Professional assistance for first-year assistant principals

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Professional assistance for first-year assistant principals perceptions from the field
Krett, Marcia A
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xiii, 246 leaves : ; 28 cm


Subjects / Keywords:
Assistant school principals -- Attitudes -- Colorado -- Denver ( lcsh )
Assistant school principals -- Training of ( lcsh )
Mentoring in education ( lcsh )
bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )


Includes bibliographical references (leaves 240-246).
General Note:
School of Education and Human Development
Statement of Responsibility:
by Marcia A. Krett.

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Source Institution:
University of Colorado Denver
Holding Location:
Auraria Library
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All applicable rights reserved by the source institution and holding location.
Resource Identifier:
41470663 ( OCLC )
LD1190.E3 1998d .K74 ( lcc )


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Full Text
Marcia A. Krett
BA.., Youngstown State University, Youngstown, Ohio, 1966
MJ£d., Youngstown State University, Youngstown, Ohio, 1982
A thesis submitted to the
University of Colorado at Denver
in partial fulfillment
of the requirements for the degree of
Doctor of Philosophy
Educational Leadership and Innovation

1998 by Marcia A. Krett
All rights reserved.

This thesis for the Doctor of Philosophy
degree by
Marcia A. Krett
has been approved

Sharon Ford
Ronald G. Cabrera

Krett, Marcia A. (Ph.D., Educational Leadership and innovation)
Professional Assistance for First-year Assistant Principals: Perceptions
from the Field
Thesis directed by Professor Sharon Ford
This study examined perceptions of first-year assistant principals
at elementary and secondary levels regarding professional assistance
they received upon entering their first year as assistant principals. The
study also examined perceptions of these individuals regarding
additional assistance that would have been helpful when beginning
die job, and assistance still needed after approximately seven months
on the job. Audio-taped telephone interviews were conducted with 30
assistant principals who were employed in seven of the largest school
districts in the metropolitan Denver area.
The data collected from the participants were analyzed
considering five categories: demographics, professional assistance
received, additional professional assistance needed when beginning,
professional assistance still needed, and differences between
elementary and secondary assistant principals' perceived needs.
The most beneficial professional assistance received was through
meetings and mentors provided by the school district. Learning
experiences seen as most beneficial in university preparation programs

were internships and field work.
First-year assistant principals perceived that when beginning
their new position, they would have appreciated additional
information in stress management, conflict resolution, school budget,
master scheduling, school culture, staff evaluations, and legal issues in
discipline. They perceived that they still needed to learn more about
budget, time management, and conflict resolution.
Elementary assistant principals preferred meetings that allowed
networking with other assistant principals, while those at the
secondary level preferred meetings specific to their assigned
responsibilities. Both elementary and secondary assistant principals
sought assistance from any district employee whom they felt had
expertise in a given situation.
Assistant principals at both levels perceived that over time, with
practice, they would adjust to their new position. They appeared to
appreciate the human interaction of working with people to discover
answers, rather than reading handbooks or other professional
This abstract accurately represents the content of the candidate's thesis.
I recommend its publication.
Sharon Ford

This research study could not have been accomplished without
the encouragement and assistance of many human beings. It is with
great gratitude that I would like to acknowledge die team work which
went into the final product of this dissertation.
Thank you, Professor Sharon Ford, for your thoughtful
comments, patience, and professional assistance without which this
dissertation could not have been completed. Thank you, Ron Cabrera,
L_A. Napier, James Stamper, and Sheri Williams for your assistance in
the refinement of this study. I appreciate the time and work that went
into the painstaking reading of this study, and your willingness to
serve on my committee, when your plates were already at capacity.
Thank you, Ken Vedra, whose words "you can do this" instilled
hope and confidence. Thank you, Nancy Hollis, for the interview tape
transcriptions; the instant turn around time was much appreciated.
Thank you to my husband, Steve, for always being there. He
could make magic when the computer had a mind of its own. Our son,
Rob, and daughter, Stacey, for always giving words of encouragement,
love, and support. My mom, Marcia, whose namesake I am proud to
own. I respect her greatly for she taught me the love of reading. My
late father, Paul, who taught me to believe in myself. My sister,
Maureen, for believing in my talents even when I had days of doubt.
My brother, Paul, who always asked: "How's it going?" Last but not
least, my friends, who were the sunshine on rainy days.
An inscription on the floor of the library in Parker, Colorado,
says: "Books, like bricks, build great things." A humble thank you to
everyone on my team who cleared the way to make my vision of
writing this "book" possible. Each of you is truly special.

Introduction 1
Purpose of the Study 2
Research Questions 2
Background of the Study 4
Theoretical Foundation 7
Rationale of the Study 9
Methodology 13
Limitations of the Study 13
Definition of Terms 15
Conclusion 16
Organization of the Study 17
Introduction 20
The Assistant Prindpalship 20
Role of the Assistant Principal 21
Responsibilities of the Assistant Principal 23
Empowerment of the Assistant Principal 28
Administrative Support after Selection 30


Principal Support Groups 32
Assistant Principal Support Groups 33
Adult Learning 35
Characteristics of Adult Learners 35
Adult Developmental Stages 37
Motivators in Adult Learning 38
Environment for Adult Learning 39
Mentors and Mentoring 43
Definition of Mentor and Mentoring 44
Mentoring Principles 44
Mentor Characteristics and Training 45
Mentoring Programs and Evaluation 46
Mentor and Protege Benefits 49
Induction Programs 50
Induction Program Goals 51
Teacher Induction Programs 53
Principal Induction Programs 54
Assistant Principal Induction Programs 56
Induction Model 59
Local Induction Programs 59
Preparation Programs for School Principals 62
Preparation Program Limitations 62
Out-of-State Preparation Programs 63
In-State Preparation Programs 64

Administrator Selection 67
Conclusion 70
Introduction 72
Qualitative Study 73
Sampling Procedures 73
Identification 73
Stratification 75
Interview Process Selection 75
Pilot Study 76
Instrument 78
Data Collection and Analysis 82
Validity 85
Introduction 86
Demographic Data 87
Participant Interview Responses 91
Research Question Number One 92
Research Question Number Two 111
Research Question Number Three 125
Research Question Number Four 147
Discussion of Findings 156
Research Question Number One 157
Research Question Number Two 163

Research Question Number Three 167
Research Question Number Four 170
Suggestions for Induction Programs 172
Conclusion 173
Introduction 176
The Study 176
Methodology 177
Sample 178
Procedures 178
Socialization Theory 179
Adult Learning Concepts 183
Content Analysis 187
Implications 189
Suggestions for Further Research 193
Conclusion 195


4.1 Demographic Information for Elementary Study
Participants 88
4.2 Demographic Information for Secondary Study
Participants 90
4.3 Frequency of responses to interview question 1.
What kind of professional assistance have you been
formally provided by your district to support you in
carrying out die responsibilities of your position? 94
4.4 Frequency of responses to interview question 2.
What kind of informal ways have you found to
support yourself in carrying out the responsibilities
of your position? 102
45 Frequency of responses to interview question 3.
What induction activities and/or information were
the most helpful in fulfilling your job responsibilities
this year? How? 107
4.6 Frequency of responses to interview question 4.
What information and/or skills do you wish you had
known/acquired upon beginning your administrative
position this year? 113
4.7 Frequency of responses to interview question 5.
What would have been the best way for you to obtain
this information and/or learn these skills? 120
4.8 Frequency of responses to interview question 6.
What information and/or skills do you still need? 127
4.9 Frequency of responses to interview question 7.
What would be the best way to obtain this additional
information and/or learn these skills?

4.10 Frequency of responses to interview question 8.
For a new administrator, how might a school district
organize a beneficial induction program? 142

People new to a profession need support. Over time
organizations have realized die need to offer support to their new
employees (Hunt & Michael, 1983; Peters & Waterman, 1982). This
assistance may come in a variety of ways: apprenticeships for careers as
printers, plumbers and electricians, internships for architects, doctors
and lawyers, and mentorships in various business organizations. For
many individuals, the professional assistance becomes a training tool
in their career development (Levinson, 1978; Sheehy, 1976).
The field of education is no different. Educators entering new
positions, be they teachers or administrators, need professional
assistance to support them in their new roles. They need help in
adjusting to responsibilities of their new positions (Daresh & Playko,
1992; DeBolt, 1992).
This chapter begins with a discussion of the purpose of the study
and the proposed research questions. Background information is given
along with the theoretical foundation of the study. The importance of
die study is explained and qualitative methodology is discussed. Next,

limitations of the study and a definition of the terms are explained.
Finally, the conclusion and the organization of die study are put forth.
Purpose of the Study
The purpose of this research study was to examine perceptions of
first-year assistant principals regarding professional assistance they
received and needed in their position. The study included
administrators at die elementary and secondary school levels. The
secondary level included middle and high school assistant principals.
According to Wiles and Bondi (1983), perception is a selective
phenomenon whereby people choose what they see on the basis of
need and experience. Thus, it was important to inquire of first-year
assistant principals about information they perceived receiving. Also,
it was important to inquire about die support they believed was
necessary for administrators who were beginning their new
Research Questions
The focus of this study was the perceptions of first-year assistant
principals regarding professional assistance they received and
additional assistance that would have been helpful as they entered the
job or is still needed during their first year as assistant principals.
Research questions investigated were:
1. What professional assistance do first-year assistant principals

perceive they received upon entering their positions that was beneficial
in orienting them to their new positions?
2. What additional professional assistance do first-year assistant
principals perceive would have been beneficial when beginning the
job, and how do they believe information could have been obtained or
skills learned?
3. What professional assistance do first-year assistant principals
perceive they still need, and how do they believe information can be
obtained or skills can be learned?
4. Do perceptions about professional assistance differ between
assistant principals at the elementary and secondary school levels?
Support for asking these research questions came primarily from
three sources. First, Daresh and Playko (1992) wrote that there has been
a "remarkable lack of focused attention" on how people are supported
once they become school leaders and assume leadership positions (p.
xi). Effective leadership is essential for schools to continue to be
People do not automatically continue to be effective leaders once
in a leadership position; it is not a "magical process" (p. xi). Thus,
continued support is essential for school administrators to be effective.
Second, support for asking these questions also came from two
additional sources: Hartzell, Williams, & Nelson (1995) and Marshall
(1992), who maintain that the position of the assistant principal has not
been heavily researched.

Background of the Study
The Report of the National Commission an Excellence in
Educational Administration was published in 1987 under the title:
Leaders for Tomorrow7s Schools: The Report of die National
Commission (Griffiths, Stout, & Forsythe, 1988). The authors of the
report asked for improvements to be made in the ways in which
individuals are prepared to assume school leadership positions.
Among die recommendations in the report was a suggestion that the
preparation of school personnel must include practical learning
experiences and support.
To carry out this recommendation of the National Commission,
the Colorado Legislature in 1991 passed the Educator Licensure Act (HB
91-1005). This Act requires all school districts to implement an
induction program for newly hired teachers and administrators.
All school districts in Colorado must have these induction
programs in place by July 1,1999. Many districts in Colorado have
already begun to implement an induction and/or mentoring program
to help their new administrators transition from the classroom or
other duty assignments into their new roles as administrators.
The researcher did not find any studies on the perceptions of
first-year assistant principals about the professional assistance that they
received, and how they wanted to receive the information and learn
the skills needed in the position. However, two similar studies were
found. Hartzell, Williams, and Nelson (1995) did a study on the role of

first-year secondary assistant principals and die realities of their day-to-
day life. This study was similar to that of Hartzell, Williams, and
Nelson in that it too is about first-year assistant principals. This study
is different in two ways. First, it addressed both elementary and
secondary assistant principals. Second, it focused on the professional
assistance that these assistant principals received.
Another similar study was done by Daresh and Playko (1992).
Daresh and Playko focused on how people become school leaders and
how they are supported once they assume their new roles. This study
is similar in that it focused on how first-year assistant principals are
supported as they assumed their new position. However, this study is
different in two ways. First, this study focused on the assistant
principal position only, it did not include principals or administrators
in general. Second, tins study did not focus on how people become
Just as the first year is crucial for new teachers to become
adjusted in their new environment, file first year of file assistant
prindpalship is crucial in the professional development of people
holding that position. For many aspiring administrators the assistant
principal position is a stepping stone to file prindpalship and their
initial introduction into the halls of administration. The experiences
an individual has are critical to one's success upon entering this new
domain in education. According to Marshall (1992), the assistant
prindpalship is the beginning of career socialization, file outcome of

which may be a prindpalship or superintendency.
According to Wiles and Bondi (1983), the role of the assistant
principal originally was established to handle clerical duties. Other
duties just evolved over time. In 1980, a study revealed that beginning
assistant principals experienced high levels of frustration because of the
many tasks assigned to them (Wiles & Bondi, 1983). Assistant
principals were overwhelmed with the various duties of their position.
Also, they reported being isolated from their peers. This added to the
pressures of their new positions (Daresh & Playko, 1992; Hartzell,
Williams, & Nelson, 1995). The responsibilities and duties they were
assigned varied greatly from school district to school district and from
school to school within a school system.
School administrators are important people worthy of the time,
effort, and resources necessary for school districts to assist in their
professional growth. One way school districts can help new
administrators in the transition to a new position is through an
induction program. To spend school dollars for a professional
assistance program "is not a frill" (Daresh & Playko, 1992, p. xii); it is a
sound investment in the future of the educational organization.
According to Holifield & King (1991), the term "professional
induction" did not appear with any frequency in educational
administration literature prior to 1985. However, attention had been
given to induction-related concepts such as "professional socialization"
beginning around the middle of the twentieth century. At that time

the nation's educational administration professors recognized the need
to see an orderly transition into the new roles and responsibilities for
administrators moving from the classroom experience. New roles
brought new responsibilities and accompanying new perspectives.
Theoretical Foundation
According to Duke (1987, cited in Anderson, 1988), school
leadership is a continuing process of socialization. Socialization is the
process "through which an individual becomes integrated into a social
group by learning the group's culture and his role in the group"
(Theodorson & Theodorson, 1979, cited in Anderson, 1988, p. 4).
The eventual effectiveness of every school leader is connected to
their experiences during the process of socialization. Socialization
theory helps us to understand how people acquire certain attitudes and
expectations of a professional role.
The socialization process, says Anderson (1988), includes three
phases: anticipatory socialization, occupational socialization, and
organizational socialization. The anticipatory phase includes learning
the expectations, obligations, and rights of a social role which one is
preparing to assume. For an aspiring administrator, this may be the
time spent as a teacher, observing and working with school principals
and other administrators. Preparation programs in higher education
also play a part in helping aspiring administrators understand the
expectations and obligations of the job.

The second phase, occupational socialization, is when
individuals learn the norms, values, and behaviors necessary to
perform their role. Higher education programs play a major part in
this phase of the socialization process, particularly through die
practicum learning experience. The practicum helps to train the
aspiring administrator in the technical aspects of die job and the
behaviors necessary to fulfill die role.
The third phase, organizational socialization, is where members
of the organization transmit attitudes, beliefs, and values to the new
administrator. This last stage can be a formal or informal process.
Formal processes says Duke (1987, dted in Anderson, 1988), include
orientation and performance evaluations. Informal processes include
activities ranging from mentoring relationships to chance encounters
with experienced administrators. Thus, organizational socialization
varies from school district to school district.
The purpose of administrator induction programs is to improve
performance, increase the retention rate of new administrators, and
develop an 'esprit de corps' among the new ranks. Perhaps the latter
is the most important factor in helping new people adjust to their new
roles and responsibilities (Rogus & Drury, 1988). Listening to new
administrators' stories as they tell of their frustrations and positive
experiences helps school districts understand what these individuals
are experiencing (Marshall, 1992). Through the comments made by
new people, suggestions can be gleaned for ways to give them support

to cany an their critical job of serving our schools to the best of their
Rationale of the Study
This study examined perceptions of first-year assistant principals
regarding professional assistance offered to them when they began
their new role. The study seemed timely for two reasons. First, the
Colorado Legislature passed the Educator Licensure Act requiring all
school districts in Colorado to have induction programs in place by July
1,1999. Thus, many school districts in Colorado have begun to
implement an induction program for their new administrators. This
study will give additional data that school districts and higher
education institutions could use in the preparation and support
extended to first-year and aspiring assistant principals. Second, the
study seemed timely because according to Marshall (1992), the assistant
principal is "often ignored" (p. vii). Marshall says that her book "is the
first one to focus on the position" (p.vii). Thus, the assistant
prindpalship appears to have been virtually ignored by the educational
The study is important for three sectors of the education
community: school districts, higher education, and individuals
interested in becoming school administrators. First, file study is
important for school districts. Results of file study may be used by
central office staff offering professional assistance to school

administrators. As stated earlier, by listening to die positive
experiences as well as die frustrations of beginning assistant principals,
school districts can better understand what these individuals are
In most cases, first-year administrators are in a survival stage,
just hoping that a new crisis does not occur by die end of die day
(Rogus & Drury, 1988). The administrators' stories and comments may
assist the central office staff in assessing ways to give support to these
newly selected assistant principals (Marshall, 1992).
A school system's goal is to have employees who are successful
educating young people. The selection of new administrators is just
the beginning of die cycle wherein the school districts can reach out
and support these employees in new positions. Whether a school
district has one new administrator in a particular school year or twenty,
die district needs to decide how to support these individuals during
their first year as assistant principals.
As a result of the Education Licensure Act in Colorado (1991), all
districts are required to implement an induction program by July 1,
1999. The Act legislates that these induction programs are to include a
mentoring component as well as activities selected by each district to
orient individuals to responsibilities of their position and policies of
die district.
Second, this study is important for higher education. Data
needed to adjust or redesign administrative preparation programs are

important. Administrator programs must strive to remain current in
their preparation of administrators for a changing society.
The study of adult learning, andragogy, (Knowles, 1970) provides
insights for those in higher education who plan learning experiences
for promising and practicing school administrators. Adults want
experiences that address immediate problems, yet at die same time
"tend to reject prescriptions quick fixes to complex problems'7
(Daresh & Playko, 1992, p. 81). Course presentations on the latest
research will be exercises in futility unless the aspiring and practicing
administrators clearly see how die research relates to current issues and
needs within the schools.
According to Daresh and Playko (1992), andragogy also gives us
dues about the self-concept needs of adults. Wood and Thompson
(1980, died in Daresh and Playko, 1992), suggest that adults need
feedback regarding the progress they are making toward their goals.
Since die ego is involved in adult learning, adults believe that not
being successful at a particular task is an indication of failure or
incompetence. Adult learners need to understand that it is okay to
make mistakes and to ask for help. It is important that higher
education programs support and help strengthen the self-concept of
people seeking administrative positions.
In 1986, the Danforth Foundation of St. Louis began the
Danforth Prindpal Preparation Program. Three institutions of higher
learning inducting the University of Alabama, Georgia State

University, and Ohio State University, received grants to prepare
individuals to assume prindpalships. All die programs have used
collaborative learning arrangements by forming cohorts, so that
aspiring principals could join together as a learning team (Daresh &
Playko, 1992).
According to the participants, benefits from the program include
a realistic look at educational administration with experiences focused
on die reflection process. Participants also believed they learned many
of die technical skills required of school administrators. Playko (1991,
cited in Daresh & Playko, 1992) also found that several individuals
decided on other career paths as a result of the Danforth experience.
Thus, as a result of this study, higher education instructors may
see through the eyes of first-year assistant principals what they believe
their needs to be and how they would like to have those needs met.
Third, the study is important for individuals aspiring to be
school administrators. The study will give insights into die
professional assistance individuals might expect upon acceptance of a
position as assistant principal. The study may also give aspiring
candidates glimpses of experiences, be they painful or joyous, that
indicate what to expect as new administrators (Hartzell, Williams, &
Nelson, 1995; Thorpe, 1995). These insights may help prospective
candidates in the career decision-making process by acknowledging the
experiences that may happen on the job.

A sample of 30 first-year assistant principals were interviewed
via telephone utilizing qualitative methodology. Participants were
from two educational levels: elementary and secondary. The secondary
level included assistant principals from the middle school level and
high school level. All were in their first-year as assistant principals.
All participants at the time of data collection were employed in seven
large school districts in the metropolitan Denver area.
Limitations of the Study
This study was limited to large public school districts in the
metropolitan Denver area who were members of the Denver Area
School Superintendents' Council (DASSQ One rationale employed
in selecting these districts for the study was the increased possibility of
having a substantial sample size due to the frequency of new
administrative vacancies occurring in larger districts. Large public
school districts were defined as those having a student enrollment of
over 25,(XX) students according to the 1997-1998 Colorado Education and
library Directory.
Another rationale employed in selecting participants from large
school districts in the metropolitan Denver area was to assure more
familiarity with induction program components and the professional
assistance that could potentially be provided when new in the job.
The study may be of more value to large districts with larger

numbers of personnel resources to structure an induction program.
Many, but perhaps not all, components of a valuable induction
program that are suggested by participants in this study could be
addressed by smaller districts. However, rural schools with very few
administrators may have difficulty implementing suggestions made by
participants in this study. Anderson (1988) suggests that each school
system needs to design an induction program that orients new
administrators to the nuances of their particular school district.
There was no accounting in this study for the fact that some first-
year assistant principals interviewed in this study were hired from
outside of their school district, while others had worked for a number
of years in the same district. This could skew study results regarding
induction needs. Greene and David (1984, dted in Hartzell, Williams,
& Nelson, 1995) suggest that every possible variable is not needed
among subjects in a study. They suggest that it is sufficient if a reason
can be given for the combination used within the study. In tins study,
all participants who agreed to participate were included in the study.
Therefore, the number of those who were hired from outside as well as
from within the district was not controlled by the researcher.
For purposes of this study and to assure adequate sample size of
elementary and secondary categories of assistant principals, middle and
high school assistant principals were considered as one group of
secondary assistant principals. Even though there are differences in the
resp onsibilities of middle and high school assistant principals, these

differences were not accounted for in this study. Creating one group of
middle and high school assistant principals allowed comparison
between this group and elementary assistant principals. Both of these
two groups were approximately the same size (17 elementary assistant
principals and 13 secondary assistant principals).
Responses from first-year assistant principals about professional
assistance that they believe would have been beneficial when
beginning their position came approximately seven months after they
started their new job. The time that elapsed between beginning the job
and participating in interviews for this study could have changed their
perceptions about what they actually needed when beginning.
Research by Hartzell, Williams, and Nelson (1995) suggests that first-
year assistant principals undergo similar experiences and needs during
their first-year in the position. However, the experiences and needs of
first-year assistant principals may vary depending upon the length of
time they are in the position.
Definition of Terms
Assistant principal for the purposes of this research study, assistant
principal may be referred to throughout this text with the abbreviation
AP or "APs" for the plural form.
Induction "A process for developing, among new members of an
organization, the knowledge, skills, attitudes, and values essential to
carrying out their roles effectively" (Daresh & Playko, 1990, p. 100).

Inservice Education the education that school districts provide
through structured learning experiences on an ongoing basis (Daresh &
Playko, 1990).
Perception selective phenomenon whereby people choose what they
see on the basis of need and experience (Wiles & Bondi, 1983).
Professional Assistance the process of facilitating the professional
development of an administrator, including programs such as
induction, mentoring, inservice education, and/or one-on-one
counseling (Daresh & Playko, 1992).
Socialisation Process the process "through which an individual
becomes integrated into a social group by learning the group's culture
and his role in the group' (Theodorson & Theodorson, 1979, cited in
Anderson, 1988, p. 4). Pence (1989) sees the socialisation process as the
understanding and assimilation of the unwritten nuances and
procedures that are inherent to any organization.
The purpose of this research study was to examine perceptions of
first-year assistant principals regarding professional assistance they
received and needed in their position. The study included
administrators at the elementary and secondary school levels. The
secondary level included middle and high school assistant principals.
A sample of 30 first-year assistant principals participated in telephone
interviews. All participants at the time of data collection were

employed in seven large school districts in die metropolitan Denver
The theoretical foundation of this qualitative study is
socialization. Socialization is defined as the process "through which an
individual becomes integrated into a social group by learning the
group's culture and his role in the group" (Theodorson & Theodors on,
1979, cited in Anderson, 1988, p. 4).
The study is important because the Colorado Legislature passed
die Educator licensure Act requiring all school districts in Colorado to
have induction programs in place by July 1,1999. Many school districts
in Colorado have begun to implement induction programs for their
new administrators. This study will give additional data that school
districts and higher education institutions could use in the preparation
and support extended to first-year and aspiring assistant principals.
The study is important for three sectors of the education community:
school districts, higher education, and individuals interested in
becoming school administrators.
Organisation of the Study
The organization of the written account of this study is as
Chapter 1: An introduction and overview of the study, its purpose,
major questions to be addressed, and the possible
importance of the study for educators.

Chapter 2:
Chapter 3:
Chapter 4:
Chapter 5:
A review of the literature.
An explanation of the methodology used including
sampling procedures, die interview process, instrument,
data collection, data analysis, and validity.
A presentation and discussion of the findings.
A summary of the research study and suggestions for
further research.

I want to be thoroughly used up when I die, for the harder
I work, the more I live_(Life) is a sort of splendid torch
which I have got hold of for the moment, and I want to
make it bum as brightly as possible before handing it on
to future generations. Bennis and Nanus, 1985, p. 32.
This quote by Bennis and Nanus is particularly appropriate in
die field of education. Administrators need not only to be die best they
can be, but also be willing to lend a professional assistance hand to the
neophyte administrators ready to take their places in school
administration. In this way the torch may be handed down from one
generation of school administrators to the next.
During die 1990s nearly 60 percent of die principals in the
United States will retire. Many of these principals are retiring at an
earlier age than before (Anderson, 1988). Also, according to McCormick
(1987), a shortage of school administrators exists. Who will take the
place of these principals? Will die new administrators be prepared for
the position? How will the education community prepare individuals
to become the next generation of school leaders?

This exploratory research study focused on the perceptions of
new school assistant principals and the professional assistance they
received upon entering their first year in fins position. The study also
focused on the professional assistance these individuals perceive was
not received but would have been helpful or is still needed.
This review of literature continues with a discussion of the
roles, fire responsibilities, and fire empowerment of assistant
principals. Then, a rationale for administrative support after selection
is put forth. Next, the characteristics, fire adult development stages, the
motivations, and file environment of adult learning are explored.
Following a section on adult learning, mentoring and how it applies to
administrators is discussed. Induction programs are reviewed and
preparation programs for school administrators are examined. Finally,
the selection of school administrators is discussed and a conclusion is
The Assistant Principalship
According to Marshall (1992), the assistant principal holds a
critical position in the education hierarchy for three reasons. First, the
assistant principalship is often the beginning position of an
administrative career. Second, the assistant principal's position
maintains the rules of the school's culture. Frequently the assistant
principal must play the role of mediator, addressing discipline conflicts

and the like. Third, die assistant principal encounters the everyday
issues that arise, ranging from not having enough substitute teachers
to the student who is pregnant.
Role of the Assistant Principal
As the title 'Assistant Principal' infers, the assistant principal's
primary role is to be an assistant to die principal. It is the principal
who determines the amount of authority given to the assistant
principal and the responsibilities die assistant principal will have
(Calabrese & Adams, 1987). There is a lack of definition to the position
because the assistant principal is seen as different in each school (Wiles
& Bondi, 1983).
Sometimes the assistant prindpalship is seen as a 'training
ground" for the prindpalship (Kelly, 1987, p. 13). However, this is not
always die case. Actually, the position of assistant prindpal may fall
into three categories: Beginning, continuing, and aspiring (Hartzell,
Williams & Nelson, 1995). Beginning assistant prindpals are first-year
assistant prindpals who are relatively unprepared for the fast pace and
large scope of the position. Their staff development needs loom large
and indude areas such as conflict resolution, stress management,
appraisal of teachers' performances, and working with a secretary.
Continuing assistant prindpals are those who stay in die same
position for the remainder of their career. There are various reasons
why some assistant prindpals never become prindpals. For some it is

because they really do not want the job. For others, they may have
been a part of an unsuccessful administrative team and therefore are
not looked upon by central office as a viable contender for the
prindpalship. Additional reasons include age, more experience is
needed, or new blood is needed from another district (Brown &
Rentschler, 1973). In addition to the staff development needs of
beginning assistant principals, continuing assistant principals also need
to learn skills of analysis and persuasion (Hartzell & Williams, 1995).
Marshall (1992) appeals to school systems to consider changing
the role of the assistant principal, hi many school systems today, the
assistant principal (AP) is still looked upon as the disciplinarian or
attendance officer. This is especially discouraging for individuals who
find themselves in the position of being a 'continuing" assistant
principal. To make this position more fulfilling to the individual,
perhaps school systems could consider changing the image to one of an
educational leader in curriculum and instruction.
The aspiring assistant principal could also be classified as
upward-bound, one who does want to become a principal. This
individual has all of the needs of the other categories, plus the need to
have occasions to provide leadership. This individual soon discovers
that tiie assistant prindpalship is not just a smaller version of the
prindpalship (Hartzell, Williams, & Nelson, 1995).
In a study done with secondary assistant prindpals in Ohio,
(Sutter, 19%) the results showed that those who believed they were

accomplishing much in their jobs possessed greater job and career
satisfaction. Those who reported they were using their talents and
skills had a higher level of career and job satisfaction compared to
those who did not believe their talents and skills were being utilized.
Also, assistant principals who agreed with their school district's
practices and policies voiced a greater degree of career satisfaction as
The Ohio study of secondary school assistant principals (Sutter,
19%) also found that assistant principals who believed there were
career advancement opportunities within their own school district,
focalized greater job and career satisfaction than those APs who did not
believe that advancement opportunities existed for them. The study
also revealed that assistant principals who wanted to become principals
found more satisfaction compared to those who wanted to remain in
the position as a continuing AP.
Responsibilities of the Assistant Principal
The assistant prindpalship was originally established to handle
clerical duties. Other duties and responsibilities just evolved (Wiles &
Bondi, 1983). The responsibilities of the assistant principal are as
varied and diverse as the number of schools examined. Each district
and each school within a district has the assistant principal performing
responsibilities according to the individualized needs of the district and
the school.

In 1988 Pellicer and his associates conducted a study for the
National Association of Secondary School Principals, reported in
Hartzell, Williams, and Nelson (1995). They found that assistant
principals have the following responsibilities identified in order of
priority. The list demonstrates die variable, unpredictable, and
unrelenting responsibilities of assistant principals.
1. Student discipline
2. Administration of school policies
3. Teacher evaluation
4. Special arrangements
5. Attendance
6. Graduation
7. Emergency procedures
8. Building use
9. New student orientation
10. Assemblies
11. Teacher assignments
12. Administrative representative
13. Master schedule
14. Dances
15. Instructional methods
16. New teacher orientation
17. Faculty meetings
18. Substitute teacher
19. School calendar
20. Curriculum development (pp. 154-155)
The paradox of the assistant prindpalship is that it is not
necessarily a training place to become a principal. From the list
described above, there is little time to become a visionary or learn other
skills necessary to become the principal. The principal and assistant
principal each have different roles and responsibilities within the
school. Many assistant principals will never become principals simply

because there are more positions as an assistant than there are as
principal. Thus,, it is important that people are trained specifically for
this position and they receive the necessary support once they get there.
As die literature suggests (Hartzell, Williams, & Nelson, 1995;
Marshall, 1992; Wiles & Bondi, 1983), the responsibilities of the
assistant principal vary from school district to school district, and
sometimes from school to school within individual districts. All of the
school districts represented in this study included the following as
responsibilities of their assistant principals:
1. Assists in fulfilling responsibilities related to district goals.
2. Demonstrates a working knowledge of the curriculum.
3. Fosters a positive relationship with parents, students, and
the community.
4. Assists in the supervision and evaluation of school
5. Demonstrates an appreciation of diversity.
6. Demonstrates commitment to the development of the
school climate.
Other responsibilities stated by individual school districts are
many and varied. Some of these additional responsibilities of assistant
principals follow.
1. Assists in managing the budget.
2. Participates in professional growth activities.
3. Assists in providing resources for staff for an effective
instructional program.
4. Supervises student service programs including discipline,
attendance, guidance and counseling.
5. Supervises special education services.
6. Supervises transportation.
7. Supervises community programs.
8. Develops the master schedule.

9. Supervises personnel to maintain a safe environment.
10. Supervises extra-curricular activities and athletic events.
11. implements hiring of classified and certified personnel.
12. Supervises die maintenance of the school building.
Finally, there is the catch-all phrase: 'Performs other duties as
assigned.' Thus, many times the role and responsibilities of the
assistant principal may be at the whim of the principal.
An American high school in Frankfurt, Germany, began to
question tire value of paying assistant principals to perform
responsibilities such as attendance and discipline. These were duties
that in their eyes could be done more effectively and efficiently by
counselors, teachers, and clerks (Toth & Siemaszko, 1996). The school
began restructuring die role of die assistant principal to focus
particularly on instructional leadership. 'In the beginning, we
concentrated on instructional leadership, collegiality, public relations,
excellence in education, and employee supervision' (p. 87).
Although the assistant principal continued to oversee die
attendance and discipline tasks, die responsibility of performing these
duties was changed to other education staff such as teachers and clerks.
Attendance, for instance, was decentralized to the teacher. The teacher
that die student had for first period was responsible for reviewing any
note from home explaining absences or tardies and deciding whether
the student would be excused or not excused. Clerks then entered the
information into the computer.
In the area of discipline, every staff member in the school was

expected to share die responsibility. First, each teacher was expected to
develop a "Behavior Management Plan" describing acceptable and
nan-acceptable behavior. Second, teachers met once a week to discuss
strategies for working with difficult students. Third, teachers were
responsible for after-school detention. Fourth, in-school suspension
was used primarily for truancy. Fifth, out-of-school suspension was
used in cases of violence or vandalism. Sixth, Saturday school, which
was held from 9 am. till noon, included students who did not show up
for detention or in-school suspension. Seventh, expulsion was used in
cases of criminal activity. This discipline system proved to be very
effective and efficient. Student behavior improved with the use of the
entire staff becoming a part of the solution for the discipline problem.
The new policy also allowed the time of the assistant principal to be
used in a more constructive way.
The public school system in New York has also tried a new
approach to the responsibilities of the assistant principal (Golden, 1997).
Usually the title, "assistant principal," refers to the individual who
works in the areas of school attendance, discipline, scheduling, and
educational policy.
In New York city the title and responsibilities of the assistant
principal have been changed. Here the assistant principal has the title
"Assistant Principal," followed by the term, "Supervisor," followed by
the name of a particular subject area. The assistant principal has the
responsibility for staff development and improving the student

learning outcomes in specific school subjects. The duties of the
Assistant Principal, Supervision" include:
1. Training and evaluating teachers.
2. Developing and writing curriculum.
3. Serving as disciplinarians.
4. Coordinating enrichment programs.
5. Evaluating incoming student records.
6. Nurturing student and teacher enthusiasm.
7. Administering to title needs of teachers, including the
ordering of textbooks.
8. Making department policy decisions.
9. Providing for the security and safety in areas of the school
building. (Golden, 1997, p. 102.)
The assistant principal, supervisor, holds pre and post-
observation conferences with die teacher, writes evaluations, and
advises the principal. This is one way a school system has reexamined
the responsibilities of the assistant principal.
Empowerment of the Assistant Principal
Sergiovanni (1992) believes die school principal needs to be a
leader of leaders. One way die principal could carry out this
assignment is through empowerment. Since one individual cannot be
everywhere at all times, it is imperative that the school principal allow
others to carry out their roles and responsibilities within the school
setting. In the school community, empowerment is a relational
process between the administrator and the teachers.
Empowerment involves mutual respect and dialogue; it
recognizes each person's talents, competencies, and potential which can

be exercised in creative ways for die benefit of students. Empowerment
is an essential ingredient of leadership; empowerment means
recognizing die power of all people (Starratt, 1995). Thus,
empowerment in a school setting means that die principal must not
only acknowledge teachers and students, but administrators as well.
The prerequisite of empowerment is trust. Teachers, students
and administrators must be able to trust that they can make mistakes,
that differences will be tolerated, and that their insights will be
honored. Trust implies accountability, predictability, and reliability.
We trust people who are predictable. Empowerment means trusting
that other individuals will do what they are supposed to do. Bennis
and Nanus (1985) suggest that it is imperative for a leader to establish
trust in order to demonstrate "organizational integrity" (p. 48).
Therefore, principals need to trust their assistant principals.
In a study by Leithwood (1993), expert principals empowered
their teachers by ensuring that the staff used a broad range of
perspectives in interpreting school problems, by assisting the teachers
in identifying the wide range of alternatives, and by making available
good information relevant to the problems being addressed.
This same idea could be carried over by die principal to the
assistant principal. Principals could empower assistant principals to
expand their range of perspectives by helping them identity several
alternatives when addressing a problem. Since information is power,
principals must also be willing to share information and allow the

assistant principal access to many of the same resources as the principal
One principal's description of 'evolving leadership' looks as
though empowerment of die staff has taken place in the process.
Valjean Olerm, a principal in Maine, states:
A school needs to be a place where adults, too, can grow
and change and learn ... to relinquish control by allowing
others to make decisions and solve problems actually
enhances a principal's power . When people are
involved in solving their own problems and working out
their ideas, a school has a rich body of creative energy to
draw upon. Sergiovanni, 1992, p. 44.
Principals must realize that members of their administrative
team may make mistakes, but they can empower their team,
(particularly any new administrators on their team) by helping them
identify a range of perspectives and alternatives to solve problems as
difficult situations arise (Leithwood, 1993).
Administrative Support after Selection
One solution to the anticipated shortage of school administrators
is for school districts to "grow their own talent' (Daresh & Playko, 1992,
p. 69). Individual school districts need to prepare for a new generation
of administrators to come forth and carry the torch. While doing so,
school systems must give these beginning administrators support so
that the new school leaders may be successful.
Matching die right administrator with the right school sounds

easier than it really is. Once a candidate has been chosen as a new
assistant principal, procedures must also be in place to orient and
support the new administrator lest they "wither on the vine" (US.
Department of Education, 1987, p. 20). Even the "right" administrator
may never achieve full potential without continued opportunities for
growth, networking, and support. This growth, networking, and
support could come from the principal, staff members, central office,
mentor, family, and/or friends.
According to Daresh and Playko (1992), there has been little
research focus on how people are supported once they become school
leaders. Professional development is an important dimension in tire
field of education. School personnel who previously displayed
leadership qualities do not go through a "magical process' once they
become building administrators and continue to be effective leaders (p.
xi). Continued professional assistance is needed to help new
administrators grow and learn.
It is also important to acknowledge that new roles bring new
responsibilities and accompanying new perspectives. New
administrators may also find that their previous experience is more of
a hindrance than a help in their new position (Holifield & King, 1991).
For example, having been a dean with primarily discipline
responsibilities in one school district, and then becoming an assistant
principal with discipline duties at another school district could pose
difficulties. The administrator may have a tendency to respond in the

same manner as in tire previous position. The new district may have
its own nuances in discipline enforcement.
Principal Support Groups
The Principals Inservice Program was developed in 1979 to help
principals establish support groups. Each group, composed of six-to-ten
principals, meet over a period of two-years, and is headed by a trained
facilitator. Outcomes of the program include personal and professional
development, school improvement, colleagial support, and
continuous improvement (Daresh & Playko, 1992).
In 1983, die Far West Laboratory for Educational Research and
Development began Peer-Assisted Leadership (PAL). This professional
activity allows school principals to analyze their own leadership
behavior in conjunction with another school principal. Participants in
the activity learn such skills as gathering and analyzing information,
shadowing techniques, reflective listening skills, clustering data by
themes, and model presentation skills. Participants meet monthly for
an entire year. At the last meeting of the year, principals present
models of their partners instructional leadership activities. As a result
of participating in PAL, principals determined that they benefited from
the experience by practicing self-reflection and by receiving new ideas
about how to handle problems encountered. In San Diego, "veteran
principals are paired with rookies ... assisting each other on school-
specific leadership concerns" (Anderson, 1988, p. 16).

Professional principal associations could also play an important
role in helping newcomers succeed. The Association of Washington
School Principals, for example, hosts a two-day summer conference for
new principals before they begin their first year on the job. Some
members of the association believe the association has a responsibility
to help these new administrators "get off to a good start" (Anderson,
1988, p. 18).
In 1985, a study identifying the performance problems of
beginning principals in Montana found that perceived performance in
critical administrative tasks differed among beginning administrators
depending on the variety of professional roles held previously
(Holifield & King, 1991). Although this study was referring to
principals, perhaps die same performance encounters could be true of
assistant principals. According to Holifield and King (1991), the areas
in which the new principals needed the most assistance were time
management, resolving conflict, communicating a vision, personnel
issues, and maintaining school morale. The study also found that the
primary resources used by new principals to seek professional
assistance were experienced principals and superintendents.
Assistant Principal Support Groups
Although much of die literature discusses administrators in
general, there has been some focus specifically on the assistant
principal. Marshall (1992) suggests that the position of the assistant

principal has been virtually ignored by research. She believes this
position is worthy of attention, in itself, by those in the education field.
The assistant prindpalship is the beginning of career socialization, and
for many, the outcome is the prindpalship or superintendency.
Hartzefl, Williams, and Nelson (1995) agree that the assistant
prindpal has been an understudied population in die education arena.
After reading "New voices in the field: The work lives of first year
assistant prindpals" (Hartzell, Williams, & Nelson, 1995), the
researcher became convinced that first-year assistant prindpals, in
particular, need professional assistance. The experiences of several
assistant prindpals attested to the fact that many were in a survival
mode. It did not take much to deduce that these new administrators
deserved far better than just survival, they also needed to thrive.
During the fall semester of 1990, Arkansas State University
began a project identifying the needs of new school administrators by
conducting 50 face-to-face interviews with beginning public school
administrators from elementary through central office positions. As a
result of this project, an association was established to serve the
professional growth needs of new and practicing area administrators.
An additional outcome from the newly formed assodation was the
sponsorship of a mentor program for all beginning school
administrators (Hclifield & King, 1991).

Adult Learning
The principal sets the tone for leadership and learning (Thorpe,
1995). Principals have the responsibility to encourage and support the
personal and professional development of others. This concept is
outlined in the fifth standard of die Colorado State Standards for
School Principals which states: "The principal is a continuous learner
who encourages and supports the personal and professional
development of self and others. Most administrators see themselves
as developers of children rather than of adults (Jones, 1995). As an
instructional leader, it is important for principals to understand adult
learning in addition to student learning.
Hart (1993) describes the stages of development for principals as
survival, control, stability, educational leadership, and professional
actualization. In die last stage, professional actualization, principals do
not try to impose their ideas on their staff; instead, they bring out the
best that the staff has to offer by encouraging members to take charge of
activities. Starratt (1995) says that principals have to "call forth" the
leadership of teachers and students. Perhaps, the calling forth of
leadership from their assistant principals could also be important for
school principals.
Characteristics of Adult Learners
In the adult education field, Malcolm Knowles (1970) is credited
with coining die word "andragogy" as die art and science of teaching

adults, which is distinct from "pedagogy" die art and science of
teaching children. Adults are defined as those individuals who
perceive themselves to be responsible for their own lives. According to
Knowles (1980), adult education is the process of adults learning.
Adult educators are those individuals who have some
responsibility for helping adults leam. Adult educators, could in fact,
include everyone from teachers in public institutions to supervisors to
foremen. The purpose of adult educators is to assist individuals to
achieve their goals and satisfy their needs. These needs may include
any endeavor from learning computer skills to fixing an automobile.
Eventually, most individuals engage in self-directed, life-long learning,
whether they realize it or not. Thus, one goal of the adult educator is
to assist individuals to develop the attitude that learning is a life-long
process. A second goal of the adult educator is to assist individuals to
continue their own learning independently (Knowles, 1980).
The andragogical model of learning, according to Knowles (1973)
is based on four characteristics of adult learning. First, as a person
matures, the person's self-concept becomes one of self-direction rather
than dependency. Second, the mature person has accumulated
experience which serves as a learning resource. Third, the mature
person's reason for learning becomes associated with die person's social
role. Fourth, the mature person's perspective changes to immediate
application of learned material and becomes problem-centered as
opposed to subject-centered.

Adult Developmental Stages
Krupp (1981) discusses adult development stages and their
relationship to staff development in the field of education. The age
span for many of these stages closely resemble those espoused by
Levinson (1978). Following are the eight stages according to Krupp.
The first stage encompass individuals in their late teens to early
twenties (17-23). These individuals need to have expectations clearly
defined to them. They are filled with idealism. They have the time to
explore possibilities and are willing to try new tilings. The second stage
includes individuals in their 20s (23-28). These individuals will try
new techniques if they feel it is the responsible thing to do. They adapt
easily to new curriculum.
The third stage is called the 'age-30 transition/ (28-35). At this
time individuals are more self-centered, and they may be willing to try
new things if those ideas relate to their area of interest. The fourth
stage includes individuals in their 30s (35-40). These individuals are
moving toward self-defined goals. This is a time of career-family
duality. Staff development for this age should provide an
environment that encourages change, and gives verbal recognition for
innovative curriculum.
The fifth stage is called the 'age-40 transition/ (40-45). At this
time individuals are realizing they are in a senior position in society.
Some may be deciding whether or not to change careers. A staff
development inservice on power or conflict resolution may help. The

sixth stage is called "late middle adulthood/ (45-50). These individuals
are interested in stability and satisfaction. They may be more willing to
stay after school at this time and participate in committee work.
The seventh stage is named "the 50s/ (50-60). individuals in
their 50s are masters; they support die system, are honest, and have a
stable temperament. Staff development should put these people in
positions where their wisdom and input makes a difference. The last
stage are those who are 60 plus, (60 to retirement). Individuals in this
age group center on themselves once more. Some are gratified with
the knowledge that they have helped others. Staff development on
topics such as retirement and finance may help these individuals.
Motivators in Adult Learning
Houle (1961, cited in Knowles, 1973) conducted a study to
understand why adults participate in continuing education. Houle
discovered there are three types of learners: goal-oriented, activity-
oriented, and learning-oriented. Goal-oriented learners use education
for clear-cut objectives according to need or interest. Activity-oriented
learners take part in education for the social benefit. Learning-oriented
learners seek knowledge for its own sake. Tough, a student of Houle,
conducted a study to investigate how adults learned. Tough discovered
that adults organized their learning around projects in order to "gain
and retain ... knowledge and skill, or to produce some other lasting
change in himself" (Tough, 1971, p. 6, cited in Knowles, 1973).

"There seem to be 'teachable moments' in the lives of adults,"
say Zemke and Zemke (1988, p. 58). Adults need to be able to integrate
new ideas with what they already know if they are going to use the new
information. Adult learners cannot be tricked into learning. The
major motivator for adults in seeking out learning experiences is to
cope with specific life changes. Examples of such life changes are
moving, marriage divorce, a new career, being fired, retiring, and
losing a loved one. Learning is used as a coping response to significant
change in a person's life. Thus, as an individual takes on the new role
of assistant principal, it is an important time to help this person learn
and grow.
A secondary motivator for learning is maintaining or increasing
one's self-esteem and pleasure. What better time to continue to
increase a person's self-esteem than after an individual has taken on a
new administrative position.
A third motivator for learning is the adult's need for the
knowledge or skill being taught. Learning is a means to an end, not an
end in itself (Zemke & Zemke, 1988).
Environment for Adult Learning
The learning environment must be physically comfortable. This
includes comfortable chairs, good ventilation, lighting, and acoustics,
plus easy access to restrooms and refreshments. A more subtle feature
includes the room color. Bright colors induce cheerful, optimistic

moods, while dark or dull colors induce less responsiveness or
negativity (Knowles, 1973).
The learning environment must be psychologically comfortable.
Zemke and Zemke (1988) believe that adults have "something real to
lose in a classroom situation. Self-esteem and ego are on the line when
they are asked to risk trying a new behavior in front of peers and
cohorts' (p. 60). Adults take errors personally, and may let the errors
affect their self-esteem. As a result, adults may take fewer risks.
Cross (cited in Zemke & Zemke, 1988) says that new information
should be meaningful and include aids that help the learner to
organize it and relate it to previously stored information. The pace of
the information presented should be somewhat slower, one idea at a
time, to allow for mastery of the subject matter. Frequent
summarization will also assist in retention and recall for adult
Adults prefer self-directed learning projects (Knowles, 1980)
which may involve as many as ten other individuals as resources,
encouragers, and guides. Perhaps this is why many of the universities
have gone to the cohort approach in their administrative licensure
programs. Typically, adult resources include reading and talking to a
qualified peer. Adult learners prefer the straight forward approach.
As universities seek new students, professors are faced with
older students whose life experiences challenge the professor's teaching
styles. This adult professional learning (APL) modality brings with it a

wonderment as to what do AFLs prefer in their learning environment
(Qaxton, Atkinson, Osborn & Wallace, 1996). One finding is that many
adults prefer learning at their place of work, that is at the company site
with their peers. Another finding is that a great deal of anxiety is
created in die learner if the professor presents oneself as a competent
who knows all. Adults seem to prefer a more relaxed atmosphere in
which everyone is learning together. There is the possibility of
confusion, perhaps even open hostility, when the theories of the
learner and the teacher are at odds. If valid differences in implicit
theories are recognized, less misunderstandings will occur.
Cervero and Wilson (1996) have captured the necessity of
including people in die planning of educational programs for adults.
They believe that real people must be involved who know the politics,
traditions, needs, and interests of any given organization. Traditional
planning simply tells practitioners to follow the steps as if the
constraints of the organization do not matter. The constraints of the
organization do matter. This is where staff development departments
in school districts become important to the learning process. Thus, it is
imperative to involve people from the organization who know the
nuances to help in the planning of any training or educational
According to Brock and Grady (1997), adult learners' self-esteem
is increased if there is mutual respect between the student and
instructor. Other factors that facilitate a better learning environment

for adults include mutual trust, collaboration among peers, support of
peers, openness of expression, pleasurable learning experiences, and a
comfortable, accepting atmosphere. Adult learners will be more
productive if they participate in planning their learning experience.
Adult education has become increasingly important, as more
and more adults find themselves caught in the forum of life-long
learning (Usher, Bryant & Johnston, 1997). At times, there is little
differentiation between education, entertainment, and leisure. Thus,
meeting the desires and needs of the consumer is critical to the
educational producer. Asking adult educators what they need and how
they want it delivered may be a desired goal for many institutions who
provide the impetus for education.
In tiie schoolhouse setting, Krupp (1986) says that it is to a
principal's advantage to ask teachers what they need for their own staff
development. In helping teachers to grow and change, principals can
facilitate change in the classroom for the benefit of the student body as
a whole. "Principals who empower others and promote teachers' self-
esteem are truly staff developers" (Krupp, 1986, p. 109). If this is true
for principals and teachers, it appears reasonable that the same concept
of asking assistant principals about their educational needs could prove
to be beneficial as well.
Dirkx and Prenger (1997) discuss the "cone of experience" saying
that individuals remember 10% of what they read, 20% of what they
hear, 30% of what they see, 50% of what they see and hear, 70% of what

say and write, and 90% of what they say as they perform die task.
Successful learning can be ensured under three conditions. First,
quality instruction is present. Second, adults receive concrete evidence
that their effort makes a difference. Third, adults receive continued
feedback regarding the progress of their learning (Wlodkowski, dted in
Galbraith, 1990).
Mentors and Mentoring
The term mentoring comes from Homer's classical Greek story,
The Odyssey. In this tale, Odysseus asked his friend, who was called
"Mentor" to guide and tutor his son, Telemachus. Thus, his name
came to signify an instructor and guide. According to legend, Mentor, a
combination of the goddess Athena and man, was to guide and care for
Telemachus, thereby helping Odysseus to prepare his son to stand by
him in battle to regain control of their home in Ithaca. The challenge
was to help Telemachus see the error of his judgment in a way that he
would grow in wisdom and not in rebellion. Mentor did not fight
Telemachus's battles for him, nor did he expect him to become the
equal of his father; rather, he was there to support Telemachus as he
grew more mature in his ways (DeBolt, 1992).
A common image of the term mentor suggests older, more
experienced persons assisting younger people in a helping relationship
in all aspects of life, including the world of work (Levinson, 1978;
Pence, 1989). However, the term mentor does not necessarily need to

convey an age factor; rather, the term may refer to (me who has
experience helping another get acquainted with a new occupation
(Levinson, 1978).
Definition of Mentor and Mentoring
In this study, the word mentoring means die establishment of a
personal relationship for the purpose of professional instruction and
guidance (Daresh & Playko, 1990). The term mentor refers to a person
who takes an active interest in file career development of another
individual. The mentor serves as a role model who provides
guidance, support, and opportunities for the protege (Sheehy, 1976).
The mentor may act as a host or guide welcoming a person into a new
occupation and social world, and acquainting the protege with its
values, customs, resources, and cast of characters (Levinson, 1978).
Mentoring Principles
At file Annual Conference of the Association of Teacher
Educators in February, 1991, the Commission on file Role and
Preparation of Mentor Teachers adopted the Principles of Mentoring.
The Principles of Mentoring are as follows:
The Mentoring Process
1. Mentoring is a complex process and function.
2. Mentoring involves support, assistance, and guidance,
but not evaluation of the protege.
3. Mentoring requires time and communication.
4. Mentoring should facilitate self-reliance in proteges.

Mentoring Programs
5. Mentoring is bigger than induction.
6. Mentoring programs should involve local school districts
in collaboration with institutions of higher education,
state departments of education, and teachers7 bargaining
7. The structure of mentoring programs should be consistent
with school district goals.
8. Mentoring programs should be evaluated.
Selection and Preparation of Mentors
9. Mentors should be selected based on identified criteria.
10. Mentors should be prepared (trained) and offered
incentives for their work. (Bey & Holmes, 1992, p. 4.)
Mentor Characteristics and Training
For school districts to have a good mentoring program, five
criteria should be used to select the mentors. Characteristics to look for
in mentors include individuals who are willing and have the time to
mentor, are considered knowledgeable and effective by their peers, are
supportive and nurturing are good communicators, and are willing to
share their expertise. Other factors to consider for teacher mentors are
the grade level, subject area match, and physical proximity. Also, it
appears that when the mentor is older than the teacher, there is a better
chance of establishing a positive rapport. (Enz, Anderson, Weber, &
Lawhead, cited in DeBolt, 1992). While this information specifically
refers to those individuals who are mentors to teachers within die
school system, the same characteristics may be used for those who
mentor first-year assistant principals. The factors may be changed to
include the building level, area of responsibility match, and physical

In the Arizona Teacher Residency Program (Enz et al, cited in
DeBolt, 1992) the establishment of a trusting, confidential relationship
between the mentor and new teacher is paramount. The mentor is not
an evaluator of the teacher; rather, the mentor has a complex role as a
personal, professional, instructional advisor, and clinical coach. As a
personal advisor, the mentor provides friendship, encouragement, and
moral support. As a professional advisor the mentor informs the
teacher of district policies, procedures, expectations, and organizational
structure. As an instructional advisor, file mentor is a role model,
demonstrating lessons, sharing classroom organization and
management skills. As a clinical coach, file mentor provides feedback
through classroom observation of file teacher.
Once the mentors are chosen and understand their role, they
must be trained. Training for mentors participating in file Arizona
Residency Program, (Enz, et al, cited in DeBolt, 1992) incorporates an
intensive sixteen hour workshop. Training includes instruction in
observation and scripting techniques, file use of an assessment
instrument, plus coaching and conferencing techniques.
Mentoring Programs and Evaluation
Over the years many mentoring programs in education have
begun as support for beginning teachers. According to Huling-Austin
(1990), effective mentoring is a very complex process for both the
mentor and the protege. Huling-Austin states:

The sooner it is recognized and accepted that both the role
of the mentor and the mentoring process are highly
complex, the sooner greater degrees of meaningful
mentoring will take place between experienced and novice
teachers in school settings across the country (p. 50).
Although the above quotation addresses teacher mentoring, the
complex role and process that exists continues to ring true whether
the mentor and protege are teachers, business persons, or educational
administrators. To have good mentoring experiences occur, die
complexity factor must be acknowledged and accepted. Then,
commitment to the process through resources and planning must
follow (Head, Reiman, & Thies-Sprinthall, cited in Bey & Holmes,
Mentoring is part of the training program for assistant principals
used in Calgary, Alberta (LaRose, 1987). The results of the program
indicate that assistant principals benefit through having a mentor by
becoming more self-confident and developing competence.
In 1987, the North Clackamas school district in Oregon began the
Mentor Principal Program, whereby an experienced principal is paired
with a new administer to help the beginner master the district
performance standards and become familiar with the district
procedures, rules, and expectations. Benefits from this comprehensive
induction program allow the first year for a principal to run much
smoother. "You don't see things interrupting the classroom ... you see
principals who are able to quickly work with staff and be involved in
school leadership" (Anderson, 1988, p. 32).

The David Douglas School District in Portland, Oregon, uses a
retired principal to mentor beginning principals. This has its
advantages. Some beginning principals may be embarrassed to ask
certain questions of their colleagues, feeling that they are the only ones
who do not know the answer. Thus, some newcomers may try to
camouflage their lack of knowledge (Anderson, 1988). Using a retired
principal provides a safe environment for the beginner to ask
questions as needed. The beginner knows it is a helping relationship
where information shared is confidential. None of the information is
part of the evaluation process.
Another advantage of having a retired principal perform this
service is that the mentor can spend a great deal of time with a person
new in the job. This helps to bring the newcomer up to par as quickly
as possible. The retired principal, acting as a mentor, could help the
new principal with building budgets, staffings, schedules, teacher
evaluations, parent and community concerns, and any other issue that
could arise.
The mentor relationship helps the rookie avoid many pitfalls
during that crucial first year on the job. According to one new
principal: "If I had not had Gene, I would have had to use the 'trial and
error method' and undoubtedly would have made a lot more
mistakes" (Anderson, 1988, p. 42).
Finally, the mentoring program must be evaluated. Odell (cited
in Bey & Holmes, 1992) suggests a formative evaluation, which permits

tiie constant revising of an ongoing program for continued
improvements toward program goals. In contrast, summative
evaluations are retrospective and provide a measurement of what was
previously done. Therefore, proteges need to be reflective so they may
be involved in constant formative self-evaluations.
Mentor and Protege Benefits
Although the mentoring program is primarily established to
help the newcomers become adjusted to their new positions, there may
also be benefits for the mentors themselves (Suschitzky, 1997).
Mentors participating in a research project at the University of Leicester
believed their communication skills improved as well as their skills in
observation, evaluation, giving feedback, and writing reports.
In one research study, Sible (1993) found that aspiring and
practicing administrators attributed the help of a mentor as important
in acquiring their first administrative position. If this is so, logically it
would follow that continuing with a mentor after the acquisition of the
administrative position would be to one's advantage. In another study,
Cabrera (1990) discovered a positive relationship between mentoring
and career advancement for public school administrators. Thus,
through tiie mentoring process, information is handed down from
person to person, from one position to another, and so the process
continues as from one generation to another.
Although several of the aforementioned mentoring programs

feature new principals paired with mentors, many of the same benefits
may apply to the assistant principalship, should the individual be
paired with a mentor. Crow and Matthews (1998) suggest that the
content for mentoring assistant principals varies depending upon the
experience of the new assistant principal, the role assigned die new
assistant principal, and the technical and cultural aspects of the school.
The past experience and background of die new assistant
principal determines the skills, knowledge, and behaviors still needed
to be learned. The role of the new assistant principal, according to
these authors, should include instructional leadership, as well as, any
other responsibilities assigned, such as discipline and/or attendance.
Finally the mentoring component needs to include the technical "how
to do it' of tiie school and the cultural 'how to do it here' aspect of the
particular school building.
Thus, mentoring is one way to help first-year assistant principals
adjust more quickly to the variety and complications that they may
encounter in their positions. Mentoring is also one way to make the
adjustment occur in a smoother vein.
Induction Programs
The definition of induction which is used in this study is the
one adopted by Dayton City Schools in Ohio. Induction is defined as:
'A process for developing among new members of an organization the
knowledge, skills, attitudes, and values essential to carrying out their

roles effectively' (Daresh & Playko, 1990, p. 100).
Induction Program Coals
Three potential goals of induction are remediation, orientation,
and socialization (Daresh & Playko, 1992). in this instance, the term
remediation does not refer to a process used with an incompetent
individual; rather, it is to help a well-qualified person to assume a new
role. For example, a person may have moved from another state and
may not be aware of regulations for student record keeping or
arbitration procedures in the district in which they are employed. A
concern exists that school systems might hold unrealistic expectations
for new administrators, since all school personnel, in all school
systems across the nation, do not do all the same things.
A second goal, orientation, provides newcomers with
information about the district's procedures, practices, and policies.
People need to know how to request material from various
departments, such as how to do a bus requisition. However, if
induction programs are offered in a "cut-and-dried' fashion they offer
little in addressing individual concerns (Daresh & Playko, 1992, p. 104).
A third goal is socialization. Socialization is defined as 'the
process through which an individual becomes integrated into a social
group by learning the group's culture and his role in the group"
(Theodorson and Theodor son, 1979, cited in Anderson, 1988, p. 4).
Socialization is also the understanding and assimilation of the

unwritten nuances and procedures that are inherent to any
organization (Pence, 1989). If the principal plays an important part in
the socialization of new teachers, (Brock and Grady, 1997) the
socialization of first-year assistant principals may appreciate the
principal's support as well. Through the socialization process, the first-
year assistant principals could learn the culture of the school, including
the underlying values, expectations, routines, and behaviors.
Sergiovanni (in Brock & Grady, 1997) says the culture of the school has
a greater impact on what people say and do than the official
management policies.
The ultimate goal of the induction program is not
"survivorship," rather induction needs to be a long-term commitment
to excellence and professional development (Daresh & Playko, 1992, p.
106). Nevertheless, induction is not a magic recipe. Induction cannot
guarantee that all people will be successful in their jobs.
An effective induction program must take into account varying
individual needs and organizational priorities. School districts need to
do their own research regarding the types of skills, knowledge,
attitudes, and values necessary for their particular school district.
Induction programs should do more than help people acquire skills on
a list; they should also develop holistic concerns of beginning
administrators. Administrators need more than just survival skills;
they need to be able to grow and flourish (Daresh & Playko, 1992).
Brock and Grady (1997) suggest that effective induction programs

are designed to include die school's culture. The school's culture is
inherent in the school's history, values, traditions, myths, heroes, and
heroines. Therefore, as part of the induction program, the authors
recommend that principals should develop a "how tilings are done
here' booklet. This would assist the newcomer in understanding the
nuances of their particular school.
Teacher Induction Programs
In 1987, the Association of Teacher Educators formed a special
Induction Commission whose primary task was to make
recommendations regarding the needs of entry-level personnel. While
these recommendations focus on the beginning teacher, they may also
apply to the beginning administrator. The recommendations included
the following ideas (Playko & Daresh, 1990, pp. 100-101).
1. Induction programs are needed in every school district
to help beginning teachers transition from novice to
experienced teachers.
2. Induction programs must be based on the needs of the
3. The experienced people who help beginning teachers
should receive training.
4. Emphases should be on professional development of
the individual new to the position, not on evaluation.
5. The training of teachers should be an ongoing educational
process from preservice to retirement.
The Ohio Entry-Year Program has been developed to support all
first year certificated employees. A planned program of learning
experiences for these newcomers is expected to increase their

likelihood of success their first-year on the job. The Entry-Year
Standard, as it is called in Ohio, includes such components as
providing newcomers with specific orientations to school practices and
expectations, identifying and training mentors for assignment to new
certificated employees, and a self-evaluation of the program. Each
school district is expected to design their own entry-year program to
accommodate their own in-district needs (Daresh & Playko, 1990).
Principal Induction Programs
The North Clackamas School District in Oregon began to
improve the induction process of principals in 1984. The induction
program at North Clackamas includes four prongs. First, orientation
meetings are held to acquaint the new principal with the operations of
file school system, including items such as discipline procedures.
Second, another phase of the orientation meetings includes learning
the technical procedures of the district, such as how to initiate a work
order. Third, a series of workshops on personnel evaluation are held.
Fourth, consultants are hired as needed to help new principals. During
the first-year it is very important for the new principal to learn the
dynamics and "nut and bolts" of file school (Anderson, 1988, p. 27).
The Beaverton School District, in Oregon, has also initiated an
induction program for principals. The district schedules meetings
between the new principals and central office administrators for file
latter to explain their roles and get to know the beginners on a personal

basis. The meetings are spread out over die year as not to overload die
newcomer. Central office administrators give detailed instructions on
many aspects of die job such as teacher evaluations and budgeting. The
personnel department also meets with new principals and shares
background information on each staff member and addresses issues
that beginners need to face (Anderson, 1988).
As part of their induction program, the Beaverton school district
also schedules several meetings between die new and outgoing
principal to help with a transition. Prior to the interview and selection
of a new principal, a member of the central office staff meets with the
school staff to determine "what they would like to see continue and
what areas need to be improved" (Anderson, 1988, p. 36).
Another activity included in the induction program is
networking. After the principals' meeting, many principals go out to
lunch and continue their discussions about school issues. Various
social events are also planned, such as skiing trips, where principals
can relax and get to know one another better. This type of support
reduces the isolation many new principals feel. It also encourages a
collaborative versus a competitive atmosphere. Another benefit of the
Beaverton induction process is that principals can do more, better, and
Loper (1994) completed a study of six beginning principals in
Wyoming and the results indicated that school districts must develop
induction programs for new principals. The induction programs need

to include orientation to the school system, at the district level and die
school building level. Second, mentoring is a necessary component of
the induction programs. Third, new principals need feedback on their
performance as part of the induction process. Fourth, networking is
also a needed component for die induction programs.
Assistant Principal Induction Programs
A training program for assistant principals in Calgary, Alberta, is
comprised of three segments: inservice, mentorship, and observation
(LaRose, 1987). For die inservice, first-year assistant principals meet
one day a month for seven months to develop and examine concepts,
topics, and skills pertinent to their roles. During the first session, the
assistant principals set goals and prioritize their needs, thereby taking
part in planning their learning experiences.
The second segment of the training program includes matching
a mentor to the new assistant principal. Mentors are matched
according to die type of school. The assistant principal's competence
and self-confidence increase as a result of the mentor's trust and
encouragement. Like peer coaching, the mentor can model the role of
die assistant principal, share knowledge, and be "on call" for questions
as needed. Thus, the mentor helps the new administrator to overcome
the shock of reality when a discrepancy exists between reality and what
the assistant principal had anticipated.
The third segment of the program includes an observation

component. Each participant observes five experienced assistant
principals in action. One observation is of their mentor, two
observations are of assistant principals at their school level, i.e.,
elementary, middle school or high school, and another observation is
at each of the other levels.
This training program is limited to having from 10 to 15
voluntary participants. Assistant principals choosing to participate are
expected to attend all sessions unless school circumstances prevent
them from doing so. The program facilitator is a central office person
familiar with organizational development theory and practice.
Another program in North Carolina called the Assistant
Principals' Academy attracts incumbent assistant principals, teachers,
and other district personnel before they are influenced by the role
expectations and demands of the job (Peterson, Marshall, & Grier,
1987). The academy offers career assistant principals a fresh approach to
their work; plus, it influences bright teachers, women, and minorities
to consider administration as the next step in their education career
This academy 'fills a gap' in the preparation of administrators
by combining formal training with on-the-job socialization.
Participants study organizational leadership and problem-solving from
a human relations, political, symbolic, and structural framework. The
participants examine multiple functions of assistant principals and
realities of the role, thus alleviating "reality shock' (Peterson,

Marshall, & Grier, 1987, pp. 47 48).
Despite the advantages, there are some risks involved. The
academies cost more money and expend, more time than a one day
workshop. There are no guarantees that all participants will be
promoted, nor are there guarantees that after training the participants
will stay within the school district Tension may also result among the
participants. Nevertheless, the advantages appear to outweigh die
The Estacada School District, a small rural district, has a
personalized induction process (Anderson, 1988). As soon as a new
administrator is selected, an experienced administrator is assigned to
help the newcomer. The two administrators meet weekly to discuss a
list of orientation activities. These activities are divided into four
categories: students, staff, parent /community, and district.
The district fosters die concept that it is okay to call three or four
times a day with questions on how to do something. The district
supports the idea that it is okay not to know everything. Openness is
encouraged. The Estacada District believes this approach helps new
administrators to "quickly get at die issues, get diem on the table, and
get diem solved" (Anderson, 1988, p. 45). The personalized induction
program helps newcomers to understand the district's values and
mission, as well as build a sense of camaraderie among the
administrative team.

Induction Model
Rogus and Drury (1988) developed an induction model for
beginning administrators. Their goals include increasing the retention
rate of new administrators, improving their performance, and
developing an 'esprit de corps' among the administrative staff. The
Rogus and Drury model includes a large and small group component
as well as a mentoring component. The large group focuses on issues,
problems, and concerns identified by district staff. The small group
focuses on building-level problems identified by the participants. The
mentoring component has veteran administrators paired with
beginners in a 'buddy" system. Rogus and Drury believe the
mentoring component is effective if mentors choose to participate in
die program, are recognized as successful by their peers, and are trained
for the mentoring role.
Local Induction Programs
Although programs like those described above can assist a
beginning administrator, school districts themselves are the key to
orienting newcomers. The induction programs of districts represented
by the participants of this study follow.
The induction program of District A includes a mentoring
component and monthly meetings for title assistant principals. The
assistant principal may choose a mentor or one is assigned. Mentors
are expected to have served in a similar assignment as the new

assistant principal. The monthly meetings familiarize first-year
assistant principals with various policies of the district such as
evaluations of staff and the hiring procedures.
District B's induction program includes a mentor or buddy for
each new administrator, plus weekly meetings throughout most of the
fall semester and a few during spring semester. Meeting agendas
include an introduction to district resource personnel, a discussion on
"leadership," and information about sexual harassment, due process,
suspension/expulsion, time management, continuing education, and
district technology. Time is also allocated for reflection and to share
common experiences.
A spokesperson for District C says that new administrators are
assigned a mentor and they have meetings once a month. Topics at the
meetings are developed from needs of the new administrators, such as
budget or staffing.
The induction program for first-year assistant principals in
District D, according to district office personnel, includes monthly
meetings for first-year assistant principals only. At die first meeting,
first-year assistant principals are asked what information they need,
and the following meetings are planned accordingly. Some of the
topics in the past have been staff evaluations, organizing one's office,
and dealing with difficult parents. Three principals are also invited to
a session to discuss the budget, staffing, and capitol reserve. Assistant
principals may choose who they want as a mentor, but if they have no

preference, they are assigned a mentor. Mentors meet monthly with
their assistant principal.
District E's induction program also consists of a mentor being
assigned to the new assistant principal and monthly assistant
principals' meetings. The mentor is someone who is a principal or
assistant principal in the district Topics at the meetings include staff
hiring, staff appraisals, testing, budgeting, and many of the same items
previously mentioned for other school districts.
The elements of the induction program of District F include
orientation to the district, socialization and transition, technical skill
development, and continuous formative assessment. Mentors are also
assigned to each new assistant principal and must assist with a
professional development plan for the new inductee.
The induction program of District G includes assignment of a
mentor to the new assistant principal. The mentor must be someone
who has the same position. Meetings are held once a month for all
new APs. Among the topics discussed at the meetings are teacher
evaluations and legal issues.
In summary, the districts represented in this study included a
mentoring component for their first-year assistant principals, plus
monthly assistant principal meetings. Several districts included all
new administrators at die monthly meetings, while others had
separate meetings for only first-year assistant principals. Meeting topics
ranged from whatever was needed by those attending the meeting to

set agendas with specific information such as evaluation, legalities,
budget, and technology.
Preparation Programs for School Prmripals
The preparation of individuals for school leadership positions
begins formally with their enrollment in approved higher education
programs that focus on school leadership and lead toward licensure.
School principals in die state of Colorado must have a
Principal's License to secure a principal's or assistant principal's
position in the field of education. In Colorado, die requirements to
obtain a license include completing a state-approved licensing program
and passing a state examination.
Preparation Program T.imitations
There sometimes are limitations to the preparation of school
administrators, especially when the majority of the preparation is
comprised of academic courses (Daresh & Playko, 1992). One of the
limitations occurs when college or university course work is based
primarily on the choices of tire faculty.
A second limitation may occur if the primary mode of
presentation of the material is through the lecture style. Third, a
limitation may occur if written skills are emphasized to the exclusion
of oral skills that are strongly needed in the job of a school
administrator. Fourth, the final outcome of learning from a program

may be limited if knowledge and skill development does not build on
previous learning.
Out-of-State Preparation Prr>grams
Since Daresh and Playko made the above statements in 1992,
many universities have been in the process of developing new ways to
educate promising school administrators of die future. According to
Daresh & Playko (1992), Ohio State University revised their educational
administration program around nine themes which faculty
representatives deemed important issues encountered by school
administrators. The nine themes included learning, equity, the
individual in society, knowledge, curriculum, instruction,
administration, politics, and leadership.
Another innovative practice to prepare new leaders in education
was developed by die State University of New York at Buffalo. The
university viewed their mission in educational administration as
producing graduates who had performance and intellectual skills
which resulted in "superior accomplishment in leadership roles in
educational administration" (Daresh & Playko, 1992, p. 33).
In order to accomplish this mission, each student in educational
administration is expected to have coursework in three main areas.
The first area, called "common learnings" includes such topics as
communication, value analysis, and human relations. The second
area, called "concentrations," includes educational administration

policy, design, planning catalysis, educational organization, and
management. The third main area is an individual component which
allows students to contribute knowledge about organizations, policy
development, or educational institutions (Daresh & Playko, 1992, pp.
In-State Preparation Programs
Since participants in this study are employed in school districts
in Colorado, it can be reasonably assumed that many of the participants
completed their licensing program at a university in or near the
Denver area. Following are summaries of principal preparation
programs at several Colorado universities (Appendix D).
Colorado State University offers The Principal Licensure
Program in a cohort setting. The term cohort refers to a group of
students who complete their entire licensing program together. The
requirements include the demonstration erf prerequisite competencies,
enrollment in a summer program, completion of an internship during
an academic year with concurrent seminars, and enrollment in a
summer program following the internship experience.
The University of Colorado at Denver also offers their Principal
Licensure Program in a cohort setting. The cohort provides a support
and network system that carries beyond the students' work in higher
education. Throughout the licensing program students develop a
portfolio that is based on documentation of how they meet the

Colorado State Standards for School Principals. This includes
knowledge gained in academic course work as well as knowledge
gained in the field at the school work site.
The licensing program is planned, implemented, and evaluated
jointly by university faculty and practicing administrators in die field.
These administrators in the districts help with the selection of
participants and the class instruction. Problem-based learning is a
major focus of the licensing program. In order that students could
engage in helping to solve actual problems within the schools,
principals from many of the DASSC districts participate in die
identification of these school-based problems. The faculty emphasizes
action research (Schon, 1987). The action research and problem-based
learning components of die program are the basis for internship work
in schools that is done throughout the five-semester licensing
The University of Denver provides The Weekend School
Executive Preparation Program, a thirty quarter-hour principal
licensure program composed of core classes, an internship, and special
studies. There are nine core classes.
1. Introduction to School Administration
2. Principals of Leadership
3. Instructional Supervision and Evaluation
4. Planning
5. School Improvement Process
6. Current Issues in Curriculum
7. Personnel in School Administration
8. Legal Aspects of School Administration
9. Finance and Budgeting.

Students are required to complete six quarter hours of internship
with a principal in a public school building. The University of Denver
also has a partnership with several school districts in the metropolitan
Denver area.
Students are also required to complete six hours of special
studies related to program and school evaluation, school-level change
and problem solving, current trends in organizational theory, or
education and youth policy. These classes are developed on the basis of
annual program evaluations made by the staff and the needs of local
school districts. The content is kept current with the Colorado state
rules for licensure.
The University of Northern Colorado's Principal and
Administrator Licensure Programs include cohort groups, an
internship, and core class requirements. The licensure programs are
exemplified by the following beliefs designed to assist students in
meeting the standards established by the Colorado Department of
1. Human growth and development are lifelong pursuits.
2. Organizations are artifacts of a larger society.
3. Learning, teaching, and collegiality are fundamental activities
of educational organizations.
4. Validated knowledge and active inquiry form the basis of
5. Moral and ethical imperatives drive leadership behavior.
6. Leadership encompasses a learned set of knowledge, skills, and
7. Effective leadership in educational organizations depends on
individual and team efforts.
8. Leaders' behavior and actions model their beliefs and values.

9. Leaders effect positive change in individuals and
The University of Phoenix Principal License Program consists of
twenty-seven credits, which is the required coursework for the Masters
in Education Degree with a Specialization in Administration and
Supervision. Students are not required to stay in a cohort group; they
may change from group to group. However, an internship is required.
Courses include the following:
1. Critical Issues in Education
2. Curriculum Design and Development
3. Education Finance and Budgeting
4. School Law for Educators
5. Human Resources Management in Education
6. Practicum in School Administration
7. instructional Program Management and Evaluation
8. The Role and Function of the Principal
The previously discussed elements about various university
administrative preparation programs may play a role in the readiness
for an individual to move into an administrative position. The degree
of readiness will probably have a bearing on the comfort level of
someone new in a position and therefore, on the amount of assistance
tire person feels is needed once on the job.
Administrator Selection
The US. Department of Education (1987) believes that the
prindpalship is die most powerful force for improving school

effectiveness and that the sound selection of school principals is one of
the most economical options to accomplish this task. Most
importantly, effective principals are leaders who motivate students and
teachers to set high goals; they also inspire respect not for what they do,
but for who they are.
Although the U.S. Department of Education has specifically
targeted principals in the force to improve schools, assistant principals
also have a hand in die accomplishment of this task to motivate
students and teachers. Therefore, many of the following comments,
while referring to principals, may also be extended to the position of
assistant principal. For, it is usually from the ranks of the assistant
prindpalship that the principal is born.
By consulting with teachers, students, parents, and the
community, school districts must agree on what they want and need in
a school principal in order to have a good match between the school
community and the school principal (Hersom & Mercer, 1989). Then,
before vacancies arise, school districts should identify a pool of
potential candidates and offer them special training courses (US. Dept,
of Education, 1987; Sashkin & Huddle, 1988).
Long before a principal is hired, the North Clackamas School
District in Oregon uses many experiences to orient aspiring
administrators to the principal's role. These include internships,
leadership training sessions, substituting for the principal, career ladder
positions, and assistant prindpalships at the secondary level

(Anderson, 1988).
Murphy (1992) found that little recruitment is being done by
school districts and/or universities. Attracting the "brightest and the
best" (Daresh & Playko, 1992, p. 68) is becoming more difficult because
of die stress on the job, die long hours, and many teachers are being
paid as much or more than administrators. School districts need to
become proactive and "grow their own' talent (p. 69).
About twenty years ago, college grade point averages were
among die least considered candidate quality by school superintendents
who did the hiring of school principals (Bryant, Lawlis, Nicholson, &
Maher, 1978). Ten years later, however, recommendations suggested
that programs in educational administration in colleges and
universities should recruit and have an intensive selection process for
individuals whose GRE score was in the upper fifty percent (Griffiths,
Stout, & Forsythe, 1988). "Bright people with proven leadership
potential must be attracted to the ranks of educational administration'
(p. 290) for our schools to continue to thrive.
Wynn (1972) predicted that future trends for preparing
educational administrators would include more student involvement,
with greater dramatization of reality oriented instruction, and a greater
emphasis on performance objectives and new technology. Within ten
years, Cunningham and Payzant (1983) believed that leadership skills
of die future needed to include intuition, seeing the present and future
simultaneously, and policy developing skills; while "enduring"

leadership skills included goal setting, planning, organizing,
communicating, and trust building (pp. 22-25).
In evaluating individual candidates for the prindpalship, most
school districts use one or more of the following five basic selection
methods. School districts collect biographical data, administer written
tests, conduct structured interviews, solicit job samples, make site visits
and/or consult assessment centers where candidates participate in
various job simulations (US. Dept, of Education, 1987).
Deciding which method or methods to use in selecting
administrative candidates depends upon the size, budget, and goals of
the school district. School districts need to decide how they will select a
new assistant principal, then once selected, how they will support that
individual through their induction program.
Just as school districts across the nation have started programs to
assist beginning teachers and new principals, so to, school districts have
turned their attention to assist first-year assistant principals. There is
evidence that the assistance programs for teachers and principals have
enabled them to become more productive more quickly. It is
reasonable to expect that similarly structured programs can have the
same benefits for the first-year assistant principals. They could grow in
wisdom, decide to stay in the position, and be more successful with less
stress to themselves and their school organization.

As the review of literature suggests, little study has been done
regarding the assistant principal position (Hartzell, Williams, &
Nelson, 1995; Marshall, 1992) and how individuals are supported once
they assume this leadership position (Anderson, 1988; Daresh &
Playko, 1990). With die passage of the Educator Licensure Act (HB 91-
1005) in 1991, by the Colorado legislature, school districts are required to
implement an induction program for new teachers and new
administrators by July 1,1999. According to Colorado state law, these
induction programs are to include orientation sessions regarding
school district policies and procedures, and a mentoring component.
hi many districts across the United States, professional assistance
for new administrators has taken the form of induction programs,
mentoring programs, inservice programs, and/or one-on-one
counseling (Anderson, 1988; Daresh & Playko, 1990; Hartzell, Williams,
& Nelson 1995; Rogus & Drury, 1988). This particular study focused on
first-year assistant principals in the metropolitan Denver area, and the
professional assistance which they received. The perceptions of these
individuals may be of interest to those preparing induction programs.

The purpose of this research study was to examine perceptions of
first-year assistant principals regarding professional assistance they
received in their position. The study also examined perceptions of
these individuals regarding additional assistance that would have been
helpful or is still needed.
Research questions investigated were:
1. What professional assistance do first-year assistant principals
perceive they received upon entering their positions that was beneficial
in orienting them to their new positions?
2. What additional professional assistance do first-year assistant
principals perceive would have been beneficial when beginning the
job, and how do they believe information could have been obtained or
skills learned?
3. What professional assistance do first-year assistant principals
perceive they still need, and how do they believe information can be
obtained or skills can be learned?
4. Do perceptions about professional assistance differ between
assistant principals at the elementary and secondary school levels?

This chapter continues with a discussion of the qualitative
design for this study. The sampling procedures and the interview
process selection are explained. The pilot study is described and the
instrument used is identified. Next, data collection and analysis is
examined. Finally, die validity of the study is explained.
Qualitative Study
A qualitative design was selected for this research study. The
purpose of the qualitative approach is to gain an in-depth
understanding of a situation and its meaning for those involved
(Merriam, 1988). In die qualitative research study, understanding is
sought in order to improve practice. In this study, understanding die
professional assistance received by first-year assistant principals was
sought in order to improve the way professional assistance is rendered
to first-year assistant principals.
In a qualitative study, data may be presented in such a way that
the participants tell their story. The data can speak for itself (Wolcott,
1994). In this study, first-year assistant principals relate the experiences
that they had and give suggestions about how they would like to
receive professional assistance in a way that would best fit their needs.
Sampling Procedures
Potential study participants were identified through a series of

steps. First-year assistant principals from all large school districts in the
metropolitan Denver area were invited to participate. Large districts
were identified as those having a student population of 25,000 or more
according to the 1997-1998 Colorado Education and Library Directory.
School districts who are members of the Denver Area School
Superintendents' Council (DASSQ were selected to keep the interview
process limited to the metropolitan Denver area. The Colorado
Department of Education verified all DASSC school districts with
enrollment over 25,000 as of January 1,1998.
Seven districts met this criteria and all agreed to provide lists of
first-year assistant principals. Individual study participants were
identified by contacting the director of the personnel department in
each of die selected public school districts.
Interview consent letters briefly explaining the study (Appendix
A) and demographic questionnaires (Appendix B) were sent in January,
1998, to all first-year assistant principals in these districts. If the consent
form/demographic questionnaire was not returned within ten days, a
reminder telephone call was made to elicit the return of this form.
From the demographic questionnaire data, a determination was
made of those who met the criteria for serving in the position of
assistant principal for the first time. If, for example, a questionnaire
indicated that an individual had been an assistant principal in another
school district, then that individual was not selected for the interview
process. All individuals who met this criteria and agreed to participate

were interviewed. Fifty first-year assistant principals were selected and
30 agreed to participate. All individuals who agreed to participate were
interviewed for this research study.
A list of those people participating was stratified into two school
levels: elementary and secondary. The secondary level included
assistant principals at the middle school and high school level.
Stratification was necessary for this study in order to establish two
groups for comparison. A comparison was desired to see the
similarities and differences between the two levels of first-year assistant
principals. By stratifying the study participants and establishing two
groups, a content analysis was completed of their responses, which
allowed comparison between the two levels (Weber, 1990).
Study participants were contacted by telephone to establish a date
and time for the interview. A list of the interview questions was sent
to them in preparation for the interview process. All telephone
interviews were completed between February 1,1998 and February 23,
Interview Process Selection
The purpose of the interview technique is 'to allow us to enter
into the other person's perspective" (Patton, 1980, dted in Merriam,
1988, p. 72). According to Yin (1994), two strengths of the interview

process are that it directly focuses on die topic and that it is insightful
through perceived inferences. Although the personal perspective is
sought in qualitative research, there is the possibility that information
can be exaggerated or distorted. This can be remedied according to
Whyte (1982, dted in Merriam, 1988) by comparing one interviewee's
account with another interviewee's account. Participant responses in
this study were compared to determine similarities and differences.
Comparison was also used to look for patterns and trends among all
Pilot Study
Two methods of conducting interviews were considered for this
study. These were the face-to-face method and the telephone interview
method. A pilot interview of each method was conducted to
determine which method seemed to be more appropriate for this study.
Both pilot interviews were with assistant principals who were not
eligible for participation in the study. The pilot interviews allowed the
researcher to experience elements of each process and also allowed for
refinement of the interview questions.
The face-to-face pilot interview lasted approximately 55 minutes,
while die telephone interview was approximately 40 minutes. The
face-to-face interview was conducted at die end of the school day, on
school grounds. The face-to-face interview was interrupted twice, once
by the telephone and once by personnel at the school. The telephone

interview was conducted at home and an a Saturday morning. The
telephone interview was conducted without interruption.
Although, through the face-to-face method of interviewing, it
may seem easier to establish rapport with the interviewee, Borg and
Gall (1989) state that die physical presence of die interviewer may
distort the responses of die subject. The authors also indicate that,
considering the professional obligations of administrators, it may be
easier to reach these individuals by telephone than through personal
visits. Thus, as a result of the pilot study, die audio-taped telephone
pilot interview method was selected as it appeared more focused and
was without distractions.
Also as a result of the pilot study, three interview questions were
changed for die study. Interview question number three (Appendix Q
was changed from: What induction activities and/or information were
helpful in fulfilling your job responsibilities this year, to: What
induction activities and/or information were the most helpful in
fulfilling your job responsibilities this year? A second part asking
'how' was added to the question. This change seemed to clarify the
responses about induction activities and helpful information.
Interview question number five was also changed from: How
would you have obtained this information and/or learned these skills,
to: What would have been die best way for you to obtain this
information and/or learn these skills. The reason for this change was
to elicit a more specific response about the best ways to obtain

information and/or learn skills.
Interview question number seven was changed from: How
would you obtain this additional information and/or learn these skills,
to: What would have been the best way to obtain this additional
information and/or learn these skills? The reason for this change was
to elicit a more specific response about die best ways to obtain
additional information and/or learn these skills.
The interview as a research method involves the collection of
data through "direct verbal interaction between individuals" (Borg &
Gall, 1989, p. 446). One of the main advantages of die interview is that
die interview permits greater depth than other methods of collecting
data. The descriptions and quotations obtained from an interview are
raw data providing "depth and detail' from the empirical world
(Patton, 1980, cited in Merriam, 1988, p. 68).
The interview questions developed for this study (Appendix Q
contain semi-structured questions. Semi-structured questions have no
preset choices from which the participants select a response; the
questions are open-ended allowing for more elaborate individual
responses. The purpose of the interview is "not to put things in
someone else's mind (for example, die interviewer's perceived
categories for organizing the world) but rather to access the perspective
of the person being interviewed" (Patton, 1980, cited in Merriam, 1988,

p. 73). All the interview questions were developed from relevant
literature and were asked in die same order and with the same
wording for continuity.
Questions numbered one, two, and three follow and were
paramount to the focus of the study which was to elicit the perceptions
of first-year assistant principals regarding the professional assistance
they received upon entering their first-year of administration.
Following each question is a short discussion from the literature
supporting die development of die question.
1. What kind of professional assistance have you been formally
provided by your district to support you in carrying out the
responsibilities of your position?
Daresh and Playko (1992) discuss die professional development
of school administrators and the kind of assistance, if any, that is given
to the neophyte administrator. Daresh and Playko (1992) believe
administrators are not the product of a 'magical process' but that it
takes continued hard work to be educational leaders. The authors
discuss professional development including preservice preparation,
induction, and ongoing inservice education (p. xi-xii).
2. What kind of informal ways have you found to support
yourself in carrying out the responsibilities of your position?
Hartzell, Williams, and Nelson (1995) completed a study about
first-year assistant principals, allowing them to describe the joys,
difficulties, and surprises of the position. Many of the new

administrators realized that they needed to talk with others to survive.
The listening ear could be an individual on their administrative team,
a peer in the same position in another school, a mentor, a friend, a
spouse, or even someone from another type of business. The
relevance was that a connection was made to listen to the trials of the
position, perhaps offer suggestions or advice; but, more often than not,
just be there, so the individual had time to vent, calm down, and
realize tomorrow is another day.
3. What induction activities and/or information were the most
helpful in fulfilling your job responsibilities this year? How?
According to Marshall (1992), by listening to the positive as well
as the negative experiences of assistant principals, ways can be
determined to support them and help them grow. Also, in setting up
an induction program, Daresh and Playko (Oct 1992) found that the
most important element is the evaluation of the program by the
participants in order to understand what worked and why.
Questions number four and five pertain to the second major
focus of the study: What additional professional assistance do first-year
assistant principals perceive would have been beneficial when
beginning the job, and how do they believe information could have
been obtained or skills learned?
4. What information and/or skills do you wish you had
known/acquired upon beginning your administrative position this

An administrator induction program study by Rogus and Drury
(1988) concluded that asking administrators what they wish they had
mastered prior to their first assignment was essential to the needs
assessment of the induction program.
5. What would have been the best way for you to obtain this
information and/or leam these skills?
This question builds on the previous one so as to identify how a
person could accomplish die task at hand. This information may be
helpful to university administrative preparation and degree programs.
This information may also benefit central office staff in planning
induction programs.
Questions number six and seven of the interview schedule
pertain to the third focus of the study: What professional assistance do
first-year assistant principals perceive they still need, and how do they
believe information can be obtained or skills can be learned? These
questions are as follows:
6. What information and/or skills do you still need?
7. What would be the best way to obtain this additional
information and/or leam these skills?
According to Daresh and Playko, (1992) the process of induction
is not necessarily completed after the first year on a new job; die process
may take several years to complete. Induction is defined as die 'period
in a person's career when he or she is in a new position in an
organization, under a new role definition' (p. 19). Thus, an individual

may continue to develop various job skills as needed for individual
Responses to question number eight provide information that
may be helpful to districts as they fulfill die requirement of the
Educator Licensure Act. This legislation requires all school districts in
Colorado to implement an induction program for newly hired
administrators by July 1,1999.
Question number eight is as follows:
8. For a new administrator, how might a school district organize
a beneficial induction program?
Hartzell (1995) purports there are three kinds of assistant
principals: Beginning assistant principals, continuing or career assistant
principals, and aspiring or upward-bound assistant principals. Each
type of assistant principal has their own special needs. It is important
that first-year assistant principals have their needs met in a way
consistent with their current career path.
Data Collection and Analysis
Each participant was telephoned to confirm the date and time of
the interview. The interview was conducted via die telephone at a
date and time convenient for die interviewee. The average length of
the interview was thirty minutes. All telephone interviews were
conducted between February 1,1998 and February 23,1998. Responses
to the interview questions were audio-tape recorded. The audio tapes

were transcribed by another individual and verified by the researcher
for accuracy.
The telephone interview was a technique used successfully in
other qualitative studies in the field of educational leadership by
Napier (1989) and Sible (1993). Both Napier and Sible used hand-
written notes and audio-tape recorded their interviews. Their audio
tapes were used when necessary to verify the accuracy of their notes,
but transcriptions were not made of the audio-tape recordings.
In this study, interviews were conducted over the telephone and
hand-written notes were made during die interviews to capture
emphasis made by the study participants. The interviews were tape
recorded for accuracy, transcribed by another individual, and checked
by die researcher for accuracy. 'Ideally, verbatim transcription of
recorded interviews provides the best data base for analysis" (Merriam,
1988, p. 82).
After all data were collected, responses were grouped according
to each question in the interview schedule. The following codes were
used to identify the responses and to insure confidentiality. Assistant
principals from die elementary school level were coded with the letter
"E." Assistant principals from the middle school and the high school
level were coded with the letter "S." The number after the letters
identified each participant and assured confidentiality. In this research
study, a total of 30 assistant principals agreed to participate. The
elementary level included 17 participants and the secondary level,

including middle and high school, included 13 participants.
Data were analyzed by identifying categories for each of the
questions in the interview schedule. Guidelines recommended by
Guba and Lincoln (1981) were considered in the selection of quotes.
Hist, the frequency with which an idea is mentioned in the data
indicates importance. Thus, major ideas in the responses were noted
for frequency.
Second, the intended audience may determine importance of
material. The intended audience in this case was school district
personnel and university preparation program instructors. Ideas
deemed by the researcher and her advisor to be important to these
groups were noted. For example, topics that study participants
indicated were important for school districts to include in their
orientation sessions were noted.
Third, an idea may stand out because of its' uniqueness. Unique
items, adding interesting detail and depth to the study, were noted.
Fourth, a response could open up a new idea on a common
problem. Some common problems for a person new to a position
could be issues around disillusionment, unknown tasks or
responsibilities, or lack of resources to support the accomplishment of
responsibilities. If interview responses provided possible ideas for
these or other problems related to working in a new position, they
were noted.

Internal validity is the extent to which the researcher's findings
match reality (Merriam, 1988). The validity issue was addressed by the
researcher through the development of interview questions from the
literature. Interviewing, particularly semi-structured formats, "fares
well when compared to other data collection techniques in terms of the
validity of the information obtained" (Merriam, 1988, p. 86).
Merriam (1988), in defense of qualitative research design, states
the following:
"replication of a qualitative study will not yield the same
results. That fact, however, does not discredit the results
of the original study. Several interpretations of the same
data can be made, and all stand until directly contradicted
by new evidence ( pp. 171-172).
Lincoln and Guba (1985, cited in Merriam, 1988) suggest
thinking in terms of consistency of the research results for qualitative
research studies. 'Rather than demanding that outsiders get the same
results, one wishes outsiders to concur that, given the data collected,
the results make sense they are consistent" (Merriam, 1988, p. 172).
Thus, this research study explored the perceptions of first-year assistant
principals. The experiences of these first-year assistant principals were

The purpose of this research study was to examine perceptions of
first-year assistant principals regarding professional assistance they
received in their position. The study also examined perceptions of
these individuals regarding additional professional assistance that
would have been helpful or was perceived as still being needed at fire
time of the interviews.
Research questions investigated were:
1. What professional assistance do first-year assistant principals
perceive they received upon entering their positions that was beneficial
in orienting them to their new positions?
2. What additional professional assistance do first-year assistant
principals perceive would have been beneficial when beginning the
job, and how do they believe information could have been obtained or
skills learned?
3. What professional assistance do first-year assistant principals
perceive they still need, and how do they believe information can be
obtained or skills can be learned?
4. Do perceptions about professional assistance differ between

assistant principals at the elementary and secondary school levels?
The data were gathered by audio-taped telephone interviews and
presented in this chapter as they support responses to die above
research questions. The findings are described in a narrative format.
The demographic data were examined to obtain a clearer picture
of first-year assistant principals in large school districts in the Denver
metropolitan area. The demographic questions may be found in
Appendix B, as part of the interview request letter.
The interview questions (Appendix Q used in this study were
developed to assure data relevant to the research questions and are
supported by the literature. One interview schedule was used for all
participants. The data are presented in this chapter under four major
headings: demographic data, participant interview responses,
discussion of findings, and conclusion. The participant interview
responses are subdivided according to the four research questions and
interview question number 8, which asked participants for input
regarding organization of a beneficial induction program for assistant
Demographic Data
The demographic data have been analyzed and grouped into the
following four categories: the range in the number of students in the
first-year assistant principals' schools, the range in the number of years
each assistant principal has been in the field of education, die position

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