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An Examination of Principal Shortages in Florida School Districts

University of Florida Institutional Repository
Permanent Link: http://ufdc.ufl.edu/UFE0021210/00001

Material Information

Title: An Examination of Principal Shortages in Florida School Districts Implications for Succession Planning for Principal Replacement
Physical Description: 1 online resource (149 p.)
Language: english
Creator: Stutsman, Kim Kotila
Publisher: University of Florida
Place of Publication: Gainesville, Fla.
Publication Date: 2007

Subjects

Subjects / Keywords: districts, florida, leadership, minority, principal, qualified, school, shortage, size, standards, succession, well
Educational Administration and Policy -- Dissertations, Academic -- UF
Genre: Educational Leadership thesis, Ed.D.
bibliography   ( marcgt )
theses   ( marcgt )
government publication (state, provincial, terriorial, dependent)   ( marcgt )
born-digital   ( sobekcm )
Electronic Thesis or Dissertation

Notes

Abstract: This study explored the shortage of well-qualified principals and succession planning policies developed by Florida School Districts. The sample consisted of 15 small districts (less than 10,000 students), 13 medium size districts (between 10,000 and 50,000 students), and 8 large districts (more than 50,000 students). Survey data were collected regarding shortages of well-qualified principals. Chi-square and independent t-tests were used to determine significance. Findings include: (a) Florida school districts, regardless of size, are experiencing shortages of well-qualified principal candidates; (b) school districts with succession planning policies in place experienced fewer shortages of well-qualified principal candidates; and (c) districts that have comprehensive succession plans for recruiting, hiring and training new and aspiring principals experienced fewer shortages. Other conclusions indicated that finding well-qualified female applicants for vacant principal positions was not an issue, and succession planning policies do not assure adequate numbers of well-qualified minority applicants for vacant principal positions. Districts reported these barriers to employment of well-qualified principals: insufficient salary, stress, testing/accountability, increased time commitment, and lack of interest by teachers. To determine the meaning of the term 'well-qualified' as it applied to candidates for vacant principal positions, an interview survey protocol was administered to six selected school districts: two small, two medium and two large. Responses were compared to the 10 Florida Leadership Standards. The meaning of 'well-qualified' varied from district to district; they desire principals whose qualifications exceed the 10 Florida Principal Leadership Standards. A well-designed succession plan may assist school districts in recruiting, hiring, and training well-qualified principals. Eighteen (18) research based succession plan components were recommended.
General Note: In the series University of Florida Digital Collections.
General Note: Includes vita.
Bibliography: Includes bibliographical references.
Source of Description: Description based on online resource; title from PDF title page.
Source of Description: This bibliographic record is available under the Creative Commons CC0 public domain dedication. The University of Florida Libraries, as creator of this bibliographic record, has waived all rights to it worldwide under copyright law, including all related and neighboring rights, to the extent allowed by law.
Statement of Responsibility: by Kim Kotila Stutsman.
Thesis: Thesis (Ed.D.)--University of Florida, 2007.
Local: Adviser: Doud, James L.

Record Information

Source Institution: UFRGP
Rights Management: Applicable rights reserved.
Classification: lcc - LD1780 2007
System ID: UFE0021210:00001

Permanent Link: http://ufdc.ufl.edu/UFE0021210/00001

Material Information

Title: An Examination of Principal Shortages in Florida School Districts Implications for Succession Planning for Principal Replacement
Physical Description: 1 online resource (149 p.)
Language: english
Creator: Stutsman, Kim Kotila
Publisher: University of Florida
Place of Publication: Gainesville, Fla.
Publication Date: 2007

Subjects

Subjects / Keywords: districts, florida, leadership, minority, principal, qualified, school, shortage, size, standards, succession, well
Educational Administration and Policy -- Dissertations, Academic -- UF
Genre: Educational Leadership thesis, Ed.D.
bibliography   ( marcgt )
theses   ( marcgt )
government publication (state, provincial, terriorial, dependent)   ( marcgt )
born-digital   ( sobekcm )
Electronic Thesis or Dissertation

Notes

Abstract: This study explored the shortage of well-qualified principals and succession planning policies developed by Florida School Districts. The sample consisted of 15 small districts (less than 10,000 students), 13 medium size districts (between 10,000 and 50,000 students), and 8 large districts (more than 50,000 students). Survey data were collected regarding shortages of well-qualified principals. Chi-square and independent t-tests were used to determine significance. Findings include: (a) Florida school districts, regardless of size, are experiencing shortages of well-qualified principal candidates; (b) school districts with succession planning policies in place experienced fewer shortages of well-qualified principal candidates; and (c) districts that have comprehensive succession plans for recruiting, hiring and training new and aspiring principals experienced fewer shortages. Other conclusions indicated that finding well-qualified female applicants for vacant principal positions was not an issue, and succession planning policies do not assure adequate numbers of well-qualified minority applicants for vacant principal positions. Districts reported these barriers to employment of well-qualified principals: insufficient salary, stress, testing/accountability, increased time commitment, and lack of interest by teachers. To determine the meaning of the term 'well-qualified' as it applied to candidates for vacant principal positions, an interview survey protocol was administered to six selected school districts: two small, two medium and two large. Responses were compared to the 10 Florida Leadership Standards. The meaning of 'well-qualified' varied from district to district; they desire principals whose qualifications exceed the 10 Florida Principal Leadership Standards. A well-designed succession plan may assist school districts in recruiting, hiring, and training well-qualified principals. Eighteen (18) research based succession plan components were recommended.
General Note: In the series University of Florida Digital Collections.
General Note: Includes vita.
Bibliography: Includes bibliographical references.
Source of Description: Description based on online resource; title from PDF title page.
Source of Description: This bibliographic record is available under the Creative Commons CC0 public domain dedication. The University of Florida Libraries, as creator of this bibliographic record, has waived all rights to it worldwide under copyright law, including all related and neighboring rights, to the extent allowed by law.
Statement of Responsibility: by Kim Kotila Stutsman.
Thesis: Thesis (Ed.D.)--University of Florida, 2007.
Local: Adviser: Doud, James L.

Record Information

Source Institution: UFRGP
Rights Management: Applicable rights reserved.
Classification: lcc - LD1780 2007
System ID: UFE0021210:00001


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21b9e554f41a31f2c4a7b601e81ab57d215ca744







AN EXAMINATION OF PRINCIPAL SHORTAGES IN FLORIDA SCHOOL DISTRICTS:
IMPLICATIONS FOR SUCCESSION PLANNING FOR PRINCIPAL REPLACEMENT




















By

KIM KOTILA STUTSMAN


A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT
OF THE REQUIREMENTS FOR THE DEGREE OF
DOCTOR OF EDUCATION

UNIVERSITY OF FLORIDA

2007



































2007 Kim K. Stutsman



























To aspiring principals and those who inspire them to become educational leaders.









ACKNOWLEDGMENTS

I wish to express my gratitude first and foremost to Dr. Jim Doud for his continual support

throughout my journey towards completion of this research. His 1998 study of the principalship

provided the impetus for my study. As the chair of my committee, my mentor, teacher and friend

he spent countless hours reading and editing my writing, supplying encouragement and support. I

could not have finished this study without him. I also wish to thank members of my committee,

Frances VanDiver, Phil Clark and John Kranzler.

Additionally, I wish to thank my dear friend Leanna Isaacson who first talked me into

applying to the University of Florida for the doctoral cohort. Her words of wisdom and

occasional "kick in the pants" kept me going whenever I hit a point of discouragement. Words

alone are not adequate to thank her for believing in me and helping me along the way. Having

completed a doctoral program herself, she was able to empathize with me and provide much

needed advice.

Support also came to me from my fellow UF cohort members who have been on the same

path with me. How comforting it has been to know that we are in this together and share one

another's joy at completion.

Appreciation also is extended to former and current members of my Lakeville Elementary

family: Megan Caldwell, Jan Quint, Ivy Hoyler, Johnelle Pauley and Frank Mattucci who often

had to "hold down the fort" at the school while I took classes and worked on this project.

Current and former Orange County School district personnel have provided

encouragement and assistance to me along the way: Joe Joyner, Ruth Perez, Kathy Sills, and Lee

Baldwin. I am very grateful for their support. Additionally, I wish to express appreciation to

Jenny Bergeron of the University of Florida for her assistance in setting up my statistical

applications, and to Tammy Owens for her statistical advice.









Lastly, I wish to express my extreme gratitude to members of my family for their belief in

me and for giving me permission to spend less time with them and more time at the computer:

my husband Larry Stutsman, daughters Tammy Lundman and Jill Koverman, son Eric Beute and

my parents, Ruth and Chick Henne. I could not have asked for a better cheering section.










TABLE OF CONTENTS

page

A CK N O W LED G M EN T S ................................................................. ........... ............. .....

L IST O F T A B L E S .......... .... ......................................................................................... 9

A B S T R A C T ........................................... ................................................................. 1 1

CHAPTER

1 INTRODUCTION ............... ............................ .............................. 13

Statement of the Problem............................... ... ........ .......... ................. 14
Anticipated Shortages of Well-Qualified Principals .....................................................14
School Principal Succession Planning................................................................. ...... 14
Purpose of the Study ............... .................................................. .... 18
Research Questions................... ......... .......... ...... .... .......... 19
Significance of the Study ....................................................... .......... ......... ..... 19
G lossary of T erm s .........................................................................................................19
D e lim ita tio n s ..................................................................................................................... 2 1
L im itatio n s ........................................................................................2 1
O rg animation of th e Stu dy ................................................................. ..............................22

2 REVIEW OF THE LITERATURE ................................................ .........23

A c c o u n ta b ility ................................................................................................................... 2 3
W ell-Qualified Principals ............................................................................. .. ...... ...............26
Principal Shortages and Deterrents to the Principalship........................ .......... 29
Succession Planning in Business .............................................................. ..............34
Su ccession P planning ................................................................35
Su ccession M an ag em ent ........................................................................................... 3 5
Succession Planning for the Principalship ................................................................... 41
P principal P reparation P program s ................................................................................. 4 1
P rin cip al R ecruitm ent ................................................................................ 4 5
P rin c ip a l S ele ctio n ..................................................................................................... 5 0
Socialization Processes.................................. .......... 53
Studies of School D district Succession Plans................................................. 58
Sum m ary of R elated R research ......................................................................................63

3 M E T H O D O L O G Y ........................................................................................................... 6 5

In tro d u ctio n .............................................................................................................................6 5
Research Questions and General Research Hypotheses .................................................... 66
R research P participants ................................................................................ 68




6









In stru m ent ....................................... .............. ......................... ................. 6 8
Hypothesis 1: Survey Item s 2, 15, 20, 25 and 27 .................................... ............... ..69
Hypothesis 2: Survey Items 15, 20, 25, 27 and 30 ........................................................69
Hypothesis 3: Survey Item s 9, 13, 18, 23 and 30 ................................. ................ 70
Hypothesis 4: Survey Items 10, 14, 19, 24 and 30 .......................................................70
Hypothesis 5: Survey Item s 26 and 27 ........................................ ...................... .... .......... 70
Hypothesis 6: Survey Items 15, 20, 25, 27, 28 and 29............................... ...............71
Additional Items: Survey Items 1, 3-8, 11, 12, 16, 17, 21, 22 and 31...........................71
Pilot Test ..................................................................... ................ 72
Procedure ............. .............................................. 72
Quantitative D ata A analysis ........... ............................................... ..... ............... 73
Q ualitative D ata A analysis ................................................................................. 74

4 A N A L Y SIS O F TH E D A TA ............................. ............................................. ..................75

Introduction ................................... .... .......... ..................................... 75
Analyses of Survey Data Related to Research Questions ............................................... 75
Analyses of Descriptive Statistics Related to Survey Data......................... ................83
Analyses of Structured Interview Protocol............................ ......................... 84
Sum m ary ...... .................................................................................... ..... 90

5 SUMMARY, DISCUSSION AND RECOMMENDATIONS .....................................104

S u m m ary o f R esu lts.................................. ........ .................................... .. .................. 10 4
Analyses of Survey Data Related to Research Questions ..........................................105
D escriptive Statistics from Survey D ata.................................... ........................ 107
A analysis of Structured Interview Protocol ........................................ .....................107
D iscu ssion ................................................................................................108
R ecom m endations for Further Study.............................................................................. 116
S u m m a ry ................... .......................................................................... 1 1 7

APPENDIX

A PERMISSION FOR USE OF EDUCATIONAL RESEARCH SERVICE SURVEY.........119

B SU R V E Y IN STR U M EN T ......................................................................... ..................... 120

C PILOT SURVEY ............... ................. ............ ............................ 128

D U F IR B .................. ............ ......................... ............................133

E INFORMED CONSENT LETTER ......................................................... .............. 134

F INFORM ED CON SEN T FORM .......................................................................... ......... 135

G STRUCTURED INTERVIEW PROTOCOL ...... ................ ................ 137









L IST O F R E F E R E N C E S ............................................................................. ..........................138

B IO G R A PH IC A L SK E T C H ......................................................................... .. ...................... 149





















































8









LIST OF TABLES


Table page

4-1. District size elementary principal candidates crosstabulation........ .............. ............91

4-2. District size middle school principal candidates crosstabulation............ ................91

4-3. District size high school principal candidates crosstabulation..................................92

4-4. District size anticipate shortage in next 12 months crosstabulation............... ...............92

4-5. Elementary principal candidates written succession plan crosstabulation..........................93

4-6. Middle school principal candidates written succession plan crosstabulation...................93

4-7. High school principal candidates written succession plan crosstabulation.......................93

4-8. Anticipate shortage in next 12 months written succession plan crosstabulation...................94

4-9. Need to increase females in school level administrative positions compared by district
size .......................................................... ......................................94

4-10. Elementary female candidates written succession plan crosstabulation ...........................94

4-11. Middle school female candidates written succession plan crosstabulation.........................94

4-12. High school female candidates written succession plan crosstabulation ..........................95

4-13. Need to increase women written succession plan crosstabulation ....................................95

4-14. Need to increase minorities in school level administrative positions compared by
district size. ............................................................................... 95

4-15. Elementary minority candidates written succession plan crosstabulation.........................95

4-16. Middle school minority candidates written succession plan crosstabulation....................96

4-17. High school minority candidates written succession plan crosstabulation.....................96

4-18. Need to increase minorities written succession plan crosstabulation.............................. 96

4-19. Descriptive statistics: Barriers that prevent well-qualified candidates from applying
for vacant principal positions......... .................... ........ ..................... ............... 97

4-20. Independent Samples t-test. Recruiting, hiring, training policies and anticipated
shortage of principal candidates................. ............. ................................ .... ........... ...97

4-21. Survey questions 3-7: Principal preparation programs...........................................98









4-22. Respondent identification code and district size ...................................... ............... 98

4-23. Interview question 3: Descriptors of well-qualified principal candidates by district
siz e .......................................................... ................................ . .9 9

4-24. Question 3: Florida principal leadership standards by respondent..................................100

4-25. Interview question 6: Skills that aspiring principals lack that prevent them from being
considered well-qualified by district size. ............................................ ............... 101

4-26. Question 6: Florida principal leadership standards by respondent................................102

4-27. Questions 3 and 6: Reference to Florida principal leadership standards by percentage ...102

4-28. Dispositions by respondent for questions 3 and 6. ................................. .................103









Abstract of Dissertation Presented to the Graduate School
of the University of Florida in Partial Fulfillment of the
Requirements for the Degree of Doctor of Education

AN EXAMINATION OF PRINCIPAL SHORTAGES IN FLORIDA SCHOOL DISTRICTS:
IMPLICATIONS FOR SUCCESSION PLANNING FOR PRINCIPAL REPLACEMENT

By

Kim Kotila Stutsman

August 2007

Chair: James L. Doud
Major: Educational Leadership

This study explored the shortage of well-qualified principals and succession planning

policies developed by Florida School Districts. The sample consisted of 15 small districts (less

than 10,000 students), 13 medium size districts (between 10,000 and 50,000 students), and 8

large districts (more than 50,000 students). Survey data were collected regarding shortages of

well-qualified principals. Chi-square and independent t-tests were used to determine

significance.

Findings include: (a) Florida school districts, regardless of size, are experiencing

shortages of well-qualified principal candidates; (b) school districts with succession planning

policies in place experienced fewer shortages of well-qualified principal candidates; and (c)

districts that have comprehensive succession plans for recruiting, hiring and training new and

aspiring principals experienced fewer shortages. Other conclusions indicated that finding well-

qualified female applicants for vacant principal positions was not an issue, and succession

planning policies do not assure adequate numbers of well-qualified minority applicants for

vacant principal positions. Districts reported these barriers to employment of well-qualified

principals: insufficient salary, stress, testing/accountability, increased time commitment, and lack

of interest by teachers.









To determine the meaning of the term "well-qualified" as it applied to candidates for

vacant principal positions, an interview survey protocol was administered to six selected school

districts: two small, two medium and two large. Responses were compared to the 10 Florida

Leadership Standards. The meaning of "well-qualified" varied from district to district; they

desire principals whose qualifications exceed the 10 Florida Principal Leadership Standards.

A well-designed succession plan may assist school districts in recruiting, hiring, and

training well-qualified principals. Eighteen (18) research based succession plan components

were recommended.









CHAPTER 1
INTRODUCTION

In the field of public education, accountability for student achievement marks the

beginning of the twenty-first century (Barker, 2003; Educational Research Service, 2003; Tucker

& Codding, 2002). The impact of the No Child Left Behind Act of 2001 (NCLB) requires that

"all children are educated to their full potential" (Educational Research Service, 2003). For that

reason, school districts must insure that their students produce work that is of high quality. The

principal is central in determining the quality of education that a student will receive at a school

(Educational Research Service, 2003; Schlechty, 1997).

The No Child Left Behind Act has a huge impact on the principal as articulated in The

K-12 Principals Guide to No Child Left Behind:

... the wording of NCLB makes it very clear that the legislation sees the role of
the principal expanded in very specific ways. For example, NCLB adds
substantially to the principal's responsibilities and accountability for student
achievement, staff quality, the quality and legitimacy of the school's curriculum
and instruction, and so forth. Moreover, the positive and negative consequences of
this new accountability and these new responsibilities are most dramatically felt at
the school level. Failure to show "adequate yearly progress" in student
achievement can result in a school being reconstituted-essentially re-staffed. On
a more positive note, those schools that succeed in showing this adequate yearly
progress become eligible for "academic achievement awards." (Educational
Research Service, 2003, p. 2)

Marzano (2003) stated that leadership of the school principal is the most crucial aspect of

effective school reform. Effective school research supports the correlation of effective schools

with strong leadership (Brookover, Beamer, & Efthim, 1982; Daresh, 1986; Edmonds, 1981).

Barth (2001) pointed out that a principal has an extraordinary influence on the quality of a

school. In a 1998 study, Doud and Keller (1998) reported that 2 of every 3 principals questioned

about the ability of public education to attract quality people to the principalship expressed

concern that "education does not appear to be attracting such candidates ... ." (p. 118).









Statement of the Problem

Anticipated Shortages of Well-Qualified Principals

It is imperative that districts desiring high quality student work hire quality leaders as

school administrators. However, available statistics indicate a shortage of school principals

throughout the first decade of the twenty-first century (Educational Research Service, 1999;

Institute for Educational Leadership, 2000). Potter (2001) reported that 40% of our country's

93,200 principals are nearing retirement age. He foresees that the number of eligible candidates

will diminish. Snyder (2002) provided statistics from the U. S. Department of Education's

National Center for Education Statistics (NCES) which reflect responses of 10,000 public school

principals in 1999-2000. Information gathered from the survey concluded that there are a large

proportion of principals nearing retirement age. From 1988 to 1998 the principal turnover rate

was 42%. Forecast for the next 10 years is at least a 40% turnover rate, with the mean age of

retirement at 57 (Doud & Keller, 1998). Fenwick and Pierce (2001) believed that there would be

an increase from 10-20% in the need for school principals through 2004.

Doud and Keller (1998) expressed concern about recruitment and selection challenges,

nationwide. Throughout the United States shortages of well-qualified applicants for the position

of school principals are common. School districts reporting impending shortages of quality

applicants include: New York and Colorado (Education Writers Association, 2001);

Albuquerque, NM (Weingartner, 2001); Nevada, Connecticut, Minnesota (Kennedy, 2001);

California (Orozco & Oliver, 2001); and Orange County, FL (Orange County Public Schools,

2003).

School Principal Succession Planning

To insure the best possible candidates to lead schools, adequate recruiting, hiring,

preparation and training must take place. In the business world such practices are found in formal









succession plans. William Rothwell (as cited in Eastman, 1995) defined succession planning as,

"any effort designed to ensure the continued effective performance of an organization, division,

department, or work group by making provision for the development and replacement of key

people over time" (p. 1). Hirsh (2000) suggested that succession planning is a process for

identifying people for key positions and career moves and includes development activities for

successors.

Schein (1978) suggested that organizations have plans for replacement which may include

a centralized data collection system listing career histories, skill areas and appraisals of

employees and a system requiring managers to train their own replacements. Replacement

planning overlaps with planning for staffing and depends on various kinds of information:

human resource inventorying, replacement training, job/role planning and analysis; and a

selection, development, or recruitment plan.

The organization must 1) set about to select the candidates who are seen to have the
requisite skills 2) launch the right development plans to have candidates ready when the
jobs open up and 3) plan to do whatever internal or external recruiting is necessary to
generate qualified candidates. (p. 241)

Leadership succession planning is relatively new in the field of education research

(Normore, 2001). Hart (1993) stated, "Managerial succession research originally was founded on

the belief that leaders make a difference in organizations and that managers can exercise

leadership" (p. 43). She also pointed out that research findings on succession are varied and

limited in their results. Determining the importance of succession planning or succession

management and its impact on leadership, change, and the culture of an organization over time

has been inconclusive (Gordon & Rosen, 1981). These authors divided succession planning into

three stages: presuccession, succession and postsuccession. They asserted that presuccession

begins with the anticipation of a change in managers and ends in post succession, when the









organization has adjusted to the new manager. Miklos (1988) contended that members of

educational organizations become administrators by passing through several processes:

recruitment and selection; career patterns; succession; and socialization.

Barth (2001) identified four questions that have implications for succession planning:

1) How do you identify, from many candidates, those likely to become outstanding
principals? 2) How do you get these individuals to choose to become principals? 3) Once
the aspiring principals have been identified and recruited, how do you prepare them for the
crucial-and overwhelming-job they will assume? 4) How do you sustain and extend
their learning once they become practicing principals? (p. 119)

An awareness of the need to prepare for huge numbers of vacancies in school

administrative positions has prompted educational researchers and practitioners to make a

number of suggestions regarding succession planning and insure quality when replacing

principals. Both short and long term solutions have been suggested by researchers.

Short term solutions suggested by Potter (2001) included: hire recently retired principals;

hire assistant principals who aspire to be principals; keep good principals on the job; reconsider

early retirement options to make longer service more attractive; provide monetary incentives for

principals; recruit candidates from local universities; consider candidates outside of education.

Long term initiatives recommended by researchers include: programs within districts to recruit

talented teachers to develop and utilize leadership skills; collaboration between local school

districts and universities (Doud & Keller, 1998; Fenwick & Pierce, 2001); collaboration between

and among local districts and state principals' associations; state legislative support for district

and university principal preparation (Doud & Keller, 1998); recruitment and hiring of minority

faculty at the university level who in turn will attract minority graduate students into educational

leadership programs; diversity and sensitivity training for personnel responsible for hiring and

recruitment; and examination of shared leadership models (Fenwick & Pierce, 2001).









Successful school district succession planning components which exist throughout the

United States include examples of "grow-your-own" models; initiatives designed to familiarize

outstanding teachers, having leadership ability, with the principalship; and mentoring programs

for aspiring and new principals. Extra Support for Principals (ESP) is a collaborative effort

between the University of South Alabama and Mobile County Public School District (Potter,

2001), which strengthens training for aspiring school leaders.

Local school districts have initiated specific programs designed to familiarize educators

with responsibilities of site-based administration. Such programs include AIM (Acquisition,

Initiatives, Motivation) and Preparing New Principals Program (PNPP) in Orange County,

Florida. Components of the PNPP are: leadership development, assistant principal pool, potential

administrators training, and preparing new principals program (Orange County Public Schools,

2000). Another example is Teaching Assistant Principal (TAP) model, developed in Capistrano

Unified School District, located in rapidly expanding Orange County, California (Lovely, 2004).

In 1994, a group of elementary through high school principals in Albuquerque, New

Mexico formed a steering committee to address a lack of interested and qualified applicants for

school principal vacancies. As a result Extra Support for Principals (ESP) was developed and

proved to be a successful mentoring program and an incentive to nearly 110 principals to remain

on the job (Weingartner, 2001).

Other innovative programs that emphasize leadership training include New Leaders for

New Schools, the Knowledge is Power Program (KIPP), and the Broad Residency in Urban

Education. These programs provide training for people from a variety of experiences and

backgrounds to take on school leadership roles. (Thomas B. Fordham Institute, & The Broad

Foundation, 2003).









Presuccession is considered the recruitment stage in which people have little knowledge

about an organization they desire to join. They also have little information about what is

expected of them, what they can expect to gain and what they need to offer a new organization

(Wanous, 1976). Hart (1993) cautioned that interaction of factors in the stage framework plays

an important part in how successful the manager is at effectively taking charge in an

organization.

To provide a framework for recruitment, development and retention of school

administrators, standards have been developed in some states. Florida's 10 Principal Leadership

Standards (Florida Department of Education, 2005b) are organized under three categories in the

following manner:

* Instructional Leadership
o Instructional Leadership
o Managing the Learning Environment
o Learning, Accountability, and Assessment
* Operational Leadership
o Decision Making Strategies
o Technology
o Human Resource Development
o Ethical Leadership
* School Leadership
o Vision
o Community and Stakeholder Partnerships
o Diversity

Purpose of the Study

The purpose of this study was to explore the shortage of well-qualified principals and

succession planning policies developed by Florida School Districts and to determine whether or

not the presence of such plans had an impact on the number of available well-qualified

candidates for vacant principal positions. Specifically, this study addressed the following

research questions.









Research Questions

1. Is there a relationship between a shortage of well-qualified candidates for principal vacancies
and the size of the school district?

2. Is there a relationship between the shortage of well-qualified candidates for principal
vacancies and the presence of written succession planning policies?

3. Is there a relationship between the shortage of well-qualified female candidates for principal
vacancies and the presence of written succession planning policies?

4. Is there a relationship between the shortage of well-qualified minority candidates for
principal vacancies and the presence of written succession planning policies?

5. Do perceived barriers to having well-qualified candidates for principal vacancies differ
between districts experiencing principal shortages and those districts which are not
experiencing principal shortages?

6. Is there a relationship between the degree to which districts encourage the development of
aspiring principals and the shortage of well-qualified principal candidates?

Significance of the Study

The No Child Left Behind Act of 2001 has increased the accountability of school

principals, necessitating that only highly qualified people occupy the position of principal.

Succession planning in school districts must be carefully designed to prepare aspiring principals

to meet the tough demands of the principalship. Insights from this study may enable districts and

universities to determine the components that are most critical to the recruitment, training and

development of principal candidates.

Glossary of Terms

For the purpose of this study, the following definitions were used. These definitions may

have differing meanings in other research studies and other situations.

Aspiring principal/principal candidate is a person who occupies a position of assistant

principal or is in the assistant principal pool and is preparing for the role of principal of an

elementary, middle, or high school.









Induction programs are professional socialization activities designed to provide new and

aspiring principals with training by which they acquire the values, norms, attitudes, knowledge,

skills and techniques needed to adequately perform their duties (Hart, 1993).

Mentoring programs are formal programs consisting of persons who act as guides or role

models for new and aspiring principals, listening, offering guidance, advice and direction.

Minority candidate is an African-American or Hispanic aspiring principal candidate.

Preparation programs are formal professional learning activities in which an aspiring

principal must participate to become a principal.

Pre-succession is the time period prior to an aspiring principal occupying a principal

position.

Principal is the head of the school-elementary, middle, and high. "A person assigned

responsibility for administrative direction and instructional leadership and supervision at an

individual school.... This does not include persons assigned these responsibilities in the role of

assistant, intern, or interim principal" (Administrative Rule: 6A-4.0081 Florida School Principal

Certification, 1988).

Recruitment is the activity associated with successfully attracting people to apply for the

assistant principal pool and for assistant principal and principal positions.

Selection is the process by which a person is chosen to occupy a position in the assistant

principal pool. Selection is also the process by which a person in the pool is chosen for an

assistant principal position and by which an assistant principal is chosen for a principal position.

Socialization is the active participation in professional learning by which the individual

acquires the skills, attitudes and group norms and values to be successful in the role of a

principal (Crow & Matthews, 1998).









Succession planning policies are put in place by a school district to find the best possible

people to fill vacancies as school administrators. Succession planning includes recruitment,

selection, preparation and socialization of aspiring principals.

Support includes emotional and physical support, providing appropriate staff development

and other resources.

Well-qualified principal candidates are those having entry level characteristics found in

10 Florida Principal Leadership Standards: instructional leadership; managing the learning

environment; learning, accountability and assessment; decision making strategies; technology;

human resource development; ethical leadership; vision; community and stakeholder

partnerships; and diversity (Florida Department of Education, 2005b).

Delimitations

This study focused on succession planning policies of a sample of 36 Florida school

districts. Data were gathered from sources at the district level of each district to determine the

extent of succession planning for that district. The study examined shortages of well-qualified

principal candidates, including perceived reasons for principal shortages and shortages of well-

qualified women and minority candidates. Characteristics of well-qualified principal candidates

were explored. The study was conducted between June and September, 2006. The findings are

not generalizable to school districts in other states.

Limitations

An assumption was made that Florida superintendents or other district level respondents

accurately reported the information regarding the presence of principal shortages in their

respective districts. Responses regarding perceived reasons for shortages in the principalship

were subjective in nature. An assumption was made that respondents were honest in their

responses.









Organization of the Study

This chapter detailed the purpose of the study, research questions, definitions, limitations

and delimitations of the study. Chapter 2 presents a review of current succession planning

literature including principal selection, recruitment, preparation and socialization, as well as

business succession planning models. Chapter 2 also examines current research on principal

shortages. A description of the methodology and procedures used by the researcher to respond to

the research questions is explained in Chapter 3. Chapter 4 contains a description of selected

districts' succession planning policies and data related to shortages of well-qualified principal

candidates, as well as characteristics of well-qualified principal candidates; results of data

collection are analyzed and findings are summarized. Conclusions and recommendations for

further research are provided in Chapter 5.









CHAPTER 2
REVIEW OF THE LITERATURE

Accountability

Reauthorization of Elementary and Secondary Education Act (ESEA) of 1994 as the No

Child Left Behind Act (NCLB) of 2001 focuses on accountability aspects of student

achievement. Principals play a crucial role to insure that students in their schools demonstrate

improved performance on standardized tests (Barker, 2003). Intense scrutiny of test scores "by

teacher, by grade level, by school, by district, by state and by nation" (Barth, 2001, p. 92)

heightens the emphasis placed on accountability. Elmore and Burney (1999) pointed out that our

present accountability movement indicates a shift from accountability for resources to

accountability for student outcomes. Kelly (1999) cited recent evidence confirming that there are

inadequate technologies, a lack in system capacity and tricky incentive structures in the current

system of accountability. She stated,

In short, improving student achievement using accountability within the current context
might be likened to trying to build a Stradivarius violin with a sledge hammer, a chisel,
and a number of apprentice technicians who disagree on how to proceed. The desired
outcome-significant improvement in student achievement-may be unattainable using
available tools, resources, and system capacity. (p. 642)

Principals are being held accountable for providing effective leadership towards achieving

the 90% reading goal on which that portion of the NCLB is based (Fielding, Kerr, & Rosier

1998). The Institute for Educational Leadership (2000) stated that leadership for student learning

is the bottom line for everything a principal does, including "establishing a vision, setting goals,

managing staff, rallying the community, creating effective learning environments, building

support systems for students, guiding instruction ... ." (p. 4). The Law Association of the Bar of

the City of New York (2002) asserted that the School Governance Reform Act emphasizes the

principal's importance in bringing about school reform and higher standards. Principals are held









accountable for decision-making and meeting high performance standards. Tucker and Codding

(2002) argued that while the public is insisting that academic performance improve, a principal

must be given authority "commensurate with her responsibility and accountability" (p. 7).

Further, they asserted, "It is absolutely unreasonable to hold the principal accountable for student

performance when that person has little or none of the authority needed to get the job done" (p.

7). Gerald Tirozzi, executive director of the National Association of Secondary School Principals

(NASSP) affirms the paradox at the high school level, where he states that principals face greater

accountability but have been stripped of authority and autonomy (Stricherz, 2001).

Leithwood (2001) identified four approaches to accountability by school leaders: market,

decentralization, professional and managerial. Market accountability relates to the increased

competition for students which schools face. Decentralization adds the voices of teachers,

parents and community members to those of administrators in making decisions regarding

curriculum, facilities, budget and personnel. In this model parents often dominate school

councils and have close working relationships with the principal. Professional accountability is

the belief that professional practice, found in site-based decision making, as well as instructional

practices of teachers and school leaders, directly impact student outcomes. Professional learning

communities are the result of this approach to accountability. The managerial approach assumes

that schools are basically doing a good job, but that strategic planning including a goals approach

will improve the efficiency and effectiveness of schools.

Elmore (2000) contended that the work of administrative leaders should be to improve the

skills and knowledge of those in the organization and to hold them accountable for the end result.

Hallinger and Heck (1998) reviewed research from 1980 to 1995 on the principal's role in school

effectiveness. They found that principals had an indirect and measurable impact on school









effectiveness and student achievement, characterized by intervening variables such as teachers

and the classroom.

Similarily, in an effort to foster high academic achievement, New Leaders for New

Schools (2005) was founded to attract, prepare and support outstanding leaders for urban public

schools. Their research found that after three or more years of principalship, New Leaders were

responsible for impressive gains in reading and math achievement.

Another aspect of accountability affecting the principal is in regard to incentives for

teachers (Duke, 1996). Managing proposed incentives, as well as designating which employees

deserve rewards, will be the work of principals in the era of high-stakes standardized testing

(Gerstner, 1994; Marshall & Tucker, 1992).

Duke (1996) stressed that implications of accountability for the principal are considerable.

He cited the responsibilities of dealing with school mission, standards, goals and outcomes as

time consuming, causing a principal to take time away from supervision and evaluation. Duke

saw a shift in emphasis from instructional leadership to a focus on assessment leadership, with

the principal zeroing in on student achievement.

Kelley and Peterson (2002) indicated that in states where high stakes testing has increased

accountability of the school principal, instructional leadership of the principal is demanded. As

an instructional leader, the principal must have the ability to analyze data, apply innovative

instructional technologies, focus on school improvement, develop on-going programmatic

reforms and follow through on the implementation of those reforms.

Additional tasks related to accountability include developing clearly stated mission and

goals and responding to a diverse community of stakeholders. It is highly evident in evaluating

these responsibilities that preparation programs must be devoted to addressing the skills,









knowledge and experiences needed by principals to meet the accountability standards demanded

of them.

Well-Qualified Principals

Kelley and Peterson (2002) state,

Research on the role of principals in effective schools, school improvement, restructuring,
instructional improvement, and standards-based reform all support a need for well-
prepared leaders. Recent research on implementing reforms demonstrates the central role
of principals and other leaders to successful change. Principals are key to initiating,
implementing, and sustaining high-quality schools. (pp. 252-253)

There is a large body of work related to the role of the school principal in leading schools

to become more effective and promoting reform and school improvement efforts, (Elmore &

Burney, 1997; Ford & Bennett, 1994; Fullan, 1997; Hallinger & Heck, 1996; Kelley, 1998;

Lezotte, 1997; Louis & Marks, 1998; Murphy & Louis, 1994). Kelley and Peterson (2002)

pointed out that schools that are academically effective have effective principals.

It is important to understand the attributes that make up a well-qualified principal. A good

principal knows that teaching and learning are the primary responsibilities of a school (Barth,

1990; Hill, 2002; Marsh, 2000; McLaughlin & Talbert, 2001); clearly communicates the school's

mission and goals to all stakeholders (DuFour & Eaker, 1998); promotes high standards that are

attainable and monitors progress (Tucker & Codding, 1998); is visible and a good listener

(Murphy, 2000); promotes a climate of trust and cooperation (Kelley, 1980; Whitaker, Whitaker,

& and Lumpa, 2000); fosters professional growth (Barth, 1990; Doud & Keller, 1998;

McLaughlin & Talbert, 2001); promotes and monitors high standards for student achievement

(Deal & Peterson, 1994; Doud & Keller, 1998; Fullan, 2001); promotes interpersonal

cooperation, confronts problem employees (Doud & Keller, 1998; Dyer, 2001); manages change,

exhibits strong leadership skills (Deal & Peterson, 1994; Dyer, 2001; Senge, 1990 ); identifies

and solves problems (Hallinger, Leithwood, & Murphy, 1993); communicates a highly









developed set of values (Sergiovanni, 1991)); promotes the structural frameworks of the school

and shapes school culture (Deal & Peterson, 1994; Fullan, 1993).

Newman, King and Youngs (2000) contended that school capacity is the key to success

and they outlined five important characteristics including teachers' abilities; professional

communities; coherent programs; technical resources and principal leadership. Fullan (2001)

suggested that quality leadership is the one characteristic of school capacity that is imperative for

success to take place because it brings the other four qualities together into a cohesive whole.

Elmore (2000) is in agreement:

The job of administrative leaders is primarily about enhancing the skills and knowledge of
people in the organization, creating a common culture of expectations around the use of
those skills and knowledge, holding the various pieces of the organization together in a
productive relationship with each other, and holding individuals accountable for their
contributions to the collective result (p. 15).

Defining six standards for what principals should know and be able to do, the National

Association of Elementary School Principals (2002) maintains that quality leaders:

* Lead schools in a way that places student and adult learning at the center.

* Set high expectations and standards for the academic and social development of all
students and the performance of adults.

* Demand content and instruction that ensure student achievement of agreed-upon academic
standards.

* Create a culture of continuous learning for adults tied to student learning and other school
goals.

* Use multiple sources of data as diagnostic tools to assess, identify and apply instructional
improvement.

* Actively engage the community to create shared responsibility for student and school
success. (p. 2)

The Interstate School Leaders Licensure Consortium (ISLLC) developed six standards for

principals focused on student learning, that were adopted by 24 states during the 1990s (Council









of State School Officers, 1996). These standards formed the basis of preparation programs

throughout the United States (Rallis & Goldring, 2000).

Standards for school principals have recently been developed in Florida to replace 19

principal competencies in place since 1985. Principals can be assessed on 10 key indicators in

three categories:

Instructional Leadership

Instructional Leadership-High Performing Leaders promote a positive learning culture,
provide an effective instructional program, and apply best practices to student learning,
especially in the area of reading and other foundational skills.
Managing the Learning Environment-High Performing Leaders manage the
organization, operations, facilities and resources in ways that maximize the use of
resources in an instructional organization and promote a safe, efficient, legal and effective
learning environment.
Learning, Accountability, and Assessment-High Performing Leaders monitor the
success of all students in the learning environment, align the curriculum, instruction, and
assessment processes to promote effective student performance, and use a variety of
benchmarks, learning expectations, and feedback measures to ensure accountability for all
participants engaged in the educational process.

Operational Leadership

Decision Making Strategies-High Performing Leaders plan effectively, use critical
thinking and problem solving techniques, and collect and analyze data for continuous
school improvement.
Technology-High Performing Leaders plan and implement the integration of technological
and electronic tools in teaching, learning, management, research, and communication
responsibilities.
Human Resource Development-High Performing Leaders recruit, select, nurture and,
where appropriate, retain effective personnel, develop mentor and partnership programs,
and design and implement comprehensive professional growth plans for all staff-paid and
volunteer.
Ethical Leadership-High Performing Leaders act with integrity, fairness, and honesty in
an ethical manner.

School Leadership

Vision-High Performing Leaders have a personal vision for their school and the
knowledge, skills, and dispositions to develop, articulate and implement a shared vision
that is supported by the larger organization and the school community.









Community and Stakeholder Partnerships-High Performing Leaders collaborate with
families, business, and community members, respond to diverse community interests and
needs, work effectively within the larger organization and mobilize community resources.
Diversity-High Performing Leaders understand, respond to, and influence the personal,
political, social, economic, legal, and cultural relationships in the classroom, the school
and the local community (SBE Rule 6B-50012). (Florida Department of Education, 2005b,
p. 1-2).

Principal Shortages and Deterrents to the Principalship

Available statistics indicate a shortage of school principals throughout the first decade of

the twenty-first century (Educational Research Service, 1999; Institute of Educational

Leadership, 2000). Forty percent (40%) of our country's 93,200 principals are nearing retirement

age (Potter, 2001; Snyder, 2002). Potter (2001) foresees that the number of eligible candidates

will diminish. Snyder (2002) provided statistics from the U. S. Department of Education's

National Center for Education Statistics (NCES) which reflect responses of 10,000 public school

principals in 1999-2000. The percentage of school principals 55 and older increased from 19% in

1993-94 to 22% in 1999-2000. The percentage of principals age 50-54 increased from 24% to

32% in the same time period. The number of principals in the age range of 40-49 dropped

sharply. Doud and Keller (1998) reported the principal turnover rate was 42% from 1988 to

1998. They forecast at least a 40% turnover rate during the next 10 years, with the mean age of

retirement being 57. Fenwick and Pierce (2001) believed that there would be an increase from

10-20% in the need for school principals through 2004.

Leithwood, Begley and Cousins (1992) reported that the most frequently chosen career

path to the principalship includes in-school roles only. If that is the case, then a shortage of

teachers would have an impact on the supply of principals. Reports of increasing teacher

shortages are numerous (Ingersoll, 2001; North Carolina Department of Public Instruction, 2002;

North Central Regional Educational Laboratory, 1999). Jimerson (2003) reported the following

national trends that play a significant role in the lack of qualified teachers: high stakes federal









mandate of NCLB for "quality teachers;" federal, state and local policies that mandate class size

reduction, resulting in a need for additional teachers; high attrition rates of new teachers; rapid

student enrollment growth in some geographic regions; large number of teacher retirements

expected within the next 10 years; legal demands for equitable compensation for teachers, which

places pressure on poor district to offer competitive salaries.

Doud and Keller (1998) expressed concern about recruitment and selection challenges,

nationwide. Throughout the United States the shortage of qualified applicants for the position of

school principals is common. Weingartner (2001) reported that in the Albuquerque Public

Schools, they often have to advertise two or three times to find qualified applicants for school

leadership positions. Kennedy (2001) stated that Connecticut was facing a shortage of principals

despite high salaries; and Nevada had a need for 500 administrators by 2004. In Minnesota the

average age of newly hired principals was 49 and the average age of principals was 51. There

were fewer applicants and many of those who did apply lacked preparation and qualifications to

be successful. In July 2001, the Los Angeles Times reported that although California was

producing 2,000 to 3,500 newly licensed administrators each year, only 38% actually were hired

for school administrator positions in California. (Orozco & Oliver, 2001). Education Writers

Association (2001) reported 163 New York schools began the 2000-01 school year without a

permanent principal, and inexperienced principals-with less than two years experience-were

common. They also noted that Colorado expected to have 740 principal vacancies through 2006.

To address this problem many states are rehiring retired principals as interim replacements.

Retirement of school administrators and an impending principal shortage is of concern in

Florida, as well. A study by Orange County Public Schools (2003) anticipated new and

replacement school-based administrative positions through 2008. This study indicated that there









were 62 administrators in The Deferred Retirement Option Program (DROP) and 42 new

positions to be added, resulting in the need for 104 positions by 2008. Additional data indicated

that 21 administrators had 28 or more years of service, 24 administrators would reach age 62

within 5 years, and that 3 administrators would reach age 62 with 28+ years of service, resulting

in a possibility of 48 additional school-based vacancies by 2008.

Available statistics report an under representation of African Americans, Hispanics, Native

Americans and Asian/Pacific Islanders to the principalship (Doud & Keller, 1998; National

Center for Education Statistics, 1997). Based on data collected by the National Center for

Education Statistics in 1993-94, 84.2% of public school principals were White non-Hispanic,

10.1% were Black non-Hispanic, 4.1% were Hispanic, and 1.6% were other (National Center for

Education Statistics, 1997). A 2002 study conducted by the North Carolina Department of Public

Instruction determined that school administrators were more diverse than the population of

teachers throughout the state, but not as diverse as the student population. Due to this fact, North

Carolina made it a goal by 2010 to increase their pool of highly qualified school administrators

to reflect the diversity of their state (North Carolina Department of Public Instruction, 2002).

Although women make up about 42% of K-8 principals in the United States, 85% of teachers in

K-8 schools are female (Doud & Keller, 1998). Based on the above statistics, it appears that

female teachers are not being cultivated for leadership roles. In spite of the fact that more women

and minorities currently complete aspiring principal training programs than their white male

counterparts, males continue to outnumber females and minorities in occupying principal

positions (Education Writers Association, 2001).

Studies conducted by RAND Corporation and State University of New York (SUNY)

revealed significant data related to gender and race of public school administrators in New York,









North Carolina and Illinois (RAND Education, 2004). New York, North Carolina and Illinois

were chosen for the study because several factors represented the broad spectrum of other states

and Washington, DC: certification requirements; funding; and a variety of rural, suburban and

urban districts. Administrative salaries in New York are high; in Illinois they are about average;

and in North Carolina they are low.

The studies uncovered several trends:

* There are substantial differences in the promotion rates of men and women.

* A growing proportion of women are assistant principals, principals, administrators and
superintendents.

* Although the percentage of female administrators is rising, the proportion of women
administrators is below that of women teachers.

* Women teachers are less likely than male teachers to move into positions as assistant
principals, principals and superintendents. The differences are more pronounced for
elementary school teachers (RAND Education, 2004).

The RAND Education studies (2004) revealed that, at the point where an individual

initially makes the decision to switch from a teaching position to that of an administrator,

barriers seem to exist for women. However, once an individual was promoted to an assistant

principal position, females in all three states were more likely than men to continually be

promoted to higher administrative positions. Males were 30% more likely to gain principal

certification; but once females were certified, they became principals at a rate equal to that of

males.

Researchers found that females were less likely than males to become administrators. Data

collected by RAND (2004) from North Carolina in 2000 revealed that, although 94% of

elementary teachers were female, only 58% of elementary principals were female; 63% of high

school teachers were female and only 24% of high school principals were female. Findings









suggest that "early career mentoring or support for female educators might be an effective policy

lever for encouraging gender parity in the transition to school administration" (p. 2).

A study conducted by the National Center for Education Statistics (1997) found that nearly

all principals have teaching experience and about a third of female principals have previous

experience as curriculum resource teachers or curriculum specialists. This may explain why

principals who are women have a tendency to place more emphasis on the instructional aspect of

the job than do their male counterparts.

Although minority teachers in North Carolina and Illinois are more likely than white

teachers to be promoted to assistant principals and principals, the RAND study (2004) and a

study by Doud and Keller (1998) suggested that, to increase the supply of minority candidates

for the principalship, more attention must be paid to recruiting and retaining minority teachers in

public schools. They also suggested that greater attention be given to recruiting minorities from

non traditional sources. These recommendations agree with those set forth in Better Leadersfor

America's Schools: A Manifesto, prepared by dozens of educators and policy makers (Thomas B.

Fordham Institute, & The Broad Foundation, 2003).

Furthering the case for increasing the number of minority principals, the RAND (2004)

studies found that principal turnover was high in schools with larger proportions of minority

students. However, it was also determined that principals whose race/ethnicity matched that of

the largest racial/ethnic group were less likely to leave their schools. These results suggest that in

order to improve leadership stability, schools with large minority populations should hire

principals who are of the same race or ethnicity. This strategy may be difficult to implement

because of the under representation of minority teachers.









Current literature suggests several factors that discourage qualified individuals from

entering the principalship: time (Education Research Service, 2000; Lovely, 2004; Yerkes &

Guaglianone, 1998); increasing responsibilities (Doud & Keller, 1998; Lovely, 2004); job-

related stress (Alvy & Robbins, 1998; Doud & Keller, 1998; Lovely, 2004; Ruenzel, 1998);

salary (Archer, 2002; Education Research Service, 2000; Lovely, 2004); institutional

interference (Lovely, 2004; Johnson, 2002; New Teacher Center, 2002).

Succession Planning in Business

Best practice organizations use succession planning to develop and maintain strong
leadership and to ensure that they address all the skills and competencies required for
today's business environment. Succession planning can also be an extremely powerful tool
in motivating and retaining top leadership. (Butler & Roche-Tarry, 2002, p. 201)

Excellent examples of succession planning and succession management are found in

business and in the military (Butler & Roche-Tarry, 2002; Tucker & Codding, 2002; Conger &

Fulmer, 2003). Familiar corporations such as Coca-Cola, Sunoco, Mattel, Dow Chemical, Eli

Lily and Bank of America have successful succession management plans in place (Conger &

Fulmer, 2003).

Leibman, Bruer and Maki (1996) differentiated between succession planning and

succession management. They pointed out that succession planning is focused on the individual,

while succession management is focused on developing strong leadership teams. Conger and

Fulmer (2003) argued that effective succession management includes identifying candidates with

high potential, increasing their leadership skills by giving them, what they call "Lynchpin"

assignments, coupled with team support, training, and mentoring; and systematically evaluating

their performance. Winn (2000) states, "Of significant importance ... is providing candidates

with as many opportunities as possible to learn the business and demonstrate their abilities" (p.

100).









Succession Planning

Succession planning is used to develop and maintain strong leadership as the organization

ages; to help prepare for an unexpected event; and to ensure that an organization has a cadre of

personnel enabling it to function at a high level of efficiency (Butler & Roche-Tarry, 2002).

Aligning business goals with human capital needs is another important aspect of succession

planning that will lead to organizational excellence. Butler and Roche-Tarry assert that when an

organizational hierarchy is created, gaps can be more easily identified, leading to more efficient

management of change.

Liebman et al. (1996) found that succession planning assures that continuity exists to

prepare leaders for key leadership positions and has evolved over the past 30 years from what

was then called replacement planning. In the corporate world, succession planning has highly

structured career paths with the corporation guiding people through their careers and providing

them with needed experiences. Deliberation and planning are characteristics of succession

planning. Succession planning is ongoing (Butler & Roche-Tarry, 2002; Baldwin, 2004; Center

for Simplified Strategic Planning, 2004)) and is related to strategic planning (Baldwin, 2004).

The Center for Simplified Strategic Planning (2004) suggested the following process: establish

goals, select candidates, establish training and educational processes, initiate the process of

selecting and training with each individual, and monitor developments.

Succession Management

Liebman et al. (1996) asserted that to be in tune with the dynamic global environment,

succession planning must evolve into succession management along six dimensions: corporate

orientation, organizational focus, outcome, assessment techniques, communication, and selection

pools.









Corporate orientation (Leibman et al., 1996) in a succession planning model is

characterized by deliberation and planning, which includes career paths that are highly

structured. Individuals targeted for executive positions are guided through their careers and

provided with the right experiences. On the other hand, a succession management model

assumes that corporations undergo change and cannot guarantee anyone employment over a long

period of time. To that end, corporations must recruit and develop leaders who are able to meet

the demands of a dynamic and challenging workplace.

Organizational focus (Leibman et al., 1996), seen through the lens of succession planning,

ensures fit between people and the positions that they will hold, but ignores future challenges and

the need to round out a team. However, succession management for organizational focus is intent

on an individual's ability to meet the job requirements and the fit for an effective team.

Performance standards, common purposes, norms, skills, competencies and communication

skills are imperative when forming a dynamic team.

Outcomes for succession planning and succession management share a common

characteristic-that of having prepared leadership (Leibman et al., 1996). Succession planning

focuses on who will fill upcoming positions. Succession management looks at preparing people

for future leadership positions through professional development opportunities. Solid

experiences for high performing employees with high potential is demanded to align talent with

the needs of the corporation.

Assessment techniques used for succession management include leadership templates and

360 degree feedback (Leibman et al., 1996). Although expertise is needed, other aspects of

leadership must be demonstrated by the individual. Leadership templates emphasize the vision,

values and competencies needed by the organization rather than the particular job function.









Using 360 degree feedback relies on the insights of others who work with an individual, rather

than simply on the supervisor.

Communication revolving around succession planning is shrouded in secrecy, with those

seeking promotions unaware, demotivated and disappointed regarding their place on the career

ladder (Leibman et al., 1996). New succession management techniques include involving

candidates in dialogue, mentoring, using the leadership template and integrating career plans into

the process.

Selection pools allow corporations to reach beyond the corporation itself for valuable

candidates (Leibman et al., 1996). Blending internal and external management often invigorates

the corporate culture, bringing in new vision and implementing mandates without being

hampered by past corporate history or personal involvement. Finding balance between the

internally developed individuals and those entering from outside the company creates synergy

and often causes a more dynamic and vital organization.

Tucker and Codding (2002) pointed out that in business and in the military, basic well-

developed infrastructures were put in place which affected organizational culture and training.

They indicated that structures used by business and military include having a modern system to

identify training and select managers and leaders. One such structure is a pool of candidates.

They also suggested that a well defined order of positions, for those aspiring to rise higher in an

organization, was necessary in order to foster the development of skills and knowledge, while

simultaneously offering timely education, training and professional development. They made

note of the importance of mentoring systems found in the military and in law firms.

The purpose of succession management is to be sure that the corporation has depth in its

leadership capability (Leibman et al., 1996). However, it cannot guarantee anyone continuous









employment. Conger and Fulmer (2003) assert, "You build the strongest leadership bench when

you practice succession management, combining succession planning and leadership

development in a comprehensive process for finding and grooming future leaders at all levels of

your organization" (p.1).

Conger and Fulmer (2003), in collaboration with the American Productivity and Quality

Center (APQC) and 16 sponsoring companies, conducted a study of six organizations which had

been successful in succession management: Dell, Dow Chemical, Eli Lilly, Pan Canadian

Petroleum, Sonoco Products, and Bank of America. They compared their best practices with

those of the sponsoring companies. Using detailed questionnaires to collect quantitative data and

site visits, which included interviews, the researchers gathered information across the two

samples. One purpose of their study was to understand how succession management differed

among companies known for their best-practices. Four succession management rules found by

Conger and Fulmer were: focus on development; identify linchpin positions; make it transparent;

measure progress regularly; keep it flexible.

Research by Conger and Fulmer (2003) pointed to a focus on development-designated as

rule one-that can be seen in action-learning programs, resulting in practical solutions to major

strategic problems. Job rotations and placing people in specialized assignments provides

potential leaders with opportunities for study and experimentation. Appointing mentors and

monitoring progress of prospective leaders lessens the risk of failure and supports the company's

investment.

Linchpin positions, rule two for succession management, are defined by Conger and

Fulmer (2003) as, "jobs that are essential to the long-term health of the organization" (p. 4).

They are also referred to as middle management positions. Sonoco Products begins their









succession process by identifying lower-level employees such as plant managers, who exhibit

leadership potential. Managers farther up the leadership chain meet to discuss each potential

successor's strengths and weaknesses. A matrix is used by some companies to identify the

strengths and weaknesses of individuals in linchpin positions. This seems to be a more

systematic approach for building what Conger and Fulmer refer to as pipeline positions. Once

identified, high performers are provided opportunities to demonstrate their talent by being

promoted to more challenging positions.

Make it transparent, the third rule proposed by Conger and Fulmer (2003), means that the

succession planning system should be letting people know just what they should do to reach a

certain rung on the succession ladder. They assert that this eliminates secrecy found in many

succession planning systems. Thus, succession plans are based on contract and performance,

eliminating the perceptions of promotions based on how loyal a person is or how many years

they have been with the company. Keeping personnel files and resumes up to date and accurate

is the responsibility of the employee in a few of the companies studied by Conger and Fulmer

and is one attribute of a transparent planning system. Other avenues for transparency include

web based succession tools with personnel information and job information available using 1-

click of an icon on the desktop. For example, human resource managers have instant access to an

employee's current level of employment, personnel history, potential level, training and

development plans. The HR manager can then look at vacant positions, query skills needed for

specific positions and ascertain skills that are needed before an individual can advance to a

desired position. Another example of transparency can be found at Dow Chemical where

employees can nominate themselves for vacant positions using an online system. A job sequence

map is also readily available, enabling a candidate to visualize the sequence of jobs he or she









must expect in order to reach a particular function or line of business. Posting a salary schedule

for each level of advancement is also the practice of some of the companies researched.

Measuring progress regularly is designated by Conger and Fulmer (2003) as the fourth rule

of succession management. They asserted that a successful succession management plan is

always moving forward, placing the right person into the right job at the right time. Companies

who continually monitor their progress know which employees are being groomed for high level

jobs. It is the responsibility of upper level management to keep them from becoming bored in

their current placement. The researchers pointed out that a succession management plan is

considered a success if a corporation's internal hire rate is 75-80%. They state that, "An outside

hire for a role that is critical at either the functional or corporate level is considered a failure in

the internal development process" (p. 7). Using a matrix, managers for Eli Lilly are able to look

at current positions and determine three potential successors; examine diversity; identify gaps to

determine which training, development or recruitment activities might be needed; and scrutinize

turnover rates. At Bank of America the CEO holds meetings each summer to review the well-

being of the organization and the talent pipeline. Looking at potential leadership for his

organization, he spends time examining the strengths and weaknesses of those in line for

promotion with his top 24 executives and commitments are made to develop talents of potential

leaders. Quarterly reviews are held to determine whether or not progress is being made toward

fulfilling commitments.

Rule five of a succession management plan should be to keep it flexible (Conger &

Fulmer, 2003). The organizations Conger and Fulmer studied followed

... the Japanese notion of Kaizen, or continuous improvement in both processes and
content. They refine and adjust their systems on the basis of feedback from line executives
and participants, monitor developments in technology, and learn from other leading
organizations. Indeed, despite their success, none of the best-practice companies in our









study expects its succession management system to operate without modification for more
than a year. (p. 9)

These authors warned that continuous improvement efforts must be made to succession

management systems to keep them up to date, reliable and able to respond to the organization's

needs. They stressed that leadership talent has a direct effect on the performance of any

organization and, based on that belief, attracting and retaining talented employees is imperative.

They believe that there is a strong, moral obligation on the part of managers at all levels of the

corporation hierarchy to honestly assess performance and productivity of employees; to take

action on low-performers, who may be blocking the path of those with high-potential; and to

develop high-potential, talented people.

Succession Planning for the Principalship

One of the greatest gifts we can give back to our profession is to encourage those with
promise to become school leaders. Securing effective candidates to take over when we're
gone will guarantee a successful future for students, schools, the nation, and the world.
(Lovely, 2004, p. 18)

Principal Preparation Programs

In 1990, the National Governor's Association criticized the preparation programs for

principals and superintendents in the United States (Bredeson, 1996). Among serious flaws

delineated regarding preparation programs, critics agreed that the manner in which school

administrators are recruited and selected is flawed, suggesting that there is little understanding of

the importance of high quality leadership to school districts (Stout, 1989; National Policy Board

for Educational Administration, 1993; The National Commission on Excellence in Educational

Administration, 1993; Murphy, 1992). In a survey of California school superintendents,

conducted by Association of California School Administrators (2000), only 7% believed that

principal preparation programs were excellent, while one-fourth of those surveyed felt that

principal preparation programs were inadequate. Muse and Thomas (1991) reported that, in spite









of the research on the importance of effective principals, training and preparation programs for

the principalship are inadequate and irrelevant to the work required of a school principal. A

review of educational reform efforts conducted by Bredeson (1996) found that educational

leadership programs in the previous decade placed little attention on recruitment, selection and

standards.

A task important for school districts that wish to effect positive change in their

organizations is to promote professional development among their principals. Miklos (1988)

pointed out candidates for school administration programs enter through self-selection, which

limits the pool of qualified candidates and affects the demographic profile of potential school

administrators. To counteract such shifts in demographics, Milstein (1992) reported that local

school districts were becoming more involved in the sponsorship of administrative candidates

through the Danforth Program for the Preparation of School Principals.

In a study conducted by Daresh and Male (2000), principals in the United States and Great

Britain reported feeling unprepared for the complex work and major decisions they faced during

their first year in the position. Conclusions reached by Daresh and Male (2000) indicate that

aspiring principals are not adequately prepared either through training or previous experience.

However, data collected by The Schools and Staffing Survey indicate that 39% of principals took

part in a program specifically for aspiring principals (National Center for Education Statistics,

1997).

Recent programs in the United States formed to meet the need for adequate training and

preparation for school administrators include New Leaders for New Schools, the Knowledge Is

Power Program (KIPP), and the Broad Residency in Urban Education (Thomas B. Fordham

Institute & The Broad Foundation, 2003).









To meet the need for adequate training for effective school leadership, the Interstate School

Leaders Licensure Consortium (ISLLC) was formed, bringing together universities, states and

professional educational associations. As a result, a set of competency-based content standards

for school administrators was developed based on a modern view of the role of principal. The

goal of the ISLLC standards and indicators is to fortify educational leadership programs by:

providing increased accountability for training programs, improving the quality of training

programs, providing models to better prepare and assess candidates for certification and

licensure (Caldwell, Calnin, & Cahill, 2002).

Senge (1990) wrote: "In essence, the leader's task is designing the learning processes

whereby people throughout the organization can deal productively with the critical issues they

face, and develop their mastery in the learning disciplines" (p. 345). He further explained that

today's leaders may not be proficient in mentoring, coaching or helping others learn, having been

chosen because of other skills.

Aspin (1996) based his suggestions for principal preparation competencies on those of

Wollongong and Monash Universities in Australia. He advocated the following: "depth of

analytical skills; ability to synthesize issues; well developed and clear powers of communication;

breadth of knowledge; flexibility and adaptability; skillful, adept and sensitive in inter-personal

relations" (p. 127). Additional requirements for effective principals outlined by Aspin included

requirements that principals:

Have coherent, extensive and deep learning in one or more areas of knowledge,
intelligence and understanding

Can reason logically, coherently and consequentially

Can distinguish fact from opinion, objective from subjective argument, and base
decisions on reasoning, appropriate data and information, and objectively
justifiable judgments of value and policy to promote the public welfare rather than
sectional interest









Appreciate other cultures and customs and can understand at least one culture other
than their own (and as fluently in their own language as possible)

Can communicate clearly & fluently in writing

Are orally articulate and confident

Are computer literate

Are statistically literate

Are financially literate

Have good people and people management skills

Are committed to, value and expect truthfulness, accuracy, honesty and the highest
possible ethical standards in all matters of professional and personal life

Have learned to accept responsibilities & obligations as well as to assert rights

Have a desire and the skills for continued intellectual, professional and personal
development, and creativity and imagination in problem-solving.

Are committed to collaboration rather than confrontation as a means of getting
issues resolved, but know when to be firm and how to take a principled stand

Are committed to open-ness, public accountability and to the sharing of knowledge
and information.

Are able to follow through and complete on policies, plans and programs.

Are able to produce a budget and be a sound and prudent manager of finance.

Know how to delegate authority and share power, putting a premium on teamwork
and the building of teams.

Are competent at monitoring, evaluation and assessment (both formative and
summative).

Know how to manage diversity in the workplace

Are ready for and able to respond rapidly to change in both the external and the
internal environment. (pp. 127-128)

Bredeson (1996) confirmed that state agencies set standards for aspiring and current school

administrators. Guidelines developed by the Commission on Teacher Credentialing (1992) for









California suggested that assessment of knowledge, skills and competencies of school

administrators should

1) include formative and summative measures;

2) be tied directly to a knowledge base defined for the preparation of school
administrators;

3) use multiple and rigorous measures of performance;

4) provide assessments at multiple points during preparation and credentialing; and

5) include specialty assessments in such areas as curriculum and instruction, personnel
management, business management, or pupil personnel. (p. 154)

Sparkman and Campbell (1994) maintained that improving leadership in schools requires

changes at the state level in certification, standards and program requirements, linked to

recruitment policies and professional development. Additional criticism regarding the existence

of qualified and competent educational leaders is hypothesized by Bredeson (1996):

Limited empirical evidence exists to help employers, local school districts, differentiate
between well prepared administrators versus marginally trained candidates. Additionally,
the lack of resources and connections with university-based programs, often times
unsystematic recruitment and selection processes, and the general bias toward local
candidates, further hinder accomplishment of the state goal of placing the brightest and
most capable educational leaders in schools. (p. 271)

Principal Recruitment

A definition of recruitment from the private sector was developed by Barber (1998):

"Recruitment includes those practices and activities carried on by the organization with the

primary purpose of identifying and attracting potential employees" (p. 44). Murphy (1992)

believed that most school administrators are self-selected because of a lack of principal

recruitment programs. Goodlad (2004) stressed that school districts need to put forth continuous

effort to "identify employees with leadership potential" (p. 306). The quality of the profession

can be strengthened and maintained if incumbent principals encourage and promote prospective









principals through mentoring and by educating the school community about leadership and

managerial demands placed on them (Education Research Service, 2000).

Although the majority of principals are white males, statistics from Educational Research

Service (1998) indicated that the percentage of minority principals in public schools increased

from 13% to 16% between 1987-88 and 1993-94 (10% Black/non-Hispanic; 4.1% Hispanic;

0.8% American Indian/Alaska Native; 0.8% Asian/Pacific Islander). Between 1987-88 and 1993-

94, the percentage of female principals rose from 24.6% to 34.5% and the percentage of new

female principals rose from 41.2% to 48.1% between 1987-88 and 1993-94 (National Center for

Educational Statistics, 1997). A 1998 study by Doud and Keller found that women occupied

about 42% of elementary principal positions, up 20% from the previous decade. To achieve

greater diversity, it is imperative that districts develop systems to identify, groom and recruit

potential leaders among women and minorities (Crow, Mecklowitz, & Weekes, 1992; Doud &

Keller, 1998), instead of waiting for individuals to self-select (Crow, Mecklowitz, & Weekes,

1992).

Combinations of personnel, institutional and contextual issues were identified by Yerkes

and Guaglianone (1998) as factors confounding the recruitment of high school principals.

Personnel concerns included a large number of retirements, people leaving the principalship for

other employment opportunities and the need for qualified, dedicated and intelligent

professionals, who possess the needed technology expertise. Institutional concerns were related

to changing demands placed on principals in the age of accountability. Contextual concerns

included how the public views education.

There is little evidence regarding the selection and recruitment processes of becoming

school administrators, either from researchers or employers (Miklos, 1988; Pounder & Young,









1996). Pounder and Young asserted that there must be consistency between expectations for

those in educational leadership positions and the recruitment and selection criteria, which will

cause an increase in reliability and validity of the selection process. In an era of projected

principal shortages, Pounder (1990, 1994) argued that recruiting procedures may be more crucial

in securing quality administrators than selection procedures. Pounder and Young (1996) warned

that a pool of applicants is necessary prior to processing and evaluating prospective

administrators. They cautioned that the applicant pool must contain quality applicants as well as

those meeting the ethnic and gender diversity needed. They stressed the importance of the

recruitment process to attract as well as select administrators, cautioning public school districts

to attend to the legal implications of having a diverse administrative workforce.

Potential sources of applicants must be identified prior to the search process (Pounder &

Young, 1996). Sources suggested included referrals from district employees; promoting from

within the organization; use of university placement offices, professional organizations, special

interest groups and community organizations for referrals; use of firms which specialize in

recruiting and screening for administrative positions.

Three approaches to applicant recruitment identified by Pounder and Young (1996)

included economic incentives, psychological or social reinforcements found in various work

climates, and rational perspectives. Recruitment efforts focused on economic incentives stress

salary, vacation, retirement and insurance benefits. The psycho-social needs approach

emphasized education philosophy, management style and school climate. The rational approach

included actual work of a school administrator. This approach included personal contact

throughout the process, providing the applicant with timely information regarding site-based

management, fiscal responsibility, personnel functions, and supervisory capacity.









Lovely (2004) advocated that a district make administrative recruitment a priority with a

structured career ladder in place. Having a grow-your-own program promoting internal

applicants would be an advantage to a school district if applicants were identified and mentored

by the best people in the district. She stated, "Once a district's scouts have identified potential

trainees with the relational know-how to survive the principalship, it's imperative to properly

court and groom these candidates" (p. 23). She advocated designing entry-level positions that

teacher leaders could work in which would allow them to experience administrative roles

"through scaffolded tasks and enculturation" (p. 23).

A model grow-your-own program was developed in Capistrano Unified School District,

located in rapidly expanding Orange County, California (Lovely, 2004). The Teaching Assistant

Principal (TAP) model program allows teacher leaders opportunities to examine and experience

administrative responsibilities through specifically designed activities, which focus on the

strengths and talents of each individual. Once teacher leaders have been recruited by principals

for the TAP program, they are assigned for a year as full time classroom teachers, but also

assume supplemental duties such as, "curriculum development, committee leadership,

coordination of intervention programs, parent and community group liaison, maintaining

schedules, textbook inventory and distribution, budget oversight, student discipline, and

supervision of personnel" (p. 24).

There is a two-tiered structure to the TAP program (Lovely, 2004). TAP I is for those

considering administrative careers or who have entered university educational leadership

programs; they receive an annual stipend of $1,000 and remain part of the teaching faculty. TAP

II is for those who have master's degrees and administrative credentials; they receive $2,000 as

an annual stipend beyond their teaching salary, are part of the district's management team,









evaluate teaching staff and are eligible for assistant principal positions. TAPs receive continual

feedback throughout the process from principals and district personnel.

The TAP program began in 1965 and is evidence of a historically successful program

designed to meet the needs of a rapidly growing school district (Lovely, 2004). Of 50 principals

in the district, half of them began their careers in the TAP program. Although searches for

candidates resulted in hiring some principals from outside, Capistrano found that applicants hired

from within were better able to meet the demands of school and district administration. TAPs

were assigned to every elementary, middle and high school in the Capistrano school district.

Another entry level training program described by Lovely (2004) is Teachers on Special

Assignment (TOSA). Different from teaching assistant principals, TOSAs oversee special

programs but do not have regular classroom assignments, although they may teach part time.

Assignments provided to TOSAs include: literacy coach, math and science specialist, department

chair, curriculum leader, technology coordinator, intervention coordinator. Principals at the

school site determined the specific responsibilities the TOSA should assume. These expanded

roles allowed the perspective principal candidate to develop leadership skills and expertise in

planning, scheduling, analyzing, budgeting and managing. Lovely suggested that districts be

creative in funding TOSAs, exercising such options as part of the FTE staffing ratio, creative

master scheduling, use of site funds, outside grants and endowments from business partners.

Lovely (2004) asserted that partnerships, aligning preparation programs between a

university and a school district or consortium of districts, need to be established. New Leaders

for New Schools is one such innovative program begun at Harvard University and now in place

in New York and Chicago (Thomas B. Fordham Institute & The Broad Foundation, 2003;

Education Writers Association, 2001), the District of Columbia, Memphis, Baltimore, and









Oakland (Gewertz, 2005). Modeled after Teach for America, aspiring principals complete a

residency program in urban schools, where they work under the mentorship of experienced

principals. Delta State University has a similar program to prepare principals for rural regions of

the Mississippi Delta. Serving as interns, students earn salaries while working in a sponsoring

school district under mentor principals (Education Writers Association, 2001).

Unlike New Leaders Projects previously established, the Baltimore arrangement is a

partnership between a non-profit organization and the state of Maryland and is part of a $10

million grant between New Leaders and the Bill & Melinda Gates Foundation. It is designed to

train 40 principals in the next three years in a district where one-half of principals are reaching

retirement age (Education Writers Association, 2001).

Principal Selection

Schmitt and Schechtman (1990) found that there is a significant lack of research regarding

selection of educational employees and an even larger dearth of studies on the selection of school

administrators. Importance is placed on the selection interview as the most widely used method

of selection in business, industry, organizational psychology and management. Ulrich and

Trumbo (1965) found that career motivation and sociability of candidates were the only traits

that could be measured with significant validity through the selection interview process; the

predictive validity of such interviews was weak.

More recently, Arvey and Campion (1982) identified factors which influence selection of

candidates. They include characteristics of candidates and interviewers, as well as situational

factors. Age, gender, race, sex, verbal and non verbal behavior, dress and psychological

characteristics have an influence on both the candidate and the interviewer. How an interviewer

perceives the interviewee and the amount of experience and training that the interviewer









possesses affect the outcome of the interview. The physical surroundings, as well as the political,

legal and emotional climate are included in situational factors.

From a review of current literature Pounder and Young (1996) made some suggestions for

selection interviews:

* Valid selection decisions are more likely if interviewers have a clear understanding of job
descriptions.

* Raters and interviewers need a common understanding of job expectation to improve
reliability and validity of selection decisions.

* Systematic training regarding job performance expectations, the selection system and
perception bias is needed for interviewers to make valid decisions.

* Increasing the collection of job-relevant information reduces biases based on age, race, sex
and attractiveness.

* Being consistent in the use of job-relevant application questions will enhance the reliability
and validity of decisions.

* Standardized interview guides increase the reliability and validity of decisions.

* Asking candidates to describe how they would act in certain typical situations increases the
predictive validity.

* Time must be given to screeners and interviewers to attain relevant information on all
candidates.

* Individual bias on the part of interviewers can be reduced if there are multiple trained
raters.

Empirical research on selection of school administrators is extremely scarce and absent a

systematic process (Schmitt & Schechtman, 1990). Consequently typical administrator selection

procedures are often followed: documentation of degrees, certification, academic transcripts,

prior experience in leadership and service capacities within or outside of the realm of education,

recommendations, internships or other relevant experience. Bryant (1978) concluded that

reference letters from previous employers are the most important credential when hiring









experienced administrators. Bryant (1978), Baltzell and Dentler (1983) and Schmitt and Cohen

(1990) agreed that the interview is the most highly regarded tool for screening administrators.

Improved principal selection procedures suggested by Pounder and Young (1996) include:

observation of the candidate on the job using performance evaluation tools; video tapes and

simulations activities; role plays; portfolios containing work samples, parent newsletters,

performance appraisals and other documentation of work related activities. They advised that

open discussions be held by selection committees to reach a common understanding of

"characteristics, attitudes, and behaviors that are expected or needed for a particular position or

organizational site, beyond those generic expectations" (p. 302). They stressed that it is "key"

for members of the selection committee to reach consensus regarding the expectations of the

position and the appropriate manner in which to evaluate the candidate. Selection techniques

used must have predictive validity and be "uniformly and consistently used to assess all

candidates" (p. 303). Pounder and Young contended that valid and reliable assessment of

candidates could be reached using simulations and observations of real work as opposed to

typical selection procedures such as paper and pencil screenings and interviews.

Although most final decisions regarding a principal candidate are made by the

superintendent in conjunction with the personnel director or assistant superintendent (Baltzell &

Dentler, 1983), parents, community members, school board members, teachers and staff

members and human resource personnel may also have input on the final selection (Wise,

Darling-Hammond, & Berry, 1987; Young & Ryerson, 1989). Culture, politics and economics

often play an important role, symbolically, in the selection of principals by the superintendent,

which may make the merits of a particular candidate less significant in the ultimate decision in

the selection of a principal (Baltzell & Dentler, 1983).









Socialization Processes

A review of the literature indicates two types of socialization: organizational socialization

and professional socialization. Crow and Matthews (1998) and Matthews and Crow (2003)

further concluded that socialization is a reciprocal process of professional learning and takes

place between the organization and the individual. Development of school based administrators

is found in professional socialization studies. Noted studies on principal professional

socialization were conducted by Duke, Isaacson, Sagor, and Schmuck (1984) and Greenfield

(1985a, 1985b). These studies examined the first few years of a principal's career. More recent

studies were conducted by Leithwood, Begley, and Cousins (1992), who defined socialization as

". .. those processes by which an individual selectively acquires the knowledge, skills and

dispositions needed to perform effectively the role of school-leader" (p. 148). The Leithwood et

al. studies focused on the socialization experiences of pre-service and serving principals. Hart

(1993) pointed out studies such as those by Leithwood and his colleagues "reveal means through

which newcomers become functioning school administrators" (p. 20). She further indicated that

there is a major gap in knowledge about the socialization process and the advantages provided by

leader succession experiences. In contrast, McPherson (1984) asserted that little can be learned

from studies of anticipatory, pre-service socialization because organizational and professional

socialization happen in concert with one another. Features of professional socialization included

duration of socialization, mechanics of socialization, relationship between realities and

expectations of the principalship (Duke et al., 1984); formal and informal preparation (Duke et

al., 1984; Leithwood et al., 1992); and perspective, content and context (Crow & Matthews,

1998). Included in socialization processes are formal education programs and less formal

programs such as working with a mentor, as well as informal leadership experienced while on

the job (Leithwood et al., 1992). Content also includes technical job skills, adjustment to the









work environment and learning and internalizing the values of the organization (Crow &

Matthews, 1998). Crow and Matthews established that socialization takes place within certain

contexts. They stressed that, in the case of school principals, socialization contexts include

districts, schools, work groups and universities. They added that subcultures within schools also

influence the socialization of the principal. These subcultures include parent, student and teacher

subcultures. Paying attention to the influence of these contexts and subgroups is crucial for the

novice administrator in developing political skills.

Studies conducted by Duke, et al. (1984) indicated that principals received little formal

socialization from their district offices, in what the researchers nicknamed "sink or swim"

socialization. Participants in the Duke study also reported that although they received written

job descriptions they were of little assistance in defining districts' expectations. Informal

socialization processes provided the majority of information regarding district and school norms

and expectations from a variety of sources, primarily other principals within the school district.

Three stages of socialization have been identified (Leithwood et al., 1992; Hart, 1993;

Crow & Matthews, 1998). Stages in the socialization process that differ based on the needs of

people include initiation, transition and incorporation. People at the initiation stage show concern

about the perception of others regarding their adequacy; those at the transition stage have a sense

of what is required for performing a job; those at the incorporation stage compare their previous

performance to their current abilities as an effective school leader (Leithwood et al., 1992).

Although terminology varies, Crow and Matthews (1998) label the three stages as anticipatory,

encounter and adjustment. At the anticipatory stage the individual begins to assimilate the

group's values and becomes acquainted with responsibilities and role expectations in regard to

the position and organization. The encounter stage takes place as the individual assumes the job









and reality sets in. Problems often occur at this stage as the newcomer tries to reconcile his or her

perceptions of what the job would involve with what actually happens. It is at this point, Crow

and Matthews assert, that mentors provide an extremely useful function in helping the new

administrator make meaning, cognitively, of situations as they arise.

Studies conducted by Leithwood et al. (1992) confirmed differing patterns of socialization.

Moderately helpful levels of socialization were reported by most aspiring and practicing school

leaders; few experienced a negative level of socialization; and 19% reported high level of

socialization. District support in socialization activities was perceived as very strong. This differs

from the Duke (1984) study which found formal socialization experiences limited.

Some consideration has been given to the role gender plays in the socialization process.

Crow and Matthews (1998) believed that consideration must be given to the masculine

socialization process of competition and achievement. They also promote attention to the

feminine model of socialization which includes relationship building and caring. Individuals take

an active role in their own socialization due to their motivation and other factors such as

experience, age, gender and personality characteristics. The Leithwood et al. (1992) study

reported that, although males and females reported similar socialization patterns, men perceived

having encouragement early on to consider their role as school leaders and females had the

perception of having frequent leadership opportunities presented to them. Length of time in

school leadership positions impacted the perceptions of school leaders regarding the helpfulness

of socialization experiences. Those in earlier stages of socialization did not perceive the

processes as helpful as those in the later stages. These researchers concluded that, "There is a

predictable relationship between school-leaders' images of their role and the patterns of

socialization which they experience. Increasingly, helpful patterns are associated with a tendency









to adopt images of the role, consistent with effective forms of school-leader problem-solving" (p.

159).

Data from studies by Leithwood et al. (1992) suggested the following: in preparing for a

role as school-leader, people indicate basing their decisions on the need for a challenge and a

thirst for knowledge; socialization patterns most valued are embedded in school life and having

broad based on-the-job leadership experiences; preparation programs are perceived on a

continuum of being extremely helpful to being extremely unhelpful, based on the quality of the

program. Additionally, the researchers suggested that those entering school administration roles

rarely leave for careers outside of education; in-school roles are the chosen career paths to the

principalship; a noteworthy minority of principals and aspiring principals, who held either

district positions or positions outside of education, reported experiencing socialization processes

more helpful in preparing them for instructional leadership; and using career paths to prepare

people for school leadership positions are viable selection criteria.

Improving socialization experiences of aspiring and practicing principals was considered in

several studies. To improve the socialization experiences of aspiring and practicing principals,

Leithwood et al. (1992) suggested that more time be devoted to training programs used to deliver

technical knowledge and skills required by administrators. Principals in the Duke et al. (1984)

study asserted that formal university course work played less importance in their preparation

than did informal factors. The study conducted by Leithwood and his colleagues (1992)

indicated that school-leaders lack confidence in managerial tasks. They stressed that programs

delivered in a "form consistent with good principles of adult education" (p. 164) might improve

socialization experiences. Papke (1989) contended that leadership activities which are part of on-

the-job experiences are perceived as the most beneficial socialization activities. He proposed that









principals and vice-principals should negotiate job responsibilities to insure that aspiring

principals are subjected to an array of responsibilities beyond simple maintenance and routine

duties. Technical and cultural learning are major content areas necessary for socialization to be

successful. Crow and Matthews (1998) advocated the use of mentoring to facilitate professional

learning in these areas for aspiring administrators.

Greenfield (1985b) identified two primary objectives to professional socialization: moral

socialization and technical socialization. Hart (1993) differentiated between these: "Moral

socialization is concerned with values, norms, and attitudes attendant to the career group.

Technical socialization focuses on knowledge, skills and techniques needed to perform

adequately as a school administrator" (p. 19).

Leithwood et al. (1992) confirmed that formal evaluation criteria for principals should

include leadership-development of their assistant principals. They asserted that curriculum

consultant roles held by prospective principals provide for the development of curriculum-

management skills; reliance on expertise rather than position; refinement of interpersonal and

communication skills; development of collaboration and problem-solving processes; and

acquirement of a full understanding of district-school relationships. They suggest that districts

should systematically select people who have expressed an interest in becoming principals to

chair district level committees. A study conducted by Abernathy (2000) found that the school

principal played a significant role in the competency development of assistant principals.

Offering leadership opportunities to those who exhibit leadership capabilities, but have not yet

considered administrative positions might ... build confidence and enable them to make

judgments about their suitability for and interest in, administration" (Leithwood et al., 1992, p.

163). Hart (1993) suggested that socialization processes for new principals minimize negative









surprises and suggested that they should be taught observation skills and organizational analysis.

She also concluded that peer interaction was necessary to allow the principal candidates to make

sense of emerging frameworks.

Crow and Matthews (1998) argued that, although sources of socialization for aspiring

administrators comes from teachers, district administrators and principals, the most significant

source of socialization of assistant principals comes from other school administrators through

their support, task assignments and role modeling. Veteran teachers help define an image of the

assistant principal as one who maintains the discipline and order of the school. When carrying

out instructional responsibilities, the assistant principal may more closely align with teachers.

Additionally, assessments and expectations by district administrators influence the advancement

of assistant principals.

Studies of School District Succession Plans

Numerous districts throughout the United States and other nations have begun programs to

address the issue of principal shortages through succession planning. Such planning takes the

form of programs to prepare, recruit and train aspiring principals. Goodlad (2004) recommended

that the first priority of new superintendents should be selecting the most promising individuals

for principals and developing leadership and management abilities in them. He further asserted,

"There should be, waiting in the wings, a sufficient number of qualified persons to take over

each principalship as it is vacated. The search for leadership in a district should be continuous"

(p. 277). He cautioned that short-sighted policies usually limit prospective candidates to current

district employees.

To determine the extent of the current principal shortage situation a preliminary study was

conducted in 1998 by Educational Research Service (ERS). They developed a list of survey

questions designed to address three issues: the difficulty that superintendents may have in filling









school-based administrator positions and what they perceive to be barriers to qualified people

applying for vacancies; women and minority candidates for school administrator positions; and

the existence of programs in school districts to develop aspiring principals and also provide new

principals with formal induction experiences. Using a random sample of districts with

enrollments of 300 or more pupils and at least one vacant principal position during the previous

year purchased from Market Data Retrieval, interviews were conducted by Gordon S. Black

Corporation telephone research center in Rochester, NY. The survey was presented as a Harris

Poll in order to encourage cooperation among those called.

Interviews were conducted in January of 1998. The script was controlled by a Computer

Assisted Telephone Interview script and a Computer Aided Sampling System was put in place to

insure a random sample. Of those persons contacted, 50% completed the survey, 45% were not

available at the time of the interview, and 5% refused the interview.

Four hundred and three (403) interviews took place with a sampling precision of +/-5% for

those items presented to the whole sample. Sub-groupings included rural, suburban and urban as

well as elementary, junior high/middle, and high school levels. Each group included fewer cases

than the study group as a whole, which increased the confidence limits to +/-9% for each group.

Educational Research Service (1998) cautioned that, ". differences in responses from the

subgroups should be considered statistically significant only if these differences are 9 percentage

points or greater" (p. 7). Stating that their approach took into account a sampling error

possibility, they further caution that those making inferences about a population from the

corresponding sample percentages should consider the possibility of bias between respondents

and nonrespondents to the survey.









The study by Educational Research Service (1998) drew conclusions regarding principal

shortages, the quality of principal preparation programs, barriers that discourage potential

principal applicants, women and minorities in school management positions and formal training

programs for principals. This survey found that while half the districts surveyed reported a

shortage of qualified candidates for the principalship, there did not seem to be dissatisfaction in

the candidates hired to fill vacancies. One third of the superintendents rated the educational

preparation of candidates as excellent, while nearly all felt that candidates experienced adequate

preparation.

Factors that discourage potential principals from seeking administrative positions included

salaries compared to job responsibilities, job stress and time demands. The barrier ranked at the

top by all groups surveyed was salary/compensation being not in line with job responsibilities,

with 60% of those surveyed indicating that it was a problem. Most districts reported an

increasing number of female applicants for management positions. However, attraction of

minority applicants was reported to be a problem, especially among urban school districts.

Formal training programs for new principals were in place in most districts, although aspiring

principals programs existed in very few districts.

A study similar to that of Educational Research Service was conducted by Orange County

Public Schools, Florida in 2003. Information was gathered from eight Florida school districts and

Dallas Independent School District. The following questions were asked:

* What is your recruitment strategy for attracting school-based administrators?

* What solutions are you pursuing for upcoming school-based administrator shortages?

* How much does the district spend on school-based administrator recruitment?

* Does your district have a Foundation? Do you work with that Foundation in terms of
recruitment for school-based administrators? What financial assistance do they provide for
these efforts? How much?









* What is the budgetary amount that is spent annually on leadership development training?

* What is your "grow your own" district recruitment approach for school-based
administrators? Approximately how many new school-based administrators do you hire
each year?

* What alternative certification program is available for school-based administrators?

* Do you have a formal program for preparing new principals? If yes, what is the length of
the program? How many individual complete the program annually? (pp. 63-72)

The survey found that local training programs for those interested in becoming school

leaders exist in three districts; three districts use the internet to advertise positions; four districts

work with local colleges and universities that offer educational leadership programs; and three

districts indicated that they did nothing to recruit school-based administrators.

When asked what they were doing to prepare for upcoming school-based administrator

shortages, 2 of 9 districts surveyed anticipated no impending shortages. Seven districts employed

such strategies as a principal's transition plan, stipends for teacher leaders to pay for

masters/doctoral degrees for those seeking administrative certification, a Lead Teacher Program

for potential leaders, informational sessions, career exploration day for those interested in

pursuing school-based administrator positions and advertising options to encourage retired

administrators to return to principal positions.

Recruitment budgets varied across the seven districts surveyed from as high as $15,000 in

Dallas ISD to a low figure of $7000 in another district. Five districts claimed to spend little or no

money on recruiting of school-based administrators. And although 6 of the 9 districts had

educational foundations which contributed to teacher recruitment, none of the foundations

supported administrative recruitment efforts.









When asked about the amount of money spent on leadership development training,

Broward County had about $260,000 to spend, down from $400,000 the previous year. Dallas

ISD spent approximately $168,000; and the remaining six districts were unable to provide data.

When questioned whether districts had a "grow your own" recruitment approach for

school-based administrators, seven districts had some type of program to recruit from within the

district; Manatee County had nothing in place and Polk County did not respond. Specific

programs include the Teacher Leader Program in Broward County and a Teacher to AP Program

in Palm Beach County. Dallas ISD provided the most comprehensive explanation of their

recruitment approach. Current assistant principals and deans aspiring to become principals were

invited to participate in the Principal Leadership Development Academy which provided

workshops related to the operation and management of the district, instructional programs, and

state and district policies and procedures. A Campus Leadership Academy offers workshops for

teachers, counselors and central office personnel who aspired to be assistant principals or deans.

Evening workshops were focused on school-based leadership. To participate in either program,

candidates must go through a selection process involving interviews, writing assignments and

written exams. Completion of the academy allowed personnel to join a "pool" for the next hiring

period. Once they became principals, they participated in the Professional Growth Academy,

which trained them to become more effective leaders, positively impacting student achievement.

Mandated by the state, all first year administrators were required to participate in an induction

program for a year, which provided training related to management and instructional leadership.

In response to the question, "Approximately how many new school-based administrators

do you hire each year?" the responses were as follows: Brevard--175 in three years; Broward-

since 2002-2003, 90 assistant principals and 42 principals; Hillsborough-85 in the past 3.5









years; Manatee-12 a year; Osceola-25 in 03-04; Palm Beach-289 school based since 2000;

2003-04-15 school-based; Polk-20; Seminole-11 per year over past 4 years. Dallas ISD-29

principals, 10 deans of instruction and 39 assistant principals.

Neither the Dallas ISD nor the eight Florida districts surveyed had alternative certification

programs for school-based administrators. However, formal preparation programs for principals

were in place in seven Florida Counties surveyed. Polk County did not respond to the survey.

Dallas ISD had a one year state mandated induction program for first year administrators. Length

of the preparation programs ranged from one to three years. Brevard County indicated that 13-18

individuals completed their program per year; Dallas ISD had 85-100 participants in the last two

years; Hillsborough County had 100 assistant principals with principal certification ready to be

hired as principals. Osceola County graduated approximately 10 individuals per year from their

Preparing New Principals Program. Seminole County reported about 13-15 individuals in their

principal preparation program each year.

Summary of Related Research

Review of literature related to school effectiveness and accountability underscores the

importance of placing quality leaders in school principal positions (Kelly & Peterson, 2002).

There is a wide body of literature outlining leadership standards for school principals (Doud &

Keller, 1998; Deal & Peterson, 1994; Dyer, 2001; Hallinger, Leithwood & Murphy, 1993;

National Association of Elementary School Principals, 2002; Rallis & Goldring, 2000; Florida

Department of Education, 2005; Aspin, 1996; Council of Chief State School Officers, 1996).

The U. S. Department of Educational Statistics forecasts a shortage of school principals

through the first decade of the twenty-first century (Educational Research Service, 1999;

Institute for Educational Leadership, 2000). Additional studies support this conclusion (Doud &

Keller, 1998; National Center for Education Statistics, 1997; RAND Education, 2004). A









shortage of teachers impacts the supply of principals (Leithwood, Bagley & Cousins, 1992;

Ingersoll, 2001; North Carolina Department of Public Instruction, 2002; North Central Regional

Educational Laboratory, 1999; Jimerson, 2003).

For decades the business world and military have understood the need of succession

planning and management (Tucker & Codding, 2002). However, little recent literature outlining

succession planning in educational institutions exists (Normore, 2001). Succession planning for

principal replacement includes principal preparation programs, principal recruitment and

selection. Also included are grow your own and entry level training programs, as well as

socialization processes. School districts throughout the United States and Canada are placing

emphasis on succession planning to meet the demands of an impending principal shortage and

the need for qualified principals.

Chapter 3 explains the methodology used to investigate principal shortages. Methods used

to investigate succession planning policies and implications for principal replacement in the 67

Florida school districts are described.









CHAPTER 3
METHODOLOGY

Introduction

The purpose of this study was to explore the shortage of well-qualified principals and

succession planning policies developed by the 67 Florida school districts. This chapter presents

the research hypotheses that guided this study, the research sample, the survey instrument that

was utilized to collect the quantitative data, the statistical analyses applied, and finally a

description of qualitative data collection through the use of a standardized open-ended interview

protocol.

This was a mixed study using quantitative and qualitative research methods. Sogunro

(2001) believed that mixing both methods in concert with one another play complementary roles

in the research process and outcome. Quantitative research is defined by Creswell (1994) as "an

inquiry into a social or human problem, based on testing a theory composed of variables,

measured with numbers, and analyzed with statistical procedures, in order to determine whether

the predictive generalizations of the theory hold true" (p. 1). He described qualitative research as

"an inquiry process of understanding a social or human problem, based on building a complex,

holistic picture, formed with words reporting detailed views of informants, and conducted in a

natural setting" (p. 2). Quantitative research has also been described as empirical (Punch, 1998),

using data in the form of numbers (Punch, 1998; Gay & Airasian, 2000) and collecting data to

explain, predict and/ or control a particular event (Gay & Airasian, 2000). Qualitative research,

on the other hand, is described as not using numbers (Punch, 1998; Gall, Gall & Borg, 1999),

naturalistic (Gay & Airasian, 2000), verbal and subjective (Gall, Gall & Borg, 1999). Creswell

(1994) concluded that combining methods provides advantages to the researcher by allowing









increased understanding of a concept being studied. Sogunro (2001) asserted that a combination

of research methods results in stronger validity and reliability.

Research Questions and General Research Hypotheses

Question 1: Is there a relationship between a shortage of well-qualified candidates for

principal vacancies and the size of the school district? To address this question the following

hypothesis was generated:

Hypothesis 1: A relationship exists between a shortage of well-qualified candidates for principal

vacancies and the size of the school district (i.e., when the size of the school district increases so

does the shortage of well-qualified candidates for principal vacancies).

Question 2: Is there a relationship between the shortage of well-qualified candidates for

principal vacancies and the presence of written succession planning policies? To address this

question the following hypothesis was generated:

Hypothesis 2: A relationship exists between the shortage of well-qualified candidates for

principal vacancies and the presence of written succession planning policies (i.e., when written

succession planning policies are in place in a school district, the less likely the shortage of well-

qualified candidates for principal vacancies).

Question 3: Is there a relationship between the shortage of well-qualified female

candidates for principal vacancies and the presence of written succession planning policies? To

address this question the following hypothesis was generated:

Hypothesis 3: A relationship exists between the shortage of well-qualified female candidates for

principal vacancies and the presence of succession planning policies (i.e., when written

succession planning policies are in place in a school district, the less likely the shortage of well-

qualifiedfemale candidates for principal vacancies).









Question 4: Is there a relationship between the shortage of well-qualified minority

candidates for principal vacancies and the presence of written succession planning policies? To

address this question the following hypothesis was generated:

Hypothesis 4: A relationship exists between the shortage of well-qualified minority candidates

for principal vacancies and the presence of written succession planning policies (i.e., when

succession planning policies are in place in a school district, the less likely the shortage of well-

qualified minority candidates for principal vacancies).

Question 5: Do perceived barriers to having well-qualified candidates for principal

vacancies differ between districts experiencing principal shortages and those districts that are not

experiencing principal shortages? To address this question the following hypothesis was

generated:

Hypothesis 5: Perceived barriers to having well-qualified candidates for principal vacancies

differ between districts experiencing principal shortages and those districts which are not

experiencing principal shortages (i.e., the mean number of perceived barriers in districts

experiencing principal shortages is greater than the mean number of perceived barriers in

districts that are not experiencing principal shortages).

Question 6: Is there a relationship between the degree to which districts encourage the

development of aspiring principals and the shortage of well-qualified principal candidates? To

address this question the following hypothesis was generated:

Hypothesis 6: A relationship exists between the degree to which districts encourage the

development of aspiring principals and the shortage of well-qualified principal candidates (i.e.,

when districts have succession planning policies in place to encourage the development of









aspiring principals increases, there will be a decrease in the shortage of well-qualified principal

candidates).

Research Participants

The sample of 36 responding school districts was taken from a population of 67 Florida

School districts. A list of the 67 Florida school districts and the superintendents of each district

was obtained from the Florida Department of Education website. The total number of students

for each district was also obtained from the Florida Department of Education website. The

survey was mailed to superintendents of 14 large school districts (more than 50,000 students), 24

medium size districts (between 10,000 and 50,000 students), and 29 small school districts (less

than 10,000 students). To determine the size of school districts, the designation used by the

Florida Department of Education (March, 2003) was employed. The membership used to rank

order the districts by size was generated from a 2005 Fall PK-12 FTE (full time equivalent)

survey (Florida Department of Education, 2005a). It should be noted that Florida school districts

encompass entire counties and thus may be larger than school districts found in other states.

The Florida Department of Education assigns district and school grades each year based on

student achievement data. Of the 14 large school districts in the state, five (36%) of them were

designated "A" districts and nine (64%) as "B" districts. Of the 24 medium size districts, 13

(54%) were designated "A" districts, nine (38%) as "B" districts and two (8%) as "C" districts.

Of the 29 small school districts, six (21%) were designated "A" districts, 11 (38%) as "B"

districts, and 12 (41%) were labeled "C" districts. (Florida Department of Education, 2006).

Instrument

A survey designed by Educational Research Service (Educational Research Service, 1998)

for the National Association of Elementary School Principals and the National Association of









Secondary School Principals was modified for use in this study. Educational Research Service

granted the researcher permission to use the copyrighted survey (see Appendix A).

The instrument, Is There a Shortage of Well-Qualified Candidates for Openings in the

Principalship in Florida Public School Districts? (see Appendix B) consisted of 31 items. The

survey contained three sections: demographic information; principal preparation; and principal

recruitment, hiring and training. Definitions of the following words: induction, mentoring

program, minority, and well-qualified were provided following the demographic section.

Hypothesis 1: Survey Items 2, 15, 20, 25 and 27

To test Hypothesis 1 (a relationship exists between a shortage of well-qualified candidates

for principal vacancies and the size of the school district), items 2, 15, 20, 25 and 27 were used.

Item 2 asked the respondent to indicate district size as either small (less than 10,000 students),

medium (10,000-50,000 students), or large (more than 50,000 students). Using information from

FDOE (Florida Department of Education), the researcher followed the rubric used by FDOE to

determine trends in minority students and teachers (2003, March). For items 15, 20 and 25

respondents were asked whether there was a "surplus" (a), "shortage" (b), or "about the right

number" (c), of well-qualified candidates for principal vacancies at the elementary, middle and

high school levels, respectively. Respondents were asked in item 27 if they anticipated a

principal shortage in the next 12 months by a simple "yes" or "no" answer.

Hypothesis 2: Survey Items 15, 20, 25, 27 and 30

To test Hypothesis 2 (a relationship exists between the shortage of well-qualified

candidates for principal vacancies and the presence of written succession planning policies)

items 15, 20, 25, 27 from Hypothesis 1, and item 30 were used. Item 30 provided an opportunity

for respondents to indicate whether or not their district had a written succession plan, by

choosing either a "yes" or "no" response.









Hypothesis 3: Survey Items 9, 13, 18, 23 and 30

To test Hypothesis 3 (a relationship exists between the shortage of well-qualified female

candidates for principal vacancies and the presence of written succession planning policies)

items 9, 13, 18, 23 and 30 were used. For item 9 respondents were asked to answer either "yes"

or "no" to indicate if there was a need in their district to increase the number of women working

in school-based administrative positions. A simple "yes" or "no" response was required for items

13, 18 and 23, which asked the respondent to indicate whether or not any well-qualified female

candidates applied for principal vacancies at elementary, middle and high school levels,

respectively. Responses for item 30 as used for Hypothesis 2 were also included.

Hypothesis 4: Survey Items 10, 14, 19, 24 and 30

To test Hypothesis 4 (a relationship exists between the shortage of well-qualified minority

candidates for principal vacancies and the presence of written succession planning policies)

items 10, 14, 19, 24 and 30 were used. For item 10 respondents were asked to answer either

"yes" or "no" to indicate if there was a need in their district to increase the number of minorities

working in school-based administrative positions. A simple "yes" or "no" response was required

for items 14, 19 and 24, which asked the respondent to indicate whether or not any well-qualified

minority candidates applied for principal vacancies at elementary, middle and high school levels,

respectively. Responses for item 30, as used for Hypotheses 2 and 3, were also included.

Hypothesis 5: Survey Items 26 and 27

To test Hypothesis 5 (perceived barriers to having well-qualified candidates for principal

vacancies differ between districts anticipating principal shortages and those districts which are

not anticipating principal shortages) items 26 and 27 were used. Item 26 asked respondents who

experienced principal shortages to respond by rank ordering the top five barriers they perceived

that prevented well-qualified applicants from applying for principal vacancies, with "1" being









least important and "5" being most important. The 14 selected barriers presented in the survey

were those identified in the literature review. "Other" was provided for respondents to write in

any perceived barriers not addressed in the survey. An opportunity was provided for respondents

to skip this question if they were not experiencing a shortage. Respondents were asked to

respond to item 27 by a simple "yes" or "no" answer if they anticipated a principal shortage in

the next 12 months.

Hypothesis 6: Survey Items 15, 20, 25, 27, 28 and 29

To test Hypothesis 6 (a relationship exists between the degree to which districts encourage

the development of aspiring principals and the shortage of well-qualified principal candidates)

items 28 and 29 were used. Additionally items 15, 20, 25 and 27 as used in Hypotheses 1 and 2

were included. Items 28 and 29, in checked response format, allowed respondents to indicate

components in place for recruiting and hiring aspiring principal candidates (item 28) and training

aspiring principal candidates (item 29). These components were identified in the literature

review.

Additional Items: Survey Items 1, 3-8, 11, 12, 16, 17, 21, 22 and 31

Several questions not related to the hypotheses were included in the survey to provide the

researcher with additional information. This information was helpful in drawing conclusions and

making recommendations regarding succession planning for principal replacement. Item 1 asked

for the title of the person completing the survey. Titles included: superintendent, assistant

superintendent, associate superintendent, area superintendent, human resource officer, and

personnel director. "Other" was added with space to include a title, should none of the titles

supplied be applicable. Items 3-7 required simple "yes" or "no" answers. Respondents were

asked to check either "yes" or "no" following the questions regarding the presence of aspiring

principal programs (item 3), induction programs (items 4 and 6) and mentoring programs (items









5 and 7) for new assistant principals and new principals, respectively. Item 8 asked respondents

to characterize the educational preparation of recent principal candidates. Response choices

included the following options: "excellent" (a), "adequate" (b) and "not adequate" (c).

Items 11, 16 and 21 asked respondents to indicate the number of assistant principal

vacancies filled in the last 12 months at the elementary, middle and high school levels,

respectively. Items 12, 17, and 22 asked respondents to indicate the number of principal

vacancies filled in the last 12 months at the elementary, middle and high school levels,

respectively.

Item 31 was a clarifying question regarding written succession plans and enabled

respondents to indicate whether or not the answers they checked in items 28 and 29 were

components of their written succession plans. Item 31 required a simple "yes" or "no" response.

Pilot Test

The pilot survey instrument (see Appendix C) was tested by five administrators, who

served as a panel of experts to provide evidence of content validity. The panel consisted of an

Associate Superintendent, an Area Superintendent, a Human Resource Consultant, a Senior

Executive Director for Human Resources, and a retired school administrator. One of the

members of the panel suggested that the definition of "quality principal" be included to align

with NCLB, and that "minority" be defined in the survey. Minority was clarified and redefined

as African-American and Hispanic. Adjusting the wording and order of several questions took

place as a result of responses and feedback.

Procedure

Prior to gathering information from school districts, permission to conduct this study was

obtained from University of Florida Institutional Review Board (UFIRB) (see Appendix D).

Surveys were distributed by mail to the offices of superintendents of the 67 Florida school









districts. Names and addresses were obtained from The Florida Department of Education online

data source. The mailing included a cover letter requesting participation (see Appendix E); an

Informed Consent Form (see Appendix F); the survey instrument, Is There a Shortage of Well-

Qualified Candidates for Openings in the Principalship in Florida Public School Districts? (see

Appendix B); a postage paid return envelope; and five education commemorative U.S. postage

stamps, as tokens of appreciation. Each respondent who participated in this research completed

an Informed Consent Form and mailed it to the researcher separate from the survey.

A follow-up postcard was sent out after two weeks as a reminder. A second mailing was

employed three weeks after the first mailing to those not responding to the first mailing. The

second mailing included copies of the instrument, Informed Consent Form, cover letter and

postage paid return envelope.

Following the return of the surveys the researcher contacted two small, two medium and

two large districts by phone and/or email to set up interviews for the qualitative aspect of the

study. Telephone interviews were conducted using a standardized open-ended interview protocol

(see Appendix G).

Quantitative Data Analysis

The present study aimed to investigate the presence of principal shortages in 67 school

districts across the state of Florida. More specifically, the purpose of the study was to address the

relationships between succession planning components and principal shortages. In order to

determine if such relationships existed, a series of chi-square tests for independence and

independent samples t-tests were conducted. An alpha level of a =.05 was applied to control for

the type 1 error rate. After data were collected and tabulated, SPSS 15.0 was used to run the chi-

square and t-test analyses.









Qualitative Data Analysis

Following analysis of the statewide data, qualitative data was gathered and analyzed using

the standardized open-ended interview approach (Patton, 2002). Using the respondents from the

quantitative survey, two small, two medium and two large districts were randomly selected for

interviews. Interviews were scheduled in advance and each respondent was interviewed

separately by telephone. Six questions were asked that addressed district size, shortage of well-

qualified candidates for principal vacancies, description of the term "well-qualified," and

comparison of descriptors based on whether the vacancies occurred in elementary, middle or

high schools (see Appendix G).

The same set of questions was used for each interview. The researcher listened for

comments during the interview, which supported and did not support the definition of "well-

qualified" as related to the 10 Florida Leadership Standards. The researcher documented and

recorded the comments, creating a verbatim transcript. Answers were analyzed based on

similarities, differences and the use of common language. First, utterances of each interview

transcript were treated as an observation. Second, key words and phrases were identified in each

observation. Third, themes and patterns were determined by examining each observation. Fourth,

interconnections among observations were determined. Fifth, themes and patterns were

connected. These tasks were facilitated through the use of cross-classification matrices (Patton,

2002).

Chapter 4 describes data received from the survey and subsequent interviews. The findings

and data analyses are presented for each of the research questions.









CHAPTER 4
ANALYSIS OF THE DATA

Introduction

The purpose of this study was to explore the shortage of well-qualified principals and

succession planning policies developed by the 67 Florida School Districts. This study addressed

six research questions to guide the investigation. A population of 67 Florida school districts was

mailed data collection survey packets. A total of 36 surveys were returned for a response rate of

54%. Respondent rates by district size were: 8 of 14 large districts (57%), 13 of 25 medium

districts (52%), and 15 of 29 small districts (52%). Following return of the surveys, the

researcher randomly selected and contacted officials from six Florida school districts who had

returned the survey and had indicated a willingness to be interviewed: two from small districts,

two from medium sized districts, and two from large districts. Interview questions in a structured

interview protocol format focused on the meaning of "well-qualified" as it relates to applicants

for vacant principal positions. This chapter is divided into three sections: Analyses of Survey

Data Related to Research Questions, Analyses of Descriptive Data Related to Survey, and

Analyses of Structured Interview Protocol.

Analyses of Survey Data Related to Research Questions

Research Question 1: Is there a relationship between a shortage of well-qualified

candidates for principal vacancies and the size of the school district? Chi-square tests of

independence were conducted using data from survey items 2, 15, 20, 25 and 27. Item 2 asked

respondents to indicate the size of their district as small, medium or large. Items 15, 20 and 25

asked respondents if there was a shortage of principal candidates at the elementary, middle and

high school levels, respectively. Data about anticipated principal shortages in the next 12 months

were collected in Item 27.









Thirty-six (36) districts-15 small, 13 medium and 8 large-responded to item 2

indicating the size of their districts. Crosstabulations were run to compare district size with

shortages at the elementary, middle and high school levels. Responses were grouped by: (a)

surplus of well-qualified applicants, (b) shortage of well-qualified applicants, and (c) right

number of well-qualified applicants.

Crosstabulation of district size with the variables surplus, shortage, and the right number of

well-qualified principal candidates at the elementary school level was conducted. Table 4-1

reports a chi-square value of 8.65 with 4 degrees of freedom at a critical value of 9.49. The chi-

square value of 8.65 is less than the critical value of 9.49 at an alpha level of .05. Thus it was

determined that there is no relationship between district size and a shortage of well-qualified

principal candidates-shortages were reported to exist in school districts at the elementary

school level regardless of size.

Crosstabulation of district size with the variables surplus, shortage, and the right number of

well-qualified principal candidates at the middle school level was conducted. Table 4-2 reports a

chi-square value of 12.27 with 4 degrees of freedom at a critical value of 9.49. The chi-square

value of 12.27 is greater than the critical value of 9.49 at an alpha level of .05. It was determined

that, based on district size, there was a significant relationship between district size and a

shortage of well-qualified middle school principal candidates. Shortages were reported to be

greater at the middle school level in small school districts.

Crosstabulation of district size with the variables surplus, shortage, and the right number of

well-qualified principal candidates at the high school level was conducted. Table 4-3 reports a

chi-square value of 7.63 with 4 degrees of freedom at a critical value of 9.49. The chi-square

value of 7.63 is less than the critical value of 9.49 at an alpha level of .05. It was determined that









there was no relationship between district size and a shortage of well-qualified principal

candidates at the high school level--shortages appeared to exist in school districts at the high

school level regardless of size.

Crosstabulation between district size and anticipated shortage of principal candidates in the

next 12 months was conducted. Table 4-4 reports a chi-square value of .53 with 2 degrees of

freedom at a critical value of 5.99. The chi-square value of .53 is less than the critical value of

5.99 at an alpha level of .05. Thus it was determined that there is no relationship between

anticipated shortages of well-qualified candidates for principal vacancies and the size of school

districts. Regardless of the size of the school district, about the same number of districts

anticipated a shortage of well-qualified principals over the next 12 months as did not anticipate a

shortage.

Research Question 2: Is there a relationship between the shortage of well-qualified

candidates for principal vacancies and the presence of written succession planning policies?

Collectively, survey items 15, 20, 25, 27 and 30 formed the basis of this research question. As

used to answer research question 1, data were generated from items 15, 20 and 25 regarding a

shortage of well-qualified principal candidates for elementary, middle and high schools. Item 27

addressed anticipated principal shortages. Item 30 asked respondents whether their districts had

in place written succession plans. Chi-square tests of independence were conducted to determine

significance.

Crosstabulation at the elementary school level of surplus, shortage or the right number of

well-qualified candidates for principal vacancies and the presence of written succession plan

policies was conducted. Table 4-5 reports a chi-square value of 7.64 with 2 degrees of freedom at

a critical value of 5.99 and an alpha level of .05. The chi-square value of 7.64 is greater than the









critical value of 5.99. Thus it was determined that there is a significant relationship between the

shortage of well-qualified principal candidates at the elementary level and the presence of

written succession planning policies. Where written succession plans were in place, fewer

shortages of well-qualified candidates for elementary school principal vacancies were

experienced.

Crosstabulation at the middle school level of surplus, shortage or the right number of well-

qualified candidates for principal vacancies and the presence of written succession plan policies

was conducted. Table 4-6 reports a chi-square value of 6.48 with 2 degrees of freedom at a

critical value of 5.99 and an alpha level of .05. The chi-square value of 6.48 is greater than the

critical value of 5.99. Thus it was determined that a significant relationship exists between a

shortage of well-qualified principal candidates at the middle school level and the presence of

written succession planning policies. Where there were written succession plans in place, there

appeared to be fewer shortages when seeking well-qualified candidates for middle school

principal vacancies.

Crosstabulation of surplus, shortage and the right number of well-qualified candidates for

high-school principal vacancies and the presence of written succession plan policies was

conducted. Table 4-7 reports a chi-square value of 3.88 with 2 degrees of freedom at a critical

value of 5.99 and an alpha level of .05. The chi-square value of 3.88 is less than the critical value

of 5.99. Thus it was determined that no significant relationship existed between shortages of

well-qualified principal candidates at the high school level and the presence of written

succession planning policies. Shortages appeared to exist at the high school level regardless of

whether a district had an administrative succession plan in place.









Crosstabulation between anticipated shortages of principal candidates in the next 12

months and the presence of written succession plan policies was conducted. Table 4-8 reports a

chi-square value of .12 with 1 degree of freedom and a critical value of 3.84 at an alpha level of

.05. The chi-square value of .12 is considerably less than the critical value of 3.84. Thus it was

determined that no significant differences existed between shortages of well-qualified principals

and the presence of written succession planning policies. Shortages of well-qualified principal

candidates were anticipated in districts regardless of whether or not written succession planning

policies were in place.

Research Question 3: Is there a relationship between the shortage of well-qualified female

candidates for principal vacancies and the presence of written succession planning policies? Data

were generated from items 9, 13, 18, 23 and 30, and chi-square tests of independence were

conducted using these data. Item 9 asked respondents to indicate whether there was a need to

increase the number of well-qualified women working in school-based administrative positions.

Items 13, 18 and 23 addressed shortages of well-qualified female candidates for principal

vacancies in elementary, middle and high school levels, respectively. Item 30 asked respondents

whether their districts had written succession plans.

Table 4-9 indicates that 97% of responding districts reported that the need to increase the

number of women working in school-based administrative positions was not an issue.

Crosstabulation of shortages of well-qualified female candidates for vacant elementary principal

positions and the presence of written succession plan policies was conducted. Table 4-10 reports

a chi-square value of .49 with 1 degree of freedom and a critical value of 3.84 at an alpha level of

.05. The chi-square value of .49 is considerably less than the critical value of 3.84. Thus it was

determined that no significant differences existed between shortages of well-qualified female









candidates for elementary principal positions and the presence of written succession planning

policies.

Crosstabulation of shortages of well-qualified female candidates for vacant middle school

principal positions and the presence of written succession plan policies was conducted. Table 4-

11 reports a chi-square value of 2.92 with 1 degree of freedom and a critical value of 3.84 at an

alpha level of .05. The chi-square value of 2.92 is less than the critical value of 3.84. Thus it was

determined that no significant differences existed between shortages of well-qualified candidates

for middle school principal positions and the presence of written succession planning policies.

Crosstabulation of shortages of well-qualified female candidates for vacant high school

principal positions and the presence of written succession plan policies was conducted. Table 4-

12 reports a chi-square value of 1.99 with 1 degree of freedom and a critical value of 3.84 at an

alpha level of .05. The chi-square value of 1.99 is less than the critical value of 3.84. Thus it was

determined that no significant differences existed between shortages of well-qualified candidates

for high school principal positions and the presence of written succession planning policies.

Crosstabulation of the need to increase the number of well-qualified women in vacant

school level administrative positions and the presence of written succession plan policies was

conducted. Table 4-13 reports a chi-square value of 2.15 with 1 degree of freedom and a critical

value of 3.84 at an alpha level of .05. The chi-square value of 2.15 is less than the critical value

of 3.84. Thus it was determined that no relationship existed between shortages of well-qualified

female candidates for vacant principal positions and the presence of written succession planning

policies. There appeared to be an adequate number of well-qualified females in school level

administrative positions, regardless of whether written succession plans were in place in the

school district.









Research Question 4: Is there a relationship between the shortage of well-qualified

minority candidates for principal vacancies and the presence of written succession planning

policies? To address this research question, data from survey items 10, 14, 19, 24 and 30 were

used and chi-square tests of independence were generated. Item 10 asked that respondents

indicate whether there was a need to increase the number of minorities working in school-based

administrative positions. Items 14, 19 and 24 addressed the issue of shortages of well-qualified

minority candidates for vacant principal positions at the elementary, middle and high school

levels, respectively. As used in research questions 2 and 3, data generated from item 30

regarding the presence of written succession planning policies were also used.

Table 4-14 indicates that 22 (63%) of 35 responding districts reported that the need to

increase the number of minorities working in school-based administrative positions was an issue.

Seven (50%) of 14 small districts, 9 (69%) of 13 medium size districts and 6 (75%) of 8 large

districts reported a need to increase minorities in school level administrative positions.

Crosstabulation of shortages of well-qualified minority candidates for vacant elementary

principal positions and the presence of written succession plan policies was conducted. Table 4-

15 reports a chi-square value of .71 with 1 degree of freedom and a critical value of 3.84 at an

alpha level of .05. The chi-square value of .71 is considerably less than the critical value of 3.84.

Thus it was determined that no significant differences existed between shortages of well-

qualified minority candidates for vacant principal positions at the elementary level and the

presence of written succession planning policies.

Crosstabulation of shortages of well-qualified minority candidates for vacant middle

school principal positions and the presence of written succession plan policies was conducted.

Table 4-16 reports a chi-square value of .66 with 1 degree of freedom and a critical value of 3.84









at an alpha level of .05. The chi-square value of .66 is considerably less than the critical value of

3.84. Thus it was determined that no significant differences existed between shortages of well-

qualified minority candidates for vacant principal positions at the middle school level and the

presence of written succession planning policies.

Crosstabulation of shortages of well-qualified minority candidates for vacant high school

principal positions and the presence of written succession plan policies was conducted. Table 4-

17 reports a chi-square value of 3.32 with 1 degree of freedom and a critical value of 3.84 at an

alpha level of .05. The chi-square value of 3.32 is less than the critical value of 3.84. Thus it was

determined that no significant differences existed between shortages of well-qualified minority

candidates for vacant principal positions at the high school level and the presence of written

succession planning policies.

Crosstabulation of the need to increase the number of well-qualified minorities in vacant

school level administrative positions and the presence of written succession plan policies was

conducted. Table 4-18 reports a chi-square value of .02 with 1 degree of freedom and a critical

value of 3.84 at an alpha level of .05. The chi-square value of .02 is considerably less than the

critical value of 3.84. No relationship existed between shortages of well-qualified minority

candidates for vacant principal positions and the presence of written succession planning

policies. Having a written succession plan does not assure an adequate number of well-qualified

minority candidates for vacant principal positions.

Research Question 5: Do perceived barriers to having well-qualified candidates for

principal vacancies differ between districts experiencing principal shortages and those districts

which are not experiencing principal shortages? Twenty-five (25) of the 36 respondents

completed survey question 25; however they did not follow directions to rank order the top five









perceived barriers that prevent well-qualified applicants from applying for vacant principal

positions, making it impossible for the researcher to address this question as intended. It appears

that most respondents merely checked barriers that they believed were present. Table 4-19

provides a description of their checked responses. The barriers selected most frequently by

respondents were: insufficient salary, stress, testing/accountability pressures, time, and lack of

interest by teachers.

Research Question 6: Is there a relationship between the degree to which districts

encourage the development of aspiring principals and the shortage of well-qualified principal

candidates? For differences between districts anticipating shortages of well-qualified principals

in the next 12 months and those not anticipating shortages for each measure of survey data

regarding the recruiting, hiring and training of aspiring principals, an independent samples t-test

was performed with p < .05, 2-tailed (Table 4-20). Districts which did not anticipate shortages

of well-qualified principals in the next 12 months had more policies in place for recruiting, hiring

and training aspiring principals (M= 16.06, SD=5.65 ), than districts which did anticipate

shortages of well-qualified principals (M= 12.21, SD= 4.93). This difference was significant,

t(34 ) = 2.18, p = .04 two tailed.

Analyses of Descriptive Statistics Related to Survey Data

Of those 36 districts responding to the survey, respondents included one superintendent,

six assistant superintendents, one associate superintendent, 13 human resource officers, eight

personnel directors, one recruiting officer, one director of the office of professional development

and five designated as "other."

Survey questions 3 through 7 asked respondents about their principal preparation programs

(Table 4-21). Thirty-one (31) of 36 districts, (86%), responding to the survey, indicated that they

had aspiring principal programs in place. Survey data indicated that there were relatively the









same number of districts offering induction and mentoring programs for assistant principals and

new principals. Of the 36 districts surveyed 22 (61%) reported that they had induction programs

in place for assistant principals and 21 (58%) had induction programs for new principals.

Similarly, 22 (61%) had mentoring programs for assistant principals and 20 (56%) reported

mentoring programs for new principals.

Survey question 8 asked participants to rate the quality of educational preparation

programs of recent candidates for school principal positions in terms of leading and managing

change and establishing a vision. Twelve (35%) of the 34 districts that responded to this question

indicated that training was excellent, 20 (59%) indicated that training was adequate, and 2 (6%)

indicated that they felt training was not adequate.

Analyses of Structured Interview Protocol

Interview question 1: Do you consider your district to be a small, medium or large district?

Respondents included two small districts, two medium size districts and two large districts.

Table 4-22 indicates each respondent's identification code and corresponding district size.

Interview question 2: Do you believe that your district is experiencing a shortage of well-

qualified candidates for vacant principal positions? Both respondents from small districts

indicated that there was a shortage of well-qualified candidates. One respondent from a medium

size district indicated that there was a shortage of well-qualified candidates; the other indicated

that although there was no shortage, there were limited numbers from which to choose. One

respondent from a medium size district indicated that they were experiencing a shortage of

assistant principal candidates, as well. One respondent from a large district identified the

shortage specifically for secondary principals. Five of the six respondents (83%) from small,

medium, and large districts reported that they were experiencing a shortage of well-qualified

candidates for vacant principal positions. These comments supported the response to research









question 2 that found that shortages of well-qualified candidates appeared to occur regardless of

the school district size.

Interview question 3: How would you describe a well-qualified candidate for a vacant

principal position? Table 4-23 outlines responses to this question by district size. Two of six

respondents identified leading with a vision as a characteristic of a highly qualified principal: one

in a medium size district and one in a large district. Three respondents, one in a small and two in

large districts, identified a specific characteristic of a highly qualified principal as an

instructional leader, although they did not elaborate on the meaning of this characteristic. Two

respondents, one in a large district and one in a medium size district, identified technology skills

as important. Four respondents, one from a small district, two from medium districts and one

from a large district, specifically identified appropriate certification or meeting job qualifications

as important. One respondent from a large district stressed that "well-qualified" goes beyond

certification and having the skills of the Florida Principal Leadership Standards. One respondent

from a small district mentioned that because of a shortage of qualified candidates, her district

was willing to accept a principal candidate who is willing to work on certification.

All six respondents identified leadership skills as important: being an instructional leader,

collaborative leader and curriculum leader. Both respondents from large districts mentioned

school culture: one ranked the ability to promote a positive learning culture as important; the

other indicated the importance of creating a school culture where everyone feels part of

something larger than him/herself Both respondents from medium size districts ranked

collaboration as important, as did a respondent from a large district. Understanding

accountability and assessment measures was identified as important by two respondents from

medium size districts.









Various aspects of human resource skills were noted by respondents: ability to recruit, hire

and retain qualified teachers as well as the ability to handle personnel issues. A respondent from

a large district mentioned the ability to build a team at the school and to build relationships as

important characteristics. Being an ethical person was noted by one respondent, while another

mentioned having good character and being a person of integrity as being characteristics of a

well-qualified principal candidate. In addition, emotional stability-having a leader who could

handle his/her emotion, was emotionally mature and could get along with others-was an

important characteristic indicated by three respondents.

Only one respondent, from a medium size district, specifically identified management

skills as important. One respondent from a large district emphasized the importance of believing

that all kids can learn. This respondent also indicated the importance of building leadership in

others. A respondent in a medium district stated eight important characteristics: five related to

statements emphasizing personal values. In short, respondents generated responses that varied

from district to district.

Table 4-24 provides a report correlating responses to question 3 to the Florida Principal

Leadership Standards. Responses are categorized by respondent identification codes and by

district size. For example, Respondent 2 from a medium size district and Respondent 1 from a

large district both indicated that vision was an important characteristic of a well-qualified

principal candidate. Only one respondent, Respondent 6, referred to all competencies as being

important, in addition to mentioning instructional leadership, managing the learning environment

and community and stakeholder partnerships. Combined responses from the six interviewees

covered all 10 Florida Principal Leadership Standards.









Interview question 4: Do these descriptors differ based on whether the position is for

elementary, middle, or high school?

Five of the six respondents identified no significant differences in descriptors among

elementary, middle or high school principal applicants. Respondent 2 from a medium size

district believed that differences exist.

Interview question 5: If yes, in what ways?

Respondents 1, 3, 4, 5 and 6 did not see a difference. Respondent 2, from a medium size

district felt that descriptors of principals in high schools differ from those of elementary and

middle school principals for various reasons: size of staff, the number of after-school activities to

manage and large internal accounts. The respondent noted that basic standards must be the same

but they may be more important at the high school level in the ability to manage a number of

different projects. Respondent 2 also indicated that an elementary principal must have the

understanding to deal with parents, who may be more involved; middle school principals must

absolutely love middle school kids who are different and must be able to connect with them.

Although not believing that significant differences exist, respondent 4 from a small district also

mentioned the need to "love middle school aged children because they are different."

Interview question 6: What skill do you believe aspiring principals lack that prevent them

from being considered well-qualified? Table 4-25 outlines responses to this question by district

size. Respondents touched on skill or ability areas lacking in aspiring principals that prevent

them from being considered well-qualified for vacant principal positions. Three of the six

respondents used the word, "experience" specifically, indicating a need for experiences as a

teacher, mentor, member of state or local committees; and having leadership experiences that

they can relate during an interview was noted by one respondent from a large district. A lack of









leadership was mentioned by three respondents, and one interviewee from a medium district

mentioned situational leadership as important. Personnel issues were deemed important by three

of the six respondents, including the ability to hire quality teachers, which was noted by a

respondent from a large district. Working with personnel, with teachers and teacher groups were

mentioned as important abilities by respondents in a small and in a medium district, while

creating a positive work environment was mentioned by a respondent in a medium district. One

respondent from a medium district mentioned budget knowledge as important. Seeing the big

picture, having a vision and the ability to articulate it and putting all the pieces together were

important attributes highlighted by two districts. A respondent from a small district emphasized

organizational sensitivity as missing in some candidates and stressed that often candidates with

little experience are not aware of how their actions impact the organization as a whole. No one

skill or ability was mentioned by all six respondents, although basic overall experience could be

concluded as highly important from several descriptions provided.

Table 4-26 provides a report correlating responses to question 6 to the Florida Principal

Leadership Standards. Responses are categorized by respondent identification codes and by

district size. For example, Respondents 1, 2, 5 and 6 believed that instructional leadership

characteristics were lacking in aspiring principals who are not deemed well-qualified for the

principalship. Only one respondent, Respondent 6, referred to all competencies as being

important and often lacking in principal candidates, in addition to mentioning instructional

leadership qualities.

Comparison of interview questions 3 and 6: It is the intent of this portion of the study to

identify if there were commonalities among interviewees in identifying important characteristics









of well-qualified principal candidates relating to the 10 Florida Principal Leadership Standards.

Questions 3 and 6 provide insight.

The researcher counted the number of statements made when respondents answered

question three; that number was then compared with the number of statements by each

respondent which referred directly to the Florida Principal Standards. The results were:

* Respondent 1 made 4 statements: 4 of 4 referred to the standards or 100%.
* Respondent 2 made 14 statements: 9 of 14 referred to the standards or 64%.
* Respondent 3 made 11 statements: 3 of 11 referred to the standards or 27%.
* Respondent 4 made 6 statements; 2 of 6 referred to the standards or 33%.
* Respondent 5 made 6 statements; 3 of 6 referred to the standards or 50%.
* Respondent 6 made 8 statements; 5 of 8 referred to the standards or 63%.

The researcher counted the number of statements made when respondents answered

question six; that number was then compared with the number of statements by each respondent

which referred directly to the Florida Principal Standards. The results were:

* Respondent 1 made 6 statements: 5 of 6 referred to the standards or 83%.
* Respondent 2 made 6 statements: 4 of 6 referred to the standards or 66%.
* Respondent 3 made 2 statements: 1 of 2 referred to the standards or 50%.
* Respondent 4 made 6 statements: 1 of 6 referred to the standards or 17%.
* Respondent 5 made 3 statements: 3 of 3 referred to the standards or 100%.
* Respondent 6 made 3 statements: 2 of 3 referred to the standards or 66%.

When the responses to questions 3 and 6 of the superintendents or their designees were

compared (Table 4-27), concern for the Florida Principal Leadership Standards seemed most

important to Respondent 1 from a large school district and least important to Respondent 4 from

a small size district. Respondent 4 also mentioned that their district was willing to accept

candidates into principal positions who were working on their principal certification, due to the

inability to secure candidates who possessed certification.

References by respondents in questions 3 and 6 indicated some commonalities. The most

consistent answers by the respondents to questions 3 and 6 described dispositions and are









outlined in Table 4-28. For example, Respondent 5 indicated a knowledge of curriculum as

important characteristics of a well-qualified applicant for a vacant principal position (question 3);

and Respondent 5 also noted that in his small district, knowledge of curriculum was lacking in

some aspiring principals which kept them from being considered "well-qualified." Being an

instructional or curriculum leader was a significant attribute for Respondents 1, 5 and 6 and

Respondent 5 also believed that quality was lacking in some aspiring principal candidates.

Leadership abilities mentioned as important qualities of a "well-qualified" candidate included

instructional and situational leadership, the ability to delegate and going beyond the skills of

those that an assistant principal possessed. A variety of personal qualities outlined by those

interviewed included being visionary, possessing a knowledge of human resource management,

the ability to use technology, possession of collaborative skills and the ability to control emotion

and having emotional maturity.

Summary

Chapter four presented quantitative and qualitative results of the study. Chapter five

presents a discussion of the findings and implications for future study.









Table 4-1. District size elementary principal candidates crosstabulation
Elementary Principal Candidates
Surplus of Shortage of Right number of Total
well-qualified well-qualified well-qualified
District Small Count 1 11 3 15
Size


% of
Total
Medium Count
% of
Total
Large Count
% of


Total
Count 4
% of 11.4
Total
35) = 8.65, p>.05.


31.4


8
22.9


4
11.4

17
48.6


42.9

12
34.3

8
22.9

35
100.0


14
40.0


Table 4-2. District size middle school


District Size






Total


Small Count
% of Total
Medium Count
% of Total
Large Count
% of Total
Count
% of Total


principal candidates crosstabulati
MS Principal Candidates
Surplus of Shortage of
well-qualified well-qualified


9
27.3
2
6.1
4
12.1
15
45.5


on

Right number
of well-
qualified
2
6.1
11
33.3
4
12.1
17
51.5


Total


Note. X2 (4, n


Total


12
36.4
13
39.4
8
24.2
33
100.0


Note. 33 respondents; 3 respondents had no vacancies at middle school level.
2 (4, n = 33) = 12.27, p<.05*.









Table 4-3. District size high school principal candidates crosstabulation
HS Principal Candidates
Surplus Shortage Right number Total
of of of
well-qualified well-qualified well-qualified
District Size Small Count 1 12 1 14
% of Total 3.0 36.4 3.0 42.4
Medium Count 0 5 6 11
% of Total 0.0 15.2 18.2 33.4
Large Count 0 5 3 8
% of Total 0.0 15.2 9.1 24.2
Total Count 1 22 10 33
% of Total 3.0 66.7 30.3 100.0
Note. x2 (4, n = 33) = 7.63, p>.05.






Table 4-4. District size anticipate shortage in next 12 months crosstabulation
Anticipate shortage in next 12
months
No Yes Total
District Small Count 7 8 15
Size % of Total 19.4 22.2 41.7
Medium Count 7 6 13
% of Total 19.4 16.7 36.1
Large Count 3 5 8
% of Total 8.3 13.9 22.2
Total Count 17 19 36
% of Total 47.2 52.8 100.0
Note. 36 respondents. X2 (2, n = 36)= .53, p>.05









Table 4-5. Elementary principal candidates written succession plan crosstabulation
Written Succession Plan
No Yes Total
Elementary Surplus of well-qualified Count 2 2 4
Principal % of Total 5.7 5.7 11.4
candidates Shortage of well-qualified Count 9 8 17
% of Total 25.7 22.9 48.6
Right number of well- Count 1 13 14
qualified % of Total 2.9 37.1 40.0
Total Count 12 23 35
% of Total 34.3 65.7 100.0
Note. X2 (2, n=35) =7.64, p <.05*.





Table 4-6. Middle school principal candidates written succession plan crosstabulation
Written Succession Plan
No Yes Total
MS Principal Surplus of well-qualified Count 0 1 1
candidates % of Total 0.0 3.1 3.1
Shortage of well-qualified Count 8 7 15
% of Total 25.0 21.9 46.9
Right number of well- Count 2 14 16
qualified % of Total 6.3 43.8 50.0
Total Count 10 22 32
% of Total 31.3 68.8 100.0
Note. X2 (2, n=35) =6.48, p <.05*.




Table 4-7. High school principal candidates written succession plan crosstabulation
Written Succession Plan
No Yes Total
HS Principal Surplus of well-qualified Count 0 1 1
candidates % of Total 0.0 3.1 3.1
Shortage of well-qualified Count 10 12 22
% of Total 31.3 37.5 68.8
Right number of well- Count 1 8 9
qualified % of Total 3.1 25.0 28.1
Total Count 11 21 32
% of Total 34.4 65.6 100.0
Note. 2 (2, n=32) =3.88, p>.05.









Table 4-8. Anticipate shortage in next 12 months written succession plan crosstabulation
Written Succession Plan
No Yes Total
Anticipate shortage in No Count 5 11 16
next 12 months % of Total 14.3 31.4 45.7
Yes Count 7 12 19
% of Total 20.0 34.3 54.3
Total Count 12 23 35
% of Total 34.3 65.7 100.0
Note. 2 (1, n=35) =.12, p >.05.



Table 4-9. Need to increase females in school level administrative positions compared by
district size.
Small Medium Large Total
F % F % F % F %
No 13 93 13 100 8 100 34 97
Yes 1 7 0 0 0 0 1 3
Total 14 100 13 100 8 100 35 100



Table 4-10. Elementary female candidates written succession plan crosstabulation
Written Succession Plan
No Yes Total
Elementary female No Count 0 1 1
candidates % of Total 0.0 3.2 3.2
Yes Count 10 20 30
% of Total 32.3 64.5 96.8
Total Count 10 21 31
% of Total 32.3 67.7 100.0
Note. 2 (1, n=31) =.49, p >.05.


Table 4-11. Middle school female candidates written succession plan crosstabulation
Written Succession Plan
No Yes Total
MS female candidates No Count 2 1 3
% of Total 7.4 3.7 11.1
Yes Count 5 19 24
% of Total 18.5 70.4 88.9
Total Count 7 20 27
% of Total 25.9 74.1 100.0
Note. X2 (1, n=27) = 2.92, p >.05.









Table 4-12. High school female candidates written succession plan crosstabulation
Written Succession Plan
No Yes Total
HS female candidates No Count 5 4 9
% of Total 18.5 14.8 33.3
Yes Count 5 13 18
% of Total 18.5 48.1 66.7
Total Count 10 17 27
% of Total 37.0 63.0 100.0
Note. 2 (1, n=27) = 1.99, p >.05.


Table 4-13. Need to increase women written succession plan crosstabulation
Written Succession Plan
No Yes Total
Need to increase No Count 10 23 33
woman % of Total 29.4 67.6 97.1
Yes Count 1 0 1
% of Total 2.9 0.0 2.9
Total Count 11 23 34
% of Total 32.4 67.6 100.0
Note. X2(1, n =34)= 2.15, p >.05.


Table 4-14. Need to increase minorities in school level administrative positions compared by
district size.
Small Medium Large Total
F % F % F % F %
No 7 50 4 31 2 25 13 37
Yes 7 50 9 69 6 75 22 63
Total 14 100 13 100 8 100 35 100


Table 4-15. Elementary minority candidates written succession plan crosstabulation
Written Succession Plan
No Yes Total
Elementary
minority candidates No Count 4 5 9
% of Total 13.3 16.7 30.0
Yes Count 6 15 21
% of Total 20.0 50.0 70.0
Total Count 10 20 30
% of Total 33.3 66.7 100.0
Note. 2 (1, n =30)= .71, p >.05.









Table 4-16. Middle school minority candidates written succession plan crosstabulation.
Written Succession Plan
No Yes Total
MS minority No Count 3 5 8
candidates % of Total 11.5 19.2 30.8
Yes Count 4 14 18
% of Total 15.4 53.8 69.2
Total Count 7 19 26
% of Total 26.9 73.1 100.0
Note. 2 (1, n =26)= .66, p >.05.





Table 4-17. High school minority candidates written succession plan crosstabulation
Written Succession Plan
No Yes Total
HS minority No Count 8 8 16
candidates % of Total 28.6 28.6 57.1
Yes Count 2 10 12
% of Total 7.1 35.7 42.9
Total Count 10 18 28
% of Total 35.7 64.3 100.0
Note. X (1, n =28) = 3.32, p >.05.





Table 4-18. Need to increase minorities written succession plan crosstabulation
Written Succession Plan
No Yes Total
Need to increase minorities No Count 4 9 13
% of Total 11.8 26.5 38.2
Yes Count 7 14 21
% of Total 20.6 41.2 61.8
Total Count 11 23 34
% of Total 32.4 67.6 100.0
Note. 2 (1, n =34)= .02, p >.05.










Table 4-19. Descriptive statistics: Barriers that prevent well-qualified candidates from applying for
vacant principal positions
Barrier Frequency No Percent No Frequency Yes Percent Yes
Stress 6 24 19 76
Societal Problems 19 76 6 24
Time 9 36 16 64
Testing/Accountability 7 18 18 72
Demands of Parents 15 60 10 40
And Community
Less Satisfying in 17 68 8 32
Practice
Inadequate School 21 84 4 16
Funding
Salary Not Sufficient 6 24 19 76
Teachers Not Interested 10 40 15 60
Bad Press/Media 22 88 3 12
Lack of Tenure 22 88 3 12
Loss of Teacher Tenure 21 84 4 16
Openings Not Well 23 92 2 8
Publicized
Lack of Preparation 23 92 2 8
Other 21 84 4 16
Note. N=25


Table 4-20. Independent Samples t-test. Recruiting, hiring, training policies and anticipated
shortage of principal candidates.
Anticipate
shortage in
next 12 mo. N M SD t df p
No 17 16.06 5.65 2.18 34 *.04
Yes 19 12.21 4.93
Note. p<.05*.










Table 4-21. Survey questions 3-7: Principal preparation programs
Frequency Percent
Aspiring Principal's 31 86


Program
Induction for Assistant

Principals
Mentoring for Assistant

Principals
Induction for New

Principals
Mentoring for New Principals
Note: N=36


Table 4-22. Respondent identification code and district size
Respondent


Identification Code District Size
1 Large
2 Medium
3 Medium
4 Small
5 Small
6 Large
Note. Numbers indicate respondent identification codes.









Table 4-23. Interview question 3: Descriptors of well-qualified principal candidates by district
size


Small Districts


Medium Districts
Leading with vision


Instructional leader


Large Districts
Leading with vision

Instructional leader


Meets job qualifications (has
appropriate certification)


Possesses leadership skills:
instructional leader


Successful teacher

Possesses appropriate
background, training and
experience


Possesses technology skills

Meets job qualifications (has
appropriate certification)


Possesses leadership skills


Successful teacher

Possesses appropriate
background, training and
experience

Ability to manage
Collaborative skills; ability to
build community and
stakeholder partnerships

Effective decision making
strategies

Values Diversity

Knowledge of accountability
and assessment measures


Possesses technology skills

Meets job qualifications (has
appropriate certification)

Goes beyond having
certification and having skills
of Florida Principal's
Competencies

Possesses leadership skill:
instructional leader,
curriculum leader

Promotes a positive learning
culture; creates a culture
where everyone feels a part of
something larger than
themselves


Collaborative skills: ability to
build relationships; team
builder









Table 4-23 Continued
Small Districts Medium Districts Large Districts
Human resource skills Human resource skills: ability Human resource skills
to recruit, hire and retain
qualified teachers

Ability to coach and mentor Ability to build leadership in
other educators others

Highly ethical; has integrity;
has character; good
personality; family oriented;
multi-tasker

Ability to control emotions Ability to control emotions Ability to control emotions
Dynamic
Believes all children can learn



Table 4-24. Question 3: Florida principal leadership standards by respondent
Standard Small Medium Large
Vision 2 1
Instructional Leadership 5 1, 6
Managing the Learning Environment 2, 3 1, 6
Community and Stakeholder 2 6
Partnerships
Decision Making Strategies 2
Diversity 2
Technology 2,3 1
Learning, Accountability and 2
Assessment
Human Resource Development 5 2 6
Ethical Leadership 2, 3
All Competencies 6
Note. Numbers indicate respondent identification codes.









Table 4-25. Interview question 6: Skills that aspiring principals lack that prevent them from
being considered well-qualified by district size.
Small Districts Medium Districts Large Districts
Ability to delegate Human resources Human resource development:


Organizational sensitivity-
may not understand how their
actions affect others in the
organization.


Organizational skills:
complete things, meet
deadlines, work overtime.


Teachers who are successful
in the classroom lack the
ability to look at the big
picture.

Ability to articulate a vision.

Ability to create a positive
working environment.

Management; managing a
budget.

Leadership component

Experience on county or state-
wide committees;
Leadership experiences
beyond assistant principal;
leadership on district-wide
committees; school advisory
committee chair.


ability to hire and select good
teachers that know
technology, assessment,
curriculum and have
instructional ability.

Ability to put all the pieces
together to select candidates
that have all that is needed in
today's world.


Locate resources


Ability to work with
personnel, lead and direct
them.


Devotion to staff and kids-
has an affinity for kids.


Knowledge of curriculum;
instructional leadership









Table 4-26. Question 6: Florida principal leadership standards by respondent
Standard Small Medium Large
Vision 2
Instructional Leadership 5 2 1,6
Managing the Learning Environment 5 2 1
Community and Stakeholder 3
Partnerships
Decision Making Strategies 4
Diversity
Technology 1
Learning, Accountability and 1
Assessment
Human Resource Development 5 2 1
Ethical Leadership
All Competencies 6
Note. Numbers indicate respondent identification codes.



Table 4-27. Questions 3 and 6: Reference to Florida principal leadership standards by
percentage
Respondent
identification code Question 3 Question 6 M District size
1 100% 83% 91.5% Large
2 64% 66% 65.0% Medium
3 27% 50% 38.5% Medium
4 33% 17% 25.0% Small
5 50% 100% 75.0% Small
6 63% 66% 64.5% Large










Table 4-28. Dispositions by respondent for questions 3 and 6.
Disposition
Possesses knowledge of curriculum
Has the ability to promote a positive learning culture
Is an instructional and/or curriculum leader
Locates resources
Understands budgets & money
Is experienced:
As a mentor
As a teacher or assistant principal
As a state and/or local committee member
As a leader
Possesses leadership ability:
Is an instructional/curriculum leader
Possesses situational leadership skills
Exhibits leadership beyond assistant principal
Has the ability to delegate
Is visionary
Has the ability to articulate a vision
Creates a positive work environment
Creates a positive learning culture
Creates a school culture where everyone feels part of
something larger than him/herself
Possesses knowledge of human resource management:
Coaches and mentors
Hires quality teachers that know curriculum,
technology,assessment, etc.
Has the ability to work with personnel
Has the ability to work with teachers and teacher groups
Devotion to staff
Has the ability to use technology
Exhibits personal qualities:
Possesses collaborative skills
Possesses decision making ability
Values diversity
Is ethical
Exhibits a good personality
Is family oriented
Possesses integrity
Controls emotion; has emotional maturity
Gets along well with others
Takes initiative
Is dynamic
Believes that all kids can learn
Devotion to staff and kids
Possesses knowledge of research & data analysis
Handles discipline


Respondent/Question 3 or 6
5/3; 5/6
1/3
1/3; 5/3; 5/6; 6/3
5/6
2/6

3/3;6/6
2/3; 4/3
3/6
6/6
2/3; 5/3; 2/6; 5/6; 6/6
1/3; 5/3; 5/6; 6/3
3/3
3/6
4/6
1/3; 2/3
2/6
2/6
1/3
6/3

2/3; 2/6;5/3
2/3
1/6

5/6
2/6
4/6
1/3; 2/3

2/3; 3/3; 2/6
2/3
2/3
2/3
3/3
3/3
3/3
3/3; 6/3; 4/3
3/4
4/3
5/3
6/3
4/6
2/3
5/3









CHAPTER 5
SUMMARY, DISCUSSION AND RECOMMENDATIONS

Summary of Results

The purpose of this study was to explore the shortage of well-qualified principals and

succession planning policies developed by Florida School Districts. Quantitative data were

collected through the use of a survey instrument sent to all 67 Florida school districts. The

response rate was 36 or 54%. The sample consisted of 15 small districts (less than 10,000

students), 13 medium size districts (between 10,000 and 50,000 students), and 8 large districts

(more than 50,000 students). Qualitative data was gathered through telephone interviews with

individual district office administrators from two small, two medium and two large districts in

Florida to explore the meaning of "well-qualified" as it relates to candidates for vacant principal

positions.

Information gathered from this research study adds to the current body of research on

principal shortages and succession planning policies in school districts. The results will assist

school districts in focusing their succession planning efforts where they may be most useful.

Additionally, universities, national, state and local principal associations, as well as professional

educational organizations may desire to utilize information from this research to further their

own research and to design professional development and leadership training that will meet

needs identified by this researcher.

Six research questions were formulated to produce quantitative data related to the

relationship between the shortage of well-qualified principals, including female and minority

candidates, and district size. Chi-square tests were used to determine whether relationships

existed between district size and shortages of well-qualified principal candidates; relationships

between district size and shortages of well-qualified female and minority candidates; and









relationships between shortages of well-qualified principal candidates and the presence of district

succession policies. A t-test for independent samples was used to determine significance between

the extent to which succession planning policies are in place and the shortage of well-qualified

principal candidates. Descriptive data collected from the survey provided insight into the quality

of educational leadership preparation programs and the types of district preparation programs

currently in place for aspiring principals.

To explore the meaning of the term "well-qualified" as it relates to aspiring principals, an

interview protocol was developed by the researcher. This information collected through

telephone interviews was analyzed for commonalities among small, medium and large districts

and compared to the 10 Florida Principal Leadership Standards (Florida Department of

Education, 2005b).

Analyses of Survey Data Related to Research Questions

Research Question 1: Is there a relationship between a shortage of well-qualified

candidates for principal vacancies and the size of the school district? No relationship was found

to exist between district size and a shortage of well-qualified principal candidates-however

shortages were reported to exist in school districts, regardless of their size, at the elementary

school level. There was a relationship between district size and a shortage of well-qualified

middle school principal candidates. Shortages were reported to be greater at the middle school

level in small school districts. There was no relationship between district size and a shortage of

well-qualified principal candidates at the high school level--shortages of principals at the high

school level were reported to exist in school districts of all sizes. Regardless of the size of the

school district, about the same number of districts anticipated a shortage of well-qualified

principals over the next 12 months as did not anticipate a shortage.









Research Question 2: Is there a relationship between the shortage of well-qualified

candidates for principal vacancies and the presence of written succession planning policies?

Significance was found between the presence of written succession plans and well-qualified

principal shortages. Where written succession plans were in place, fewer shortages of well-

qualified candidates for elementary and middle school principal vacancies were experienced. No

significance was found between anticipated shortages of well-qualified principal candidates and

the presence of written succession plans. Districts having succession plans and those not having

succession plans all anticipated principal shortages in the next 12 months.

Research Question 3: Is there a relationship between the shortage of well-qualified female

candidates for principal vacancies and the presence of written succession planning policies? No

relationship was found between the shortage of well-qualified female candidates for principal

vacancies and the presence of written succession planning policies. There appeared to be a

sufficient number of well-qualified female candidates for vacant principal positions regardless of

whether written succession planning policies were in place.

Research Question 4: Is there a relationship between the shortage of well-qualified

minority candidates for principal vacancies and the presence of written succession planning

policies? No relationship was found between the shortage of well-qualified minority candidates

for principal vacancies and the presence of written succession planning policies. There appeared

to be an insufficient number of well-qualified minority candidates for vacant principal positions

regardless of whether written succession planning policies were in place.

Research Question 5: Do perceived barriers to having well-qualified candidates for

principal vacancies differ between districts experiencing principal shortages and those districts

which are not experiencing principal shortages? Respondents incorrectly followed directions on









the survey, making it impossible to determine whether perceived barriers to having well-

qualified candidates for principal vacancies differed between districts experiencing principal

shortages and those not experiencing shortages. The perceived barriers most frequently selected

by respondents were insufficient salary, stress, testing/accountability pressures, time, and lack of

interest by teachers.

Research Question 6: Is there a relationship between the degree to which districts

encourage the development of aspiring principals and the shortage of well-qualified principal

candidates? Significance was determined to exist between the degree to which districts

encourage the development of aspiring principals and the shortage of well-qualified principal

candidates. Districts which did not anticipate shortages of well-qualified principals in the next 12

months had more succession plan components in place for recruiting, hiring and training new

and aspiring principals than districts that did anticipate shortages.

Descriptive Statistics from Survey Data

Thirty-one (31) of the 36 districts, 91%, responding to the survey indicated that they had

aspiring principal programs in place. Nearly 2/3 (63%) of these districts reported offering

induction and mentoring programs for assistant principals and new principals.

When asked to rate the quality of educational preparation programs of recent candidates

for school principal positions in terms of leading and managing change and establishing a vision,

12 (33%) of the responding school districts indicated that training was excellent, 20 (56%)

indicated that training was adequate, and only 2 (6%) indicated that they felt training was not

adequate. Two (2) districts did not respond to this question.

Analysis of Structured Interview Protocol

A structured interview protocol was designed to gather information regarding the meaning

of "well-qualified" as it relates to aspiring principals. Five of the six interviewees indicated a









shortage of well-qualified candidates for vacant principal positions. The sixth interviewee, while

indicating no shortage of principal candidates, indicated a limited number of applicants from

which to choose. The meaning of "well-qualified" as it related to principal candidates generated

a variety of responses that differed from district to district. A total of 49 descriptors were

provided by respondents, about half of which referred to the Florida Principal Leadership

Standards. District leaders from small, medium and large districts agreed that "well-qualified"

means meeting job qualifications with appropriate certification, although one small district

indicated that, because of a shortage, they were willing to hire a person who was working on

their principal certification. Other areas of agreement included possession of leadership skills,

having human resource skills and being able to control emotions.

A discussion of the qualifications lacking in aspiring principals generated a total of 26

varied responses, 16 of which referred to the Florida Principal Leadership Standards. Lack of

experience seemed to be the single theme agreed upon by all interviewees.

The researcher correlated responses pertaining to "well-qualified" principal candidates and

qualities lacking in aspiring principals which prevent them from being considered for vacant

principal positions. Few consistencies were found, although all 10 standards were addressed

when answers from the six interviewees were combined. When districts select well-qualified

people to fill vacant principal positions they are not satisfied with the status quo, but apparently

desire principals to exceed the qualifications set forth in the standards.

Discussion

This study of 36 Florida School Districts found that shortages of well-qualified principal

candidates exist in small, medium and large school districts. This finding agrees with previous

studies on principal shortages (Educational Research Service [ERS], 1999; Institute for

Educational Leadership, 2000; Potter, 2001; Snyder, 2002; Doud & Keller, 1998; Fenwick &









Pierce, 2001). My study found that shortages were significant at the middle school level in small

school districts. Research into shortages of well-qualified principal candidates in small or rural

districts could yield interesting and valuable information. It may be that the distance of teachers

in small/rural districts from universities offering graduate programs in educational leadership or

leadership certification programs makes it difficult for them to participate. The rising trend of

university on-line courses may provide more opportunities in the future to attract candidates into

such graduate programs and thus into the principalship.

This study determined that of the 36 Florida School Districts that responded to this survey,

written succession planning policies existed in 23 (64%) of these districts. Although all surveyed

districts anticipated shortages regardless of the presence of succession planning policies, districts

having succession plans experienced fewer shortages. Research on the impact of succession

planning in educational settings is fairly new (Normore, 2001), varied and limited (Hart, 1993).

This research identified a total of 19 components for recruiting and hiring aspiring principals and

15 components for training aspiring principals. Districts with more components in place had

fewer shortages. The current research suggests the importance of succession planning policies

for recruiting, hiring and training aspiring principals. Succession literature supports this finding

(Barth, 2001; Doud & Keller, 1998; Fenwick & Pierce, 2001; Hart, 1993; Lovely, 2004; Potter,

2001; Weingartner, 2001).

Thirty-one (31) of the 36 districts (91%) in this study indicated that they have aspiring

principal programs in place. These results are somewhat different from the 1998 ERS survey

which found that only 27% of districts surveyed had aspiring principal programs.

Of the 36 districts surveyed, 22 (62%) reported that they had induction programs in place

for new principals and 21 (59%) reported mentoring programs for new principals. The 1998 ERS









survey found that 46% of their respondents had formal induction/mentoring programs for new

principals. My study also determined that induction and mentoring programs for assistant

principals existed in 22 (61%) of the districts surveyed. It appears that in the past nine years the

popularity and importance of mentoring/induction programs has increased. This agrees with the

research by Doud and Keller (1998), which determined that principal mentorship programs are

gaining in popularity. Further research into the value of mentoring programs to new principals

should be considered. Unless research proves otherwise, mentoring and induction programs for

aspiring and new principals should be components of school district succession plans.

Of the 36 districts surveyed in this study, 34 (97%) reported that finding well-qualified

females for vacant principal positions was not an issue. This supports research by Doud and

Keller (1998) and ERS (1998). However, a study by RAND Education (2004) found that women

teachers are less likely than male teachers to move into positions as assistant principals,

principals and superintendents. The extent to which women are choosing to enter the

principalship warrants further research.

Similar to previous research (Doud & Keller, 1998; ERS, 1998; RAND, 2004; Thomas B.

Fordham Institute, & The Broad Foundation, 2003), I found that shortages of well-qualified

minority principal candidates exist in small, medium and large districts regardless of the

presence of succession planning policies. School districts, professional education organizations

and universities should continue to investigate ways to attract minorities into education. They

should work diligently to recruit and hire talented minority educators who demonstrate

leadership potential and find ways to motivate them to enter school leadership programs. A

strong succession plan should include recruiting, hiring and training programs specifically aimed

at attracting and nurturing talented minority candidates for principal positions.









Like previous studies (Doud & Keller, 1998; ERS, 1998; Lovely, 2004) this researcher

found that insufficient salary, stress, testing/accountability, time and lack of interest by teachers

were noted most often. The ERS study did not find testing and accountability pressures in the top

five in 1998, nor did Doud and Keller. However, the onset of NCLB in 2001 with its associated

accountability measures could explain the reason for the current difference in 2006.

Research clearly points to a strong correlation between effective principals and student

achievement (Hallinger & Heck, 1998; Kelly & Peterson, 2002; New Leaders for New Schools,

2005). Superintendents and local school boards, as well as legislators holding fiscal

responsibility have the power and authority to adequately compensate principals in the current

era of increased accountability. They should act responsibly to bring about needed change in

local and state budgets. As pointed out in the ERS survey (1998), the responsibilities of the

principalship call for increased compensation to encourage potential applicants. Without

adequate compensation, the probability of a decline in well-qualified principal candidates is

likely to continue, especially in rural districts (Lovely, 2004). A well thought out and adequate

compensation component should be part of each district's succession plan.

When asked to rate the quality of educational preparation programs of recent candidates

for school principal positions in terms of leading and managing change and establishing a vision,

35% of responding school districts indicated that training was excellent, 56% indicated that

training was adequate, and only 6% indicated that they felt training was not adequate. These

findings are closely related to those reported in a 1998 Educational Research Service study. That

study found one-third of those surveyed believed that the preparation of principal candidates was

excellent, and nearly all believed their recent candidates to be adequately prepared.









In contrast to the survey results indicating that principal candidates had adequate

preparation, the qualitative aspect of this study points out that aspiring principal candidates often

lack experience. This lack of experience prevents many candidates from being hired for principal

positions. Doud and Keller's 1998 study pointed out that principals who they surveyed highly

valued their experiences as teachers, as assistant principals and as participants in principal

preparation programs which provided on-the-job training. Succession planning research also

points to the importance of providing various leadership experiences (Conger & Fulmer, 2003;

Daresh & Male, 2000; Leibman et al., 1996; Tucker & Codding, 2002). When considering

alternative certification routes for principals or elimination of principal certification altogether, it

is crucial that policy makers consider the value of experience in an educational setting for

creating highly qualified principals. Internships should remain as components of educational

leadership programs; teacher leaders should be nurtured in schools; and assistant principals

should be provided with a vast array of experiences under the direction of their supervising

principal. These components, as part of a school district succession plan, will maintain and

strengthen the principalship.

The 10 Florida Principal Leadership Standards (Florida Department of Education, 2005b)

were designed as a tool to sustain and reinforce the profession.

* Instructional leadership
* Managing the learning environment
* Learning, accountability and assessment
* Decision making strategies
* Technology
* Human resource development
* Ethical leadership
* Vision
* Community and stakeholder partnerships
* Diversity









Interviewees questioned about the meaning of "well-qualified" as it relates to candidates

for vacant principal positions rarely mentioned these standards in specific terms, although they

were inferred in more than half of the comments made. Clearly these standards should form the

basis of succession planning in Florida's school districts. Although the standards were designed

with Florida principals in mind, their universality make them particularly useful throughout the

nation and perhaps in other countries, as well.

This study points out that even though districts have succession plans in place, strong

concerns remain about filling vacant principal positions with well-qualified candidates and the

extent of principal shortages. There are reasons why well-qualified people are not entering the

principalship and there are also reasons why they are leaving the profession, contributing to

principal shortages. This study and previous research have identified important barriers that

prevent potential candidates from entering the principalship: insufficient salary, stress, testing/

accountability pressures and time. Compounding the issue is a lack of interest by teachers to

choose school administration as a career path. School districts typically "grow their own"

principals from among the teaching ranks. Strong succession plans typically produce an internal

hire rate of 75-80% (Conger & Fulmer, 2003). Potential principals will not be attracted from the

teaching ranks to invest in additional education for certification if school boards do not address

the above mentioned barriers.

Unless school districts adequately compensate entry level school administrators, there are

limited incentives for experienced teachers to choose school administration as a career path.

District level administrators that I interviewed indicated that practical experience was needed by

aspiring principals to make them well-qualified. Many districts have committed additional funds

to provide stipends for teachers to take on leadership roles (Lovely, 2004). Districts with









effective succession plans have additional compensation in place for teachers who choose to

work in quasi-administrative roles as they build their leadership expertise. It appears that

teachers with experience may not be attracted into careers as school principals because of

discrepancies in salary schedules. Becoming a school administrator in some school districts may

result in a cut in pay for a tenured teacher to go from the high end of the teacher salary schedule

to the low end of the administrator salary schedule. Until school districts provide an appealing

salary and benefit package to attract experienced teachers, they will be limited by the number of

teachers entering the principalship.

Testing and accountability, as well as increased time commitment, appear as primary

stressors felt by principals and observed by those in the teaching profession. Teachers need to

understand the commitment of time by observing and experiencing time-consuming

administrative activities beyond the regular school day to determine their readiness for the role of

principal. This could include, but is not limited to, community service, after-school functions

such as PTA and School Advisory Council, district level committees, extra-curricular and

athletic events. When aspiring principals are properly mentored and nurtured by experienced

principals who love what they do, they may be more inclined to see the extra time commitments

as an investment in the future of young people and not merely an added stress. Adequate

financial compensation for the additional responsibilities and time commitment may heighten the

appeal of the principalship.

Threats of negative consequences attached to school accountability by local, state and

federal agencies tend to undermine the autonomy of the principal. Public and media attention to

improve student performance standards, such as school letter grades in the state of Florida, place

additional stress on the principal. Principals must respond to the stress felt by parents, students









and teachers regarding accountability for test results. This has the potential to negatively affect

the desirability of careers in school administration. Teachers recognize the potential

consequences that impact the principal's role and are often unwilling to assume such

responsibility. If school districts will make a commitment to address barriers that prevent

experienced teachers from entering school administration they could diminish the negative

perception of the role of the principal and help reduce principal shortages. When districts value

principals enough to put in place well-thought out succession plans to attract well-qualified

people into the principalship they are sending a strong message to seated principals that they are

also valued. An investment in aspiring and new principals at the beginning of their careers could

pay high dividends in reducing the number of principals leaving the profession.

Based on my research and current literature read as part of my study, I recommend that

school districts desiring to attract and retain well-qualified principals give strong consideration to

succession plans that contain the following components. In Florida attention should be given to

aligning these components with the 10 Florida Principal Leadership Standards.

Succession Planning Components for Recruiting and Hiring New and Aspiring Principals
Design programs to recruit talented and diverse teachers with promise for future
leadership.
Provide stipends for teachers who assume leadership roles beyond the regular
school day
Design initiatives to familiarize outstanding teachers having leadership ability with the
principalship
Provide formal and informal socialization opportunities for teachers to meet key district
personnel and experienced principals
Seek leadership development grants or endowments from the business community and
philanthropic organizations to assist with funding.
Provide mentor training and mentors for new principals and assistant principals.
Train administrators in the use of a systematic recruitment and selection process that
includes:
o Standardized interview guides
o Diversity and sensitivity training
o Selection interview process
o Selection based on observation and/or simulation









o Paper, pencil screening
o Web-based personnel and job information systems
Develop and train a pool of assistant principal and principal candidates regarding district
practices and policies.
Provide signing bonuses when hiring for high needs schools.
Provide money to assist experienced school administrators with moving and relocation
expenses.
Document a competitive salary and benefit compensation program.

Succession Planning Components for Training New and Aspiring Principals
Provide an induction and mentoring program for principals.
Provide special compensation during a principal internship.
Provide job shadowing opportunities in low, medium, and high SES schools.
Collaborate in planning with local or area universities and neighboring school districts.
Collaborate with local, state and/or national principals associations
Provide leadership development seminars.
Document the ability of aspiring principals to meet required competencies using
performance based assessments and portfolios.

Until school districts and the public demonstrate that they value school principals for the

work that they do, the ability to attract and retain well-qualified principals will continue in

jeopardy. Succession plans are an important aspect of addressing this crisis facing our school

districts.

Recommendations for Further Study

The sample for this research study was relatively small-36 of 67 Florida school districts.
Expanding this study to include a larger sample may provide additional information.
Similar studies might include districts of similar size in various states or regions of the
country. Collecting data from such sources as The Council of the Great City Schools
might provide additional insight about succession planning in urban districts.

Qualitative case studies of succession planning policies in districts not experiencing
shortages of well-qualified principal candidates might provide insight into successful
models of principal recruiting, hiring, training, and preparation policies. These models
could serve as resources for districts in need of improving their own succession plans to
reduce principal shortages.

Trends in filling vacant principal positions with females and minority candidates could be
explored to determine whether shortages are increasing or diminishing or whether such
shortages are regional or localized phenomena.









Research on how Florida universities and school districts align their principal preparation
programs with the 10 Florida Principal Leadership Standards would provide insight
related to the quality of principal preparation programs and the resulting effect of
producing well-qualified principal candidates.

Research into barriers that discourage teachers from entering the principalship would
assist school districts in determining how to attract more teacher candidates for vacant
principal positions. Such research could also assist universities in designing courses
which would assist prospective principal candidates in overcoming perceived barriers.
Professional organizations that support principals might be involved in such studies.

The same barriers that discourage teachers from entering the principalship may also cause
seated principals to leave the profession. Research to determine specific factors that lead
principals to leave the profession would provide school districts, universities, and
professional educational organizations with important information regarding principal
retention and succession planning.

Summary

Through the use of quantitative and qualitative data this study explored principal shortages

in 36 of the 67 Florida School districts and implications for succession planning policies-

recruiting, hiring and training of aspiring principals. Conclusions formulated include the

following: (a) school districts in Florida are experiencing shortages of well-qualified principal

candidates regardless of size; (b) school districts with succession planning policies in place

experienced fewer shortages of well-qualified principal candidates; and (c) districts with

comprehensive succession plans for recruiting, hiring and training new and aspiring principals

experienced fewer shortages. Other findings indicated that finding well-qualified female

applicants for vacant principal positions was not an issue, and succession planning policies do

not assure adequate numbers of well-qualified minority applicants for vacant principal positions.

Districts reporting shortages for vacant principal positions listed insufficient salary, stress,

testing/accountability, increased time commitments and lack of interest by teachers as barriers

preventing well-qualified applicants from applying.









The qualitative aspect of this study found that the meaning of "well-qualified" as it relates

to aspiring principals varies from district to district. When districts select well-qualified people to

fill vacant principal positions they are not satisfied with the status quo, but desire principals to

exceed the qualifications set forth in the 10 Florida Principal Leadership Standards.

Recommendations for components of district succession plans were provided to address

recruiting, hiring and retaining well-qualified principals. Other recommendations addressed

barriers preventing well-qualified candidates from entering the principalship. Recommendations

for further study were also presented.














APPENDIX A

PERMISSION FOR USE OF EDUCATIONAL RESEARCH SERVICE SURVEY


Lm:

iat a great topic of research to pursue! I have spoken with our president,
r. John Forsyth, and he said ERS would be happy to grant you permission to
utilize the 1998 study. In kind, we would like to assist you in
disseminating your doctoral study, particularly through our quarterly
Durnal Spectrum.

s a formality, I will be faxing you a copyright permission form. Please
complete this form and return to me. Please disregard the payment
Information on the form, as Dr. Forsyth has waived these charges for you.
e would like to know your timeline for completion of your study, so we can
better assist you in publishing your results in Spectrum.

Lease let me know if you have any questions, or need any additional
Information. Also, Nancy Protheroe can be reached at nprotheroe@ers.org
nailto:nprotheroe@ers.org> ; I will forward your email to her. We look
Drward to working with you to publish your results.

pristine Stoneley
marketing & Member Services Specialist
educational Research Service
D00 Clarendon Boulevard
rlington, VA 22201
lone: 703-243-2100
Lrect line: 703-248-6245
ax: 703-243-3922
kstoneley@ers.org
www.ers.org

----Original Message-----
rom: Stutsman, Kim I. [mailto:stutsmk@ocps.kl2.fl.us]
ent: Wednesday, August 18, 2004 10:50 AM
D: ers@ers.org
object: Principal shortage study

Bar ERS,

am a principal in Orange County Public Schools in Florida and I am also a
doctoral student at University of Florida. My research is on succession
Planning for the principalship. I am very interested in using the study
inducted by ERS in 1998, "Is There a Shortage of Qualified Candidates for
Denings in the Principalship?" I would like to take your study and survey
Lorida School districts using many of the same questions. Would you give me
permission to do so? Additionally, I would welcome an opportunity to talk
Lth or email Nancy Protheroe in regard to her research in this area to take
advantage of her expertise. If possible, please reply with her email address









APPENDIX B
SURVEY INSTRUMENT


Is There A Shortage of Well-Qualified Candidates for
Openings in the Principalship in Florida Public School
Districts?


Demographic Information


1. Title of person completing this survey (Please check v the appropriate response)

a. Superintendent

b. Assistant Superintendent

c. Associate Superintendent

d. Area Superintendent

e. Human Resource Officer

f. Personnel Director

g. Recruitment Office

h. Office of Professional Development

i. Other



Please place a check ( v ) next to your answer to the following questions.

2. Size of school district based on student membership/number of students

a. Small-less than 10,000

b. Medium-10,000-50,000

c. Large-More than 50,000











For the purpose of this study the following definitions apply:


Induction: professional socialization activities designed to provide new principals and assistant
principals with training by which they acquire the values, norms, attitudes, knowledge, skills and
techniques needed to adequately perform their duties.

Mentoring Program: a formal program consisting of persons who act as guides or role models
for aspiring principals, listening, offering guidance, advice, and direction.

Minority: African-American or Hispanic.

Well-qualified: those having entry level characteristics found in the 10 Florida Principal
Leadership Standards: vision; instructional leadership; managing the learning environment;
community and stakeholder partnerships; decision making strategies; diversity; technology;
learning, accountability and assessment; human resource development; and ethical leadership.


Principal Preparation


3. Does your district have an aspiring principals program to recruit and prepare candidates for
assistant principals and principals from among current district staff such as teachers?
a. Yes
b. No


4. Does your district have a formal induction program for new assistant principals?
a. Yes
b. No

5. Does your district have a formal mentoring program for new assistant principals?
a. Yes
b. No

6. Does your district have a formal induction program for new principals?
a. Yes
b. No

7. Does your district have a formal mentoring program for new principals?
a. Yes
b. No











8. How would you characterize the educational preparation of recent candidates for school
principal positions (in terms of leading and managing change and establishing a vision)?
a. Excellent
b. Adequate
c. Not adequate



Principal Recruitment, Hiring and Training


9. Has the need to increase the number of women working in school-based administrative
positions been an issue in your district?
a. Yes
b. No


10. Has the need to increase the number of minorities working in school-based administrative
positions been an issue in your district?
a. Yes
b. No


For the purpose of this survey, Elementary Schools include grades K-5; Middle Schools
include grades 6-8; High Schools include grades 9-12.

The next five questions refer to elementary schools.

11. How many elementary assistant principal vacancies have you filled in the past 12 months?


12. How many elementary principal vacancies have you filled in the past 12 months?


13. Did any well-qualified female candidates apply for your elementary school principal
positions in the past 12 months?
a. Yes
b. No

14. Did any well-qualified minority candidates apply for your elementary school principal
positions in the past 12 months?
a. Yes
b. No









For the next question, please think about the principal vacancies you have filled in the
elementary schools.

15. In your opinion was there
a. a surplus of well-qualified candidates?
b. a shortage of well-qualified candidates?
c. about the right number of well-qualified candidates?



The next five questions refer to middle schools.

16. How many middle school assistant principal vacancies have you filled in the past 12
months?


17. How many middle school principal vacancies have you filled in the past 12 months?


18. Did any well-qualified female candidates apply for your middle school principal positions
in the past 12 months?
a. Yes
b. No

19. Did any well-qualified minority candidates apply for your middle school principal positions
in the past 12 months?
a. Yes
b. No

For the next question, please think about the principal vacancies you have filled in the middle
schools.

20. In your opinion was there
a. a surplus ofwell-qualified candidates?
b. a shortage ofwell-qualified candidates?
c. about the right number of well-qualified candidates?

The next five questions refer to high schools.

21. How many high school assistant principal vacancies have you filled in the past 12 months?


22. How many high school principal vacancies have you filled in the past 12 months?










23. Did any well-qualified female candidates apply for your high school principal positions in
the past 12 months?
a. Yes
b. No

24. Did any well-qualified minority candidates apply for your high school principal positions in
the past 12 months?
a. Yes
b. No

For the next question, please think about the principal vacancies you have filled in the high
schools.

25. In your opinion was there
a. a surplus of well-qualified candidates?
b. a shortage of well-qualified candidates?
c. about the right number of well-qualified candidates?


26. If your school district has experienced a shortage of well-qualified candidates for school
principal positions in the last 24 months, what do you perceive to be barriers that prevent well-
qualified applicants from applying for your principal positions? (Rank order your top five
reasons with 1 being least important and 5 being most important.) If there is no shortage in
your district, you may go to question 27.
a. Job generally too stressful
b. Societal problems (poverty, lack of family support, etc.) make it
difficult to focus on instruction
c. Too much time on the job is required
d. Testing/Accountability pressures
e. Difficult to satisfy demands of parents and/or community
f. Nature of the job viewed as less satisfying in practice than in theory
g. Inadequate funding for schools
h. Salary/Compensation not sufficient as compared to responsibilities
i. Fewer experienced teachers interested in becoming assistant
principal/principal
j. Bad press and public relations problems for schools
k. No tenure
1. Loss of teacher tenure
m. Openings not well publicized
n. Not feeling sufficiently prepared
o. Other (please explain)









27. Do you anticipate that your school district will experience a shortage of well-qualified
candidates for school principal positions in the next 12 months?
a. Yes
b. No
28. Which of the following components does your district have in place to aid in recruiting and
hiring aspiring principals? (Check all that apply)
a. Program to recruit talented teachers to develop and utilize their
leadership skills
b. Collaboration with a local university or universities
c. Diversity and/or sensitivity training for hiring and recruitment
d. Initiatives designed to familiarize outstanding teachers having leadership
ability with the principalship
e. Web-based personnel information system
f. Web-based job information system
g. Assistant principal pool of candidates
h. Systematic recruitment and selection processes
i. Stipends for teachers who assume leadership roles beyond the regular
school day
j. Use of grants or endowments from the business community
k. Selection interview process
1. Standardized interview guides
m. Selection based on observation and/or simulation
n. Paper, pencil screening
o. Formal socialization opportunities for teachers to meet key district
personnel and current principals
p. Informal socialization opportunities
q. Relocation money
r. Signing bonus for high needs schools
s. Mentors
t. Other (please explain)












29. Which of the following components does your district have in place to train aspiring
principals? (Check all that apply)
a. Collaboration with a local university or universities
b. Collaboration with other local districts
c. Collaboration with state and/or national principals associations
d. Mentoring program
e. Leadership development programs
f. Monthly seminars
g. Performance based assessments
h. Partnerships with local businesses focusing on leadership training
i. Job shadowing
j. Paid internships
k. Demonstration of required competencies
1. Portfolio
m. Formal socialization opportunities for prospective principals to meet with key
district personnel and current principals and other prospective principals
n. Informal socialization opportunities for prospective principals to meet with
key district personnel, current principals and other prospective principals
o. Use of retired principals for training and/or mentoring
p. Other (please explain)

30. Does your district have a written succession plan for recruiting, hiring and training aspiring
principals?
a. Yes
b. No

31. Are the components that you checked in items 28 and 29 part of your district's written
succession plan?
a. Yes
b. No













I am willing to be interviewed by the researcher regarding characteristics of well-qualified
principals.

Name:
Phone #:
Email address:


Thank you for participating in this survey. If you would like a copy of the results of this research
project, please check here.


Indicate the address to which you would like the results sent.



(This survey is based on a 1998 Survey conducted by Educational Research Service. Used

with permission.)









APPENDIX C
PILOT SURVEY

Is There A Shortage of Qualified Candidates for Openings in the
Principalship in Florida Public School Districts?

Title of person completing this survey (Please check the appropriate response)
a. Superintendent

b. Assistant Superintendent

c. Associate Superintendent

d. Area Superintendent

e. Human Resource Officer

f. Personnel Director

g. Other

Please place a check I next to your answer to the following questions.

Student membership/number of students

a. Less than 5,000

b. 5,000-9,999

c. 10,000-29,999

d. 30,000-49,999

e. 50,000-99,999

f. Over 100,000


Type of School District (choose one)
a. Urban
b. Suburban
c. Rural










1. Have you filled at least one school principal vacancy in the last year?
a. Yes
b. No

2. Does your district have an aspiring principals program to recruit and prepare candidates for
these positions from among current district staff such as teachers?
a. Yes
b. No

3. Does your district have a formal induction program for new assistant principals?
a. Yes
b. No

4. Does your district have a formal induction program for new principals?
a. Yes
b. No

5. Does your district have a formal mentoring program for new assistant principals?
a. Yes
b. No

6. Does your district have a formal mentoring program for new principals?
a. Yes
b. No

7. How would you characterize the educational preparation of recent candidates for school
principal positions (in terms of leading and managing change and establishing a vision?
a. Excellent
b. Adequate
c. Not adequate

8. Has the need to increase the number of women working in management positions in schools
been an issue in your district?
a. Yes
b. No

9. Has the need to increase the number of minorities working in management positions in
schools been an issue in your district?
a. Yes
b. No


The next three questions refer to assistant principal vacancies.

10. How many elementary assistant principal vacancies have you filled in the past twelve
months?









11. How many middle school assistant principal vacancies have you filled in the past twelve
months?

12. How many senior high assistant principal vacancies have you filled in the past year?


The next three questions refer to principal vacancies.

13. How many elementary principal vacancies have you filled in the past twelve months?


14. How many middle school principal vacancies have you filled in the past twelve months?


15. How many senior high principal vacancies have you filled in the twelve months?


For the next question, please think about the principal vacancies you have filled in the
elementary schools.

16. In your opinion was there for the elementary positions you filled this school year?
a. a surplus of qualified candidates
b. a shortage of qualified candidates, or
c. about the right number of qualified candidates

For the next question, please think about the principal vacancies you have filled in the middle
schools.

17. In your opinion was there for the middle school positions you filled this school year?
a. a surplus of qualified candidates
b. a shortage of qualified candidates
c. about the right number of qualified candidates

For the next question, please think about the principal vacancies you have filled in the senior
high schools.

18. In your opinion was there for the senior high school positions you filled this school
year?
a. a surplus of qualified candidates
b. a shortage of qualified candidates
c.. about the right number of qualified candidates











19. What do you think discourages or prevents qualified applicants from applying for your
elementary principal positions? Rank order your top five reasons with 1 being least important
and 5 being most important.
Job generally too stressful
Societal problems (poverty, lack of family support, etc.) make it difficult
to focus on instruction
Too much time required
Testing/Accountability pressures too great
Difficult to satisfy demands of parents and/or community
Nature of the job viewed as less satisfying than previously
Inadequate funding for schools
Salary/Compensation not sufficient as compared to responsibilities
Fewer experienced teachers interested in becoming assistant
principal/principal
Continuing bad press/public relations problems for district in general place
pressure on principals
No tenure associated with the positions
Lose tenure as a teacher if move to principal or assistant principal position
Openings not well publicized
Other (Please specify)

20. Did any qualified female candidates apply for your elementary school positions?
a. Yes
b. No

21. Did any qualified female candidates apply for your middle school positions?
a. Yes
b. No

22. Did any qualified female candidates apply for your senior high school positions?
a. Yes
b. No

23. Did any qualified minority candidates apply for your elementary school principal
positions?
a. Yes
b. No

24. Did any qualified minority candidates apply for your middle school principal positions?
a. Yes
b. No

25. Did any qualified minority candidates apply for your senior high school principal
positions?
a. Yes
b. No














26. If your district has a formal induction program for new assistant principals or new principals,
please describe in the space below or attach a description of the programss.















27. If your district has a formal mentoring program for new assistant principals or new
principals, please describe it in the space below or attach a description of the programss.










Thank you for participating in this survey. If you would like a copy of the results, please check
here.

Indicate the address to which you would like the results sent.



(This survey is based on a 1998 Survey conducted by the Educational Research Service.
Used with permission.











APPENDIX D
UFIRB


*S UNIVERSITY OF

FLORIDA


98A Ps'chology Bldg.
PO Box 112250
Gainesville. FL 32611-2250
Phone: (352) 392-0433
Fax: (3521 392-9234
F-mail: irb2 aufl.edu
hrtp: ilrb.uflnedu


June 9, 2006


Kim K. Stutsman
1138 Brandy Lake View Circle
Winter Garden, FL 34787
Ira S. Fischler, Chair K
University of Florida
Institutional Review Board


SUBJECT: Approval of Protocol #2006-U-0520


An Examination of Principal Shortages in Florida School Districts: Implications for
Succession Planning for Principal Replacement


SPONSOR: None


I am pleased to advise you that the University of Florida Institutional Review Board has recommended
approval of this protocol. Based on its review, the UFIRB determined that this research presents no
more than minimal risk to participants. Given your protocol, it is essential that you obtain signed
documentation of informed consent from each participant. Enclosed is the dated, IRB-approved
informed consent to be used when recruiting participants for the research.


It is essential that each of your participants sign a copy of your approved informed
consent that bears the IRB approval stamp and expiration date.

If you wish to make any changes to this protocol, including the need to increase the number of
participants authorized, you must disclose your plans before you implement them so that the Board
can assess their impact on your protocol. In addition, you must report to the Board any unexpected
complications that affect your participants.

If you have not completed this protocol by June 4, 2007, please telephone our office (392-0433),
and we will discuss the renewal process with you. It is important that you keep your Department
Chair informed about the status of this research protocol.

ISF:dl


Ain Fqual Oppcrtrnflmt InltiLr1inti


Institutional RevieH Board
rWA 0 C 7 C


DATE:


FROM:


TITLE:











APPENDIX E
INFORMED CONSENT LETTER

Kim K Stutsman, Ed.S.
University of Florida Doctoral Student
1138 Brandy Lake View Circle
Winter Garden, FL 34787
407-814-6110 (w) 407-656-3965 (h)
catts3@ufl.edu

April 1, 2006



Dear Educational Colleague,

We are all aware of the impact that the No Child Left Behind Act of 2001 (NCLB) has had on our educational system.
School districts must insure that their students demonstrate academic progress and produce work that is of high quality.
Staffing schools with highly qualified teachers and principals is central in determining that our students receive the
quality education they deserve.

As a University of Florida doctoral candidate, I am investigating principal shortages and written succession planning
policies developed by the 67 Florida School Districts. Please respond to the enclosed survey, Is There a Shortage of
Well-Qualified Candidates for Openings in the Principalship in Florida Public School Districts? The information
gathered may be helpful in assisting districts and universities determine the components that are most critical to the
recruitment, training and development of principal candidates. There are no right or wrong answers. You do not have to
answer any question you do not wish to answer. No reference will be made to any individual in the data analysis. This
survey can be completed in about 30 minutes.

You will be assigned an identifying code number to assure your anonymity. The list connecting your name to this
number will be kept in a locked file in my home and will be destroyed once the data has been analyzed and the research
project completed. Your name will not be identified in this project in any way. All responses will be strictly
confidential.

Please read and sign the enclosed Informed Consent Document and mail it separately in the stamped, pre-addressed
envelope enclosed at the same time that you return the survey. Retain this cover letter, containing the informed consent
information, for your records. For clarification or questions, feel free to contact: Kim Stutsman, 407-656-3965, or Dr.
James Doud, University of Florida, 352-392-2391 ext. 275.

In addition to the information provided above, the University of Florida Institutional Review Board policy requires the
researcher to provide participants with the following information:
1. This project does not involve any immediate or foreseen (a)benefits, (b)risks, or (c)compensation.
2. Questions or concerns about research participants' rights can be directed to the UFIRB Office, Box 112250,
University of Florida, Gainesville, FL 32611-2250.
3. Research participants are free to withdraw consent and discontinue participation in the project at any time
without prejudice.

I have read the procedure described above.
I voluntarily agree to participate. I have received a copy of this description.

Please sign the enclosed Informed Consent Document to indicate that you have read the informed consent information
contained in this cover letter and agree to participate in this study. Mail the pre-addressed, stamped letter separately, at
the same time the survey is mailed, by June 1, 2006.

Thank you very much for your time and cooperation. Your valuable input is needed to complete this research study.

Sincerely,


Kim I. Stutsman, Ed. S.
University of Florida











APPENDIX F
INFORMED CONSENT FORM


Informed Consent
Protocol Title: An Exammation of Principal Shortages in Florida School Districts:
Implications for Succession Planning for Principal Replacement

Please read this consent document carefully before you decide to participate in this
study.

Purpose of the research study:

The purpose of this investigation is to explore principal shortages and succession
planning policies developed by the 67 Florida School Districts. The information gathered
will be analyzed to determine six factors: if a relationship exists between the size of the
school district and the shortage of well-qualified candidates for principal vacancies; if a
relationship exists between the shortage of well-qualified candidates for principal
vacancies and the presence of written succession planning policies; whether a
relationship exists between the shortage of well-qualified female candidates for principal
vacancies and the presence of succession planning policies; whether a relationship exists
between the shortage of well-qualified minority candidates for principal vacancies and
the presence of written succession planning policies; if perceived barriers to having well-
qualified candidates for principal vacancies differ between districts experiencing
principal shortages and those districts which are not experiencing principal shortages; and
if a relationship exists between the degree to which districts encourage the development
of aspiring principals and the shortage of well-qualified principal candidates.

Time required: 30 minutes

Risks and Benefits:

There are no known risks associated with this study. Benefits from this study include
insights which may enable districts and universities to determine the components that are
most critical to the recruitment, training and development of principal candidates.

Compensation:

Five commemorative education U. S. postage stamps are included with the survey as a
token of appreciation for participating in this research. There is no other compensation.

Confidentiality:

Your identity will be kept confidential to the extent provided by law. Information you
provide will be assigned a code number. The list connecting )our name. should you
volunteer to provide it, will be kept in a locked file in my home office. When the study is
completed and the data have been analyzed, the list will be destroyed. Your name will not
be used in any report.

Approved by
University of Florida
Institutional Review Board 02
Protocol # 2006-U-520
For Use Through 06/04/2007











Voluntary participation:

Your participation in this study is completely voluntary. You do not have to answer any
question you do not wish to answer. There is no penalty for not participating

Right to withdraw from the study:

You have the right to withdraw from the study at anytime without consequence.

Whom to contact if ou have questions about the study:

Kim K. Stutsman, Ed. S., Graduate Student, University of Florida Department of
Educational Administration & Policy, 1138 Brandy Lake View Cir., Winter Garden, FL
34787; Phone 407-656-3965 (h). 407-814-6110 ext. 222 (w); e-mail cans.3a'uil.cdu.

James L. Doud, Ph. D., University of Florida Department of Educational Administration
& Policy, 200 Norman Hall. PO Box 117049. University of Florida, Gainesville, FL
32611-7049; 532-392-2391 ext. 275; e-mail illdouddicoe.url.du.

Whom to contact about your rights as a research participant in the study:

UFIRB Office, Box 112250, University of Florida, Gainesville, FL 32611-2250; phone:
352-392-0433.

Agreement:

I have read the procedure described above. 1 \ oluntarily agree to participate in the survey
and I have received a copy of this description.

Participant: Date:

Principal Investigator: Date:













Approved by
University of Florida
Institutional Review Board 02
Protocol # 2006-U-520
For Use Through 06/04/2007









APPENDIX G
STRUCTURED INTERVIEW PROTOCOL

Thank you for agreeing to do a phone interview regarding the shortage of well-qualified

candidates for principal vacancies in your school district.

1. Do you consider your school district to be a small, medium or large district?

2. Do you believe that your district is experiencing a shortage of well-qualified candidates

for vacant principal positions?

3. How would you describe a well-qualified candidate for a vacant principal position?

4. Do these descriptors differ based on whether the position is for elementary, middle or

high school?

5. If yes, in what ways?

6. What skills do you believe aspiring principals lack that prevent them from being

considered well-qualified?









LIST OF REFERENCES


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management development plan: Preparing New Principals Program. (Doctoral
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2111. (UMINo. 9976511)

Administrative Rule: 6A-4.0081 Florida School Principal Certification. (1988). Florida State
Board of Education. Available http://www.fldoe.org/rules.

Alvey, H., & Robbins, P. (1998). If I only knew--: Successful strategies for navigating the
principalship. Thousand Oaks, CA: Corwin Press.

Archer, J. (2002). Principals: So much to do, so little time. Education Week, 21, 1, 20.

Arvey, R. D., & Campion, J. E. (1982). The employment interview: A summary and review of
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Aspin, D. N. (1996). Education and the concept of knowledge: Implications for the curriculum
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Barker, B. (2003). Accountability and authority: What principals need in a performance-based
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Chapman, D. Corson, P. Hallinger & A. Hart (Eds.),. International handbook of
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Kluwer Academic Publishers.









Brookover, W., Beamer, L., & Efthim, H. (1982). Creating effective schools. Holmes Beach, FL:
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Bryant, B. J. (1978). Employment factors superintendents use in hiring administrators for their
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Butler, K. & Roche-Tarry, D. E. (2002). Succession planning: Putting an organization's
knowledge to work. Nature Biotechnology, 20, 201-202. Retrieved January 5, 2004, from
http://www.nature.com/.

Caldwell, B. J., Calnin, G. T., & Cahill, W. P. (2002). Mission possible? An international
analysis of training for principals. In M. Tucker & J. Codding (Eds.), The principal
challenge: Leading and managing schools in an era of accountability (pp. 203-243). San
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Conger, J. A., & Fulmer, R. M. (2003, December). Developing your leadership pipeline.
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BIOGRAPHICAL SKETCH

Kim Kotila Stutsman was born in Detroit, Michigan in 1945. The eldest of two daughters

of Ralph and Ruth Kotila, she spent the majority of her elementary and high school years

growing up in a small rural community in western Michigan.

After graduating with honors from high school, she attended Michigan State University for

two years, majoring in elementary education. Marriage and the birth of her three children,

Tammy, Jill and Eric, interrupted her goal to become a teacher. Upon moving to Florida in 1976,

she secured a position as a teacher's aide in the elementary school that her children attended.

Encouraged by teachers with whom she worked, she returned to college and subsequently

obtained her Bachelor of Arts in Education degree from the University of Central Florida in

1981.

As a third grade teacher, Kim's quest for professional growth led her to complete a Master

of Education Administration degree in 1990 from the University of Central Florida and to

participate in a summer seminar for teachers, sponsored by the National Endowment for the

Humanities at Lake Forest College. In 1991 she was appointed as an assistant principal and in

1995 became principal of McCoy Elementary School. She relocated to Lakeville Elementary

School as principal in 1999. Kim was awarded a Specialist of Education degree in Educational

Leadership in 2002 and a Doctor of Education degree in 2007 from the University of Florida.

Kim resides in Winter Garden, Florida with her husband, Larry Stutsman. They have six

grandchildren. Her future goals include mentoring aspiring principals and guiding children to

reach their potential as life-long learners and contributing members of our global community.





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1 AN EXAMINATION OF PRINCI PAL SHORTAGES IN FLORI DA SCHOOL DISTRICTS: IMPLICATIONS FOR SUCCESSION PLANNING FOR PRINCIPAL REPLACEMENT By KIM KOTILA STUTSMAN A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL OF THE UNIVERSITY OF FLOR IDA IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF EDUCATION UNIVERSITY OF FLORIDA 2007

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2 2007 Kim K. Stutsman

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3 To aspiring principals and those who inspir e them to become educational leaders.

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4 ACKNOWLEDGMENTS I wish to express my gratitude first and fore most to Dr. Jim Doud for his continual support throughout my journey towards completion of this research. His 1998 study of the principalship provided the impetus for my study. As the chair of my committee, my ment or, teacher and friend he spent countless hours reading and editing my writing, supplying encouragement and support. I could not have finished this study without him. I also wish to thank members of my committee, Frances VanDiver, Phil Clark and John Kranzler. Additionally, I wish to thank my dear friend Leanna Isaacson who fi rst talked me into applying to the University of Florida for th e doctoral cohort. Her words of wisdom and occasional kick in the pants kept me going wh enever I hit a point of discouragement. Words alone are not adequate to thank her for believ ing in me and helping me along the way. Having completed a doctoral program herself, she was able to empathize with me and provide much needed advice. Support also came to me from my fellow UF cohort members who have been on the same path with me. How comforting it has been to kno w that we are in this together and share one anothers joy at completion. Appreciation also is extended to former and current members of my Lakeville Elementary family: Megan Caldwell, Jan Quint, Ivy Hoyler, Johnelle Pauley and Fran k Mattucci who often had to hold down the fort at the school while I took classes and worked on this project. Current and former Orange County Sc hool district pers onnel have provided encouragement and assistance to me along the way: Joe Joyner, Ruth Perez, Kathy Sills, and Lee Baldwin. I am very grateful for their support. Additionally, I wish to express appreciation to Jenny Bergeron of the University of Florida for her assistance in set ting up my statistical applications, and to Tammy Owens for her statistical advice.

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5 Lastly, I wish to express my ex treme gratitude to members of my family for their belief in me and for giving me permission to spend less ti me with them and more time at the computer: my husband Larry Stutsman, daughters Tammy Lund man and Jill Koverman, son Eric Beute and my parents, Ruth and Chick Henne. I could not have asked for a bett er cheering section.

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6 TABLE OF CONTENTS page ACKNOWLEDGMENTS...............................................................................................................4 LIST OF TABLES................................................................................................................. ..........9 ABSTRACT....................................................................................................................... ............11 CHAPTER 1 INTRODUCTION..................................................................................................................13 Statement of the Problem....................................................................................................... .14 Anticipated Shortages of Well-Qualified Principals.......................................................14 School Principal Succession Planning.............................................................................14 Purpose of the Study........................................................................................................... ....18 Research Questions............................................................................................................. ....19 Significance of the Study...................................................................................................... ..19 Glossary of Terms.............................................................................................................. .....19 Delimitations.................................................................................................................. .........21 Limitations.................................................................................................................... ..........21 Organization of the Study...................................................................................................... .22 2 REVIEW OF THE LITERATURE........................................................................................23 Accountability................................................................................................................. ........23 Well-Qualified Principals...................................................................................................... .26 Principal Shortages and Deterr ents to the Principalship.........................................................29 Succession Planning in Business............................................................................................34 Succession Planning........................................................................................................35 Succession Management.................................................................................................35 Succession Planning for the Principalship..............................................................................41 Principal Preparation Programs.......................................................................................41 Principal Recruitment......................................................................................................45 Principal Selection...........................................................................................................50 Socialization Processes....................................................................................................53 Studies of School District Succession Plans...........................................................................58 Summary of Related Research................................................................................................63 3 METHODOLOGY.................................................................................................................65 Introduction................................................................................................................... ..........65 Research Questions and General Research Hypotheses.........................................................66 Research Participants.......................................................................................................... ....68

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7 Instrument..................................................................................................................... ..........68 Hypothesis 1: Survey Items 2, 15, 20, 25 and 27............................................................69 Hypothesis 2: Survey Items 15, 20, 25, 27 and 30..........................................................69 Hypothesis 3: Survey Items 9, 13, 18, 23 and 30............................................................70 Hypothesis 4: Survey Items 10, 14, 19, 24 and 30..........................................................70 Hypothesis 5: Survey Items 26 and 27............................................................................70 Hypothesis 6: Survey Items 15, 20, 25, 27, 28 and 29....................................................71 Additional Items: Survey Items 1, 3-8, 11, 12, 16, 17, 21, 22 and 31.............................71 Pilot Test..................................................................................................................... ............72 Procedure...................................................................................................................... ..........72 Quantitative Data Analysis.....................................................................................................73 Qualitative Data Analysis...................................................................................................... .74 4 ANALYSIS OF THE DATA..................................................................................................75 Introduction................................................................................................................... ..........75 Analyses of Survey Data Re lated to Research Questions......................................................75 Analyses of Descriptive Statis tics Related to Survey Data....................................................83 Analyses of Structured Interview Protocol.............................................................................84 Summary........................................................................................................................ .........90 5 SUMMARY, DISCUSSION AND RECOMMENDATIONS.............................................104 Summary of Results............................................................................................................. .104 Analyses of Survey Data Re lated to Research Questions.............................................105 Descriptive Statistics from Survey Data........................................................................107 Analysis of Structured Interview Protocol....................................................................107 Discussion..................................................................................................................... ........108 Recommendations for Further Study....................................................................................116 Summary........................................................................................................................ .......117 APPENDIX A PERMISSION FOR USE OF EDUCATIO NAL RESEARCH SERVICE SURVEY.........119 B SURVEY INSTRUMENT....................................................................................................120 C PILOT SURVEY..................................................................................................................128 D UFIRB.......................................................................................................................... .........133 E INFORMED CONSENT LETTER......................................................................................134 F INFORMED CONSENT FORM..........................................................................................135 G STRUCTURED INTE RVIEW PROTOCOL.......................................................................137

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8 LIST OF REFERENCES.............................................................................................................138 BIOGRAPHICAL SKETCH.......................................................................................................149

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9 LIST OF TABLES Table page 4-1. District size elementary prin cipal candidates crosstabulation...............................................91 4-2. District size middle school prin cipal candidates crosstabulation..........................................91 4-3. District size high school prin cipal candidates crosstabulation..............................................92 4-4. District size anticipate shortage in next 12 months crosstabulation......................................92 4-5. Elementary principal candidates wr itten succession plan crosstabulation............................93 4-6. Middle school principal candidates wr itten succession plan crosstabulation........................93 4-7. High school principal candidates written succession plan crosstabulation...........................93 4-8. Anticipate shortage in next 12 months written succession plan crosstabulation...................94 4-9. Need to increase females in school leve l administrative positions compared by district size........................................................................................................................... ..........94 4-10. Elementary female candidates writt en succession plan crosstabulation.............................94 4-11. Middle school female candidates written succession plan crosstabulation.........................94 4-12. High school female candidates writt en succession plan crosstabulation............................95 4-13. Need to increase women written succession plan crosstabulation......................................95 4-14. Need to increase minorities in school level administrative positions compared by district size.................................................................................................................. .......95 4-15. Elementary minority candidates wr itten succession plan crosstabulation...........................95 4-16. Middle school minority candidates wr itten succession plan crosstabulation......................96 4-17. High school minority candidates wr itten succession plan crosstabulation..........................96 4-18. Need to increase minorities writte n succession plan crosstabulation..................................96 4-19. Descriptive statistics: Barriers that prevent well-qua lified candidates from applying for vacant principal positions.............................................................................................97 4-20. Independent Samples t-test. Recruiti ng, hiring, training policies and anticipated shortage of prin cipal candidates.........................................................................................97 4-21. Survey questions 3-7: Principal preparation programs.......................................................98

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10 4-22. Respondent identificati on code and district size.................................................................98 4-23. Interview question 3: Descriptors of we ll-qualified principal candidates by district size........................................................................................................................... ..........99 4-24. Question 3: Florida principal leadership standards by respondent....................................100 4-25. Interview question 6: Skills that aspiring principals lack that pr event them from being considered well-qualifie d by district size........................................................................101 4-26. Question 6: Florida principa l leadership standards by respondent...................................102 4-27. Questions 3 and 6: Reference to Florida principal leadership standards by percentage...102 4-28. Dispositions by respondent for questions 3 and 6.............................................................103

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11 Abstract of Dissertation Pres ented to the Graduate School of the University of Florida in Partial Fulfillment of the Requirements for the Degree of Doctor of Education AN EXAMINATION OF PRINCI PAL SHORTAGES IN FLORI DA SCHOOL DISTRICTS: IMPLICATIONS FOR SUCCESSION PLANNING FOR PRINCIPAL REPLACEMENT By Kim Kotila Stutsman August 2007 Chair: James L. Doud Major: Educational Leadership This study explored the shortage of wellqualified principals and succession planning policies developed by Florida School Districts. The sample consisted of 15 small districts (less than 10,000 students), 13 medium size distri cts (between 10,000 and 50,000 students), and 8 large districts (more than 50,000 students). Survey data were collected regarding shortages of well-qualified principals. Chi-s quare and independent t-test s were used to determine significance. Findings include: (a) Fl orida school districts regardless of size are experiencing shortages of well-qualified principal candidates; (b) school districts wi th succession planning policies in place experienced fewer shortages of well-qualified principal candidates; and (c) districts that have comprehensive succession plans for recruiting, hiri ng and training new and aspiring principals experienced fewer shortages. Other conclusi ons indicated that finding wellqualified female applicants for vacant principal positions was not an issue and succession planning policies do not assure adequate numbers of well-qua lified minority applicants for vacant principal positions. Districts reported th ese barriers to employment of well-qualified principals: insufficient salary, stress, testing/a ccountability, increased time commitment, and lack of interest by teachers.

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12 To determine the meaning of the term well-qualified as it applied to candidates for vacant principal positions, an interview survey protocol was administered to six selected school districts: two small, two medium and two large. Responses were compared to the 10 Florida Leadership Standards. The meaning of well-qualified varied from district to district ; they desire principals whose qualifications exceed the 10 Florida Pr incipal Leadership Standards. A well-designed succession plan may assist sc hool districts in r ecruiting, hiring, and training well-qualified principals Eighteen (18) research based succession plan components were recommended.

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13 CHAPTER 1 INTRODUCTION In the field of public education, accountab ility for student achievement marks the beginning of the twenty-first centu ry (Barker, 2003; Educational Re search Service, 2003; Tucker & Codding, 2002). The impact of the No Child Le ft Behind Act of 2001 (NCLB) requires that all children are educated to thei r full potential (Educational Res earch Service, 2003). For that reason, school districts must insu re that their students produce wo rk that is of high quality. The principal is central in determining the quality of education that a student will receive at a school (Educational Research Servic e, 2003; Schlechty, 1997). The No Child Left Behind Act has a huge im pact on the principal as articulated in The K-12 Principals Guide to No Child Left Behind : the wording of NCLB ma kes it very clear that the le gislation sees the role of the principal expanded in very specif ic ways. For example, NCLB adds substantially to the princi pals responsibilities an d accountability for student achievement, staff quality, the quality and legitimacy of the schools curriculum and instruction, and so forth. Moreover, th e positive and negative consequences of this new accountability and these new respons ibilities are most dramatically felt at the school level. Failure to show ad equate yearly progress in student achievement can result in a school being reconstitutedessentia lly re-staffed. On a more positive note, those schools that succ eed in showing this adequate yearly progress become eligible for academic achievement awards. (Educational Research Service, 2003, p. 2) Marzano (2003) stated that leader ship of the school principal is the most crucial aspect of effective school reform. Effec tive school research supports the correlation of effective schools with strong leadership (Brookover, Beamer, & Efthim, 1982; Daresh, 1986; Edmonds, 1981). Barth (2001) pointed out that a principal has an extraordinary influence on the quality of a school. In a 1998 study, Doud and Kelle r (1998) reported that 2 of every 3 principals questioned about the ability of public education to attract quality people to the principalship expressed concern that education does not appear to be attracting such candida tes . (p. 118).

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14 Statement of the Problem Anticipated Shortages of We ll-Qualified Principals It is imperative that distri cts desiring high quality student work hire quality leaders as school administrators. However, available statis tics indicate a shortage of school principals throughout the first decade of the twenty-first century (Educational Re search Service, 1999; Institute for Educational Leader ship, 2000). Potter (2001) reported that 40% of our countrys 93,200 principals are nearing retireme nt age. He foresees that th e number of eligible candidates will diminish. Snyder (2002) provided statistics fr om the U. S. Department of Educations National Center for Education St atistics (NCES) which reflect responses of 10,000 public school principals in 1999-2000. Information gathered from the survey concluded that there are a large proportion of principals nearing retirement age. From 1988 to 1998 the principal turnover rate was 42%. Forecast for the next 10 years is at le ast a 40% turnover rate, with the mean age of retirement at 57 (Doud & Keller, 1998). Fenwick a nd Pierce (2001) believed that there would be an increase from 10-20% in the ne ed for school prin cipals through 2004. Doud and Keller (1998) expresse d concern about recruitment and selection challenges, nationwide. Throughout the United States shortages of well-qualified applicants for the position of school principals are comm on. School districts reporting im pending shortages of quality applicants include: New York and Colo rado (Education Writers Association, 2001); Albuquerque, NM (Weingartner, 2001); Neva da, Connecticut, Minnesota (Kennedy, 2001); California (Orozco & Oliver, 2001); and Orange County, FL (Orange County Public Schools, 2003). School Principal Succession Planning To insure the best possible candidates to lead schools, adequa te recruiting, hiring, preparation and training must take place. In the business world such practices are found in formal

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15 succession plans. William Rothwell (as cited in Eastman, 1995) defined succession planning as, any effort designed to ensure the continued eff ective performance of an organization, division, department, or work group by making provision for the development and replacement of key people over time (p. 1). Hirsh (2000) suggested that succession planning is a process for identifying people for key positions and career moves and includes development activities for successors. Schein (1978) suggested that organizations have plans for replacement which may include a centralized data collection system listing care er histories, skill ar eas and appraisals of employees and a system requiring managers to train their own replacements. Replacement planning overlaps with planni ng for staffing and depends on va rious kinds of information: human resource inventorying, replacement trai ning, job/role planning and analysis; and a selection, development, or recruitment plan. The organization must 1) set about to select the candidates who ar e seen to have the requisite skills 2) launch the right development plans to ha ve candidates ready when the jobs open up and 3) plan to do whatever inte rnal or external recr uiting is necessary to generate qualified candidates. (p. 241) Leadership succession planning is relatively new in the field of education research (Normore, 2001). Hart (1993) stated, Managerial succession research originally was founded on the belief that leaders make a difference in organizations and that managers can exercise leadership (p. 43). She also poi nted out that research findings on succession are varied and limited in their results. Determining the importance of succession planning or succession management and its impact on leadership, change, and the culture of an organization over time has been inconclusive (Gordon & Rosen, 1981). These authors divided succession planning into three stages: presuccession, succession and posts uccession. They asserted that presuccession begins with the anticipation of a change in managers and ends in post succession, when the

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16 organization has adjusted to the new manager. Miklos (1988) contended that members of educational organizations become administ rators by passing through several processes: recruitment and selection; career patterns; successi on; and socialization. Barth (2001) identified four questions that have implicat ions for succession planning: 1) How do you identify, from many candidate s, those likely to become outstanding principals? 2) How do you get th ese individuals to choose to become principals? 3) Once the aspiring principals have been identified and recruited, how do you prepare them for the crucialand overwhelmingjob they will as sume? 4) How do you sustain and extend their learning once they become practicing princi pals? (p. 119) An awareness of the need to prepare for huge numbers of vacancies in school administrative positions has prompted educati onal researchers and practitioners to make a number of suggestions regard ing succession planning and insu re quality when replacing principals. Both short and long term solu tions have been suggested by researchers. Short term solutions suggested by Potter (2001) included: hire recently retired principals; hire assistant principals who aspire to be principals; keep go od principals on the job; reconsider early retirement options to make longer service more attractive; provide monetary incentives for principals; recruit candidates from local univers ities; consider candidate s outside of education. Long term initiatives recommended by researchers include: programs within districts to recruit talented teachers to develop and utilize lead ership skills; collabora tion between local school districts and universities (Doud & Keller, 1998; Fenwick & Pierce, 2001); collaboration between and among local districts and state principals associations; state legislative support for district and university principal prepar ation (Doud & Keller, 1998); recrui tment and hiring of minority faculty at the university level who in turn will attract minority graduate students into educational leadership programs; diversity and sensitivity training for personnel responsible for hiring and recruitment; and examination of shared l eadership models (Fenwick & Pierce, 2001).

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17 Successful school district succession planning components which exist throughout the United States include examples of grow-your-o wn models; initiatives designed to familiarize outstanding teachers, having leadership ability, w ith the principalship; and mentoring programs for aspiring and new principals. Extra Support for Principals (ESP) is a collaborative effort between the University of South Alabama and Mo bile County Public School District (Potter, 2001), which strengthens training for aspiring sc hool leaders. Local school districts have initiated specific programs designed to familiarize educators with responsibilities of site-based administ ration. Such programs include AIM (Acquisition, Initiatives, Motivation) and Preparing New Pr incipals Program (PNPP) in Orange County, Florida. Components of the PNPP are: leadership development, assistant principal pool, potential administrators training, and preparing new prin cipals program (Orange County Public Schools, 2000). Another example is Teaching Assistant Prin cipal (TAP) model, developed in Capistrano Unified School District, located in rapidly e xpanding Orange County, California (Lovely, 2004). In 1994, a group of elementary through high school principals in Albuquerque, New Mexico formed a steering committee to address a l ack of interested and qualified applicants for school principal vacancies. As a result Extra Support for Principals (ESP) was developed and proved to be a successful mentoring program and an incentive to nearly 110 principals to remain on the job (Weingartner, 2001). Other innovative programs that emphasize lead ership training include New Leaders for New Schools, the Knowledge is Power Program (KIPP), and the Broad Residency in Urban Education. These programs provide training for people from a variety of experiences and backgrounds to take on school leadership roles. (Thomas B. Fordham Institute, & The Broad Foundation, 2003).

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18 Presuccession is considered the recruitmen t stage in which people have little knowledge about an organization they desire to join. They also have little information about what is expected of them, what they can expect to gain and what they need to offer a new organization (Wanous, 1976). Hart (1993) caution ed that interaction of factor s in the stage framework plays an important part in how successful the mana ger is at effectively taking charge in an organization. To provide a framework for recruitment, development and retention of school administrators, standards have been developed in some states. Floridas 10 Principal Leadership Standards (Florida Department of Education, 2005b) are organized under three categories in the following manner: Instructional Leadership o Instructional Leadership o Managing the Learning Environment o Learning, Accountability, and Assessment Operational Leadership o Decision Making Strategies o Technology o Human Resource Development o Ethical Leadership School Leadership o Vision o Community and Stakeholder Partnerships o Diversity Purpose of the Study The purpose of this study was to explore th e shortage of well-qualified principals and succession planning policies developed by Florida School Districts and to determine whether or not the presence of such plans had an imp act on the number of av ailable well-qualified candidates for vacant principal positions. Sp ecifically, this study addressed the following research questions.

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19 Research Questions 1. Is there a relationship between a shortage of well-qualified candidates fo r principal vacancies and the size of the school district? 2. Is there a relationship between the shortage of well-qualified ca ndidates for principal vacancies and the presence of written succession planning policies? 3. Is there a relationship between the shortage of well-qualified female candidates for principal vacancies and the presence of written succession planning policies? 4. Is there a relationship between the shortage of well-qualified mi nority candidates for principal vacancies and the presence of written succession planning policies? 5. Do perceived barriers to havi ng well-qualified candidates fo r principal vacancies differ between districts experiencing principal s hortages and those districts which are not experiencing principal shortages? 6. Is there a relationship between the degree to which districts encourag e the development of aspiring principals and the shortage of well-qualified principal candidates? Significance of the Study The No Child Left Behind Act of 2001 has increased the accountability of school principals, necessitating that on ly highly qualified people occupy the position of principal. Succession planning in school distri cts must be carefully designed to prepare aspiring principals to meet the tough demands of the principalship. In sights from this study ma y enable districts and universities to determine the components that are most critical to the recruitment, training and development of principal candidates. Glossary of Terms For the purpose of this study, the following definitions were used. These definitions may have differing meanings in other res earch studies and other situations. Aspiring principal/principal candidate is a person who occupies a position of assistant principal or is in the assistant principal pool and is preparing fo r the role of principal of an elementary, middle, or high school.

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20 Induction programs are professional social ization activities designe d to provide new and aspiring principals with training by which they acquire the values, norms attitudes, knowledge, skills and techniques needed to adequate ly perform their duties (Hart, 1993). Mentoring programs are formal programs consisting of persons who act as guides or role models for new and aspiring principals, listeni ng, offering guidance, advice and direction. Minority candidate is an African-American or Hispan ic aspiring principal candidate. Preparation programs are formal professional learning ac tivities in which an aspiring principal must participate to become a principal. Pre-succession is the time period prior to an as piring principal occupying a principal position. Principal is the head of the schoolelementar y, middle, and high. A person assigned responsibility for administrative direction and instructional lead ership and supervision at an individual school. This does not include persons assigned these responsib ilities in the role of assistant, intern, or interim principal (Administr ative Rule: 6A-4.0081 Florida School Principal Certification, 1988). Recruitment is the activity associated with successfully attracting people to apply for the assistant principal pool and for assist ant principal and principal positions. Selection is the process by which a person is chos en to occupy a positio n in the assistant principal pool. Selection is also the process by which a person in the pool is chosen for an assistant principal position and by which an assist ant principal is chosen for a principal position. Socialization is the active participation in prof essional learning by which the individual acquires the skills, attitudes a nd group norms and values to be successful in the role of a principal (Crow & Matthews, 1998).

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21 Succession planning policies are put in place by a school dist rict to find the best possible people to fill vacancies as school administra tors. Succession planning includes recruitment, selection, preparation and socialization of aspiring principals. Support includes emotional and physical support, providing appropriate staff development and other resources. Well-qualified principal candidates are those having entry level characteristics found in 10 Florida Principal Leadership Standards: in structional leadership ; managing the learning environment; learning, accountability and assess ment; decision making strategies; technology; human resource development; ethical leader ship; vision; commun ity and stakeholder partnerships; and diversity (Florida Department of Education, 2005b). Delimitations This study focused on succession planning policies of a sample of 36 Florida school districts. Data were gathered from sources at th e district level of each di strict to determine the extent of succession planning for that district The study examined shortages of well-qualified principal candidates, including perceived reasons for principal shortages and shortages of wellqualified women and minority candidates. Characte ristics of well-qualifie d principal candidates were explored. The study was conducted betwee n June and September, 2006. The findings are not generalizable to school districts in other states. Limitations An assumption was made that Florida superint endents or other distri ct level respondents accurately reported the information regarding th e presence of principal shortages in their respective districts. Responses regarding perceived r easons for shortages in the principalship were subjective in nature. An assumption was made that respondents were honest in their responses.

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22 Organization of the Study This chapter detailed the purpose of the st udy, research questions, definitions, limitations and delimitations of the study. Chapter 2 presen ts a review of current succession planning literature including principal sele ction, recruitment, preparation and socialization, as well as business succession planning models. Chapter 2 also examines current research on principal shortages. A description of the methodology and procedures used by the researcher to respond to the research questions is explai ned in Chapter 3. Chapter 4 contai ns a description of selected districts succession plan ning policies and data related to shor tages of well-qualified principal candidates, as well as characteri stics of well-qualified principal candidates; results of data collection are analyzed and fi ndings are summarized. Conclusions and recommendations for further research are provided in Chapter 5.

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23 CHAPTER 2 REVIEW OF THE LITERATURE Accountability Reauthorization of Elementary and Secondary Education Act (ESEA) of 1994 as the No Child Left Behind Act (NCLB) of 2001 fo cuses on accountability aspects of student achievement. Principals play a crucial role to in sure that students in their schools demonstrate improved performance on standardized tests (Bar ker, 2003). Intense scrutiny of test scores by teacher, by grade level, by school by district, by state and by nation (Barth, 2001, p. 92) heightens the emphasis placed on accountability. Elmo re and Burney (1999) pointed out that our present accountability movement indicates a shift from accountability for resources to accountability for student outcomes. Kelly (1999) cited recent evid ence confirming that there are inadequate technologies, a lack in system capacity and tricky incentive stru ctures in the current system of accountability. She stated, In short, improving student ach ievement using accountability within the current context might be likened to trying to build a Stradiva rius violin with a sledge hammer, a chisel, and a number of apprentice technicians w ho disagree on how to proceed. The desired outcomesignificant improvement in student achievementmay be unattainable using available tools, resources, and system capacity. (p. 642) Principals are being held acc ountable for providing effectiv e leadership towards achieving the 90% reading goal on which that portion of the NCLB is based (Fie lding, Kerr, & Rosier 1998). The Institute for Educational Leadership (2000) stated that leadership for student learning is the bottom line for everything a principal does, including esta blishing a vision, setting goals, managing staff, rallying the community, creati ng effective learning environments, building support systems for students, guiding instruction . (p. 4). The Law Association of the Bar of the City of New York (2002) asserted that th e School Governance Reform Act emphasizes the principals importance in bringing about school reform and higher st andards. Principals are held

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24 accountable for decision-making and meeting hi gh performance standards. Tucker and Codding (2002) argued that while the public is insisti ng that academic performance improve, a principal must be given authority commensurate with her responsibility and accountability (p. 7). Further, they asserted, It is absolutely unreason able to hold the princi pal accountable for student performance when that person has little or none of the authority needed to get the job done (p. 7). Gerald Tirozzi, executive director of the Na tional Association of Secondary School Principals (NASSP) affirms the paradox at the high school level, where he states that principals face greater accountability but have been stripped of authority and au tonomy (Stricherz, 2001). Leithwood (2001) identified four approaches to accountability by school leaders: market, decentralization, professional and managerial. Ma rket accountability rela tes to the increased competition for students which schools face. Dece ntralization adds the voices of teachers, parents and community members to those of ad ministrators in making decisions regarding curriculum, facilities, budget a nd personnel. In this model pa rents often dominate school councils and have close working relationships with the principal. Professional accountability is the belief that professional pr actice, found in site-based decisi on making, as well as instructional practices of teachers and school l eaders, directly impact student outcomes. Professional learning communities are the result of this approach to accountability. The managerial approach assumes that schools are basically doing a good job, but that strategic pla nning including a goals approach will improve the efficiency and effectiveness of schools. Elmore (2000) contended that the work of admi nistrative leaders should be to improve the skills and knowledge of those in the organization and to hold them accountable for the end result. Hallinger and Heck (1998) reviewed research from 1980 to 1995 on th e principals role in school effectiveness. They found that principals ha d an indirect and meas urable impact on school

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25 effectiveness and student achievement, characteri zed by intervening variables such as teachers and the classroom. Similarily, in an effort to foster high academic achievement, New Leaders for New Schools (2005) was founded to attract, prepare and support outstanding leaders for urban public schools. Their research found that after three or more years of principalship, New Leaders were responsible for impressive gains in reading and math achievement. Another aspect of accountability affecting the principal is in regard to incentives for teachers (Duke, 1996). Managing proposed incentives as well as designating which employees deserve rewards, will be the work of principals in the era of high-stak es standardized testing (Gerstner, 1994; Marshall & Tucker, 1992). Duke (1996) stressed that implications of acc ountability for the principal are considerable. He cited the responsibilities of dealing with school mission, sta ndards, goals and outcomes as time consuming, causing a principal to take time away from supervision and evaluation. Duke saw a shift in emphasis from instructional leader ship to a focus on assessment leadership, with the principal zeroing in on student achievement. Kelley and Peterson (2002) indicat ed that in states where high stakes testing has increased accountability of the school princi pal, instructional le adership of the principal is demanded. As an instructional leader, the principal must have the ability to analyze data, apply innovative instructional technologies, focus on school improvement, develop on-going programmatic reforms and follow through on the impl ementation of those reforms. Additional tasks related to accountability in clude developing clearl y stated mission and goals and responding to a diverse co mmunity of stakeholders. It is highly evident in evaluating these responsibilities that pr eparation programs must be devo ted to addressing the skills,

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26 knowledge and experiences needed by principals to meet the accountability standards demanded of them. Well-Qualified Principals Kelley and Peterson (2002) state, Research on the role of prin cipals in effective schools, school improvement, restructuring, instructional improvement, and standardsbased reform all support a need for wellprepared leaders. Recent research on implemen ting reforms demonstrates the central role of principals and othe r leaders to successful change. Principals are key to initiating, implementing, and sustaining hi gh-quality schools. (pp. 252-253) There is a large body of work re lated to the role of the school principal in leading schools to become more effective and promoting refo rm and school improvement efforts, (Elmore & Burney, 1997; Ford & Bennett, 1994; Fullan, 1997; Hallinger & Heck, 1996; Kelley, 1998; Lezotte, 1997; Louis & Marks, 1998; Murphy & Louis, 1994). Kelley and Peterson (2002) pointed out that schools that are academica lly effective have effective principals. It is important to understand th e attributes that make up a we ll-qualified principal. A good principal knows that teaching and learning are th e primary responsibilitie s of a school (Barth, 1990; Hill, 2002; Marsh, 2000; McLaughlin & Talb ert, 2001); clearly communicates the schools mission and goals to all stakehol ders (DuFour & Eaker, 1998); pr omotes high standards that are attainable and monitors pr ogress (Tucker & Codding, 1998); is visible and a good listener (Murphy, 2000); promotes a climate of trust and cooperation (Kelley, 1980; Whitaker, Whitaker, & and Lumpa, 2000); fosters professional growth (Barth, 1990; Doud & Keller, 1998; McLaughlin & Talbert, 2001); promotes and mon itors high standards for student achievement (Deal & Peterson, 1994; Doud & Keller, 1998; Fullan, 2001); promotes interpersonal cooperation, confronts problem employees (Doud & Keller, 1998; Dyer, 2001); manages change, exhibits strong leadership sk ills (Deal & Peterson, 1994; Dyer 2001; Senge, 1990 ); identifies and solves problems (Hallinger, Leithwood, & Murphy, 1993); communicates a highly

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27 developed set of values (Sergiovanni, 1991)); prom otes the structural frameworks of the school and shapes school culture (Deal & Peterson, 1994; Fullan, 1993). Newman, King and Youngs (2000) contended that school capacity is the key to success and they outlined five important characteristic s including teachers abil ities; professional communities; coherent programs; technical reso urces and principal leadership. Fullan (2001) suggested that quality leadership is the one characteristic of school capacity that is imperative for success to take place because it brings the other f our qualities together into a cohesive whole. Elmore (2000) is in agreement: The job of administrative leaders is primarily about enhancing the sk ills and knowledge of people in the organization, crea ting a common culture of exp ectations around the use of those skills and knowledge, holding the various pieces of the organization together in a productive relationship with each other, a nd holding individuals accountable for their contributions to the co llective result (p. 15). Defining six standards for what principals should know and be able to do, the National Association of Elementary Sc hool Principals (2002) mainta ins that quality leaders: Lead schools in a way that places stud ent and adult learning at the center. Set high expectations and sta ndards for the academic and social development of all students and the performance of adults. Demand content and instruction that ensure student achievement of agreed-upon academic standards. Create a culture of continuous learning for adu lts tied to student le arning and other school goals. Use multiple sources of data as diagnostic tool s to assess, identify and apply instructional improvement. Actively engage the community to create sh ared responsibility for student and school success. (p. 2) The Interstate School Leaders Licensure C onsortium (ISLLC) develope d six standards for principals focused on student learning, that were adopted by 24 states during the 1990s (Council

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28 of State School Officers, 1996). These standard s formed the basis of preparation programs throughout the United States (Rallis & Goldring, 2000). Standards for school principals have recentl y been developed in Florida to replace 19 principal competencies in place since 1985. Principa ls can be assessed on 10 key indicators in three categories: Instructional Leadership Instructional Leadership -High Performing Leaders promot e a positive learning culture, provide an effective instructional program, and apply best practices to student learning, especially in the ar ea of reading and other foundational skills. Managing the Learning Environment -High Performing Leaders manage the organization, operations, facilities and res ources in ways that maximize the use of resources in an instructional organization and promote a safe, efficient, legal and effective learning environment. Learning, Accountability, and Assessment -High Performing Leaders monitor the success of all students in the learning environm ent, align the curricu lum, instruction, and assessment processes to promote effective st udent performance, and use a variety of benchmarks, learning expectations, and feedback measures to ensure accountability for all participants engaged in the educational process. Operational Leadership Decision Making Strategies -High Performing Leaders plan effectively, use critical thinking and problem solving techniques, a nd collect and analyze data for continuous school improvement. Technology -High Performing Leaders plan and impleme nt the integration of technological and electronic tools in te aching, learning, management, research, and communication responsibilities. Human Resource Development -High Performing Leaders re cruit, select, nurture and, where appropriate, retain effective personnel, develop mentor and partnership programs, and design and implement comprehensive profes sional growth plans for all staff-paid and volunteer. Ethical Leadership -High Performing Leaders act with integrity, fairness, and honesty in an ethical manner. School Leadership Vision -High Performing Leaders have a pers onal vision for th eir school and the knowledge, skills, and dispositions to develop, articulate and implement a shared vision that is supported by the larger or ganization and the school community.

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29 Community and Stakeholder Partnerships -High Performing Lead ers collaborate with families, business, and community members, respond to diverse community interests and needs, work effectively within the larger organization and mobilize community resources. DiversityHigh Performing Leaders understand, res pond to, and influence the personal, political, social, economic, legal, and cultural relationships in the classroom, the school and the local community (SBE Rule 6B-50012) (Florida Department of Education, 2005b, p. 1-2). Principal Shortages and Deterrents to the Principalship Available statistics indicate a shortage of school principals throughout the first decade of the twenty-first centu ry (Educational Research Service, 1999; Institute of Educational Leadership, 2000). Forty percent (4 0%) of our countrys 93,200 princi pals are nearing retirement age (Potter, 2001; Snyder, 2002). Potter (2001) fore sees that the number of eligible candidates will diminish. Snyder (2002) provided statistics fr om the U. S. Department of Educations National Center for Education St atistics (NCES) which reflect responses of 10,000 public school principals in 1999-2000. The percenta ge of school principals 55 a nd older increased from 19% in 1993-94 to 22% in 1999-2000. The percentage of pr incipals age 50-54 increased from 24% to 32% in the same time period. The number of principals in the age range of 40-49 dropped sharply. Doud and Keller (1998) re ported the principal turnover rate was 42% from 1988 to 1998. They forecast at least a 40% turnover rate du ring the next 10 years, with the mean age of retirement being 57. Fenwick and Pierce (2001) believed that ther e would be an increase from 10-20% in the need for school principals through 2004. Leithwood, Begley and Cousins (1992) reported that the most freque ntly chosen career path to the principalship include s in-school roles only. If that is the case, then a shortage of teachers would have an impact on the supply of principals. Reports of increasing teacher shortages are numerous (Ingersoll, 2001; North Ca rolina Department of Public Instruction, 2002; North Central Regional Educa tional Laboratory, 1999). Jimerson (2003) reported the following national trends that play a signifi cant role in the lack of qualif ied teachers: high stakes federal

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30 mandate of NCLB for quality te achers; federal, state and local policies that mandate class size reduction, resulting in a need for additional teachers; high attrition rates of new teachers; rapid student enrollment growth in some geographic regions; large number of teacher retirements expected within the next 10 years; legal demands for equitable compensation for teachers, which places pressure on poor district to offer competitive salaries. Doud and Keller (1998) expresse d concern about recruitment and selection challenges, nationwide. Throughout the United States the shortage of qualified applicants for the position of school principals is common. Weingartner (2001 ) reported that in th e Albuquerque Public Schools, they often have to advertise two or th ree times to find qualified applicants for school leadership positions. Kennedy (2001) stated that C onnecticut was facing a shortage of principals despite high salaries; and Nevada had a need fo r 500 administrators by 2004. In Minnesota the average age of newly hired principals was 49 a nd the average age of principals was 51. There were fewer applicants and many of those who did apply lacked preparati on and qualifications to be successful. In July 2001, the Los Angeles Times reported that a lthough California was producing 2,000 to 3,500 newly licensed administrato rs each year, only 38% actually were hired for school administrator positions in California. (Orozco & Oliver, 2001 ). Education Writers Association (2001) reported 163 New York sc hools began the 2000-01 school year without a permanent principal, and inexperienced princi palswith less than two years experiencewere common. They also noted that Colorado expected to have 740 principal vacancies through 2006. To address this problem many states are rehiri ng retired principals as interim replacements. Retirement of school administrators and an im pending principal shortage is of concern in Florida, as well. A study by Orange County Public Schools (2003) anticipated new and replacement school-based administrative positions through 2008. This study indicated that there

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31 were 62 administrators in The Deferred Re tirement Option Program (DROP) and 42 new positions to be added, resulting in the need fo r 104 positions by 2008. Add itional data indicated that 21 administrators had 28 or more years of service, 24 administra tors would reach age 62 within 5 years, and that 3 administrators would reach age 62 with 28+ year s of service, resulting in a possibility of 48 additiona l school-based vacancies by 2008. Available statistics repo rt an under representation of Afri can Americans, Hispanics, Native Americans and Asian/Pacific Islanders to th e principalship (Doud & Keller, 1998; National Center for Education Statistics, 1997). Base d on data collected by the National Center for Education Statistics in 1993-94, 84.2% of public school principals we re White non-Hispanic, 10.1% were Black non-Hispanic, 4.1% were Hispan ic, and 1.6% were other (National Center for Education Statistics, 1997). A 2002 study conducted by the North Carolina Department of Public Instruction determined that sc hool administrators were more diverse than the population of teachers throughout the state, but not as diverse as the student population. Due to this fact, North Carolina made it a goal by 2010 to increase their pool of highly qualified school administrators to reflect the diversity of thei r state (North Carolina Departme nt of Public Instruction, 2002). Although women make up about 42% of K-8 principals in the United States, 85% of teachers in K-8 schools are female (Doud & Keller, 1998). Base d on the above statistics, it appears that female teachers are not being cultivated for leadersh ip roles. In spite of the fact that more women and minorities currently complete aspiring prin cipal training programs than their white male counterparts, males continue to outnumber females and minorities in occupying principal positions (Education Writers Association, 2001). Studies conducted by RAND Co rporation and State University of New York (SUNY) revealed significant data related to gender and race of public school admini strators in New York,

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32 North Carolina and Illinois (RAND Education, 2004) New York, North Carolina and Illinois were chosen for the study because several factor s represented the broad spectrum of other states and Washington, DC: certification requirements; funding; and a va riety of rural, suburban and urban districts. Administrative salaries in New Yo rk are high; in Illinois they are about average; and in North Carolina they are low. The studies uncovered several trends: There are substantial differences in th e promotion rates of men and women. A growing proportion of women are assistant pr incipals, principals, administrators and superintendents. Although the percentage of female administ rators is rising, the proportion of women administrators is below that of women teachers. Women teachers are less likely than male teach ers to move into positions as assistant principals, principals and s uperintendents. The differe nces are more pronounced for elementary school teachers (RAND Education, 2004). The RAND Education studies (2004) revealed that, at the point where an individual initially makes the decision to switch from a t eaching position to that of an administrator, barriers seem to exist for women. However, once an individual was prom oted to an assistant principal position, females in all three states were more likely than men to continually be promoted to higher administrative positions. Males were 30% more likely to gain principal certification; but once females were certified, they became principals at a ra te equal to that of males. Researchers found that females were less likely than males to become administrators. Data collected by RAND (2004) from North Caro lina in 2000 revealed that, although 94% of elementary teachers were female, only 58% of el ementary principals were female; 63% of high school teachers were female and only 24% of high school principals were female. Findings

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33 suggest that early career mentoring or support for female educators might be an effective policy lever for encouraging gender pa rity in the transition to school administration (p. 2). A study conducted by the National Center fo r Education Statistics (1997) found that nearly all principals have teaching experience and about a third of female principals have previous experience as curriculum resource teachers or curriculum specialists This may explain why principals who are women have a tendency to pl ace more emphasis on the in structional aspect of the job than do their male counterparts. Although minority teachers in North Carolina and Illinois are more likely than white teachers to be promoted to assistant princi pals and principals, th e RAND study (2004) and a study by Doud and Keller (1998) suggested that, to increase the supply of minority candidates for the principalship, more attention must be paid to recruiting and retaining minority teachers in public schools. They also suggested that greater attention be given to recruiting minorities from non traditional sources. These recommendati ons agree with those set forth in Better Leaders for Americas Schools: A Manifesto prepared by dozens of educator s and policy makers (Thomas B. Fordham Institute, & The Broad Foundation, 2003). Furthering the case for increasing the number of minority principals, the RAND (2004) studies found that principal tu rnover was high in schools with la rger proportions of minority students. However, it was also determined that pr incipals whose race/ethni city matched that of the largest racia l/ethnic group were less likely to leave their schools. Thes e results suggest that in order to improve leadership stability, school s with large minority populations should hire principals who are of the same race or ethnicit y. This strategy may be difficult to implement because of the under representa tion of minority teachers.

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34 Current literature suggests se veral factors that discourag e qualified individuals from entering the principalship: time (Education Re search Service, 2000; Lovely, 2004; Yerkes & Guaglianone, 1998); increasing responsibiliti es (Doud & Keller, 1998; Lovely, 2004); jobrelated stress (Alvy & Robbins, 1998; Doud & Keller, 1998; Lovely, 2004; Ruenzel, 1998); salary (Archer, 2002; Education Research Service, 2000; Lovely, 2004); institutional interference (Lovely, 2004; Johnson, 2002; New Teacher Center, 2002). Succession Planning in Business Best practice organizations use succession planning to develop and maintain strong leadership and to ensure that they addre ss all the skills and competencies required for todays business environment. Succession planni ng can also be an extremely powerful tool in motivating and retaining top leader ship. (Butler & Roche-Tarry, 2002, p. 201) Excellent examples of succession planni ng and succession management are found in business and in the military (Butler & Roche-Tarry, 2002; Tucker & Codding, 2002; Conger & Fulmer, 2003). Familiar corporations such as Coca-Cola, Sunoco, Mattel, Dow Chemical, Eli Lily and Bank of America have successful su ccession management plans in place (Conger & Fulmer, 2003). Leibman, Bruer and Maki (1996) differen tiated between succession planning and succession management. They pointed out that su ccession planning is focused on the individual, while succession management is focused on deve loping strong leadership teams. Conger and Fulmer (2003) argued that effective succession ma nagement includes identifying candidates with high potential, increasing their leadership skill s by giving them, what they call Lynchpin assignments, coupled with team support, training, and mentoring; and systematically evaluating their performance. Winn (2000) states, Of significant importan ce is providing candidates with as many opportunities as possible to learn the business and demonstr ate their abilities (p. 100).

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35 Succession Planning Succession planning is used to develop and main tain strong leadership as the organization ages; to help prepare for an unexpected event; an d to ensure that an organization has a cadre of personnel enabling it to function at a high level of efficiency (Butler & Roche-Tarry, 2002). Aligning business goals with human capital needs is another im portant aspect of succession planning that will lead to organizational excellen ce. Butler and Roche-Tarry assert that when an organizational hierarchy is create d, gaps can be more easily identi fied, leading to more efficient management of change. Liebman et al. (1996) found that succession pl anning assures that co ntinuity exists to prepare leaders for key leadership positions and has evolved over the past 30 years from what was then called replacement planning. In the corporate world, succession planning has highly structured career paths with the corporation guiding people th rough their careers and providing them with needed experiences. Deliberation a nd planning are characte ristics of succession planning. Succession planning is ongoing (Butler & Roche-Tarry, 2002; Baldwin, 2004; Center for Simplified Strategic Planning, 2004)) and is related to strategic planning (Baldwin, 2004). The Center for Simplified Strategic Planning (200 4) suggested the following process: establish goals, select candidates, establis h training and educational proce sses, initiate the process of selecting and training with each indi vidual, and monitor developments. Succession Management Liebman et al. (1996) asserted that to be in tune with the dynamic global environment, succession planning must evolve into succession management along six dimensions: corporate orientation, organizational focus, outcome, asse ssment techniques, communication, and selection pools.

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36 Corporate orientation (Leibman et al ., 1996) in a succession planning model is characterized by deliberation and planning, whic h includes career path s that are highly structured. Individuals targeted for executive positions are guid ed through their careers and provided with the right experiences. On th e other hand, a succession management model assumes that corporations undergo change a nd cannot guarantee anyone employment over a long period of time. To that end, corporations must r ecruit and develop leaders who are able to meet the demands of a dynamic and challenging workplace. Organizational focus (Leibman et al., 1996), se en through the lens of succession planning, ensures fit between people and the positions that they will hold, but ignores future challenges and the need to round out a team. However, succession management for organizational focus is intent on an individuals ability to meet the job requirements and the fit for an effective team. Performance standards, common purposes, norms skills, competencies and communication skills are imperative when forming a dynamic team. Outcomes for succession planning and succession management share a common characteristicthat of having prepared leader ship (Leibman et al., 1996). Succession planning focuses on who will fill upcoming positions. Suc cession management looks at preparing people for future leadership positi ons through professional de velopment opportunities. Solid experiences for high performing employees with high potential is demanded to align talent with the needs of the corporation. Assessment techniques used for succession ma nagement include leadership templates and 360 degree feedback (Leibman et al., 1996). Alth ough expertise is needed, other aspects of leadership must be demonstrated by the indivi dual. Leadership templates emphasize the vision, values and competencies needed by the organizat ion rather than the pa rticular job function.

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37 Using 360 degree feedback relies on the insights of others who work with an individual, rather than simply on the supervisor. Communication revolving around succession planni ng is shrouded in secrecy, with those seeking promotions unaware, demotivated and di sappointed regarding thei r place on the career ladder (Leibman et al., 1996). New succession management techniques include involving candidates in dialogue, mentoring, us ing the leadership template a nd integrating career plans into the process. Selection pools allow corporations to reach beyond the corporation itself for valuable candidates (Leibman et al., 1996). Blending internal and external management often invigorates the corporate culture, bringing in new visi on and implementing mandates without being hampered by past corporate history or pers onal involvement. Finding balance between the internally developed individuals and those entering from outsi de the company creates synergy and often causes a more dynamic and vital organization. Tucker and Codding (2002) pointed out that in business and in the military, basic welldeveloped infrastructures were put in place whic h affected organizational culture and training. They indicated that structures used by busine ss and military include having a modern system to identify training and select managers and leader s. One such structure is a pool of candidates. They also suggested that a well defined order of positions, for those aspiring to rise higher in an organization, was necessary in order to foster the development of skills and knowledge, while simultaneously offering timely education, training and professional development. They made note of the importance of mentoring systems found in the military and in law firms. The purpose of succession management is to be sure that the corporat ion has depth in its leadership capability (Leibman et al., 1996) However, it cannot guarantee anyone continuous

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38 employment. Conger and Fulmer (2003) assert, Y ou build the strongest leadership bench when you practice succession management, combin ing succession planning and leadership development in a comprehensive process for finding and grooming future lead ers at all levels of your organization (p.1). Conger and Fulmer (2003), in collaboration w ith the American Productivity and Quality Center (APQC) and 16 sponsoring companies, c onducted a study of six organizations which had been successful in succession management: Dell, Dow Chemical, Eli Lilly, Pan Canadian Petroleum, Sonoco Products, and Bank of America. They compared their best practices with those of the sponsoring companies. Using detailed questionnaires to collect quantitative data and site visits, which included interviews, the re searchers gathered information across the two samples. One purpose of their study was to understand how succession management differed among companies known for their best-practices Four succession management rules found by Conger and Fulmer were: focus on development; iden tify linchpin positions; make it transparent; measure progress regularly; keep it flexible. Research by Conger and Fulmer (2003) pointed to a focus on developmentdesignated as rule onethat can be seen in action-learning prog rams, resulting in practical solutions to major strategic problems. Job rotations and placing people in specialized assignments provides potential leaders with opportunities for study and experimentation. Appointing mentors and monitoring progress of prospective leaders lessens the risk of fa ilure and supports the companys investment. Linchpin positions, rule two for succession management, are defined by Conger and Fulmer (2003) as, jobs that are essential to the longterm health of the organization (p. 4). They are also referred to as middle management positions. Sonoco Products begins their

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39 succession process by identifying lower-level empl oyees such as plant managers, who exhibit leadership potential. Managers farther up the le adership chain meet to discuss each potential successors strengths and weaknesses. A matrix is used by some companies to identify the strengths and weaknesses of i ndividuals in linchpin positions. This seems to be a more systematic approach for building what Conger an d Fulmer refer to as pipeline positions. Once identified, high performers are provided opportu nities to demonstrate their talent by being promoted to more challenging positions. Make it transparent, the th ird rule proposed by Conger and Fulmer (2003), means that the succession planning system should be letting peop le know just what they should do to reach a certain rung on the succession ladder. They assert that this eliminates secrecy found in many succession planning systems. Thus, succession plans are based on contract and performance, eliminating the perceptions of promotions based on how loyal a person is or how many years they have been with the company. Keeping perso nnel files and resumes up to date and accurate is the responsibility of the employee in a few of the co mpanies studied by Conger and Fulmer and is one attribute of a transparent planning system. Other avenues for transparency include web based succession tools with personnel inform ation and job information available using 1click of an icon on the desktop. For example, hum an resource managers have instant access to an employees current level of employment, pers onnel history, potentia l level, training and development plans. The HR manager can then lo ok at vacant positions, query skills needed for specific positions and ascertain skills that are ne eded before an indivi dual can advance to a desired position. Another example of transpar ency can be found at Dow Chemical where employees can nominate themselves for vacant positions using an online system. A job sequence map is also readily available, enabling a candidate to visualize the sequence of jobs he or she

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40 must expect in order to reach a particular function or line of bus iness. Posting a salary schedule for each level of advancement is also the prac tice of some of the companies researched. Measuring progress regularly is designated by Conger and Fulmer (2003) as the fourth rule of succession management. They asserted th at a successful succession management plan is always moving forward, placing the right person into the right job at the right time. Companies who continually monitor their progress know whic h employees are being groomed for high level jobs. It is the responsibility of upper level management to keep them from becoming bored in their current placement. The researchers pointed out that a succession management plan is considered a success if a corporatio ns internal hire rate is 75-80% They state that, An outside hire for a role that is critical at either the functional or corporate level is considered a failure in the internal development process (p. 7). Using a matrix, managers for Eli Lilly are able to look at current positions and determine three potential successors; examine diversity; identify gaps to determine which training, development or recruitm ent activities might be needed; and scrutinize turnover rates. At Bank of America the CEO hol ds meetings each summer to review the wellbeing of the organization and the talent pipe line. Looking at potentia l leadership for his organization, he spends time examining the st rengths and weaknesses of those in line for promotion with his top 24 executives and commitme nts are made to devel op talents of potential leaders. Quarterly reviews are held to determin e whether or not progress is being made toward fulfilling commitments. Rule five of a succession management plan should be to keep it flexible (Conger & Fulmer, 2003). The organizations Co nger and Fulmer studied followed the Japanese notion of Kaizen or continuous improvement in both processes and content. They refine and adjust their system s on the basis of feedback from line executives and participants, monitor developments in technology, and learn from other leading organizations. Indeed, despite their success, none of the best-pract ice companies in our

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41 study expects its succession management system to operate without modification for more than a year. (p. 9) These authors warned that continuous improvement efforts must be made to succession management systems to keep them up to date, reli able and able to respond to the organizations needs. They stressed that leadership talent has a direct effect on the performance of any organization and, based on that belie f, attracting and retaining tale nted employees is imperative. They believe that there is a strong, moral obligati on on the part of managers at all levels of the corporation hierarchy to honestly assess performance and produc tivity of employees; to take action on low-performers, who may be blocking the path of thos e with high-potential; and to develop high-potential, talented people. Succession Planning for the Principalship One of the greatest gifts we can give back to our profession is to encourage those with promise to become school leaders. Securing e ffective candidates to take over when were gone will guarantee a successful future for st udents, schools, the nation, and the world. (Lovely, 2004, p. 18) Principal Preparation Programs In 1990, the National Governors Association criticized the preparation programs for principals and superintendent s in the United States (Bre deson, 1996). Among serious flaws delineated regarding preparation programs, critic s agreed that the manner in which school administrators are recruited and selected is flaw ed, suggesting that there is little understanding of the importance of high quality l eadership to school districts (Stout, 1989; National Policy Board for Educational Administration, 1993; The Natio nal Commission on Excellence in Educational Administration, 1993; Murphy, 1992). In a survey of California school superintendents, conducted by Association of California School Ad ministrators (2000), only 7% believed that principal preparation programs were excellent, while one-fourth of those surveyed felt that principal preparation programs were inadequate. Muse and Thomas (1991) reported that, in spite

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42 of the research on the importance of effective pr incipals, training and preparation programs for the principalship are inadequate and irrelevant to the work requ ired of a school principal. A review of educational reform efforts conduc ted by Bredeson (1996) found that educational leadership programs in the previous decade placed little attention on recr uitment, selection and standards. A task important for school districts that wish to eff ect positive change in their organizations is to promote professional deve lopment among their principals. Miklos (1988) pointed out candidates for school administration programs enter through self-selection, which limits the pool of qualified candidates and aff ects the demographic prof ile of potential school administrators. To counteract such shifts in de mographics, Milstein (19 92) reported that local school districts were be coming more involved in the sponsorsh ip of administrative candidates through the Danforth Program for the Preparation of School Principals. In a study conducted by Daresh and Male (2000), principals in the Un ited States and Great Britain reported feeli ng unprepared for the complex work and major decisions they faced during their first year in the position. Conclusions reached by Daresh a nd Male (2000) indicate that aspiring principals are not adequa tely prepared either through tr aining or previous experience. However, data collected by The Schools and Staffi ng Survey indicate that 39% of principals took part in a program specifically fo r aspiring principals (National Ce nter for Education Statistics, 1997). Recent programs in the United States formed to meet the need for adequate training and preparation for school administra tors include New Leaders for New Schools, the Knowledge Is Power Program (KIPP), and the Broad Residenc y in Urban Education (Thomas B. Fordham Institute & The Broad Foundation, 2003).

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43 To meet the need for adequate training for e ffective school leadership, the Interstate School Leaders Licensure Consortium (ISLLC) was formed, bringing together univ ersities, states and professional educational associatio ns. As a result, a set of competency-based content standards for school administrators was developed based on a modern view of the role of principal. The goal of the ISLLC standards and indicators is to fortify educational le adership programs by: providing increased accountability for training programs, improving the quality of training programs, providing models to better prepar e and assess candidates for certification and licensure (Caldwell, Calnin, & Cahill, 2002). Senge (1990) wrote: In essen ce, the leaders task is desi gning the learning processes whereby people throughout the orga nization can deal productively wi th the critical issues they face, and develop their mastery in the learning disciplines (p. 345). He further explained that todays leaders may not be proficient in mentor ing, coaching or helping others learn, having been chosen because of other skills. Aspin (1996) based his suggestions for princi pal preparation competencies on those of Wollongong and Monash Universities in Australia. He advocated the fo llowing: depth of analytical skills; ability to synthesize issues; we ll developed and clear powers of communication; breadth of knowledge; flexibility and adaptability; skillful, adept and sensitive in inter-personal relations (p. 127). Additi onal requirements for effective prin cipals outlined by Aspin included requirements that principals: Have coherent, extensive and deep lear ning in one or more areas of knowledge, intelligence and understanding Can reason logically, coherently and consequentially Can distinguish fact from opinion, objectiv e from subjective argument, and base decisions on reasoning, appropriate da ta and information, and objectively justifiable judgments of valu e and policy to promote the public welfare rather than sectional interest

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44 Appreciate other cultu res and customs and can understand at least one culture other than their own (and as fluently in their own language as possible) Can communicate clearly & fluently in writing Are orally articulate and confident Are computer literate Are statistically literate Are financially literate Have good people and people management skills Are committed to, value and expect truthf ulness, accuracy, honesty and the highest possible ethical standards in all matte rs of professional and personal life Have learned to accept responsibilities & obl igations as well as to assert rights Have a desire and the skills for contin ued intellectual, prof essional and personal development, and creativity and imagination in problem-solving. Are committed to collaboration rather than confrontation as a means of getting issues resolved, but know when to be fi rm and how to take a principled stand Are committed to open-ness, public accountab ility and to the sharing of knowledge and information. Are able to follow through and comple te on policies, plans and programs. Are able to produce a budget and be a sound and prudent manager of finance. Know how to delegate authority and sh are power, putting a premium on teamwork and the building of teams. Are competent at monitoring, evaluati on and assessment (both formative and summative). Know how to manage dive rsity in the workplace Are ready for and able to respond rapidly to change in both th e external and the internal environment. (pp. 127-128) Bredeson (1996) confirmed that state agencies set standards for aspiring and current school administrators. Guidelines developed by the Commission on Teacher Credentialing (1992) for

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45 California suggested that assessment of know ledge, skills and competencies of school administrators should 1) include formative and summative measures; 2) be tied directly to a knowledge base defined for the preparation of school administrators; 3) use multiple and rigorous measures of performance; 4) provide assessments at multiple points during preparation and credentialing; and 5) include specialty assessments in such areas as curriculum and in struction, personnel management, business management, or pupil personnel. (p. 154) Sparkman and Campbell (1994) maintained that improving leadership in schools requires changes at the state level in certification, standards and program requirements, linked to recruitment policies and professional development. Additional criticism regarding the existence of qualified and competent educational leaders is hypothesize d by Bredeson (1996): Limited empirical evidence exists to help employers, local sc hool districts, differentiate between well prepared administrators versus marginally trained ca ndidates. Additionally, the lack of resources and connections with universitybased programs, often times unsystematic recruitment and selection proce sses, and the general bias toward local candidates, further hinder accomplishment of the state goal of placing the brightest and most capable educational l eaders in schools. (p. 271) Principal Recruitment A definition of recruitment from the priv ate sector was developed by Barber (1998): Recruitment includes those practices and activit ies carried on by the organization with the primary purpose of identifying and attracting potential employees (p. 44). Murphy (1992) believed that most school administrators are se lf-selected because of a lack of principal recruitment programs. Goodlad (2004) stressed that school districts need to put forth continuous effort to identify employees with leadership potential (p. 306). The quality of the profession can be strengthened and maintained if incumben t principals encourage and promote prospective

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46 principals through mentoring a nd by educating the school comm unity about leadership and managerial demands placed on them (E ducation Research Service, 2000). Although the majority of principa ls are white males, statistics from Educational Research Service (1998) indicated that th e percentage of minority princi pals in public schools increased from 13% to 16% between 1987-88 and 1993-94 (10% Black/non-Hispanic; 4.1% Hispanic; 0.8% American Indian/Alaska Native; 0.8% As ian/Pacific Islander). Between 1987-88 and 199394, the percentage of female principals rose from 24.6% to 34.5% and the percentage of new female principals rose from 41.2% to 48.1% between 1987-88 and 1993-94 (National Center for Educational Statisti cs, 1997). A 1998 study by Doud and Ke ller found that women occupied about 42% of elementary principal positions, up 20% from the previous decade. To achieve greater diversity, it is imperati ve that districts develop system s to identify, gr oom and recruit potential leaders among women and minorities (Crow, Mecklo witz, & Weekes, 1992; Doud & Keller, 1998), instead of waiting for individuals to self-select (Crow, Mecklowitz, & Weekes, 1992). Combinations of personnel, institutional and co ntextual issues were identified by Yerkes and Guaglianone (1998) as fact ors confounding the recruitment of high school principals. Personnel concerns included a large number of re tirements, people leaving the principalship for other employment opportunities and the need for qualified, dedicat ed and intelligent professionals, who possess the needed technology e xpertise. Institutional concerns were related to changing demands placed on principals in th e age of accountability. Contextual concerns included how the public views education. There is little evidence regarding the sele ction and recruitment processes of becoming school administrators, either from researcher s or employers (Miklos, 1988; Pounder & Young,

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47 1996). Pounder and Young asserted that there must be consistency between expectations for those in educational leadership positions and the recruitment and selection criteria, which will cause an increase in reliability and validity of the selection process. In an era of projected principal shortages, Pounder ( 1990, 1994) argued that recr uiting procedures may be more crucial in securing quality administrators than sele ction procedures. Pounder and Young (1996) warned that a pool of applicants is necessary pr ior to processing and evaluating prospective administrators. They cautioned that the applicant pool must contain quality applicants as well as those meeting the ethnic and ge nder diversity needed. They st ressed the importance of the recruitment process to attract as well as sele ct administrators, cautioni ng public school districts to attend to the legal implications of having a diverse administrative workforce. Potential sources of applicants must be identified prior to the search process (Pounder & Young, 1996). Sources suggested incl uded referrals from district employees; promoting from within the organization; use of university placement offices, pr ofessional organizations, special interest groups and community organizations fo r referrals; use of firms which specialize in recruiting and screening for administrative positions. Three approaches to app licant recruitment identified by Pounder and Young (1996) included economic incentives, psychological or so cial reinforcements found in various work climates, and rational perspectives. Recruitmen t efforts focused on economic incentives stress salary, vacation, retirement a nd insurance benefits. The psycho-social needs approach emphasized education philosophy, management styl e and school climate. The rational approach included actual work of a school administrator. This approach included personal contact throughout the process, providing the applicant with timely information regarding site-based management, fiscal responsibility, personne l functions, and supervisory capacity.

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48 Lovely (2004) advocated that a district make administrative recruitm ent a priority with a structured career ladder in place. Having a grow-your-own program promoting internal applicants would be an advantage to a school dist rict if applicants were identified and mentored by the best people in the district She stated, Once a districts scouts have identified potential trainees with the relational know-how to surviv e the principalship, its imperative to properly court and groom these candidates (p. 23). She advocated designing entr y-level positions that teacher leaders could work in which would a llow them to experience administrative roles through scaffolded tasks and enculturation (p. 23). A model grow-your-own program was develope d in Capistrano Unified School District, located in rapidly expanding Orange County, California (Lovely, 2004). The Teaching Assistant Principal (TAP) model program allows teacher leaders opportunities to examine and experience administrative responsibilities through specifically designed activities, which focus on the strengths and talents of each individual. Once teach er leaders have been recruited by principals for the TAP program, they are assigned for a year as full time classroom teachers, but also assume supplemental duties such as, curr iculum development, committee leadership, coordination of intervention programs, pare nt and community group liaison, maintaining schedules, textbook inventory a nd distribution, budget oversight student discipline, and supervision of personnel (p. 24). There is a two-tiered structure to the TA P program (Lovely, 2004). TAP I is for those considering administrative careers or who have entered university educational leadership programs; they receive an annual stipend of $1,000 and remain part of the teaching faculty. TAP II is for those who have masters degrees and administrative cr edentials; they receive $2,000 as an annual stipend beyond their teaching salary, ar e part of the districts management team,

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49 evaluate teaching staff and are eligible for assi stant principal positions. TAPs receive continual feedback throughout the process from pr incipals and district personnel. The TAP program began in 1965 and is eviden ce of a historically successful program designed to meet the needs of a rapidly growing school district (Lovely, 2004) Of 50 principals in the district, half of them began their ca reers in the TAP program. Although searches for candidates resulted in hiring some principals fr om outside, Capistrano found that applicants hired from within were better able to meet the de mands of school and distri ct administration. TAPs were assigned to every elementary, middle and high school in the Capist rano school district. Another entry level training program described by Lovely (2004) is Teachers on Special Assignment (TOSA). Different from teaching assistant principals, TOSAs oversee special programs but do not have regular classroom assi gnments, although they may teach part time. Assignments provided to TOSAs in clude: literacy coach, math and science specialist, department chair, curriculum leader, technology coordinator, intervention coordinator. Principals at the school site determined the specific responsibil ities the TOSA should assume. These expanded roles allowed the perspective principal candidate to develop leadership skills and expertise in planning, scheduling, analyzing, bud geting and managing. Lovely s uggested that districts be creative in funding TOSAs, exerci sing such options as part of the FTE staffing ratio, creative master scheduling, use of site funds, outside gr ants and endowments from business partners. Lovely (2004) asserted that partnerships, aligning preparation programs between a university and a school district or consortium of districts, need to be established. New Leaders for New Schools is one such i nnovative program begun at Harvard University and now in place in New York and Chicago (Thomas B. For dham Institute & The Broad Foundation, 2003; Education Writers Association, 2001), the District of Columbia, Memphis, Baltimore, and

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50 Oakland (Gewertz, 2005). Modeled after Teach fo r America, aspiring principals complete a residency program in urban schools, where they work under the mentorship of experienced principals. Delta State University has a similar pr ogram to prepare principals for rural regions of the Mississippi Delta. Serving as interns, studen ts earn salaries while working in a sponsoring school district under mentor principals (Education Writers Association, 2001). Unlike New Leaders Projects previously established, the Baltimore arrangement is a partnership between a non-profit organization and the st ate of Maryland and is part of a $10 million grant between New Leaders and the Bill & Melinda Gates Foundation. It is designed to train 40 principals in the next three years in a di strict where one-half of principals are reaching retirement age (Education Wr iters Association, 2001). Principal Selection Schmitt and Schechtman (1990) found that there is a significant lack of research regarding selection of educational employees and an even larg er dearth of studies on the selection of school administrators. Importance is placed on the select ion interview as the most widely used method of selection in business, i ndustry, organizational psychology and management. Ulrich and Trumbo (1965) found that career motivation and so ciability of candidates were the only traits that could be measured with significant validi ty through the selection interview process; the predictive validity of such interviews was weak. More recently, Arvey and Campion (1982) identi fied factors which in fluence selection of candidates. They include characteristics of candi dates and interviewers, as well as situational factors. Age, gender, race, sex, verbal a nd non verbal behavior, dress and psychological characteristics have an influen ce on both the candidate and the interviewer. How an interviewer perceives the interviewee and the amount of e xperience and training that the interviewer

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51 possesses affect the outcome of the interview. The physical surr oundings, as well as the political, legal and emotional climate are incl uded in situational factors. From a review of current literature Pounder and Young (1996) made some suggestions for selection interviews: Valid selection decisions are mo re likely if interviewers have a clear understanding of job descriptions. Raters and interviewers need a common unde rstanding of job expectation to improve reliability and validity of selection decisions. Systematic training regarding job performan ce expectations, the selection system and perception bias is needed for inte rviewers to make valid decisions. Increasing the collection of job -relevant information reduces bi ases based on age, race, sex and attractiveness. Being consistent in the use of job-relevant a pplication questions will enhance the reliability and validity of decisions. Standardized interview guides increase th e reliability and validity of decisions. Asking candidates to describe how they would act in certain typical situations increases the predictive validity. Time must be given to screeners and intervie wers to attain relevant information on all candidates. Individual bias on the part of interviewers can be reduced if there are multiple trained raters. Empirical research on selection of school administrators is extremely scarce and absent a systematic process (Schmitt & Schechtman, 1990). Consequently typical administrator selection procedures are often followed: documentation of degrees, certification, academic transcripts, prior experience in leadership a nd service capacities with in or outside of the realm of education, recommendations, internships or other relevant experience. Bryant ( 1978) concluded that reference letters from previous employers ar e the most important credential when hiring

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52 experienced administrators. Bryant (1978), Ba ltzell and Dentler (1983) and Schmitt and Cohen (1990) agreed that the interview is the most highly regarded tool for screening administrators. Improved principal selection procedures suggested by Pounder and Young (1996) include: observation of the candidate on the job using performance evaluation tools; video tapes and simulations activities; role plays; portfolios containing work samples, parent newsletters, performance appraisals and other documentation of work related activities. They advised that open discussions be held by selection co mmittees to reach a common understanding of characteristics, attitudes, and behaviors that are expected or needed for a particular position or organizational site, beyond those generic expectati ons (p. 302). They stressed that it is key for members of the selection committee to reach consensus regarding the expectations of the position and the appropriate manner in which to evaluate the candidate. Selection techniques used must have predictive validity and be uni formly and consistently used to assess all candidates (p. 303). Pounder a nd Young contended that valid and reliable assessment of candidates could be reached using simulations and observations of real work as opposed to typical selection procedures such as pape r and pencil screenings and interviews. Although most final decisions regarding a principal candidate are made by the superintendent in conjunction wi th the personnel director or assi stant superintende nt (Baltzell & Dentler, 1983), parents, community members, school board members, teachers and staff members and human resource personnel may also have input on the fi nal selection (Wise, Darling-Hammond, & Berry, 1987; Young & Ryers on, 1989). Culture, politics and economics often play an important role, symbolically, in th e selection of principals by the superintendent, which may make the merits of a particular candidate less significant in the ultimate decision in the selection of a principal (B altzell & Dentle r, 1983).

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53 Socialization Processes A review of the literatu re indicates two types of socialization: organizational socialization and professional socialization. Crow and Ma tthews (1998) and Matthews and Crow (2003) further concluded that socializa tion is a reciprocal process of professional learning and takes place between the organization and the individual. Development of school based administrators is found in professional social ization studies. Noted studies on principal professional socialization were conducted by Duke, Isaacs on, Sagor, and Schmuck (1984) and Greenfield (1985a, 1985b). These studies examined the first fe w years of a principals career. More recent studies were conducted by Leithwood, Begley, an d Cousins (1992), who defined socialization as . those processes by which an individual selectively acquires the knowledge, skills and dispositions needed to perform effectively the role of school-leader ( p. 148). The Leithwood et al. studies focused on the socializ ation experiences of pre-service and serving principals. Hart (1993) pointed out studies such as those by Le ithwood and his colleague s reveal means through which newcomers become functioni ng school administrators (p. 20) She further indicated that there is a major gap in knowledge about the socialization process and the advantages provided by leader succession experiences. In co ntrast, McPherson (1984) asserted that little can be learned from studies of anticipatory, pr e-service socialization because organizational and professional socialization happen in concert wi th one another. Features of pr ofessional socialization included duration of socializati on, mechanics of social ization, relationship between realities and expectations of the principalship (Duke et al., 1984); formal and informal preparation (Duke et al., 1984; Leithwood et al., 1992); and perspective, content an d context (Crow & Matthews, 1998). Included in socialization processes ar e formal education programs and less formal programs such as working with a mentor, as we ll as informal leadership experienced while on the job (Leithwood et al., 1992). Content also in cludes technical job skills, adjustment to the

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54 work environment and learning and internalizing the values of the organization (Crow & Matthews, 1998). Crow and Matthews established that socialization take s place within certain contexts. They stressed that, in the case of sc hool principals, socializ ation contexts include districts, schools, work groups and universities. They added that subcultures within schools also influence the socialization of the principal. Thes e subcultures include pare nt, student and teacher subcultures. Paying attention to the influence of these contexts and subgroups is crucial for the novice administrator in developing political skills. Studies conducted by Duke, et al. (1984) indicat ed that principals received little formal socialization from their district offices, in what the researchers nicknamed sink or swim socialization. Participants in the Duke study also reported that although they received written job descriptions they were of little assistance in defining districts expectations. Informal socialization processes provided th e majority of information regard ing district and school norms and expectations from a variety of sources, primar ily other principals within the school district. Three stages of socialization have been identified (Leithwood et al., 1992; Hart, 1993; Crow & Matthews, 1998). Stages in the socializat ion process that differ based on the needs of people include initiation, transiti on and incorporation. People at th e initiation stage show concern about the perception of others re garding their adequacy; those at the transition stag e have a sense of what is required for performing a job; those at the incorporation stage compare their previous performance to their current ab ilities as an effective school leader (Leithw ood et al., 1992). Although terminology varies, Crow and Matthews ( 1998) label the three stages as anticipatory, encounter and adjustment. At the anticipatory st age the individual begins to assimilate the groups values and becomes acquainte d with responsibilities and role expectations in regard to the position and organization. The encounter stage takes place as the individual assumes the job

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55 and reality sets in. Problems often occur at this st age as the newcomer tries to reconcile his or her perceptions of what the job would involve with what actually happens It is at this point, Crow and Matthews assert, that ment ors provide an extremely useful function in helping the new administrator make meaning, cognitivel y, of situations as they arise. Studies conducted by Leithwood et al. (1992) confirmed differing patterns of so cialization. Moderately helpful levels of socialization were reported by most aspiri ng and practicing school leaders; few experienced a negative level of socialization; and 19% reported high level of socialization. District support in socialization activities was perceived as very strong. This differs from the Duke (1984) study which found form al socialization e xperiences limited. Some consideration has been given to the role gender plays in the socialization process. Crow and Matthews (1998) believed that cons ideration must be given to the masculine socialization process of competition and achieve ment. They also promote attention to the feminine model of socialization which includes relationship building and caring. Individuals take an active role in their own socialization due to their motivation and other factors such as experience, age, gender and personality char acteristics. The Leith wood et al. (1992) study reported that, although males and females reported similar socialization patterns, men perceived having encouragement early on to consider thei r role as school leaders and females had the perception of having frequent le adership opportunities presented to them. Length of time in school leadership positions impact ed the perceptions of school l eaders regarding the helpfulness of socialization experiences. Those in earlier stages of socialization did not perceive the processes as helpful as those in the later stages These researchers concluded that, There is a predictable relationship between school-leaders images of thei r role and the patterns of socialization which they experien ce. Increasingly, helpful patterns are associated with a tendency

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56 to adopt images of the role, c onsistent with effective forms of school-leader problem-solving (p. 159). Data from studies by Leithwood et al. (1992) suggested the following: in preparing for a role as school-leader, people indicate basing thei r decisions on the need for a challenge and a thirst for knowledge; socializa tion patterns most valued are embedded in school life and having broad based on-the-job leadersh ip experiences; preparation programs are perceived on a continuum of being extremely helpful to being extremely unhelpful, based on the quality of the program. Additionally, the researchers suggested that those entering school administration roles rarely leave for careers outside of education; in-school roles are the chosen career paths to the principalship; a noteworthy minority of principa ls and aspiring principals, who held either district positions or positions out side of education, reported expe riencing socialization processes more helpful in preparing them for instructiona l leadership; and using career paths to prepare people for school leadership positions are viable selection criteria. Improving socialization experiences of aspiring and practicing principals was considered in several studies. To improve the socialization e xperiences of aspiring a nd practicing principals, Leithwood et al. (1992) suggested th at more time be devoted to tr aining programs used to deliver technical knowledge and skills requ ired by administrators. Principals in the Duke et al. (1984) study asserted that formal university course work played less importance in their preparation than did informal factors. The study conduc ted by Leithwood and his colleagues (1992) indicated that school-leaders lack confidence in managerial tasks. They stressed that programs delivered in a form consistent with good principles of adult e ducation (p. 164) might improve socialization experiences. Papke ( 1989) contended that leadership activities which are part of onthe-job experiences are perceived as the most bene ficial socialization activities. He proposed that

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57 principals and vice-principals should negotiate job responsibili ties to insure that aspiring principals are subjected to an array of res ponsibilities beyond simple maintenance and routine duties. Technical and cultural le arning are major content areas necessary for socialization to be successful. Crow and Matthews (19 98) advocated the use of mentor ing to facilitate professional learning in these areas for aspiring administrators. Greenfield (1985b) identified two primary object ives to professional socialization: moral socialization and technical socialization. Hart (1993) differentiated between these: Moral socialization is concerned with values, norms and attitudes attendant to the career group. Technical socialization focuses on knowledge, skills and techniques needed to perform adequately as a school administrator (p. 19). Leithwood et al. (1992) confirmed that formal evaluation criteria for principals should include leadership-development of their assistan t principals. They asse rted that curriculum consultant roles held by prospective principa ls provide for the development of curriculummanagement skills; reliance on expertise rather th an position; refinement of interpersonal and communication skills; developm ent of collaboration and problem-solving processes; and acquirement of a full understanding of district-school relationships. They suggest that districts should systematically select people who have ex pressed an interest in becoming principals to chair district level committees. A study conduc ted by Abernathy (2000) found that the school principal played a significant role in the competency development of assistant principals. Offering leadership opportunities to those who exhibit leadership capabilities, but have not yet considered administrative positions might build confidence and en able them to make judgments about their suitability for and interest in, administ ration (Leithwood et al., 1992, p. 163). Hart (1993) suggested that socialization pr ocesses for new principals minimize negative

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58 surprises and suggested that they should be ta ught observation skills and organizational analysis. She also concluded that peer interaction was nece ssary to allow the principal candidates to make sense of emerging frameworks. Crow and Matthews (1998) argued that, althoug h sources of socialization for aspiring administrators comes from teachers, district ad ministrators and principals, the most significant source of socialization of assi stant principals comes from ot her school administrators through their support, task assignments and role modeling. Veteran teachers help define an image of the assistant principal as one who maintains the di scipline and order of th e school. When carrying out instructional responsibilities, the assistant principal may more closely align with teachers. Additionally, assessments and expectations by dist rict administrators influence the advancement of assistant principals. Studies of School District Succession Plans Numerous districts throughout the United Stat es and other nations have begun programs to address the issue of principal shortages th rough succession planning. Such planning takes the form of programs to prepare, recruit and tr ain aspiring principals. Goodlad (2004) recommended that the first priority of new superintendents should be selectin g the most promising individuals for principals and developing leadership and management abilities in them. He further asserted, There should be, waiting in the wings, a su fficient number of qualified persons to take over each principalship as it is vacated. The search fo r leadership in a district should be continuous (p. 277). He cautioned that shortsighted policies usually limit pros pective candidates to current district employees. To determine the extent of th e current principal shortage s ituation a preliminary study was conducted in 1998 by Educational Research Service (ERS). They developed a list of survey questions designed to address thr ee issues: the difficulty that supe rintendents may have in filling

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59 school-based administrator positions and what they perceive to be barrie rs to qualified people applying for vacancies; women and minority candi dates for school administrator positions; and the existence of programs in school districts to develop aspiring principals and also provide new principals with formal induction experiences Using a random sample of districts with enrollments of 300 or more pupils and at least one vacant principal position during the previous year purchased from Market Data Retrieval, interviews were conducted by Gordon S. Black Corporation telephone research cen ter in Rochester, NY. The survey was presented as a Harris Poll in order to encourage cooperation among those called. Interviews were conducted in January of 1998. The script was controlled by a Computer Assisted Telephone Interview script and a Comput er Aided Sampling System was put in place to insure a random sample. Of those persons cont acted, 50% completed the survey, 45% were not available at the time of the interview, and 5% refused the interview. Four hundred and three (403) interviews took pl ace with a sampling pr ecision of +/-5% for those items presented to the whole sample. Subgroupings included rural, suburban and urban as well as elementary, junior high/middle, and hi gh school levels. Each group included fewer cases than the study group as a whole, which increase d the confidence limits to +/-9% for each group. Educational Research Service ( 1998) cautioned that, . differences in responses from the subgroups should be considered stat istically significant on ly if these differences are 9 percentage points or greater (p. 7). Sta ting that their approach took into account a sampling error possibility, they further caution that those making inferences about a population from the corresponding sample percentages should consider the possibility of bi as between respondents and nonrespondents to the survey.

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60 The study by Educational Research Service ( 1998) drew conclusions regarding principal shortages, the quality of principal preparat ion programs, barriers that discourage potential principal applicants, women and minorities in school management positions and formal training programs for principals. This su rvey found that while half the districts surveyed reported a shortage of qualified candidates fo r the principalship, there did not seem to be dissatisfaction in the candidates hired to fill vacancies. One thir d of the superintendents rated the educational preparation of candidates as exce llent, while nearly all felt that candidates experienced adequate preparation. Factors that discourage potential principals from seeking administrative positions included salaries compared to job respons ibilities, job stress and time de mands. The barrier ranked at the top by all groups surveyed was salary/compensati on being not in line w ith job responsibilities, with 60% of those surveyed indicating that it was a problem. Most di stricts reported an increasing number of female applicants for management positions. However, attraction of minority applicants was reported to be a probl em, especially among urban school districts. Formal training programs for new principals were in place in most di stricts, although aspiring principals programs existed in very few districts. A study similar to that of Educational Res earch Service was conducted by Orange County Public Schools, Florida in 2003. Information was ga thered from eight Flor ida school districts and Dallas Independent School District. The following que stions were asked: What is your recruitment strategy for attracting school-based administrators? What solutions are you pursuing for upcomi ng school-based administrator shortages? How much does the district spend on sc hool-based administrator recruitment? Does your district have a Foundation? Do you work with that F oundation in terms of recruitment for school-based admi nistrators? What financial a ssistance do they provide for these efforts? How much?

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61 What is the budgetary amount that is spent a nnually on leadership development training? What is your grow your own district recruitment approach for school-based administrators? Approximately how many new school-based administrators do you hire each year? What alternative certif ication program is available for school-based administrators? Do you have a formal program for preparing new principals? If yes, what is the length of the program? How many individual comp lete the program annually? (pp. 63-72) The survey found that local training program s for those interested in becoming school leaders exist in three districts; three districts use the internet to advertise positions; four districts work with local colleges and universities that offer educati onal leadership programs; and three districts indicated that th ey did nothing to recruit school-based administrators. When asked what they were doing to prep are for upcoming school-based administrator shortages, 2 of 9 districts surv eyed anticipated no impending shor tages. Seven districts employed such strategies as a principals transition pl an, stipends for teacher leaders to pay for masters/doctoral degrees for those seeking admi nistrative certification, a Lead Teacher Program for potential leaders, informational sessions, ca reer exploration day for those interested in pursuing school-based administrator positions an d advertising options to encourage retired administrators to return to principal positions. Recruitment budgets varied across the seven di stricts surveyed from as high as $15,000 in Dallas ISD to a low figure of $7000 in another district Five districts claimed to spend little or no money on recruiting of school-based administra tors. And although 6 of the 9 districts had educational foundations which contributed to teacher recruitment, none of the foundations supported administrative recruitment efforts.

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62 When asked about the amount of money sp ent on leadership development training, Broward County had about $260,000 to spend, down from $400,000 the previous year. Dallas ISD spent approximately $168,000; and the remaining six districts were unabl e to provide data. When questioned whether districts had a g row your own recruitment approach for school-based administrators, seven districts had some type of progr am to recruit from within the district; Manatee County had nothing in plac e and Polk County did not respond. Specific programs include the Teacher Leader Program in Broward County and a T eacher to AP Program in Palm Beach County. Dallas ISD provided the most comprehensive ex planation of their recruitment approach. Current assi stant principals and deans aspiri ng to become principals were invited to participate in the Principal L eadership Development Academy which provided workshops related to the operation and management of the district, inst ructional programs, and state and district policies and procedures. A Ca mpus Leadership Academy offers workshops for teachers, counselors and central office personnel who aspired to be assistant principals or deans. Evening workshops were focused on school-based l eadership. To participate in either program, candidates must go through a sele ction process involving intervie ws, writing assignments and written exams. Completion of the academy allowed personnel to join a pool for the next hiring period. Once they became principals, they partic ipated in the Professi onal Growth Academy, which trained them to become more effective l eaders, positively impactin g student achievement. Mandated by the state, all first year administrato rs were required to pa rticipate in an induction program for a year, which provide d training related to management and instructional leadership. In response to the question, Approximately how many new school-based administrators do you hire each year? the responses were as fo llows: Brevard--175 in three years; Broward since 2002-2003, 90 assistant principals and 42 principals; Hillsborough in the past 3.5

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63 years; Manatee a year; Os ceola in 03-04; Palm Beach school based since 2000; 2003-04 school-based; Polk; Seminole per year over past 4 years. Dallas ISD principals, 10 deans of instruc tion and 39 assistant principals. Neither the Dallas ISD nor the eight Florida di stricts surveyed had alternative certification programs for school-based administrators. However, formal preparation programs for principals were in place in seven Florida Counties survey ed. Polk County did not respond to the survey. Dallas ISD had a one year state mandated inducti on program for first year administrators. Length of the preparation programs ranged from one to three years. Brevard County indicated that 13-18 individuals completed their prog ram per year; Dallas ISD had 85-100 participants in the last two years; Hillsborough County had 100 a ssistant principals with princi pal certification ready to be hired as principals. Osceola C ounty graduated approximately 10 i ndividuals per year from their Preparing New Principals Program. Seminole C ounty reported about 13-15 individuals in their principal preparation program each year. Summary of Related Research Review of literature related to school eff ectiveness and accountability underscores the importance of placing quality leaders in school principal positions (Kelly & Peterson, 2002). There is a wide body of literatu re outlining leadership standard s for school principals (Doud & Keller, 1998; Deal & Peterson, 1994; Dyer 2001; Hallinger, Leithwood & Murphy, 1993; National Association of Elementary School Pr incipals, 2002; Rallis & Goldring, 2000; Florida Department of Education, 2005; Aspin, 1996; Counc il of Chief State School Officers, 1996). The U. S. Department of Educational Statistics forecasts a shortage of school principals through the first decade of the twenty-first century (Educatio nal Research Service, 1999; Institute for Educational Lead ership, 2000). Additional studies support this conclusion (Doud & Keller, 1998; National Center for Education Statistics, 1997; RAND Education, 2004). A

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64 shortage of teachers impacts th e supply of principals (Le ithwood, Bagley & Cousins, 1992; Ingersoll, 2001; North Carolina Department of Public Instruction, 2002; North Central Regional Educational Laboratory, 1999; Jimerson, 2003). For decades the business world and milita ry have understood the need of succession planning and management (Tucke r & Codding, 2002). However, little recent literature outlining succession planning in educational institutions exists (Normore, 2001). Succession planning for principal replacement includes principal prepar ation programs, principal recruitment and selection. Also included are gr ow your own and entry level training programs, as well as socialization processes. School districts throughout the United States and Canada are placing emphasis on succession planning to meet the dema nds of an impending principal shortage and the need for qualified principals. Chapter 3 explains the methodology used to inve stigate principal shortages. Methods used to investigate succession planning policies and im plications for principal replacement in the 67 Florida school districts are described.

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65 CHAPTER 3 METHODOLOGY Introduction The purpose of this study was to explore th e shortage of well-qualified principals and succession planning policies developed by the 67 Florida school districts. This chapter presents the research hypotheses that guide d this study, the research sample the survey instrument that was utilized to collect the quantitative data, th e statistical analyses applied, and finally a description of qualitative data collection through the use of a standardized open-ended interview protocol. This was a mixed study using quantitative a nd qualitative research methods. Sogunro (2001) believed that mixing both methods in conc ert with one another play complementary roles in the research process and out come. Quantitative research is defined by Creswell (1994) as an inquiry into a social or huma n problem, based on testing a theory composed of variables, measured with numbers, and analyzed with statis tical procedures, in order to determine whether the predictive generalizations of the theory hold true (p. 1). He de scribed qualitative research as an inquiry process of understa nding a social or human problem based on building a complex, holistic picture, formed with words reporting de tailed views of informants, and conducted in a natural setting (p. 2). Quantitative research ha s also been described as empirical (Punch, 1998), using data in the form of numbers (Punch, 1998; Gay & Airasian, 2000) and collecting data to explain, predict and/ or control a particular event (Gay & Airasian, 2000). Qualitative research, on the other hand, is described as not usi ng numbers (Punch, 1998; Gall, Gall & Borg, 1999), naturalistic (Gay & Airasian, 2000), verbal and subjective (Ga ll, Gall & Borg, 1999). Creswell (1994) concluded that combini ng methods provides advantages to the researcher by allowing

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66 increased understanding of a concept being stud ied. Sogunro (2001) asserted that a combination of research methods results in st ronger validity and reliability. Research Questions and General Research Hypotheses Question 1: Is there a relationship between a shortage of well-qu alified candidates for principal vacancies and the size of the school di strict? To address this question the following hypothesis was generated: Hypothesis 1: A relationship exis ts between a shortage of wellqualified candidates for principal vacancies and the size of the school district (i.e., when the size of the school district increases so does the shortage of well-qualified candidates for principal vacancies). Question 2: Is there a relationship between th e shortage of well-qu alified candidates for principal vacancies and the presence of written succession planning policies? To address this question the following hypothesis was generated: Hypothesis 2: A relationship exists between the shortage of well-qualified candidates for principal vacancies and the presence of writte n succession planning policies (i.e., when written succession planning policies are in place in a school district, the less likel y the shortage of wellqualified candidates for principal vacancies). Question 3: Is there a relationship between the shortage of well-qualified female candidates for principal vacancies and the pres ence of written succession planning policies? To address this question the follo wing hypothesis was generated: Hypothesis 3: A relationship exists between the shortage of well-qualified female candidates for principal vacancies and the presence of succession planning policies (i.e., when written succession planning policies are in place in a school district, the less likel y the shortage of wellqualified female candidates for principal vacancies).

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67 Question 4: Is there a relationship between the shortage of we ll-qualified minority candidates for principal vacancies and the pres ence of written succession planning policies? To address this question the follo wing hypothesis was generated: Hypothesis 4: A relationship exists between the shortage of well-qualified minority candidates for principal vacancies and the presence of written succession planning policies (i.e., when succession planning policies are in place in a school district, the less likel y the shortage of wellqualified minority candidates for principal vacancies). Question 5: Do perceived barriers to having well-qualif ied candidates for principal vacancies differ between districts experiencing prin cipal shortages and those districts that are not experiencing principal shortages? To a ddress this question the following hypothesis was generated: Hypothesis 5: Perceived barrier s to having well-qualified candi dates for principal vacancies differ between districts experi encing principal shortages and those districts which are not experiencing principal shortages (i.e., the mean number of perceived barriers in districts experiencing principal shortages is greater th an the mean number of perceived barriers in districts that are not experi encing principal shortages). Question 6: Is there a relationship between the degree to which districts encourage the development of aspiring principals and the shor tage of well-qualified principal candidates? To address this question the follo wing hypothesis was generated: Hypothesis 6: A relationship exists between the degree to which districts encourage the development of aspiring principals and the shor tage of well-qualified principal candidates (i.e., when districts have succession planning policies in place to encourage the development of

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68 aspiring principals increases, ther e will be a decrease in the shortage of well-qualified principal candidates). Research Participants The sample of 36 responding school districts was taken from a population of 67 Florida School districts. A list of the 67 Florida school dist ricts and the superintende nts of each district was obtained from the Florida Department of Education website. The total number of students for each district was also obtained from the Fl orida Department of Education website. The survey was mailed to superintendents of 14 la rge school districts (more than 50,000 students), 24 medium size districts (between 10,000 and 50,000 st udents), and 29 small sc hool districts (less than 10,000 students). To determine the size of sc hool districts, the de signation used by the Florida Department of Educa tion (March, 2003) was employed. The membership used to rank order the districts by size was generated fr om a 2005 Fall PK-12 FTE (full time equivalent) survey (Florida Department of Education, 2005a). It should be noted that Florida school districts encompass entire counties and thus may be larger than school districts found in other states. The Florida Department of Education assigns di strict and school grad es each year based on student achievement data. Of the 14 large school districts in the st ate, five (36%) of them were designated A districts and nine (64%) as B districts. Of the 24 medium size districts, 13 (54%) were designated A district s, nine (38%) as B districts and two (8%) as C districts. Of the 29 small school districts, six (21%) we re designated A distri cts, 11 (38%) as B districts, and 12 (41%) were la beled C districts. (Florida Department of Education, 2006). Instrument A survey designed by Educational Research Se rvice (Educational Rese arch Service, 1998) for the National Association of Elementary Scho ol Principals and the National Association of

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69 Secondary School Principals was modified for us e in this study. Educational Research Service granted the researcher permission to use the copyrighted survey (see Appendix A). The instrument, Is There a Shortage of We ll-Qualified Candidates for Openings in the Principalship in Florida Public School Districts? (see Appendix B) cons isted of 31 items. The survey contained three sections: demographic information; princi pal preparation; and principal recruitment, hiring and training. Definitions of the following words: induction, mentoring program, minority, and well-qualified were provi ded following the demographic section. Hypothesis 1: Survey Items 2, 15, 20, 25 and 27 To test Hypothesis 1 (a relationship exists between a shortage of well-qualified candidates for principal vacancies and the size of the school district), items 2, 15, 20, 25 and 27 were used. Item 2 asked the respondent to indicate district size as either small (less than 10,000 students), medium (10,000-50,000 students), or large (more th an 50,000 students). Using information from FDOE (Florida Department of Education), the re searcher followed the rubric used by FDOE to determine trends in minority students and teachers (2003, March). For items 15, 20 and 25 respondents were asked whether th ere was a surplus (a), shorta ge (b), or a bout the right number (c), of well-qualified candidates for pr incipal vacancies at the elementary, middle and high school levels, respectively. Respondents were asked in item 27 if they anticipated a principal shortage in the next 12 mont hs by a simple yes or no answer. Hypothesis 2: Survey Items 15, 20, 25, 27 and 30 To test Hypothesis 2 (a relationship exists between the shortage of well-qualified candidates for principal vacancies and the pr esence of written succession planning policies) items 15, 20, 25, 27 from Hypothesis 1, and item 30 were used. Item 30 provided an opportunity for respondents to indicate whether or not th eir district had a writt en succession plan, by choosing either a yes or no response.

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70 Hypothesis 3: Survey Items 9, 13, 18, 23 and 30 To test Hypothesis 3 (a relationship exists between the shortage of well-qualified female candidates for principal vacancies and the pr esence of written succession planning policies) items 9, 13, 18, 23 and 30 were used. For item 9 res pondents were asked to answer either yes or no to indicate if there was a need in their district to increase th e number of women working in school-based administrative positions. A simple yes or no response was required for items 13, 18 and 23, which asked the respondent to indi cate whether or not any well-qualified female candidates applied for principal vacancies at elementary, middle and high school levels, respectively. Responses for item 30 as us ed for Hypothesis 2 were also included. Hypothesis 4: Survey Items 10, 14, 19, 24 and 30 To test Hypothesis 4 (a relationship exists between the shortage of well-qualified minority candidates for principal vacancies and the pr esence of written succession planning policies) items 10, 14, 19, 24 and 30 were used. For item 10 respondents were asked to answer either yes or no to indicate if there was a need in their district to increase the number of minorities working in school-based administrative positions. A simple yes or no response was required for items 14, 19 and 24, which asked the respondent to indicate whether or not any well-qualified minority candidates applied for principal vacancies at elementary, middle and high school levels, respectively. Responses for item 30, as used for Hypotheses 2 and 3, were also included. Hypothesis 5: Survey Items 26 and 27 To test Hypothesis 5 (perceived barriers to having well-qualified candidates for principal vacancies differ between districts anticipating pr incipal shortages and those districts which are not anticipating principal shorta ges) items 26 and 27 were used. Item 26 asked respondents who experienced principal shortages to respond by rank ordering the top five barriers they perceived that prevented well-qualified applicants from applying for principal vacancies, with being

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71 least important and being most important. The 14 selected barriers presented in the survey were those identified in the lite rature review. Other was provid ed for respondents to write in any perceived barriers not addressed in the surv ey. An opportunity was provided for respondents to skip this question if they were not experiencing a shortage. Respondents were asked to respond to item 27 by a simple yes or no answer if they anticipated a principal shortage in the next 12 months. Hypothesis 6: Survey Items 15, 20, 25, 27, 28 and 29 To test Hypothesis 6 (a relationship exists be tween the degree to which districts encourage the development of aspiring principals and the s hortage of well-qualified principal candidates) items 28 and 29 were used. Additionally items 15, 20, 25 and 27 as used in Hypotheses 1 and 2 were included. Items 28 and 29, in checked resp onse format, allowed respondents to indicate components in place for recruiting and hiring aspi ring principal candidates (item 28) and training aspiring principal candidates (item 29). These components were identif ied in the literature review. Additional Items: Survey It ems 1, 3-8, 11, 12, 16, 17, 21, 22 and 31 Several questions not related to the hypotheses were included in the survey to provide the researcher with additional information. This information was helpful in drawing conclusions and making recommendations regarding succession planni ng for principal replacement. Item 1 asked for the title of the person completing the surv ey. Titles included: superintendent, assistant superintendent, associate supe rintendent, area superintendent human resource officer, and personnel director. Other was added with space to include a title, should none of the titles supplied be applicable. Items 3-7 required simp le yes or no answ ers. Respondents were asked to check either yes or no following th e questions regarding th e presence of aspiring principal programs (item 3), induction programs (ite ms 4 and 6) and mentoring programs (items

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72 5 and 7) for new assistant prin cipals and new principals, resp ectively. Item 8 asked respondents to characterize the educational preparation of recent principal candida tes. Response choices included the following options: excellent (a), adequate (b) and not adequate (c). Items 11, 16 and 21 asked respondents to indicate the number of assistant principal vacancies filled in the last 12 months at the elementary, middle and high school levels, respectively. Items 12, 17, and 22 asked re spondents to indicate the number of principal vacancies filled in the last 12 months at the elementary, middle and high school levels, respectively. Item 31 was a clarifying question regardi ng written succession plans and enabled respondents to indicate whether or not the an swers they checked in items 28 and 29 were components of their written succession plans. It em 31 required a simple yes or no response. Pilot Test The pilot survey instrument (see Appendix C) was tested by five administrators, who served as a panel of experts to provide evidence of content validity. The panel consisted of an Associate Superintendent, an Area Superinten dent, a Human Resource Consultant, a Senior Executive Director for Human Resources, and a retired school administrator. One of the members of the panel suggested that the definitio n of quality principal be included to align with NCLB, and that minority be defined in the survey. Minority was clarified and redefined as African-American and Hispanic. Adjusting th e wording and order of several questions took place as a result of responses and feedback. Procedure Prior to gathering information from school di stricts, permission to conduct this study was obtained from University of Fl orida Institutional Review Boar d (UFIRB) (see Appendix D). Surveys were distributed by mail to the offices of superintendents of the 67 Florida school

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73 districts. Names and addresses were obtained from The Florida Department of Education online data source. The mailing include d a cover letter requesting par ticipation (see Appendix E); an Informed Consent Form (see Appendix F); the su rvey instrument, Is There a Shortage of WellQualified Candidates for Openings in the Prin cipalship in Florida P ublic School Districts? (see Appendix B); a postage paid retu rn envelope; and five educati on commemorative U.S. postage stamps, as tokens of appreciation. Each respondent who participated in this research completed an Informed Consent Form and mailed it to the researcher separate from the survey. A follow-up postcard was sent out after two weeks as a reminder. A second mailing was employed three weeks after the first mailing to those not responding to the first mailing. The second mailing included copies of the instrument Informed Consent Form, cover letter and postage paid return envelope. Following the return of the surveys the resear cher contacted two small, two medium and two large districts by phone and/or email to set up interviews for the qualitative aspect of the study. Telephone interviews were conducted using a sta ndardized open-ended interview protocol (see Appendix G). Quantitative Data Analysis The present study aimed to investigate the pr esence of principal shortages in 67 school districts across the state of Florid a. More specifically, the purpose of the st udy was to address the relationships between succession planning compone nts and principal shortages. In order to determine if such relationships existed, a seri es of chi-square tests for independence and independent samples t-tests were conducted. An alpha level of =.05 was applied to control for the type 1 error rate. After da ta were collected and tabulate d, SPSS 15.0 was used to run the chisquare and t-test analyses.

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74 Qualitative Data Analysis Following analysis of the statew ide data, qualitative data was gathered and analyzed using the standardized open-ended interview approach (Patton, 2002). Using the respondents from the quantitative survey, two small, two medium and two large distri cts were randomly selected for interviews. Interviews were scheduled in advance and each respondent was interviewed separately by telephone. Six quest ions were asked that addressed district size, shortage of wellqualified candidates for principal vacancies, desc ription of the term well-qualified, and comparison of descriptors based on whether the vacancies occurred in elementary, middle or high schools (see Appendix G). The same set of questions was used for each interview. The researcher listened for comments during the interview, which supported and did not support the definition of wellqualified as related to the 10 Florida Leadersh ip Standards. The researcher documented and recorded the comments, creating a verbatim transcript. Answers were analyzed based on similarities, differences and th e use of common language. First, utterances of each interview transcript were treated as an observation. Second key words and phrases were identified in each observation. Third, themes and patterns were determined by examining each observation. Fourth, interconnections among observations were dete rmined. Fifth, themes and patterns were connected. These tasks were faci litated through the use of crossclassification matrices (Patton, 2002). Chapter 4 describes data received from the su rvey and subsequent interviews. The findings and data analyses are presented fo r each of the research questions.

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75 CHAPTER 4 ANALYSIS OF THE DATA Introduction The purpose of this study was to explore th e shortage of well-qualified principals and succession planning policies developed by the 67 Fl orida School Districts. This study addressed six research questions to guide the investigation. A population of 67 Florida school districts was mailed data collection survey packets. A total of 36 surveys were returned for a response rate of 54%. Respondent rates by district size were: 8 of 14 large districts ( 57%), 13 of 25 medium districts (52%), and 15 of 29 small districts ( 52%). Following return of the surveys, the researcher randomly selected and contacted officials from six Fl orida school districts who had returned the survey and had indicated a willingness to be interviewed: two from small districts, two from medium sized districts, and two from larg e districts. Interview qu estions in a structured interview protocol format focused on the meaning of well-qualified as it relates to applicants for vacant principal positions. This chapter is divi ded into three sections: Analyses of Survey Data Related to Research Questions, Analyses of Descriptive Data Related to Survey, and Analyses of Structured Interview Protocol. Analyses of Survey Data Related to Research Questions Research Question 1: Is there a relations hip between a shortage of well-qualified candidates for principal vacancies and the size of the school district? Chi-square tests of independence were conducted using data from survey items 2, 15, 20, 25 and 27. Item 2 asked respondents to indicate the size of their district as small, medium or large. Items 15, 20 and 25 asked respondents if there was a shortage of pr incipal candidates at th e elementary, middle and high school levels, respectively. Data about anticipated principal s hortages in the next 12 months were collected in Item 27.

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76 Thirty-six (36) districts small, 13 medium and 8 largeresponded to item 2 indicating the size of thei r districts. Crosstabulations were run to compare district size with shortages at the elementary, middle and high sc hool levels. Responses were grouped by: (a) surplus of well-qualified applic ants, (b) shortage of well-quali fied applicants, and (c) right number of well-quali fied applicants. Crosstabulation of district size with the vari ables surplus, shortage, and the right number of well-qualified principal candidates at the elem entary school level was conducted. Table 4-1 reports a chi-square value of 8.65 with 4 degrees of freedom at a critical value of 9.49. The chisquare value of 8.65 is less than the critical va lue of 9.49 at an alpha level of .05. Thus it was determined that there is no relationship between district size and a shor tage of well-qualified principal candidatesshortages were reported to exist in school districts at the elementary school level regardless of size. Crosstabulation of district size with the vari ables surplus, shortage, and the right number of well-qualified principal candidates at the middle school level was conducted. Table 4-2 reports a chi-square value of 12.27 with 4 degrees of freed om at a critical value of 9.49. The chi-square value of 12.27 is greater than the critical value of 9.49 at an alpha level of .05. It was determined that, based on district size, th ere was a significant relationshi p between district size and a shortage of well-qualified middle school principal candidates. S hortages were reported to be greater at the middle school leve l in small school districts. Crosstabulation of district size with the vari ables surplus, shortage, and the right number of well-qualified principal candidates at the high school level was conducted. Table 4-3 reports a chi-square value of 7.63 with 4 degrees of free dom at a critical value of 9.49. The chi-square value of 7.63 is less than the critical value of 9.49 at an alpha level of .05. It was determined that

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77 there was no relationship between district si ze and a shortage of well-qualified principal candidates at the high school leve l--shortages appeared to exist in school districts at the high school level regardless of size. Crosstabulation between district size and anticipated shortage of principal candidates in the next 12 months was conducted. Table 4-4 reports a chi-square value of .53 with 2 degrees of freedom at a critical value of 5.99. The chi-square va lue of .53 is less than the critical value of 5.99 at an alpha level of .05. Thus it was determ ined that there is no relationship between anticipated shortages of well-qua lified candidates for principal va cancies and the size of school districts. Regardless of the size of the school district, about the same number of districts anticipated a shortage of well-qualified principals over the next 12 months as did not anticipate a shortage. Research Question 2: Is there a relationshi p between the shortage of well-qualified candidates for principal vacancies and the pr esence of written succession planning policies? Collectively, survey items 15, 20, 25, 27 and 30 form ed the basis of this research question. As used to answer research question 1, data were generated from items 15, 20 and 25 regarding a shortage of well-qualified princi pal candidates for elementary, middle and high schools. Item 27 addressed anticipated principal s hortages. Item 30 asked responde nts whether their districts had in place written succession plans. Chi-square te sts of independence were conducted to determine significance. Crosstabulation at the elementa ry school level of surplus, shortage or the right number of well-qualified candidates for principal vacancies and the presence of written succession plan policies was conducted. Table 4-5 re ports a chi-square va lue of 7.64 with 2 degrees of freedom at a critical value of 5.99 and an al pha level of .05. The chi-square va lue of 7.64 is greater than the

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78 critical value of 5.99. Thus it was determined that there is a si gnificant relationship between the shortage of well-qualified princi pal candidates at the elementary level and the presence of written succession planning policies. Where writt en succession plans were in place, fewer shortages of well-qualified ca ndidates for elementary school principal vacancies were experienced. Crosstabulation at the middle schoo l level of surplus, shortage or the right number of wellqualified candidates for principal vacancies and the presence of written succession plan policies was conducted. Table 4-6 reports a chi-square va lue of 6.48 with 2 degrees of freedom at a critical value of 5.99 and an alpha level of .05. The chi-square valu e of 6.48 is greater than the critical value of 5.99. Thus it was determined th at a significant relationship exists between a shortage of well-qualified princi pal candidates at the middle sc hool level and the presence of written succession planning policie s. Where there were written succession plans in place, there appeared to be fewer shortages when seek ing well-qualified candidates for middle school principal vacancies. Crosstabulation of surplus, shortage and the right number of wellqualified candidates for high-school principal vacancies and the pres ence of written succession plan policies was conducted. Table 4-7 reports a chisquare value of 3.88 with 2 degr ees of freedom at a critical value of 5.99 and an alpha level of .05. The chi-squa re value of 3.88 is less th an the critical value of 5.99. Thus it was determined that no significa nt relationship existed between shortages of well-qualified principal candidates at the high school level and the presence of written succession planning policies. Shortages appeared to exist at the high school level regardless of whether a district had an administrative succession plan in place.

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79 Crosstabulation between anticip ated shortages of principa l candidates in the next 12 months and the presence of written succession pl an policies was conducted. Table 4-8 reports a chi-square value of .12 with 1 degree of freedom and a critical value of 3.84 at an alpha level of .05. The chi-square value of .12 is considerably less than the critical value of 3.84. Thus it was determined that no significant differences existe d between shortages of we ll-qualified principals and the presence of written succession planning po licies. Shortages of we ll-qualified principal candidates were anticipated in di stricts regardless of whether or not written succession planning policies were in place. Research Question 3: Is there a relationship between the shortage of well-qualified female candidates for principal vacancies and the pr esence of written succession planning policies? Data were generated from items 9, 13, 18, 23 and 30, and chi-square tests of independence were conducted using these data. Item 9 asked responde nts to indicate whether there was a need to increase the number of well-qualified women working in school-based administrative positions. Items 13, 18 and 23 addressed shortages of we ll-qualified female candi dates for principal vacancies in elementary, middle and high school levels, respectively. Item 30 asked respondents whether their districts had written succession plans. Table 4-9 indicates that 97% of responding districts reported th at the need to increase the number of women working in school-based ad ministrative positions was not an issue. Crosstabulation of shortages of well-qualified female candidates for vacant elementary principal positions and the presence of written succession plan policies was conducted. Table 4-10 reports a chi-square value of .49 with 1 degree of freedom and a critical value of 3.84 at an alpha level of .05. The chi-square value of .49 is considerably less than the critical value of 3.84. Thus it was determined that no significant differences existed between shortages of well-qualified female

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80 candidates for elementary principal positions and the presence of written succession planning policies. Crosstabulation of shortages of well-qualified female candidates for vacant middle school principal positions and the presence of written succession plan policies was conducted. Table 411 reports a chi-square value of 2.92 with 1 degree of freedom and a criti cal value of 3.84 at an alpha level of .05. The chi-square value of 2.92 is less than the critical value of 3.84. Thus it was determined that no significant differences existe d between shortages of well-qualified candidates for middle school principal positions and the pr esence of written succession planning policies. Crosstabulation of shortages of well-qualified female candidates for vacant high school principal positions and the presence of written succession plan policies was conducted. Table 412 reports a chi-square value of 1.99 with 1 degree of freedom and a criti cal value of 3.84 at an alpha level of .05. The chi-square value of 1.99 is less than the critical value of 3.84. Thus it was determined that no significant differences existe d between shortages of well-qualified candidates for high school principal positions and the pr esence of written succession planning policies. Crosstabulation of the need to increase th e number of well-qualified women in vacant school level administrative positions and the pr esence of written succession plan policies was conducted. Table 4-13 reports a chisquare value of 2.15 with 1 degr ee of freedom and a critical value of 3.84 at an alpha level of .05. The chi-squa re value of 2.15 is less than the critical value of 3.84. Thus it was determined th at no relationship existed between shortages of well-qualified female candidates for vacant principal positions and the presence of written succession planning policies. There appeared to be an adequate number of well-qua lified females in school level administrative positions, regardless of whether written succession plans were in place in the school district.

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81 Research Question 4: Is there a relations hip between the shorta ge of well-qualified minority candidates for principal vacancies and the presence of written succession planning policies? To address this research question, data from survey items 10, 14, 19, 24 and 30 were used and chi-square tests of independence were generated. Item 10 asked that respondents indicate whether there was a need to increase the number of minorities working in school-based administrative positions. Items 14, 19 and 24 addresse d the issue of shortages of well-qualified minority candidates for vacant principal positi ons at the elementary, middle and high school levels, respectively. As used in research que stions 2 and 3, data generated from item 30 regarding the presence of written succession planning policies were also used. Table 4-14 indicates that 22 (63%) of 35 res ponding districts reported that the need to increase the number of minorities working in school -based administrative positions was an issue. Seven (50%) of 14 small districts, 9 (69%) of 13 medium size districts and 6 (75%) of 8 large districts reported a need to increase minoritie s in school level administrative positions. Crosstabulation of shortages of well-qualified minority candida tes for vacant elementary principal positions and the presence of written succession plan policies was conducted. Table 415 reports a chi-square value of .71 with 1 degree of freedom and a criti cal value of 3.84 at an alpha level of .05. The chi-square value of .71 is considerably less than th e critical value of 3.84. Thus it was determined that no significant di fferences existed between shortages of wellqualified minority candidates for vacant principa l positions at the elementary level and the presence of written succession planning policies. Crosstabulation of shortages of well-qualif ied minority candidates for vacant middle school principal positions and the presence of written succession plan policies was conducted. Table 4-16 reports a chi-square va lue of .66 with 1 degree of free dom and a critical value of 3.84

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82 at an alpha level of .05. The chi-square value of .66 is considerably less than the critical value of 3.84. Thus it was determined that no significant differences existed betw een shortages of wellqualified minority candidates for vacant principa l positions at the middle school level and the presence of written succession planning policies. Crosstabulation of shortages of well-qualified minority candida tes for vacant high school principal positions and the presence of written succession plan policies was conducted. Table 417 reports a chi-square value of 3.32 with 1 degree of freedom and a criti cal value of 3.84 at an alpha level of .05. The chi-square value of 3.32 is less than the critical value of 3.84. Thus it was determined that no significant differences exis ted between shortages of well-qualified minority candidates for vacant principal positions at the high school level and the presence of written succession planning policies. Crosstabulation of the need to increase the number of well-qualified minorities in vacant school level administrative positions and the pr esence of written succession plan policies was conducted. Table 4-18 reports a chisquare value of .02 with 1 degree of freedom and a critical value of 3.84 at an alpha level of .05. The chi-sq uare value of .02 is cons iderably less than the critical value of 3.84. No rela tionship existed between shortages of well-qualified minority candidates for vacant principal positions and the presences of written succession planning policies. Having a written succession plan does not assure an adequate number of well-qualified minority candidates for vacant principal positions. Research Question 5: Do perceived barri ers to having well-qua lified candidates for principal vacancies differ between districts expe riencing principal shorta ges and those districts which are not experiencing principal shortage s? Twenty-five (25) of the 36 respondents completed survey question 25; however they did not follow directions to rank order the top five

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83 perceived barriers that prevent well-qualified applicants from applying for vacant principal positions, making it impossible for the researcher to address this question as intended. It appears that most respondents merely ch ecked barriers that they believ ed were present. Table 4-19 provides a description of their checked responses The barriers selected most frequently by respondents were: insufficient salary, stress, test ing/accountability pressures, time, and lack of interest by teachers. Research Question 6: Is there a relations hip between the degree to which districts encourage the development of aspiring principals and the shortage of we ll-qualified principal candidates? For differences between districts anticipating shortage s of well-qualified principals in the next 12 months and those not anticipat ing shortages for each measure of survey data regarding the recruiting, hiring and training of aspiring principals, an independent samples t-test was performed with p .05, 2-tailed (Table 4-20) Districts which did no t anticipate shortages of well-qualified principals in the next 12 months had more policies in place for recruiting, hiring and training aspiring principals (M= 16.06, SD=5.65 ), than districts which did anticipate shortages of well-qualified prin cipals (M= 12.21, SD= 4.93). This difference was significant, t(34 ) = 2.18, p = .04 two tailed. Analyses of Descriptive Statistics Related to Survey Data Of those 36 districts responding to the surv ey, respondents included one superintendent, six assistant superintendents, one associate superintendent, 13 human resource officers, eight personnel directors, one recruiting officer, one director of the o ffice of professional development and five designated as other. Survey questions 3 through 7 asked respondents about their principal preparation programs (Table 4-21). Thirty-one (31) of 36 districts, (86%), re sponding to the survey, indicated that they had aspiring principal programs in place. Survey data indicated that there were relatively the

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84 same number of districts offe ring induction and mentoring program s for assistant principals and new principals. Of the 36 districts surveyed 22 (6 1%) reported that they had induction programs in place for assistant principals and 21 ( 58%) had induction programs for new principals. Similarly, 22 (61%) had mentor ing programs for assistant prin cipals and 20 (56%) reported mentoring programs for new principals. Survey question 8 asked partic ipants to rate the quality of educational preparation programs of recent candidates for school princi pal positions in terms of leading and managing change and establishing a vision. Tw elve (35%) of the 34 districts that responded to this question indicated that training was exce llent, 20 (59%) indicated that tr aining was adequate, and 2 (6%) indicated that they felt training was not adequate. Analyses of Structured Interview Protocol Interview question 1: Do you consider your district to be a small, medium or large district? Respondents included two small dist ricts, two medium size district s and two large districts. Table 4-22 indicates each respondents identifi cation code and corres ponding district size. Interview question 2: Do you believe that your district is experienci ng a shortage of wellqualified candidates for vacant pr incipal positions? Both res pondents from small districts indicated that there was a shorta ge of well-qualified candidates. One respondent from a medium size district indicated that there was a shortage of well-qualified candidates; the other indicated that although there was no shortage, there were limited numbers from which to choose. One respondent from a medium size district indicated that they were expe riencing a shortage of assistant principal candidates, as well. One re spondent from a large district identified the shortage specifically for secondary principals. Five of the six respondents (83%) from small, medium, and large districts report ed that they were experienci ng a shortage of well-qualified candidates for vacant principal positions. These comments supported the response to research

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85 question 2 that found that shortage s of well-qualified candidates app eared to occur regardless of the school district size. Interview question 3: How would you describe a well-qualified candidate for a vacant principal position? Table 4-23 outlines responses to this question by district size. Two of six respondents identified leading with a vision as a characteristic of a highly qualified principal: one in a medium size district and one in a large district. Three responde nts, one in a small and two in large districts, identified a specific characteristic of a hi ghly qualified principal as an instructional leader, although they did not elabor ate on the meaning of th is characteristic. Two respondents, one in a large district and one in a medium size district, identified technology skills as important. Four respondents, one from a sma ll district, two from medium districts and one from a large district, specifically identified appropriate certification or meeting job qualifications as important. One respondent from a large dist rict stressed that well-qualified goes beyond certification and having the skills of the Florida Principal Leadersh ip Standards. One respondent from a small district mentioned that because of a shortage of qualified candidates, her district was willing to accept a principal candidate who is willing to work on certification. All six respondents identified leadership skills as important: being an instructional leader, collaborative leader and curriculum leader. Bo th respondents from large districts mentioned school culture: one ranked the ability to promote a positive learning culture as important; the other indicated the importance of creating a school culture where ev eryone feels part of something larger than him/herself. Both re spondents from medium size districts ranked collaboration as important, as did a res pondent from a large dist rict. Understanding accountability and assessment measures was id entified as important by two respondents from medium size districts.

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86 Various aspects of human resource skills were noted by respondents: ability to recruit, hire and retain qualified teachers as well as the ab ility to handle personnel issues. A respondent from a large district mentioned the ability to build a team at the school and to build relationships as important characteristics. Being an ethical pe rson was noted by one respondent, while another mentioned having good character and being a person of integrity as being characteristics of a well-qualified principal candidate In addition, emotional stabi lityhaving a leader who could handle his/her emotion, was emotionally mature and could get along with otherswas an important characteristic indi cated by three respondents. Only one respondent, from a medium size dist rict, specifically iden tified management skills as important. One respondent from a large di strict emphasized the importance of believing that all kids can learn. This re spondent also indicated the import ance of building leadership in others. A respondent in a medium district stated eight important characteristics: five related to statements emphasizing personal values. In short, respondents generated responses that varied from district to district. Table 4-24 provides a report corr elating responses to question 3 to the Florida Principal Leadership Standards. Responses are catego rized by respondent iden tification codes and by district size. For example, Re spondent 2 from a medium size di strict and Respondent 1 from a large district both indicated that vision was an important characteristic of a well-qualified principal candidate. Only one res pondent, Respondent 6, referred to all competencies as being important, in addition to menti oning instructional leadership, ma naging the learning environment and community and stakeholder partnerships. Co mbined responses from the six interviewees covered all 10 Florida Principal Leadership Standards.

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87 Interview question 4: Do these descriptor s differ based on whether the position is for elementary, middle, or high school? Five of the six respondents identified no si gnificant differences in descriptors among elementary, middle or high school principal a pplicants. Respondent 2 from a medium size district believed that differences exist. Interview question 5: If yes, in what ways? Respondents 1, 3, 4, 5 and 6 did not see a diffe rence. Respondent 2, from a medium size district felt that descriptors of principals in high schools differ from those of elementary and middle school principals for various reasons: size of staff, the numb er of after-schoo l activities to manage and large internal accounts The respondent noted that basi c standards must be the same but they may be more important at the high school level in the ability to manage a number of different projects. Respondent 2 also indicated that an elemen tary principal must have the understanding to deal with parents, who may be more involved; middle school principals must absolutely love middle school kids who are differe nt and must be able to connect with them. Although not believing that signific ant differences exist, respondent 4 from a small district also mentioned the need to love middle school ag ed children because they are different. Interview question 6: What skill do you believe aspiring principals lack that prevent them from being considered well-qualified? Table 4-25 outlines responses to this question by district size. Respondents touched on skill or ability areas lacking in aspiring principals that prevent them from being considered well-qualified fo r vacant principal positions. Three of the six respondents used the word, expe rience specifically, indicating a need for experiences as a teacher, mentor, member of state or local comm ittees; and having leadership experiences that they can relate during an interview was noted by one respondent from a large district. A lack of

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88 leadership was mentioned by three respondents, and one interviewee from a medium district mentioned situational leadership as important. Personnel issues were deemed important by three of the six respondents, including the ability to hire quality teachers, which was noted by a respondent from a large district. Working with personnel, with teachers and teacher groups were mentioned as important abilities by respondents in a small and in a medium district, while creating a positive work environment was menti oned by a respondent in a medium district. One respondent from a medium district mentioned budget knowledge as important. Seeing the big picture, having a vision and the ability to articul ate it and putting all the pieces together were important attributes highlighted by two districts. A respondent from a small district emphasized organizational sensitivity as missing in some can didates and stressed that often candidates with little experience are not aware of how their actions impact the or ganization as a whole. No one skill or ability was mentioned by all six responde nts, although basic overall experience could be concluded as highly important from several descriptions provided. Table 4-26 provides a report corr elating responses to question 6 to the Florida Principal Leadership Standards. Responses are categor ized by respondent iden tification codes and by district size. For example, Respondents 1, 2, 5 and 6 believed that instructional leadership characteristics were lacking in aspiring princi pals who are not deemed well-qualified for the principalship. Only one responde nt, Respondent 6, referred to all competencies as being important and often lacking in principal candida tes, in addition to me ntioning instructional leadership qualities. Comparison of interview questions 3 and 6: It is the intent of this portion of the study to identify if there were commonalities among intervie wees in identifying impor tant characteristics

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89 of well-qualified principal candidates relating to th e 10 Florida Principal Lead ership Standards. Questions 3 and 6 provide insight. The researcher counted the number of stat ements made when respondents answered question three; that number was then compar ed with the number of statements by each respondent which referred directly to the Fl orida Principal Standards. The results were: Respondent 1 made 4 statements: 4 of 4 referred to the standards or 100%. Respondent 2 made 14 statements: 9 of 14 referred to the standards or 64%. Respondent 3 made 11 statements: 3 of 11 referred to the standards or 27%. Respondent 4 made 6 statements; 2 of 6 referred to the standards or 33%. Respondent 5 made 6 statements; 3 of 6 referred to the standards or 50%. Respondent 6 made 8 statements; 5 of 8 referred to the standards or 63%. The researcher counted the number of stat ements made when respondents answered question six; that number was then compared with the number of statements by each respondent which referred directly to the Florida Principal Standards. The results were: Respondent 1 made 6 statements: 5 of 6 referred to the standards or 83%. Respondent 2 made 6 statements: 4 of 6 referred to the standards or 66%. Respondent 3 made 2 statements: 1 of 2 referred to the standards or 50%. Respondent 4 made 6 statements: 1 of 6 referred to the standards or 17%. Respondent 5 made 3 statements: 3 of 3 referred to the standards or 100%. Respondent 6 made 3 statements: 2 of 3 referred to the standards or 66%. When the responses to questions 3 and 6 of the superintendents or their designees were compared (Table 4-27), concern for the Florid a Principal Leadership Standards seemed most important to Respondent 1 from a large school dist rict and least important to Respondent 4 from a small size district. Respondent 4 also mentione d that their district was willing to accept candidates into principal positions who were work ing on their principal certification, due to the inability to secure candidates who possessed certification. References by respondents in questions 3 and 6 indicated some commo nalities. The most consistent answers by the respondents to questions 3 and 6 described dispositions and are

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90 outlined in Table 4-28. For example, Respondent 5 indicated a knowledge of curriculum as important characteristics of a well-qualified appl icant for a vacant principa l position (question 3); and Respondent 5 also noted that in his small district, knowledge of cu rriculum was lacking in some aspiring principals which kept them from being considered wellqualified. Being an instructional or curriculum leader was a signi ficant attribute for Respondents 1, 5 and 6 and Respondent 5 also believed that quality was l acking in some aspiring principal candidates. Leadership abilities mentioned as important qu alities of a well-qualif ied candidate included instructional and situational leadership, the ab ility to delegate and going beyond the skills of those that an assistant principal possessed. A va riety of personal qualities outlined by those interviewed included being vi sionary, possessing a knowledge of human resource management, the ability to use technology, possession of collabora tive skills and the ability to control emotion and having emotional maturity. Summary Chapter four presented quantitative and qua litative results of the study. Chapter five presents a discussion of the findings and implications for future study.

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91 Table 4-1. District size elementary principal candidates crosstabulation Elementary Principal Candidates Surplus of well-qualified Shortage of well-qualified Right number of well-qualified Total District Size Small Count 1 11 3 15 % of Total 2.9 31.4 8.6 42.9 Medium Count 2 2 8 12 % of Total 5.7 5.7 22.9 34.3 Large Count 1 4 3 8 % of Total 2.9 11.4 8.6 22.9 Total Count 4 17 14 35 % of Total 11.4 48.6 40.0 100.0 Note. (4, n = 35) = 8.65, p .05. Table 4-2. District size middle school principal ca ndidates crosstabulation MS Principal Candidates Surplus of well-qualified Shortage of well-qualified Right number of wellqualified Total District Size Small Count 1 9 2 12 % of Total 3.0 27.3 6.1 36.4 Medium Count 0 2 11 13 % of Total 0.0 6.1 33.3 39.4 Large Count 0 4 4 8 % of Total 0.0 12.1 12.1 24.2 Total Count 1 15 17 33 % of Total 3.0 45.5 51.5 100.0 Note. 33 respondents; 3 respondents had no vacancies at middle school level. (4, n = 33) = 12.27, p .05*.

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92 Table 4-3. District si ze high school principal ca ndidates crosstabulation HS Principal Candidates Surplus of well-qualified Shortage of well-qualified Right number of well-qualified Total District Size Small Count 1 12 1 14 % of Total 3.0 36.4 3.0 42.4 Medium Count 0 5 6 11 % of Total 0.0 15.2 18.2 33.4 Large Count 0 5 3 8 % of Total 0.0 15.2 9.1 24.2 Total Count 1 22 10 33 % of Total 3.0 66.7 30.3 100.0 Note. (4, n = 33) = 7.63, p .05. Table 4-4. District size anticipate shorta ge in next 12 months crosstabulation Anticipate shortage in next 12 months No Yes Total Count 7 8 15 Small % of Total 19.4 22.2 41.7 Count 7 6 13 District Size Medium % of Total 19.4 16.7 36.1 Count 3 5 8 Large % of Total 8.3 13.9 22.2 Count 17 19 36 Total % of Total 47.2 52.8 100.0 Note 36 respondents. (2, n = 36) = .53, p .05

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93 Table 4-5. Elementary principal candidate s written succession plan crosstabulation Written Succession Plan No Yes Total Count 2 2 4 Surplus of well-qualified % of Total 5.7 5.7 11.4 Count 9 8 17 Shortage of well-qualified % of Total 25.7 22.9 48.6 Count 1 13 14 Elementary Principal candidates Right number of wellqualified % of Total 2.9 37.1 40.0 Count 12 23 35 Total % of Total 34.3 65.7 100.0 Note (2, n=35) =7.64, p .05*. Table 4-6. Middle school prin cipal candidates written succ ession plan crosstabulation Written Succession Plan No Yes Total Count 0 1 1 Surplus of well-qualified % of Total 0.0 3.1 3.1 Count 8 7 15 Shortage of well-qualified % of Total 25.0 21.9 46.9 Count 2 14 16 MS Principal candidates Right number of wellqualified % of Total 6.3 43.8 50.0 Count 10 22 32 Total % of Total 31.3 68.8 100.0 Note. (2, n=35) =6.48, p .05*. Table 4-7. High school princi pal candidates written succes sion plan crosstabulation Written Succession Plan No Yes Total Count 0 1 1 Surplus of well-qualified % of Total 0.0 3.1 3.1 Count 10 12 22 Shortage of well-qualified % of Total 31.3 37.5 68.8 Count 1 8 9 HS Principal candidates Right number of wellqualified % of Total 3.1 25.0 28.1 Count 11 21 32 Total % of Total 34.4 65.6 100.0 Note (2, n=32) =3.88, p .05.

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94 Table 4-8. Anticipate shortage in next 12 months written succession plan crosstabulation Written Succession Plan No Yes Total Count 5 11 16 No % of Total 14.3 31.4 45.7 Count 7 12 19 Anticipate shortage in next 12 months Yes % of Total 20.0 34.3 54.3 Count 12 23 35 Total % of Total 34.3 65.7 100.0 Note (1, n=35) =.12, p .05. Table 4-9. Need to increase females in school level administrative positions compared by district size. Small Medium Large Total F % F % F % F % No 13 93 13 100 8 100 34 97 Yes 1 7 0 0 0 0 1 3 Total 14 100 13 100 8 100 35 100 Table 4-10. Elementary female candidates written succession plan crosstabulation Written Succession Plan No Yes Total Count 0 1 1 No % of Total 0.0 3.2 3.2 Count 10 20 30 Elementary female candidates Yes % of Total 32.3 64.5 96.8 Count 10 21 31 Total % of Total 32.3 67.7 100.0 Note (1, n=31) =.49, p .05. Table 4-11. Middle school female candidate s written succession plan crosstabulation Written Succession Plan No Yes Total Count 2 1 3 No % of Total 7.4 3.7 11.1 Count 5 19 24 MS female candidates Yes % of Total 18.5 70.4 88.9 Count 7 20 27 Total % of Total 25.9 74.1 100.0 Note (1, n=27) = 2.92, p .05.

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95 Table 4-12. High school female candidates written successi on plan crosstabulation Written Succession Plan No Yes Total Count 5 4 9 No % of Total 18.5 14.8 33.3 Count 5 13 18 HS female candidates Yes % of Total 18.5 48.1 66.7 Count 10 17 27 Total % of Total 37.0 63.0 100.0 Note (1, n=27) = 1.99, p .05. Table 4-13. Need to increase women wr itten succession plan crosstabulation Written Succession Plan No Yes Total Count 10 23 33 No % of Total 29.4 67.6 97.1 Count 1 0 1 Need to increase woman Yes % of Total 2.9 0.0 2.9 Count 11 23 34 Total % of Total 32.4 67.6 100.0 Note (1, n =34) = 2.15, p .05. Table 4-14. Need to increase minorities in sc hool level administrative positions compared by district size. Small Medium Large Total F % F % F % F % No 7 50 4 31 2 25 13 37 Yes 7 50 9 69 6 75 22 63 Total 14 100 13 100 8 100 35 100 Table 4-15. Elementary minority candidates written succession plan crosstabulation Written Succession Plan No Yes Total Elementary minority candidates No Count 4 5 9 % of Total 13.3 16.7 30.0 Yes Count 6 15 21 % of Total 20.0 50.0 70.0 Total Count 10 20 30 % of Total 33.3 66.7 100.0 Note (1, n =30) = .71, p .05.

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96 Table 4-16. Middle school mi nority candidates written succ ession plan crosstabulation. Written Succession Plan No Yes Total Count 3 5 8 No % of Total 11.5 19.2 30.8 Count 4 14 18 MS minority candidates Yes % of Total 15.4 53.8 69.2 Count 7 19 26 Total % of Total 26.9 73.1 100.0 Note (1, n =26) = .66, p .05. Table 4-17. High school minority candidates written succession plan crosstabulation Written Succession Plan No Yes Total Count 8 8 16 No % of Total 28.6 28.6 57.1 Count 2 10 12 HS minority candidates Yes % of Total 7.1 35.7 42.9 Count 10 18 28 Total % of Total 35.7 64.3 100.0 Note (1, n =28) = 3.32, p .05. Table 4-18. Need to increase minorities written succession plan crosstabulation Written Succession Plan No Yes Total Count 4 9 13 No % of Total 11.8 26.5 38.2 Count 7 14 21 Need to increase minorities Yes % of Total 20.6 41.2 61.8 Count 11 23 34 Total % of Total 32.4 67.6 100.0 Note (1, n =34) = .02, p .05.

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97 Table 4-19. Descriptive statistics: Barriers th at prevent well-qualified candidates from applying for vacant principal positions Barrier Frequency No Percent No Frequency Yes Percent Yes Stress 6 24 19 76 Societal Problems 19 76 6 24 Time 9 36 16 64 Testing/Accountability 7 18 18 72 Demands of Parents And Community 15 60 10 40 Less Satisfying in Practice 17 68 8 32 Inadequate School Funding 21 84 4 16 Salary Not Sufficient 6 24 19 76 Teachers Not Interested 10 40 15 60 Bad Press/Media 22 88 3 12 Lack of Tenure 22 88 3 12 Loss of Teacher Tenure 21 84 4 16 Openings Not Well Publicized 23 92 2 8 Lack of Preparation 23 92 2 8 Other 21 84 4 16 Note N=25 Table 4-20. Independent Samples t-test. Recr uiting, hiring, training po licies and anticipated shortage of principal candidates. Anticipate shortage in next 12 mo. N M SD t df p No 17 16.06 5.65 2.18 34 *.04 Yes 19 12.21 4.93 Note p .05*.

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98 Table 4-21. Survey questions 3-7: Principal preparation programs Frequency Percent Aspiring Principals Program 31 86 Induction for Assistant Principals 22 65 Mentoring for Assistant Principals 22 85 Induction for New Principals 21 58 Mentoring for New Principals 20 56 Note : N=36 Table 4-22. Respondent identificat ion code and district size Respondent Identification Code District Size 1 Large 2 Medium 3 Medium 4 Small 5 Small 6 Large Note. Numbers indicate responde nt identification codes.

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99 Table 4-23. Interview question 3: Descriptors of wellqualified principal candidates by district size Small Districts Medium Districts Large Districts Leading with vision Leading with vision Instructional leader Instructional leader Possesses technology skills Possesses technology skills Meets job qualifications (has appropriate certification) Meets job qualifications (has appropriate certification) Meets job qualifications (has appropriate certification) Goes beyond having certification and having skills of Florida Principals Competencies Possesses leadership skills: instructional leader Possesses leadership skills Possesses leadership skill: instructional leader, curriculum leader Promotes a positive learning culture; creates a culture where everyone feels a part of something larger than themselves Successful teacher Successful teacher Possesses appropriate background, training and experience Possesses appropriate background, training and experience Ability to manage Collaborative skills; ability to build community and stakeholder partnerships Collaborative skills: ability to build relationships; team builder Effective decision making strategies Values Diversity Knowledge of accountability and assessment measures

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100 Table 4-23 Continued Small Districts Medium Districts Large Districts Human resource skills Human resource skills: ability to recruit, hire and retain qualified teachers Human resource skills Ability to coach and mentor other educators Ability to build leadership in others Highly ethical; has integrity; has character; good personality; family oriented; multi-tasker Ability to control emotions Ability to cont rol emotions Ability to control emotions Dynamic Believes all children can learn Table 4-24. Question 3: Fl orida principal leadership standards by respondent Standard Small Medium Large Vision 2 1 Instructional Leadership 5 1, 6 Managing the Learning Environment 2, 3 1, 6 Community and Stakeholder Partnerships 2 6 Decision Making Strategies 2 Diversity 2 Technology 2, 3 1 Learning, Accountability and Assessment 2 Human Resource Development 5 2 6 Ethical Leadership 2, 3 All Competencies 6 Note. Numbers indicate responde nt identification codes.

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101 Table 4-25. Interview question 6: Skills that aspiring principals lack that prevent them from being considered well-qualified by district size. Small Districts Medium Districts Large Districts Ability to delegate Human resources Human resource development: ability to hire and select good teachers that know technology, assessment, curriculum and have instructional ability. Organizational sensitivity may not understand how their actions affect others in the organization. Teachers who are successful in the classroom lack the ability to look at the big picture. Ability to put all the pieces together to select candidates that have all that is needed in todays world. Ability to articulate a vision. Ability to create a positive working environment. Organizational skills: complete things, meet deadlines, work overtime. Management; managing a budget. Locate resources Leadership component Experience on county or statewide committees; Leadership experiences beyond assistant principal; leadership on district-wide committees; school advisory committee chair. Ability to work with personnel, lead and direct them. Devotion to staff and kids has an affinity for kids. Knowledge of curriculum; instructional leadership

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102 Table 4-26. Question 6: Florida principal leadersh ip standards by respondent Standard Small Medium Large Vision 2 Instructional Leadership 5 2 1, 6 Managing the Learning Environment 5 2 1 Community and Stakeholder Partnerships 3 Decision Making Strategies 4 Diversity Technology 1 Learning, Accountability and Assessment 1 Human Resource Development 5 2 1 Ethical Leadership All Competencies 6 Note. Numbers indicate responde nt identification codes. Table 4-27. Questions 3 and 6: Reference to Florida princi pal leadership standards by percentage Respondent identification code Question 3 Question 6 M District size 1 100% 83% 91.5% Large 2 64% 66% 65.0% Medium 3 27% 50% 38.5% Medium 4 33% 17% 25.0% Small 5 50% 100% 75.0% Small 6 63% 66% 64.5% Large

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103 Table 4-28. Dispositions by re spondent for questions 3 and 6. Disposition Respondent/Question 3 or 6 Possesses knowledge of curriculum Has the ability to promote a positive learning culture Is an instructional and/or curriculum leader 5/3; 5/6 1/3 1/3; 5/3; 5/6; 6/3 Locates resources 5/6 Understands budgets & money 2/6 Is experienced: As a mentor As a teacher or assistant principal As a state and/or local committee member As a leader 3/3;6/6 2/3; 4/3 3/6 6/6 Possesses leadership ability: Is an instructional/curriculum leader Possesses situational leadership skills Exhibits leadership beyond assistant principal Has the ability to delegate 2/3; 5/3; 2/6; 5/6; 6/6 1/3; 5/3; 5/6; 6/3 3/3 3/6 4/6 Is visionary Has the ability to articulate a vision 1/3; 2/3 2/6 Creates a positive work environment Creates a positive learning culture Creates a school culture where everyone feels part of something larger than him/herself 2/6 1/3 6/3 Possesses knowledge of human resource management: Coaches and mentors Hires quality teachers that know curriculum, technology,assessment, etc. Has the ability to work with personnel Has the ability to work with teachers and teacher groups Devotion to staff 2/3; 2/6;5/3 2/3 1/6 5/6 2/6 4/6 Has the ability to use technology 1/3; 2/3 Exhibits personal qualities: Possesses collaborative skills Possesses decision making ability Values diversity Is ethical Exhibits a good personality Is family oriented Possesses integrity Controls emotion; has emotional maturity Gets along well with others Takes initiative Is dynamic Believes that all kids can learn Devotion to staff and kids 2/3; 3/3; 2/6 2/3 2/3 2/3 3/3 3/3 3/3 3/3; 6/3; 4/3 3/4 4/3 5/3 6/3 4/6 Possesses knowledge of research & data analysis 2/3 Handles discipline 5/3

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104 CHAPTER 5 SUMMARY, DISCUSSION AND RECOMMENDATIONS Summary of Results The purpose of this study was to explore th e shortage of well-qualified principals and succession planning policies developed by Florid a School Districts. Quantitative data were collected through the use of a survey instrument sent to all 67 Florida school districts. The response rate was 36 or 54%. The sample cons isted of 15 small districts (less than 10,000 students), 13 medium size di stricts (between 10,000 and 50,000 st udents), and 8 la rge districts (more than 50,000 students). Qualitative data was gathered through teleph one interviews with individual district office admini strators from two small, two me dium and two large districts in Florida to explore the meaning of well-qualified as it relates to candidates for vacant principal positions. Information gathered from this research study adds to the current body of research on principal shortages and succession planning policies in school districts. The results will assist school districts in focusing their succession plan ning efforts where they may be most useful. Additionally, universities, national, state and local principal as sociations, as well as professional educational organizations may desire to utilize in formation from this research to further their own research and to design professional develo pment and leadership training that will meet needs identified by this researcher. Six research questions were formulated to produce quantitative da ta related to the relationship between the shortage of well-qualified principals, including female and minority candidates, and district size. Ch i-square tests were used to determine whether relationships existed between district size and shortages of we ll-qualified principal can didates; relationships between district size and shortages of wellqualified female and minority candidates; and

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105 relationships between shortages of well-qualified principal candidate s and the presence of district succession policies. A t-test for independent samp les was used to determine significance between the extent to which succession planning policies are in place and the shortage of well-qualified principal candidates. Descriptive data collected fr om the survey provided insight into the quality of educational leadership prepar ation programs and the types of district preparation programs currently in place for aspiring principals. To explore the meaning of the te rm well-qualified as it relates to aspiring principals, an interview protocol was developed by the res earcher. This information collected through telephone interviews was analyz ed for commonalities among small, medium and large districts and compared to the 10 Florida Principal Lead ership Standards (Florida Department of Education, 2005b). Analyses of Survey Data Related to Research Questions Research Question 1: Is there a relati onship between a shortage of well-qualified candidates for principal vacancies and the size of the school dist rict? No relationship was found to exist between district size and a shortage of well-qualified princi pal candidateshowever shortages were reported to exist in school districts, rega rdless of their size at the elementary school level. There was a relationship between di strict size and a shorta ge of well-qualified middle school principal candidates. Shortages were reported to be greater at the middle school level in small school districts. There was no rela tionship between district size and a shortage of well-qualified principal candidates at the high school level--shortag es of principals at the high school level were reported to exist in school districts of all sizes. Regardless of the size of the school district, about the same number of districts anticipate d a shortage of well-qualified principals over the next 12 months as did not anticipate a shortage.

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106 Research Question 2: Is there a relationshi p between the shortage of well-qualified candidates for principal vacancies and the pr esence of written succession planning policies? Significance was found between the presence of written succession pl ans and well-qualified principal shortages. Where written succession pl ans were in place, fewer shortages of wellqualified candidates for elementary and middle sc hool principal vacancies were experienced. No significance was found between anticipated shortages of well-qualified principal candidates and the presence of written succession plans. Distri cts having succession plans and those not having succession plans all anticipated principa l shortages in the next 12 months. Research Question 3: Is there a relationship between the shortage of well-qualified female candidates for principal vacancies and the pr esence of written succession planning policies? No relationship was found between the shortage of well-qualified fe male candidates for principal vacancies and the presence of written succession planning policies. There appeared to be a sufficient number of well-qualified female candidates for vacant principal positions regardless of whether written succession pla nning policies were in place. Research Question 4: Is there a relations hip between the shorta ge of well-qualified minority candidates for principal vacancies and the presence of written succession planning policies? No relationship was found between the shor tage of well-qualified minority candidates for principal vacancies and the presence of written succession planning policies. There appeared to be an insufficient number of well-qualified minority candidates for vacant principal positions regardless of whether written successi on planning policies were in place. Research Question 5: Do perceived barri ers to having well-qua lified candidates for principal vacancies differ between districts expe riencing principal shorta ges and those districts which are not experiencing principal shortages? Respondents incorrectly followed directions on

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107 the survey, making it impossible to determine whether perceived barriers to having wellqualified candidates for principal vacancies diffe red between districts experiencing principal shortages and those not e xperiencing shortages. The perceived barriers most frequently selected by respondents were insufficient salary, stress, tes ting/accountability pressure s, time, and lack of interest by teachers. Research Question 6: Is there a relations hip between the degree to which districts encourage the development of aspiring principals and the shortage of we ll-qualified principal candidates? Significance was determined to exist between the degree to which districts encourage the development of aspiring principals and the shortage of we ll-qualified principal candidates. Districts which did no t anticipate shortages of well-qualified principals in the next 12 months had more succession plan components in place for recruiting, hiring and training new and aspiring principals than districts that did anticipate shortages. Descriptive Statistics from Survey Data Thirty-one (31) of the 36 districts, 91%, res ponding to the survey in dicated that they had aspiring principal programs in place. Nearly 2/ 3 (63%) of these dist ricts reported offering induction and mentoring progr ams for assistant principa ls and new principals. When asked to rate the quality of educatio nal preparation programs of recent candidates for school principal positions in terms of leadi ng and managing change and establishing a vision, 12 (33%) of the responding school districts indicated that tr aining was excellent, 20 (56%) indicated that training was ade quate, and only 2 (6%) indicated th at they felt training was not adequate. Two (2) districts did not respond to this question. Analysis of Structured Interview Protocol A structured interview protocol was designed to gather information regarding the meaning of well-qualified as it relates to aspiring principals. Five of the six interviewees indicated a

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108 shortage of well-qualified candida tes for vacant principal positions. The sixth interviewee, while indicating no shortage of principal candidates, indicated a limited number of applicants from which to choose. The meaning of well-qualified as it related to principal candidates generated a variety of responses that diffe red from district to district. A total of 49 descriptors were provided by respondents, about half of which re ferred to the Florida Principal Leadership Standards. District leaders from small, medium and large districts agreed that well-qualified means meeting job qualifications with appropr iate certification, alt hough one small district indicated that, because of a shortage, they we re willing to hire a person who was working on their principal cer tification. Other areas of agreement incl uded possession of leadership skills, having human resource skills and bei ng able to control emotions. A discussion of the qualifications lacking in aspiring principals ge nerated a total of 26 varied responses, 16 of which referred to the Fl orida Principal Leadership Standards. Lack of experience seemed to be the single theme agreed upon by all interviewees. The researcher correlated res ponses pertaining to well-qualif ied principal candidates and qualities lacking in aspiring principals which pr event them from being considered for vacant principal positions. Few consistencies were found, although all 10 standards were addressed when answers from the six interviewees were combined. When districts select well-qualified people to fill vacant principal positions they are not satisfied with the st atus quo, but apparently desire principals to exceed the qualifi cations set forth in the standards. Discussion This study of 36 Florida School Districts found that shortages of well-qualified principal candidates exist in small, medium and large school districts. This finding agrees with previous studies on principal shortages (Educational Re search Service [ERS], 1999; Institute for Educational Leadership, 2000; Potter, 2001; Snyder, 2002; Do ud & Keller, 1998; Fenwick &

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109 Pierce, 2001). My study found that shortages were signif icant at the middle school level in small school districts. Research into shortages of we ll-qualified principal candida tes in small or rural districts could yield interesting and valuable information. It may be that the distance of teachers in small/rural districts from universities offering graduate programs in educational leadership or leadership certification programs makes it difficult for them to pa rticipate. The rising trend of university on-line courses may provide more opportuni ties in the future to attract candidates into such graduate programs and thus into the principalship. This study determined that of the 36 Florida Sch ool Districts that respon ded to this survey, written succession planning policies existed in 23 (64%) of these district s. Although all surveyed districts anticipated shortages regardless of the presence of succession planning policies, districts having succession plans experienced fewer shorta ges. Research on the impact of succession planning in educational settings is fairly new (Normore, 2001), varied and limited (Hart, 1993). This research identified a total of 19 component s for recruiting and hiring aspiring principals and 15 components for training aspiring principals. Districts with more components in place had fewer shortages. The current research suggest s the importance of succession planning policies for recruiting, hiring and training aspiring princi pals. Succession literature supports this finding (Barth, 2001; Doud & Keller, 1998; Fenwick & Pierce, 2001; Hart 1993; Lovely, 2004; Potter, 2001; Weingartner, 2001). Thirty-one (31) of the 36 districts (91%) in this study indicated that they have aspiring principal programs in place. These results are somewhat different from the 1998 ERS survey which found that only 27% of districts su rveyed had aspiring principal programs. Of the 36 districts surveyed, 22 (62%) reported that they had induction programs in place for new principals and 21 (59%) reported ment oring programs for new principals. The 1998 ERS

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110 survey found that 46% of their respondents ha d formal induction/mentoring programs for new principals. My study also determined that i nduction and mentoring programs for assistant principals existed in 22 (61%) of the districts surveyed. It appears that in the past nine years the popularity and importance of mentor ing/induction programs has incr eased. This agrees with the research by Doud and Keller (1998), which determined that principal mentorship programs are gaining in popularity. Further res earch into the value of mentori ng programs to new principals should be considered. Unless research proves ot herwise, mentoring and induction programs for aspiring and new principals should be compone nts of school district succession plans. Of the 36 districts surveyed in this study, 34 (97%) reported that finding well-qualified females for vacant principal positions was not an issue. This supports research by Doud and Keller (1998) and ERS (1998). However, a study by RAND Education (2004) found that women teachers are less likely than male teachers to move into positions as assistant principals, principals and superintendents. The extent to which women are choosing to enter the principalship warrants further research. Similar to previous research (Doud & Keller, 1998; ERS, 1998; RAND, 2004; Thomas B. Fordham Institute, & The Broad Foundation, 2003) I found that shortages of well-qualified minority principal candidates exist in small, medium and large districts regardless of the presence of succession planning policies. School di stricts, professional education organizations and universities should continue to investigate ways to attract minorities into education. They should work diligently to recruit and hire talented minority educators who demonstrate leadership potential and find ways to motivate them to enter school l eadership programs. A strong succession plan should in clude recruiting, hiring and trai ning programs specifically aimed at attracting and nurturing talented minority candidates for principal positions.

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111 Like previous studies (Doud & Keller, 1998; ERS, 1998; Lovely, 2004) this researcher found that insufficient salary, stress, testing/accoun tability, time and lack of interest by teachers were noted most often. The ERS study did not find testing and accountability pressures in the top five in 1998, nor did Doud and Keller. However, th e onset of NCLB in 2001 with its associated accountability measures could explain the reason for the current difference in 2006. Research clearly points to a strong correlation between effective principals and student achievement (Hallinger & Heck, 1998; Kelly & Peterson, 2002; New Leaders for New Schools, 2005). Superintendents and local school boards, as well as legislat ors holding fiscal responsibility have the power and authority to ad equately compensate prin cipals in the current era of increased accountability. They should act responsibly to bring about needed change in local and state budgets. As pointed out in the ERS survey (1998) the responsibilities of the principalship call for increased compensation to encourage potential applicants. Without adequate compensation, the probability of a decl ine in well-qualified pr incipal candidates is likely to continue, especially in rural distri cts (Lovely, 2004). A well t hought out and adequate compensation component should be part of each districts succession plan. When asked to rate the quality of educationa l preparation programs of recent candidates for school principal positions in terms of leadi ng and managing change and establishing a vision, 35% of responding school district s indicated that training was excellent, 56% indicated that training was adequate, and only 6% indicated that they felt tr aining was not adequate. These findings are closely related to those reported in a 1998 Educationa l Research Service study. That study found one-third of those surveyed believed th at the preparation of principal candidates was excellent, and nearly all believed their recen t candidates to be ad equately prepared.

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112 In contrast to the survey results indica ting that principal candidates had adequate preparation, the qualitative aspect of this study points out that aspiring principal candidates often lack experience. This lack of experience preven ts many candidates from be ing hired for principal positions. Doud and Kellers 1998 study pointed out th at principals who they surveyed highly valued their experiences as teachers, as assistan t principals and as participants in principal preparation programs which provided on-the-jo b training. Succession planning research also points to the importance of pr oviding various leadership ex periences (Conger & Fulmer, 2003; Daresh & Male, 2000; Leibman et al., 1996; Tucker & Codding, 2002). When considering alternative certification routes fo r principals or elimination of pr incipal certification altogether, it is crucial that policy makers consider the va lue of experience in an educational setting for creating highly qualified princi pals. Internships should remain as components of educational leadership programs; teacher leaders should be nu rtured in schools; a nd assistant principals should be provided with a vast array of experiences under the di rection of their supervising principal. These components, as part of a sc hool district succession plan, will maintain and strengthen the principalship. The 10 Florida Principal Leadership Standard s (Florida Department of Education, 2005b) were designed as a tool to sust ain and reinforce the profession. Instructional leadership Managing the learning environment Learning, accountability and assessment Decision making strategies Technology Human resource development Ethical leadership Vision Community and stakeholder partnerships Diversity

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113 Interviewees questioned about th e meaning of well-qualified as it relates to candidates for vacant principal positions rarely mentioned th ese standards in specific terms, although they were inferred in more than half of the commen ts made. Clearly these standards should form the basis of succession planning in Floridas school districts. Alth ough the standards were designed with Florida principals in mind, their universalit y make them particular ly useful throughout the nation and perhaps in other countries, as well. This study points out that even though dist ricts have succession plans in place, strong concerns remain about filling vacant principal positions with well-qualif ied candidates and the extent of principal shortages. There are reasons why well-qualified peop le are not entering the principalship and there are also reasons why they are leaving the profession, contributing to principal shortages. This study a nd previous research have iden tified important barriers that prevent potential candidates from entering the prin cipalship: insufficient sa lary, stress, testing/ accountability pressures and time. Compounding the i ssue is a lack of inte rest by teachers to choose school administration as a career pat h. School districts typically grow their own principals from among the teaching ranks. Strong su ccession plans typically produce an internal hire rate of 75-80% (Conger & Fulmer, 2003). Potent ial principals will not be attracted from the teaching ranks to invest in additional education for certification if school boards do not address the above mentioned barriers. Unless school districts adequate ly compensate entry level sch ool administrators, there are limited incentives for experienced teachers to choose school admi nistration as a career path. District level administrators that I interviewed indicated that practical experience was needed by aspiring principals to make them well-qualifie d. Many districts have committed additional funds to provide stipends for teachers to take on leadership roles (Lovely, 2004). Districts with

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114 effective succession plans have additional compen sation in place for teachers who choose to work in quasi-administrative roles as they build their leadership expertise. It appears that teachers with experience may not be attracted into careers as school principals because of discrepancies in salary schedules. Becoming a sc hool administrator in some school districts may result in a cut in pay for a tenured teacher to go from the high end of the teacher salary schedule to the low end of the administrator salary schedu le. Until school district s provide an appealing salary and benefit package to at tract experienced teachers, they will be limited by the number of teachers entering the principalship. Testing and accountability, as we ll as increased time comm itment, appear as primary stressors felt by principals and observed by those in the teaching profession. Teachers need to understand the commitment of time by obs erving and experiencing time-consuming administrative activities beyond the regular school day to determine their read iness for the role of principal. This could include, but is not limited to, community service, after-school functions such as PTA and School Advisory Council, dist rict level committees, extra-curricular and athletic events. When aspiring principals are properly mentored and nurtured by experienced principals who love what they do, they may be more inclined to see the extra time commitments as an investment in the future of young people and not merely an added stress. Adequate financial compensation for the additional responsi bilities and time commitment may heighten the appeal of the principalship. Threats of negative consequences attached to school accountability by local, state and federal agencies tend to undermine the autonomy of the principal. Public and media attention to improve student performance standards, such as school letter grades in the state of Florida, place additional stress on the principal. Principals must respond to the stress felt by parents, students

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115 and teachers regarding accountability for test resu lts. This has the potential to negatively affect the desirability of careers in school ad ministration. Teachers recognize the potential consequences that impact the principals ro le and are often unwilling to assume such responsibility. If school district s will make a commitment to address barriers that prevent experienced teachers from entering school admi nistration they could diminish the negative perception of the role of the pr incipal and help reduce principal shortages. When districts value principals enough to put in place well-thought out succession plans to attract well-qualified people into the principalship they are sending a strong message to se ated principals that they are also valued. An investment in as piring and new principa ls at the beginning of their careers could pay high dividends in reduci ng the number of principals leaving the profession. Based on my research and current literature read as part of my study, I recommend that school districts desiring to attract and retain well -qualified principals give strong consideration to succession plans that contain the following componen ts. In Florida attention should be given to aligning these components with the 10 Florida Principal Leadership Standards. Succession Planning Components for Recruiting and Hiring New and Aspiring Principals Design programs to recruit talented and diverse teachers with promise for future leadership. Provide stipends for teachers who assu me leadership roles beyond the regular school day Design initiatives to familiarize outstanding teac hers having leadership ability with the principalship Provide formal and informal socialization opport unities for teachers to meet key district personnel and experienced principals Seek leadership development grants or endowments from the business community and philanthropic organizations to assist with funding. Provide mentor training and mentors for new principals and assistant principals. Train administrators in the use of a system atic recruitment and selection process that includes: o Standardized interview guides o Diversity and sensitivity training o Selection interview process o Selection based on observation and/or simulation

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116 o Paper, pencil screening o Web-based personnel and job information systems Develop and train a pool of assi stant principal and principal candidates regarding district practices and policies. Provide signing bonuses when hi ring for high needs schools. Provide money to assist experienced school administrators with moving and relocation expenses. Document a competitive salary and benefit compensation program. Succession Planning Components for Trai ning New and Aspiring Principals Provide an induction and mentor ing program for principals. Provide special compensation du ring a principal internship. Provide job shadowing opportunities in low, medium, and high SES schools. Collaborate in planning with local or area un iversities and neighbor ing school districts. Collaborate with local, state and/or national principals associations Provide leadership development seminars. Document the ability of aspiring principals to meet required competencies using performance based assessments and portfolios. Until school districts and the public demonstrate that they value school principals for the work that they do, the ability to attract and re tain well-qualified princi pals will continue in jeopardy. Succession plans are an important aspect of addressing this cr isis facing our school districts. Recommendations for Further Study The sample for this research study was relati vely small of 67 Flor ida school districts. Expanding this study to include a larger sa mple may provide additional information. Similar studies might include districts of sim ilar size in various stat es or regions of the country. Collecting data from such sources as The Council of th e Great City Schools might provide additional insight about su ccession planning in urban districts. Qualitative case studies of succession planning policies in districts not experiencing shortages of well-qualified principal candida tes might provide insight into successful models of principal recruiting, hiring, training, and prep aration policies. These models could serve as resources for districts in n eed of improving their ow n succession plans to reduce principal shortages. Trends in filling vacant principal positions with females and minority candidates could be explored to determine whether shortages are increasing or diminishing or whether such shortages are regional or localized phenomena.

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117 Research on how Florida universities and school districts align their principal preparation programs with the 10 Florida Principal Lead ership Standards would provide insight related to the quality of principal preparat ion programs and the resulting effect of producing well-qualified principal candidates. Research into barriers that discourage t eachers from entering the principalship would assist school districts in dete rmining how to attract more teacher candidates for vacant principal positions. Such research could al so assist universities in designing courses which would assist prospectiv e principal candidates in ove rcoming perceived barriers. Professional organizations that support princi pals might be involved in such studies. The same barriers that discourage teachers fr om entering the principalship may also cause seated principals to leave the profession. Res earch to determine specific factors that lead principals to leave the prof ession would provide school di stricts, universities, and professional educational organizations with important information regarding principal retention and succession planning. Summary Through the use of quantitative and qualitative da ta this study explored principal shortages in 36 of the 67 Florida School districts and implications for succession planning policies recruiting, hiring and tr aining of aspiring principals. Conc lusions formulated include the following: (a) school districts in Florida are e xperiencing shortages of well-qualified principal candidates regardless of size; (b) school dist ricts with succession planning policies in place experienced fewer shortages of well-qualified pr incipal candidates; a nd (c) districts with comprehensive succession plans for recruiting, hi ring and training new and aspiring principals experienced fewer shortages. Other findings in dicated that finding well-qualified female applicants for vacant principal positions was not an issue, and succession planning policies do not assure adequate numbers of well-qualified minority applicants for vacant principal positions. Districts reporting shortages for vacant princi pal positions listed insufficient salary, stress, testing/accountability, increased time commitments and lack of interest by teachers as barriers preventing well-qualified app licants from applying.

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118 The qualitative aspect of this study found that th e meaning of well-qua lified as it relates to aspiring principals varies from district to di strict. When districts sel ect well-qualified people to fill vacant principal positions they are not satisfied with the status quo, but desire principals to exceed the qualifications set forth in the 10 Florida Principal Leadership Standards. Recommendations for components of district succession plan s were provided to address recruiting, hiring and retaining well-qualified principals. Othe r recommendations addressed barriers preventing well-qualifie d candidates from entering the principalship. Recommendations for further study were also presented.

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119 APPENDIX A PERMISSION FOR USE OF EDUCATIO NAL RESEARCH SERVICE SURVEY Kim: What a great topic of research to pursue! I have spoken with our president, Dr. John Forsyth, and he said ERS would be happy to grant you permission to utilize the 1998 study. In kind, we would like to assist you in disseminating your doctoral study, particularly through our quarterly journal Spectrum. As a formality, I will be faxing you a copyright permission form. Please complete this form and return to me. Please disregard the payment information on the form, as Dr. Forsyth has waived these charges for you. We would like to know your timeline for completion of your study, so we can better assist you in publishing your results in Spectrum. Please let me know if you have any questions, or need any additional information. Also, Nancy Protheroe can be reached at nprotheroe@ers.org ; I will forward your email to her. We look forward to working with you to publish your results. Kristine Stoneley Marketing & Member Services Specialist Educational Research Service 2000 Clarendon Boulevard Arlington, VA 22201 phone: 703-243-2100 direct line: 703-248-6245 fax: 703-243-3922 kstoneley@ers.org www.ers.org -----Original Message----From: Stutsman, Kim I. [mailto:stutsmk@ocps.k12.fl.us ] Sent: Wednesday, August 18, 2004 10:50 AM To: ers@ers.org Subject: Principal shortage study Dear ERS, I am a principal in Orange County Public Schools in Florida and I am also a doctoral student at University of Florida. My research is on succession planning for the principalship. I am very interested in using the study conducted by ERS in 1998, "Is There a Shortage of Qualified Candidates for Openings in the Principalship?" I would like to take your study and survey Florida School districts using many of the same questions. Would you give me permission to do so? Additionally, I would welcome an opportunity to talk with or email Nancy Protheroe in regard to her research in this area to take advantage of her expertise. If possible, please reply with her email address or perhaps you could forward a copy of my email to her. Thank you so much for your assistance. I look forward to hearing from you soon. Sincerely, Kim Stutsman Kim I. Stutsman, Ed.S. Principal, Lakeville Elementary School 2015 Lakeville Rd. Apopka, FL 32703 Phone: 407-814-6110 ext. 222 Fax: 407-814-6120 email: stutsmk@ocps.net

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120 APPENDIX B SURVEY INSTRUMENT 1 Title of person completing this survey (Please check the appropriate response) _____ a. Superintendent _____ b. Assistant Superintendent _____ c. Associate Superintendent _____ d. Area Superintendent _____ e. Human Resource Officer _____ f. Personnel Director _____ g. Recruitment Office _____ h. Office of Professional Development _____ i. Other _______________________________ Please place a check ( ) next to your answer to the following questions. 2. Size of school district based on st udent membership/number of students _____ a. Smallless than 10,000 _____ b. Medium,000-50,000 _____ c. LargeMore than 50,000 Is There A Shortage of WellQualified Candidates for Openings in the Principalship in Florida Public School Districts? Demographic Information

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121 For the purpose of this study th e following definitions apply: Induction: professional socialization activ ities designed to provide ne w principals and assistant principals with training by which they acquire th e values, norms, attitudes, knowledge, skills and techniques needed to adequa tely perform their duties. Mentoring Program: a formal program consisting of persons who act as guides or role models for aspiring principals, listening, offe ring guidance, advice, and direction. Minority: African-American or Hispanic. Well-qualified: those having entry level characteristi cs found in the 10 Florida Principal Leadership Standards: vision; instructional leadership; ma naging the learning environment; community and stakeholder partnerships; decisi on making strategies; diversity; technology; learning, accountability and assessment; human re source development; and ethical leadership. 3. Does your district have an aspiring principals program to recruit and prepare candidates for assistant principals and prin cipals from among current distri ct staff such as teachers? _____ a. Yes _____ b. No 4. Does your district have a formal induction program for new assistant principals ? _____ a. Yes _____ b. No 5. Does your district have a formal mentoring program for new assistant principals ? _____ a. Yes _____ b. No 6. Does your district have a formal induction program for new principals ? _____ a. Yes _____ b. No 7. Does your district have a formal mentoring program for new principals ? _____ a. Yes _____ b. No Principal Preparation Principal Preparation

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122 8. How would you characterize th e educational preparation of recent candidates for school principal positions (in terms of leading and managing change and establishing a vision)? _____ a. Excellent _____ b. Adequate _____ c. Not adequate 9. Has the need to increase the number of women working in school-based administrative positions been an issue in your district? _____ a. Yes _____ b. No 10. Has the need to increase the number of minorities working in school-based administrative positions been an issue in your district? _____ a. Yes _____ b. No For the purpose of this survey, Elementary Schools include grades K-5; Middle Schools include grades 6-8; High Sc hools include grades 9-12. The next five questions refer to elementary schools. 11. How many elementary assistant principal vacancies have you filled in the past 12 months? _____ 12. How many elementary principal vacancies have you filled in the past 12 months? _____ 13. Did any well-qualified female candidates apply for your elementary school principal positions in the past 12 months? _____ a. Yes _____ b. No 14. Did any well-qualified minority candidates apply for your elementary school principal positions in the past 12 months? _____ a. Yes _____ b. No Principal Recruitment, Hiring and Training

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123 For the next question, please think about the principal vacancies you have filled in the elementary schools. 15. In your opinion was there _____ a. a surplus of well-qualified candidates? _____ b. a shortage of well-qualified candidates? _____ c. about the right numbe r of well-qualified candidates? The next five questions refer to middle schools. 16. How many middle school assistant principal vacancies have you filled in the past 12 months? _____ 17. How many middle school principal vacancies have you f illed in the past 12 months? _____ 18. Did any well-qualified female candidates apply for your middle school principal positions in the past 12 months? _____ a. Yes _____ b. No 19. Did any well-qualified minority candidates apply for your middle school principal positions in the past 12 months? _____ a. Yes _____ b. No For the next question, please think about the principal vacancies you have filled in the middle schools. 20. In your opinion was there _____ a. a surplus of well-qualified candidates? _____ b. a shortage of well-qualified candidates? _____ c. about the right number of well-qualified candidates? The next five questions refer to high schools 21. How many high school assistant principal vacancies have you filled in the past 12 months? _____ 22. How many high school principal vacancies have you filled in the past 12 months? _____

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124 23. Did any well-qualified female candidates apply for your high school principal positions in the past 12 months? _____ a. Yes _____ b. No 24. Did any well-qualified minority candidates apply for your high school principal positions in the past 12 months? _____ a. Yes _____ b. No For the next question, please think about the principal vacancies you have filled in the high schools 25. In your opinion was there _____ a. a surplus of well-qualified candidates? _____ b. a shortage of well-qualified candidates? _____ c. about the right number of well-qualified candidates? 26. If your school district has experienced a shortage of well-qualified candidates for school principal positions in the last 24 months, what do you perceive to be barriers that prevent wellqualified applicants from applying for your principal positions? (Rank order your top five reasons with 1 being least important and 5 being most important.) If there is no shortage in your district, you may go to question 27. _____ a. Job generally too stressful _____ b. Societal problems (poverty, lack of family support, etc.) make it difficult to focus on instruction _____ c. Too much time on the job is required _____ d. Testing/Accountability pressures _____ e. Difficult to satisfy demands of parents and/or community _____ f. Nature of the job viewed as less satisfying in practice than in theory _____ g. Inadequate funding for schools _____ h. Salary/Compensation not suffici ent as compared to responsibilities _____ i. Fewer experienced teachers interested in becoming assistant principal/principal _____ j. Bad press and public relations problems for schools _____ k. No tenure _____ l. Loss of teacher tenure _____ m. Openings not well publicized _____ n. Not feeling sufficiently prepared _____ o. Other (please explain) _______________________

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125 27. Do you anticipate that your sc hool district will e xperience a shortage of well-qualified candidates for school principal positions in the next 12 months? ______a. Yes ______b. No 28. Which of the following components does your di strict have in place to aid in recruiting and hiring aspiring principals? (Check all that apply) _____ a. Program to recruit talented teachers to develop and utilize their leadership skills _____ b. Collaboration with a local university or universities _____ c. Diversity and/or sensitiv ity training for hiring and recruitment _____ d. Initiatives designed to familiari ze outstanding teachers having leadership ability with the principalship _____ e. Web-based personnel information system _____ f. Web-based job information system _____ g. Assistant prin cipal pool of candidates _____ h. Systematic recruitm ent and selection processes _____ i. Stipends for teachers who assu me leadership roles beyond the regular school day _____ j. Use of grants or endowments from the business community _____ k. Selection interview process _____ l. Standardized interview guides _____ m. Selection based on observation and/or simulation _____ n. Paper, pencil screening _____ o. Formal socialization opportunitie s for teachers to m eet key district personnel and current principals _____ p. Informal socialization opportunities _____ q. Relocation money _____ r. Signing bonus for high needs schools _____ s. Mentors _____ t. Other (please explain) ______________________________________

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126 29. Which of the following components does your district have in place to train aspiring principals? (Check all that apply) _____ a. Collaboration with a local university or universities _____ b. Collaboration with other local districts _____ c. Collaboration with state and/ or national principa ls associations _____ d. Mentoring program _____ e. Leadership development programs _____ f. Monthly seminars _____ g. Performance based assessments _____ h. Partnerships with local bu sinesses focusing on leadership training _____ i. Job shadowing _____ j. Paid internships _____ k. Demonstration of required competencies _____ l. Portfolio _____ m. Formal socialization opportunities for prospective principals to meet with key district personnel and current principa ls and other prospective principals _____ n. Informal socialization opportunities for prospective principals to meet with key district personnel, cu rrent principals and othe r prospective principals _____ o. Use of retired principa ls for training and/or mentoring _____ p. Other (please explain) ______________________________________ 30. Does your district have a written succession plan for recruiting, hiri ng and training aspiring principals? ______a. Yes ______b. No 31. Are the components that you checked in item s 28 and 29 part of your districts written succession plan? ______a. Yes ______b. No

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127 I am willing to be interviewed by the researcher regarding characteristics of well-qualified principals. Name: _________________________________________________________________ Phone #: _______________________________________________________________ Email address: __________________________________________________________ Thank you for participating in this survey. If you w ould like a copy of the results of this research project, please check here. _____ Indicate the address to which you would like the results sent. _______________________________________________________________________ (This survey is based on a 1998 Survey conducted by Educational Research Service. Used with permission.)

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128 APPENDIX C PILOT SURVEY Is There A Shortage of Qualified Candidates for Openings in the Principalship in Florida Public School Districts? Title of person completing this survey (Please check the appropriate response) _____ a. Superintendent _____ b. Assistant Superintendent _____ c. Associate Superintendent _____ d. Area Superintendent _____ e. Human Resource Officer _____ f. Personnel Director _____ g. Other _______________________________ Please place a check next to your answer to the following questions. Student membership/number of students _____ a. Less than 5,000 _____ b. 5,000-9,999 _____ c. 10,000-29,999 _____ d. 30,000-49,999 _____ e. 50,000-99,999 _____ f. Over 100,000 Type of School District (choose one) _____ a. Urban _____ b. Suburban _____ c. Rural

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129 1. Have you filled at least one school pr incipal vacancy in the last year? _____ a. Yes _____ b. No 2. Does your district have an aspiring principals program to recruit and prepare candidates for these positions from among current district staff such as teachers? _____ a. Yes _____ b. No 3. Does your district have a formal induction program for new assistant principals ? _____ a. Yes _____ b. No 4. Does your district have a formal induction program for new principals ? _____ a. Yes _____ b. No 5. Does your district have a formal mentoring program for new assistant principals ? _____ a. Yes _____ b. No 6. Does your district have a formal mentoring program for new principals ? _____ a. Yes _____ b. No 7. How would you characterize th e educational preparation of recent candidates for school principal positions (in terms of leading and managing change and establishing a vision? _____ a. Excellent _____ b. Adequate _____ c. Not adequate 8. Has the need to increase the number of women working in management positions in schools been an issue in your district? _____ a. Yes _____ b. No 9. Has the need to increase the number of minorities working in management positions in schools been an issue in your district? _____ a. Yes _____ b. No The next three questions refer to assistant principal vacancies. 10. How many elementary assistant principal vacancies have you filled in the past twelve months? _____

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130 11. How many middle school assistant principal vacancies have you filled in the past twelve months? _____ 12. How many senior high assistant principal vacancies have you filled in the past year? _____ The next three questions refer to principal vacancies. 13. How many elementary principal vacancies have you filled in the past twelve months? _____ 14. How many middle school principal vacancies have you fille d in the past twelve months? _____ 15. How many senior high principal vacancies have you fill ed in the twelve months? _____ For the next question, please think about th e principal vacancies you have filled in the elementary schools. 16. In your opinion was there _____ for the elementary positions you filled this school year? _____ a. a surplus of qualified candidates _____ b. a shortage of qualified candidates, or _____ c. about the right num ber of qualified candidates For the next question, please think about th e principal vacancies you have filled in the middle schools. 17. In your opinion was there _____ for the middle school positions you filled this school year? _____ a. a surplus of qualified candidates _____ b. a shortage of qualified candidates _____ c. about the right num ber of qualified candidates For the next question, please think about th e principal vacancies you have filled in the senior high schools. 18. In your opinion was there _____ for the senior high school positions you filled this school year? _____ a. a surplus of qualified candidates _____ b. a shortage of qualified candidates _____ c.. about the right num ber of qualified candidates

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131 19. What do you think discourages or prevents qualified appli cants from applying for your elementary principal positions? Rank order your top five reasons with 1 being least important and 5 being most important. _____ Job generally too stressful _____ Societal problems (poverty, lack of family support, etc.) make it difficult to focus on instruction _____ Too much time required _____ Testing/Accountability pressures too great _____ Difficult to satisfy demands of parents and/or community _____ Nature of the job viewed as less satisfying th an previously _____ Inadequate funding for schools _____ Salary/Compensation not sufficient as compared to responsibilities _____ Fewer experienced teachers inte rested in becoming assistant principal/principal _____ Continuing bad press/public relations pr oblems for district in general place pressure on principals _____ No tenure associated with the positions _____ Lose tenure as a teacher if move to principal or assistant principal position _____ Openings not well publicized _____ Other (Please sp ecify)________ _______________ 20. Did any qualified female candidates apply for your elementary school positions? _____ a. Yes _____ b. No 21. Did any qualified female candidates apply for your middle school positions? _____ a. Yes _____ b. No 22. Did any qualified female candidates apply for your senior high school positions? _____ a. Yes _____ b. No 23. Did any qualified minority candidates apply for your elementary school principal positions? _____ a. Yes _____ b. No 24. Did any qualified minority candidates apply for your middle school principal positions? _____ a. Yes _____ b. No 25. Did any qualified minority candidates apply for your senior high school principal positions? _____ a. Yes _____ b. No

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132 26. If your district has a formal induction program for new assistan t principals or new principals, please describe in the space below or attach a description of the program(s). 27. If your district has a form al mentoring program for new assistant principals or new principals, please describe it in the space below or attach a description of the program(s). Thank you for participating in this survey. If you would like a copy of the results, please check here. ___________ Indicate the address to which you would like the results sent. ________________________________________________________________________ (This survey is based on a 1998 Survey conduc ted by the Educational Research Service. Used with permission.

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133 APPENDIX D UFIRB

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134 APPENDIX E INFORMED CONSENT LETTER Kim K. Stutsman, Ed.S. University of Florida Doctoral Student 1138 Brandy Lake View Circle Winter Garden, FL 34787 407-814-6110 (w) 407-656-3965 (h) catts3@ufl.edu April 1, 2006 Dear Educational Colleague, We are all aware of the impact that the No Child Left Behind Act of 2001 (N CLB) has had on our educational system. School districts must insure that their students demonstrate academic progress and produce work that is of high quality. Staffing schools with highly qualified teachers and principals is central in determining that our students receive the quality education they deserve. As a University of Florida doctoral candidate, I am inves tigating principal shortages and written succession planning policies developed by the 67 Florida Schoo l Districts. Please respond to the encl osed survey, Is There a Shortage of Well-Qualified Candidates for Openings in the Pr incipalship in Florida Public School Districts? The information gathered may be helpful in assisting di stricts and universities determine the components that are most critical to the recruitment, training and deve lopment of principal candidates. There are no right or wrong answers. You do not have to answer any question you do not wish to answer. No reference wi ll be made to any individual in the data analysis. This survey can be completed in about 30 minutes. You will be assigned an identifying code number to assure your anonymity. The list connecting your name to this number will be kept in a locked file in my home and will be destroyed once the data has been analyzed and the research project completed. Your name will not be identified in this project in any way. All responses will be strictly confidential. Please read and sign the enclosed Informed Consent Document and mail it separately in the stamped, pre-addressed envelope enclosed at the same time that you return the surv ey. Retain this cover letter, containing the informed consent information, for your records. For clar ification or questions, feel free to cont act: Kim Stutsman, 407-656-3965, or Dr. James Doud, University of Florida, 352-392-2391 ext. 275. In addition to the information provided above, the University of Florida Institutional Review Board policy requires the researcher to provide participants with the following information: 1. This project does not involve any immediate or fore seen (a)benefits, (b)risks or (c)compensation. 2. Questions or concerns about resear ch participants rights can be dir ected to the UFIRB Office, Box 112250, University of Florida, Gainesville, FL 32611-2250. 3. Research participants are free to withdraw consent an d discontinue participation in the project at any time without prejudice. I have read the procedure described above. I voluntarily agree to participate. I have received a copy of this description. Please sign the enclosed Informed Consent Document to indi cate that you have read the informed consent information contained in this cover letter and agree to participate in this study. Mail the pre-addressed, stamped letter separately, at the same time the survey is mailed, by June 1, 2006. Thank you very much for your time and cooperation. Your valuable input is need ed to complete this research study. Sincerely, Kim I. Stutsman, Ed. S. University of Florida

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135 APPENDIX F INFORMED CONSENT FORM

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136

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137 APPENDIX G STRUCTURED INTERVIEW PROTOCOL Thank you for agreeing to do a phone interview regarding the shortage of well-qualified candidates for principal vacanci es in your school district. 1. Do you consider your school district to be a small, medium or large district? 2. Do you believe that your district is experien cing a shortage of we ll-qualified candidates for vacant principal positions? 3. How would you describe a well-qualified candi date for a vacant principal position? 4. Do these descriptors differ based on whether the position is for elementary, middle or high school? 5. If yes, in what ways? 6. What skills do you believe aspiring principals lack that prevent them from being considered well-qualified?

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138 LIST OF REFERENCES Abernathy, V. C. (2000 ). A descriptive case study of a Fl orida school districts human resource management development plan: Preparing New Principals Program (Doctoral dissertation, University of Florida, 2000). Di ssertation Abstracts International, 61 (06), 2111. (UMI No. 9976511) Administrative Rule: 6A-4.0081 Florida School Pr incipal Certification. (1988). Florida State Board of Education. Available http://www.fldoe.org/rules Alvey, H., & Robbins, P. (1998). If I only knew--: Successful strategies for navigating the principalship Thousand Oaks, CA: Corwin Press. Archer, J. (2002). Principals: So much to do, so little time. Education Week 21 1, 20. Arvey, R. D., & Campion, J. E. (1982). The empl oyment interview: A summary and review of recent research. Personnel Psychology 35 281-322. Aspin, D. N. (1996). Education and the concept of knowledge: Implicatio ns for the curriculum and leadership. In K. Leithwood, J. Chapma n, D. Corson, P. Hallinger, & A. Hart (Eds .), International handbook of educatio nal leadership and administration (pp. 91-134). Dordrecht, Netherlands: Kluwer Academic Publishers. Association of California School Administrators. (2000). Study c onfirms principalship shortage in CA. Education California, 29 (39), 1,9. Baldwin, M. D. (2004). The strategy of succession planning Southport, CT: Center for Simplified Strategic Planning, Inc. Retrieved January 5, 2004, from http://www.strategyletter.com/cp_0100/cp_fa.asp Baltzell, D., & Dentler, R. (1983). Selecting American school principals: Research report Cambridge, MA: Abt. Barber, A. E. (1998). Recruiting employees: Individual and organizational perspectives Thousand Oaks, CA: Sage Publications. Barker, B. (2003). Accountability and authority: What principals need in a performance-based system. Northwest Education Magazin, 5 1-5. Barth, R. (1990). Improving schools from within San Francisco: Jossey-Bass. Barth, R. (2001). Learning by heart San Francisco: Jossey-Bass. Bredeson, P. V. (1996). New directions in preparat ion of educational leaders. In K. Leithwood, J. Chapman, D. Corson, P. Hallinger & A. Hart (Eds .),. International handbook of educational leadership and administration. (pp. 251-277). Dordrecht, Netherlands: Kluwer Academic Publishers.

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139 Brookover, W., Beamer, L., & Efthim, H. (1982). Creating effective schools. Holmes Beach, FL: Learning Publications. Bryant, B. J. (1978). Employment factors superintendents us e in hiring administrators for their school districts Prepared for the Association for Sc hool, College, & University Staffing. Educational Resources Information Cent re (ERIC Document Reproduction Service No.9866). Butler, K. & Roche-Tarry, D. E. (2002). Su ccession planning: Putting an organizations knowledge to work Nature Biotechnology, 20, 201-202. Retrieved January 5, 2004, from http://www.nature.com/ Caldwell, B. J., Calnin, G. T., & Cahill, W. P. (2002). Mission possible? An international analysis of training for principals. In M. Tucker & J. Codding (Eds.), The principal challenge: Leading and managing schools in an era of accountability (pp. 203-243). San Francisco: Jossey-Bass. Center for Simplified Strategic Planning, Inc.(2004). Compass points. Retrieved January 5, 2004, from http://www.strategyletter.com/ Commission on Teacher Credentialing. (1992). An examination of the preparation, induction, and professional growth of school administrators for Califo rnia: Draft report October 1992 Sacramento, CA: State of California Commission on Teacher Credentialing. Conger, J. A., & Fulmer, R. M. (2003, December). Developing your leadership pipeline. Harvard Business Review 81 76-84. Council of State Schoo l Officers (1996). Interstate school leaders licensure consortium: Standards for school leaders. Washington, DC: Author. Creswell, J. W. (1994). Research design: Qualitative and quantitative approaches. Thousand Oaks, CA: Sage. Crow, G. M., & Matthews, J. (1998). Finding ones way: How mentoring can lead to dynamic leadership. Thousand Oaks, CA: Corwin Press, Inc. Crow, G. M., Mecklowitz, B., & Weekes, Y. N. (1992). From teaching to administration: A preparation institute. Lancaster, PA: Technomic. Daresh, J. C. (1986). Support for beginning principals: First hurdles are highest. Theory into Practice, 23, 169-173. Daresh, J., & Male, T. (2000). Crossing the bord er into leadership: Experiences of newly appointed British head teacher s and American principals. Educational Management and Administration, 28 89-101.

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149 BIOGRAPHICAL SKETCH Kim Kotila Stutsman was born in Detroit, Mi chigan in 1945. The eldest of two daughters of Ralph and Ruth Kotila, she spent the majo rity of her elementary and high school years growing up in a small rural community in western Michigan. After graduating with honors from high school, she attended Michigan State University for two years, majoring in elementary education. Marriage and the birth of her three children, Tammy, Jill and Eric, interrupted her goal to be come a teacher. Upon moving to Florida in 1976, she secured a position as a teachers aide in the elementary school that her children attended. Encouraged by teachers with whom she worked, she returned to college and subsequently obtained her Bachelor of Arts in Education degr ee from the University of Central Florida in 1981. As a third grade teacher, Kims quest for profe ssional growth led her to complete a Master of Education Administration degree in 1990 from the University of Central Florida and to participate in a summer seminar for teachers, sponsored by the National Endowment for the Humanities at Lake Forest College. In 1991 she wa s appointed as an assistant principal and in 1995 became principal of McCoy Elementary School She relocated to Lakeville Elementary School as principal in 1999. Kim was awarded a Specialist of Education degree in Educational Leadership in 2002 and a Doctor of Education de gree in 2007 from the University of Florida. Kim resides in Winter Garden, Florida with her husband, Larry Stutsman. They have six grandchildren. Her future goals include mentori ng aspiring principals a nd guiding children to reach their potential as life-long learners and contributing members of our global community.