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

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

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Content Running head: PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 1
AN ANALYSIS OF THE PREPARATION, RECRUITMENT, AND RETENTION OF
PRINCIPALS
by
Leo Fitzgerald Magallón
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 Leo Fitzgerald Magallón
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 2
Dedication
This work is dedicated to my beautiful wife, Esmeralda. Along this 3-year journey, she
has sacrificed so many things in order to ensure that I would be successful in all of my endeavors.
Only she knows how many long nights were spent and how many difficult decisions were made
while I was working on this dissertation. Her encouragement and support were what always kept
me moving forward.
This work is dedicated to my son, Liam, who was born just 2 months before I completed
this paper. His birth changed my outlook on life. He is my motivation to continue to work hard
and to continue to fight on behalf of all of my students. My hope is that this accomplishment
also motivates him to do his absolute best in all that he does in life.
This dissertation is further dedicated to my dad, who showed me the value of hard work
and respect. He dedicated himself to ensure that my siblings and I had what we needed to be
successful in life.
Finally, this work is dedicated to my school, the Boyle Heights STEM Magnet High
School. Every single person at my school site supported me throughout this process every step of
the way. I have learned so much from everyone there, and I have had experiences that I will
treasure forever. I needed each and every one of them to get through this.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 3
Acknowledgments
I would like to acknowledge my dissertation chair, Dr. Michael Escalante, who guided
our dissertation group through this journey and motivated us to believe in ourselves throughout
our study. I would also like to acknowledge the support and expertise of the rest of my disserta-
tion committee: Dr. David Cash, Dr. Owen Crosby, and Dr. Michele Doll. Their confidence in
us to do well pushed us forward to complete this study.
I acknowledge the participants of this study—superintendents, human resources adminis-
trators, supervisors of principals, and current principals—for taking the time to share their expe-
riences with me. Their insights have provided a path for me to follow as I move forward in my
career as an educator.
I acknowledge my dissertation team members from our Thursday night cohort. It has
been an incredible journey, and I thank them all for the opportunity to learn and grow along with
them. I thank them for always valuing my experiences and taking the time to mentor me as we
moved forward. I could not have done this without all of them.
I acknowledge my professors from Occidental College who first took me under their
wings 15 years ago and believed that I could accomplish more than I thought I could. I thank Dr.
Adelina Alegria, Dr. Ronald Solorzano, Dr. La Mont Terry, and Dr. Adrian Hightower.
I acknowledge my team at Boyle Heights STEM Magnet High School, including my
students. I thank them for always checking in and providing the encouragement to give me the
confidence to do my absolute best.
Finally, I acknowledge the ladies of USC Town & Gown for their financial support and
providing a safe space to share my story and desire to help students succeed. Thanks to everyone
at USC Rossier and the Trojan family for their support and encouragement. Fight On!
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 4
Table of Contents
Dedication 2
Acknowledgments 3
Abstract 7
Chapter One: Overview of the Study 9
Background of the Problem 9
Statement of the Problem 10
Purpose of the Study 11
Research Questions 11
Importance of the Study 12
Preparation Programs 12
Recruitment 13
Retention 13
Limitations of the Study 13
Delimitations of the Study 14
Assumptions 14
Definition of Terms 15
Organization of the Study 17
Chapter Two: Review of the Literature 18
History of the Principal’s Position 18
The Principal Teacher 19
The Principal as General Manager 19
The Principal as Professional and Scientific Manager 20
The Principal as Administrator and Instructional Leader 22
The Principal as Curriculum Leader 23
Preparation for the Principalship 24
University Preparation Programs 24
State Certification 27
Alternative Preparation Programs 28
Limitations of Programs 31
Recruitment of the Principal 32
Reasons for Not Applying to Principal Position 33
Recruitment Strategies of Quality Candidates 34
Retention of the Principal 37
Mentoring 38
Coaching 39
Professional Organizations 40
Theoretical Framework 42
Four Frames Model of Leadership 42
School Leadership That Works 45
The Principal: Three Keys to Maximizing Impact 48
Conceptual Framework 50
Chapter Summary 50
Figure 1. Conceptual framework for study 51
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 5
Chapter Three: Research Methodology 53
Research Questions Restated 53
Research Design 54
Qualitative Research 54
Conceptual Framework 56
Research Team 56
Population and Sample 56
Access and Entry 57
Instrumentation 58
Quantitative Instrumentation 58
Qualitative Instrumentation 59
Data Collection 59
Data Analysis 60
Ethical Considerations 61
Chapter Summary 62
Chapter Four: Findings 63
Purpose of the Study Restated 64
Study Participants 65
Qualitative Interview Participants 65
Quantitative Survey Participants 66
Table 1. Summary of Quantitative Survey Participants Based on Their Position 67
Findings for Research Question 1 67
Ineffective Preparation Programs 68
Leadership Activities 74
Seeking Learning Opportunities 76
Summary of Results for Research Question 1 79
Findings for Research Question 2 79
Mentoring 80
Professional Relationships 83
Varied Leadership Roles 86
Summary of Results for Research Question 2 88
Findings for Research Question 3 89
Networking and Mentoring 93
Positive Relationships 93
Financial Compensation 94
Summary of Results for Research Question 3 97
Chapter Summary 97
Chapter Five: Discussion, Implications, and Recommendations 99
Purpose of the Study Restated 100
Summary of Findings 101
Research Question 1 101
Research Question 2 102
Research Question 3 103
Limitations 103
Implications 104
Recommendations for Future Study 105
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 6
Conclusion 106
References 109
Appendices
Appendix A: Research Participants’ Invitation E-mail 118
Appendix B: Informed Consent 119
Appendix C: Principal Survey 120
Appendix D: Human Resources Administrator Survey 128
Appendix E: Immediate Supervisor of Principal Survey 132
Appendix F: Superintendent Survey 136
Appendix G: Principal Interview Guide 140
Appendix H: Human Resources Administrator Interview Guide 142
Appendix I: Immediate Supervisor of Principal Interview Guide 144
Appendix J: Superintendent Interview Guide 146
Appendix K: Question Alignment Matrix 148
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 7
Abstract
The function of the principal has expanded greatly as accountability measures from district and
state mandates have increased the responsibilities that are required for the position. As school
district leadership has decentralized its direct role at school sites due to increasing bureaucracy,
the principal now must deal with transforming, restructuring, and stabilizing school sites while
meeting the needs of multiple stakeholders. This qualitative study provided insight into the
perspectives of current principals, immediate supervisors of principals, human resources admin-
istrators, and superintendents on the preparation, recruitment, and retention of the principal in
southern California public schools. Participants from 37 public school districts provided qualita-
tive interviews and completed quantitative surveys to answer the study’s three research questions
through common emerging themes. The three research questions of this study were aimed to
understand principal preparation, recruitment, and retention. Traditional preparation programs
do not adequately prepare emerging leaders for the role of the principalship; however, out-of-
classroom leadership activities allow teachers to develop relevant on-the-job skills, and actively
seeking learning opportunities beyond the classroom allow prospective principals to strengthen
existing skill sets. Engaging with mentors to develop social capital, developing meaningful
professional relationships to develop new skills, and having a variety of leadership roles were
effective recruitment strategies for principals. Active participation in professional organizations
and creating positive relationships within school districts were effective retention strategies by
principals. Additionally, principals do not leave their positions based solely on their salary.
Future research could include case studies of effective preparation programs, the effects of the
recently implemented California Administrator Performance Assessment, and a focus on specific
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 8
on-the-job experiences that many applicants lack and how districts can develop systems to
strengthen those skills.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 9
CHAPTER ONE: OVERVIEW OF THE STUDY
The role of the school principal is one that has become multidimensional and complex,
given the increased national focus on accountability, parental options, and expanded local control
(Kafka, 2009; Pepper, 2010). The principal is the face of a school site and is responsible to meet
the needs of their stakeholders and ensure that district, state, and federal priorities are met while
improving student achievement. Although the importance of the principal in increasing school
effectiveness has been recognized for many years (Rice, 2010), there is a growing need for
districts to examine best practices in relation to the principalship.
The study deals with the preparation, recruitment, and retention of the principal. This
chapter contains the background of the problem, the statement of the problem, purpose of the
study, research questions, importance of the study, limitations of the study, delimitations of the
study, assumptions, and a definition of terms.
Background of the Problem
The function of the principal has expanded greatly as accountability measures from
district and state mandates have increased the responsibilities that are required for the position,
and many potential candidates do not recognize the complexity of the position (Baker, Punswick,
& Belt, 2010; Kafka, 2009; Kavanaugh, 2005). Most principal candidates hold the necessary
prerequisites but do not have a thorough understanding of the requirements of the job. As school
district leadership has decentralized its direct role at school sites due to increasing bureaucracy,
the principal now must deal with transforming, restructuring, and stabilizing school sites while
meeting the needs of stakeholders who range from students and staff to district administration
and community partners (Brown, 2011). The responsibilities of the principalship have become
more challenging and complex due to decades of mandated reform, rapidly changing
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 10
demographics, technological advances, and dwindling financial support for schools (Fullan,
2014; Hoyle & Wallace, 2005; Marzano, Waters, & McNulty, 2005; Spillane & Lee, 2014).
Although many principals are successful in the position, the pipeline of aspiring principals with
potential for success may be insufficient (Meyer & Feistritzer, 2003; Normore, 2006). Given the
ever-evolving landscape and the various challenges of public education, the position requires
candidates with a wide array of skills to successfully lead a school. Due to these existing chal-
lenges, the road to the principalship is one that requires further investigation.
Statement of the Problem
Originally developed as a middle-management role to link district initiatives to school
site actions as the bureaucracy of educational systems grew (Rousmaniere, 2007), the function of
the principal has expanded greatly in the last few decades as accountability measures from
district and state mandates have increased the responsibilities that are required for the position
(Brubaker, 1995; Kafka, 2009). As a result, aspiring principals must consider the most adequate
preparation programs, recruitment strategies, and skill sets for ongoing retention to have mean-
ingful and lasting success in the position. Preparation programs, both within and out of univer-
sity settings, have attempted to train prospective principals and prepare them for the complexities
of the position; however, many have fallen short in their efforts (Brown, 2011; Davis & Darling-
Hammond, 2012; Hess & Kelly, 2007; Jackson & Kelley, 2002; Korach & Sanders, 2012).
Although there is a surplus of possible candidates, there also exists an increasing decline in
interest in the position (Bloom, Castagna, & Warren, 2003; Gajda & Militello, 2008; Pijanowski,
Hewitt, & Brady, 2009), which may indicate that recruitment strategies should be analyzed.
Supports for current administrators have contributed to many principals’ ongoing success in the
position (Brown, 2011); however, principal turnover still remains high (Pijanowski et al., 2009).
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 11
These inadequacies signify an overall problem in the areas of the preparation, recruitment, and
retention of principal candidates.
Purpose of the Study
The purpose of this study was to gain insight into the perspectives of current principals,
immediate supervisors of principals, human resources administrators, and superintendents on the
roles of preparation programs, recruitment strategies, and systems of retention in relation to the
position of the principal. It also serves to inform aspiring principals of best practices and to
provide a guide that a candidate can use on his or her career path toward the principalship. Uni-
versity and nonuniversity programs may also use the results of this study to modify and adapt
their existing preparation programs to meet the needs of future candidates and school districts.
Finally, supervisors and district personnel may use the information in this study to update exist-
ing policies to more effectively recruit and retain desired principal candidates. While the most
significant direct influence on student achievement is the teacher, the second most critical influ-
ence 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 support and retention efforts that districts must use to keep principals in this crucial
role.
Research Questions
The following research questions guided this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 12
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?
Importance of the Study
This study should serve to inform multiple stakeholders of the preparation programs,
recruitment strategies, and systems of retention that closely affect principal candidates. It was
meant to help to gain information that would benefit aspiring principals, principal supervisors,
human resources administrators, and superintendents in their efforts to improve students’
achievement through site-based leadership.
Preparation Programs
Principals have a huge responsibility as the primary decision makers at a school site and
must take into account their stakeholders; staff performance; and development, students’ needs
and achievement; and district, state, and federal mandates (Ng, 2015). As a result of the critical
need to effectively transition into the role, the preparation of principals has been a topic of much
debate for at least 20 years (Hackmann & Wanat, 2007). Inconsistent implementation of curricu-
lum, professional standards, expectations, and features of principal preparation programs have
come under scrutiny and criticism (Hale & Moorman, 2003; Hess & Kelly, 2005; Jackson &
Kelley, 2012; Korach & Sanders, 2012) and have forced many universities to drastically alter and
adapt existing programs to meet the needs of school districts while also forcing alternative paths
towards licensure (Hale & Moorman, 2003). This study analyzed a variety of principal prepara-
tion programs that serve to inform all relevant stakeholders.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 13
Recruitment
Superintendents have indicated that there is a shortage of quality principal candidates
(Whitaker, 2001) and expect to have 40% fewer candidates for principal positions compared to
15 years ago (Pijanowski et al., 2009). Although there are more candidates with the required
credentials than there are listed positions, there is a decline in interest in the principalship (Bloom
et al., 2003; Gajda & Militello, 2008, Pijanowski et al., 2009). Existing barriers to applying to
the position (Pijanowski et al., 2009; Whitaker, 2001) in combination with the increasing
demands of the role (Dipaola & Tschannen-Moran, 2003; Whitaker, 2001) have created an
urgent need to evaluate existing strategies to recruit principal candidates. This study should help
stakeholders to gain insights into recruitment strategies that may help improve existing methods
already in place.
Retention
There are limited formal strategies that help retain standing principals in their current
positions. Over half of standing principals will leave the position within 5 years, and over 75%
leave within 10 years (Fuller, Young, & Orr, 2007). Inconsistent leadership at school sites may
not allow the growth of student achievement and create a climate of uncertainty among staff.
This study should help to reveal that there exists a need to evaluate systems of support for the
retention of principals at school sites.
Limitations of the Study
To provide full disclosure, a set of limitations are identified for this study. One limitation
was the fact that the validity and reliability of this study were subject to the responses of the
voluntary participants in the study. The participants of this study were individuals located in
southern California, specifically in Los Angeles County, the Inland Empire, San Diego County,
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 14
and Orange County. Survey questions and interview questions were administered to participants
who met specific inclusion criteria and were therefore part of a purposive sampling process. The
results of the study were limited to the self-reported data collected from participants who
responded voluntarily to survey and interview questions. Finally, it is possible that there might
have been sources of bias in either a participant’s interpretation of questions and the researcher’s
interpretation of responses.
Delimitations of the Study
There were several delimitations that were set for this study. One delimitation was that a
purposeful sample was taken of principals, immediate supervisors of principals, human resources
representatives, and superintendents. Additionally, due to geographic constraints, the researcher
collected only a convenience sample from the stakeholders listed above. Participants selected
were limited to those in Los Angeles County, San Diego County, Orange County, and the Inland
Empire. Finally, the research team carried out the study and its results collaboratively and
ethically.
Assumptions
The results of this study were based on the assumptions that all participants would
respond truthfully. Superintendents, human resources representatives, and immediate supervi-
sors were asked to consider competent and experienced principals when providing their
responses to survey and interview questions. It was also assumed that all information collected
would be useful and important and would contribute to the body of literature on the preparation,
recruitment, and retention of principals.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 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
(ACSA, 2019).
Beginning or novice principal: A principal who has been in the principalship for less than
4 years.
Change agent: A leader who challenges the status quo (Marzano et al., 2005).
Coaching: A task-oriented, performance-driven relationship with a focus on increasing an
individual’s specific skills.
Colleagues: Peers who work in the same profession and are at the same level in their job.
Convenience sample: A sample that selects research participants based on their ease of
availability.
Direct supervisor: A district office administrator who oversees the evaluation and
mentoring of a site principal.
Human resource administrators: Those working in the human resources department of a
school district and who oversee hiring practices.
Job satisfaction: A general feeling or attitude toward the job (Brayfield, Wells, &
Strate, 1957).
Mentee: Person who is the “learner” in the mentoring relationship (Kerka, 1998).
Mentor: Individual who holds experience and knowledge and works with others to
develop their skills (Cohen, 1995).
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 16
Mentoring: A relationship focused on developing an individual professionally and
personally.
Mentoring: A relationship in which an experienced person provides guidance and
support to a less experienced person (Haney, 1997).
Opportunities for Promotion: A subcategory of the Job Description Index that refers to
advancement possibilities within the organization (Balzer et al., 1997).
Pay: A subcategory for the Job Description Index that describes the monetary compensa-
tion for the job (Balzer et al., 1997).
Preparation programs: A university, professional organization, or embedded training
that supports a principal candidate in obtaining the skills necessary for the principalship.
Principal: Person whose main responsibility is to serve as the educational and instruc-
tional leader of the school (Brayfield et al., 1957; Waters, Marzano, & McNulty, 2003).
Principal recruitment: The process or strategies used by aspiring principals to obtain their
first principalship.
Principal retention: The process or strategies used by a principal or district personnel to
support the retention of the position.
Principalship: One who holds a position of presiding rank, especially the head of an
elementary school, middle school, or high school.
Protégé: Person who is being mentored.
Purposive sampling: Selecting participants based on specific characteristics (Maxwell,
2013).
Supervision: A subcategory of the Job Description Index which refers to the boss or
manager of the employees (Balzer et al., 1997).
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 17
School district: A local education agency that operates schools in a local geographic
location.
Superintendent: The administrator or manager in change 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.
Work on Present Job or Present Job: A subcategory of the Job Description Index refer-
ring to the requirements and conditions of the job (Balzer et al., 1997).
Organization of the Study
This section details the structure and sequence of this research study. Chapter One has
provided an overview of the study and the principal concept studied. This includes a background
of the study, statement of the problem, importance of the study, the research questions, and
definition of key terms. Chapter Two is a review of relevant literature on the principalship with a
focus on principal preparation programs, recruitment strategies for principals, and systems of
retention for principals. Chapter Two also provides the theoretical and conceptual frameworks
that guided the focus of the study. Chapter Three delineates the methodology employed in the
study, including the research questions, a description of the sample and population, data collec-
tion methods, the instrumentation, data collection procedures, and the data analysis process.
Chapter Four reports the findings of the study and their relation to the research questions. Finally,
Chapter Five presents a summary of the study, the study’s conclusions, and the study’s implica-
tions and recommendations for further research.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 18
CHAPTER TWO: REVIEW OF THE LITERATURE
Originally developed as a middle-management role to link district initiatives to school
site actions (Rousmaniere, 2007), the function of the principal has expanded greatly in the last
few decades as accountability measures from district and state mandates have increased the
responsibilities that are required for the position (Kafka, 2009). As a result, the principal has a
complex role in transforming, restructuring, and stabilizing school sites while meeting the needs
of stakeholders ranging from students and staff to district administration and community partners
(Brown, 2011). Given the ever-evolving landscape and the various challenges of public educa-
tion, the position requires candidates with a wide array of skills to successfully navigate a school
site.
This chapter provides a context of the relevant literature that helps to identify characteris-
tics of the preparation, recruitment, and retention of the principal. In doing so, it is organized
with literature related to the history of the position, preparation programs for the position, recruit-
ment practices to attract quality candidates into the position, and strategies used at the district
level to retain candidates in the position. The chapter concludes with the leadership frameworks
that were used to guide the development of the study and help to interpret its findings.
History of the Principal’s Position
The role of the principal is one that has undergone many transformations based on the
requirements of both external and internal factors that are a reflection of society at large. The
work of Brubaker and Simon (1986) defined five major conceptions of the role of principal as it
has evolved based on the needs of the educational system in which it has operated: the principal
teacher, the principal as general manager, the principal as professional and scientific manager,
the principal as administrator and instructional leader, and the principal as curriculum leader.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 19
The Principal Teacher
In 1647, as the state of Massachusetts established its own general school laws, there came
the necessity to establish a leadership position for schools that had more than one teacher. This
one person became known as the head teacher, or the headmaster, who was appointed by the
school board and whose primary role was still largely instruction but became increasingly admin-
istrative as the size of the school grew (Brubaker & Simon, 1986; Kavanaugh, 2005). Initially,
the principal teacher had extremely limited influence over staff and was simply asked to follow
the demands of the school board and to perform the clerical and janitorial work that was neces-
sary at the school site (Brown, 2011). As schools further increased in size and complexity, there
was a greater need to complete administrative and clerical work that freed the principal teacher
from much of his or her classroom responsibilities, but the role as a figure of authority at the
school site was unclear (Brubaker & Simon, 1986). The principal teacher became someone who
was both able to communicate with members of the community as a school representative and
also carry out school board mandates.
The Principal as General Manager
Around 1850, the increased administrative role of the position transformed the principal
into a general manager of the school site with allocated resources that further implemented a
hierarchical organization system in which the principal became a direct liaison between the
district and the school (Brubaker & Simon, 1986). The change was aligned with a shift in public
ideology of educational systems from a status symbol to a necessity to build nationalism and
create good citizens (Brown, 2011). As school boards ballooned to up to 500 members to meet
the demands of personnel, finances, and daily operations of the schools they served, the princi-
pal’s position was formally established as a means to making direct, site-based responsibilities
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 20
the role of a single person (Brown, 2011). Of the new responsibilities for the principal, that of a
supervisor of minimally qualified teachers, proved to be one of the most difficult tasks. Given no
formal training on how to be a supervisor, principals were now expected to perform classroom
observations, conduct individual conferences with teachers, manage testing and measuring, give
teaching demonstrations, and lead teacher meetings (Pierce, 1935). Eventually, the principal was
granted the right to give and enforce orders, including hiring, promoting, and releasing teachers
(Brubaker & Simon, 1986; Kavanaugh, 2005). As a result, the principal began to gain critics as
the position was looked upon as someone who simply followed the orders of a superior, dis-
played an overall lack of professionalism, and was not seen as an innovator to improve school
site conditions (Brubaker & Simon, 1986).
The Principal as Professional and Scientific Manager
The development of an organization of elementary school principals in 1921 with the help
of the U.S. Department of Education began to professionalize the role of the principal (Brubaker
& Simon, 1986; Kavanaugh, 2005). As associations of principals began to be established
throughout the country, there was an interest in the systematic study of the principalship, with
articles highlighting professional activities and university-based training programs that were
being developed to help to establish a solid knowledge base and to create common standards of
practice (Brown, 2011; Brubaker & Simon, 1986). By 1932, nearly half of the states had adopted
certification standards (Brown, 2011) and the principal became a scientific manager, using the
mindset of a business executive to run school budgets, maintenance, and pupil accounting while
using research-based practices to solve site-based problems (Kavanaugh, 2005).
By the end of World War II, there were over 125 principal preparation programs in the
country. Nearly all states required some sort of certification, and 38 states required graduate
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 21
degrees to move into the position (Brown, 2011; Kavanaugh, 2005). At this point, the principal
became a democratic leader focused on human relations, being a consultant for the staff, a public
relations representative to the community, and a leader for the school site (Brown, 2011; Kava-
naugh, 2005). As a result, the principal began to collaborate with teachers to develop and imple-
ment curriculum and to become directly involved with the school’s instructional program to
communicate site-based goals with the community and the school board (Brown, 2011; Kava-
naugh, 2005).
The 1950s brought about a synthesized approach to the principalship, combining aspects
of the scientific approach to management along with the human relations approach from the
1940s (Kavanaugh, 2005). The end of World War II and the Russian launch of Sputnik created a
change in the ideological tone of the education system, with a greater emphasis on the areas of
the military (Brown, 2011). Principals took on management roles including instructional shifts in
science education, updating facilities, and recruiting teachers (Brown, 2011). Similarly, prin-
cipals took on clear leadership roles in helping to develop curriculum and to implement research-
based practices to improve instructional outcomes (Brown, 2011; Kavanaugh, 2005).
The approach of the principal in the 1960s was that of a bureaucratic executive who used
measurable outcomes and a technical approach to measure growth and progress (Kavanaugh,
2005). The social and political uprising of the decade called for the decentralization of schools to
help to correct racial and financial inequities (Brown, 2011). As a result, the principal was forced
to deal with conflicting expectations of stakeholders. This situation caused a decrease in the
focus on instructional management and an increase in performance-based accountability
measures and strategies for management and organization to maintain stability on school sites
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 22
(Brown, 2011; Kavanaugh, 2005). Also in this decade, the position lost much of its prestige as
people began to think that the role could easily be taught and learned (Kavanaugh, 2005).
The Principal as Administrator and Instructional Leader
The social climate of the 1970s, which included racial tension and substance abuse,
forced the principalship to take on many new roles and turned principals’ attention away from
academic leadership (Brown, 2011). They were held responsible to handle federally funded
programs to serve specific populations in their school site. In this era, the principal was known
as the humanistic facilitator, juggling the needs of different stakeholders, being a team player
rather than an authoritarian, and focusing on meaningful learning (Brown, 2011). This change in
roles included serving as negotiator related to union demands and teacher contracts and becom-
ing more politically active and present in the community that they served (Brown, 2011). As a
result, principal preparation programs integrated content from sociology, psychology, economics,
public administration, and political science to reflect the growing demands of the profession
(Brown, 2011).
The principal of the 1980s emerged as an administrator and instructional leader who led
the push to the improvement of school instructional programs (Brown, 2011). The publication of
A Nation at Risk (National Commission on Excellence in Education, 1983) early in the decade
influenced the development of many new education reforms that transformed schools into effi-
cient factories of learning that were overseen by tightened learning standards and increased
accountability measures (Brown, 2011). As a result, the responsibilities of the position greatly
expanded to that of a resource provider, a manager of people, an implementer of policies, and a
provider of resources to facilitate the teaching and learning process for both teachers and students
(Brown, 2011; Kavanaugh, 2005). This enhanced role evolved as a response to education policy
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 23
that was being implemented at the time and pushed the principal to move beyond the program
management mindset that was in place during the previous decade (Brown, 2011).
The Principal as Curriculum Leader
A second wave of educational reform followed in the 1990s and introduced the term
restructuring, which caused schools to be seen as initiators of change rather than implementers of
the ideas of others (Brown, 2011). This meant that teachers were viewed as experts in their fields
and empowered them to enact meaningful changes at their school sites to improve student
achievement. This change required principals to transform into a leader of teachers whereby they
focused on staff development and capacity building to highlight the ability of teachers to find and
solve existing problems (Brown, 2011). This situation required the principal to be responsive to
aspects such as changing demographics to meet the needs of English learners, children living in
poverty, and enrollment changes in the student body (Kavanaugh, 2005). In addition, the posi-
tion faced increased pressure to be accountable to state testing measures and to maintain enroll-
ment, given the evolving landscape of education through the development of charter schools in
the country (Brown, 2011).
At the turn of the decade, the principal was faced with leading complex educational
structures in an age of increasingly standardized, test-based accountability; regulated,
achievement-based funding at the state and federal levels; and implementation of academic
standards (Brown, 2011). As leaders of learners, the principal was expected to have a wide range
of skills to become change agents at their school sites and facilitators of a learning community
through a student-centered lens, all while meeting the contradictory needs of their stakeholders
(Brown, 2011; Kavanaugh, 2005).
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 24
The constantly evolving role of the principal requires properly trained individuals to meet
the demands of the position. The following section focuses on the various preparation programs
that are available for the transition into the principalship.
Preparation for the Principalship
Although the original duties of the principal required little to no training due to his or her
limited role as a school representative, the modern-day principal deals with a complex set of
responsibilities that are dictated by social and political climates as they relate to the communities
served, along with district, state, and federal mandates. Similarly, the processes that produce
school site leaders are complex, interrelated. and are governed by state policy (Hale & Moorman,
2003; Pannell, Peltier-Glaze, Haynes, David, & Skelton, 2015). The pressures faced by the
position have led policy and institutional leaders to develop a variety of systems designed to
coherently support educational leaders (Hale & Moorman, 2003). The road toward the principal-
ship includes university-based preparation programs, nonuniversity training programs, district
partnership programs, and nontraditional certification programs. This section discusses the
literature on possible ways that principals can prepare themselves for the position.
University Preparation Programs
Principal preparation programs at the university level have shifted efforts from focusing
on developing management skills to creating instructional leaders that can meet accountability
measurements set by district, state, and federal policy (Hale & Moorman, 2003; Pannell et al.,
2015). The changes imposed at the university level are in line with efforts to revise and improve
principal preparation along with the emergence of the development of professional standards for
the position (Davis & Darling- Hammond, 2012; Hess & Kelly, 2005). Hess and Kelly (2005)
noted that in order to translate the existing knowledge base of the principal position along with
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 25
existing professional standards into a cohesive program of study requires the use of a specific
structure of pedagogy and structure. Research shows that specific program features are necessary
for principal preparation programs to be successful in developing the capacity of school site
leaders (Darling-Hammond, LaPointe, Meyerson, Orr, & Cohen, 2007; Davis & Darling-
Hammond, 2012; Davis, Darling-Hammond, LaPointe, & Meyerson, 2005). These seven key
features are the following:
1. Clear focus and values about leadership and learning around which the program is
coherently organized;
2. Standards-based curriculum emphasizing instructional leadership, organizational
development, and change management;
3. Field-based internships with skilled supervision;
4. Cohort groups that create opportunities for collaboration and teamwork in practice-
oriented situations;
5. Active instructional strategies that link theory and practices, such as problem-based
learning;
6. Rigorous recruitment and selection of both candidates and faculty; and
7. Strong partnerships with schools and districts to support quality field-based learning
(Davis et al., 2005).
In their analysis of innovative, university-based principal preparation programs, Davis
and Darling-Hammond (2012) highlighted five exemplary programs that shared many character-
istics that were uncommon among traditional programs. Besides displaying the seven key
features described above, these five schools demonstrated three critical characteristics. First,
each school was driven by a clear theory of action with a direct focus on instructional leadership
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 26
that was emphasized with an integration of problem-based inquiry and supported with research-
based practices. Second, each program was shown to be highly selective with the mindset that an
experienced and dedicated individual with a strong motivation to be a school leader was best
cultivated under the given school dynamics. Finally, each program provided full-time or part-
time mentored internships at school sites. Although there were programs that were seen as effec-
tive, there was a consensus that many university-based principal preparations programs are not
doing enough to help future principals in their roles at school sites (Hale & Moorman, 2003;
Korach & Sanders, 2012).
In order to determine whether university-based preparation programs were equipping
leaders with the knowledge base and skills necessary to lead 21st-century schools, Hess and
Kelly (2007) analyzed the instructional content of university preparation program courses. They
collected a stratified sample of the country’s most prestigious programs, the programs training
the most candidates, and programs that were considered more typical. They collected 210 syllabi
from 31 programs that met the conditions listed above and analyzed a total of 2,424 course
weeks. Among their findings, Hess and Kelly (2007) discovered that only 2% of the course
weeks addressed accountability in the context of school management or school improvement;
less than 5% of the course weeks included instruction on managing school improvement via data,
technology, or empirical research; and there was little attention to management thinkers from
outside of the narrow field of educational administration. Even with the most prestigious
programs in the analysis, there was very little variation in the topics covered in courses among
the three types of programs.
This evidence highlights the popular notion that traditional, university-based principal
preparation programs are out of touch with the realities that the principal faces in the workplace,
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 27
including mastering complex accountability systems and managing the varying needs of all
stakeholders. The fact that 96% of standing principals say that their on-the-job experience and
interactions with colleagues were more helpful in their development as school leaders than their
experience in their preparation programs (Hess & Kelly, 2007). Among possible solutions, the
researchers suggested creating an education management degree similar to the Master of Busi-
ness Administration (MBA), with an increased focus on the management aspect of the school
site.
State Certification
Although each state has its own certification process to become an administrator, in
California all candidates must hold at least a bachelor’s degree and any one of the following
credentials: a California teaching credential, a California Pupil Personnel credential, a Teacher
Librarian Services credential, a Speech Pathology Service credential, a Clinical Rehabilitation
Service credential, or a School Nurse Service credential. If these criteria are met, candidates are
eligible to complete a preparation program. Alternatively, candidates may be exempted from
completing a university or nonuniversity preparation program by successfully passing the Cali-
fornia Preliminary Administrative Credential Examination (CPACE). Once either of these
options is completed, candidates will have to earn a Clear Administrative Services credential by
completing at least 2 years of full-time administrative experience and completing one of the three
possible options: a preparation program through a candidate’s employer, a state board of
education-approved Administrative Training Program, or a California Commission on Teacher
Credentialing-approved alternative preparation program (TeachingCertification.com, 2016).
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 28
Alternative Preparation Programs
Varying levels of satisfaction with traditional principal preparation programs have paved
the way for alternative, nonuniversity programs to better meet the needs of the changing land-
scape faced by principals (Hess & Kelly, 2005).
University–district leadership programs. Partnerships between school districts and
universities create opportunities for districts to address specific leadership issues that are present
at school sites through formally structured collaborations among professors, district leaders, and
practicing principals (Browne-Ferrigno, 2011; Grogan & Roberson, 2002; Hess & Kelly, 2005).
In creating curriculum that is relevant to the realities of the district, such programs can bridge the
gap between theory and practice and increase the likelihood of participants to take on administra-
tive leadership roles (Browne-Ferrigno & Sanzo, 2011; Grogan & Roberson, 2002; Hess &
Kelly, 2005; Jackson & Kelley, 2002).
Hale and Moorman (2003) described innovative programs that have been developed as a
result of reform within the university setting in partnership with school districts. Individuals of
“high promise” are nominated by districts in the Mississippi Delta region to participate in a 15-
person cohort program at Delta State University. In this program, participants serve as interns
under mentor principals for an entire year while completing coursework; they are required to
work in the school district once the program is completed. Similarly, the University of Califor-
nia, Berkeley, houses the Principal Leadership Institute and partners with Bay area school
districts to form strong relationships, to provide access to field experiences, and to ensure a link
between university coursework and inner-city schooling.
University partnerships outside the college of education. The increased responsibili-
ties for the position of the principal have created the need to give prospective leaders training in
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 29
skills that require the expertise beyond what is available within the typical school of education at
the university level. The knowledge required for the position comes from the field of education,
finance, and management. In order to fill this void, several schools have developed hybrid
programs to train future principals. The principal preparation program at the University of
Arkansas is housed within the Graduate School of Management, Leadership, and Administration
to implement a standards-based program grounded on leadership theories to manage large
organizations (Hale & Moorman, 2003). Rutgers University has created an Educational Policy
and Leadership strand within its public administration program. Fifteen teachers selected by the
school district participate in a 3-year program focused on policy analysis, leadership skills, and
communication skills in the greater context of school reform (Hale & Moorman, 2003). Once
done with the program, participants receive a Master of Public Administration (MPA) degree and
state certification to become a school principal.
Nonprofit training programs. Given the multitude of responsibilities that modern
principals face, nonuniversity providers outside the field of education have emerged to identify
and train candidates from beyond the field of education to meet the demands of the position
(Hale & Moorman, 2003). The New Leaders for New Schools (NLNS) program operates in New
York City, Chicago, and the Bay area of California. The organization provides a nontraditional
path into education by recruiting participants with diverse skill sets and experiences to become
urban school principals (Hale & Moorman, 2003; Hess & Kelly, 2005). Admission into the
program is difficult, as NLNS only accepts 5% to 7% of applicants annually. The 6-week
workshop is taught by both education and business school faculty and focuses on transforma-
tional leadership, instructional leadership, and organizational leadership (Hess & Kelly, 2005).
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 30
A partnership with two universities ensures that participants can become certified principals
while receiving ongoing support and training (Hess & Kelly, 2005).
In similar fashion, the Knowledge is Power Program’s (KIPP) Leadership Academy also
recruits candidates from diverse professional backgrounds and requires at least 2 years of teach-
ing experience and a history of demonstrated leadership abilities (Hess & Kelly, 2005). The
program begins with what the organization calls the Fisher Fellowship year, which is a year of
coursework, rotating residency, and a KIPP education boot camp for all candidates. Rather than
having to earn state certification to be placed in a public school, as with NLNS, KIPP candidates
are groomed to lead new KIPP charter schools and to bypass the licensure process completely
(Hess & Kelly, 2005).
The Principal Residency Network designs and partners with small schools to develop a
training ground for aspiring principals (Hale & Moorman, 2003). The organization prioritizes in
recruiting people of color and pairs candidates with mentor principals during the program. They
document their work in portfolios that are used to assess and exhibit progress and growth. The
program’s six focus areas are moral courage, moving the vision, instructional leadership, rela-
tionships and communication, management through flexibility, and efficiency and public support
(Hale & Moorman, 2003).
For-profit providers. There are also a handful of for-profit, nonuniversity providers that
offer master’s degrees in education administration and use distance learning and online platforms
of instruction to lure possible candidates into their programs (Hale & Moorman, 2003; Hess &
Kelly, 2005). With a heavy focus on profitability, these programs attempt to strongly resemble
traditional, university-based programs to ensure that candidates are able to easily earn state
certification for the position. The freedom from the bureaucracy of university campuses allows
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 31
online-based providers to develop and implement innovative courses and curricula to students
around the world (Hale & Moorman, 2003).
Limitations of Programs
Despite the improvements made by both university and nonuniversity programs to
prepare principals for their jobs, there exist many deficiencies that prevent them from being truly
effective to prepare candidates for the reality of the position (Barnet, 2004; Browne-Ferrigno,
2011; Hale & Moorman, 2003; Hess & Kelly, 2007; Jackson & Kelley, 2002). A limitation for
nonprofit and for-profit providers lies in the necessity to earn state certification to become a
principal. This becomes a serious issue for all schools except charter schools and private
schools. As a result, many of these nontraditional programs are forced to form partnerships with
large universities that can provide the resources to earn state certification for their candidates
(Hale & Moorman, 2003; Hess & Kelly, 2005). This obstacle becomes a roadblock for many of
the organizations that are attempting to differentiate themselves from traditional programs but are
then obligated to conform to existing guidelines. Hess and Kelly (2005) noted that beyond what
seems to be a uniform transition to a cohort model, all preparation programs simply reshuffle
coursework, tweak delivery, or rebrand themselves without addressing the core principles that
make the principal position so difficult.
In their study of principal preparation program effectiveness, Clayton and Myran (2013)
found that the notion of “full authenticity and a connection to real practice is avoided through
active involvement and collaboration” (p. 71). This concept implies that leadership development
programs for principals lack opportunities for participants to become immersed in meaningful,
work-based situations to gain knowledge and skills that could prove valuable for their future
positions. In their work to have participants describe the types of activities in which they
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 32
engaged during the principal preparations programs, Clayton and Myran used a document
analysis and completion of surveys to determine themes and trends. Their sample included 17
participants who completed a 320-hour internship experience at five school sites. A verb analy-
sis of interns’ descriptions of their internship activities revealed that 70% of the tasks they
completed involved active engagement and 30% involved passive engagement. Most of the
activities fell into the category of safety and organizational management, and the least-mentioned
activities fell into the areas of instructional leadership and communication/community relations.
The data analysis of responses helped to identify existing gaps regarding program activities and
levels of engagement in particular to making connections between the theory and practice of the
program’s goals and ultimately with the position of the principal. The illusion of being actively
engaged for a majority of their time in their program disguised the fact that very little of their
time was spent on actually developing the skills that would make them successful in the work-
place. This is a common trend in the literature that shows a weak link between the promises of
universities and the actual capacity of principal preparation programs to prepare instructional
leaders (Backor & Gordon, 2015; Browne-Ferrigno, 2011; Davis et al., 2005; Hale & Moorman,
2003; Hess & Kelly, 2005, 2007; Jackson & Kelley, 2002).
Recruitment of the Principal
A study by Whitaker (2001) found that 40% of superintendents who responded to a
survey reported a “moderate” principal candidate shortage and 50% identified a “somewhat
extreme” or “extreme” shortage of principal candidates. Similarly, Pijanowski et al. (2009)
found that current superintendents expected to have over 40% less candidates apply for principal
positions compared to 15 years earlier. Applicant shortages are a more severe problem in urban
school districts (Whitaker, 2003). Further complicating matters is the proportion of applicants
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 33
who are actually deemed qualified for the principal position, with district-based administrators
reporting that less than 50% of candidates meet the minimum requirements to take on the princi-
palship (Pijanowski et at., 2009; Whitaker, 2001). Combined with declining interest in the
position (Bloom et al., 2003; Gajda & Militello, 2008; Pijanowski et al., 2009), these alarming
rates are a cause for concern and call for action to help to successfully identify and recruit quality
candidates to lead the nation’s schools. The following section discusses possible reasons for not
applying for the position and recruitment strategies to attract and recruit high-quality candidates
for principal positions based on the literature.
Reasons for Not Applying to Principal Position
The shortage of applicants into the principalship is a topic of great interest and worthy of
further examination in order to dig deeper into understanding why there is an existing gap. The
position is one that is constantly changing and has an ever-increasing list of responsibilities.
Among other things, candidates list as deterrents to applying for the position time commitments,
the overemphasis on high-stakes testing, school report cards, increases in school violence, lack of
respect from the public, and overall job pressures and stress (DiPaola & Tschannen-Moran, 2003;
Thomson, Blackmore, Sachs, & Tregenza, 2003; Whitaker, 2001). As such, the principal must
deal with site-based management, tensions between management and leadership, increased
accountability, inadequate funding, altered relationships with parents and the community, and
highly charged political environments (Cooley & Shen, 2000; Whitaker, 2003). In particular,
Cooley and Shen (2000) found that given the high stress of the position, it involves a salary that
does not match the responsibilities of the job and there is little or no job security for the position.
These issues were of greater note when analyzing that in some districts, a veteran teacher’s salary
is more than what a first-year principal makes (Cooley & Shen, 2000).
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 34
Given pressures from the school board along with federal, state, and district mandates,
even quality candidates feel that the position itself does not give them sufficient authority at their
school site (DiPaola & Tschannen-Moran, 2003). This problem may be due to the perceived
notion of limited autonomy when faced with making decisions in the face of a large bureaucracy.
Additionally, a negative or nonexisting relationship with the board of education, the superinten-
dent, and the administration can create a difficult work environment that many experienced
leaders would want to avoid (Cooley & Shen, 2000).
Recruitment Strategies of Quality Candidates
Taking a close look at the possible reasons why candidates are not applying to principal
positions can help to provide some solutions to address this problem. Although several studies
have shown that many district-level administrators perceive a shortage of candidates for principal
position openings, Pijanowski et al. (2009) found that 24% of superintendents in large districts
actually underestimated the applicant pool size. This fact emphasizes that critical data might
often be overlooked when considering candidates for positions, possibly including not analyzing
the credentials and qualifications of possible candidates within their districts (Doyle & Locke,
2014). Part of this problem may be because some districts have extremely limited recruitment
practices with very little outreach done beyond the actual job postings (Doyle & Locke, 2014).
This issue calls for districts to use new and innovative ways to advertise principal positions
beyond the traditional job listing. School districts can no longer just simply wait for people to
apply; they need to actively engage possible candidates into applying by implementing standard-
ized, research-based practices (Doyle & Locke, 2014; Myung, Loeb, & Horng, 2011).
Creating a pipeline. Pijanowski et al. (2009) and Thomson et al. (2003) suggested that
school districts must develop their own internal pipeline of leaders. These leaders should be
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 35
individuals at school sites who already hold administrative credentials and are provided with
meaningful leadership opportunities to develop the skills needed to make a smooth transition into
the principalship when they are needed. In developing these leaders, districts should create col-
laborative partnerships with university credentialing programs and develop supportive induction
programs to interest potential candidates to the position (Cooley & Shen, 2000; Pijanowski et al.,
2009; Whitaker, 2001, 2003; Whitaker & Vogel, 2005). A new thought in this direction involves
hiring less experienced candidates, who are traditionally younger than previous generations of
principals; they may need additional preparation on the job but would be further away from
retirement and allow more years in the position (Bloom et al., 2003; Gajda & Militello, 2008;
Pijanoswki et al., 2009). This method essentially allows district leadership to groom young,
emerging leaders into the strong transformational leaders who meet the needs of the district and
of specific school sites while also assuring longevity in the position (Normore, 2006).
Tapping. The act of tapping is described as a process whereby standing administrators
actively select and recruit teachers who demonstrate effective or developing leadership qualities
to eventually become principals. Several researchers (Browne-Ferrigno & Muth, 2004, 2008;
Whitaker, 2001, 2003) have identified this type of practice as an effective, direct, and informal
method to recruit potential candidates for principal positions. The logic lies in the fact that
current administrators understand the characteristics that are necessary to take on the responsibil-
ities of being a principal and are therefore able to observe those qualities in other people. Many
current principals have reported that they were ready to take on a principalship due to increased
responsibilities assigned to them by site supervisors while they were school site teachers
(Browne-Ferrigno & Muth, 2004, 2008; Normore, 2006). This practice encourages site adminis-
trators as well as superintendents to encourage teachers with strong leadership skills to take on
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 36
leadership positions while providing ongoing support and mentoring to help them eventually
move into a principal position (Browne-Ferrigno & Muth, 2004, 2008; Whitaker, 2001, 2003).
Given the fact that many candidates stop looking for principal positions within 2 years (Pijanow-
ski et al., 2009), recruiting processes should start from within school districts to develop a
pipeline from the classroom to the principal position and to reduce or remove the factors that
inhibit candidates from applying (Browne-Ferrigno & Muth, 2004, 2008; Fullan, 2014; Thomson
et al., 2003; Whitaker, 2001). In doing so, districts can structure the role of the principal based
on the strongest qualities of their candidates, thus ensuring that the district can place new princi-
pals in schools where their skillset might best be used (DiPaola & Tschannen-Moran, 2003;
Doyle & Locke, 2014; Whitaker & Vogel, 2005) and reduce existing barriers to applying for
principal positions (Pijanowski et al., 2009; Whitaker, 2001).
Aligning expectations. Richardson, Watts, Hollis, and McLeod (2016) found that there
is an existing mismatch between what researchers and academics say is the job of the principal
and what districts advertise that they want and need in a principal. An analysis of job postings
for principal positions across seven states revealed that in most cases, the role of the principal
was essentially described as one that could easily be interchanged between states without regard
to setting or specific needs (Sessa, Kaiser, Taylor, & Campbell, 1998). In addition, Richardson et
al. (2016) concluded that many job postings have changed very little from previous decades
despite changes in the structure of district, states, and federal guidelines. This factor proves
particularly important because possible candidates might be tempted to apply for a position based
on criteria such as district reputation, geographic location, or salary instead of based on their
skills and strengths (Richardson et al., 2016). This situation means that the right candidates are
not applying for the right positions. This is a cause for concern for two reasons. First, school
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 37
districts are not clearly identifying existing needs for their schools and therefore are not doing a
good job at attracting the necessary candidates to apply for their positions. Secondly, the vague-
ness of job descriptions is causing possible candidates to blindly apply for positions without
taking into regard their own personal strengths and knowledge. As a result, DiPaola and
Tschannen-Moran (2003) and Thompson et al. (2003) suggested a formal restructuring of the role
of the principal position that clearly reflects the duties, expectations, and complexities that are
required of candidates, including an appropriate increase in salary along with innovative incen-
tives to match the requirements of the role (Cooley & Shen, 2000).
Retention of the Principal
The high stress, low salary, and wide range of demands that the job requires leaves many
standing principals with the desire to leave their position (Gajda & Militello, 2008). Although
nationally, there are more than double the number of candidates who that hold administrator
licenses than there are openings for principal positions, there is a shortage of candidates that
apply for principal job openings (Gajda & Militello, 2008). This fact becomes further alarming
according to the Texas-based study completed by Fuller et al. (2007), who found that 50% of
standing principals would leave the position within 5 years and over 75% of them would leave
within 10 years. Whitaker (2003) found that internationally, the top five role changes in the
position that affect principal retention were local management issues of schools, tension between
management and leadership, increased accountability at all levels, altered relationships with
parents and community, and the emergence of school choice. Additionally, Baker et al. (2010)
revealed that a principal’s relative salary, compared to peers in the same labor market, exerts a
consistent influence on stability. Whitaker (2003) recommended the following actions to
increase principal retention:
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 38
1. Reexamine the role of principals.
2. Provide on-going support and mentoring for principals.
3. Provide increased salaries and incentives.
4. Develop partnerships with universities.
5. Encourage and develop teachers and assistant principals. (p. 49–50)
The following section discusses possible methods to increase the retention of standing principals
at their current position, based on the literature.
Mentoring
As the expectations and pressures on the principalship continue to increase, there is a
need to develop and foster meaningful mentoring opportunities to help inexperienced colleagues
successfully transition into the role (Daresh, 2004; Educational Research Service [ERS], 2000).
Additionally, given the high turnover rates of the position, there is a need to provide opportuni-
ties for existing principals to adapt to the role. Many programs prepare candidates through the
use of extensive literature on leadership and instructional strategies, but many principals benefit
from onsite learning with the help of a mentor (Sciarappa & Mason, 2014). Mentoring is defined
as an informal or formal pairing between a beginning administrator and a senior administrator,
typically with the same roles or titles (Bloom et al., 2003; Daresh, 2003). Daresh (2004) found
that mentees in mentoring programs identified five major benefits in their involvement with
mentors: (a) an increased sense of confidence in terms of professional competence, (b) “an
opportunity to see how educational theory plays out in daily practice” (pp. 503–504), (c) an
increase in communication skills during interactions of areas of concern, (d) an opportunity to
learn the tricks of the trade from an experienced administrator, and an increased sense of
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 39
belonging and confidence in their new role. Similarly, mentors and school districts experience an
array of benefits from such arrangements as well (Daresh, 2003, 2004).
Syed (2015) studied the Learning Partners Program in New York City, which runs a
mentoring program that matches veteran principals with two or more new principals. The pairing
is based on experience of the host and the needs of the partnering school, with a focus on high-
need areas that require support. The program runs on the notion that the best type of learning
occurs when learning from more experienced practitioners. Onsite training, combined with
frequent collaboration and a program facilitator who helps to implement mentees’ ideas at their
schools’ site, helped both hosts and mentors grow in their implementation of leadership theory.
Additionally, the participation of both teacher leaders and assistant principals created an in-
district pipeline for future principal candidates. Syed found that the program was able to create a
systematic method to connect schools so that they could share best practices and sustain a
positive learning and growing culture through support and guidance.
Although many administrators have cited that informal mentoring from a colleague was
valuable in their transition into the principalship, Bloom et al. (2003) found that the mentoring
received by most principals was inconsistent and based more on personal relationships rather
than on instructional leadership development. Similarly, Daresh (2004) found that the lack of a
formal working relationship may lead mentees to develop too deep a reliance on a mentor and
subsequently see the mentor as someone who can provide all possible solutions to work-based
problems, thus causing a halt to professional growth and forming a dependent relationship.
Coaching
Differing from mentoring, Peterson and Hicks (1996) described coaching as “the process
of equipping people with the tools, knowledge, and opportunities they need to develop” (p. 14)
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 40
existing strengths to improve performance. A coach takes on a formal role as an evaluator, rather
than an observer, and serves as a tool to improve personal and organizational performance
(Fairchild, 2015). As such, coaching provides job-embedded training with ongoing professional
support that can help to maintain a clear mission and vision while building trusting relationships
and facilitating goal attainment (ERS, 2000; Farver & Holt, 2015; Warren & Kelsen, 2013).
Although many districts do not have the financial means to structure a formal coaching program,
there is an increasing number of states requiring induction programs for administrators that
include coaching opportunities to help develop leadership skills (Daresh, 2004; Fairchild, 2015).
Professional Organizations
Membership in professional organizations allow principals to actively participate in
existing nationwide networks of school-based administrators. Many of these organizations
include mentorship and coaching opportunities that are structured to support principals. The
following are examples of well-known professional organizations for principals:
National Association of Elementary School Principals (NAESP). The NAESP is a
professional organization that serves elementary and middle school principals and other educa-
tional leaders in the United States and Canada. The organization advocates for the support that
principals need to be successful at their school sites, including serving their students, families,
staff, and communities. The group supports the continual development of all members and
recognizes achievements by providing opportunities for recognition (NAESP, 2019).
National Association of Secondary School Principals (NASSP). Similar to the
NAESP, the NASSP places a focus on leadership development and creating leaders who are
committed to the success of every student served by its members. In recognizing the efforts of its
members through student achievement, the NASSP administers the National Honor Society, the
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 41
National Junior Honor Society, the National Elementary Honor Society, and the National Student
Council. The organization provides members with professional development opportunities and
research-based resources to help advance middle level and high school education (NASSP,
2019).
ACSA. The ACSA serves over 17,000 California educators and advocates for public
school students, kindergarten through Grade 12, as well as adult learners. In forming a commu-
nity of practice, the ACSA frequently partners with other leadership organizations such as the
Leadership Initiative at WestEd to review research on the relationship between principal quality
and student achievement to improve existing practices related to principal support, guidance, and
evaluation (Kearney, 2005). With a focus on application, the ACSA reviews the California
Professional Standards for Educational Leaders and Descriptions of Practice to develop best
practices of implementation with the purpose of bringing coherence to the overall accountability
system of the principalship (Kearney, 2005). Additionally, ACSA organizes the Coaching Lead-
ers to Attain Student Success (CLASS) program that provides job-specific coaching opportuni-
ties to address professional development needs (Bloom et al., 2003)
California Association of Latino Superintendents and Administrators (CALSA).
The CALSA focuses on helping develop leaders that address the needs of Latino/a students and
dedicates itself to increasing the number of highly effective Latino/a administrators. The organi-
zation provides mentoring opportunities for aspiring educators as well as networking opportuni-
ties for all members of the association, including professional growth opportunities and provid-
ing the data necessary to develop educational programs to meet the educational needs of the
students served by members. In addition, CALSA provides assistance to boards of education or
community groups in the field of education (CALSA, 2019).
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 42
Theoretical Framework
For the purposes of this study, the researcher focused on the following three leadership-
based theoretical frameworks: Bolman and Deal’s (2013) four frames model of leadership,
School Leadership That Works by Marzano et al. (2005), and Fullan’s (2014) The Principal:
Three Keys to Maximizing Impact. Because the principalship is a role that is heavily reliant on
providing effective leadership, these leadership frameworks served as a lens for the researcher in
this study.
Four Frames Model of Leadership
In Reframing Organizations: Artistry, Choice, and Leadership, Bolman and Deal (2013)
proposed four organizational lenses, or frames, that managers can use to help in understanding
their organization: structural, human resource, political, and symbolic. Each frame is embedded
with a wide range of concepts and values that provide the opportunity to analyze a given leader-
ship situation and how to manage an organization from that standpoint. Most importantly, these
cognitive frames help managers to determine what is important and what can be ignored to
develop a clearer understanding of a given situation. Bolman and Deal emphasized that no one
frame alone can help a leader to manage an organization; rather, a combination of frames can
help one more effectively to determine the best plan of action. Following is a brief description of
each of the four frames.
Structural. The structural frame has its origins in the fields of sociology and manage-
ment science. It is mainly a task-oriented frame with a strict focus on developing strategies,
including setting measurable goals, specialized roles, firm deadlines, and implementation of
systems and procedures through formal relationships. There is a clear emphasis on individual
and organization responsibilities, rules, policies, and procedures where rationality prevails over
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 43
personal preferences. This frame works well when goals are clear, relationship are firmly estab-
lished, and there is no conflict or uncertainty within an organization. Leaders focus on organiza-
tional goals, implement strategies to meet the goal, and allocate resources to ensure that the goal
is completed using a clearly defined organizational structure. When using this frame, there is a
cause for concern when a given structure does not fit the situation (Bolman & Deal, 2013).
Human resource. The human resource frame has its origins in the field of psychology,
places an increased emphasis on people’s needs, and treats organizations as extended family.
This frame recognizes that workers are people with needs, feelings, prejudices, skills, and limi-
tations. As such, the use of the human resources frames focuses on giving employees the power
and opportunity to perform their jobs well through human interaction, personal growth, and job
satisfaction while ensuring that the organizational needs are also met. This task is done through
methods of empowering employees either through distributed leadership, staff development, or
responsiveness to people’s needs. There is an embedded belief that all people and organizations
have the capacity to learn and grow. When employee morale is a central consideration, the use of
the human resource frame may face a challenge when attempting to tailor an organization to the
skills and needs of a largely varying group of people (Bolman & Deal, 2013).
Political. The political frame has its origins in the field of political science and addresses
the political realities that exist within and outside of organizations, such as the problems of
individuals and interest groups that might have conflicting or hidden agendas. As such, organiza-
tions are viewed as arenas or contests where different groups compete for power and resources,
especially at times when budgets are limited and difficult decisions have to be made. As a result,
the political frame recognizes that conflict arises from differences in needs and perspectives.
Situations require the need for bargaining and negotiation to develop compromises and coalitions
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 44
of support. Leaders must strategize to create favorable outcomes to reach organizational goals.
A challenge in using this frame may arise when power is concentrated in an area that goes against
the organization’s goals or when the power is too broadly dispersed to make meaningful change
occur (Bolman & Deal, 2013).
Symbolic. The symbolic frame has its origins in the fields of social and cultural anthro-
pology and addresses people’s needs for a sense of purpose and meaning in their work. Leaders
view their organizations as tribes with a clear focus on vision and understanding of its culture to
create inspiration to help people believe that their work and role are valuable and meaningful.
This task is done by recognizing achievements through celebrations and having consistent rituals
or expectations. The symbolic frame is most appropriate when organizational goals and relation-
ships are unclear or uncertain. Problems may arise when using this frame when people are not
genuine in their actions, when symbols lose their meaning, and when traditions become irrelevant
(Bolman & Deal, 2013).
Bolman and Deal (2013) proposed that effective leaders use all four frames when faced
with challenges to gain an overall perspective of their organization and to decide which combina-
tion of frames will develop the desired results. The researchers noted that switching from one
frame to another is necessary; they recommended not to use just one single frame because no
frame works well alone in every situation. The four frames model of leadership is designed to
help leaders avoid being stuck under any circumstance and encourages them to take action based
on the current conditions of their organization. In essence, the four frames serve as a means to
diagnose an organization by asking the right questions to identify existing challenges and context
so as to be able to take appropriate actions to fulfill the mission and vision.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 45
To better understand their use of the four frames, Bolman and Deal (2013) provided three
examples of when some frames might be used. If the organization faces a problem in dealing
with motivation and commitment, the leader will likely use the symbolic and human resource
frames. If the organization experiences confusion about priorities and responsibilities, the leader
may implement the use of the structural and political frames. Finally, if the organization experi-
ences uncertainty and anxiety about the future, the leader may use the symbolic and political
frames to address this problem. Having a working understanding of the four frames can help
principals to manage the many responsibilities and stakeholders that they have at hand.
School Leadership That Works
Marzano et al. (2005) performed a meta-analysis of literature from 1978 to 2001 to
uncover leadership characteristics that have a statistically significant relationship with student
achievement. Of the 300 studies examined, 69 met the researchers’ criteria. In total, the study
included 2,802 K-12 schools, including over 14,000 teachers and 1,4000,000 students. For each
study analyzed, a correlation between general leadership and student achievement was computed
or extracted from the study. The average correlation for the 69 studies was .25, which indicates
that an “increase in principal leadership behavior from the 50th percentile to the 84th percentile
is associated with a gain in the overall achievement of the school from the 50th percentile to the
60th percentile” (p. 30). This finding implies that a change in principal actions that creates a
change that is 1 standard deviation above the actions of an average principal (50th percentile)
directly corresponds to a 1 standard deviation change in student achievement. This information
effectively answered the authors’ research question in determining that principal leadership
actions do, in fact, correlate with a positive change in student achievement levels. Although,
overall, they did find that strong leadership did have a statistically significant effect on student
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 46
achievement, there were some instances in which principals were rated as strong leaders but
student achievement levels were low in their schools.
In their work, Marzano et al. (2005) identified 66 practices that principals used to fulfill
21 specific responsibilities that significantly improved student achievement. The top four
responsibilities highlighted here, along with their associated coefficient of correlation, are the
following: situational awareness (.30), flexibility (.28), discipline (.27), and monitoring/evaluat-
ing (.27).
Situational awareness. Situational awareness refers to a leader’s knowledge of details
regarding the school and his or her ability to use this information to address current and potential
problems (Marzano et al., 2005). This ability entails having a thorough understanding of the
school site and the people who are a part of it. It means being able to use existing resources to
overcome and even prevent disasters from occurring. Marzano et al. (2005) found the following
three characteristics associated with this responsibility: predicting what could go wrong from day
to day, being aware of informal groups and relationships at the site, and being aware of issues at
the school that could potentially cause harm.
Flexibility. Flexibility refers to a leader’s ability to adapt to the needs of the current situ-
ation. This implies the ability to apply different leadership styles contingent on the resources or
information at hand while being open to the various ideas and feelings of others. The researchers
found the following three characteristics associated with this responsibility: being directive or
nondirective depending on the situation, encouraging people to express varying or contrary
opinions, and being comfortable with making changes in the way in which things are done
(Marzano et al., 2005).
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 47
Discipline. Marzano et al. (2005) defined discipline as a leader’s ability to develop time-
lines or procedures to create an efficient environment. As an example, they described that an
effective leader may create a buffer between the school and the effects of a potentially negative
district initiative. In this case, discipline refers to the protection of negative issues and influences
that can be harmful to the school’s mission and vision. The researchers found the following two
characteristics associated with this responsibility: protecting instructional time from interruptions
and protecting teachers from internal and external distractions.
Monitoring/evaluating. Monitoring/evaluating places a focus on creating systems that
provide immediate and meaningful feedback to improve student achievement. Specifically,
Marzano et al. (2005) referred to this as the “extent to which the leader monitors the effective-
ness of school practices in terms of their impact on student achievement” (p. 55). The research-
ers found the following two characteristics associated with this responsibility: continually
monitoring the effectiveness of the school’s curricular, instructional, and assessment practices;
and being continually aware of the impact of the school’s practices on student achievement
(Marzano et al., 2005).
Additionally, Marzano et al. (2005) identified two traits that underlie the 21 responsibili-
ties: first-order and second-order change. Each of these makes use of all 21 responsibilities, but
the importance of each depends on the type of change that the leader is attempting to make.
First-order change. First-order change can be thought of as incremental and even the
next most obvious step to take in a school. This can be as simple as fine tuning an existing
system through small steps that do not diverge significantly from previous practices. The five
most influential responsibilities to implement first-order change are monitoring/evaluating;
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 48
culture; ideals/beliefs; knowledge of curriculum, assessment, and instruction; and involvement in
curriculum, assessment, and instruction.
Second-order change. Second-order change involves a dramatic departure from what is
expected at a school site, both in defining a problem and the process toward a solution. It is
considered a deep, significant change to existing practices as opposed to first-order change,
which is incremental and fundamentally similar to previous practices. Second-order change may
require new ways of thinking and acting and can therefore be difficult to execute. The five most
influential responsibilities to implement second-order change are knowledge of curriculum,
instruction, and assessment; optimizer; intellectual stimulation; change agent; and monitoring/
evaluating (Marzano et al., 2005).
Marzano et al. (2005) also developed an action plan to implement these theories into
practice. The plan is composed of the following five steps:
1. Develop a strong leadership team;
2. Distribute responsibilities among team members;
3. Select the right work to take action on;
4. Identify the order of magnitude implied by the work that was selected; and
5. Match the management style to the order of magnitude of the initiative. (p. 98)
The work of Marzano et al. (2005) and a thorough understanding of the 21 responsibilities that
correlate most positively with student achievement are important to understand in order to
develop meaning from the findings of this study.
The Principal: Three Keys to Maximizing Impact
In his work, Fullan (2014) described the role of the principal as one that has become
nearly impossible and too complex to maneuver. This includes being faced with multiple
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 49
conflicting responsibilities such as district, state, and federal mandates; accountability issues; and
dealing with the social and political problems that face school sites. Fullan argued that the tradi-
tional role of the principal should be formally reevaluated so that schools are able to adapt to
changes and students are able to succeed. He described four wrong drivers to create change:
accountability, individualistic solutions, technology, and fragmented strategies. He also
described four drivers to create change: capacity building, collaborative effort, pedagogy, and
systems thinking. He contended that in order to have the right drivers in action, principals must
play three keys roles: (a) become the leading learner, (b) become a district and system player, and
(c) become a change agent.
Leading learning. The principal should no longer be looked at directly as the instruc-
tional leader. Principals must act like learning leaders who are able to model learning opportuni-
ties and also shape “the conditions for all to learn on a continuous basis” (Fullan, 2014, p. 9). As
leading learner, the principal does not lead many groups. Instead, teacher leaders lead groups and
the principal is learning along with the rest of the staff. Teachers need to develop the school’s
existing professional capital across and beyond the school. As a result, the principal is actively
involved in professional development with teachers and can see what works and what does not
work for the school.
Being a district and system player. Fullan (2014) encouraged principals to develop
internal and external partnerships to become district and system players. Sharing best practices
with other school sites becomes a valuable asset that allows capacity building and increased
leadership opportunities for teacher leaders.
Being a change agent. A change agent is described as a person who moves people and
organizations forward under difficult circumstances. Instead of making big plans, Fullan (2014)
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 50
recommended focusing on a few clear goals to ensure that a team is not overwhelmed and can
follow through with a clear plan of action.
Conceptual Framework
The researcher adopted the conceptual framework outlined in Figure 1, which illustrates
that an effective principal incorporates the previously described theoretical frameworks into his
or her practice. Effective principals are able to implement a multifaceted approach in leadership
style to adapt to changing environments and the needs of their stakeholders. A principal must be
able to exercise Bolman and Deal’s (2013) four frames with the various relationships that he or
she has within school and beyond. A principal must also cultivate strategies for successful
organizational leadership by developing and implementing a shared vision and systems of
accountability (Marzano et al., 2005). Finally, an effective principal must be a fearless instruc-
tional leader, acting as a leading learner, a district and system player, and a change agent (Fullan,
2014). The ability to act within these three frameworks individually or in combination of one
another based on context is what distinguishes an effective leader.
Chapter Summary
This chapter was a review of the literature that was relevant to the purpose of this study.
More research is needed to further understand and address the problems that are faced by princi-
pals. The issues encountered by school districts and potential candidates in the preparation,
recruitment, and retention of principals are numerous and are experienced nationally. Federal
and state reforms have transformed the role and perception of the principalship and therefore
have further highlighted the difficulties faced by all stakeholders in reference to the position.
Many university-based preparation programs have changed the ways in which they
structure their programs to meet the needs of candidates and school districts. As a response to
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 51
Figure 1. Conceptual framework for study. Based on Reframing Organiza-
tions: Artistry, Choice and Leadership (5th ed.), by L. G. Bolman and T. E.
Deal, 2003, San Francisco, CA: Jossey-Bass; 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 Devel-
opment; and The Principal: Three Keys to Maximizing Impact, by M. Fullan
(2014), San Francisco, CA: Jossey- Bass.
the inefficiencies of university-based programs, nonuniversity programs have gained popularity
due to their flexibility and direct connection to school systems. School districts have altered the
methods in which they recruit potential candidates and have formed partnerships with prepara-
tion programs, along with a restructuring of the position to attract a greater number of candidates.
Similarly, in an effort to retain standing principals in their current positions, university programs,
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 52
professional associations, and districts alike have developed mentoring, coaching, and network-
ing structures as a response to the struggles faced by school site administrators.
As district, state, and federal mandates continue to change, the challenges faced by poten-
tial principal candidates and school districts in relation to the principal position will continue to
evolve. Discovering new information with respect to overcoming these issues is important in
addressing the preparation, recruitment, and retention of principals. This study was an opportu-
nity to fill the existing knowledge gap that exists regarding these areas of focus. Chapter Three
provides an overview of the methodological approach chosen to address the study’s research
questions.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 53
CHAPTER THREE: RESEARCH METHODOLOGY
The purpose of this study was to gain insight into the perspectives of current principals,
immediate supervisors of principals, human resources administrators, and superintendents on the
roles of preparation programs, recruitment strategies, and systems of retention in relation to the
position of the principal in California. The intended outcome of the study was to inform aspiring
principals of best practices and to provide a guide that a candidate can use on his or her career
path toward the principalship. Additionally, university and nonuniversity programs may also use
the results of this study to modify and adapt their existing preparation programs to meet the needs
of future candidates and school districts. Finally, supervisors and district personnel may use the
information in this study to update existing policies to more effectively recruit and retain desired
principal candidates.
To gain insight into the opinions of the various stakeholders that surround the principal,
surveys and interview protocols were developed to gather information from participants. The
surveys and interview protocols were designed to analyze the perceptions of current principals,
immediate supervisors of principals, human resources administrators, and superintendents on the
roles of preparation programs, recruitment strategies, and systems of retention in relation to the
position of the principal. In order to ensure that the same basic lines of inquiry were pursued for
all participants, the same protocol was used for all interviews (Patton, 2002). This chapter
describes the study’s research questions, research design, sample and population, access and
entry, instrumentation, data collection and analysis, and ethical considerations.
Research Questions Restated
The following research questions guided this study:
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 54
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
Research Design
This study used qualitative methods in order to gain an understanding of the preparation
programs and experiences of principals, the recruitment strategies of school districts for princi-
pals, and retention strategies used by school districts for principals. The research team utilized
surveys and interviews of district superintendents, human resources administrators, immediate
supervisors of principals, and standing principals to gain a deeper understanding of these areas of
focus.
Qualitative Research
Merriam and Tisdell (2016) noted descriptive designs to be those that are intended to
“systemically describe the facts and characteristics of a given phenomenon or the relationships
between events and phenomena” (p. 5). A qualitative design is best for researchers who inter-
ested in understanding how people interpret their experiences, construct their worlds, and what
meaning they attribute to the described experiences (Merriam & Tisdell, 2016). As such, a con-
structivist viewpoint is taken in which individuals construct meaning based on their interactions
with the social world around them and their experiences within their physical reality (Creswell,
2014; Merriam & Tisdell, 2016). In this study, the words and experiences of district superinten-
dents, human resources administrators, immediate supervisors of principals, and standing
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 55
principals were used as data to help to interpret the preparation, recruitment, and retention strate-
gies that were discussed in the interviews.
Although purely quantitative methods were not appropriate for this study, quantitative
data were collected and analyzed through the use of surveys to support overarching themes of the
study. The combination of qualitative data supported with quantitative data can help a study to
gain answers to existing research questions (Creswell, 2014). Additionally, Maxwell (2013)
described five kinds of intellectual goals for which a qualitative study would best be suited:
1. Understanding the meaning of the events, situations, experiences, and actions they are
involved with or engage in;
2. Understanding the particular contexts within which the participants act and the
influence that this context has on their actions.
3. Understanding the process by which events and actions take place;
4. Identifying unanticipated phenomena and influences, and generating new grounded
theories about the latter; and
5. Developing causal explanations. (p. 30)
The intellectual goals of this study fell in line with goals one, two, and three described above.
The decision to use interviews in a study rest on the fact that interviewing gives both the
researcher and the reader access to the observations and experiences of others (Weiss, 1994).
Thus, it is possible to learn about experiences that one may not have had or had not gone through
regularly. Ideally, one-on-one interviews allow the interviewer to gain honest opinions and
feelings about the given content without fear of retaliation or mistreatment from others in the
organization or setting of study. Interviews allow for the standardization of questions and
provides the opportunity to compare responses among various subgroups and stakeholders.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 56
Interviews also give researchers a glimpse into past situations that may have shaped the thought
process of the participants and to learn about the inner workings of their thought processes
through holistic descriptions (Weiss, 1994). Specifically, interviews allow the researcher to learn
what people perceive and how they interpret their perceptions (Weiss, 1994), which may prove
valuable in creating an understanding of the context and help to answer research questions.
Conceptual Framework
The leadership frameworks that composed the conceptual framework of this study are the
following: Bolman and Deal’s (2013) four frames model of leadership, School Leadership That
Works (Marzano et al., 2005), and Fullan’s (2014) The Principal: Three Keys to Maximizing
Impact.
Research Team
The research team for this study was composed of 12 doctoral students from the Univer-
sity of California’s (USC) Rossier School of Education. The lead researcher and supervisor was
Dr. Michael Escalante, a professor at the school and a respected practitioner in the field of
education. The research team met two or three times a month to develop research questions, to
discover relevant literature, to decide on the theoretical and conceptual frameworks that would
guide the study, and to provide encouragement and motivation. Due to the nature of the thematic
dissertation process and the collaborative efforts of the research team, there may be some shared
comments and information among dissertations, but each research team members completed his
or her own individual and distinct research project.
Population and Sample
The purpose of this study was to examine the preparation, recruitment, and retention of
principals. The population and sample for this study included district superintendents, human
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 57
resources administrators, immediate supervisors of principals, and standing principals in south-
ern California. Specifically, these participants were geographically located in Los Angeles
County, Orange County, the Inland Empire, and San Diego County. For this qualitative study, it
was important to collect a purposive, convenience sample of participants that was representative
of the setting of focus (Maxwell, 2013; Merriam & Tisdell, 2016). Although purposeful
sampling and convenience sampling are known to be very weak forms of sampling due to the
lack of a randomization process in its collection, it is important that the sample directly reflects
the purpose of the study in order to provide a clear understanding of the practices related to the
preparation, recruitment, and retention of principals in southern California (Merriam & Tisdell,
2016). The research team, along with the study’s supervisor, made contact with district superin-
tendents, human resources administrators, immediate supervisors of principals, and standing
principals in the southern California area to identify potential participants for survey distribution
and to conduct interviews.
Access and Entry
In order to conduct this study, the researcher received approval from the USC Institu-
tional Review Board (IRB). The IRB process ensures that a study is done ethically and that
participants have full knowledge with respect to making a decision to participate or not to
participate in the study (Glesne, 2011). Additionally, the IRB committee reviews all elements of
a study to make sure that there are no unnecessary risks involved for all participants and that the
benefits of the study outweigh any possible risks (Glesne, 2011).
To conduct surveys and interviews, the research team had to first gain access to the
participants themselves. Participants were contacted via email using the Research Participants
Invitation Letter (Appendix A); participants voluntarily decided to participate in the study. Using
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 58
an informed consent process (Appendix B), participants were asked to respond to the survey
portion, and some participants were also asked to take part in the interview portion of the data
collection process.
Instrumentation
This study used both quantitative and qualitative instruments to collect data and to under-
stand the preparation, recruitment, and retention of a principal. Multiple forms of data were used
to triangulate findings and further to support the results of the study (Creswell, 2014; Merriam &
Tisdell, 2016). This study also utilized survey data and information obtained from interviews to
form a holistic understanding of the areas of focus of this study.
Quantitative Instrumentation
The instruments to be used to collect quantitative data are in the form of surveys (Weiss,
1994), which were designed to obtain information from all relevant participants in the study via a
4-point Likert scale. All responses fell within a range of agree or disagree, with the following
numerical values being assigned to each category: 4 = Strongly Agree, 3 = Agree, 2 = Disagree,
and 1 = Strongly Disagree. Additionally, there was an I Don’t Know option that corresponded to
a numerical value of 0.
The questions asked of principals (Appendix C), human resources administrators (Appen-
dix D), immediate supervisors of principals (Appendix E), and superintendents (Appendix F)
were all aligned with the study’s research questions. The responses from participants were used
to form an understanding of the preparation, recruitment, and retention of principals. The
surveys were tested by the research team on volunteer participants and were modified based on
feedback that was shared with the team. Data collected using these quantitative instruments were
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 59
analyzed and used to support findings from the qualitative instruments described in the next
section.
Qualitative Instrumentation
The qualitative instrument used to collect data was in the form of interviews that were
organized into interview guides. Merriam and Tisdell (2016) described six types of effective
question categories that can be used when developing an interview instrument: experience and
behavior, opinion and values, feelings, knowledge, sensory, and background and demographic
questions. Interviews are an important tool to use to compare with the survey results, to
strengthen any relevant patterns, and to triangulate findings (Creswell, 2014; Merriam & Tisdell,
2016).
Each participant had his or her own interview protocol developed and refined by the
research team based on their stakeholder group. Principals (Appendix G), human resources
administrators (Appendix H), immediate supervisors of principals (Appendix I), and superinten-
dents (Appendix J) were asked questions that were aligned with all four of the following themes
that appeared in the literature review: training programs, experience, relational supports, and
experience/career planning. All survey and interview questions were organized and aligned
using the Question Alignment Matrix (Appendix K). Such a matrix allowed each participant to
experience the same questions in the same order as all other participants. This procedure allowed
not only uniformity but also flexibility to further explore topics when appropriate.
Data Collection
Qualitative and quantitative data were collected during the spring and summer of 2019
from current principals, immediate supervisors of principals, human resources administrators,
and superintendents from various sites in southern California. All participants completed a
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 60
consent form that outlined the purpose of the study and their right to remain anonymous and to
opt out of the study at any point. Data were collected using both online-based surveys and face-
to-face interviews. The research team used the Qualtrics
™
survey platform both to distribute
surveys and to collect quantitative data from participants. All surveys preserved the anonymity
of each participant. The team received a total of 206 completed surveys.
For qualitative interviews, participants completed a consent form for the study in which
they were informed that they could stop an interview at any time. Efforts were made to ensure
that respondents felt respected and comfortable. A total of 183 qualitative interviews were con-
ducted by the research team. Each interview lasted between 25 and 45 minutes. Interviews were
structured using the interview protocols developed by the research team (Appendices G, H, I, and
J) and took place at a convenient time and location for each participant (Weiss, 1994). Each
interview was recorded using an audio device and later transcribed (Weiss, 1994) to ensure the
accuracy of responses provided by participants. Transcribed interviews were then annotated with
the written notes that each member of the research team took during each corresponding inter-
view (Bogdan & Biklen, 2007). The recorded interviews and corresponding transcripts were
maintained in a secure location by the research team and inaccessible to all other individuals.
Data Analysis
Once all surveys are returned and all interviews completed, the research team began to
analyze the data. The research team utilized the lens of the conceptual frameworks outlined in
the review of the literature to uncover findings from each data source. The surveys provided
quantitative data that were summarized by using the median of the numerical responses based on
the Likert scale and then compared among the various stakeholders. Transcribed interviews
along with researcher notes were used to obtain qualitative data.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 61
A coding system was implemented to analyze the transcribed interviews using the
ATLAS.ti platform. Harding (2013) described the process of coding as one in which a researcher
can observe commonalities within a data set and that can help identify patterns and trends. In
addition, Merriam and Tisdell (2016) described the process of coding as a system that is used to
organize and manage data. The research team first read through all of the data sources to gain an
understanding of the content (Bogdan & Biklen, 2007). Then, based on recommendations by
Harding, the team identified initial categories based on the first read-through of the transcripts,
wrote out codes on the transcript, and reviewed the list of codes and organized them into catego-
ries. Finally, the team looked for themes and findings in each category. The use of specific
keywords or phrases allowed the research team to uncover patterns and themes. The conceptual
framework was then used to triangulate the findings to make meaning of the data.
Ethical Considerations
In describing ethical considerations in research studies, Glesne (2011) strongly suggested
to “strive to understand the complexity of social phenomena” (p. 239) and to fully portray
findings without bias or hidden agenda. Doing so requires a high level of confidentiality and
forming a deep level of trust. In this study, the researchers made sure to let all participants know
of the purpose of the project and made them aware of the importance of being honest in their
responses regarding their experiences with principals or as standing principals. As a result, none
of the participants were put at risk in any way and were not interrupted in their settings while
completing surveys or during interviews. The final analysis of results provided a clear and
honest representation of the participants’ views and experiences in relation to the preparation,
recruitment, and retention of principals.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 62
Chapter Summary
This study aimed to understand the practices related to the preparation, recruitment, and
retention of principals using a qualitative method approach. Data collected through surveys and
interviews of district superintendents, human resources administrators, immediate supervisors of
principals, and standing principals were analyzed to summarize findings. All findings from
quantitative and qualitative data were used to make connections to existing literature to answer
the research questions. Chapter Four presents the findings of the study.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 63
CHAPTER FOUR: FINDINGS
The purpose of this study was to examine the preparation, recruitment, and the retention
of K-12 school principals in California through the perceptions of current principals, immediate
supervisors of principals, human resources administrators, and superintendents. This chapter
analyzes the data collected by the researcher and the research team and presents the findings to
answer the research questions. The researcher discusses the perspectives of qualitative interview
participants and the quantitative data that were collected by the 12-member team of researchers.
Finally, to triangulate the data, the researcher incorporated the themes from the literature review
to confirm the findings. The questions for all surveys and interviews were aligned thematically
to the following three research questions:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resource 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 a focus on qualitative interviews of
participants representing 37 school districts. Additionally, quantitative data were also used to
support and reinforce significant themes. Qualitative interviews were conducted with three
principals, three immediate supervisors of principals, three human resources administrators, and
three superintendents from three school districts. The interview protocols in Appendices G, H, I,
and J were used to ensure consistency; and all questions were aligned with the following themes
that appeared in the literature review: training programs, experience, relational supports, and
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 64
experience/career planning. Qualitative interviews were transcribed and codes used to organize
and analyze data into overarching categories and themes using a constant-comparative method
(Lichtman, 2014; Merriam & Tisdell, 2016; Miles, Huberman, & Saldaña, 2014). Quantitative
surveys provided data that were summarized by using the median of the numerical responses
based on the Likert scale that was used and then compared among various participants to further
strengthen emergent themes. Quantitative survey questions and qualitative interview questions
were aligned through the use of the Question Alignment Matrix (Appendix K) to support each
emergent theme. Finally, the data in this chapter are presented in a manner to answer the three
research questions and are aligned with the literature discussed in Chapter Two.
This chapter is organized into the following sections: purpose of the study restated; a
description of qualitative interview participants; a description of quantitative survey participants;
findings for Research Questions 1, 2, and 3; and finally a chapter summary.
Purpose of the Study Restated
The purpose of this study was to gain insight into the perspectives of current principals,
immediate supervisors of principals, human resources administrators, and superintendents on the
roles of preparation, recruitment strategies, and systems of retention in relation to the position of
the K-12 principal in California. It also serves to inform aspiring principals of best practices in
order to provide a guide that a candidate can use on his or her career path toward the principal-
ship. Preparation programs and school districts may use the findings in this study to update
existing policies to more effectively develop school-site leaders as principals. Finally, current
principals may use the results to achieve success and longevity in the position.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 65
Study Participants
Qualitative Interview Participants
The researcher gathered qualitative data from participants representing three school
districts in the southern California area. The researcher interviewed a superintendent, an imme-
diate supervisor of principals, a human resources administrator, and a principal from each school
district in order to compare and triangulate experiences and findings among these participants in
relation to the preparation, recruitment, and retention of K-12 principals. Following is a brief
description of each school district.
District A was a large urban district with a student enrollment of over 100,000 students at
the time of this study. The district was broken up into several smaller districts, called local
districts, to distribute leadership administrators and resources throughout the entire service area.
Many schools within the district had earned academic awards and recognitions. Interview
participants from this district were the superintendent, a human resources administrator, an
immediate supervisor of principals, and a principal.
District B was a suburban district with a student enrollment of 17,000 students in 18
schools at the time of this study. Multiple schools in this district had earned numerous Gold
Ribbons, Distinguished Schools awards, and Title I Academic Achievement awards. Addition-
ally, the district had received multiple Golden Bell awards for acclaimed programs such as their
Saturday School Program for parents and students; Visual and Performing Arts (VAPA) educa-
tion programs; and science, technology, engineering, and mathematics (STEM) partnerships with
local universities. Interview participants from this district were the superintendent, a human
resources administrator, an immediate supervisor of principals, and a principal.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 66
District C was a district in an urban setting, serving 14,000 students throughout 18
schools at the time of this study. Recently, the district had received a National Advanced Place-
ment (AP) District of the Year award from the College Board for its efforts to provide access to
AP courses to inner-city youth. Interview participants from this district were the superintendent,
a human resources administrator, an immediate supervisor of principals, and a principal.
Quantitative Survey Participants
The researcher worked as part of a team of 12 researchers to gather quantitative survey
data from superintendents, human resources administrators, immediate supervisors of principals,
and principals. The survey questions were developed by the research team and aligned according
to themes based on the research questions. The surveys were shared electronically via email both
before qualitative interviews using the Research Participants Invitation Letter (Appendix A) and
immediately after qualitative interviews were conducted. The Qualtrics survey platform was
used to both distribute and collect quantitative data.
The survey was distributed to participants from 37 school districts throughout southern
California. Participants represented a variety of school districts, including unified school
districts, high school districts, and elementary school districts. A total of 186 surveys were
returned, for an overall response rate of 22%. The response rate for superintendents was 56% (n
= 21 out of 37), 53% for human resources administrators (n = 22 out of 41), 41% for immediate
supervisors of principals (n = 28 out of 68), and 16% for principals (n = 115 out of 708). Table 1
shows the breakdown of respondents.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 67
Table 1
Summary of Quantitative Survey Participants Based on Their Position
Number of Response rate
Position respondents (%)
Superintendent 21 56
Human resources administrator 22 53
Immediate supervisor of principals 28 41
Principal 115 16
Total 186 22
Findings for Research Question 1
In order to gain an understanding of the preparation required for the principalship,
Research Question 1 asked, “How have training programs and professional experiences prepared
principals to manage the complexities and challenges of the principalship?”
As the primary decision makers at school sites, principals must develop the skill set to
meet the needs of their stakeholders, assess staff performance, and drive student achievement
while addressing district, state, and federal mandates (Ng, 2015). As a result, there is a clear
need to develop systems to help school-site leaders to transition into the role; the topic of princi-
pal preparation has been one of much debate over the last 2 decades (Hackmann & Wanat, 2007).
The modern-day principal deals with a complex set of responsibilities that are driven by
social and political climates as they relate to the communities they serve and by district initia-
tives. As a result, there is a need for structured systems of preparation for emerging site-based
leaders to be ready to undertake the role of the principalship. The data analysis of this study
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 68
revealed the following three significant themes on how existing training programs and profes-
sional experiences prepared principals:
1. Preparation programs do not do enough to prepare emerging leaders for the multifac-
eted role of the principalship;
2. Out-of-classroom leadership activities allow teachers to develop relevant on-the-job
skills; and
3. Actively seeking learning opportunities beyond the classroom allows emerging
leaders to strengthen their existing skill sets.
Ineffective Preparation Programs
Traditionally, the most logical step that an emerging leader can take toward becoming a
principal is to formally obtain an administrative credential (Hale & Moorman, 2003). Nearly all
states require this certification to step into any administrative role, including the principalship.
As a result of inconsistent implementation of curriculum, professional standards, and expecta-
tions, university-based programs have received much scrutiny over the last 20 years (Hackmann
& Wanat, 2007). Through the qualitative interview process, there was a common theme that
university-based principal preparation programs do not fully prepare candidates for the demands
of the principalship and are simply a formality of the path toward an administrative role.
Many of the participants viewed the completion of university-based preparation programs
and earning a credential as simply part of the process of the system in place. When asked about
the type of training that principals should receive, Superintendent C shared:
Well, obviously, the formal training, right? They get the administrative services creden-
tial. That’s typically with that master’s degree, and then experience. . . . Okay. So I mean
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 69
training obviously is that base level education that you have to have with a credential.
(interview, June 13, 2019)
As described by Superintendent C, the schooling portion of becoming a principal is the initial
minimum requirement as mandated by the law and is seen as a formality before taking the next
step. Similarly, Immediate Supervisor A shared:
When I first think of a principal, they have to go through an administrative credential
program. That’s the academic portion, right, so which it becomes like a preliminary
credential that they receive. Then they can get a job in administration. (interview,
July 19, 2019)
Human Resources Administrator A took this notion a bit further and explained:
Well, they maybe all have to complete the coursework with the administrative credential,
of course, and that’s the official training. But, unfortunately when you’re a principal, you
don’t have any specific training. If you have on-the-job experience, that trains you, [then
that] prepares you to be a site principal. (interview, July 17, 2019)
He further described typical training programs to be “prescribed training program[s] that [are]
really lacking when it comes to preparing for the most difficult job you have in the school
district, which is being a site principal” (interview, July 17, 2019). In his 6 years of experience in
hiring principals, Human Resources Administrator A noted that he had to look beyond having
completed a preparation program because that’s only a point of entry into administration:
A lot of credentialing programs, they’re book smart but not reality smart. And when
you’re a principal, you’re dealing with reality and you’re dealing with decisions that they
don’t cover in a credentialing program when you have a water break, and you got to move
classes and what do you do? It’s called common sense and not overreacting and having
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 70
the cool head . . . basically, I don’t think they prepare you as much as on-the-job experi-
ence and seeing how you handle things. (interview, July 17, 2019)
Survey responses revealed that only 9.5% of superintendents, 13.6% of human resources
administrators, and 13% of principals strongly agreed that traditional university-based prepara-
tion programs prepare principal candidates for the reality of the position. This finding supported
the notion described in qualitative interviews that preparation programs do not, in fact, prepare
candidates for the responsibilities of the position. Human Resources Administrator A frequently
mentioned how typical preparation programs create theoretically sound candidates who can
complete coursework but many times lack the school-site experience from an operations and
instructional leadership standpoint.
This is not to say that university programs hold no real value. All interviewees expressed
that preparation programs gave candidates a theoretical foundation to base their experiences.
Principal A, for example, described her experience in her principal preparation program as a way
to provide a context for her previous leadership experiences. Specifically, the theory covered in
her program helped her to identify her leadership style and to develop the skills to develop a clear
vision for her work by having discussions with professors and classmates. Principal A described
the value of the work that she completed in her principal preparation program:
I think identifying the leadership—your leadership style. And then also I think when
you’re in the program, even though you clash with other people, you find, for example,
this program was . . . focused on social justice leadership. And so, I found like-minded
people that in areas—like back then I was a school coordinator . .. But I think most
importantly my growth is seeing myself as a leader. Because back then I was out of the
classroom, a school coordinator. But, I don’t think I was taking on leadership roles by
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 71
understanding the social cultural context . . . or what was the leadership style [I was
using] and like who am I, what am I about to have tapped into . . . my identity, what
makes me a leader, why I do the work? (interview, August 28, 2019)
As a response to preparation programs’ shortcomings in terms of site-based leadership,
the qualitative interviews revealed that many school districts have developed their own in-house
leadership programs to meet the needs of their schools. Immediate Supervisor A described her
district’s program as one that took place after a candidates successfully completed a preparation
program and earned an administrative credential:
We have what they call the Aspiring Principals Academy or Aspiring Assistant Principals
[Academy]. It’s a type of preparation that goes for about a year where they give classes
and support for those who are interested in administration. You do have to apply for that
Aspiring Principals or Aspiring Assistant Principals Academy. If you, after an interview
and all your paperwork, if you qualify, then you’re selected and you go through that 1
year preparation. . . . That’s just wonderful because I’m able to provide the district per-
spective and experiences as we help them with real stories and real situations that actually
happen in [the] district as they prepare for administration in [the] district. (interview,
July 19, 2019)
This program required additional applications, including interviews, and focused on
addressing the specific needs that their students and their schools required. Similarly, Immediate
Supervisor B described that most principals in her district
have gone through a principal preparation program that is . . . done through our central
office. . . . The process is that they apply to be part of this preparation program and part of
the application process requires their immediate administrator to verify that they feel they
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 72
have the leadership capacity, skills, and knowledge to become a principal. (interview,
June 23, 2019)
Human Resources Administrator C described a similar program in her district that had
predetermined themes to help aspiring principals to transition to the role of the principal:
Most of them have attended the Principals Academy, and they all as assistant principals
attended a professional leaders monthly seminar, which is an 8-hour time staff training in
leadership which prepares them for the role of leading a school, leading a staff, and
instruction. (interview, July 17, 2019)
Superintendents, human resources administrators, and immediate supervisors of princi-
pals indicated that their district’s additional training programs showed positive results in many
instances. Survey data, however, revealed that although 27% of human resources administrators
and immediate supervisors of principals strongly agreed that nonuniversity training programs
were important in preparing principals for their current positions, only 12.2% of principals felt
the same way. This finding might be attributed to the fact that 99.2% of all principal respondents
indicated that they had been in the field of education for 11 or more years (62.2%, for 20 or more
years), that 50% of them had been a principal for more than 6 years, and that many of the district-
created programs were described as having been implemented within the last 5 years. This infor-
mation means that it is possible that very many of the principal respondents did not have the
opportunity to participate in such programs.
Although this common theme was identified, participation in a preparation program was
an action that all participants agreed was necessary to transition from the classroom setting into a
formal leadership role. Obtaining an administrative credential is a requirement in the state of
California; and although there are a variety of ways to obtain one, as described in Chapter Two, a
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 73
only a credential obtained through a university-based program was discussed by participants.
Survey data and qualitative interviews supported the notion that university-based principal
preparation programs are not doing enough to help future principals in their roles at school sites
(Barnet, 2004; Hale & Moorman, 2003; Hess & Kelly, 2007; Korach & Sanders, 2012). Realiz-
ing that a need exists, districts create structured learning opportunities for future leaders that are
relevant to the realities of their own district to bridge the gap between theory and practice
(Browne-Ferrigno & Sanzo, 2011; Grogan & Roberson, 2002; Hess & Kelly, 2005). Prospective
leaders must then actively search for opportunities to become learners and system players. These
are qualities described by Fullan (2014) as necessities to become effective leaders. In a sense, the
process becomes a two-way system in which the district provides the structure and the prospec-
tive principal takes on the opportunities to develop and improve his or her existing skill sets.
Leadership Activities
Although completing a principal preparation program and obtaining an administrative
credential was a strategy that all standing principals completed, qualitative interviews revealed
that this process alone is not enough to successfully prepare for a principal position. Superin-
tendent A described that having a theoretical background alone is not enough to become a prin-
cipal. Emerging leaders need an opportunity to lead a group of people before they even formally
become administrators:
I think the most effective training doesn’t happen inside a classroom. I think it happens
when you’re on the job interfacing with real-life situations; and that includes interacting
with students, with parents, the community, and with staff on a campus. And oftentimes
when a teacher, for example, comes out of the classroom for the first time, they may have
the theoretical background, they may have read about what it takes to be an instructional
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 74
leader and a site administrator; however, it’s not until they immerse themselves in those
experiences, leading, for example, a parent committee, overseeing a budget conversation
with staff, the school plan, the safety plan, that they really get to truly experience what it’s
like to try to inspire and help move people in a direction to support students, families,
community, etc. So, I think that that is invaluable and you can’t replace those experi-
ences with anything else. (interview, June 3, 2019)
Similarly, Superintendent B described the notion of experiential learning being an
important aspect of the learning process in becoming a principal:
Because as situations come up, expected or unexpected, that require decisions that
include judgment, knowledge, and previous experience, so that the learning can be trans-
ferred, and seeing someone else do something allows you to watch every move—the way
the decision was communicated, how it was communicated, who participated in the
decision-making process. These are all easier to understand and relate to when you see it
happen in front of your eyes rather than just to read about it. (interview, June 4, 2019)
In having this mindset, Superintendent B’s district recruited aspiring principals who showed
traits of an effective leader directly from the teaching ranks into what she described as “hybrid
teacher leader positions” (interview, June 4, 2019) as instructional coaches, coordinators, or
teachers on special assignment.
By seeing prospective principals take on a variety of leadership roles, Superintendent C
had observed that
they get that fundamental training by living and working here, understanding the culture,
becoming part of our community, and understanding it. So, they get the formal training,
obviously, at [a] university, but then those varied experiences that we give them here.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 75
This is a district that invests a lot in our people. We do a lot of professional development
for our teachers through admin, so I think it’s with us that they get the most valuable
training. (interview, June 13, 2019)
All participants heavily emphasized the importance of actively taking on leadership roles
before becoming principals as key actions to prepare for the position. Human Resources Admin-
istrator A, specifically mentioned the importance of taking the time to develop leadership charac-
teristics. He said that
there should be no rush to be a principal. It should take some time, and you should feel
really comfortable in every area of the school before you move on because you can’t fake
it. You have to answer to multiple audiences, and they all have a different perspective
and a different question, and you want to be able to support and justify all your decisions
and answers. (interview, July 17, 2019)
Quantitative survey data further supported the importance of the theme of on-the-job
experience being valuable to prepare for the principalship. One hundred percent of principals,
91% of human resources administrators, 82% of immediate supervisors of principals, and 77% of
principals agreed or strongly agreed with the statement, “My prior work experience was more
important than my university training experience in preparing me for my position as a principal.”
The literature revealed that 96% of standing principals described their on-the-job experi-
ence and interactions with colleagues as more helpful than their preparation program in their
development as school leaders (Hess & Kelly, 2007). Given that only 2% of course content in
preparation programs focuses on issues of school accountability, school management, and school
improvement (Hess & Kelly, 2007), a need exists for prospective leaders to find ways to develop
the skills that they cannot learn in a classroom. The qualitative and quantitative data supported
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 76
the need for candidates to use the human resource frame (Bolman & Deal, 2013) to navigate the
complex social interactions that occur in a school and district setting while also being a lead
learner (Fullan, 2014) and to focus on continuous personal development to better lead a school in
the future. Additionally, Bolman and Deal contended that having this type of leadership experi-
ence demonstrates a heightened knowledge of the structure and organization of a school system
compared to those who do not receive on-the-job training.
Seeking Learning Opportunities
Desired site principals have previous leadership experiences and take on varied learning
opportunities before entering the principalship. The superintendents, human resources adminis-
trators, and immediate supervisors of principals all revealed that the most qualified principal
candidates all actively searched for and received learning opportunities that went beyond what
was expected in the classroom as a teacher to prepare them to become principals. In describing
her professional journey as an educator, Principal A noted:
I started my work at a primary center, and that’s where I grew as an educator, and that’s
where I was able to learn from strong leaders. . . . But I knew that I had outgrown the
place, so I told myself I need to find another [opportunity]—I need to find a K-5 school.
So, the minute I go into this large K-5 school, a school with 800 students to 900 students,
I was fully invested in the work and just hustling all the time. I would watch the principal
all the time . . . ask her questions, try to help her. I realized that she worked in isolation,
and I was like, “Oh my God, what is this?” (interview, August, 28, 2019)
After analyzing her professional goals, Principal A came to the realization that in order to further
develop as a leader, she needed to leave her comfort zone and seek learning opportunities where
she could further develop and learn new skills. She described her time working with another
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 77
principal and becoming fully immersed in responsibilities that her newfound mentor experienced,
even though initially the tasks at hand seemed daunting. She used the school-site learning expe-
rience to catapult her into a district-based position, working within the district’s parent unit
where she
was supporting 25 schools . . . with school-site council compliance, parent engagement
issues with parents—you name it. And I was hands on visiting schools. I think being
able to walk into five schools in one day was the most eye-opening experience where I
told myself, “I can do this!” I gave myself confidence. (interview, August, 28, 2019)
Principal A used her learning experiences to increase her confidence and to build capacity as a
leader to prepare her for the principalship.
Similarly, Immediate Supervisor B described how many standing principals in her district
communicated that [desire to learn new skills] to their administrator, to their supervising
principal and said, “What can I do?” and they said, “This is the path you need to take”;
they started working on that. As soon as they had enough years of teaching experience,
they went into a coordinatorship, and then they expressed a desire to become an assistant
principal and went through that process. But again, it’s always those who express their
desire to move on to the next level that have been able to work closely with their adminis-
trator to figure out a path and have them help them through that process [who end up
being most effective as leaders]. (interview, June 23, 2019)
Those who actively seek learning opportunities not only help themselves to develop their
skill set but also get the attention of their supervisors. Superintendent A verified this factor when
describing the actions that he saw from current principals before they earned the position:
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 78
So, I think about some of our principals who are in place right now—when they were in
the classroom, they sought out other opportunities, they volunteered to serve on commit-
tees, they made themselves available to help out—for example, during summer school,
enrichment programs, after-school programs. And they were looking for challenges.
They wanted to participate in school site council; they ran for those positions. They
wanted to learn more about how do you develop a safe schools plan. And they attended
and asked about, for example, strategic planning. They asked about the LCAP [Local
Control and Accountability Plan]. And so, they were a little bit more assertive in seeking
those opportunities. (interview, June 3, 2019)
The driving force for self-improvement as a leader can take many different roles, but some
districts also actively provide learning opportunities to improve the practices of their district
employees. Immediate Supervisor A described that part of her role as a supervisor of principals
is “being able to develop our principals and give them, if you wish, a job-embedded professional
development. With that we create kind of professional learning communities of assistant princi-
pals and those for just principals. We focus on instruction” (interview, July 19, 2019).
All participants agreed, that those candidates who actively searched for growth opportuni-
ties were the principals that were most prepared for the demands of the position. This task
requires current teacher leaders to search for opportunities that extend beyond the confines of the
classroom. Results from the quantitative surveys revealed that when participants were asked to
respond to the statement that having experience as a teacher leader was crucial for preparing for
their current positions as principals, 95% of superintendents, 95% of human resources adminis-
trators, 96% of immediate supervisors of principals, and 98% of principals agreed or strongly
agreed with the statement. District-level administrators, as well as site-level administrators, also
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 79
helped to provide the structures to help motivated teachers develop skills by providing leadership
training opportunities for them.
Once again, there is a need for candidates to use the human resources frame (Bolman &
Deal, 2013) while also being a lead learner (Fullan, 2014) in order to become more well rounded
and prepared leaders to serve a school site effectively.
Summary of Results for Research Question 1
The principalship is a complex and challenging undertaking and requires aspiring leaders
to be well prepared for the position. Results from this study unveiled three common themes from
the qualitative interview participants that were connected to the literature described in Chapter
Two and were supported by the quantitative survey findings. In preparing to become principals,
emerging leaders found that the theoretical knowledge gained in traditional university-based
preparation programs was not enough to prepare for the role of principal and, as a result, many
districts created district-specific preparation programs to help with the transition. Actively par-
ticipating in leadership activities helped participants be prepared to become principals, and
seeking specific learning opportunities helped leaders to develop the necessary skills to move
into being site-based leaders.
Findings for Research Question 2
To develop an understanding of recruitment experiences related to principals, Research
Question 2 asked, “What are the perceptions of principals, immediate supervisors of principals,
human resources administrators, and superintendents regarding strategies to recruit successful
principal candidates?”
Research showed that although there are more candidates with the required credentials to
take on administrative leadership roles than there are openings for positions, there has been a
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 80
decline in the interest to become principals (Bloom et al., 2003; Gajda & Militello, 2008;
Pijanowski et al., 2009). Emerging site leaders who are interested in becoming principals must
market themselves, and district leadership must equally recruit qualified candidates who meet
predetermined qualifications.
Results from this study revealed the following three significant themes on how recruit-
ment practices aid in placing qualified candidates into the principalship:
1. Mentorship experiences allow teacher leaders to develop social capital and gain
exposure to the role of the principal;
2. Developing and maintaining meaningful professional relationships helps emerging
leaders to further develop leadership skills;
3. Having a variety of leadership roles allows candidates to gain multiple perspectives
required for the role of the principal.
Mentoring
This study showed that mentoring relationships helped aspiring principals to be recruited
into principal positions. This emergent theme was one shared in many of the qualitative inter-
views.
Principal A described a mentor that she had early in her career:
When we were with the parent unit, he was the parent administrator. And he tells me one
day, “Where are you? What do you see yourself doing in 5 years?” I said, “I would love
to be a principal at a primary center.” . . . And he’s like, “But do you really believe it?
Like, do you really want it?” And so he like basically coached me and pushed me to
apply, but he also taught me a lot about emotional intelligence while I was there . . . and I
took that with me in interviews. (interview, August, 28, 2019)
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 81
Principal A had a mentor early on who encouraged her to apply for administrative leadership
positions even when the thought had not fully entered her head. He believed in her ability as a
leader, just like—as she also described—another mentor did the same:
I think people believing in you sometimes more than you did [helps] . . . People saw my
work ethic, and it wasn’t just my work ethic. One thing that my prior principal at [a]
large elementary told me—she said, in front of a large group in a discussion, like a leader-
ship team meeting. And she tells me, “What you say is really important and you speak
softly but when you speak, we listen and then we move forward.” (interview, August, 28,
2019)
Principal A used this experience to reflect on her practice and her actions that led her to build
confidence and use her skill set to be noticed.
Similarly, Human Resources Administrator A shared that his mentor was someone who
he was able to trust professionally:
I think professional relationships with having your mentors is important. I know my first
principal I worked for was my mentor and we connected. Find someone that you can
trust, but find someone you can be honest with. I know I spoke to my first principal and
maybe I said things bold, and I said to him, “I want to be an administrator.” (interview,
July 17, 2019)
Again, Human Resources Administrator A used his professional relationship to help build confi-
dence and awareness of his strengths. Additionally, mentors help aspiring leaders to build social
capital and navigate complex professional structures.
Superintendent B shared that
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 82
from a mentoring perspective, it’s very important to find a mentor that actually is willing
to share a lot of time with you. So that you can go to the person often with whatever
questions you may have, and it’s that combination that makes it much easier to find a job .
. . my mentor guided me, and I remember him telling me like the 1st week of school [to]
introduce yourself to the superintendent of HR [human resources]. He’s a real big basket-
ball fan. I was a basketball coach. He’d throw the interview stuff [all the] time: “What’s
your career path? What you want to do?” And just so he knows who you are. And I did.
And like 2 years, 3 years later there was an opening and he said, “Call him up. Tell me
what you think.” I said, “Okay.” And I didn’t know at that point that even though the
interview process going down the road that his decision was already made to select me
because of the different contacts that we had. (interview, June 4, 2019)
Superintendent B mentioned on several occasions that the professional mentors he had who
helped him be recruited were in positions of influence and knew the skills that were necessary to
move onto the next administrative leadership role. Principal A, Human Resources Administrator
A, and Superintendent B all received support and training in previous positions that helped with
their recruitment process, along with the support of a superior to motivate them to continue on
their path toward the principalship.
The quantitative survey data revealed that 95% of superintendents, 95% of human
resources administrators, 93% of immediate supervisors of principals, and 99% of principals
agreed or strongly agreed that “having a mentor was important in preparing principals for their
current positions.” Similarly, 81% of superintendents, 91% of human resources administrators,
79% of immediate supervisors of principals, and 77% of principals agreed or strongly agreed that
“having a mentor was an important factor in being recruited in my current position as a princi-
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 83
pal.” The discrepancy in the results might stem from the fact that 54% of principal respondents
started their career in the same district where they currently served as principal and 46% of
respondents started their career in a different district than where they currently served as princi-
pal. Although it is a valid statement to say that mentorship plays a role in both preparing for and
obtaining a position as a principal, it is worth noting that although the word “mentor” is used, it
can be inferred that what was meant is the term tapping.
Tapping is described as a process in which standing administrators actively select and
recruit teacher leaders who demonstrate effective or developing leadership qualities to eventually
become principals. The literature revealed that several researchers (Browne-Ferrigno & Muth,
2004, 2008; Whitaker, 2001, 2003) have identified this type of practice as an effective, direct,
and informal method to recruit prospective principals. Because current administrators under-
stand what it takes to be a principal, they are able to observe others who take on those qualities.
As a result, many principals have noted that they were ready to take on the position due to the
increased responsibilities and trust that were placed on them by previous supervisors (Browne-
Ferrigno & Muth, 2004, 2008; Normore, 2006).
Professional Relationships
Bloom et al. (2003) found that mentoring and networking based on personal relationships
rather than on instructional leadership development were most influential in helping aspiring
leaders to obtain administrative leadership positions. The results from this study revealed that
the use of relationships can help candidates become noticed and recruited for the principalship.
When asked to estimate the frequency in which building relationships has helped aspiring leaders
to be noticed, Superintendent C said:
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 84
To my knowledge, all the time. They build relationships with . . . like if they’re an assis-
tant principal or a teacher, they build relationships and credibility with principals or
people that are going to do hiring. They build those relationships . . . I mean, think of
yourself—if you’re going to apply for a position and the person on the other side of the
table interviewing you is a principal with whom you’ve built a good relationship, you’ve
built trust—they have confidence in your work. You know that’s going to go a long way
to helping you get that next level of job. When you do a lot of hiring from within, that’s
key, are those professional relationships. (interview, June 13, 2019)
Alternatively, the inability to network and create positive relationships can also hurt a candidate’s
available opportunities. Superintendent C continued:
I’ve seen the opposite happen, too. I’ve seen when we’re hiring, people who’ve had bad
experience with someone and they don’t have that professional relationship, that it’s not
worked for them. No matter how . . . and I’m using air quotes, “how qualified they are.”
(interview, June 13, 2019)
On the other hand, Human Resources Administrator B described how a candidate’s
ability to create relationships with the stakeholders with whom they may work can play a role in
the hiring process:
The other piece, I would say, is the ability to build relationships is also quite important—
relationships with parents, relationships with students, faculty, staff, district leadership.
That’s really, really important, how you navigate those things and how strong those things
are. I’d be looking for evidence of all of this. (interview, June 18, 2019)
In contrast, not only having a relationship and networking with people who are in charge
of hiring for a position but also the extent to which relationship building is occurring with people
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 85
at all levels of the organization can play a role in the recruitment process. Similarly, Human
Resources Administrator A described the importance of relationships and how they directly lead
to better career opportunities:
We look for people that the relationship you develop [is there]—like I have assistant
principals that I know will be principals because of their work ethic, their work product,
their passion, their hunger to learn, their hunger to use data to make it a better place, to be
informed [decision makers], but those habits and personal relationships of just working
through things. I know there are some people that will not be principals and because
those work in isolation, they are afraid to ask for help. (interview, July 17, 2019)
Results from the quantitative surveys revealed that 71% of superintendents, 95% of
human resources administrators, 82% of immediate supervisors of principals, and 70% of prin-
cipals agreed or strongly agreed that “networking with district administrators helps candidates get
recruited into principal positions in my district.” The relationships and networking that the
participants described were what the literature defined as a pipeline from the classroom to the
principal position (Browne-Ferrigno & Muth, 2004, 2008; Fullan, 2014; Thomson et al., 2003;
Whitaker, 2001). Such a process reduces or removes factors that might inhibit potential princi-
pals from applying, ensures that districts can structure the role of the principal based on the
strongest qualities of their candidates, and allows the district to place new principals in schools
where their skillset might best be used (DiPaola & Tschanne-Moran, 2003; Doyle & Locke,
2014; Pijanowski et al., 2009; Whitaker & Vogel, 2005). The process itself is informal and
unfolds based on the professional working relationships that are displayed in the workplace.
The importance of developing and maintaining positive relationships aligns with using
the human resource frame (Bolman & Deal, 2013) and requires a deep understanding of how to
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 86
be a district player (Fullan, 2014). Additionally, having a good understanding of relationships
and how a district is run requires a deep level of what Marzano et al. (2005) defined as situational
awareness and flexibility, because prospective leaders need to have a constantly developing set of
skills that align with an understanding of district goals and priorities.
Varied Leadership Roles
A third emerging theme for this research question involved an aspiring principal’s prior
experience, specifically his or her variety of previous roles, as a consideration during the recruit-
ment process. Human Resources Administrator A described the qualities that he looked for in
possible candidates:
I look for them to have some sort of on-the-job experienced training . . . like if you were a
coach, if you were a grade-level lead, if you sat on the site-based decision-making com-
mittee, if you were on site council, even if you were like on the safety committee. I look
for different experiences they’ve had outside the classroom that gives them a different
taste of the complexity of running a school. I even look at people who have had training
as a union member, as a job steward, because they actually know the contract well.
(interview, July 17, 2019)
Beyond the completion of a preparation program, district-level personnel look at a candidate’s
work history and prefer those who have received exposure to a variety of responsibilities at
school sites and beyond. Human Resources Administrator A further described that the principals
who demonstrated these types of résumés are “well rounded” and most prepared for the variety of
issues that a principal might face.
Superintendent B further elaborated and explained that a
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 87
combination of the coordinator position and the generic assistant principal position offers
the candidate the most exposure to both instruction and operations, which they will have
to use simultaneously when they become principal. So, they’re not [a] siloed set of
responsibilities, but they have to know what a generalist should be able to know and be
able to do before they take on the core leadership position of the principal. (interview,
June 4, 2019)
In describing his pathway toward the principalship, Human Resources Administrator A
mentioned his experiences as a classroom teacher, athletic director, assistant principal of instruc-
tion and curriculum, and assistant principal of discipline—all in two different districts—before
accepting a principal position. He was sure that the variety of leadership positions more than
prepared him for the recruiting process and emphasized that there should be no rush to become a
principal. It is important that candidates take their time and become comfortable in every area of
the school, because if an important situation arrives, “You can’t fake it” (interview, July 17,
2019).
In support of this theme, the quantitative data revealed that 100% of superintendents,
100% of human resources administrators, 93% of immediate supervisors of principals, and 97%
of principals agreed or strongly agreed that “having instructional leadership experience was an
important factor in being recruited in the principal position.” Similarly, 95% of superintendents,
100% of human resources administrators, 93% of immediate supervisors of principals, and 97%
of principals agreed or strongly agreed that “previous experience in education was an important
factor in being recruited in my current position as a principal.” The survey results served to
strengthen the importance of the theme of having a wide variety of positions and roles before
becoming a principal. Going through such a process requires exercising of a political frame, a
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 88
structural frame, and a human resource frame (Bolman & Deal, 2013). Navigating through
various complex roles means having a thorough understanding of the way in which systems
function, being able to appeal to the needs of the people whom they service, and being able to
empower the people that one works with to help fulfill a school’s mission and vision (Bolman &
Deal, 2013).
Summary of Results for Research Question 2
Principals in this study used a variety of strategies to help them attain their positions. The
results of this study identified three common themes that answered Research Question 2 on
strategies that principals used during recruitment. First, principals used mentorship experiences
to develop social capital and to gain exposure to the roles and responsibilities of the principal-
ship. Second, principals developed and maintained meaningful professional relationships
through networking to further develop leadership skills and to allow their existing strengths to be
noticed by others. Finally, having a variety of leadership roles as prior experience allowed
candidates to gain multiple first-hand perspectives to be able to handle the complex roles of the
principal position.
Findings for Research Question 3
To better understand the strategies that support the retention of principals, Research
Questions 3 asked, “What are the perceived strategies that support the retention of principals?”
According to Fuller et al. (2007), over half of standing principals will leave the position
within 5 years. Inconsistent leadership at school sites may not allow the growth of student
achievement and may cause a climate of uncertainty among staff. The high pressure of the
position, along with increased accountability at all levels, creates a need to implement effective
strategies to keep effective leaders at their school sites.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 89
Results from this study highlighted the following three significant themes on retention
strategies of principals:
1. Active participation in a network of leaders and mentors motivated existing principals
to implement new initiatives and share best practices;
2. Positive relationships with built-in supports in districts helped standing principals to
deal with issues that were relevant to their schools and district and helped them to retain their
positions.
3. Principals do not leave their positions based solely on their salary.
Networking and Mentoring
Networking is an activity that several qualitative interview participants identified as vital
to retain principals in their current positions. Although a level of networking was also used as a
method of recruitment, the ongoing networking also helped principals to share best practices and
experiences. Immediate Supervisor B made reference to networking via professional organiza-
tions such as the ACSA. Specifically, Human Resources Administrator C referenced her entire
district’s stance on professional organizations to support principals:
In our district, we are 100% members of all of ACSA. All of our administrators are
members of ACSA and [hold] positions within ACSA. They attend the ACSA confer-
ences. They are in regional committees. So they used ACSA as one of their strength
associations. They find the positive. They have people that they can reach out to . . . then
you have a whole pool of neighboring principals both within and outside of my district.
(interview, July 17, 2019)
This was a more formal type of networking experience with a direct focus on the inner workings
of the profession, including professional development and training. Human Resources
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 90
Administrator C said that she was frequently “letting the candidates know what the market is
like, letting the candidates know the associations that to build strong networks in. To reach out
and to be part of focus groups” (interview, July 17, 2019).
Superintendent A described a more specific approach to in-district networking through
formal, preassigned arrangements:
We put [principals] in cohorts. So, we try to put a new principal with a more experienced
principal, with a principal who might be stronger in some areas and maybe needs some
additional support in other areas, so that now they have two or three other people that they
can have these relationships with, that they can pick up the phone, call each other, maybe
hang out before or after work hours, and be able to help each other out. Because being a
principal can be a lonely position, and if you don’t have someone that you can pick up the
phone and talk to, and get some advice, bounce some ideas off, who is not your supervi-
sor, it can be a little bit more daunting and intimidating, and again, sort of feeling lonely.
(interview, June 3, 2019)
This strategic grouping of principals served to counteract the fact that often principals work in
isolation and do not always have the opportunity to further develop valuable skills. He described
it as a strategy to create an atmosphere where principals could create dialogue free of the fear of
feeling like they might be asking the wrong questions. He described this strategy as fundamen-
tally important
because the last thing we want is for a principal to be in a situation that’s not easy, and
not feel that they can call their supervisor, pick up the phone, and that they’re alone in
making those decisions, because they have a major responsibility, sometimes serving up
to 2,000 kids in our district; and we want to make sure that when they’re going through
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 91
those things that they know that they have the support. And here’s another network, an
informal network, that we formally structured, and bring them together throughout the
year so that they can be there for each other as well. (Superintendent A, interview,
June 3, 2019)
Alternatively, Principal A described a network support group that was initially created
during her university preparation program: “The whole point is to strategize and support each
other” (interview, August 28, 2019). It has since transformed into an informal support group that
she meets with monthly. When she recently moved to a larger school, she noted that “they were
one of the first groups I sent a text to because this is a strictly work relationship. . . . We just meet
once a month to have a therapy session for educators, and we talk about the issues [to people
who] really understand” (interview, August 28, 2019). The sharing of experiences helped to
contextualize the issues that they go through so that they can then have the ability to help one
another to solve the problems that they might have at their school sites. Principal A also
described that group as being supportive and motivational,
so what I do is what I tell the group because some of them are our assistant principals or
coordinators and you know, I tell them like a few years back, I was in your shoes. I’m
like, it’s possible. Just put your mind to it, you know? So, I try to be very supportive and
just give people encouragement that it is possible. Like, and also like explained to them
like a lot of my concerns and my fears also, which I don’t tell anybody else (interview,
August 28, 2019).
The literature revealed that professional organizations, such as the ACSA, provide job-
specific networking opportunities in the form of coaching to help address professional develop-
ment needs (Bloom et al., 2003). Additionally, professional organizations for administrators
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 92
such as NAESP, NASSP, and CALSA provide relevant networking and support opportunities for
both current and aspiring administrators (CALSA, 2019; NAESP, 2019; NASSP, 2019). The
literature also identified that given the high expectations of and pressures on the principalship,
meaningful mentoring and networking opportunities to help inexperienced colleagues help candi-
dates to successfully transition into the position and stay there for the long run (Daresh, 2004;
ERS, 2000).
The quantitative results from the survey showed support for this theme from three of the
four stakeholders. Seventy-one percent of superintendents, 82% of human resources administra-
tors, 86% of immediate supervisors of principals but only 41% of principals agreed or strongly
agreed that “professional networks (e.g., NAESP, NASSP, ACSA, university networks) provided
processes/strategies that currently support the success in retaining a position as a principal.”
There appeared to be a disconnect between principals and the other respondents, as less than half
of principals viewed participation in professional organizations as a useful tool for the retention
of their position; this issue might require further investigation. When asked whether “having a
mentor(s) provided principals with the processes/strategies that currently support the success in
retaining a position as a principal,” 100% of superintendents, 95% of human resources adminis-
trators, 96% of immediate supervisors of principals, and 92% of principals agreed or strongly
agreed. This finding was in stark contrast to the responses from all participants; and it appeared
that although there is value in formal professional organizations, there appears to be an even
greater value in having mentors to help to navigate the complex social and organizational
processes involved in being a principal.
In both formal and informal settings, mentors help current leaders to improve on a variety
of skills, to enhance relationships, and to develop an understanding of how to navigate the
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 93
political aspects of the principalship. An effective mentorship allows the implementation of the
political, structural, human resource, and symbolic frames, as described by Bolman and Deal
(2013). Existing principals who seek out learning opportunities were described by Fullan (2014)
as having lead learner characteristics, which Fullan defined as someone who actively engages in
activities that help to broaden their work-based knowledge through paid and unpaid means.
Positive Relationships
Although this theme appeared previously in relation to Research Question 2, this was a
strategy that emerged that was used by school districts to help to retain principals in their posi-
tions. In describing the type of relationship that principals had with his district, Superintendent A
mentioned the value of having positive relationships: “That’s something that is really important
for me—is making sure that they know that that’s a personal connection with me, with cabinet—
they have my cell phone” (interview, June 3, 2019). Superintendent A confirmed that the most
significant factor in ensuring principal retention is positive, ongoing communication, which
serves to further establish and strengthen positive relationships. He elaborated:
The personal relationship, and the intimacy, the family, is understanding, for them—that
they have support, that they’re going to do this job and we’re going to bring them in to be
successful—they’re not going to be left alone, that we have structures in place where
we’re going to help principals develop and evolve and get better. And some of those
structures, for example, include how do you walk into a classroom, how do you provide
teachers feedback, how often do you walk into a classroom, what type of feedback should
you be providing. “What do I do in a situation like this?” (interview, June 3, 2019)
Immediate Supervisor B confirmed that
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 94
if we have good personal relationships with them where we build that community of trust,
it helps them. . . . They’re happy. There’s a lot of research out there, not just in education,
but that says that if you have a good relationship with your supervisor and you feel
valued, and you feel like you’re being challenged, and have opportunities for growth,
you’re more likely to stay. (interview, June 23, 2019)
In a similar fashion, Human Resources Administrator B described the role that a district
must play in shielding principals from the external and internal political elements that sometimes
exist. He said that some districts do a great job at maintaining peace, but many do not do enough
to support their principals and their schools from achieving their mission. He emphasized the
need for a positive relationship with principals; otherwise, they will leave their positions.
The results from the quantitative survey revealed that 100% of superintendents, 100% of
human resources administrators, 96% of immediate supervisors of principals, and 97% of princi-
pals agreed or strongly agreed that “the relationships principals have with their directors, assis-
tant superintendents, and the superintendent support their success in retaining their current
positions.” The survey results served to support the theme that having positive relationships with
district personnel help current principals to retain their positions and to effectively do their jobs.
Having a positive relationship with district personnel ensures that principals develop a clear
understanding of district goals and priorities and helps them to become district players (Fullan,
2014), while developing situational awareness and discipline to plan out procedures to create an
efficient work environment (Marzano et al., 2005).
Financial Compensation
Several researchers (Baker et al., 2010; Cooley & Shen, 2000; Gajda & Militello, 2008)
have made note of the relative low salary of principals and how it is a determining factor in
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 95
pursuing the position and even leaving it. The qualitative interviews revealed that typically,
salary is not a major determinant in staying in a principal position. In discussing principal
retention, Superintendent A noted:
So, retention, I think, is something that’s sometimes overlooked. And I think sometimes,
again, like I said earlier with salaries, that sometimes we put too much emphasis and we
got to have a high-paying salary to retain employees. And when you look at the research,
employees, when they’re asked why they’re leaving an organization or department, etc.,
it’s never because of the salary, it’s because of a supervisor. And so, I know personally
that I had a supervisor when I was an assistant principal who was not the easiest person to
work with, and I remember thinking to myself, “Man, I’m going to go back into the
classroom. It’s not working out as an assistant principal.” And so, I think about those
experiences, and so for us, our principals are evaluated holistically—it’ll never be a single
person who provides that evaluation or that feedback. (interview, June 3, 2019).
Superintendent A commented that salary is not often a determining factor in leaving a
position and that it depends more often than not on the relationship with a supervisor. He
emphasized the importance of providing professional support and development to ensure that the
principal can also provide support for his or her staff:
And so that personal growth, that professional growth, I think, is important, because when
you have people who are aspiring to become principals, most of the time it’s not because
of the title or the salary—they want to do it because they feel like they’re now in a posi-
tion where they can potentially have a greater impact on more kids, on more teachers, on
a larger community, and so they want to be successful. So, what type of professional
development opportunities are you going to provide to help them continue growing,
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 96
evolving? And then also, how are you going to challenge them—how are you going to
keep them? And this is probably a different question, but anyway, that’s the other part of
the recruitment I think is important for them to know—is that when you come to [our
district], you’re here and you’re going to be . . . it’ll be competitive salary, benefits, be a
part of a family, it’ll be somewhere where you’re going to continue to be challenged and
you have opportunities for growth. (interview, June 3, 2019)
Supervisor A confirmed a previous theme that what is most important is having a collaborative
relationship of trust and support. As a principal, there will incentive packages that play a role
beyond the raw salary figure, and it is the district’s responsibility to ensure that the intangibles
are what keep their effective leaders happy so that they are willing to remain at their school sites.
Further supporting that notion, Immediate Supervisor B. contended that
usually, financial compensation is second. The counter to that is when they tend to leave
is because they’re not feeling that they’re being developed professionally, and maybe
there’s a culture of fear where they don’t feel that they are getting the support that they
need when they need it. That’s really what would compel them to leave. (interview,
June 23, 2019)
An analysis of the quantitative data revealed that only 57% of superintendents, 73% of
human resources administrators, 54% of immediate supervisors of principals, and 45% of princi-
pals agreed or strongly agreed that “principals’ compensation determines their desire to continue
in their current positions.” Less than half of principal respondents indicated that their salary
would play a significant role in leaving their position. Only human resources administrators at
73% provided some indication that salary might play a role in leaving a position.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 97
Summary of Results for Research Question 3
Principals and districts in this study adopted and implemented a variety of strategies to
support the ongoing retention of current principals. The results of this study identified three
prominent themes that support the retention of principals. The first theme was active participa-
tion in networks of leaders and mentors to motivate existing principals to implement new initia-
tives and to share best practices. The second emergent theme was building positive relationships
with built-in district support to help standing principals to deal with issues that are relevant to
their schools and districts as a way to encourage principals to retain their positions. The final
emergent theme had to do with the fact that salary was not the primary reason for principals
wanting to leave their current position.
Chapter Summary
This chapter examined the emergent themes that were identified by the researcher that
helped to answer this study’s three research questions on the preparation, recruitment, and reten-
tion of principals in California. The themes from this study were drawn from qualitative inter-
views of superintendents, human resources administrators, immediate supervisors of principals,
and principals from three school districts in southern California. The emergent themes were then
confirmed with quantitative data collected from surveys completed by participants representing
37 school districts throughout southern California. In addition, relevant literature from Chapter
Two was used to strengthen the themes’ importance and were then highlighted using the theoreti-
cal framework where applicable.
Three emergent themes were identified for Research Question 1, dealing with principal
preparation: (a) that preparation programs do not do enough to prepare aspiring principals for the
job, (b) that out-of-classroom leadership activities allow teachers to develop relevant on-the-job
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 98
skills, and (c) actively seeking learning opportunities beyond the classroom allow emerging
leaders to strengthen their existing skill sets. Three emergent themes were identified for
Research Question 2, dealing with principal recruitment: (a) that mentorship experiences allowed
teacher leaders to develop social capital and to gain exposure to the role of the principal, (b) that
developing and maintaining meaningful professional relationships help emerging leaders to
further develop leadership skills, and (c) that having a variety of leadership roles allows candi-
dates to gain multiple perspectives required for the role of the principal. Finally, three emergent
themes were identified for Research Question 3, related to principal retention: (a) that active
participation in a network of leaders and mentors motivates existing principals to implement new
initiatives and to share best practices, (b) that positive relationships with built-in supports in
districts help standing principals to deal with issues that are relevant to their schools and district
and encourage principals to retain their positions, and (c) that principals do not leave their
positions based solely on their salary.
Chapter Four included a discussion on this study’s emergent themes, which answered this
study’s three research questions. The summary, limitations, implications, recommendations for
future study, and the study’s conclusion are presented in Chapter Five.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 99
CHAPTER FIVE: DISCUSSION, IMPLICATIONS, AND RECOMMENDATIONS
The principal is the second most critical influence on student achievement, after class-
room teachers (Fullan, 2014). The growth of district bureaucracies has forced district leadership
to decentralize its direct role at school sites and the principal to take on the tasks of transforming,
restructuring, and stabilizing schools (Brown, 2011). As site-based decision makers, principals
have the responsibility to meet the needs of multiple stakeholders, to assess staff performance
and development, and to create structures to ensure students’ success (Ng, 2015). In order to
meet those challenges, the principalship has evolved into a multifaceted position that has under-
gone a variety of changes to satisfy district, state, and federal educational mandates (Brubaker,
1995; Kafka, 2009). The importance of an effective principal has been recognized for many
years (Rice, 2010), yet there is still a growing need to examine best practices in relation to the
position.
The increasing complexity of the principalship requires aspiring principals to more care-
fully consider their methods of preparation, recruitment, and retention for the position. Tradi-
tional university-based programs have fallen short in their efforts to adequately prepare aspiring
principals for the realities of the position (Brown, 2011; Davis & Darling-Hammond, 2012; Hess
& Kelly, 2007; Jackson & Kelley, 2002; Korach & Sanders, 2012). An increase in available
candidates with a declining interest in the position (Bloom et al., 2003; Gajda & Militello, 2008;
Pijanowski et al., 2009) is one of the challenges faced in the process of recruitment for the
principalship. Complicating issues even further, although existing supports for principals has
contributed to ongoing success in the position (Brown, 2011) is the fact that principal turnover
remains high (Pijanowski et al., 2009)—thus indicating a problem in terms of retention of
principals.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 100
Purpose of the Study Restated
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of K-12 principals in California. Additionally, this study serves to inform aspiring
principals of best practices as a guide for the principalship. Similarly, university and nonuni-
versity programs may use the results of this study to modify and adapt existing programs to meet
the needs of candidates and school districts. Finally, supervisors and district personnel may use
the information in this study to update exiting policies and more effectively to recruit and retain
principals and principal candidates. Three leadership models served as theoretical frameworks to
guide this study: (a) Bolman and Deal’s (2013) four frames model of leadership; (b) the work of
Marzano et al. (2005), School Leadership That Works: From Research to Results; and (c)
Fullan’s (2014) The Principal: Three Keys to Maximizing Impact.
The researcher of this study worked collaboratively with a team of 12 researchers from
the USC Rossier School of Education to design the study, the research questions, the qualitative
methodology, and the qualitative and quantitative instrumentation. The research team also col-
laboratively administered quantitative surveys and conducted qualitative interviews using four
groups of participants: (a) superintendents, (b) human resources administrators, (c) immediate
supervisors of principals, and (d) principals. All qualitative and quantitative instruments were
designed to align with the three research questions of this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 101
3. What are the perceived strategies that support the retention of principals?
Qualitative interviews revealed three emergent themes per research question in the study, for a
total of nine emergent themes.
Summary of Findings
Research Question 1
The analysis of qualitative interview data produced three themes relevant to the prepara-
tion of principals. The first emerging theme revealed was that preparation programs do not do
enough to prepare aspiring principals for the principalship. This study confirmed existing liter-
ature that states that both university and nonuniversity programs do not adequately prepare
principals for their jobs and that there exist many deficiencies that prevent them from being
effective for the realities of the position (Barnet, 2004; Browne-Ferrigno, 2011; Hale & Moor-
man, 2003; Hess & Kelly, 2007; Jackson & Kelley, 2002). Interviews also revealed that this
reality has motivated several districts to create their own district-specific training programs for
their aspiring leaders.
The second emergent theme was that out-of-classroom leadership activities allow
teachers to develop relevant on-the-job skills that are necessary for the principalship. This
finding confirmed the research of Hess and Kelly (2007), who found that only 2% of course
content in preparation programs focused on issues of school accountability, school management,
and school improvement. Therefore, additional activities are required for aspiring principals to
develop and foster valuable skills to prepare them for the principalship.
Finally, aspiring principals prepared for the position by actively seeking learning opportu-
nities beyond the classroom to allow them to strengthen their existing skill set. This finding
confirmed the need for candidates to use the human resources frame (Bolman & Deal, 2013)
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 102
while also being lead learners (Fullan, 2014) so as to become more well rounded and prepared
leaders to serve a school site effectively.
Research Question 2
The analysis of qualitative interview data produced three themes relevant to the recruit-
ment of principals. The first emergent theme was that mentorship experiences allowed teacher
leaders to develop social capital and to gain exposure to the role of the principal. This study
confirmed existing literature that mentorship, in the form of tapping, is an effective, direct, and
informal method to recruit prospective principals (Browne-Ferrigno & Muth, 2004, 2008;
Whitaker, 2001, 2003). Because current administrators know what leadership qualities to look
for, they are able to identify teacher leaders who exhibit those qualities and guide them toward
applying and obtaining formal leadership positions.
The second emergent theme was that developing and maintaining meaningful profes-
sional relationships helped emerging leaders to further develop leadership skills. This finding
confirmed existing literature that indicated that mentoring and networking based on personal
relationships were most influential in helping aspiring leaders to obtain administrative leadership
positions (Bloom et al., 2003).
Finally, the third emergent theme was that having a variety of leadership roles allows
candidates to gain multiple perspectives required for the role of the principal. Having a variety of
leadership roles requires exercising of a political frame, a structural frame, and a human resource
frame (Bolman & Deal, 2013). This, in turn, leads to the development of a thorough understand-
ing of the way in which systems function and the ability to empower the people with whom one
works to help to fulfill a school’s mission and vision (Bolman & Deal, 2013).
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 103
Research Question 3
The analysis of qualitative interview data produced three themes relevant to the retention
of principals. The first emergent theme was that active participation in a network of leaders and
mentors motivates existing principals to implement initiatives and to share best practices. This
theme confirmed the prior literature that identified that meaningful mentoring and networking
opportunities helped inexperienced colleagues and aided candidates to successfully transition
into principal positions and stay there for the long run (Daresh, 2004; ERS, 2000).
The second emergent theme was that positive relationships with built-in supports in
districts help standing principals to deal with the issues that are relevant to their schools and
districts and encourage principals to retain their positions. This theme supported existing litera-
ture that indicated that having positive relationships helps to develop a clear understanding of
district goals and priorities while becoming district players (Fullan, 2014). Additionally, such
relationships help develop situational awareness and discipline to plan out procedures and create
an efficient work environment (Marzano et al., 2005).
Finally, the third emergent theme was that principals do not leave their positions based
solely on their salary and financial compensation. This finding serves as a counterargument
against existing literature that stated that both current principals and aspiring principals have
referenced the relative low salary and compensation of the principalships as reasons to leave and
avoid the position (Baker et al., 2010; Cooley & Shen, 2000; Gajda & Militello, 2008).
Limitations
To provide full disclosure, a set of limitations are identified for this study. One limitation
was the fact that the validity and reliability of this study were subject to the responses of the
voluntary participants in the study. The participants of this study were individuals located in
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 104
southern California, specifically in Los Angeles County, the Inland Empire, San Diego County,
and Orange County. Survey questions and interview questions were administered to participants
who met specific inclusion criteria and were therefore a part of a purposive sampling process.
The results of the study were limited to the self-reported data collected from participants who
responded voluntarily to survey and interview questions. Finally, it is possible that there might
have been sources of bias in either a participant’s interpretation of questions or the researcher’s
interpretation of responses.
Implications
This study contributed to the existing body of literature on the principalship by identify-
ing strategies relevant to the preparation and recruitment for and retention of the position.
Although the insights that were identified in this study represented a small sample size from the
southern California region, the identified themes can be used by multiple stakeholders to inform
actions that may be taken by preparation programs, districts, and prospective principals.
This study serves to inform existing preparation programs, both university based and
nonuniversity based, to evaluate their practices, curriculum, and partnerships. Participants iden-
tified that their preparation programs did little to prepare them for the realities of the principal
position. In many instances, this problem created the need for some districts to develop their
own preparation programs to fill in the gaps that were left after candidates completed traditional
programs.
This study provides useful information for districts based on the perspectives of superin-
tendents, human resources administrators, direct supervisors of principals, and principals. The
study can inform their practices in preparing future and standing principals for the responsibili-
ties of the position. Similarly, the information collected through this study can inform
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 105
superintendents and human resources personnel about best practices and areas of growth in terms
of developing and keeping effective leaders both in the district and at school sites. Ideally, the
study may serve as a way to have districts change their strategies in terms of preparation, recruit-
ment, and retention of principals.
The study also provides valuable information from the perspectives of existing district
leaders for current site-based school leaders as well as a coherent path toward the principalship.
The findings of this study present valuable insights to help prospective principals to take the
appropriate steps to be prepared for and recruited into the position and also to provide a frame-
work for staying in the position.
Recommendations for Future Study
Based on the themes of this study, the researcher identified the following research recom-
mendations:
1. Future research could include a self-analysis by university-based preparation
programs to evaluate existing admissions practices and curriculum. Performing qualitative inter-
views of staff, document analysis, and curriculum alignment with the needs of local districts
could inform more specific strategies to better prepare potential principal candidates.
2. Future research could focus on the effects of the recently implemented California
Administrator Performance Assessment (CalAPA) on admissions practices and levels of prepara-
tion of candidates who successfully pass the sequence of assessments. Qualitative interviews
with administrators of preparation programs implementing the CalAPA and of participants
completing the assessments could potentially help inform the effectiveness of this initiative.
3. Future research could include a focus on specific on-the-job experiences that most
candidates lack based on district feedback and what potential candidates can do to receive those
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 106
experiences. Qualitative interviews with district personnel and current standing site-based
leaders could provide insight on how to provide the experiences necessary to develop the skills
that are most crucial for the principalship.
4. Future research could include case studies on existing successful, formal pipelines
from teacher to principal that are in place in school districts. Qualitative interviews with district
human resources personnel, site-based leadership, and teachers could provide insight on how to
develop a successful framework that could possibly be implemented in other districts.
Conclusion
The principalship is a complex and challenging position that requires adequate prepara-
tion, recruitment, and retention strategies in order to ensure success. Due to this situation, pros-
pective principals must be purposeful in the approach that they take when embarking on the task
of becoming a principal.
This study focused on the preparation, recruitment, and retention of the principal. Three
research questions guided the focus of this study; and a conceptual framework based on the work
of Bolman and Deal (2013), Fullan (2014), and Marzano et al. (2005) was used a lens to interpret
the results. Qualitative interview protocols and quantitative survey questions were developed
collaboratively by the research team and were aligned to the research questions. The research
team took measures to ensure that all data were collected ethically and uniformly by using the
same procedures for all participants.
An analysis of the qualitative interviews and quantitative surveys revealed nine emergent
themes:
1. Preparation programs do not do enough to prepare emerging leaders for the multifac-
eted role of the principalship;
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 107
2. Out-of-classroom leadership activities allow teachers to develop relevant on-the-job
skills;
3. Actively seeking learning opportunities beyond the classroom allows emerging
leaders to strengthen existing skill sets;
4. Mentorship experiences allowed teacher leaders to develop social capital and gain
exposure to the role of the principal;
5. Developing and maintaining meaningful professional relationships helps emerging
leaders to further develop their leadership skills;
6. Having a variety of leadership roles allows candidates to gain multiple perspectives
required for the role of the principal;
7. Active participation in a network of leaders and mentors motivates existing principals
to implement new initiatives and share best practices;
8. Positive relationships with built-in supports in districts help standing principals to
deal with issues that are relevant to their schools and districts and to retain their positions; and
9. Principals do not leave their positions based solely on their salary.
The principal is the face of a school site and is responsible to meet the needs of all stake-
holders. Changes in accountability measures from district, state, and federal mandates have
increased the responsibilities that are required for the position and, as a result, many potential
candidates do not recognize the complexity of the position (Baker et al., 2010; Kafka, 2009;
Kavanaugh, 2005). These realities present challenges on the road to the principalship and require
that potential principals carefully plan their paths. These challenges also require preparation
programs and districts to provide the necessary systems to ensure that principals are successful in
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 108
their role. This study has informed the reader of the current state of the principalship and has
provided strategies for the preparation, recruitment, and retention of principals.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 109
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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 Cali-
fornia 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, recruit-
ment, 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
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 119
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: __________________
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 120
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) ___________________________________________
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 121
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)
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
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 122
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
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 123
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 124
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 125
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 126
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 127
36. Pressures from accountability measures
affect my desire to retain my position as
a principal.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 128
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 129
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
recruiting for principal positions in my
district.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 130
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 131
Based on your perception of the retention of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy 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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 132
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 133
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 134
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
understanding 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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 135
Based on your perception of the retention of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy used by principals to maintain their current
principal position.
RETENTION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 136
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 137
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 138
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.
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 139
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.
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 140
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?
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 141
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?
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 142
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?
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 143
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?
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 144
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?
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 145
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?
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 146
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?
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 147
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?
PRINCIPALS: PREPARATION, RECRUITMENT, RETENTION 148
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 function of the principal has expanded greatly as accountability measures from district and state mandates have increased the responsibilities that are required for the position. As school district leadership has decentralized its direct role at school sites due to increasing bureaucracy, the principal now must deal with transforming, restructuring, and stabilizing school sites while meeting the needs of multiple stakeholders. This qualitative study provided insight into the perspectives of current principals, immediate supervisors of principals, human resources administrators, and superintendents on the preparation, recruitment, and retention of the principal in southern California public schools. Participants from 37 public school districts provided qualitative interviews and completed quantitative surveys to answer the study’s three research questions through common emerging themes. The three research questions of this study were aimed to understand principal preparation, recruitment, and retention. Traditional preparation programs do not adequately prepare emerging leaders for the role of the principalship

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Asset Metadata

Creator Magallón, Leo Fitzgerald (author)

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

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 05/13/2020

Defense Date 01/16/2020

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

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

Language English

Contributor Electronically uploaded by the author (provenance)

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

Creator Email leo.f.magallon@gmail.com,lmagallo@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-306431

Unique identifier UC11665362

Identifier etd-MagallonLe-8504.pdf (filename),usctheses-c89-306431 (legacy record id)

Legacy Identifier etd-MagallonLe-8504.pdf

Dmrecord 306431

Document Type Dissertation

Rights Magallón, Leo Fitzgerald; Magallon, Leo Fitzgerald

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