help candidates to get recruited
into principal positions in my district.
13. Nontraditional principal preparation pro-
grams help candidates to get recruited
into principal positions in my district.
14. The nonmonetary incentives offered by
my district are important factors in can-
didates applying for principal positions
in my district.
15. The salary and benefits offered are im-
portant factors in candidates applying for
principal positions in my district.
16. Candidates’ previous experience in edu-
cation is an important factor in recruiting
for principal positions in my district.
17. Candidates’ previous experience outside
of education is an important factor in
recruiting for principal positions in my
district.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 120
18. The reputation of my school district is an
important factor in candidates applying
for principal positions in my district.
19. A candidate’s level of level of under-
standing of district initiatives and goals
were important factors in being recruited
into principal positions in my district.
20. Networking with district personnel helps
candidates to get recruited into principal
positions in my district.
21. Having a mentor helps candidates to get
recruited into principal positions in my
district.
22. Being an employee of my school district
helps candidates to get recruited into
principal positions in my district.
23. Candidates’ participation in professional
organizations helps candidates to get
recruited into principal positions in my
district.
24. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) helps candidates to get
recruited into principal positions in my
district.
25. Having instructional leadership experi-
ence is an important factor in recruiting
for principal positions in my district.
26. My district is experiencing a shortage of
quality candidates for the principal posi-
tion.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 121
Based on your perception of the retention of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy used by principals to maintain their current
principal position.
RETENTION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
27. University training programs provide
principals with skills/strategies that sup-
port their success in retaining their cur-
rent positions.
28. Professional networks (such as NAESP,
NASSP, ACSA, university networks)
provide principals with processes/strate-
gies that support their success in retain-
ing their current positions.
29. Having mentor(s) provides principals
with processes/strategies that support
their success in retaining their current
positions.
30. The relationships that principals have
with directors, assistant superintendents,
and the superintendent support their suc-
cess in retaining their current positions.
31. Principals’ compensation determines
their desire to continue in their current
positions.
32. Having a formal, written strategic plan
supports principals’ success in retaining
their current positions.
33. Pressures from accountability measures
affect principals’ desires to retain their
current position.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 122
Appendix F
SUPERINTENDENT SURVEY
Based on your perception of the preparation of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that principals took prior to
taking on their first principal position.
PREPARATION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
1. University programs provided training
and experience that are important in pre-
paring principals for their positions.
2. Prior work experience was more impor-
tant than university training experience
in preparing principals for their current
positions.
3. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was important in preparing
principals for their current positions.
4. Nonuniversity training programs (e.g.,
the ACSA Principal Academy) were im-
portant in preparing principal for their
current positions.
5. Holding certification and/or licensure
from organizations (such as USC or
ACSA) was important in preparing prin-
cipals for their current positions.
6. Having a mentor was important in pre-
paring my principals for their current
positions.
7. A professional network of support (e.g.,
NASSP, ACSA, or through a university)
was important in preparing my principals
for their current positions.
8. Informal networks (e.g., professional
colleagues) were important in preparing
principals for their current positions.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 123
9. Having experience as a teacher leader
was crucial for preparing principals for
their current positions.
10. Having experience as an assistant prin-
cipal was crucial for preparing principals
for their current positions.
Based on your perception of the recruitment of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps that principals took prior to taking
on their first principal position.
RECRUITMENT

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
11. District resources and recruitment
strategies help candidates to get
recruited into principal positions in my
district.
12. University principal preparation
programs help candidates to get recruited
into principal positions in my district.
13. Nontraditional principal preparation pro-
grams help candidates to get recruited
into principal positions in my district.
14. The nonmonetary incentives offered by
my district are important factors in can-
didates applying for principal positions
in my district.
15. The salary and benefits offered are im-
portant factors in candidates applying for
principal positions in my district.
16. Candidates’ previous experience in edu-
cation is an important factor in recruiting
for principal positions in my district.
17. Candidates’ previous experience outside
of education is an important factor in re-
cruiting for principal positions in my
district.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 124
18. The reputation of my school district is an
important factor in candidates applying
for principal positions in my district.
19. Candidates’ level of level of understand-
ing of district initiatives and goals is an
important factor in being recruited into
principal positions in my district.
20. Networking with district personnel helps
candidates to get recruited into principal
positions in my district.
21. Having a mentor helps candidates to get
recruited into principal positions in my
district.
22. Being an employee of my school district
helps candidates to get recruited into
principal positions in my district.
23. Candidates’ participation in professional
organizations helps candidates to get
recruited into principal positions in my
district.
24. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) helps candidates to get
recruited into principal positions in my
district.
25. Having instructional leadership experi-
ence is an important factor in recruiting
for principal positions in my district.
26. My district is experiencing a shortage of
quality candidates for the principal posi-
tion.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 125
Based on your perception of the retention of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy used by principals to maintain their current
principal position.
RETENTION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
27. University training programs provide
principals with skills/strategies that sup-
port their success in retaining their cur-
rent positions.
28. Professional networks (such as NAESP,
NASSP, ACSA, university networks)
provide principals with processes/strate-
gies that support their success in retain-
ing their current positions.
29. Having mentor(s) provides principals
with processes/strategies that support
their success in retaining their current
positions.
30. The relationships that principals have
with directors, assistant superintendents,
and the superintendent support their suc-
cess in retaining their current positions.
31. Principals’ compensation determines
their desire to continue in their current
positions.
32. Having a formal, written strategic plan
supports principals’ success in retaining
their current positions.
33. Pressures from accountability measures
affect principals’ desires to retain their
current position.
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 126
Appendix G
PRINCIPAL INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information that you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or choose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that I
can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in Cali-
fornia public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program (e.g. principal’s academy, university program, etc.) did you
attend that prepared you for the principalship?
1a. Which training was most effective? Why?
2. Describe your career path to the principalship.
2a. Which professional experiences leading up to becoming a principal were the most
beneficial? Why?
3. Which professional relationships helped you prepare for the principal position?
3a. Why were they important in your preparation?
4. When did you know that you wanted to be a principal?
4a. What proactive steps did you take to get a position?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 127
Recruitment
5. How did your training program prepare you for the principal recruitment process?
6. What prior experiences did you have that made you the most desirable candidate for princi-
pal?
6a. Is there an experience that you lacked that might have helped you while being
recruited?
7. What qualities or characteristics made you a qualified principal candidate?
8. Did you strategically use professional relationships, such as mentoring or networking, to
attain your position? If so, how?
9. What attracted you to the principalship in your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
10b. How does ongoing training support your retention?
11. What professional relationships support your retention?
11a. Is the relationship formal or informal?
11b. Is it assigned or self-selected?
11c. What strategies do you use with your supervisors to support your retention as a
principal?
12. What factors impact your decision to stay in the principalship?
12a. What factors, if any, would influence you leaving the position?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 128
Appendix H
HUMAN RESOURCES ADMINISTRATOR INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information that you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or choose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that
I can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in Cali-
fornia public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program did your principals attend to prepare them for the principal-
ship?
1a. Where did they receive the most effective training? Why?
2. Describe your principals’ career paths to the principalship.
2a. Which professional experiences leading up to the principalship were the most
beneficial to your principals? Why?
3. Which professional relationships helped your principals to prepare for their position?
3a. Why were they important?
4. What proactive steps did your principals take to get their positions?
Recruitment
5. How did principal training programs prepare your principals for the recruitment process?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 129
6. What prior experiences did your principals have that made them the most desirable candidate
to be hired?
6a. Are there any experiences they lacked that would have helped them be recruited?
7. What qualities or characteristics do you seek in a principal candidate?
8. How have your principals used professional relationships, such as mentoring or networking,
to attain their positions?
9. What strategies do you use to attract principal candidates to your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
11. What professional relationships support the retention of principals?
11a. Are these relationships formal or informal?
11b. Are they assigned or self-selected?
12. What factors have impacted the ongoing retention of your principals?
12a. What factors, if any, influence principals leaving the position?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 130
Appendix I
IMMEDIATE SUPERVISOR OF PRINCIPAL INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information that you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or choose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that
I can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in Cali-
fornia public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program did your principals attend to prepare them for the principal-
ship?
1a. Where did they receive the most effective training? Why?
2. Describe your principals’ career paths to the principalship.
2a. Which professional experiences leading up to the principalship were the most
beneficial to your principals? Why?
3. Which professional relationships helped your principals to prepare for their position?
3a. Why were they important?
4. What proactive steps did your principals take to get their positions?

Recruitment
5. How did principal training programs prepare your principals for the recruitment process?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 131
6. What prior experiences did your principals have that made them the most desirable candi-
dates to be hired?
6a. Are there any experiences they lacked that would have helped them be recruited?
7. What qualities or characteristics do you seek in a principal candidate?
8. How have your principals used professional relationships, such as mentoring or networking,
to attain their positions?
9. What strategies do you use to attract principal candidates to your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
11. What professional relationships support the retention of principals?
11a. Are these relationships formal or informal?
11b. Are they assigned or self-selected?
12. What factors have impacted the ongoing retention of your principals?
12a. What factors, if any, influence principals leaving the position?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 132
Appendix J
SUPERINTENDENT INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information that you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or choose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that
I can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in Cali-
fornia public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program did your principals attend to prepare them for the principal-
ship?
1a.Where did they receive the most effective training? Why?
2. Describe your principals’ career paths to the principalship.
2a. Which professional experiences leading up to the principalship were the most
beneficial to your principals? Why?
3. Which professional relationships help your principals prepare for their position?
3a. Why were they important?
4. What proactive steps did your principals take to get their positions?

Recruitment
5. How did principal training programs prepare your principals for the recruitment process?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 133
6. What prior experiences did your principals have that made them the most desirable candi-
dates to be hired?
6a. Are there any experiences they lacked that would have helped them be recruited?
7. What qualities or characteristics do you seek in a principal candidate?
8. How have your principals used professional relationships, such as mentoring or networking,
to attain their positions?
9. What strategies do you use to attract principal candidates to your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
11. What professional relationships support the retention of principals?
11a. Are these relationships formal or informal?
11b. Are they assigned or self-selected?
12. What factors have impacted the ongoing retention of your principals?
12a. What factors, if any, influence principals leaving the position?
PRINCIPAL PREPARATION, RECRUITMENT, AND RETENTION 134
Appendix K
QUESTION ALIGNMENT MATRIX
Instrument
RQ1
How have training pro-
grams and professional
experiences prepared
principals to manage
the complexities and
challenges of the
principalship?
RQ2
What are the perceptions
of principals, immediate
supervisors of principals,
human resources
administrators, and
superintendents regard-
ing strategies to recruit
successful principal can-
didates?
RQ3
What are the perceived
strategies that support the
retention of principals?
Principal Survey 1–13 14–29 30–36
Principal Interview
Guide
1–4 5–9 10–12
Human Resources
Administrator
Survey
1–10 11–26 27–33
Human Resources
Administrator In-
terview Guide
1–4 5–9 10–12
Immediate Super-
visor Survey
1–10 11–26 27–33
Immediate Super-
visor Interview
Guide
1–4 5–9 10–12
Superintendent
Survey
1–10 11–26 27–33
Superintendent
Interview Guide
1–4 5–9 10–12

Abstract (if available)

Abstract The purpose of this study was to examine the preparation, recruitment, and retention of K-12 principals in California. Considering the role of the principal is critical to student achievement, it is valuable to identify the preparation and skills needed for principals to meet the challenges and complexities of the principalship. It is also valuable to identify the recruitment and retention strategies individuals and districts must use to keep principals in this crucial role. This study’s research questions were (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, and (3) What are the perceived strategies that support the retention of principals? This study presents the perceptions of principals, supervisors of principals, human resource administrators, and superintendents representatives from thirty-seven public school districts in Southern California. Findings were presented as nine themes related to each of the three research questions. Effective principal preparation occurred through on-the-job training, mentorship, and informal systems of support. Recruitment strategies for principals included mentor relationships, on-the-job experience, and teacher leadership experience. Perceived support of district office administrators, having a mentor, and professional relationships with peers contributed to the retention of principals. Finally, this study suggests that mentor relationships are a key component of the preparation, recruitment, and retention of principals and these relationships are a worthy topic for further study.

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Asset Metadata

Creator Katanic, Andrea Elise (author)

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

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 05/14/2020

Defense Date 01/16/2020

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

Tag OAI-PMH Harvest,preparation,Principal,recruitment,retention

Language English

Contributor Electronically uploaded by the author (provenance)

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

Creator Email akatanic@gmail.com,akatanic@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-307821

Unique identifier UC11663917

Identifier etd-KatanicAnd-8518.pdf (filename),usctheses-c89-307821 (legacy record id)

Legacy Identifier etd-KatanicAnd-8518.pdf

Dmrecord 307821

Document Type Dissertation

Rights Katanic, Andrea Elise

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