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

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

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Content Running head: K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 1
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS IN CALIFORNIA: STRATEGIES
FOR PREPARATION, RECRUITMENT, AND RETENTION
by
Kerri Braun
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 Kerri Braun
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 2
Dedication
This dissertation is dedicated to my husband Jeff, who was supportive every step of the
way and made many sacrifices for me to pursue this dream. I thank him for being there for me
through the whole process. As I completed this dissertation, he was witness to the long days and
nights and support of the time I had to write these very pages and endless papers during the
program. I could not have done this without his support, encouragement, and love.
I also dedicate this work to my parents, Carol and Kenneth, who have always been my
biggest fans and cheerleaders. They taught me the value and importance of education as early as
I can remember and always believed in my ability to achieve. They made many sacrifices for me,
and I will be forever thankful. Everything I have accomplished I owe to their continuous support.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 3
Acknowledgments
I would like to acknowledge and thank my dissertation chair, Dr. Michael Escalante. He
was supportive throughout this process and provided much insight regarding this grueling
profession. He taught me about leadership, relationships, and perseverance. I have gained more
confidence and grown in my passion for education from his constant guidance and encourage-
ment. I am grateful to my dissertation committee members—Dr. David Cash, Dr. Owen Crosby,
and Dr. Michelle Doll—for their ongoing support and expertise. I also thank all of my professors
in the Rossier School of Education at the University of Southern California for pushing my
thinking as an educational practitioner.
I acknowledge the participants of this study, including all the superintendents, human
resources administrators, immediate supervisors of principals, and principals, who so graciously
shared their time, experiences, and reflections. The support of experts in the field is invaluable.
I would like acknowledge my fellow students and friends in my dissertation group and the
Thursday night USC EdD cohort. I learned a lot from each of them, and they made the entire
process much more fun than anyone could imagine.
In addition, I would like to acknowledge and thank my fellow colleagues and friends,
including Jessica L., Wendy G., Kristan B., Cheri K., and many others. They supported me and
were extremely understanding when I needed to miss a meeting, event, or outing to be at USC for
class or to toil away on homework and papers. The flexibility and patience that they showed will
not be forgotten. The continuous words of encouragement from each of them helped me push
through.
Finally, I would like to thank the OC Crew: Beth Rabel-Blackman, Rena Fairchild, Lara
Gruebel, and Gloria Olamendi. I could not have completed this doctoral journey without the
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 4
support of our group. From the hours together on the freeway, weary nights, and gallons of
Starbucks, our many laughs, to being fired up about endless topics, I will forever cherish this
journey with them. I am grateful that we experienced this together and have become lifelong
friends. Fight on!
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 5
Table of Contents
Dedication 2
Acknowledgments 3
Abstract 8
Chapter One: The Problem 10
Background of the Problem 11
Statement of the Problem 11
Purpose of the Study 12
Research Questions 12
Significance of the Study 13
Assumptions 13
Limitations 14
Delimitations 14
Definition of Terms 15
Organization of Study 16
Chapter Two: Review of the Literature 18
History and Evolution of the Principal Role 18
Diversity Challenges of the Principalship 24
Issues of Race 25
Issues of Gender 25
Preparation for the Principalship 26
University Preparation Programs 28
Nonuniversity Programs 30
Licensure Exams 33
Recruitment of the Principal 35
Traditional Career Path of a Principal 35
Principal Shortage 36
Principal Skill Set 37
Strategies for Recruiting Principal Candidates 38
Factors Negatively Affecting Principal Application Decisions 41
Retention of the Principal 43
Strategies Affecting Principal Retention 43
Strategies for Retaining Principals 45
Leadership Framework 48
Reframing Organizations: Four Frames 48
School Leadership That Works 51
The Principal: Keys to Maximizing Impact 53
Conceptual Framework 55
Chapter Summary 56
Figure 1. Conceptual framework for study 57
Chapter Three: Research Methodology 58
Research Questions Restated 58
Research Design and Methods 59
Qualitative Research 59
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 6
Why Qualitative Methods 59
Research Team 61
Population and Sample 61
Access and Entry 62
Instrumentation 63
Quantitative Instrumentation 63
Qualitative Instrumentation 64
Data Collection 65
Data Analysis 66
Credibility and Trustworthiness 67
Ethical Considerations 67
Chapter Summary 68
Chapter Four: Findings 69
Study Participants 71
Qualitative Interview Participants 71
Quantitative Survey Participants 73
Table 1. Summary of Participants in Quantitative Surveys by Organization Position
and Rate of Response 74
Findings for Research Question 1 74
Learning Opportunities 75
Job-Related Preparation 78
Mentors 83
Summary of Results for Research Question 1 87
Findings for Research Question 2 88
Networking as a Recruitment Strategy 89
Principal’s Skill Set 93
Tapping and Leadership Development 97
Summary of Results for Research Question 2 99
Findings for Research Question 3 100
Support Through Mentors 101
Relationships Within the District 104
Compensation 107
Summary of Results for Research Question 3 110
Chapter Summary 110
Chapter Five: Summary, Implications, and Recommendations 113
Purpose of the Study Restated 113
Summary of Findings 114
Findings for Research Question 114
Findings for Research Question 2 115
Findings for Research Question 3 116
Limitations 117
Implications 118
Recommendations for Future Study 119
Conclusion 120
References 122
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 7
Appendices
Appendix A: Research Participants’ Invitation E-mail 133
Appendix B: Informed Consent 134
Appendix C: Principal Survey 135
Appendix D: Human Resources Administrator Survey 143
Appendix E: Immediate Supervisor of Principal Survey 147
Appendix F: Superintendent Survey 151
Appendix G: Principal Interview Guide 155
Appendix H: Human Resources Administrator Interview Guide 157
Appendix I: Immediate Supervisor of Principal Interview Guide 159
Appendix J: Superintendent Interview Guide 161
Appendix K: Question Alignment Matrix 163
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 8
Abstract
The K-12 public school principal is a key player who ultimately impacts student achieve-
ment. The role of the principal has evolved over time, and 21st-century principals must be
prepared to navigate the daily challenges and complexities of the position to successfully influ-
ence student achievement. A qualitative approached was utilized for data collection and analysis.
This study examined the preparation, recruitment, and retention of K-12 public school principals
in southern California. The three research questions of this study sought to understand the
process of principal preparation, recruitment, and retention from various stakeholder groups.
Perspectives from the qualitative participant groups, superintendents, human resources adminis-
trators, immediate supervisors of principals, and principals served to answer the research ques-
tions. The common themes found in this study were also triangulated by quantitative survey data
and scholarly literature. Nine themes emerged regarding principal preparation, recruitment, and
retention: (a) that seeking learning opportunities through leadership academies was perceived as
better training than university training programs; (b) that job-related preparation through teacher–
leader opportunities, teacher on special assignment positions, and taking on administrative roles
and duties best prepared principals to manage the complexities and challenges of the principal-
ship; (c) that mentors better prepare principals and aspiring principals for the principalship; (d)
that networking was a strategy that stakeholders used for recruitment; (e) that candidates’ skill
sets were important in principal recruitment efforts; (f) that tapping was another strategy utilized
to recruit principals; (g) that mentors supported principal retention; (h) that relationships among
principals and district personnel had an impact on retention; and (i) that compensation was a
factor in a principal retention. The themes in this study have important implications for aspiring
and current principals as well as superintendents, human resources administrators, and immediate
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 9
supervisors of principals and current practices. Future research recommendations were made for
qualitative studies that would add to this current study.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 10
CHAPTER ONE: THE PROBLEM
As the country moves further into the 21st century, the role of principals continues to
evolve. As a principal enters the position, the expectations and demands that await him or her
are constantly changing. The principal oversees the day-to-day operations of the school, shapes
the instructional focus, and builds collective efficacy in the organization (Marzano, Waters, &
McNulty, 2005). School leadership is the second most influential factor on student achievement,
surpassed only by the classroom teacher, and is the key to school improvement (Davis & Darling-
Hammond, 2012; Fullan, 2014; Hess & Kelly, 2007; Pannell, Peltier-Glaze, Haynes, Davis, &
Skelton, 2015). Principals are being held accountable for continuous student growth and
achievement, closing achievement gaps, decreasing dropout rates, and increasing college or
workplace readiness among disadvantaged students (Davis & Darling-Hammond, 2012). The
skills and knowledge of the K-12 principals now matter more than ever (Davis & Darling-
Hammond, 2012; Hess & Kelly, 2007).
Since the creation of the principal’s position, education reform has brought about legisla-
tion transforming the principal’s role from a building manager and disciplinarian to a
multifaceted role responsible for strategic planning, managing funds, ensuring legislative
compliance, implementing reforms, and increasing student achievement. (Pannell et al.,
2015, p. 2)
It is imperative that aspiring and current principals understand how to navigate the complexities
of the position with the proper training and preparation, recruitment methods, and strategies that
will support retention in the role.
The subject of this study is principal preparation, recruitment, and retention in K-12
California public schools. The study examined current principals, district office personnel, and
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 11
superintendents regarding the preparation, recruitment techniques, and retention strategies for
California K-12 principals. The chapter contains the background of the problem, statement of
the problem, the purpose of the study, research questions, significance of the study, assumptions,
limitations, delimitations, and a definition of terms.
Background of the Problem
The principalship is multifaceted, and many potential candidates do not recognize the
complexity of the position (Baker, Punswick, & Belt, 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 retaining successful principals (Norton, 2002). The responsibilities of the
principalship have become more challenging and complex due to decades of mandated reform,
rapidly changing demographics, technological advances, and dwindling financial support for
schools (Fullan, 2014; Hoyle & Wallace, 2005; Marzano et al., 2005; Spillane & Lee, 2014).
Although many principals are successful in the position, the pipeline of aspiring principals with a
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
reported 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 consid-
eration should be given to principal preparation, recruitment, and retention.
Statement of the Problem
The job of principals has become more complex and challenging since its beginnings,
with the roles, responsibilities, and expectations continually evolving since the inception of the
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 12
position in the mid-1600s (Brubaker & Simon, 1986). Aspiring principals must thoughtfully
consider the proper preparation, recruitment strategies, and skill sets for ongoing retention and
success in the position. Preparation programs, such as universities and nonuniversities, have
made attempts to train prospective principals to be recruited and successful in the position but
may have fallen short in their efforts (Barnett, 2004; Brown, 2005; Davis & Darling-Hammond,
2012; Hess & Kelly, 2007; Jackson & Kelley, 2002). Supports for current principals, including
mentoring and coaching, have also contributed to most principals’ ongoing success in the posi-
tion (Brown, 2005; Matthews & Crow, 2003; Service, Dalgic, & Thornton, 2016); however,
principal turnover still remains high (Hull, 2012). The fact that disparities in the recruitment and
retention of female principals and principals of color also exist magnifies the problem for these
subgroups (Hill, Ottem, DeRoche, & RTI International, 2016; Hoff, Menard, & Tuell, 2006).
These inadequacies signify an overall problem in principals’ preparation, recruitment, and
retention.
Purpose of the Study
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California K-12 school principals. While the most significant direct influence on
student achievement is the teacher, the second most critical influence is the principal (Fullan,
2014). It is important to identify the preparation, recruitment, and supports that principals must
have in place in order 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.
Research Questions
As this study will seek to explore how principals are prepared, recruited, and retained in
their positions, the following research questions will guide this study:
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 13
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources (HR) administrators, and superintendents regarding strategies to recruit successful
principal candidates?
3. What are the perceived strategies that support the retention of principals?
Significance of the Study
This study is significant, as it should add to the existing body of literature on principal
preparation, recruitment, and retention. Findings will serve to benefit principals, their direct
supervisors, HR personnel, and superintendents by providing new insights on principal prepara-
tion, recruitment strategies, and supports that principals and districts must have in place to meet
the challenges and complexities of the principalship. Aspiring principals will be informed of
principal preparation programs and strategies used in principal recruitment efforts. Direct
supervisors, HR, and superintendent personnel will be informed on strategies that have been
utilized to recruit potential candidates into the position and retain principals once they are hired.
Preparation programs can use the results of this study to help them prepare aspiring principals for
the position. In addition, this study should be significant for educational researchers because it
will guide future studies regarding principal preparation, recruitment, and retention.
Assumptions
The research team conducted this study collaboratively and ethically. The research team
assumed that all participants would be reflective, candid, and truthful in their survey and inter-
view responses. Next, it was an assumption of the researchers that all participants would have
knowledge of the preparation, recruitment, and retention of principals. Depending on the role of
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 14
the participant, it was assumed that his or her view of principal preparation, recruitment, and
retention might be varied. Finally, it was assumed that the results of this study would be perti-
nent to the preparation, recruitment, and retention of principals.
Limitations
The researcher acknowledges the following limitations to this study, even though
measures were taken to ensure reliability and validity:
1. The study could not sample the census of California K-12 school principals, direct
supervisors, HR directors, and superintendents.
2. The participants were located in southern California due to the location and time
constraints of the research team.
3. Participants were selected to be surveyed and interviewed because they met inclusion
criteria.
4. The study took place over a brief period of time.
5. The study was limited to individuals who voluntarily responded to participate in the
study.
6. The reliability survey and interview instruments might have affected the validity of the
study.
Delimitations
The research delimitations of this study were the interviews and survey responses from
California K-12 principals, their direct supervisors, HR directors, and superintendents. While the
researcher was purposeful in collecting sample data, a delimitation of this study was that the
researcher collected only a convenience data sample from California (Johnson & Christensen,
2014).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 15
Definition of Terms
For the purpose of this study, the following terms are defined based on the literature
reviewed:
Association of California School Administrators (ACSA): The largest umbrella organiza-
tion for school leaders in the United States, serving more than 17,000 California educators.
Change agent: A leader who challenges the status quo (Marzano et al., 2005).
Coaching: A task-oriented, performance-driven relationship with a focus on increasing an
individual’s specific skills.
Direct supervisor: A district office administrator who oversees the evaluation and
mentoring of a site principal.
Frame: A mental model that one carries in one’s head to help one to understand and
negotiate a particular “territory” (Bolman & Deal, 2017).
Human resource personnel: Those working in the HR department of a school district and
who oversee hiring practices.
Mentoring: A relationship focused on developing an individual professionally and
personally.
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 recruitment: The process or strategies used by an aspiring principal to obtain
his or her first principalship.
Principal retention: The process or strategies used by a principal or district personnel to
support the retention of the position.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 16
Principalship: One who holds a position of presiding rank, especially the head of an
elementary school, middle school, or high school.
Recruitment: The strategies and steps taken by principals prior to accepting their first
principalship.
Retention: The process or strategies used by principals and school district administrators
to maintain principals’ current positions.
School district: A local education agency that operates schools in a particular geographic
location.
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. The chapters are uniquely structured to
provide the reader with the necessary components to show the progression of the study. Chapter
One has presented an introduction and background to the study, the problem that the study is
seeking to understand, research questions, the significance of the study, assumptions, the limita-
tions and delimitations, and the definition of terms used in the study. Chapter Two presents a
comprehensive review of relevant and available literature relating to the topic of principalship,
with a focus on the preparation, recruitment, and retention of the principal. Chapter Two also
includes leadership frameworks used to develop a conceptual framework that acted as a lens for
this dissertation study. Chapter Three outlines the study’s methodology used for data collection
and data analysis. A description of the sample and population, instrumentation utilized in the
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 17
study, data collection, and data analysis are presented in Chapter Three. Chapter Four presents a
comprehensive analysis of the study’s findings and how they answered the study’s research
questions. Finally, Chapter Five presents a summary of the study’s findings, conclusions based
on the findings, future implications, and recommendations for further research relating to princi-
pal preparation, recruitment, and retention.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 18
CHAPTER TWO: REVIEW OF THE LITERATURE
The literature of the evolution of the principalship illustrates that the role has experienced
many versions over the last 400 years. The role of school principal holds significant importance
in today’s educational system; however, due to the evolution of the position, the preparation,
recruitment, and retention of principals have become increasingly challenging. Research has
shown that school-level leadership plays an important role in the school culture—a situation that
improves teaching and learning indirectly through the influence on staff motivation, commit-
ment, and working conditions (Baker et al., 2010; Leithwood, Harris, & Hopkins, 2008). School
leaders increase teacher quality, thereby resulting in increased student achievement (Leithwood,
et al., 2008). According to Brown (2005), “for those with a deep sense of purpose and a strong
desire to improve education, the principalship is a role replete with great potential” (p. 105).
However, the principal position has not always held such a significant influence on education.
This chapter provides a context of the relevant literature in the field of K-12 school
district principals’ preparation, recruitment, and retention. It is organized with the literature
related to the history and evolution of the position, diversity found in the principalship, principal
preparation opportunities, recruitment strategies, and ongoing retention efforts for K-12 princi-
pals. The review of the literature also includes a review of three leadership frameworks that will
serve as the conceptual framework for the principalship in the study.
History and Evolution of the Principal Role
From the beginning to the present, the role of the school principal has significantly
changed over time. The evolution of the role has been studied for several decades, and the liter-
ature supports that specific responsibilities were developed based on the societal needs during
each era of the school principal as a leader. Since the role of the school principal was
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 19
conceptualized in 1647 (Brubaker & Simon, 1986), the title as well as the responsibilities and
duties have evolved into what they are today. The first principalship was documented in a one-
room schoolhouse Massachusetts in 1647 (Brubaker & Simon, 1986; Kavanaugh, 2005). This
early and prominent position of the principal took the role of schoolmaster, where the individual
responsibilities included teaching reading and writing, attending special committees of town
councils, and helping manage the school (Brubaker & Simon, 1986; Kavanaugh, 2005).
Between 1647 and 1747, the role continued to evolve as schools with more than one
person selected an individual to emerge into the leadership position that was called headmaster,
rector, preceptor, provost, and/or principal-person (Brubaker & Simon, 1986). For this individ-
ual, the main function of the position still involved teaching students with additional responsibili-
ties to monitor students, teachers, and classroom procedures; to implement board policies; and to
perform clerical and janitorial duties (Brown, 2005). The special committees of town councils
served as what is considered a modern-day school board (Brubaker & Simon, 1986).
As schools became larger and more complex during the period of 1747 to 1850, the role
of head teacher or principal-teacher continued to grow. Throughout this era, the individual was
appointed by the council or local board (Brubaker & Simon, 1986). The individual was still
primarily responsible for teaching while managing complex, growing multigrade schools. Other
responsibilities during this time also included keeping attendance records, scheduling classes,
distributing necessary equipment and supplies, maintaining the building, communicating with
adults in the community, and acting as an intermediary between other teachers and the board
(Brubaker & Simon, 1986). It is important to note that while the complexities of the role were
increasing, there was no special training preparation for the individual in this role and he or she
was expected to take the commands of the board (Brubaker & Simon, 1986).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 20
The establishment of the first principalship occurred during the period of 1850 to 1920
(Brubaker & Simon, 1986). During this time, the leader was becoming more of a principal and
less of a teacher due to increasing enrollment requiring more managerial, supervisory, and
clerical duties (Brubaker & Simon, 1986; Pierce, 1935). The new role of principal required the
leader to act as a general manager and as an official liaison between the school and central office
(Brubaker & Simon, 1986). A study conducted in the mid-1800s in Providence, Rhode Island,
found that a principal’s administrative duties consisted of 58.8% clerical, 23.5% school organiza-
tion, 11.8% care of the school facility, and 5.9% pupil personnel including disciplinary actions
(Brubaker & Simon, 1986). In larger, more complex urban school systems, more bureaucratic
and hierarchical compliance existed (Brubaker & Simon, 1986).
During the 1920s, principals were completely released from their responsibilities as
teachers and took on the authority of the roles and metaphor of values brokers (Brown 2005;
Kavanaugh, 2005). The principal was described as a spiritual leader, social leader, and scientific
manager during this decade (Brown 2005; Kavanaugh, 2005). While the principal was provided
with no formal training, he or she was expected to organize curriculum, support teachers in
developing effective instructional strategies, and observe classroom teaching (Kavanaugh, 2005).
The expectations of the principal during this decade were to be actively involved in and to
socially interact with the community (Kavanaugh, 2005). It was at this point that the profession-
alism of the principal role started to take shape (Brown, 2005). The first national organization
for elementary school principals was founded during this time under the guidance of the Depart-
ment of Education at the University of Chicago and in conjunction with the National Education
Association (NEA; Brubaker & Simon, 1986).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 21
During the 1930s, The principal was looked at and described as a professional and
business executive (Kavanaugh, 2005). The principal was referred to as a scientific manager. As
the role evolved into a more complex position, nearly half of the states adopted certification
requirements for the principal (Brown, 2005; Brubaker & Simon, 1986). Principal preparation
programs were redeveloped to align with the new certification requirements of the states and the
responsibilities of the position (Brown, 2005). Throughout this decade, principals were responsi-
ble for administrative tasks; but supervisory tasks began to take shape such as managing the
school using business principles for budgeting, maintenance, and pupil accounting (Brown,
2005). The master list for managers developed by Gullick (1937) included activities that the
principal would complete on a regular basis. The acronym POSDCoRB was developed to
shorten the list of activities: planning, organizing, staffing, directing, coordinating, reporting, and
budgeting (Brown, 2005; Gullick, 1937). During this decade as the managerial dimensions of
school leadership continued to increase, the educational and instructional dimensions of the
principal’s role decreased (Brown, 2005).
School leadership had a pivotal shift to the role of democratic leader in the 1940s (Brown
2005; Kavanaugh, 2005). The principal’s role could be described as a coordinator who focused
on human relations, a consultant, or a public relations representative (Brown, 2005; Kavanaugh
2005). It was during this time that schools were viewed as a place to prepare the nation’s youth
for their role in society, and the principal assisted with the preparation process (Kavanaugh,
2005). Principals were seen as having a larger impact with the development and implementation
of curriculum and instruction and shared the decision making with teachers (Brubaker & Simon,
1986; Kavanaugh, 2005). States then required principals to have certification, and principals
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 22
sought additional schooling for higher degrees (Brown, 2005; Brubaker & Simon, 1986; Kava-
naugh, 2005).
Principals during the 1950s were described as both scientific managers and human rela-
tions developers (Brown, 2005; Brubaker & Simon, 1986; Kavanaugh, 2005). The principal was
referred to as an administrator, defender of education practice, manager of time, and overseer of
all details of a school (Brown, 2005; Kavanaugh, 2005). During this decade, the principal was
expected to apply university research and empirical data in the school setting to support pedagog-
ical decision and instructional practices (Kavanaugh, 2005). Public demand increased during this
time for action to increase science education, to update school facilities, to recruit new teachers,
and to develop curriculum materials in all content areas in response to the Soviet Union’s launch
of Sputnik in 1957 (Brown, 2005).
The role of the principal continued to evolve during the 1960s. The principal was then
viewed as a bureaucratic executive, a protector of bureaucracy, an accountable leader, and a
holder of power with a technical perspective (Brown, 2005; Brubaker & Simon, 1986; Kava-
naugh, 2005). During this time, numerous stakeholder groups placed varying expectations on the
principal role; however, principals had clearly defined bases of power and responsibility (Brown,
2005; Kavanaugh, 2005). The 1960s were a turbulent time in public education due to the ramifi-
cations of the Brown v. Board of Education (1954) decision, which led to reformers challenging
the bureaucracy and a call for decentralization of schools to correct inequities such as segregation
and financial disparities (Brown, 2005). The Civil Rights Movement also had a significant effect
on the broadening of the federal role in education and curriculum reform based on the infusion of
federal funds (Brown, 2005). This time was considered the beginning of the accountability
movement that impacted principals’ role as supervisors—shifting their focus to become more
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 23
analytical with a focus on curriculum development and helping teachers to become more effec-
tive (Brown, 2005).
The principal of the 1970s found additional responsibilities and could be described as a
humanistic community leader (Brown 2005; Brubaker & Simon, 1986; Kavanaugh, 2005).
Principals were forced to turn their attention away from academic leadership and focus more on
social issues such as continued racial tension, substance abuse, and a growing rate of teen preg-
nancies (Brown, 2005). As public confidence in education began to decline during this time, the
principal was expected to “lead students, teachers, and the larger community to impart meaning
to educational efforts, to juggle a number of roles that often required competing skills to relate
well to persons, and to facilitate positive interaction between students and teachers” (Brown,
2005, p. 96). The new accountability measures for managing federally funded programs related to
compensatory education, bilingual education, and education for the disabled became an addi-
tional responsibility of the principal (Brown, 2005). In addition, principals were required to
become more active in policy making and serve as negotiators with union demands and teacher
contracts (Brown, 2005).
The principal’s role was being the primary agent of instructional change during the 1980s
(Brown, 2005; Weiss, 1992). Daily instruction was overseen by the principal to ensure the effec-
tiveness of the school (Brown, 2005; Weiss, 1992). Principals were viewed as visionaries and
problem solvers who managed people, implemented policies, and provided resources (Brown.
2005; Brubaker & Simon, 1986). During this time, principals were faced with extensive school
reform efforts across America with the publication of A Nation at Risk (National Commission on
Excellence in Education, 1983) and competition from Japan (Brown, 2005; Weiss, 1992). In
addition to school reform, the preparation of educational leaders became a highlight in the 1980s
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 24
(Brown, 2005). By 1988, almost every state mandated that to become certified, a principal must
hold either a master’s degree in educational administration or the equivalent (Brown, 2005).
The principalship of the 1990s continued to evolve into a complex role that saw unprece-
dented levels of public scrutiny (Brown, 2005; Weiss, 1992). Increased expectations of the
principal and demands from stakeholder groups were accompanied by a loss of authority and
positional power as state and local governments gained more control of public education (Brown,
2005). During this time, principals were required to be responsive to changing demographics
such as minority enrollment, the higher level of poverty, and the needs of English language
learners (ELLs), as well as to develop a strong relationship between the school and the commu-
nity (Brown, 2005).
In the 21st century, the roles of the principal is continuing to evolve and change, and
principals are faced with new challenges (Brown, 2005; Kavanaugh, 2005). The principal’s role
can be viewed as a facilitator of the learning community, who is accountable for student perfor-
mance in an outcomes-based approach (Brown, 2005). Principals in the 21st century are vital to
school improvement and student achievement; they must possess a wide range of knowledge and
be highly skilled in instruction, negotiations, and HR while practicing transformational, collabo-
rative, servant, and distributive leadership (Briggs, Cheney, Davis, & Moll, 2013; Brown, 2005).
Diversity Challenges of the Principalship
Traditionally, the position of a K-12 school principal has been predominantly held by
White males in the United States (Brown, 2005; Hill, Ottem, & DeRoche, 2016; Nogay & Beebe,
2008 ). However, with the growing diversity in today’s schools, the role of the principal must
more accurately reflect the students that the schools serve.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 25
Issues of Race
Latino/a students represent the fastest growing population of students in the United States
(Fernandez, Bustamante, Combs, & Martinez-Garcia, 2015; Murakami, Hernandez, Mendez-
Morse, & Byrne-Jimenez, 2016). Across the United States, the educational “workforce does not
reflect the diversity of students” (Murakami et al., 2016, p. 282). White males and females
represented 80% of public school principals in 2011–12, while only 7% of principals were
Hispanic (Hill et al., 2016). The changing demographics of schools across the nations offer an
opportunity for more diverse school leaders to be represented if districts placed value on diversity
in principals’ positions (Fernandez et al., 2015). Principals serve as role models and advocates
for the students they serve, and Latino/a administrators better understand the educational needs of
the Latino/a student population than their White counterparts (Fernandez et al., 2015; Murakami
et al., 2016). Districts should focus their recruitment and retention efforts on Latinos/as through
the use of focused mentoring programs and networking support to ensure the development and
success of Latino/a principals (Fernandez et al., 2015).
Issues of Gender
Women have historically been underrepresented and outnumbered in administrative
positions compared to their male counterparts (Watson, Hodgins, & Brooks, 2016). Even as
women are beginning to move into more principal positions, males are still dominating higher
level administrative positions such as those of high school principals, district management, and
superintendent positions ( Nogay & Beebe, 2008). A study conducted by Hill et al. (2016) found
that the overall percentage of women principals rose from for 25% in 1987–88 to 52% in 2011–
12. The same study also found that more than half of the new principals entering the position in
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 26
2011–12 were women (Hill et al., 2016). In the United States only 18% of the superintendents
are female, while 75% of the classroom teachers are female (Hoff & Mitchell, 2008).
In a study by Hoff, Menard, and Tuell (2006), the researchers identified barriers related to
the issue of female underrepresentation as divided into four categories: access, acculturation,
advancement, and advocacy. To gain access to a new position, only 33% of new female adminis-
trators changed districts for a principal, while two thirds remained in the district in which they
had previously taught (Hoff et al., 2006). Female respondents revealed a perception of having a
more difficult time gaining acceptance into the organization and 78% stated they were not
assigned a mentor (Hoff et al., 2006). To advance in their career, 92% of the females indicated
that one must be a high school principal or serve at the district level (Hoff et al., 2006). Advocat-
ing for female principals within an organization was deemed an important need for women
administrators; however, only 18% reported that they actually advocated for other females in the
organization (Hoff et al., 2006).
Female administrators tend to enter into principal positions later in their career compared
to their male counterparts and often with less support systems in place (Hoff & Mitchell, 2008).
The literature supports an issue with gender in the principalship that may have impacts on
recruitment and retention. The fact that there is limited recruitment and retention geared specifi-
cally for the needs of women in education weakens the female pipeline for administrative posi-
tions (Watson & Normore, 2016).
Preparation for the Principalship
Just as the principalship has changed since its inception, so, too, has the preparation for
the position. The focus on the quality of principal preparation programs and the types of knowl-
edge and skills that principal develop in these programs has significantly increased over the last 2
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 27
decades (Davis & Darling-Hammond, 2012). The initial school principal position required no
additional training; but through the years preparation programs have evolved, and 21st-century
principals now obtain an administrative credential using multiple preparation routes (Brown,
2005; Brubaker & Simon, 1986). The routes available to obtain an administrative credential
include university training programs, nonuniversity training programs, and licensure exams.
Early preparation programs focused on preparing principals to be effective building managers;
however, with increasing responsibility placed on accountability measures and the demands of
the principalship, preparation programs have had to shift toward principals are prepared for the
position (Pannell et al., 2015).
Administrative preparation programs for aspiring educational leaders must address the
many issues and conditions confronting those who choose to embark on the journey to the prin-
cipalship. As the United States is facing a shortage of qualified school leaders, preparing princi-
pals for the role is becoming increasingly essential (Briggs et al., 2013). A 2013 report from the
George W. Bush Institute found that there are 1,978 principal preparation programs operating
across 32 states, with 17,188 graduates (Briggs et al., 2013). According to the report, there were
825 university-based principal preparation programs in the United States compared to 153 non-
university based 44 programs (Briggs et al., 2013). The preparation programs that principals use
are contingent on an individual state’s requirements for the position. and states are responsible
for approving programs that will train future principals (Briggs et al., 2013). The following
section will discuss the literature on the possible ways that a principal can be prepared for the
position.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 28
University Preparation Programs
Principal preparation through university programs is the most common route for individu-
als seeking to obtain an state administrative credential (Pounder & Crow, 2005). In the United
States, 84% of principal preparation programs were university based. (Briggs et al., 2013).
University based preparation programs can be categorized as traditional programs, that may also
include the completion of a master’s degree as part of the program (Hale & Moorman, 2003).
Principal preparation through university training programs are instrumental in preparing K-12
school principals for the multi-faceted responsibilities and increased accountability they now face
(Davis & Darling-Hammond, 2012; Pannell et al., 2015; Orr & Orphanos, 2011; Vogel, 2018).
However, 96% of principal report university training programs are not adequately preparing them
for the demands and responsibilities of the 21st century position (Hess & Kelly, 2007; Pannell et
al., 2015; Vogel 2018).
Elmore (2006) recommended that university-based principal preparation programs should
focus on four areas: (a) management of instruction, (b) systemic solutions to existing problems,
(c) professional practices, and (d) strategic implementation of professional standards. Traditional
university-based preparation programs for aspiring school leaders have focused on training for
evaluation, supervision, and management practices and not on instruction or accountability
(Elmore, 2006; Houle, 2006). A study conducted by Hess and Kelly (2007) analyzed the content
from 31 preparation programs across the nation to determine whether university preparation
programs were adequately preparing aspiring principals with the knowledge and skills to address
the increased demands of 21st-century leaders. The findings indicated that there was little atten-
tion given across all programs to accountability, managing school improvement, use of data, and
instructional content (Hess & Kelly, 2007).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 29
In a study conducted by Davis and Darling-Hammond (2012) of five innovative, exem-
plary university-based preparation programs, the researchers found that the programs had attrib-
utes supporting the development of 21st-century school leaders that were not found in other
programs. These programs established partnerships with local school districts to recruit and train
students as well as to integrate the work of the program into the local schools (Davis & Darling-
Hammond, 2012). Each of the programs utilized a cohort model to build a support system and to
foster relationships among the students (Davis & Darling-Hammond, 2012). In addition,
students’ competency in the programs was assessed through the use of portfolios (Davis &
Darling-Hammond, 2012). Each of the preparation programs in this study provided future
leaders with an approach to learning that integrated practical and problem-based experiences with
research-based knowledge that allowed them to be prepared for the complexities of the principal-
ship (Davis & Darling-Hammond, 2012).
Grogan and Andrews (2002) found that most university-based programs that provided
training for aspiring school leaders were best characterized as preparing them for the role of
top-down manager and did not provide the knowledge and skills required to be 21st-century
leaders. Many university-based preparation programs have redesigned their programs in recent
years to attempt to deliver a high quality preparation program (Orr & Orphanos, 2011). While
some traditional university-based principal preparation programs have adequately prepared
individuals, the vast majority are not currently designed to develop the types of 21st-century
principals needed to lead today’s schools (Davis & Darling-Hammond, 2012; Grogan &
Andrews, 2002; Hess & Kelly, 2007; Orr & Orphanos, 2011; Vogel, 2018).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 30
Nonuniversity Programs
An alternate route to university preparation programs that prospective principals can seek
is preparation through county offices, state-based programs, and nonprofit programs that offer the
necessary relevant coursework and learning to obtain an administrative credential (Briggs et al.,
2013; Darling-Hammond, LaPointe, Meyerson, Orr, & Cohen, 2007; Hess & Kelly, 2005;
Pannell et al., 2015; Pounder & Crow, 2005). During the past decade, several nonuniversity-
based programs have emerged in response to increased knowledge about the impact that princi-
pals have on student achievement and the lack of quality university-based preparation programs
(Hess & Kelly, 2005). Many states allow principals to be trained and prepared using alternative
programs. These programs are geared to support teacher leaders in gaining an administrative
credential through a nontraditional university route while developing the necessary knowledge
and skills for the position (Pounder & Crow, 2005). Many nonuniversity programs focus on
project-driven, researched-based activities to allow prospective candidates to participate in
real-life experiences that they will face in the role (Harris, 2001; Pannell et al., 2015). Principal
preparation programs are seldom rooted in hands-on leadership experiences in real school situ-
ations (Institute for Educational Leadership, 2000; Pannell et al., 2015).
A research study by the George W. Bush Institute found that there is a growing number
on nonuniversity principal preparation programs across the nation (Briggs et al., 2013). The
study reported that 29 states did not have accredited, nonuniversity-based principal preparation
programs in operation even though the states allowed for this type of program (Briggs et al.,
2013). Nine states (Colorado, Delaware, Florida, Hawaii, Massachusetts, Pennsylvania, Rhode
Island, Texas, and Vermont) and the District of Columbia reported that nonuniversity-based
programs comprised 20% of their approved principal preparation providers (Briggs et al. 2013).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 31
In addition, 19 states reported allowing only institutions of higher education to provide principal
preparation program; nonuniversity based programs were not allowed to operate (Briggs et al.,
2013).
Guiding standards. In an effort to standardize administration preparation, the Interstate
School Leaders Licensure Consortium (ISLLC) developed Standards for School Leaders
(Darling-Hammond, et al., 2007; Hess & Kelly, 2005). This consortium is comprised of state
agencies and school administration organizations such as that American Association of School
Administrators, National Association of Secondary School Principals, and the National Associa-
tion of Elementary School Principals (Hale & Moorman, 2003; Hess & Kelly, 2005). The
standards were designed to influence the leadership skills of existing school leaders and to shape
the knowledge, performances, and skills of prospective leaders in preparation programs (Darling-
Hammond et al., 2007; Hess & Kelly, 2005). The standards that have been incorporated into a
number of leadership programs nationwide were first introduced in 1996 (Hale & Moorman,
2003). The ISLLC’s standards as a framework for how preparation programs might structure
their curriculum can also define and guide the practice of school leaders (Darling-Hammond et
al., 2007; Hale & Moorman, 2003; Hess & Kelly, 2005).
Nonprofit providers. In response to the need to provide alternative preparation routes
for aspiring principals and to address the demand for more relevant, innovative training to
prepare principals for a multifaceted role, nonprofit organizations have developed a variety of
programs (Briggs et al., 2013; Hale & Moorman, 2003; Hess & Kelly, 2005). The Knowledge Is
Power Program (KIPP; 2016) has had much success in principal preparation (Briggs et al., 2013;
Hess & Kelly, 2005). KIPP recruits diverse teacher leader candidates with at least 2 years of
experience through a nominator network (Hess & Kelly, 2005). The KIPP program’s 12-month,
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 32
cohort-based Fisher Fellowship year includes coursework, school residencies, and a startup
bootcamp (Hess & Kelly, 2005; KIPP, 2016). Candidates also attend the Leadership Institute at
the University of California at Berkeley’s Haas School of Business, where they learn about
instructional leadership, organizational leadership, and operational leadership (Hess & Kelly,
2005). Participants in KIPP are recruited and trained to work as leaders in KIPP charter schools
nationwide (Hess & Kelly, 2005).
The New Leaders program operates in more than 30 cities across the nation to recruit
talented, diverse individuals to become successful principals in urban public schools (Briggs et
al, 2013; Hale & Moorman, 2003; Hess & Kelly, 2005; New Leaders, 2019). The program is
very competitive with only 5% to 7% of applicants being accepted annually (Hess & Kelly,
2005). Aspiring principals attend an intensive summer institute that provides a foundation of
transformational leadership, instructional leadership, and organizational leadership (Hale &
Moorman, 2003; Hess & Kelly, 2005; New Leaders, 2019). Individuals participate in a year-long
residency in a public school, where they help to handle the day-to-day business of school under
the guidance of a mentor (Hale & Moorman, 2003; Hess & Kelly, 2005; New Leaders, 2019).
Upon completion of the program and placement as a principal, participants receive ongoing
support and expert coaching to create a lifetime support network (Hale & Moorman, 2003; Hess
& Kelly, 2005; New Leaders, 2019).
A relatively new nationwide nonprofit, nonuniversity principal preparation program is led
by The New Teacher Project (TNTP; 2019). Pathway to Leadership in Urban Schools (PLUS) is
the program that TNTP runs in Kansas City, Missouri; Camden, New Jersey; and Philadelphia,
Pennsylvania for educators who want to become transformational school leaders (TNTP, 2019).
The program works in partnership with the local school districts and offers a candidates a 2-year
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 33
principal preparation program for aspiring principals looking to work in the urban school setting
(TNTP, 2019). Candidates are immersed in a residency program that blends intensive summer
learning with hands-on experience in an urban school setting with the support of a principal
mentor as well as a leadership coach (TNTP, 2019).
District leadership programs. In 2013, the Wallace Foundation issued a report based on
the work of six district-based principal preparation programs (Turnbull, Riley, & MacFarlane,
2013). These programs were all participants in the 5-year Wallace Foundation’s Principal
Pipeline Initiative, which was launched in 2011 to help districts to develop a pipeline of strong
and highly effective school leaders from within (Turnbull et al., 2013). Using a district-run
learning program allowed districts to customize content to match their own standards and allow
hiring (Turnbull et al., 2013). The first work of the districts was to develop a set of leadership
competencies that would guide their recruitment, selection, development, placement, and evalua-
tion processes (Turnbull et al., 2013). The districts studied were the New York City Department
of Education, Charlotte-Mecklenburg schools in North Carolina, Denver Public Schools in
Colorado, Gwinnett County public schools in Georgia, Hillsborough County public schools in
Florida, and Prince George’s County public schools in Maryland (Turnbull et al., 2013). All of
the frameworks contained competencies that reflected principal behaviors in the areas of instruc-
tional leadership, strategic planning, HR, and community building and systems management that
were relevant to the district (Turnbull et al., 2013).
Licensure Exams
Every state requires that a principal in K-12 public schools should be licensed (Briggs et
al., 2013). A nontraditional route prospective that principal candidates can seek to take is
obtaining their credential via a licensing exam. States set the standards for initial licensure as
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 34
well as renewal licensure after a predetermined period of time (Briggs et. al, 2013). In the
mid-1990s, the ISLLC developed the School Leaders Licensure Assessment (SLLA), which is a
national test used by states as an assessment tool for initial principal certification (Brown, 2005).
Currently, prospective candidates in California can take the California Preliminary
Administrative Credential Examination (CPACE), which is aligned specifically to California
standards (Sutcher, Podolsky, Kini, & Shields, 2018). The CPACE was approved for use in
California in 2008 by the California Commission for Teacher Credentialing (CCTC); it was first
administered in June 2011 and replaced the national SLLA (CCTC, 2018; Sutcher et al., 2018).
The purpose and intention of the CPACE is to determine whether entry-level principals and
administrators have the relevant knowledge necessary for professional practice (CCTC, 2018).
In 2014, the CCTC updated the assessment to include a more performance-based approach to
measuring the skills needed to be a school site principal. The assessment is comprised of two
portions: content and performance (CCTC, 2018). The update to the CPACE has resulted in a
lower passing rate by examinees (Sutcher et al., 2018).
The CCTC (2018) reported that women made up 78% of the examinees who took the
CPACE in 2016–17 and that women were passing at a higher rate than men. It is also important
to note that the CCTC found 58% of examinees have not completed any related coursework for
school administration and that 50% had 10 or fewer years in education. A master’s degree or
higher was reported by more than 75% of the examinees (CCTC, 2018). In a 2016-17 survey
conducted by Sutcher et al. (2018), only 9% of California principals had entered the principalship
without completing a preparation program. It is likely that the new, demanding testing require-
ments have negatively influenced the number of new principals entering the profession through
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 35
the examination-only route (Sutcher et al., 2018). While licensing exams are an option for
principal preparation, it is the least popular method among California principals.
Recruitment of the Principal
Recruitment of individuals for the principalship can be an overwhelming task for districts
to undergo. Doyle and Locke (2014) found that district recruitment practices are often informal,
thereby resulting in overlooking some highly qualified, potential candidates. The recruitment
and selection of a principal are the most important contributions that districts can make to ensure
the well-being and achievement a school (Ash, Hodge, & Connell, 2013). The recruitment of
principals usually involves multiple stakeholders from both the district level and the school site
level. According to Rebore (2011),
the recruitment process has never been more important to school districts as they search
for the best people available to help achieve the mission of each district, educating chil-
dren and young people. This is the major thrust of every recruitment program—not to
hire just to fill a position, but rather to acquire the number and type of people necessary
for the present and future success of the school district. (p. 102)
Recruitment of school principals is a high-stakes proposition for districts and requires the
active participation of superintendents (Ash et al., 2013). The following section will discuss the
traditional career path of a principal, the principal shortage, and possible recruitment strategies to
attract and recruit candidates for principal positions as well as factors that are negatively affecting
candidates’ decision to apply for the principal position, based on a review of the literature.
Traditional Career Path of a Principal
The majority of principals have similar career paths into the leadership position. School
principals ascend to the position after spending a period of time working as a classroom teacher
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 36
(Baker et al., 2010; Fuller, Young, and Orr, 2007; Papa, Lankford, & Wyckoff, 2002). The
decision to pursue a leadership position is often decided upon early in a teacher’s career as an
educator (Fuller et al., 2007; Papa et al., 2002). Fuller et al. (2007) conducted a study in Texas
and found that teachers decide within the first 5–7 years of their teaching career and then seek the
necessary preparation for the position. The study also found that a disproportionately greater
percentage of younger teachers obtained principal certification; 76% of teachers who obtained
the principal certificate were 42 years old or younger (Fuller et al., 2007).
Being a teacher prior to being an administrator has become the prerequisite to the school
principal’s role that is universally understood in the profession (Baker et al., 2010). Educators
who have decided that a principal position is something of interest begin to seek additional
leadership responsibilities outside of the classroom (Baker et al., 2010). A study conducted by
Papa et al. (2002) found in New York that 85% of all administrators started their careers as
teachers. For the 15% of administrators who had no teaching experience, the likelihood of
securing an administrative position was greater in urban school districts than in suburban or rural
settings (Papa et al., 2002).
Principal Shortage
Districts are finding an increasing shortage of candidates for principal positions, espe-
cially in urban areas (Ash et al., 2013; Meyer & Feistritzer, 2003; TNTP, 2006; Richardson,
Watts, Hollis, & McLeod, 2016; Winter, Rinehart, Keedy, & Bjork, 2004). There is an imbal-
ance between those who are licensed principals and those who seek administrator positions
(Gajda & Militello, 2008). Although nationally there are more than double the number of candi-
dates who hold administrator licenses than there are openings for principal positions, there is a
shortage of candidates who apply for principal job openings (Gajda & Militello, 2008). A 2016
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 37
study by Richardson et al. (2016) found that how districts advertise positions impacts the number
and quality of principal candidates. Principal job postings from across the nation were analyzed
in this study and were found to be very similar to what they were a decade ago; they did not
properly reflect the current job demands (Richardson et al., 2016). Job postings must clearly
define the position to help candidates apply for the position that best fits their qualifications and
needs (Richardson et al., 2016). Approximately 30% of school districts in the United States use
no recruitment strategy to fill open positions besides the posting (Normore, 2006). District
recruitment personnel need to develop more innovative job postings that reflect the position,
identify the principal skill set they are seeking, and use strategies for recruitment to help alleviate
the shortage of principal applications and strengthen the pipeline of potential principal candidates
(Meyer & Feistritzer, 2003; Pounder & Crow, 2005; Richardson et al., 2016; Whitaker, 2003).
Principal Skill Set
The role of the principal has been defined in the literature as an instructional leader,
manager, politician, and communicator, yet a broader knowledge base and several additional
skills are needed for the position. Districts require a clear understanding of the qualities that they
are looking for when matching a prospective candidate with a school site. During the recruitment
process, districts must acquire the type of candidate who will have a positive impact on the
mission and vision of the district and possess the necessary leadership skills and characteristics;
districts should not hire a candidate just to fill a position (Jackson & Kelley, 2002; Rebore,
2011).
District stakeholders who participate in the recruitment process must understand that
principals are instructional leaders and are accountable for student achievement (Parylo &
Zepeda, 2014). The demands and complexities of the principalship require principals to possess
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 38
a particular set of characteristics. Stakeholders must identify the specific skills, characteristics,
and qualities when hiring candidates into the principal positions (Doyle & Locke, 2014). The
skills, characteristics, and qualities vary between districts and school; however, some commonal-
ities were found: instructional leadership abilities, being a strong manager, a problem solver, a
data leader, a community and cultural leader, a passionate leader with solid people skills, and a
proper fit for the school community (Ash et al., 2013; Cruzeiro & Boone, 2009; Doyle & Locke,
2014; Parylo & Zepeda, 2014). School districts must actively recruit principal candidates who
possess the desired skills, characteristics, and qualities to become leaders (Cruzeiro & Boone,
2009; Doyle & Locke, 2014).
Strategies for Recruiting Principal Candidates
Internal recruitment.
U.S. schools are facing a crisis of leadership because many school districts are finding it
increasingly difficult to recruit new principals . . . [and] teachers represent the group from
which the largest number of new principals is likely to be drawn. (Howley, Andrianaivo,
& Perry, 2005, p. 757)
School districts have developed innovative strategies for recruiting candidates from within.
Pijanowski et al. (2009) recommended that school districts develop an internal pipeline of leaders
from within.
District leadership programs. Many districts have started “grow-your-own” programs
that have been increasingly useful in finding qualified candidates internally as well as in training
and preparing aspiring principals to step into the role (Harris, 2001; Whitaker & Vogel, 2005).
These types of internal mentoring and preparation programs are comprehensive and allow
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 39
candidates to learn the managerial and technical skills needed to be a successful leader (Harris,
2001; Wilhelm, 2008).
District leadership programs are designed to provide aspiring principals with an overview
of the principal’s role and help to familiarize them with district operational aspects (Pounder &
Crow, 2005; Wilhelm, 2008). Many of the topics covered in a district leadership program
provide candidates with an understanding of the daily aspects encountered in the position
(Wilhelm, 2008). Intensive preparation programs assign a formal mentor, thus allowing leaders
to participate in practical experiences and to serve as principals during summer school (Harris,
2001; Whitaker & Vogel, 2005). Using a similar program would allow districts to take action to
recruit the type of highly skilled and qualified principals whom they are looking to hire.
Creating strong teacher leaders. Teachers are valuable tools within districts. A district
cannot rely strictly on principal preparation programs and external recruitment efforts to find
highly qualified and skilled principal candidates. Wilhelm (2008) noted that California has made
it a priority for current principals to recognize leadership abilities among their own teachers and
to encourage them to consider the principalship. Districts must be purposeful in identifying
teachers from within who have clearly identified leadership talent (Pounder & Crow, 2005).
Preparing teacher leaders to take the role of a principal is essential to ensuring that there is an
adequate number of principal candidates (Harris, 2001; Pounder & Crow, 2005).
Harris (2001) and Pijanowski et al. (2009) recommended that districts prepare and train
aspiring leaders within their ranks. “If a district wishes to cultivate a pool of potential new
leaders, it might be well served by having its current leaders identify and then groom a cadre of
new leaders” (Howley et al., 2005, p. 772). Recruiting potential principal candidates from within
not only gains employees’ confidence but also allows hiring personnel to be aware of candidates’
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 40
strengths and weaknesses (Rebore, 2011). Districts can target educators early in their teaching
career who are committed to improving teaching, learning, and student achievement (Gajda &
Militello, 2008; Wilhelm, 2008).
Once a district or school has identified teachers who demonstrate leadership potential,
these teachers can chair committees or special task forces, coordinate school-wide initiatives,
participate in instructional leadership efforts, support the collection and analysis of school data,
and participate in school leadership teams (Pounder & Crow, 2005). School-based experiences
help district leaders to recruit aspiring teacher leaders from within their own organization (Harris,
2001; Gajda & Militello, 2008; Pijanowski et al. 2009; Pounder & Crow, 2005).
Tapping. The process of current administrators or superintendents identifying and
encouraging aspiring administrators with strong leadership skills to consider the principal role is
known as tapping (Farley-Ripple, Raffel, & Welch, 2012; Whitaker, 2001). Tapping is one of
the most common ways for aspiring leaders to be recruited into the field of educational adminis-
tration (Farley-Ripple et al., 2012). Teacher leaders with experiences of any kind, with the
exception of union leadership, are more likely to be tapped than nonleaders, and teachers who
serve on school-wide leadership teams are 3 times more likely to be tapped (Myung, Loeb, &
Horng, 2011). Current school principals, who are aware of the demands and complexities of the
role, tap teacher leaders who are more prepared and better equipped to take the leadership
responsibilities (Myung et al., 2011). Recruiting through the use of tapping motivates teacher
leaders to pursue the principal position and helps districts to sustain a stable pipeline of princi-
pals and to reduce factors that negatively affect applying for principal positions (Myung et al.,
2011; Pijanowski et al., 2009; Whitaker, 2001).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 41
Factors Negatively Affecting Principal Application Decisions
While there is a shortage of highly qualified and skilled candidates seeking principal
positions, there is no shortage of individuals who are licensed to assume the role of a school
principal (Gajda & Militello, 2008). Many teacher leaders decide to complete an administrative
preparation program but choose not to seek an administrative position. The factors related to
why these qualified candidates do not seek a principal position include accountability mandates,
workload, compensation, inadequate salaries, the impact on the individual and family, excess
stress, and increasing complexity and constraints (Cruzeiro & Boone, 2009; Gajda & Militello,
2008; Pijanowski et al., 2009; Whitaker &Vogel, 2005).
The nature of the workload that urban public school principals face each day has been a
consistent factor in keeping qualified candidates from applying for positions. According to
Whitaker and Vogel (2005), the increased accountability for student achievement and long work
hours are significant factors in attempting to recruit qualified candidates. Low salaries and lack
of compensation (e.g., insurance, benefits, retirement, etc.) are also disincentives for prospective
principals (Cruzeiro & Boone, 2009; Gajda & Militello, 2008; Whitaker &Vogel, 2005). Princi-
pals are being asked to take on more roles and responsibilities year after year without any added
benefits or increased salary. Districts are providing fewer incentives for teachers to leave the
classroom to take on administrative roles, and wages are low compared to the complexity of the
responsibilities (Gajda & Militello, 2008; Whitaker & Vogel, 2005).
Principals work longer days and longer school years with less vacation time. The time
sacrifices that principals are making are viewed as a significant deterrent to applying for the
position (Pijanowski et al., 2009; Thomson, Blackmore, Sachs, & Tregenza, 2003). The impact
that these extended work hours and years have on principals and their families is another primary
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 42
reason for an individual to choose not to seek an administrative position (Thomson et al., 2003;
Pijanowski et al., 2009). Whitaker and Vogel (2005) found that on average, principals work 20
to 40 days more per year with 10- to 12-hour workdays, compared to teachers. The extended
work times increase stress levels (Thomson et al., 2003; Whitaker & Vogel, 2005). Principals
are also now tasked with increasingly complex jobs that include overseeing budgets, hiring and
recruiting qualified staff, maintaining facilities, building community relations, evaluating teach-
ers, disciplining students, analyzing data, and increasing student achievement (Thomson et al.,
2003;Whitaker & Vogel, 2005). The increasing complexity is also paired with increased con-
straints and accountability (Fuller, Hollingworth & Young, 2015; Whitaker & Vogel, 2005). The
disincentives of principalship are outweighing the incentives associated with the role and nega-
tively affecting the number of teachers applying for principal positions (Cruzeiro & Boone,
2009).
While many factors are affecting an applicant’s decisions to apply for a principalship, not
all credentialed candidates are adequately suited for the position (Pijanowski et al., 2009).
Districts looking to fill positions are often looking for the right person with the proper skills, and
candidates are also looking for a position with the right fit (Pijanowski et al., 2009). In addition
to the negative factors stated above, candidates have reported poor fit as another factor that kept
them from applying for administrative positions (Pijanowski et al., 2009). Districts must closely
monitor and analyze the pool of candidates during the recruitment process.
Despite the negative factors affecting the number of highly skilled and qualified candi-
dates applying for principal roles, there is a percentage of educators still willing to undertake the
challenges of being a public school principal. Whitaker and Vogel (2005) contended that a
variety of motivational factors influence an applicant’s decision to pursue administrative
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 43
positions, such as the excitement of the position, the desire to make a difference, the opportunity
to work with teachers, and a change from the classroom. Districts must enhance the motivational
factors during recruitment efforts.
Retention of the Principal
The principal is the focal point of school-level leadership. There is a tremendous need to
retain highly skilled and adequately prepared school principals due to the detrimental effects that
principal turnover can have on student outcomes (Béteille, Kalogrides, & Loeb, 2012). Retaining
principals has become an increasing challenge for districts due to the low salary compared to the
demands of the job (Gajda & Militello, 2008). A principal in California, on average, stays at a
school for 3 years and even less in socioeconomically disadvantaged schools (Superville, 2014).
Across the nation, each year more than 1 in 5 principals will leave their current school (Béteille et
al., 2012). Effective, stable, and consistent school principal leadership is critical for school
improvement efforts and essential to the successful operation of schools (Fuller et al., 2015).
Due to the changing demands of the principal position, districts are faced with challenges affect-
ing their abilities to retain principal candidates in the position. Districts can utilize coaching and
mentoring programs as strategies to retain principals.
Challenges Affecting Principal Retention
There are many factors attributed to the retention of school principals. Research con-
ducted by Fuller et al. (2015) identified 25 factors affecting principal retention in the position.
The factors identified as having significant impact on a principal’s decision to remain in the
position included the overall workload, salary, testing and accountability, lack of time, pressure
to improve student performance, intrinsic rewards, and feelings of effectiveness as a school
leader (Fuller et al., 2015). Similar retention factors were found in research conducted by Baker
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 44
et al. (2010), Chapman (2005), Gajda and Militello (2008), and Papa (2007). Salary followed by
testing and accountability were the most significant reasons that principals cited for leaving the
position (Baker et al. 2010; Chapman, 2005; Fuller et al., 2015; Gajda & Militello, 2008; Papa,
2007).
Salary. A recurring factor to principal retention in each study was salary relative to the
roles and responsibilities of the principal position (Baker et al, 2010; Chapman, 2005; Fuller et
al., 2015; Gajda & Militello 2008). Principal retention was more likely to be stable with higher
salaries as principals often leave districts for increased salary opportunities in other districts
(Baker et al., 2010; Fuller et al., 2015; Papa, 2007). Principals’ relative salary, compared to peers
in the same labor market, exerts a consistent influence on the stability of a principal at a school
(Baker et al., 2010; Fuller et al., 2015). Research by Baker et al. (2010) found that the school
racial composition and socioeconomic status may lead to greater rates of principal instability.
Little disparity in pay was seen between men and women; however, demographic location
and school type impacted principals’ salaries (Baker et al., 2010; Fuller et al., 2015). Major
urban districts, compared to town and rural areas, provided the highest salary across all three
school levels: elementary, middle, and high school principals (Baker et al., 2010; Fuller et al.,
2015). Districts located in towns and rural areas provided the lowest salaries to principals
regardless of school level (Fuller et al., 2015). Research showed a disparity in pay based on
school levels; high school principals were paid more than middle school principals, and middle
school principals were paid more than elementary school principals (Baker et al., 2010; Fuller et
al., 2015). In the study conducted by Fuller et al. (2015), salary relative to the responsibilities of
the role was reported as the main reasons that rural principals indicated that they would leave the
position.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 45
Testing and accountability. Another recurring factor to related to principal retention is
testing and accountability (Fuller et al., 2015). Principals are held accountable for students’ gains
and achievement on local and state tests (Fuller et al., 2015). Urban school districts place a large
emphasis on testing accountability (Fuller et al., 2015). Research conducted by Fuller et al.
(2015) found that principals who were newly hired and working in low-performing urban schools
were more likely to leave the position than principals at low-performing schools in small
suburban or rural schools. Pressure for testing and accountability at the elementary level was the
lowest, regardless of demographic location (Fuller et al., 2015).
Strategies for Retaining Principals
As the role of the principal has evolved, so have the strategies to retain principals in the
position. The use of coaching and mentoring by districts can support the retention of principals
in the role. This section will review practices that districts can use to improve principal reten-
tion.
Coaching. Coaching of novice principals has contributed to their ongoing retention in
the position. There are many aspects of the principal position, such as school leadership and
management, which do not come naturally to a novice principal and can be developed with a
coach’s support (Hussin & Al Abri, 2015). Lochmiller (2014) suggested that coaching helps
novice principals to acquire the skills, knowledge, and confidence they need to be 21st-century
leaders in their organization. The use of a coach provides ideal support for a principal because
support is individualized and can be customized to the needs of the individual (Farver & Holt,
2015; Lochmiller, 2014; Warren & Kelsen, 2013; Wilhelm, 2008). In an international study by
Hussin and Al Abri (2015), it was found that for principals to improve their instructional prac-
tices and transformational leadership capacity, the support of a leadership coach was necessary.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 46
The level of coaching support changed over time as principals developed the skills, practices,
confidence, and a deeper understanding of the role (Lochmiller, 2014). Coaching of novice
principals provides a supportive environment, enhances relationships among colleagues,
promotes the importance of reflection, and builds trust (Farver & Holt, 2015). To retain a
principal in the position, job-embedded training with ongoing professional support is a proven
strategy that helps novice principals to maintain a clear mission and vision, builds trusting
relationships, and facilitates organizational goal attainment (Farver & Holt, 2015; Warren &
Kelsen, 2013).
Mentoring. The mentoring of principals has helped to increase principal effectiveness,
has increased the likelihood of sustaining novices in the position, and has proven to be necessary
for decision making (Gray, 2018). Mentors allow new principals to have an avenue of support
and assistance (Harris, 2001). Current experienced administrators are carefully selected to
mentor new principals (Gray, 2018). According to Rebore (2011), mentoring is the pairing of a
knowledgeable educator with one new to the profession in order to supply the mentee with
assistance and to build confidence in his or her abilities. Most principal mentoring programs pair
a new administrator with an experienced administrator and provide different levels of support
depending on the needs of the new principal (Rebore, 2011).
Whitaker (2003) explained that formal and informal mentoring programs are critical for
principals, but especially for individuals new to the role. Districts can create induction programs
for new principals to receive mentoring support (Whitaker, 2003). However, relatively few
districts offer systematic mentoring for new principals to help them learn the complexities of the
job (Darling-Hammond et al., 2007). Mentoring allows principals to have an individual from
whom they can seek advice and support (Darling-Hammond et al., 2007). According to Darling-
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 47
Hammond et al. (2007), a successful mentoring program supports new principals through model-
ing, questioning, observations of practice, and feedback.
In research conducted by Syed (2015) in New York City on the Learning Partners
Program, which operates a mentoring program that matches new principals with veteran princi-
pals, the mentoring practices of 73 schools were studied to determine the effectiveness of the
program. The Learning Partners Program began during the 2014–15 school year and partnered
schools together based on support needs (Syed, 2015). The idea behind this program is that new
principals could learn from their more experienced peers. Throughout the year, school met
monthly to discuss problems, develop solutions, observe one another, and offer suggestions for
improvement (Syed, 2015). Participants in the program felt that they were better equipped to
deal with problems as a result of their experiences in this mentoring program (Syed, 2015). As a
result of participation, both mentors and new principals grew in their knowledge and benefitted
from the partnering (Syed, 2015). Because assistant principals (APs) and teacher leaders were
able to participate, the district was able to create its own pipeline of future leaders (Syed, 2015).
The goal of this program is to connect school principals to allow them to learn together and build
a culture that allows principals to support and guide one another beyond the initial year (Syed,
2015). In work by Darling-Hammond et al. (2007), principals need mentoring beyond the initial
year to develop the more sophisticated skills required by the principalship.
A benefit of district mentoring program is that it meets the reciprocal needs of both the
new and experienced administrator or a veteran new to the district or school (Gray, 2018; Hert-
ting & Phenis-Bourke, 2007). Mentoring programs can be beneficial in assisting new administra-
tors with networking and understanding the administrative role (Gray, 2018; Hertting & Phenis-
Bourke, 2007). Additionally, mentoring programs can assist administrators who received
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 48
inadequate preparation in their university program (Hertting & Phenis-Bourke, 2007). Using
mentorship programs would allow districts to take action to retain the type of highly skilled and
qualified principals they are looking for to maintain as leaders in their district.
Leadership Framework
For the purpose of this study, a variety of leadership frameworks were reviewed, and the
researcher decided to focus on three: Bolman and Deal’s (2017) four frames in Reframing
Organizations; School Leadership That Works by Marzano et al. (2005); and Fullan’s (2014) The
Principal: Three Keys to Maximizing Impact. Due to the principalship being a critical influence
on student achievement, these leadership frameworks will serve as lenses for the researcher
throughout this study.
Reframing Organizations: Four Frames
Bolman and Deal (2017) contended that an organization’s most important asset is its
people. People are what make or break an organization, and principals are the people who can
make or break a school. Finding the proper fit is equally essential for both the organization and
the person (Bolman & Deal, 2017). Districts must believe that finding the appropriate principal
during the recruiting process, preparing him or her for the challenges of the evolving position,
and retaining the principal in the position are essential to the success of the school and district
and positively impact student achievement.
School site principals face a variety of challenges and tasks each day. Intentionally apply-
ing Bolman and Deal’s (2017) four frames can help a principal to have a better understanding of
these challenges and tasks. Bolman and Deal noted that leaders should look at and approach
organizational challenges and tasks using different perspectives or cognitive lenses that they
referred to as frames. The various perspectives or frames are the ways that leaders view a
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 49
problem and then reframe it in order to deal with it effectively. Reframing helps a leader to
expand his or her understanding, responses, and styles when approaching a challenge. There are
four frames that principals can use when approaching organizational challenges and tasks: (a) the
structural frame, (b) the human resource frame, (c) the political frame, and (d) the symbolic
frame (Bolman & Deal, 2017).
Structural frame. The structural frame stems from sociology and emphasizes rational-
ity, rules, roles, goals, policies, technology, and environment through which a leader views the
organization (Bolman & Deal, 2017). This frame focuses on the how of making organizational
change using systems and procedures and is mainly task oriented. When a principal exercises the
structural frame, he or she focuses on the organization’s goal, implements a strategy to meet the
goal, and ensures that resources are focused on achieving the goal (Bolman & Deal, 2017).
Human resource frame. The second frame is the human resource frame (Bolman &
Deal, 2017). This frame stems from social and organizational psychology and places emphasis
on the needs of the people within the organization. The human resource frame focuses on the
needs, skills, and relationships of the people, with the assumption that the organization exists to
serve human needs (Bolman & Deal, 2017). The major task of a principal exercising within this
frame would be to build a community of trust and caring among the school staff. In this frame,
schools are seen as a family; and principals must seek initiatives that improve understanding,
learning, and communication. A principal exercising the human resource frame seeks to em-
power employees and provide them with opportunities to perform their jobs well (Bolman &
Deal, 2017). To make this goal a reality, principals must address employees’ needs for human
contact, personal growth, and job satisfaction.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 50
Political frame. The next leadership frame is the political frame, which assumes that
organizations are coalitions of varying individuals with differences in values, beliefs, and infor-
mation (Bolman & Deal, 2017). The political frame stems from political science and views
organizations as competitive arenas that are characterized by power, conflict, competition, and
organizational politics (Bolman & Deal, 2017). In this frame, conflict is likely to arise because
these individuals are all seeking the allocation of power and scarce resources (Bolman & Deal,
2017). Principals acting within the political frame make a conscious effort to engage supporters
and stakeholders and to build a team of individuals who will be resilient through new initiatives.
A successful principal will be viewed as an advocate for his or her own school through bargain-
ing and negotiating (Bolman & Deal, 2017). The political frame is an important frame in which
school leaders must engage.
Symbolic frame. The final frame is the symbolic frame, which stems from social and
cultural anthropology (Bolman & Deal, 2017). The symbolic frame views organizations and its
events as a tribe, temple, or carnival that focuses on issues of meaning and faith (Bolman & Deal,
2017). Principals acting within this frame must understand the organization’s culture, ritual,
ceremonies, stories, heroes, and symbols and work to create and promote a common vision
(Bolman & Deal, 2017). Principals can engage in the symbolic frame by creating, establishing,
and emphasizing symbols for the organization. This process includes communicating what is
important to the organization through emphasizing the mission, vision, and values. Principals
acting within this frame need to understand that situations will have multiple meanings based on
how organizational members interpret the experience (Bolman & Deal, 2017). The ultimate goal
for the symbolic frame is for the principal to be an inspiration to the organization (Bolman &
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 51
Deal, 2017). Leaders are always acting in this frame, regardless of which frame on which they
are focusing.
A principal does not stay in only one frame or all frames, but rather needs to be able to
flexibly shift among frames to better lead a school site and to engage with the larger district
organization. The decisions that principals make to act within a particular frame should be based
on what supports both short-term and long-term organizational goals. The knowledge of these
four frames will assist the researcher to better understand the findings of this study.
School Leadership That Works
The next leadership frame the researcher will incorporate as a lens for this study is School
Leadership That Works (Marzano et al., 2005). This quantitative meta-analysis measured the
leadership behaviors of the principal in a school and effects on student achievement. The authors
identified 21 categories of responsibilities of the school leader. The researchers pointed out four
responsibilities of a principal that have a high correlation to student achievement: (a) situational
awareness, (b) intellectual stimulation, (c) change agent, and (d) input. The findings from this
leadership framework will also act as a lens for the researcher in this study.
Situational awareness. The first leadership responsibility with the highest correlation to
student achievement is situational awareness (Marzano et al., 2005). A leader’s awareness of the
details and undertone of the school functions and how he or she responds to address current or
potential problems was how Marzano et al. (2005) defined situational awareness. Marzano et al.
identified key behaviors and characteristics associated with the leadership responsibility of situ-
ational awareness: (a) accurately predicting what could go wrong from day to day, (b) being
aware of informal groups and relationships among the staff, and (c) being aware of issues in the
school that have not surfaced but could create discord. Marzano et al. argued that the more a
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 52
principal is aware of the innermost workings of the school, the better he or she is able to lead and
manage and subsequently have a positive effect on student achievement.
Intellectual stimulation. The second leadership responsibility that has a high correlation
with student achievement is intellectual stimulation (Marzano et al., 2005). Intellectual stimula-
tion was defined by Marzano et al. (2005) as the extent to which the principal ensures that the
staff is aware of current practices and theories and how the principal engages the staff in a mean-
ingful dialogue about those practices and theories on effective schooling. As a result of the meta-
analysis, Marzano et al. identified key behaviors and characteristics associated with the leader-
ship responsibility of intellectual stimulation: (a) exposing staff to cutting-edge research and
theory on effective schooling, (b) keeping informed about current research and theory on effec-
tive schooling, and (c) fostering systematic discussion on current research and theory on effective
schooling. Principals execute intellectual stimulation at their schools when professional develop-
ment, readings, and discussions are used to support and foster an initiative or innovation being
implemented at the school site (Marzano et al., 2005). The responsibility of intellectual stimula-
tion for new initiatives or innovation would ensure that student achievement is maximized.
Change agent. The third responsibility with a high correlation to student achievement is
the principal as a change agent (Marzano et al., 2005). A leader who is a change agent is an
individual who challenges the status quo of the school site. As a result of the meta-analysis,
Marzano et al. (2005) identified key behaviors and characteristics associated with the leadership
responsibility as change agent: (a) consciously challenging the status quo, (b) being willing to
lead change initiative with uncertain outcomes, (c) systematically considering new and better
ways of doing things, and (d) consistently attempting to operate at the edge versus the center of
the school’s competence. When a principal is working to manage a second-order change
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 53
situation as a change agent, he or she must inspire faculty members to operate outside of their
comfort level. Principals who are not afraid to initiate or innovate changes that challenge the
status quo will positively affect student achievement as a result.
Input. The final leadership responsibility with a correlation to student achievement is
input (Marzano et al., 2005). Input was defined by Marzano et al. (2005) as the extent to which a
principal involves staff in the development, decision making, and implementation of initiatives
and policies. As a result of the meta-analysis, Marzano et al. identified key behaviors and
characteristics associated with the leadership responsibility of input: (a) providing opportunities
for staff to be involved in developing school policies, (b) providing opportunities for staff input
on all important decisions, and (c) using leadership teams in decision making. Principals who
use the key behaviors and characteristics of input will positively affect students’ achievement at
their school sites by allowing a collective voice for decision making.
Marzano et al. (2005) identified other findings in their study that would support the lead-
ership framework in this study. The four selected above showed a statistically significant rela-
tionship to student achievement. The findings from this leadership framework should support the
findings of the researcher’s study.
The Principal: Keys to Maximizing Impact
The last leadership framework that this researcher will incorporate as a lens is Fullan’s
(2014) The Principal: Three Keys to Maximizing Impact. Within this leadership framework,
leaders can reside in three keys: (a) leading learning, (b) being a district and system player, and
(c) becoming a change agent (Fullan, 2014). The responsibilities of the principalship have
increased enormously over the past 2 decades, and principals are now viewed as the instructional
leaders (Fullan, 2014). The rapid change in the principalship now requires leaders to have the
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 54
capacity to navigate the change and favors a different and more powerful role for principals
(Fullan, 2014).
Lead learner. The principal’s new role as leading learning requires the leader to model
learning and shape the conditions for all in the group to learn (Fullan, 2014). This new role “is to
lead the school’s teachers in a process of learning to improve their teaching, while learning
alongside them about what works and what doesn’t” (p. 55). Principals who are lead learners are
cautious about taking on too many new innovations and initiatives; they ensure that the basic
aspects of running a school site are taken care of (Fullan, 2014).
Principals who are leaders of learning need to utilize professional capital within organiza-
tions and build it across and beyond the school (Fullan, 2014). A principal’s professional capital
is the interaction of three components: human capital, social capital, and decisional capital
(Fullan, 2014). The first component, human capital, refers to the quality of the personnel work-
ing within the organization (Fullan, 2018). Principals as lead learners must attract and improve
the human capital of the school to improve teaching (Fullan, 2014). The second component is
social capital, which refers to the interactions and relationships that support a common cause
among the individuals in a school (Fullan, 2014). The principal’s role as lead learner is to build
the social capital of the individuals working together in a school as well as the broader commu-
nity of stakeholders to improve student learning (Fullan, 2014). The third component, decisional
capital, is the ability to utilize knowledge, intelligence, and resources to make good decisions and
is an expertise that grows over time (Fullan, 2014). Principals themselves must have good deci-
sional capital, but individuals and groups within the organization must also possess strong deci-
sional capital to make the school more powerful as a whole (Fullan, 2014).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 55
District and system player. The second key, being a district and system player, requires
that principals contribute to and benefit from the greater district system as a whole (Fullan,
2014). Principals must utilize all resources within and outside of the organization to build the
professional capital of teachers to maximize student learning (Fullan, 2014). Fullan (2014) felt
that principals working as individuals can get only so far to develop a good school. Continuous
improvement occurs when schools learn from others within the same district as well as from
schools outside the district (Fullan, 2014). Principals who form productive partnerships with
other schools are able to identify and share effective practices, thereby making both the princi-
pal’s school and the larger system more effective.
Change agent. The third key, becoming a change agent, focuses on the qualities of the
leader that allows him or her to move people and the organization forward under difficult circum-
stances (Fullan, 2014). To support a principal in the change effort, Fullan (2014) provided a list
of seven leadership competencies identified by Kirtman (2014) that he believed would help to
develop the professional capital of an organization: (a) challenge the status quo; (b) build trust
through clear communication and expectations; (c) create a commonly owned plan for success;
(d) focus on team over self; (e) have a sense of urgency for sustainable results; (f) commit to
continuous improvement for self; and (g) build external networks and partnerships (Fullan,
2014). A principal must develop and hone these seven change-agent competencies as he or she
develops as the leader of an organization (Fullan, 2014).
Conceptual Framework
The conceptual framework adopted by the research is outlined in Figure 1, which illus-
trates the principal as a leader who incorporates the leadership frameworks. A leader must be
able to shift his or her actions to incorporate the four frames (Bolman & Deal, 2017) with various
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 56
situations, actions, and relationships that he or she is presented with within the organization. The
principal as a leader also implements strategies from School Leadership That Works (Marzano et
al., 2005) . By implementing these strategies, the principal as a leader focuses the school staff on
goals that were collaboratively set. Finally, the principal as a leader also adopts the posture of
Fullan’s (2014) keys to maximizing leadership when reacting to his or her own successes and
failures in the position. This level of leadership includes disseminating praise for success back to
the school staff and absorbing criticism for failure back to himself or herself. Depending on the
situation, the principal as a leader acts within these three theoretical frameworks in unison or in a
continuum, depending on the context and circumstance. Nonetheless, these theoretical frame-
works are critical for principals to utilize in their work.
Chapter Summary
Principals embarking on the challenge to lead 21st-century schools must possess the
knowledge and skills for such a task. This chapter was a review of the literature relevant to the
study and provided a context for the purpose of the study. Chapter Two identified the history of
the principalship, preparation routes, as well as recruitment and retention challenges and strate-
gies. The chapter closed with a description of the leadership frameworks that the researcher will
use to better understand the 21st-century principal in K-12 public schools in California.
Chapter Three presents the methodological approach chosen to address the research
questions for this study. It outlines the methodology, the design of the study, participants,
instruments, the protocols and procedures used for data collection and analysis, and the ethical
considerations that informed the study.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 57
Figure 1. Conceptual framework for study. Based on Reframing Organizations:
Artistry, Choice, and Leadership (6th ed.), by L. Bolman and T. Deal, San Fran-
cisco, CA: Jossey-Bass; The Principal: Three Keys to Maximizing Impact, by M.
Fullan, 2014, San Francisco, CA: Jossey-Bass; and School Leadership That
Works: From Research to Results, by R. J. Marzano, T. Waters, and B. A.
McNulty, 2005, Alexandria, VA: Association for Supervision and Curriculum
Development.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 58
CHAPTER THREE: RESEARCH METHODOLOGY
Current school principals are being prepared for and recruited into a job that continues to
evolve year after year. The 21st-century principal deals with complex challenges that his or her
predecessors did not encounter during their principalship. It is important to identify the prepara-
tion and supports that principals must have in order to meet these new challenges and complexi-
ties of the 21st-century principalship, as well as the support and retention efforts that districts
must use to keep principals in this crucial role.
Principals in California public school districts have experiences in their preparation,
recruitment, and retention that support their ongoing success in the principalship. According to
Fullan (2014), the principal is the second most influential person on student achievement. The
purpose of this study was to examine the preparation, recruitment, and retention of California
K-12 school principals. In Chapter Two, literature was reviewed on the historical evolution of
the role, along with various strategies for the preparation, recruitment, and retention of principals.
This chapter describes the study’s research questions, research design methods, sample and
population, access and entry, instrumentation, data collection, data analysis, and ethical consider-
ations.
Research Questions Restated
Research questions are the component of a study that directly links all elements of the
design together (Maxwell, 2013). The research questions are significant tools that are developed
to shape and provide direction for a study (Agee, 2009). They also identify how to collect data in
a study (Merriam & Tisdell, 2016). The purpose of this qualitative study was to examine the
preparation and supports that principals must have in order to meet the challenges and complexi-
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 59
ties of the principalship, as well as the support and retention efforts that districts must use to keep
principals in this crucial role. This study was guided by the following research questions:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, HR
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?
3. What are the perceived strategies that support the retention of principals?
Research Design and Methods
Qualitative Research
This qualitative study utilized both surveys and interviews of principals, their direct
supervisors, HR personnel, and superintendents. Surveys and interviews were used to explore
how principals prepared for their position, recruitment strategies used by both sitting principals
and district office personnel, and strategies used by principals and districts to retain principals in
their position.
Why Qualitative Methods
Using qualitative methods allows researchers to understand how people interpret experi-
ences and make sense of the world (Merriam & Tisdell, 2016). When using qualitative methods,
researchers are trying to understand participants’ perspective of a particular phenomenon (Mer-
riam & Tisdell, 2016). For this study, a qualitative method approach was ideal because the
experiences and perceptions that principals and district office personnel had regarding the
preparation, recruitment, and retention of principals were studied. Data were gathered through
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 60
surveys and interviews to build an understanding of how principals and district office personnel
were thinking about the preparation, recruitment, and retention of principals.
The use of surveys allowed the researcher team to collect a large amount of data in a
structured manner to address the research questions (Creswell, 2014). While this study did not
employ a mixed-methods approach, the use of surveys to collect quantitative data was important
to support the study’s themes. Combining quantitative data with the themes of the qualitative
study provided additional insight to answer the research questions through a qualitative lens with
the support of quantitative data (Creswell, 2014).
Qualitative interviews are important because they allow the researcher to collect informa-
tion that cannot be observed and to understand a participant’s perspective on the phenomenon
being studied (Merriam & Tisdell, 2016; Patton, 2002). Interviews are used to convey informa-
tion from one person to another (Merriam & Tisdell, 2016). According to Weiss (1994), inter-
viewing gives the researcher access to the observations and experiences of others, both of which
are necessary elements for the research questions to be answered. Interviewing allows the
researcher to spend time with the participants in their natural environment (Bogdan & Biklen,
2007).
For this study, interviews were appropriate because the research team was attempting to
understand the experiences and perceptions that principals and district office personnel had
regarding the preparation, recruitment, and retention of principals. For the research team to
understand the perceptions of the participants, the research team had to script interview ques-
tions.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 61
Research Team
The research team for this study consists of 12 doctoral students from the University of
California’s (USC) Rossier School of Education, with Dr. Michael Escalante as the lead re-
searcher and supervisor of the study. In addition, a committee of USC staff and other mentors
supported the team throughout the study. The research team met on a bi-monthly basis to receive
guidance and instruction and to establish research questions, present relevant literature, and
determine the conceptual frameworks that help to shape the study. From this thematic group
approach, there are some similarities among dissertations; however, the majority of each team
member’s study is individual and distinct.
Population and Sample
The purpose of this study was to examine the preparation, recruitment, and retention of
California K-12 principals. In order to fulfill the study’s purpose, the research team focused on
the population on California K-12 principals, their direct supervisors, HR personnel, and superin-
tendents from public school districts. The most accurate findings could be made by taking a
sample of the entire population of California K-12 public school principals, their direct supervi-
sors, HR personnel, and superintendents; however, time and financial constraints limited the
research team to collect only a sample of the population.
Aligning with the work of Merriam and Tisdell (2016), a researcher must select a sample
from which the most learning can be uncovered, especially when the goal is to discover, under-
stand, and gain insight. The units of analysis for this study were principals, their direct supervi-
sors, HR personnel, and superintendents in California public K-12 school districts. A convenient
purposeful sample is one that is deliberately selected due to time, money, location, and availabil-
ity of participants (Maxwell, 2013; Merriam & Tisdell, 2016). Purposeful sampling was used to
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 62
select the participants, and the research team collaborated to determine the population and
sample for the study. Patton (2002) indicated that purposeful sampling allows for an in-depth
study of the problem. To help protect the identity of the participants, pseudonyms have been used
for school districts and individuals.
Throughout the spring of 2019, the research team, with Dr. Escalante’s support, made
contact with California K-12 public school district superintendents to identify potential partici-
pants. The team worked with established contacts to create an interview and survey pool that
would ensure participation from principals and district office personnel.
Access and Entry
Prior to beginning this study, the research team had to obtain permission from the USC’s
Institutional Review Board (IRB). The IRB process ensures that the study is being conducted
ethically and that the participants have sufficient knowledge to make a decision to participate in
the study with no unnecessary risks. To ensure the rights of the participants, to avoid an impact
on the participants, and to mitigate any personal or professional repercussions, safeguards were
put in place so that each participant’s anonymity and confidentiality can be guaranteed (Glesne,
2011).
When conducting a qualitative study, gaining access to one’s participants is an essential
part of the methods (Merriam & Tisdell, 2016). To conduct the study, the research team had to
gain access to the locations and participants. Participants granted access by their willingness to
participate (Bogdan & Biklen, 2007). Participants for the qualitative interviews gave informed
written consent to the research team prior to the start of the interviews. To gain access for the
surveys, the team of researchers sent email invitations via email (Appendix A), including an
informed consent (Appendix B), along with a link to the survey. The researcher met with the
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 63
participants in person for interviews and asked them to participate by signing the informed
consent (Appendix B). For reliability purposes, the research team used an audio recording device
to capture the data with permission from the participants. The sample size fluctuated based on
entry and access to participants.
Instrumentation
Members of the research team collaboratively developed the instrumentation for this
study. The team used the concepts from the leadership and conceptual frameworks to construct
quantitative and qualitative instruments to collect data to address the research questions. The
research questions guided the content found in the surveys and interview guides. The use of both
types of instruments provided a meaningful approach to understand principal preparation,
recruitment, and retention.
Quantitative Instrumentation
The quantitative instrument used to collect data in this study were surveys (Appendices
C-F). Using survey instruments allows the researcher to gather data from a larger population and
sample (Weiss, 1994). The surveys were developed collaboratively by the research team and
were constructed to collect data from all participants. Via a 4-point Likert scale, survey items
were designed to gather the perceptions of principals, their direct supervisors, HR personnel, and
superintendents. Demographic data were also collected through survey items to qualify partici-
pants for the study (Weiss, 1994). Numerical values were given for answers where 1 = Strongly
Disagree, 2 = Disagree, 3 = Agree, and 4 = Strongly Agree; an option of N/A was also offered
for Not Applicable or Don’t Know. The research team analyzed compared, and connected the
quantitative data collected with the qualitative data.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 64
Qualitative Instrumentation
The primary instrument used to collect qualitative data was an interview protocol that was
collaboratively developed for each participant group by the research team (Appendices G-J). The
purpose of this type of qualitative instrument was to gain in-depth information from each partici-
pant group to answer the research questions. The qualitative interview data from the four partici-
pant groups, along with the quantitative survey data and the literature review, were used to
triangulate the data sources (Maxwell, 2013; Merriam & Tisdell, 2016).
The structure of the interview protocol consisted of standardized open-ended interview
questions to allow the research team to efficiently elicit the information needed from study
participants, as recommended by Patton (2002). Using this approach required careful wording of
each interview question prior to the interview (Patton, 2002). The standardized, open-ended
interview protocol required the research team to ask all interviewee groups the same basic
questions, with an exact sequence that was predetermined (Patton, 2002). The strength of using
this type of protocol was that each participant group answered the same questions, thus increas-
ing the research team’s ability to compare responses (Patton, 2002). Using the proper question
types allowed the research team to receive rich, descriptive data from all participants about how
they perceive principals’ preparation, recruitment, and retention (Merriam & Tisdell, 2016). The
questions were designed to explore the preparation, recruitment, and retention experiences of
principals as they connected to remaining in this critical role.
The survey and interview protocols addressed the three research questions. All partici-
pants were contacted via a recruitment/consent letter (Appendices A and B). In the spring of
2019, all research instruments were submitted to the USC IRB for approval; the IRB allowed the
team to perform an exempt study on human participants in California.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 65
Data Collection
Data collection took place using survey and interview instruments simultaneously for
each participant group. Quantitative data were collected using Qualtrics
™
; qualitative data were
collected through interviews. The research team set a data collection window of time for the
survey. When the window for data collection closed, the research team analyzed data to deter-
mine trends and emerging themes.
Making interviews convenient for participants is important in developing rapport in a
study (Bogdan & Biklen, 2007). In this study, interviews were arranged with each participant at
a time that was most convenient for the interviewee. Prior to the start of each interview, partici-
pants signed an informed consent. Merriam & Tisdell (2016) recommended recording interviews
so that the information can be preserved for analysis at a later time. Each participant was
required to give permission for the use of an audio recording device to be used prior to the start
of the interview (Weiss, 1994). The researcher followed the standard, open-ended interview
protocol with predefined questions that were sequenced and organized to make it easier to iden-
tify patterns in responses and allowed the researcher to be more efficient with participants’ time
(Patton, 2002). Upon completion of the interview, the researcher had the audio recording
transcribed.
Interviews took approximately 45 minutes to complete, with only one interview per
participant. When obtaining informed consent, the participants were informed that they could
pause or stop at any time during the interview. In addition to recording the interview, the
researcher took written notes to capture significant responses that answered the research ques-
tions.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 66
Data Analysis
Data analysis is the process of working with the data, organizing interviews and observa-
tions, coding, synthesizing, and looking for patterns (Bogdan & Biklen, 2007). All members of
the research team collected and analyzed the data in order to triangulate and validate findings
from the surveys, interviews, and the body of literature related to the principalship. The recom-
mended first step in qualitative data analysis is to read the interview transcripts (Harding, 2013;
Maxwell, 2013). Members of the research used the data collected from surveys and interview
responses to organize and prepare the data for analysis.
For the purpose of this study, the research team employed strategies outlined by Creswell
(2014) to analyze the data. Once the data were organized, the data from surveys and interviews
were coded and analyzed to determine themes (Creswell, 2014). The research team used Qual-
trics
™
to code the data. Miles, Huberman, and Saldaña (2014) noted that data can be initially
summarized into segments using first-cycle coding. In addition to this, the researcher used a
predeveloped list of a priori codes based on information from the literature review. A priori
codes were derived mostly from the researcher teams’ previous reading or knowledge of the topic
(Harding, 2013). As the research team analyzed the data, some empirical codes developed.
According to Harding (2013), empirical codes are developed as a result of examining and analyz-
ing the data.
This researcher was confident that using this approach to data analysis would answer the
research questions presented for this study. The final step in data analysis was for the research
team to make meaning of the data as they related to the research questions.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 67
Credibility and Trustworthiness
In order to maintain credibility and trustworthiness, research team members must first
address their own affect and biases when analyzing the data. Miles et al. (2014) contended that
personal bias can skew a researcher’s ability to represent and present fieldwork and to complete
data analysis in a trustworthy manner. A researcher’s affect can have a profound influence on the
quality and amount of data that are collected (Mile et al., 2014). To maintain credibility and
trustworthiness, the research team continually revisited the survey data and interview transcripts
to ensure that the perspective of the participants was understood and that the findings were not
interjected with the team’s thoughts, ideas, or experiences.
Another way to maintain credibility and trustworthiness in this study was through the use
of triangulation. Triangulation refers to collecting information from multiple participants in a
variety of settings (Maxwell, 2013). Triangulation was used to examine the consistencies among
the literature, survey data, and interview transcripts. Utilizing triangulation allowed the research
team to collect data from multiple participants with different perspectives in order to determine
whether the evidence was found in multiple settings. Maxwell (2013) recommended using this
strategy to reduce the risk of personal biases and to confirm emerging findings.
Ethical Considerations
The researcher of any study must make ethical considerations throughout a study, and
ethical dilemmas are likely to arise during qualitative data collection and analysis (Merriam &
Tisdell, 2016). The validity and reliability of a study are dependent on the credibility and ethics
of the researcher (Merriam & Tisdell, 2016). Merriam and Tisdell (2016) made several sugges-
tions regarding conducting qualitative research and analysis. The researcher put the following
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 68
safeguards into place to ensure the rights of the participants and to maintain the integrity of the
study:
Initially, to address the ethical considerations of the study, all members of the research
team participated in the Collaborative IRB Training Initiative (CITI). This is an online process
that trains researchers on how to consider the ethical implications of research. Next, the research
team sought IRB approval through the USC before data collection began (Glesne, 2011). Then,
informed consent was acquired from each participant prior to survey completion and at the
beginning of each interview (Merriam & Tisdell, 2016). This procedure allows participants to be
fully aware that their participation is voluntary and that they can choose to stop participating at
any point in the study (Glesne, 2011). The goal of the researcher is to maintain the integrity of
the study and ensure that the study does no physical or emotional harm to the participants.
Chapter Summary
The purpose of this chapter was to describe the process that the research team will employ
to guide the qualitative study to address the research questions. The study seeks to understand
principal preparation, recruitment, and retention through a qualitative methods approach.
Maxwell (2013) stated that the researcher should use triangulation to examine consistencies
among the data collected. In this study, the literature review, surveys, and interviews provided
the researcher with an opportunity to triangulate the data to analyze the preparation, recruitment,
and retention of California K-12 public school principals so as to answer the research questions.
The collected data were analyzed both statistically and analytically to uncover emerging findings.
The findings from the triangulation of qualitative and quantitative data and literature review are
discussed in Chapter Four.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 69
CHAPTER FOUR: FINDINGS
The purpose of this study was to examine the preparation, recruitment, and retention of
K-12 public school principals. This chapter explores and analyzes the data collected by the
researcher through qualitative interviews and surveys and presents the findings as they related to
the three research questions. Triangulation of the data improved the reliability of the themes
(Merriam & Tisdell, 2016). The researcher will present perspectives from each of her qualitative
interview participants.
The researcher conducted 16 interviews of principals, HR personnel, immediate supervi-
sors of principals, and superintendents designed to answer the three research questions. Inter-
views were utilized to allow the researcher to discover the experiences of K-12 principals and
those who hire and supervise them as well as to reflect on principals’ leadership development,
factors related to obtaining their position, the experiences that shaped their success or struggles in
the position, and the climate that supported their school leadership work. Surveys conducted by a
team of 12 researchers of K-12 principals, immediate supervisors of principals, HR personnel,
and superintendents in southern California provided data regarding the experiences leading
administrators to their principal positions and the supports that existed to assist them in maintain-
ing their positions.
Qualitative data from subjects were collected to further understand the experiences and
perspectives of principals and their leadership, as related to their preparation, recruitment, and
retention. When surveys and interviews are used in partnership, data can be triangulated to
ensure that findings are accurate and reflect the experiences of the participants (Maxwell, 2013).
Themes from the research on principal success and school leadership were applied to the data to
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 70
confirm the findings of the researcher. This study serves to inform multiple stakeholders regard-
ing the findings from the interview and survey questions.
This study sought to understand how principals are prepared, recruited, and retained in
their positions and was seeking to answer the following three research questions:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
This study was conducted in southern California, with an emphasis on qualitative inter-
views from the experiences of K-12 public school principals, with data primarily collected in
southern Orange County. The researcher incorporated a qualitative approach in this study by
using qualitative interviews. Qualitative research provided the researcher with an understanding
of how educators viewed their own world and the experiences people had through analyzing the
words of people to gain understanding (Merriam & Tisdell, 2016). When using qualitative
methods, researchers are trying to understand participants’ perspectives regarding a particular
phenomenon (Merriam & Tisdell, 2016). In addition to comprehensive qualitative interviews of
subjects, anonymous quantitative survey data were collected to confirm and further analyze
experiences and themes from the research.
A constant-comparative method was used when analyzing the qualitative data (Merriam
& Tisdell, 2016). Survey data were also analyzed for trends where postsurvey participants
responded similarly on an item. The survey questions were connected to the qualitative interview
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 71
questions as well as to each research question using the Question Alignment Matrix in Appendix
K. While the methodology of this research study was qualitative and the findings were primarily
taken from the qualitative interview data, survey data were incorporated when they appropriately
supported each theme. In this chapter, the data have been analyzed to uncover emerging
findings; references to the literature in Chapter Two are also utilized in the discussion when
appropriate.
Study Participants
Qualitative Interview Participants
The researcher gathered qualitative data from a total of 16 participants across three
districts. Interviews of participants within southern California K-12 public school districts were
conducted to gain insight into the experiences of educational administrators as they related to the
preparation, recruitment, and retention of principals. In each district, the superintendent, a HR
professional, an immediate supervisor of principals, and two principals were invited to partici-
pate. In one district, the superintendent was actively involved in the hiring process and oversaw
the principals; therefore, no administrator fit the requirements and base knowledge to respond to
the interview. In another district two individuals shared the responsibilities of HR administra-
tors. In another district, two HR administrators and two immediate supervisors were inter-
viewed, as this district was large and broke the responsibilities of these positions into preschool
through fifth grade (PK-5) and sixth through 12th grades. In this district the superintendent was
not available to participate during the data collection window.
District A, a suburban district in southern California, served 2,900 students across four
schools at the time of this study. The school district served predominantly upper-middle-class
families. The district was considered high achieving, with a 96% graduation rate. The
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 72
superintendent was the primary contact in the district and served to facilitate contact with all
study participants. As this was a small school district, the superintendent oversaw all hiring and
supervised the principals within the district. Therefore, no HR administrator or immediate super-
visor of principals met the criteria in this district. Two principals were interviewed, as recom-
mended by the superintendent: one high school and one elementary school principal.
District B was a suburban district in Orange County that served a diverse student popula-
tion in Grades K-6. The majority of the student population was from low socioeconomic homes,
with 40% of the students classified as ELLs. At the time of this study, the district served 2,300
students in four elementary schools. In this district the superintendent was the main point of
contact. Two individuals who oversaw HR and an immediate supervisor of principals were
interviewed, along with three elementary school principals. One principal was in her 1st year in
the position, while the other two principals were more experienced administrators who had
worked only in this district.
District C was the eight largest district in the state and was a high-achieving suburban
district in southern California. This district served 48,000 students across 63 schools in southern
Orange County. This district had a 96% graduation rate, with only 10% of students who were
classified as ELLs. Only a quarter of the students enrolled were socioeconomically disadvan-
taged. In this district the superintendent was not available during the data collection window;
consequently, the Director of Assessment, Research, and Accountability was the primary contact
even though he was not a study participant. Due to the size of this district, there were two HR
administrators and two immediate supervisors who were interviewed for the study. In this
district two elementary principals were interviewed, as recommended by the immediate supervi-
sors of principals for PK-5.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 73
Quantitative Survey Participants
The researcher worked in a team of 12 researchers to gather quantitative survey data from
superintendents, HR administrators, immediate supervisors of principals, and principals. The
survey questions (see Appendix C–F) were developed, deployed through Qualtrics, and analyzed
by the research team. The team of researchers surveyed four groups—superintendents, HR
administrators, immediate supervisors of principals, and principals—using questions designed
and developed to address each unique position.
The principal survey (Appendix C) was distributed to a total of 708 principals. The
survey remained open for the entire data collection window of 19 weeks. The total number of
principals who completed the survey was 115, for a response rate of 16%. Due to the time
constraints of the research team, the principal survey was distributed to a larger sample size than
the number interviewed so as to allow the researchers to gather more robust principal input for
the study. Using the survey method allowed the research team to understand the perspectives of
a larger group of principals as it related to the three research questions.
The second survey distributed by the research team was to HR administrators (Appendix
D) across the districts invited to participate in the study. The total number of surveys distributed
to this group was 41; the total number of surveys completed was 22, for a response rate of 54%.
The third survey distributed by the research team was to immediate supervisors of princi-
pals (Appendix E). The total number of surveys distributed to this group was 68; the total
number of surveys completed was 28, for a response rate of 41%.
With the limited access that the team had, the superintendent survey (Appendix F) was
distributed to a total of 37 superintendents. The survey was open for the entire data collection
window of 19 weeks. The total number of participants who completed the entire survey was 21,
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 74
for a response rate of 57%. Table 1 summarizes the number of surveys distributed and the
percentage of responses.
Table 1
Summary of Participants in Quantitative Surveys by Organization Position and Rate of Response
Immediate
supervisors
Superin- Human of princi-
Surveys tendents resources pals Principals
Number distributed 37 41 68 708
Number completed 21 22 28 115
Response rates (%) 57 54 41 16
Findings for Research Question 1
In order to better understand how training programs and professional experiences pre-
pared principals for their positions, Research Question 1 asked, “How have training programs
and professional experiences prepared principals to manage the complexities and challenges of
the principalship?”
Principal preparation and training programs to prepare principals for the position have
significantly evolved over time (Davis & Darling-Hammond, 2012). University-based prepara-
tion programs are the most common route for aspiring principals to utilize when seeking out a
training program to prepare for the principalship (Briggs et al., 2013; Davis & Darling-
Hammond, 2012; Pannell et al., 2015; Pounder & Crow, 2005; Orr & Orphanos, 2011; Vogel,
2018). However, university training programs may not be adequately preparing principals for the
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 75
complexities, demands, and responsibilities of the position today (Hess & Kelly, 2007; Pannell et
al., 2015; Vogel, 2018). Individuals are seeking training programs and professional experiences
outside of university training programs to be better prepared for the principalship.
The 21st-century principalship is a complex and challenging position that is continually
changing and evolving. It is a position in which the person in the role must be prepared through
training programs and professional experiences. The data analysis of this study revealed three
themes on how training and professional experiences prepared individuals for the principalship:
1. Seeking learning opportunities through leadership academies was perceived as better
training programs than university training programs;
2. Job-related preparation through teachers leader opportunities, teacher on special
assignment (TOSA) positions, and taking on administrative roles and duties best prepared
principals to manage the complexities and challenges of the principalship; and
3. Having mentors better prepares principals and aspiring principals for the principalship.
Following is a discussion on each of these themes.
Learning Opportunities
As districts are seeing the demands placed on principals to manage the complexities and
challenges of the principalship, they are developing leadership academies within the district to
better prepare principals for the position. Districts are realizing that they cannot rely strictly on
university-based principal preparation programs to find highly qualified and skilled principal
candidates. By developing internal leadership academies, districts can customize the content
presented to match the unique needs of their districts (Turnbull et al., 2013).
Through the qualitative interview process, there was a clear and common theme that
additional learning opportunities above and beyond university-based preparation programs
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 76
helped to prepare candidates for the principalship. District A offered a district-based leadership
academy to help prepare principals for the challenge and complexities of the role. The superin-
tendent from District A noted:
We also offer our leadership academy for certificated. It’s an unpaid, 8-week structure
that is run by our human resources division. They learn everything from governance to
finance to leadership. We’ve had many of our principals identify through that leadership
symposium as well. Some that are now even directors and assistants, too. We feel that
that’s an effective piece also to professional development. (interview, June 24, 2019)
Numerous districts utilize internal leadership programs to prepare principals for the role
within their districts (Whitaker & Vogel, 2005). Superintendent A shared much of his experi-
ence in observing the preparation of principals that the district hires. He commented that “our
leadership academies have really been an effective tool in preparing principals as compared to
other traditional preparation programs” (interview, June 24, 2019).
A HR administrator from District C shared how this district utilized a district leadership
academy to help prepare aspiring principal candidates:
Also, one thing that we offer in our district and helped to implement is a leadership
academy. We did offer leadership academy for perspective managers or administrators.
We do it for both certificated and classified using two different series, where we get dif-
ferent directors from different divisions to kind of present on what their role is and how
they impact school and how they would interface with this division, if they were ever an
administrator in our district. That’s a year-long program where you meet about once
every 6 weeks, and then we finalize it with having a mock interview session where
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 77
they’re interviewed if they’re looking for, like a principalship or assistant principalship.
(interview, August 1, 2019)
Additionally, this HR administrator shared that nonuniversity-based programs help to prepare
principals for the position:
The ACSA Academies, in my opinion, are some of the best preparation that principals
can go through. I would definitely say the outside academies. I would say our most
well-prepared principals went through it. They put on a very comprehensive training that
I think is very applicable to the daily work of a principal. (interview, August 1, 2019)
Literature shows that these types of nontraditional programs prepare and train principals
through real-world, hands-on leadership experiences (Pannell et al., 2015). These types of
experiences help principals to prepare for the complexities and challenges faced by 21st-century
principals.
The researchers’ interviews with two principals from different districts in the study also
confirmed the theme of additional learning opportunities helping to prepare principals for the
challenges and complexities of the job. Principal 2C from District C shared: “I think this district
does a pretty good job. I mean for folks who aren’t principals yet, they have like a lot of these
new leadership academies or future administrator academies and they offer them every year”
(interview, August 21, 2019).
When the researcher asked Principal 1A from District A what preparation program was
the most effective in preparing him for the position, he shared information about a district leader-
ship academy he attended that was a beneficial part of his preparation experience:
They had an aspiring principal and assistant principal leadership program that they just
started up. I was a fifth-grade classroom teacher, and then they had this program. They
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 78
really were trying to build a pool of employees that they can look to, to fill open AP and
principal positions. I applied for that; I received it, and was selected. It allowed me to
see parts of the job that I was not aware of before but helped me understand the principal
role better than my university program. (interview, June 26, 2019)
Principal 1A further shared that his university program helped with the theoretical aspects of the
principalship but did not adequately prepare him to handle the challenges and complexities of the
job. This opinion was in line with the literature reviewed in Chapter Two; Grogan and Andrews
(2002) found that most university-based programs did not provide the knowledge and skills
required to be a principal leader in the 21st century.
Interestingly, quantitative survey data from the superintendents’ survey showed that
85.7% of superintendents thought that university programs provide training and experience that
are important in preparing principals for their positions, while only 62% agreed that nonuni-
versity training programs were important for preparing principals for their current positions.
These results did not support the theme found through the qualitative interview process in that
the interview data showed the reverse results. However, 86.3% of HR administrators agreed that
university programs provide training and experience that are important in preparing principals for
their positions, and 72.7% agreed that nonuniversity training programs were important for
preparing principals for their current positions. Further, 80.8% of principals agreed or strongly
agreed that university programs provided training that was important in preparing them for the
position. These data confirmed the results found through the qualitative interview process.
Job-Related Preparation
Many aspiring principals have taken extra efforts to seek out leadership opportunities and
experiences that would help to prepare them for the principalship. Hands-on leadership
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 79
experiences in real context situations provide aspiring principals with exposure to situations and
the complexities that university training programs are unable to provide (Pannell et al., 2015).
Surveys from 77.4% of principals revealed that job-related preparation was more important than
university training programs. Through the qualitative interview process with the seven principal
participants, there was a clear and common theme that job-related preparation before the princi-
palship was the best preparation for the position. HR administrators, immediate supervisors of
principals, and superintendents all stated that having some sort of leadership roles such as TOSA,
teacher leadership roles such as elementary teacher assistant principal (ETAP), or an AP position
was crucial to prepare principals for the role.
When the researcher asked Superintendent A where principals received their most effec-
tive training to help prepare for the role of principal be credited the role of AP, he replied:
Obviously I think being an AP helps you see what the role is like. Obviously you can
never really know until you’re sitting in it yourself, similar to being superintendent. You
know, but you don’t. I think there’s a good experience just to see how school sites are run
from kind of the nuts-and-bolts side of the house, because you need to know and have an
understanding of what goes into the school being run. (interview, June 24, 2019)
Superintendent A felt that the role of AP plays a crucial role in a new principal’s understanding
of the situational awareness necessary to lead a school (Marzano et al., 2005): “Once you make
that step into principalship, obviously everything kind of starts to change because now you’re the
owner of all those things” (interview, June 24, 2019). The principal now must have an awareness
of day-to-day operations, relationships among staff members, and issues that can surface and
create discord (Marzano et al., 2005).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 80
The Superintendent from District B also identified integral, job-related leadership experi-
ence available that helps prepare principals for the challenges and complexities of the role:
I think any kind of an administrative role, and because we’re small, we don’t have a lot of
administrative roles, but administrative-like roles. A school psychologist is an adminis-
trative-like role, because you’re the person in charge when that principal is gone. In that
case, he was the person in charge when the principal was off campus. The coordinator
position was an administrator-like role where she was working with principals, directly
with principals. The Title I TOSA is a whole different route, because at that particular
school, they have an academic Title I TOSA and a behavior support teacher. Seeing those
behaviors that come through the office; seeing how much stuff comes through on a
regular basis; interacting with parents, and also, I think, being Summer Academy princi-
pal. All three of those inside folks have been our Summer Academy principal for at least
a year, if not more. I believe those are the best experiences we can give them, because we
don’t have assistant principals. (interview, July 15, 2019)
Superintendent B viewed many leadership positions within the district as being integral
preparation opportunities for principals to help prepare them for the role. These leadership posi-
tions support preparation in the areas of focusing on the organizational goals and learning about
resources available to achieve the goal (Bolman & Deal, 2017).
During the researcher’s interview with HR Administrator 1C, he emphasized the impor-
tance of the AP position in aspiring principals’ job-related preparation:
The most beneficial ones are if they’ve been an assistant principal. If they’ve been
assistant principal and they experienced all the different situations, but not just like one
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 81
instance of principalship but multiple instances of situations in different areas, they know
the dynamics of a school. (interview, August 1, 2019)
HR Administrator 1C looked for candidates who had the prerequisite of having AP experience
for at least 2 years. In his interview, he highlighted that this period allows aspiring principals
time to be exposed to various aspects of the positions that are important when navigating the
challenges and complexities of the principalship.
HR Administrator 2C provided perspective on the importance of the experiences that
aspiring principals receive while being an AP. Although he mentioned that all of the experiences
in the AP role are important, he emphasized how critical is to be effective in the AP role before
becoming a principal:
Being an assistant principal is phenomenal training for the principalship. I think that you
can really tell when someone has a good breadth of experience in the assistant principal
role. And I think it’s really hard to be an effective principal if you haven’t first been an
effective assistant principal. I think the hands-on experience that you get as an AP is
invaluable. (interview, August 1, 2019)
The researcher’s interview with HR Administrator 2C aligned with the literature on
Fullan’s (2014) three keys presented in the conceptual framework section of Chapter Two. With
rapid changes in the principalship, leaders are now required to have the capacity to navigate
change to be a powerful and effective (Fullan, 2014). If a person can be effective as an AP, he or
she is more likely to be effective as a principal.
Immediate Supervisor 2C credited the importance of the role of AP in effectively prepar-
ing principals for the position. In this district, the role of AP was more prominent than in other
districts in this study:
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 82
Those who are promoted from within have probably in almost every situation served as
APs, and I know it’s not formal, but that on-the-job experience is something that we rely
heavily on as we sort of test our own administrators. In addition to that, we provide and
we have provided what I would call almost like induction programs. This has been open
to APs as well as teachers who have an interest in becoming administrators. They’ve
been formal gatherings monthly or every other month, and they’ve had a specific curricu-
lum tied with them. (interview, August 1, 2019)
The role of AP provides invaluable job related experience for aspiring principals. This
role allows the district to gauge the quality of potential candidates and for aspiring candidates to
have hands-on exposure to the challenges and complexities of the position.
Principal 1B from District B shared her opinion about hands-on, job-related opportunities
as a teacher leader in the district as being important preparation experience:
Most of my experience is hands on—through putting me in the job. But the district had a
position called leadership assistant where we were out of the classroom part of the week
and we assisted with what would be a typical assistant principal duties, and that’s really
where I learned the bulk of my administrative experience. (interview, July 15, 2019)
Principal 1A’s response about the most effective training for principal preparation
credited his in-depth experiences working as a program facilitator in a district where he had
previously been employed:
I would say my position as a program facilitator at a middle school. That was being in
charge of the entire Title I budget. That was having that experience for 2 years as a
program facilitator just opened your eyes, because the budget is something you don’t
always get exposure to, so that was just invaluable. Also, learning about intervention
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 83
programs and how to target the specific needs of the students from a large scale to a small
scale. That was invaluable. Working with the Student Services Department with that
was amazing, from all of my experience as a program facilitator. Taking that position, it
was my first position outside the classroom. I was basically the assistant principal
without being board appointed, so I did everything but evaluate teachers. It gave me the
experience of student discipline and dealing with all of the aspects of that as well as the
school budget piece—understanding how to manage categorical funds. I think being a
program facilitator in at the middle school had a lot of value in it. (interview, June 26,
2019)
The quantitative data from the superintendent surveys indicated that 100% of superin-
tendents, 90.9% of HR administrators, and 82.1% of immediate supervisors of principals agreed
or strongly agreed that prior work experience was more important than university training in
preparing principals for their current positions. “These on-the-job experiences are the best expe-
riences we can give them” (Superintendent B, interview, July 15, 2019). The data from the
surveys of 77.4% of principals revealed that thought that prior work experience was more impor-
tant than university training programs in preparing for the position. The quantitative surveys
from these participant groups confirmed the theme of job-related experiences as being essential
to prepare principals for the position.
Mentors
Relationships with mentors help principals to be prepared for the complexities and chal-
lenges of the principal position. The use of mentors allows aspiring principal candidates to
individualize their preparation to fit their needs (Bush, 2018). This study confirmed the theme
found in the literature regarding the importance of mentors. A common theme across 100% of
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 84
the qualitative principal participants (N = 7) was that aspiring principals can prepare for the
principalship through mentoring and relationships. Other qualitative interview participants
supported the theme of the mentor relationship in principal preparation.
During the study, Principal 1A pointed out that one particular mentor he had before the
principalship helped to prepare him:
It started with my principal at [school name removed for confidentiality]. He was great
about giving me opportunities, even outside my classroom, like being in charge of
committees or being in charge of different initiatives where I could be the leader of the
PD [professional development] and just get the experience of sitting in front of teachers
and developing and then designing and delivering professional development to cowork-
ers. Given other experiences that you just see things outside of the four walls, so that was
huge. (interview, June 26, 2019)
Principal 1A pointed out how this mentor helped to prepare him for the principalship. He shared
that this mentor had the qualities and characteristics that he wanted to emulate when he was a
principal. He also shared that “working closely with mentors” (interview, June 26, 2019) pre-
pared him for the role of principal.
Principal 2A from District A also pointed out how mentors helped to prepare him for the
principalship:
I had a lot of mentorship. Informal mentorship with the people that I was working with
every day. That kind of just led me to be an assistant principal and then in turn eventually
a principal at a middle school and then at a high school. (interview, June 26, 2019)
Mentors work to build relationships with aspiring principals and seek to empower employees and
provide them with growth and learning opportunities (Bolman & Deal, 2017). Principal 2A
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 85
shared his perspective that many formal and information mentorships helped to prepare him for
the principalship.
When the researcher asked which professional relationship helped to prepare Principal 3B
for the principalship, she credited mentorship as helping to best prepare her for the position:
I would say the mentorship, because there are a lot of things that come up that are not part
of a program. It gives you that on-the-spot, what-would-you-do-in-this-situation contact.
I think I had a lot of great principals as I was a teacher, and so it was almost like lots of
little mentorships as I was growing and developing that interest. So that principal–
teacher relationship was very instrumental. I think they were able to give me more expe-
riences. So sometimes building that relationship opened up experiences that maybe they
wouldn’t have thought of for everyone. I also think I could see their professional
response; and as you develop close relationships with your mentors, you can also see
some of their real emotions behind decisions and thought process. And I think that helps
because when you start, it’s kind of like you’re thrown into the deep end. You don’t
always know what to do. (interview, July 15, 2019)
Principal 3B pointed out that an effective part of her principal preparation was the impor-
tance of building a relationship with a mentor so as to learn about the challenges and complexi-
ties of the position. Before attaining the principalship, Principal 3B was able to receive support
and training from mentors in her previous teaching position that prepared her for the principal-
ship.
Principal 2C pointed out the importance of having a relationship with a mentor whom one
can ask questions of to in order to support and prepare aspiring principals:
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 86
I think you need to have a guiding principal, a mentor who’s already in the job, and I
think you need to have colleagues that are principals or assistant principals that you can
ask . . . that are nonevaluative kind of relationships . . . that you can ask them anything at
any time. (interview, August 21, 2019)
Principal 2C noted that building relationships with mentors as early as one’s first years of
teaching is important in preparing principals for the principalship.
Additionally, HR Administrator 1B from District B confirmed this theme found among
principals. Throughout the interview he commented about the importance of aspiring principals
utilizing a mentoring relationship throughout their teaching careers as a strategy to help to
prepare them for the position. Later in the interview he referenced a common theme found
among principal participants in regard to building relationships with mentors early in one’s
career or as soon as an aspiring principal begins to think about the principal position. These
mentors will help to effectively prepare principals to deal with the challenges and complexities
seen in a 21st-century principalship position.
HR Administrator 1C also confirmed the theme of mentorship in the effective preparation
of principals for the role. He pointed out how mentoring plays a critical role for aspiring princi-
pals:
I would say the time, energy, and effort that a principal puts in to mentor an assistant
principal is invaluable and paramount to the ultimate success of an AP getting a principal-
ship and then becoming successful in the job of being a principal. Our best principals
have mentors, just like the best athletes have coaches. I am a huge proponent of mentors.
Having a mentor—somebody who can help guide you. Our best principals have had
multiple people that they go to, vertically and horizontally. To have a mentor, a person
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 87
who has walked a day in the life of somebody who really gets it, you can go to, and that’s
really what we try to do here now. (interview, August 1, 2019)
This response confirmed the literature on the importance of districts making it a priority for
current leaders to recognize leadership abilities from within the district and to support aspiring
principals’ growth through mentoring (Pijanowski et al., 2009; Pounder & Crow, 2005).
The quantitative data from the principals’ survey indicated that 99.1% of principals
agreed or strongly agreed that having mentors was instrumental in preparing for the principal
position. Further, the quantitative data indicated that 95.2% of superintendents, 95.4% of HR
administrators, and 92.8% of immediate supervisors agreed or strongly agreed that having
mentors was instrumental in preparing principals for their current positions. Thus, the quantita-
tive surveys from these participant groups confirmed the theme of mentors being important to
prepare principals for the position.
Summary of Results for Research Question 1
The principalship is a challenging, demanding, and complex position that requires
aspiring principals to be prepared for the position before entering it. Results from this study
pointed to three themes from the qualitative interviews of participants that aligned with and
confirmed the quantitative survey data. Principals preparing for the position sought learning
opportunities through district leadership academies, had job-related experience in the roles of
teacher leader and TOSA, and utilized mentors and informal support networks. University
programs were perceived by all study participants to provide limited practical preparation
opportunities for aspiring principals to bolster readiness to enter the principalship.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 88
Findings for Research Question 2
In order to better understand strategies used by districts and principals in the recruitment
process, Research Question 2 asked, “What are the perceptions of principals, immediate supervi-
sors of principals, HR administrators, and superintendents regarding strategies to recruit success-
ful principal candidates?”
Principals are critical influencers in the overall success of a school and the impact of
students’ overall achievement (Fullan, 2014). For school districts to ensure the well-being and
achievement of a school, they must recruit and select a candidate who possesses the necessary
leadership skills and characteristics to deal with the demands and complexities of the principal-
ship (Ash, Hodge, & Connell, 2013; Jackson & Kelley, 2002; Parylo & Zepeda, 2014; Rebore,
2011). However, the literature has found that recruitment practices utilized by many districts are
often informal, which results in overlooking some potential candidates who many be highly
qualified for the position (Doyle & Locke, 2014). In addition to districts utilizing strategies to
recruit candidates, aspiring prospective principals must use strategies to help them to secure the
principal position.
Three common themes from the results of this study were recognized that addressed
Research Question 2:
1. The use of networking was a strategy that superintendents, HR administrators,
immediate supervisors of principals, and principals used to help them fill or attain principal
positions;
2. The skill set that a candidate possessed, especially instructional leadership, was
important in principal recruitment efforts; and
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 89
3. Tapping was also a strategy utilized by districts to recruit individuals into principal
positions.
Following is a discussion on each of these themes.
Networking as a Recruitment Strategy
Networking plays a dominant role in the recruitment of principals because many districts
lack formal recruitment strategies (Doyle & Locke, 2014). Superintendents, HR administrators,
and immediate supervisors of principals often network informally to fill open positions in their
districts. Results from this study that answered Research Question 2 confirmed a common theme
that networking was a strategy that all participant groups utilized to help recruit for the principal-
ship. The two qualitative interview superintendent participants reported using networking as a
strategy to recruit prospective principal candidates to their districts. Following is a discussion of
the perspectives of Superintendents A and B on using networking as a recruitment strategy.
Superintendent A reported having informally utilized his professional relationship with col-
leagues across the county to recruit principals:
I’ll call people to see if there are people that are out there looking. I’ll rely on some col-
leagues and say, “Is anybody looking?” I called over to a colleague in [name removed for
confidentiality] and just said, “Hey is there anybody that’s kind of out there wanting to
make a move into the high school?” Sometimes it works; sometimes it doesn’t. Regard-
less of whether it’s a director job or a principal job, I think there are good candidates,
good people that are in different districts. Sometimes it’s just using 6 degrees of separa-
tion to try to find them. You have to kind of seek out those people that you know and to
see if they have a connection to somebody out there they may know. (interview, June 24,
2019)
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 90
Superintendent A strategically used his professional networks when looking to hire. He utilized
his connections with people to ensure that he would find the right fit for the position.
During the qualitative interview, Superintendent B shared her perspective on the impor-
tance of networking through more formal networking opportunities in order to recruit prospective
candidates to her district. She used her connection through formal organizations, such as ACSA,
when she was looking to recruit principal candidates. Superintendent B felt that the relationships
that she built with people at networking events helped her to recruit:
Sometimes it’s the ACSA things that I go to. I talk to my connections there when I’m
looking for a principal candidate. I also talk to the people there that may be looking to
move districts. So, sometimes it’s the networking nights that you go to as an aspiring
principal when looking for a position. At these ACSA events, you know who those folks
are. You get to know them on a different level. You build relationships, and you trust
them to recommend people who would be a fit for your organization. (interview, July 15,
2019)
Superintendent B’s formal networking strategy helped her to recruit a candidate that would be a
good fit for her school district.
The use of networking by both superintendents supported the researcher’s theoretical
frameworks. By utilizing informal and formal networks the superintendents were operating in
Bolman and Deal’s (2017) symbolic frame. The symbolic frame views the organizational culture
and communicates what is important to the organization through the mission, vision, and values
(Bolman & Deal, 2017). By recruiting aspiring principals who were a fit for their organization,
these superintendents used the symbolic frame.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 91
Additionally, HR Administrator 2C shared how he intentionally networked with his col-
leagues through informal conversations to recruit potential candidates to his district:
I mean it’s a big world, but at the same time it’s a small world. And so in the world of
education, you’re always at conferences, or so on and so forth, and so there is some
networking there. So there is a little bit of who you know from another district that has
moved to another district. I mean, there is a lot of networking about a candidate through
word of mouth. That is a big part of it. Networking to find potential candidates is impor-
tant. (interview, August 1, 2019)
HR Administrator 2C thought that he recruited some of his best principals through networking
with his colleagues when he had a principal opening. Later in his interview, he shared that some
of his strongest instructional leaders came through networking. This theme aligned with the
researcher’s theoretical framework regarding the importance of being a lead learner in the
organization. The principal is the lead learner of a school; he or she is responsible for improving
teaching and learning and shaping all learning conditions (Fullan, 2014).
Immediate Supervisor 2C’s perspective on the importance of networking, through univer-
sity connections, to recruit candidates to principal positions when utilizing external recruitment
strategies was the following:
If they’ve come in from the outside, then they’ve almost 100% come in through a net-
working connection. We have principals who know people, and so often it’s through like
USC, honestly. Our USC ones are better at bringing in their friends from the outside—
people they met through their doctoral programs and opportunities like that. (interview,
August 1, 2019)
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 92
Later in the interview, he mentioned how his relationships with individuals in previous districts
was a networking strategy he utilized when recruiting for principal positions in his districts.
Also, he shared that he utilized the relationships that his principals had with individuals from
other districts when recruiting for a principal position. He thought that using relationships as a
networking strategy helped to recruit more qualified candidates.
Principal 1A’s perspective also confirmed the common theme of networking as a strategy
that principals can use to help them to be recruited for a principal position. Principal 1A identi-
fied that strong relationships with professional colleagues helped him to be recruited:
I personally reached out to the assistant superintendents of HR and met with them and I
asked for a meeting. I was able to receive a meeting with both, and so it allowed me to
pick their brains, and what can I do, how can I grow and learn from the first experience?
It also left them with a positive view of me. They remembered me, so much so that
[name removed for confidentiality] called me when they had a principal position. I’ve
always stayed in close contact with him. I’ve had several directors in different places that
have kind of moved around. I continue to cross paths with those people I’ve worked
with, so that’s been helpful. I’ve connected with them to get either my application looked
at for a position. That’s a huge piece—continuing to keep those relationships. (inter-
view, June 26, 2019)
Principal 1A sought to build these professional networks by reaching out to build relationships
with individuals with whom he had come in contact through working or interviewing in other
districts. He further shared that “without these relationships, I don’t think I would be sitting
where I am today” (interview, June 26, 2019). He utilized Bolman and Deal’s (2017) political
frame, discussed in the theoretical framework in Chapter Two, to make a conscious effort to
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 93
engage supporters and stakeholders to advocate for him throughout networking with professional
colleagues.
The quantitative survey data indicated that 77.4% of principals surveyed agreed or
strongly agreed that having a mentor and networking was an important factor in being recruited
into the principal position. The quantitative data revealed that 80.9% of respondents to the super-
intendents’ survey, 90.9% of respondents to the HR administrators’ survey, and 78.5% of respon-
dents to the immediate supervisors’ survey agreed or strongly agreed that having a mentor and
networking was an important factor in being recruited into the principal position. The quantita-
tive surveys from these participant groups confirmed the theme of the importance of networking
and mentoring in the principal recruitment process.
Principal’s Skill Set
A district’s recruitment strategies often are informal and rely on the reputation of the
district to fill open principal vacancies. Districts often seek out particular characteristics for a
principal position and look for candidates to possess a skill set that will match the needs of the
district and school site during recruitment efforts. It is important for districts to identify the
specific skills, characteristics, and qualities when hiring principals (Doyle & Locke, 2014). A
common theme across all qualitative interview participant groups across all districts was that the
particular skill set of the candidate is important during recruitment efforts.
During the interview, Superintendent A pointed out many skills, qualities, and character-
istics that he sought when recruiting principal candidates to his district:
They need to have the ability to analyze lots of information, a lot of data, because we’re
so overwhelmed with data. They need to be data rich and information rich, not data rich
and information poor. They really need to be able to figure out what it all means as it
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 94
relates to instruction and then to then build that forward with staff. They need to be
relatable. (interview, June 24, 2019)
Superintendent A further shared, “I think if you don’t have those features, I think you become the
principal manager, not the principal leader” (interview, June 24, 2019). This comment supported
the theoretical framework regarding situational awareness (Marzano et al., 2015). Superinten-
dent A wanted his principal leaders to be aware of the functions of the school and to respond to
each situation. This fact supported the literature in Chapter Two on situational awareness
because it is important for principals to be aware of the information and then appropriately
respond (Marzano et al., 2015).
The qualitative interview with HR Administrator 1C also confirmed the theme of the
importance of principals possessing a particular skill set during the recruitment process. HR
Administrator 1C looked for candidates with strong leadership skills. When asked by the
researcher during the qualitative interview about what qualities or characteristics he looked for in
a principal candidate, he responded:
Leadership. Someone who can build trust—someone who has a knowledge base. That
person has to also be able to speak and articulate a general vision. We look for someone
who has a past record of success. That’s important. One [thing we look for] . . . is
someone who’s willing to work hard and collaborate. We look for someone who can be
innovative with instructional practices and knows curriculum. Someone who is kind of
think-out-of-the-box person, in terms of how to move their site with instruction and take
data to the next level. (interview, August 1, 2019)
HR Administrator 1C’s response supported the literature on being able to identify a particular
principal skill set during the recruitment process (Doyle & Locke, 2014). He stated that these
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 95
qualities and characteristics were important to his district when recruiting candidates and that
they actively sought to find candidates that possessed this skill set.
When the researcher asked Immediate Supervisor 2C what qualities and characteristics
were the most important in the principal recruitment process, he identified instructional leader-
ship:
For us, they’ve got to be committed to student learning, not just a student’s first mindset,
but they are there to learn with the teachers about how students should learn. We want
them to believe that all kids can learn, but we also want them to participate with the staff
in that learning. They have to be on the cutting edge of instructional knowledge. (inter-
view, August 1, 2019)
This qualitative interview with Immediate Supervisor 2C supported the theoretical framework in
Chapter Two regarding the principal being the lead learner. The literature on the principal as the
lead learner indicates that the principal must lead teachers in the process of learning in order to
improve their instructional methods (Fullan, 2014). Immediate Supervisor 2C thought that it was
primarily the principal’s role to build the social capital of the individuals working at the school
site and to learn alongside them. Later on in his interview, he identified additional skills, quali-
ties, and characteristics that he thought were also important when recruiting principal candidates:
We want them to be able to really handle the public and have relationships with their
community. They are the district spokesperson at that school, and we lack the support to
be out at every school, so they’ve really got to carry the torch and message for us. But we
also want somebody who’s got a collaborative approach. (interview, August 1, 2019)
This perspective aligned with the theoretical framework literature in Chapter Two regarding
Bolman and Deal’s (2017) human resource frame. This interview confirmed the literature
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 96
because when principals are operating in the human resource frame, building relationships with
stakeholders and the needs of the organization are at the forefront (Bolman & Deal, 2017).
Additionally, when Principal 3B was asked during the qualitative interview what skills,
qualities, and characteristics made her the most qualified candidate when being recruited for the
position, she highlighted her instructional leadership:
I think that they really appreciate that I was in the classroom for so long and have a deep
knowledge of instruction. I have led district professional development on instructional
strategies and curriculum content, which I think made me more qualified than other
candidates. (interview, July 15, 2019)
She shared that she liked to build relationships with her team and how she thought her concept of
“to get the most out of your team and to have the community and teachers believe in you, you
have to have those relationships” (interview, July 15, 2019) helped her during the recruitment
process. This interview confirmed the literature in Chapter Two about principals being lead
learners. Part of Fullan’s (2014) theory of a lead learner is the social capital that goes along with
being a principal.
The quantitative survey data from the principals’ survey indicated that 97.3% of princi-
pals agreed or strongly agreed that having instructional leadership experience was an important
factor in being recruited into the principal position. The quantitative data from the superinten-
dents and HR administrators’ surveys showed 100% agreed or strongly agreed that having
instructional leadership experience was an important factor when recruiting for principal posi-
tions; 92.8% of immediate supervisors surveyed agreed or strongly agreed. Overall, the quantita-
tive surveys from these participant groups confirmed the theme of the importance of a principal’s
skill set in the recruitment process.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 97
Tapping and Leadership Development
Although not as strong as the first two themes developed related to Research Question 2,
a third theme was identified in the qualitative interviews: tapping individuals as a recruitment
strategy. This theme was noteworthy to the researcher because it supported the literature in
Chapter Two related to tapping and creating strong teacher leaders.
Districts often using the strategy of tapping to recruit teacher leaders to pursue principal
positions (Myung et al., 2011, Pijanowski et al., 2009; Whitaker, 2001). Recruiting leaders
through the use of tapping is one of the most common methods for districts to use when identify-
ing potential leaders into the field of administration (Farley-Ripple et al., 2012). Results from
this study that answered Research Question 2 confirmed a common theme that tapping was a
strategy that all participant groups utilized to help recruit for the principalship.
During the qualitative interview, Superintendent B shared that her district utilized inter-
nally recruitment strategies when looking for principals. She pointed out that due to the size of
her district, there were many unique factors that affected the recruitment of principals from other
districts. Superintendent B further shared that she utilized her directors and principals to help her
to identify potential principals to tap. She described how strong teacher leaders need “somebody
behind them saying, “You can do this. You should really apply for this job. This has your name
all over it. You would be really great at being a principal” (interview, July 15, 2019). Superin-
tendent B thought that for her district, tapping was a very effective recruitment strategy and had
helped her to recruit some of her most successful principals. This comment supported the liter-
ature that tapping is an effective recruiting strategy, as those individuals who understand the
complexities of the role tap teacher leaders who are better prepared for the position (Myung et al.,
2011).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 98
Immediate Supervisor 2C’s qualitative interview supported the literature on using tapping
to sustain a stable pipeline of principals within a district:
A lot of assistant principals, even if it’s not an official mentoring relationship, know or
are taken under the wing of another principal. That principal will tap them on the shoul-
der when they think they are ready and have the skills necessary to move into a principal
position. They will sit down with them and practice interview questions—kind of prepare
the way for that person by putting in a good word with the trustee, or the superintendent
or myself. Tapping is used to help us continue to develop our leaders from within the
district. (interview, August 1, 2019)
This interview also supported the literature on districts using internal recruitment of their teacher
leaders and assistant principals to develop highly skilled and qualified candidates from with
(Doyle & Locke, 2014; Myung et al., 2011; Pijanowski et al., 2009).
Additionally, in the qualitative interview with Principal 1A, he shared his experience in a
particular district of being tapped for a principal position while he was a TOSA:
I was also encouraged by colleagues to think about becoming a principal. They told me I
had the skills and personality for the job. When I was a TOSA in [name removed for
confidentiality], my supervisors coached me to get me ready for the principal hiring
process. They would give me responsibilities they knew I could handle and practices
what-if scenarios with me. As a TOSA, you were kind of in the inner circle and leader-
ship spotlight, there were so many people they would just pluck when they thought the
position was the perfect fit. You maybe wouldn’t even have an interview. They would
have called you and the board would be saying, “Congratulations, you’re the new princi-
pal at this school,” and you never actually applied. They had a pool of people, and then
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 99
you just waited for your shoulder to get tapped, which was interesting. That is how I got
my first principal position in [name removed for confidentiality]. (interview, June 26,
2019)
The interview with Principal 1A supported the theme of tapping as a recruitment strategy.
He was continually encouraged to apply for the principal position by his current administrators
and colleagues due to his leadership skills. This information supported the literature that tapping
helps to motivate potential leaders based on their ability to handle the challenges and complexi-
ties of the role (Farley-Ripple et al., 2012; Myung et al., 2011).
Data from other qualitative interviews did not contribute to or take away from the theme
of tapping. The lack of additional qualitative data about tapping as a recruitment strategy from
other study participants as well as quantitative data was a limitation of the instruments used in
this study. There were no data from the quantitative surveys with respect to superintendents, HR
administrators, immediate supervisors of principals, or principals that confirmed or disproved
this theme. Qualitative interviews and literature were used to confirm the importance of tapping
and leadership development within a district as a recruitment strategy.
Summary of Results for Research Question 2
The principal position is complex and challenging and requires districts and aspiring
principals to utilize particular recruitment strategies to ensure that the candidate is a fit for the
organization. The results of this study identified three common themes that answered Research
Question 2 on recruitment strategies. First, superintendents, HR administrators, and immediate
supervisors of principals found that networking, through informal and formal networks, was a
successful recruitment strategy. Principals thought that using networks was also a beneficial
strategy for recruitment. Second, all participant groups indicated that identifying a particular
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 100
skill set that candidates should possess was an important recruitment strategy. Finally, tapping
was another recruitment strategy utilized by districts to identify principal candidates.
The results of the quantitative survey data did not support the literature on a principal
shortage. Specifically, 53.5% of immediate supervisors of principals disagreed that their district
was experiencing a shortage of quality candidates for the position; 92.7% of HR administrators
and 76.1% of superintendents also disagreed that there was a shortage of quality principal
candidates. It is important for the researcher to note that in the districts participating in this
study, a principal shortage was not seen, even though this fact was strongly supported in the
literature.
Findings for Research Question 3
In order to better understand strategies used by districts and principals with regard to
retention in the principalship, Research Question 3 asked, “What are the perceived strategies that
support the retention of principals?”
At the school level, the principal is the focal point of leadership. Retaining principals in
the position can be a daunting task for many schools district; however, it is critical to retain
effective, stable, and consistent school leaders (Fuller, et al., 2015). Districts have a tremendous
need to retain individuals who are adequately prepared and highly skilled in the position (Beteille
et al., 2012). According to the literature, retaining principals in their positions beyond 3 years
has become increasingly challenging due to the demands and challenges of the job (Beteille et al.,
2012; Gajda & Militello, 2008; Superville, 2014). The longer a principal is retained in the posi-
tion, the greater the chances for positive changes and improved student achievement (Fuller et
al., 2015).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 101
Based on the data analysis of the qualitative interviews, quantitative surveys, and the
literature reported in Chapter Two, the following themes emerged as exerting information on the
retention of a principal:
1. Principals utilized mentors to help support their retention in the position;
2. Relationships among principals and district personnel had a positive impact on
principal retention in the position; and
3. Compensation plays a factor in a principal’s decision to stay in the position.
Following is a discussion on each of these themes:
Support Through Mentors
The prior literature reported that human contact and relationships help to support personal
growth and job satisfaction (Bolman & Deal, 2017). Mentoring helps to increase the effective-
ness of principals and the likelihood of principals being retained in the position (Gray, 2018). A
theme of this study also confirmed the prior literature with respect to mentoring supporting the
retention of principals. The following qualitative interviews contributed to this theme.
HR Administrator 1C confirmed the theme that mentors support retention of principals
because they provide a built-in support group at work:
Principals have their own professional teams within the larger elementary group, so that
they have mentors and colleagues within that realm. I think those are very helpful. We
try to foster strong relationships between them and their support groups, like their assis-
tant principal and other principals in their region. This helps them feel supported in the
work they do day to day. (interview, August 1, 2019)
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 102
HR Administrator 1C’s interview supported the literature that principals have others from whom
they can seek advice and support (Darling-Hammond et al., 2007). This informal mentoring
provides the support that principals need to be retained in the position.
During the qualitative interview with HR Administrator 2C, he shared the importance of
supporting principals through mentoring to confirm this as a retention strategy. When asked
what professional relationship support the retention of principals, he replied:
Very, very good mentoring, I think, is done on the part of [name removed for confidenti-
ality] and [name removed for confidentiality]. They are the ones that, in essence, oversee
the principals from an evaluation standpoint and provide mentorship. For secondary,
[name removed for confidentiality] and I work together to support our principals. . . . So
we team up to provide that mentorship support our principals need. So they’ve got
support from HR, from Ed Services, from—we call it student support services— which
would be our special education department. So a very collaborative approach from the
assistant superintendent level to provide guidance and help to mentor and support our
principals. (interview, August 1, 2019)
HR 2C recognized that supporting and mentoring principals would increase the likelihood of
retaining principals in the position, thus supporting the information found in past literature (Gray,
2018).
Immediate Supervisor 2C also contributed to the theme of having support through
mentoring as a retention strategy utilized by principals in his district. He noted that principals
who can find a mentor at the district office or a colleague who is an experienced mentor are
usually stronger and more effective principals in his district. During the qualitative interview,
when asked what professional relationships support retention of principals, he responded:
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 103
Any informal mentors they can find. We put them in groups. We have a PLC [profes-
sional learning community] focus, so it’s easier with secondary and elementary school.
They actually organize their teams. . . . There’s a lot of interaction and support amongst
colleagues. The table’s set, and we hope that they’ll continue talking and supporting each
other outside of these groups. (interview, August 1, 2019)
While Immediate Supervisor 2C shared this informal mentoring through PLC groupings, this
interview supported the benefit of reciprocal needs of the support and mentoring relationship
(Gray, 2018).
Immediate Supervisor 1B shared how his district had changed how mentoring works and
now used formal peer mentor assignments to support principal retention in the position. When
asked about professional relationships that support principal retention, he stated:
Now we’ve partnered people with a peer mentor in addition to what they’re going through
with admin. But within the district, similar to when teachers are partnered up with BTSA
[Beginning Teacher Support and Assessment] mentor teachers, but having a mentor
administrator, so somebody that they can feel free to ask questions to not feel embar-
rassed. I think that’s one thing that we started recently that I think is helping. (interview,
July 15, 2019)
The interview with Immediate Supervisor 1B confirmed the literature found in Chapter Two that
peer mentors support principal retention. These types of mentor relationship grow the knowledge
of both individuals in the partnership by providing opportunities for discussion around problems
and solutions (Syed, 2015).
The quantitative data from the surveys indicated that 100% of superintendents, 95.4% of
HR administrators, and 96.4% of immediate supervisors of principals agreed or strongly agreed
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 104
that having a mentor provides principals with processes or strategies that supported their success
in retaining their current principals. The data from the principals’ surveys showed that 92.1% of
principals thought that having a mentor provided them with processes or strategies that supported
their success in retaining their current positions; however, during the qualitative interviews with
the principals, no interviewees stated that a mentoring relationship supported their success in
remaining in their current positions. Only one principal interviewed during the qualitative
interview process spoke about direct support from the district as a strategy that retained him in
the position. This was a limitation of the qualitative interview instrument. The quantitative
survey data from these participant groups confirmed the theme found in the interviews and
literature that mentoring was essential to retain principals in the position.
Relationships Within the District
The theoretical framework of this study utilized Bolman and Deal’s (2017) four frames in
Reframing Organizations, as well as Fullan’s (2014) The Principal: Three Keys to Maximizing
Impact. Bolman and Deal’s human resource frame focuses on the relationships of people within
an organization, while Fullan’s district and system player key focuses on principals building
professional capital to maximize the outcome of the organization. Results from this study that
answered Research Question 3 confirmed a common theme that professional relationships within
a district supported a principal’s retention in the district. This theme supported prior literature in
the theoretical framework of this study. Following is a discussion on the perspectives of qualita-
tive interview participants individually.
When Principal 2A was asked about which professional relationships supported his
retention in the principal position, he mentioned the relationship that he had developed with his
principal peers but further stated that “very encouraging and supporting cabinet members” (inter-
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 105
view, June 26, 2019) played a role in this wanting to remain in his current district. Additionally,
when Principal 1A was asked about the professional relationship that supported his retention, he
responded:
It’s having a solid relationship with district office personnel. My superintendent’s my
boss, so I have to keep him happy, but it’s about being on the same page and being able to
have honest conversations about things. I’m transparent. I don’t hide anything because
you’re in a small district—he will find out. Having that relationship with him, and he’s—
that’s been very helpful. It’s also for here, too. It’s a small district school board
members. So we build relationships with the board members, but we’ve got to keep them
happy and it’s one more relationship that you have to nurture. (interview, June 26, 2019)
Principal 1A strongly pointed out the importance of relationships throughout his entire interview.
This finding contributed to the common theme of the relationships within the district as a reten-
tion strategy because “having positive relationships with district office personnel and board
members can build your professional capital with these groups” (interview, June 26, 2019).
During the qualitative interview with Principal 3B, she talked about working closely with
district office personnel to support her retention. When asked which professional relationships
supported her retention in the district, she stated:
I would say right now the director of student services. I worked closely with him, like
between our two directors in our district—we’ve all been on the team for—I’ve only been
in this district starting my 4th year, but still we worked as principals from the beginning
and the assistant sup was a principal with us in that 1st year. So the fact that we all
worked together and were an admin team before they moved into their other positions
helped me develop deep professional relationships with them. (interview, July 15, 2019)
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 106
Principal 3B credited her prior relationships with these individuals from the time she was a
teacher in the district. Over that time, she had collaborative relationships with these individuals
that supported her wanting to remain in the district. Principal 3B’s relationships within the
district supported the literature regarding Bolman and Deal’s (2017) human resource frame.
When interviewing Principal 1B about professional relationships that supported her
retention in her district, she stated that the thought that “the relationships and support from the
district is probably the most important in that you know that they have your back. I knew hands
down that they had my back and they supported my decisions” (interview, July 15, 2019). She
mentioned that if the district did not support her decisions, that factor would be the primary
reason that she would leave the district. Principal 1B stated that she had previously worked in a
district that did not support her decisions as a principal and that was why she was working in
District B.
HR Administrator 2C said during his qualitative interview that he believed “collegial
relationships amongst fellow principals, as well as relationships with people up at the district
office—that would be at the executive director, well, really, even director level and above—are
why principals remain in our district” (interview, August 1, 2019). Threaded throughout his
interview, HR Administrator 2C spoke about the importance of professional relationships to
prepare, recruit, and retain 21st-century principals. He frequently referenced how building and
having relationships with peers, supervisors, and stakeholders help principals to deal with the
challenges and complexities of the principalship. This opinion confirmed the literature found in
the researcher’s theoretical framework about principals forming productive partnerships to
ensure that they are more effective members of the larger organization and will want to remain in
the position (Fullan, 2014).
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 107
Quantitative survey data also supported the common theme of relationships within the
district as a successful retention strategy. The quantitative data from the surveys indicated that
100% of superintendents and HR administrators agreed or strongly agreed and 96.4% of immedi-
ate supervisors of principals agreed or strongly agreed that the relationships that principals have
with directors, assistant superintendents, and the superintendent supported their current success
in retaining principals in their current positions. Morever, 96.5% of principals surveyed agreed or
strongly agreed that relationships with those individuals in their districts supported their retention
in the principalship.
Compensation
Although not as strong as the first two themes that developed related to Research Ques-
tion 3 a third them was identified. The prior literature showed that principal retention was more
stable when principals were paid higher salaries with competitive benefit compensation (Baker et
al., 2010; Fuller et al., 2015; Papa, 2007). The literature also spoke to a disparity of pay based on
school levels; however, the qualitative interview participants in this study did not mention this as
a concern. The theme was noteworthy to the researcher because it appeared across multiple qual-
itative interviews. This study confirmed prior literature with respect to higher compensation
supporting the retention of principals.
When asked about the factors that impact principal retention during the qualitative inter-
view with Superintendent A, he stated:
We are the highest paid in the county. I think we’re close to the highest paid in the state
for administrators. I mean, you look at our salary schedule—we top out pretty high, but it
comes with its own set of challenges. There’s been a value in this district of trying to
recruit the principals and retention for pay. (interview, June 24, 2019)
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 108
He noted that once principals and even teachers came to his district, the compensation they
received could not be matched by any other district in the county. He stated that retention of
principals is not a problem and that he had had two principals who had been in their positions for
over 15 years. This information supported prior literature that retention is more stable with
higher salaries (Baker et al., 2010; Fuller et al., 2015; Papa, 2007).
Superintendent B also credited a similar strategy as Superintendent A for principal
retention with regard to compensation being used to support principal retention in her district.
However, she did add the combined benefit of a supportive culture in the district and a strong
compensation package constituted a strategy that helped with principal retention:
Salary is important. We pay well. We have good benefits, but then there are the side
benefits. We talked to most of our principals. They didn’t come here just because of the
big salary—they came here because they know they have a supportive culture. We’ve
created a little more financial incentive as well as bringing people from the outside when
they look at our salary schedule and those kinds of things comparative to other districts—
that it’s much more comparable. (interview, July 15, 2019)
During the interview, Superintendent B mentioned she had recently had two principals who left,
not for lateral moves but for promotions to direct level positions. She noted that she did not
think that “principals leave the district for higher paying principal positions” (interview, July 15,
2019). This information did not confirm what was found in the literature discussed in Chapter
Two. The research of Fuller et al. (2015) found that smaller districts provided a lower salary and
had a higher turnover rate.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 109
The qualitative interviews with both HR administrators in District C disclosed a competi-
tive compensation package that was used as a strategy to retain principals in their district. HR
Administrator 1C stated that
we do try to stay as competitive as we can with compensation. We’ve tried to do some
things in that past few years to make it so that the step-in columns come quicker than they
used to in our district. (interview, August 1, 2019).
HR Administrator 2C shared that “we were mindful about being competitive with our
salary, both total compensation and our per diem. We pay for professional organizations. So
some of those kinds of things help us keep principals in our district” (interview, August 1, 2019).
These interviews supported the literature findings that higher, more competitive salaries and
better compensation support principal retention.
One principal stated that he would remain in his current district due to his compensation:
[Name removed for confidentiality], it pays very well. It’s helpful to provide a comfort-
able living for my family. When I was a teacher and I was always looking to see what
principals made in my district, because you want to make as good a living as you can to
support your family. Now with this district, if I were to leave to jump to a director posi-
tion in a different district, my per diem is way less and potentially my annual salary is
way less. I would find it hard to leave this district. The position would have to be amaz-
ing for me to consider leaving. (Principal 1A, interview, June 26, 2019)
The remainder of Principal 1A’s interview responses continued to confirm the theme that higher
compensation is a retention strategy, as found in prior literature.
Quantitative survey data helped to support this common theme, but not as strongly as for
the other themes found in the study. The HR administrators who participated in the quantitative
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 110
survey contributed to the theme of compensation as determining a principal’s desire to continue
in his or her current position in that 57.1% of HR administrators surveyed agreed or strongly
agreed with this theme. Superintendents also contributed to this theme, with 57.1% surveyed
agreeing or strongly agreeing. Although not as strong, 53.5% of immediate supervisors of prin-
cipals surveyed agreed or strongly agreed with the theme that compensation determines a princi-
pal’s desire to remain in the position. Interestingly, only 45.2% of principals surveyed agreed or
strongly agreed that compensation determined their desire to remain in their positions.
The literature indicated that salary and compensation were one of the prime recurring
factors affecting principal retention relative to the responsibilities and complexities of the
position (Baker et al., 2010; Fuller et al., 2015). The quantitative data moderately supported the
importance of compensation as a retention strategy used by districts.
Summary of Results for Research Question 3
Although principals have arrived at their positions, districts still have to implement strate-
gies that support principal retention. Results of this study identified three themes that included
strategies that districts can take to support principal retention. First was having principals utilize
mentors to help support their retention in the position. Next, supporting relationships among
principals and district personnel has a positive impact on principal retention in the position.
Finally, compensation played a factor in a principal’s decision to remain the position in the
district.
Chapter Summary
Chapter Four presented the findings from the qualitative data collected by the researcher.
It presented a triangulation of data by utilizing surveys administered and literature reviewed to
increase the validity of findings. Conclusions, presented as emergent themes, were identified by
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 111
the researcher to answer the study’s three research questions regarding the preparation, recruit-
ment, and retention of principals in southern California. The themes were drawn from qualitative
interviews (Creswell, 2014) from 16 qualitative interview participants: two superintendents, four
HR personnel, three district personnel who were direct supervisors of principals, and seven site
principals.
Each research question elicited three strong themes in the interviews and surveys. Three
emergent themes were identified in relation to principal preparation: (a) that seeking learning
opportunities through leadership academies was perceived as better training programs than uni-
versity training program; (b) that job-related preparation through teachers leader opportunities,
TOSA positions, and taking on administrative roles and duties best prepared principals to man-
age the complexities and challenges of the principalship; and (c) that having mentors better
prepared principals and aspiring principals for the principalship. It is important for the researcher
to note that mentoring was a key theme found in the preparation and retention sections of Chapter
Two.
Three emergent themes were identified in relation to principal recruitment: (a) that the
use of networking was a strategy that superintendents, HR administrators, immediate supervisors
of principals, and principals used to help them fill or attain principal positions; (b) that the skill
set a candidate possessed, especially instructional leadership, was important in principal recruit-
ment efforts; and (c) that tapping was also a strategy that was utilized by districts to recruit indi-
viduals into principal positions.
Three emergent themes were identified in relation to principal retention: (a) that princi-
pals utilized mentors to help support their retention in the position, (b) that relationships among
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 112
principals and district personnel had a positive impact on principal retention in the position, and
(c) that compensation was a factor in a principal’s decision to stay in the position.
This chapter included a discussion on the study’s emergent themes that answered this
study’s three research questions. Chapter Five will present a summary of the study, limitations,
implications, recommendations for future study, and the study’s conclusion.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 113
CHAPTER FIVE: DISCUSSION, IMPLICATIONS, AND RECOMMENDATIONS
Purpose of the Study Restated
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of K-12 public school principals in southern California. Three leadership models
served as theoretical frameworks to guide this study: (a) Bolman and Deal’s (2017) organiza-
tional frames, (b) the leadership behaviors discussed by Marzano et al. (2005), and (c) Fullan’s
(2014) keys to maximizing impact. This study should serve to inform multiple stakeholders.
Superintendents, HR administrators, immediate supervisors of principals, and principals will all
be informed about the preparation, recruitment, and retention efforts of K-12 public school
principals.
The researcher of this study worked collaboratively with a team of 12 researchers from
USC’s Rossier School of Education to design the study, research questions, the qualitative
methodology, and the qualitative and quantitative instrumentation. The team also collaboratively
took quantitative survey samples from the four participant groups. The researcher worked inde-
pendently to gather independent qualitative interview data from three public school districts in
southern California. Qualitative and quantitative instruments were designed to align with the
research questions of the study and were aimed at exploring how principals are prepared,
recruited, and retained in their positions. The following research questions were developed to
guide this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 114
2. What are the perceptions of principals, immediate supervisors of principals, HR
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?
3. What are the perceived strategies that support the retention of principals?
Summary of Findings
The qualitative interviews and quantitative survey data revealed three major findings for each of
the three research questions. There was a high level of agreement between the survey and inter-
view data, that directly aligned with the literature, supporting the validity of the major findings.
Findings for Research Question 1
Research Question 1 asked, “How have training programs and professional experiences
prepared principals to manage the complexities and challenges of the principalship?” The first
key finding for preparing aspiring principals for the position was additional learning opportuni-
ties. District-level stakeholders have realized that relying on university preparation programs
was not enough to find qualified and skilled principals. Qualitative interviews with participant
groups identified that individuals who seek additional learning opportunities were perceived to
be better prepared for the principalship. These additional learning opportunities included district
leadership academies and ACSA academies that are designed to give aspiring principals practical
exposure to the challenges and complexities principals face in their respected districts. This
concept aligns with the contention of Turnbull et al. (2013) that districts can customize the
content of leadership academies to match their districts’ unique needs.
The second key finding was that job-related preparation before the principalship consti-
tuted highly desirable principal preparation. These experiences, such as teacher leader opportuni-
ties, TOSA positions, and taking on administrative roles and duties, best prepared principals to
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 115
manage the complexities and challenges of the principalship. According to the quantitative
survey data obtained from superintendents, HR administrators, and immediate supervisors, 100%
of the respondents agreed or strongly that prior job-related work experiences were more impor-
tant than university training in preparing principals for their current positions. This finding was
aligned with the literature that job-related leadership experiences allowed aspiring principals to
have the necessary exposure to real-context situations and the complexities of the position that
were lacking in many university preparation programs (Pannell et al., 2015). During the qualita-
tive interviews with superintendents and HR administrators, the participants highlighted the role
of AP, TOSA, and ETAP as being crucial job-related principal preparation experiences.
The third key finding was that having mentors better prepared principals and aspiring
principals for the principalship. Mentors helped to individualize aspiring principals’ preparation
to meet their needs to manage the challenges and complexities of the position (Bush, 2018).
During the qualitative interviews, the researcher found that 100% of principals interviewed found
that effective preparation for the position came from relationships that they had with mentors.
Each of the other participant groups also supported the importance of a mentoring relationship in
preparation for the principalship.
Findings for Research Question 2
Research Question 2 asked, “What are the perceptions of principals, immediate supervi-
sors of principals, HR administrators, and superintendents regarding strategies to recruit success-
ful principal candidates?” The first key finding was that employing networking was a strategy
that superintendents, HR administrators, and immediate supervisors of principals used to help to
recruit principals into positions. Principals also stated that networks and mentors helped them to
attain their positions. Networking by participant groups, especially superintendents, was
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 116
conducted formally and informally to recruit qualified candidates into positions. Each participant
group also shared that networking through mentors was an effective recruitment strategy used to
find highly qualified principal candidates.
When school districts are actively seeking to fill principal positions, the skill set that
candidates possess, especially instructional leadership experiences, was an important factor iden-
tified. District stakeholders often seek particular characteristics in principal candidates that are a
match to the needs of the district. Identifying these characteristics and skill sets is an important
part of a district’s recruitment efforts (Doyle & Locke, 2014). The interview and survey data
collected showed that instructional leadership was a highly valued skill that principal candidates
should possess, by all participant groups, when recruiting for the principal position.
An additional theme that was identified was candidate tapping as a recruitment strategy.
Tapping was also a strategy that was utilized by district personnel to recruit individuals into
principal positions. This theme was not as strong as the other two themes identified, but it was
mentioned across three of the four participant groups during the qualitative interviews. Tapping
was noteworthy to the researcher because it supported the literature found in Chapter Two. The
surveys did not include any questions related to this theme; thus, the surveys neither confirmed or
disproved this theme.
Findings for Research Question 3
Three last themes were identified in the study to answer Research Question 3, “What are
the perceived strategies that support the retention of principals?” The literature clearly supported
mentoring as an important factor in job satisfaction and person growth (Bolman & Deal, 2017).
A key theme that emerged through the qualitative interviews with superintendents, HR adminis-
trators, and immediate supervisors of principals was that principals utilized mentors to help
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 117
support their retention in the position. Interviews with principals did not state that mentors
played a role in their retention, but 92.1% of the principal survey participants responded that
mentors provided them with the processes/strategies that supported their retention in the position.
Another theme found was that relationships among principals and district personnel had a
positive impact on principal retention. The literature and theoretical frameworks utilized in this
study supported the need for relationships as a retention factor for principals in their position.
All principals interviewed and 96.5% of those surveyed indicated that professional relationships
with peers as well as district personnel impacted their decision to stay in the position.
Finally, a third theme was identified in the researchers’ qualitative interviews that was
important to note. Although it was not as strong as the other two themes, the third theme was
found across multiple participant groups. Through the interviews, the researcher that compensa-
tion played a factor in a principal’s decision to stay in the position. This theme was also found in
the prior literature. The survey data supported this theme, even though it was only moderately
supported. In all participant groups surveyed, there was a percentage of respondents who agreed
or strongly agreed that compensation supported principal retention.
Limitations
The research design of this study called for a concurrent data collection period between
the qualitative interviews and quantitative surveys. All participants groups were sampled over a
brief period of time. The location of the researcher limited the breadth of the study to only
southern California. Emerging themes were not found among all participant groups. Emergent
themes from qualitative interview participants were not necessarily identified by other interview
participants and supported by survey data due to the design of the semistructured interview
protocols and the quantitative survey questions. The qualitative and quantitative instrumentation
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 118
used in this study was also a limitation. Finally, qualitative and quantitative data were limited
due to the time constraints of collecting data and by the survey response rate.
Implications
The findings from this study should add to the current body of scholarly literature regard-
ing the preparation, recruitment, and retention of K-12 principals. Insights and perspective
gained in this study were from current superintendents, HR administrators, immediate supervi-
sors of principals, and active current principals. However, the information and insights found in
this study can be used by aspiring principals and other stakeholder groups for strategies to
support principal preparation, recruitment, and retention. There was evidence that mentoring was
an essential element in preparing, recruiting, and retaining principals because it provides a
network of support to help principals to understand the challenges and complexities of the
position.
The researcher offers the following suggestions to support aspiring principal candidates,
current principals, immediate supervisors of principals, HR administrators, and superintendents
as they reflect on their current practices:
1. As a result of this study, aspiring principals are informed on the preparation and skills
that will support their transition into the principalship. In this study, 100% of superintendents,
HR administrators, and immediate supervisors who participated pointed to the importance of
practical, job-related experiences that principals encounter before they enter the position is the
best preparation. Aspiring principals can begin their preparation by seeking leadership positions
to gain practical experiences that are valued by the stakeholders who hire and recruit for principal
positions. Aspiring principals should seek mentoring and networking opportunities with leaders
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 119
to obtain insight into the position and to help prepare them for the challenges and complexities of
the position.
2. Superintendents and HR administrators are offered insights to help them to recruit
high-quality principal candidates. Informal mentoring and networking channels are used to fill
open positions in districts. Aspiring principals should utilize mentors and networks, whether
formal or informal, to help them to be recruited into positions that are open in their current
district or in a new district. Relationships that current principals and aspiring principals develop
with mentors are also important factors in the recruitment process.
3. In order to be retained in their positions, current principals must utilize mentoring and
networking opportunities to support them with the challenges and complexities they face in the
position. Relationships with superintendents, HR administrators, and immediate supervisors can
contribute to ongoing principal retention. If principals do not feel supported and that they have
positive relationships with district-level personnel, they may leave the position. To retain
principals in the position, it is important for district-level personnel to build positive relationships
with, as well as provide the necessary levels of support to, the principals in the district.
Recommendations for Future Study
This study examined the preparation, recruitment, and retention of 21st-century K-12
principals. However, there are still areas that are worthy of further study. Based on the themes
of this study, the researcher identified the following future research recommendations:
1. Future research could include a study focused on principal preparation programs
through the university pipeline. Qualitative interviews and observations of university programs
could inform the development of future university programs. University principal preparation
programs should focus on finding a balance of theory and practical, job-related experiences.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 120
2. Future research could focus on specific recruitment strategies that districts utilize to
recruit the most qualified candidates. Districts should update principal position postings to
reflect the challenges and complexities of the principalship. Qualitative interviews with district-
level HR administrators could provide insights on the practices used to recruit candidates to the
district.
3. Future research could include a study on the perspectives from current principals to
determine what retention strategies districts are utilizing to keep principals in the position. In
this case, future research could include qualitative interviews and observations of principals,
immediate supervisors of principals, HR administrators, and superintendents to determine
strategies used by districts to support principal retention, the network of peers that principals tap
into support their retention, and whether principal resiliency effects retention. These recommen-
dations for future study could add to this study’s findings.
Conclusion
The 21st-century principalship is a challenging and complex position that has evolved
over time as roles, responsibilities, and expectations have continuously changed. The position is
multifaceted, and often aspiring principals do not fully understand the complexities of the princi-
palship (Baker et al., 2010; Kavanaugh, 2005). Aspiring principals must thoughtfully consider
the proper preparation, recruitment strategies, and skill sets for ongoing retention and success in
the position.
This was a study on the preparation, recruitment, and retention of K-12 public school
principals. Themes were drawn from qualitative data and supported by quantitative survey data
to answer the three research questions relating to principal preparation, recruitment, and reten-
tion. The research utilized various methods to ensure that data were collected ethically and that
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 121
themes reported were triangulated. Although there is no guarantee for a principal to be success-
ful in the position, aspiring principals can employ specific strategies to be prepared for being
recruited into the position. Current principals can use this study to take action to utilize strategies
that will support their retention in the position. This study has informed the reader on strategies
for 21st-century principal, recruitment, and retention.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 122
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Appendix A
RESEARCH PARTICIPANTS’ INVITATION E-MAIL
Dear _______________ [stakeholder group role],
I am a doctoral candidate in the Rossier School of Education at the University of Southern
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
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 134
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: __________________
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 135
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) ___________________________________________
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 136
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
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 137
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
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 138
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 139
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 140
17. The nonmonetary incentives offered by
my district were important factors in ap-
plying for the principal position in my
district.
18. The salary and benefits offered by my
district were important factors in apply-
ing for the principal position in my dis-
trict.
19. My previous experience in education
was an important factor in being
recruited into my current position as a
principal.
20. My previous experience outside of edu-
cation was an important factor in being
recruited into my current position as a
principal.
21. The reputation of my school district was
an important factor in applying for the
principal position in my district.
22. My level of understanding of district
initiatives and goals was an important
factor in being recruited into my current
position as a principal.
23. As an in-district candidate, networking
with district personnel was an important
factor in being recruited into my current
position as a principal.
24. As an out-of-district candidate, network-
ing with district personnel was an impor-
tant factor in being recruited in my cur-
rent position as a principal.
25. Having a mentor was an important factor
in being recruited in my current position
as a principal.
26. Being an employee of my school district
was an important factor in being
recruited into my current position as a
principal.
27. My participation in professional organi-
zations was an important factor in being
recruited into my current position as a
principal.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 141
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 142
36. Pressures from accountability measures
affect my desire to retain my position as
a principal.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 143
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 144
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 pro-
grams 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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 145
18. The reputation of my school district is an
important factor in candidates applying
for principal positions in my district.
19. Candidates’ level of level of understand-
ing of district initiatives and goals was
an important factor in being recruited
into principal positions in my district.
20. Networking with district personnel helps
candidates to get recruited into principal
positions in my district.
21. Having a mentor helps candidates to get
recruited into principal positions in my
district.
22. Being an employee of my school district
helps candidates to get recruited into
principal positions in my district.
23. Candidates’ participation in professional
organizations helps candidates to get
recruited into principal positions in my
district.
24. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) helps candidates to get
recruited into principal positions in my
district.
25. Having instructional leadership experi-
ence is an important factor in recruiting
for principal positions in my district.
26. My district is experiencing a shortage of
quality candidates for the principal posi-
tion.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 146
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 147
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 148
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 149
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 150
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 151
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 152
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 153
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 154
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.
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 155
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?
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 156
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?
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 157
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?
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 158
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?
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 159
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?
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 160
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?
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 161
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?
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 162
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?
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 163
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 K-12 public school principal is a key player who ultimately impacts student achievement. The role of the principal has evolved over time, and 21st-century principals must be prepared to navigate the daily challenges and complexities of the position to successfully influence student achievement. A qualitative approached was utilized for data collection and analysis. This study examined the preparation, recruitment, and retention of K-12 public school principals in southern California. The three research questions of this study sought to understand the process of principal preparation, recruitment, and retention from various stakeholder groups. Perspectives from the qualitative participant groups, superintendents, human resources administrators, immediate supervisors of principals, and principals served to answer the research questions. The common themes found in this study were also triangulated by quantitative survey data and scholarly literature. Nine themes emerged regarding principal preparation, recruitment, and retention: (a) that seeking learning opportunities through leadership academies was perceived as better training than university training programs

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Asset Metadata

Creator Braun, Kerri (author)

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

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 job-related preparation,mentors,networking,OAI-PMH Harvest,principal compensation,principal preparation,principal recruitment,principal retention,Relationships,skill set,tapping,teacher leader opportunities

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 kerribra@usc.edu,klbraun13@gmail.com

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-306862

Unique identifier UC11664023

Identifier etd-BraunKerri-8510.pdf (filename),usctheses-c89-306862 (legacy record id)

Legacy Identifier etd-BraunKerri-8510.pdf

Dmrecord 306862

Document Type Dissertation

Rights Braun, Kerri

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