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Perception of the preparation, recruitment, and retention of California school district superintendents

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Perception of the preparation, recruitment, and retention of California school district superintendents

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Content Running head: DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 1

PERCEPTION OF THE PREPARATION, RECRUITMENT, AND RETENTION OF
CALIFORNIA SCHOOL DISTRICT SUPERINTENDENTS
by
Lucy A. Salazar
____________________________________________________________________
A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION
May 2018
Copyright 2018 Lucy A. Salazar
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 2
DEDICATION
This dissertation is dedicated to my daughters, Alejandra Luna and Emma Paulina, who
were 4 and 2 years old when I started my doctoral journey. You are the reason for everything I
do. I had to make hard choices that took time away from spending quality time during these 3
years in order to achieve this goal; in return, you each gave me unconditional love and under-
standing. Thank you for being such beacons of light and joy. My hope for you both is that you
follow your dreams, knowing that you have my love and support. I love you always.
I also dedicate this work to my parents, whom I kept in mind and heart throughout the
years. Thank you, Mami, for taking my calls each Wednesday on my way to class. You ended
each call by saying suerte y pulso and I needed that each week. You always believed in my
ability to achieve. You are gone, but your belief in me has made this journey possible. You are
missed and loved.
To every person who gave words of encouragement and asked how it was going, thank
you for being there. I needed each of you and I am grateful for how fortunate I am to have each
of you in my life. Fight on!
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 3
ACKNOWLEDGMENTS
First and foremost, I thank my husband and partner in life, Reynaldo Miramontes. His
patience, selflessness, and support carried me through the hardest of times. Together, we set out
on this journey along with our daughters, Alejandra Luna and Emma Paulina. I could not have
done this without him and our two beautiful girls. He is my world! I thank my family, my tribe,
and biggest fans, especially my parents, Lucy Salazar and Gonzalo Salazar. Everything I am, I
owe to them. They taught us the importance of an education and the legacy of family. As immi-
grants, they sacrificed each and every step of the way. Their sacrifices were not in vain; I live to
honor and remember where we came from. Gracias por todo mami y papi. To my siblings, los
pollitos, I love you dearly, and your unwavering support gave me strength and animo when
needed. Thank you, Nestor, Patricia, Janet, Ximena, Marcela, and Gonzalo Enrique for being
such an awesome presence in my life.
Thank you to my Wednesday cohort for the great times, dinners, and this amazing expe-
rience. Thank you to my dissertation cohort for the collaborative spirit and learning experiences
that each provided. I learned a great deal about myself, and I am a better scholar because of our
collective work.
Thank you to the University of Southern California and my professors, particularly Dr.
Michael Escalante, dissertation chair, and committee members Dr. Alan Green and Dr. Charles
Hinman, who provided leadership and feedback. Their knowledge and support generated confi-
dence to navigate the process. I appreciate Dr. Escalante’s confidence in my ability to produce a
body of research and study of which I can be proud for years to come. Thank you to all of the
professors at the Rossier School of Education for pushing my thinking as a practitioner and
scholar in educational leadership.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 4
TABLE OF CONTENTS
Dedication 2
Acknowledgments 3
List of Tables 7
List of Figures 8
Abstract 9
Chapter 1: Overview of the Study 11
Background of the Problem 11
Preparation Programs 11
Recruitment 12
Retention 12
Statement of the Problem 12
Purpose of the Study 13
Research Questions 13
Importance of the Study 14
Limitations of the Study 14
Delimitations of the Study 15
Assumptions 15
Definition of Terms 15
Organization of the Dissertation 17
Chapter 2: Literature Review 18
Evolution of the Superintendent Role 18
Superintendent as Teacher-Scholar 19
Superintendent as Business Manager 20
Superintendent as Politician 21
Superintendent as Applied Social Scientist 21
Superintendent as Communicator 21
Preparation for the Superintendent 22
University Preparation Programs 22
Nonuniversity Preparation Programs 24
Mentoring and Networking 26
Recruitment of the Superintendent 28
Traditional Career Path of a Superintendent 28
The Elementary School Principal’s Career Path to the Superintendency 29
Superintendent Skill Set 30
Executive Search Firms 31
Retention of the Superintendent 34
Entry Plan 34
School Board Relations 36
History of school boards 36
Role of school boards 39
Working relationship with a superintendent 39
Superintendent relations 40
Leadership Framework 41
Good-to-Great Leadership 41
Organizational Leadership Frame: Bolman and Deal 42
Structural frame 43
Human resource frame 43
Political frame 44
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 5
Symbolic frame 44
Organizational Leadership Frame: Marzano and Waters 45
Establishing nonnegotiable goals for student achievement 46
Establishing nonnegotiable goals for instruction 46
Ensuring collaborative goal-setting, board alignment with
nonnegotiable goals and allocation of resources to support
nonnegotiable goals 47
Chapter 3: Methodology 49
Research Questions 49
Research Design 50
Conceptual Framework 50
Population and Sample 52
Instrumentation 53
Quantitative Instrument 53
Qualitative Instrument 54
Data Collection 55
Quantitative Data Collection 55
Qualitative Data Collection 55
Data Analysis 56
Quantitative Data Analysis 56
Qualitative Data Analysis 56
Ethical Considerations 57
Chapter Summary 57
Chapter 4: Results 58
Purpose of the Study 58
Participants and Response Rate 59
Quantitative Demographic Data 59
Qualitative Demographic Data 65
Superintendent Information 66
Results for Research Question 1 68
Mentoring 69
On-the-Job Training 71
Networks Created Through Prior Experience 72
Results for Research Question 2 73
Proven Track Record of Success 74
Match Values of the District 75
Prior Experience 77
Results for Research Question 3 78
Board Relations 79
Leadership Skills 81
Stakeholder Communication 85
Chapter Summary 87
Chapter 5: Conclusions 88
Statement of the Problem 88
Purpose of the Study 88
Research Questions 89
Findings 89
Findings for Research Question 1 90
Findings for Research Question 2 91
Findings for Research Question 3 92
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 6
Implications 93
Recommendations for Future Study 94
References 95
Appendices
Appendix A: Research Participant Invitation E-Mail 103
Appendix B: Superintendent Survey 105
Appendix C: School Board Member Survey 112
Appendix D: Superintendent Interview Guide 115
Appendix E: School Board Member Interview Guide 116
Appendix F: Executive Search Firm Interview Guide 118
Appendix G: Question Alignment Matrix 120
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 7
LIST OF TABLES
Table 1: Quantitative Survey Response Rates 54
Table 2: Demographic Data for Participating Superintendents 61
Table 3: Educational Background of Participating Association of California School
Administrators (ACSA) Superintendents 62
Table 4: Career Length of Participating Association of California School
Administrators (ACSA) Superintendents 62
Table 5: Professional Trajectory of Participating Association of California
School Administrators (ACSA) Superintendents 63
Table 6: Prior Experience of Participating Association of California School
Administrators (ACSA) Superintendents 65
Table 7: Characteristics of the Superintendents and Their Districts 67
Table 8: Preparation Strategy/Steps Valued by Association of California School
Administrators (ACSA) Superintendents Participating in the Survey 70
Table 9: Recruitment Process/Strategy Perceptions by Participating Association
of California School Administrators (ACSA) Superintendents 78
Table 10: Retention Process/Strategy Used by Association of California School
Administrators (ACSA) Participating Superintendents to Maintain Position 80
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 8
LIST OF FIGURES
Figure 1: Interaction of findings for district leadership 48
Figure 2: Conceptual framework for the study 51
Figure 3: Characteristics of districts by superintendents 67
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 9
ABSTRACT
This study examined perceptions held by current successful superintendents regarding
their preparation, recruitment, and retention in the role. Three research questions guided the
study:
1. How have training programs and experience prepared superintendents to manage the
complexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards
regarding the strategies that used to help the current superintendent to attain his or her current
position?
3. What are the perceived strategies that support the retention of superintendents?
A qualitative approach was used for data collection and analysis. Data were triangulated
via a survey and interviews of superintendents, school board members, and an executive search
firm consultant.
Nine themes emerged regarding how superintendents perceived their preparation for the
position: (a) Participants viewed mentoring as critical to preparation for the superintendent role,
(b) on-the-job training was valued more than university training programs, (c) networking
coupled with prior experience was the most valued manner to prepare for the duties and chal-
lenges of the superintendent role, (d) aspiring superintendents with a proven record of success in
their prior position are recruited, (e) aspiring superintendents are recruited when perceived to be
a match for a district, (f) prior experience is considered to be of interest to a district in filling the
position, (g) good board relations contribute to retention, (h) leadership skills displayed by a
superintendent are noted and favored, and (i) a superintendent who communicates with all stake-
holders is likely to be successful in retaining the position.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 10
The findings indicated important implications for practice: Mentoring is essential to a
pipeline for aspiring superintendents and networks serve to prepare and retain superintendents
because they serve as a structure for differentiating professional development.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 11
CHAPTER 1: OVERVIEW OF THE STUDY
In school districts today, the potential for influence and magnitude of responsibility held
by the superintendent call for candidates to be highly prepared for the scope of work within and
beyond a district (Kowalski, McCord, Petersen, Young, & Ellerson, 2011). The superintendent
must draw from a variety of desirable skills, have the ability to manage and lead others (Drucker,
2001), communicate vision and mission to stakeholders, and build trusting relations with the
board (Hurley, 2006). With the ever-changing role, California will need to examine practices of
current successful superintendents and determine what practices led them to serve in the highest
position in a district. Given the scope of these duties, a body of literature exists that discusses the
preparation, recruitment, and retention of superintendents.
Background of the Problem
The role of superintendent has been reinvented several times, often in response to the
needs of society (Kowalski et al., 2011). Originally, public education was offered to all students
for free; however, as the complexity of managing a school system grew too great for school
boards, the need for the superintendent emerged.
Preparation Programs
Levine (2005) noted that there has been no consistent way that history has recounted the
preparation for the role. According to Kowalski et al. (2011), criticisms of academic preparation
programs for superintendent preparation include (a) low academic admission and completion
standards, (b) a general indifference toward instructional leadership, (c) a disjunction between
theory and practice, (d) inattention to practice-based research, (e) an inadequate knowledge base,
(f) a proclivity to treat superintendent preparation as an extension of principal preparation, and
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 12
(g) consideration of a doctorate in educational administration as equivalent to superintendent
preparation.
Recruitment
When discussing recruitment for the highest administrative position in a district, many
public school boards are challenged. Authors (e.g., Glenn & Hickey, 2009) have indicated that
candidates are considered “Baby Boomers” are retiring and creating vacancies that are difficult
to fill. Another factor affecting recruitment efforts for the role of superintendent is that of com-
pensation packages that are not at par with other position within district, considering comparing
work load and expectations (Hodgkinson & Montenegro, 1999).
Retention
Kowalski and Perrault (2001) highlighted short-lived careers of many superintendents,
particularly those in California who held their positions for slightly more than 6 years. He identi-
fied contributing factors to the short life span of the career: stress, financial instability, stake-
holder pressure, and the superintendent’s relationship with board members (Kowalski et al.,
2011).
Statement of the Problem
The job of superintendent has become more complex and challenging, with roles, respon-
sibilities, and expectations continually evolving since the inception of the position in the early
1800s (Kowalski et al., ; McLaughlin, 2005). Aspiring superintendents must thoughtfully con-
sider the proper preparation, recruitment strategies, and skillsets for ongoing retention and
success in the position. Preparation programs, such as university programs and nonuniversity
programs, have made attempts to train prospective superintendents to be recruited and successful
in the position but many have fallen short in their efforts (Barnett, 2004; Björk, Kowalski, &
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 13
Browne-Ferrigno, 2005; Levine, 2005; Perry, 2012). Support for current superintendents,
including networking, mentoring, and coaching, have contributed to most superintendents’
ongoing success in the position; however, superintendent turnover remains high (Kowalski et al.,
2011). Although many superintendents are successful in the position, dismissal from the position
usually ends the career in education (Byrd, Drews, & Johnson, 2006; Kowalski et al., 2011). The
fact that disparities in recruitment and retention of female superintendents and superintendents of
color exist magnifies the problem for these subgroups (Kowalski et al., 2011). These inadequa-
cies signify an overall problem in superintendent preparation, recruitment, and retention.
Purpose of the Study
This study serves to inform multiple stakeholders. Aspiring superintendents will be
informed on the preparation, skills, and relationships that will support their transition to the
superintendency. School boards of education will gain insights that to them to recruit better
candidates for the superintendency and to maintain a positive relationship with their superinten-
dent. Executive search firms will be informed on perceived strategies used by successful super-
intendents to aid in the recruitment of candidates for the position while providing strategies on
superintendent retention. Universities and nonuniversity training programs will be informed on
the impact of their programs on training superintendents. This study can also inform current
superintendents about the perceived skills needed to achieve success and longevity.
Research Questions
To examine the strategies and behaviors that successful superintendents use to build
strong relationships with the school board during the entry period, the following research
questions were developed to guide the study:
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 14
1. How have training programs and experience prepared superintendents to manage the
complexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards
regarding the strategies that used to help the current superintendent to attain his or her position?
3. What are the perceived strategies that support the retention of superintendents?
Importance of the Study
This study serves to inform multiple stakeholders. Aspirants to the superintendency will
be informed on the preparation, skills, and relationships that will support their transition to the
superintendency. School boards of education will gain insight that help them to recruit better
candidates for the superintendency and to maintain a positive relationship with the superinten-
dent. Executive search firms will be informed on perceived strategies used by successful super-
intendents to aid in the recruitment of candidates into the position while providing strategies on
superintendent retention. Universities and nonuniversity training programs will be informed on
the impact of their programs on training superintendents. This study can also inform current
superintendents about the perceived skills needed to achieve success and longevity.
Limitations of the Study
Even though every measure were taken to ensure reliability and validity of the study,
limitations are acknowledged:
1. The results of the study were limited to responses by the participants in the study.
2. The participants were located in California due to location constraints of the research
team.
3. The interview questions were administered to participants who met inclusion criteria.
4. The study took place over a brief period of time.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 15
5. The study was limited to participants who responded voluntarily to the study.
6. The validity of the study was dependent on the reliability of the survey instruments.
Delimitations of the Study
The research delimitations of the study were the interviews and survey responses from
superintendents, board members, and executive search firms in California. The survey
respondents were superintendents and board members. No university staff members or
nonuniversity preparation program staff members were surveyed or interviewed.
Assumptions
The research team carried out the study collaboratively and ethically. The participants
were expected to respond honestly and candidly, based on their own experience. The collected
data were useful and pertinent to the preparation, recruitment, and retention of superintendents.
Definition of Terms
For the purpose of this study, the following operational definitions apply:
American Association of School Administrators (AASA): An organization of school
leaders in the United States and across the world.
Association of California School Administrators (ACSA): An organization of school
leaders in California.
California School Boards Association (CSBA): An organization of school board
members in California.
Dean’s Superintendent’s Advisory Group (DSAG): A group of current and former
superintendents with affiliation with the University of Southern California.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 16
Entry plan: The goals and action plan that a new superintendent develops for a successful
transition during the first 100 days in the role. A new superintendent’s entry plan would be
shared with stakeholders.
Executive search firms: Firms that provide customized services to school boards, school
districts, and candidates in the process of search for and selection of school superintendents.
Interstate School Leaders Licensure Consortium (ISLLC): A program of the Council of
Chief State School Officers that has crafted model standards for school leaders.
Nontraditional superintendent: A person who does not possess a typical background in
education, typically coming from the fields of law, business, or the military.
Preparation program: A program designed by a university or professional organization
to provide educators, including superintendents, certification in a chosen area of education.
School board: The body of governance for a local school district. As the governing body,
whether elected or appointed, the board is responsible for all policy or regulations within the
local school district, including hiring and evaluating the district superintendent.
School district: A local educational agency that operates schools in a local geographic
location.
Strategic plan: The organizational goals and action plans developed collaboratively by
the superintendent, the board, and stakeholders.
Successful superintendents: Superintendents who have currently been employed in a
position for at least 2 years and are in good standing with their respective school board.
Superintendency: The office, position, or jurisdiction of a superintendent.
Superintendent preparation: The strategies that an aspirant to the superintendency used
that equipped him or her for the superintendent.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 17
Superintendent recruitment: The process or strategy an aspirant to the superintendency
used to gain his or her first superintendent position.
Superintendent retention: The process or strategy that a superintendent uses to maintain
the current position.
Superintendent: An administrator or manager in charge of a group of public schools or a
school district.
Organization of the Dissertation
This dissertation proposal is organized in three chapters. Chapter 1 presents an overview
of the study, including an introduction, background of the study, statement of the problem,
importance of the study, limitations, delimitations, assumptions, and definitions of terms.
Chapter 2 presents a review of the available literature on the topic of the superintendency, with
focus on the preparation, recruitment, and retention of the superintendency. The chapter provides
literature related to the following topics: (a) the evolution of the role of superintendent, (b)
preparation for the superintendency, (c) recruitment of the superintendent, (d) retention of the
superintendent, and (e) a leadership framework. The methodology for the study is described in
Chapter 3, including (a) the research questions, (b) research design, (c) a conceptual framework,
(d) the population and sample, (e) the instrumentation, (f) data collection procedures, and (g)
data analysis process. Chapter 4 reports the results of the study. Chapter 5 presents an analysis of
the data and discussion of the findings, including conclusions and recommendations.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 18
CHAPTER 2: LITERATURE REVIEW
The literature on the evolution of the superintendency illustrates that the role has experi-
enced many versions. According to Kowalski et al. (2011), scholars have documented the
manner in which the role has evolved in response to societal demands. Today, the role calls for
an amalgam of skills and knowledge (Callahan, 1966). Since the role of superintendent was
conceptualized in 1865, there have been five distinct ways in which the superintendent has func-
tioned: teacher-scholar, business manager, statesman, applied social scientist, and communicator
(Callahan, 1966; Kowalski, 2005; Kowalski et al., 2011). Given the evolution of the superinten-
dent role, crucial skills are needed to fulfill the job duties. This review of the literature also
addresses leadership frameworks that are considered to be effective tools that superintendent use
to inform strategy planning and work with all stakeholders.
Evolution of the Superintendent Role
Since the superintendent concept was formed in the 1800s, the role has evolved into a
complex use of human capital. Most recently, the superintendent is responsible for balancing the
needs of all stakeholders to ensure student achievement. The challenges and demands that are
placed on the position require that the district leader be many things to many people, with the
ability to diversify approaches to situations according to the audience. The evolution of the role
has been studied for several decades and the literature supports that specific expectations were
placed in response to societal needs during each era of the superintendency. It is expected that
today’s district leader will embody all of the necessary skills simultaneously (Brunner, Grogan,
& Björk, 2002; Kowalski et al., 2011).
The first superintendency was documented in New York in 1837 during a time when
student demographic information, such as race, gender, and socioeconomic status, was irrelevant
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 19
and all students freely attended school (Grieder, Pierce, & Jordan, 1969). A few decades later, in
1870, the role expanded to about 30 large cities. According to the National Center for Education
Statistics (NCES; 2017), the role is currently held in 14,383 school districts.
Over the decades, several societal changes have occurred that called for one person to be
at the helm of a school district. Specifically, “the development of large city school districts, the
consolidation of rural school districts, expanded curriculum, the passing of compulsory
attendance laws, demands for increased accountability, and efficiency expectations” (Kowalski,
2003, p. 3).
Superintendent as Teacher-Scholar
Early in the role, the expectation for the superintendent was to ensure implementation of
curriculum and supervise the teaching staff. The superintendents of that time were adept in the
field of education and were perceived as masters of philosophy, pedagogy, and curriculum; they
have been referred to by historians as master teachers (Callahan, 1966; Kowalski, 2003).
During that time in American history, there was a large influx of British immigrants and a
formalized schooling program was designed to help children to assimilate and become indoctri-
nated into the American culture (Kowalski, 1999). The standardization of schooling efforts, from
an instructional perspective only, was the responsibility of the school superintendent. In an 1890
report on the urban superintendency, the role of the superintendent was described in the follow-
ing manner:
It must be made his recognized duty to train teachers and inspire them with high ideals; to
revise the course of study when new light shows that improvement is possible; to see that
pupils and teachers are supplied with needed appliances for the best possible work; to
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 20
devise rational methods of promoting pupils. (Cuban, 1976, p. 18, as cited in Kowalski,
1999, p. 18)
In accordance with the urban report, superintendents viewed their work as being directly
connected with teaching and learning, with little to no alignment with management or political
duties. They refrained from taking part in those arenas and focused their efforts on teacher and
student development. Their commitment to the teaching and learning process was evidenced by
their connection to the National Education Association, in which they were considered the most
influential members of the organization, and by their disdain for management functions. During
the late 1800s to early 1900s, members of the school board and/or administrative workers
addressed school management functions in an effort to support the instructional and professional
duties of the school superintendent (Iannaccone, 1996).
Superintendent as Business Manager
The nature of public schooling shifted as America began to move from an agrarian soci-
ety into an industrialized one and communities became more urbanized. Districts shifted from
single one-room schoolhouses to multiple schools with multiple classrooms in a city and the
need for superintendents with managerial qualities became more apparent. The transition of the
superintendent’s role from instructional leader to manager developed. The role called for a
superintendent to manage budget development, personnel management, operations, and facilities.
This philosophical change was not widely accepted by all. Kowalski (1999) reported that numer-
ous debates ensued in an effort to determine whether the role of city school superintendent
should be divided. To ensure that school superintendents would not become politically influen-
tial and powerful by holding a singular position with both educational and managerial control,
the role was divided between a business manager and a superintendent of instruction. The
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 21
division was challenged by scholars who were reticent because of the potential of having the
educational sector heavily influenced by politicians.
Superintendent as Politician
From approximately 1930 to 1954, the superintendent was seen as a statesman for the
school district. During the Great Depression, superintendents focused on financial support for the
school districts and hence developed a political emphasis of the role (Kowalski et al., 2011).
Most, if not all, new superintendents were acquiring graduate degrees in education with a
business-managerial orientation; some of the best and brightest superintendents were graduating
from Teachers College of Columbia University (Callahan, 1966).
Superintendent as Applied Social Scientist
From about 1954 to 1965, the superintendent was seen as an applied social scientist. With
the number of school-age children increasing dramatically following World War II, superinten-
dents were expected to solve a wide range of societal issues in a multicultural and democratic
society (Callahan, 1966). As the role of the superintendent evolved, education requirements also
became more rigorous. Doctoral programs in educational administration expanded to include
other behavioral science courses (Kowalski et al., 2011).
Superintendent as Communicator
Since 1965, superintendents have been viewed primarily as communicators. School
superintendents are expected to initiate and facilitate school improvement plans while working
with teachers, students, parents, and all other stakeholders. In order to do this, superintendents
have had to build and maintain positive relationships with a wide array of groups. Training
programs for superintendents have increased, offering a range of choices from many universities
offering doctoral degrees in educational leadership (Kowalski et al., 2011). No longer is the
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 22
doctoral degree reserved for prestigious schools; many state schools now offer doctorates in edu-
cational leadership but not specifically to prepare for the superintendency. These offerings
instead cover many areas related to education at all levels, from elementary to higher education
(Cooper, Fusarelli, Jackson, & Poster, 2002).
Preparation for the Superintendent
When Kowalski et al. (2011) conducted a survey of current superintendents, they found
that nearly 80% of respondents agreed that the training and education that they had received for
the position constituted satisfactory preparation for the position. These respondents had, for the
most part, climbed through the school system and had an extensive background in various posi-
tions within a school system. To further prepare for their challenging position, superintendents
may also seek professional training programs offered by corporate management companies or
foundations such as The Broad Foundation (Teitel, 2006). The need for training specific to the
position has been recognized. Superintendents who are new to the position need support that
focuses on evidence-based leadership strategies (Orr, 2006).
University Preparation Programs
Superintendent preparation and support programs are an essential component of educa-
tion reform. In spite of that, few superintendent preparation programs exist, with most of the
educational leadership programs centered on preparation of principals and education adminis-
trators in general. What little literature exists on preparation and support of superintendents
highlights the adequacy and efficacy of these programs. Teitel (2006) looked at the long-term
preparation and support programs available to aspiring and current superintendents.
Using a “snowball” recruitment technique, Teitel (2006) found the following superinten-
dent preparation and support programs to be available: (a) university-based programs (e.g.,
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 23
Columbia University’s New Superintendent Seminar Series and Stanford University’s Executive
Program for Educational Leaders); (b) national, state, and regional superintendent membership
organizations (e.g., AASA, Project Leadership, Washington Association of School Administra-
tors); (c) foundations (e.g., Gates Foundation at Washington State University); and (d) for-profit
companies (e.g., Educational Research Development Institute).
Teitel (2006) examined programs specific to the development of a superintendent and
found the following common attributes in these types of programs: (a) “safe space”: superinten-
dents were able to talk honestly; (b) peer and fellow participants:, allowing the building of rela-
tionships; (c) personal learning about their own leadership; and (d) practicality: useful ideas that
connected to their work and their districts.
Teitel (2006) also examined the course content of these programs. Teitel reported that
participants learned content—ideas that they could use immediately versus inquiry and reflec-
tion, balancing of nonsuperintendent input, and development of a superintendent learning com-
munity. Teitel concluded that these innovative collaboration models are essential to the
continuous development and support of superintendents, given the context and challenges of the
position.
However, a firestorm of criticism of superintendent recruitment and preparation programs
has emerged as a result of low student achievement in many districts (Smith, 2008; Waters &
Marzano, 2006). The critiques address superintendent preparation and recruitment: (a) critics
from within the education profession, including researchers, who advocate for more rigorous,
practice-based preparation of superintendents (Cooper et al., 2002); and (b) those outside the
profession who advocate for deregulation of the superintendency and hiring of executives outside
the education field (Fordham Institute and The Broad Foundation, 2003).
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 24
Orr (2006) posited that improving superintendent preparation programs is essential and
the most practical solution to developing and supporting superintendents. According to Orr,
strong criticism of university preparation programs has focused on their inadequate content. Uni-
versity-based master’s programs and doctoral programs in educational leadership provide core
courses in school administration, finance, school law, and human resources, as well as organiza-
tional and leadership theory (Glass, Björk, & Brunner, 2000). Strengths in these types of
programs are found in course content and attention to issues of instruction and testing, but
criticism of these programs center on the lack of hands-on application and linking of content to
practice (Orr, 2006).
According to the literature, university-based programs have been criticized for lower aca-
demic entrance standards and low completion rates (Levine, 2005). There has also been criticism
of academic programs for lacking focus on building instructional leadership capacity and align-
ing the real-world skills and knowledge required of the role with pedagogy and theory (Orr,
2006). The misalignment between the needs of the superintendent as practitioner and the cur-
ricular design of university-based programs mentioned frequently in the literature. One promi-
nent view stands out: The pervasive approach to preparing superintendents by way of a
university program does not develop necessary skills for the role. Essentially, the curriculum is
completed satisfactorily but, according to some researchers, the required course work is unre-
lated to the demands of the role.
Nonuniversity Preparation Programs
Privately funded leadership foundations such as The Broad Foundation and the Thomas
B. Fordham Institute have spearheaded initiatives for removal of certification requirements for
superintendents, contending that talent to lead school systems can be found outside the education
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 25
profession. In Better Leaders for America’s Schools: A Manifesto, issued by the Fordham Insti-
tute and The Broad Foundation (2003), they contend that American schools face a leadership
crisis. While there is a surplus of certified candidates for school administrative positions, this
does not equate to qualified candidates. The core issue is quality; the authors contended that uni-
versity preparation programs have failed to produce candidates with the vision, energy, and skills
to transform educational institutions.
Levine (2005) argued that university-based programs are inadequate and criticized them
for lowering admissions standards and offering less-than-rigorous and applicable programs. This
criticism is contrary to survey results by current superintendents, of whom nearly 80% rated their
university preparation program as good or excellent (Kowalski et al., 2011). Levine (2005) con-
tended that university-based programs offer irrelevant curriculum; however, The American
School Superintendent: 2010 Decennial Study (Kowalski et al., 2011) revealed that courses in
school law, school finance, school public relations, and human resource management were per-
ceived to be of greatest importance, all of which are part of the standard core curriculum in
university-based preparation programs.
The Fordham Institute and The Broad Foundation (2003) contended that candidates must
be drawn from broader sources beyond a school district, including those who do not necessarily
have academic backgrounds or experience in education. In response, in 2001 The Broad Foun-
dation created The Broad Center, a national executive leadership development program to “raise
student achievement, by recruiting and supporting executive leadership talent from across
America to become the next generation of urban school district leaders” (Broad Center, 2011,
para. 1). The Broad Center operates two executive programs, one of which is The Broad Super-
intendent Academy. The Academy was started in 2002 by Los Angeles-based philanthropist and
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 26
entrepreneur Eli Broad. The purpose of the academy is to identify and prepare successful execu-
tives from large organizations and place them in large urban school districts to improve the
quality of education. Academy candidates or fellows are selected to participate in a 10-month
executive training program while they continue in their current positions. The training exposes
participants to best practices in public school systems and addresses the following topics specific
to urban school district leadership: (a) instructional alignment, (b) operational excellence, (c)
stakeholder engagement, (d) organizational leadership, (e) interpersonal leadership, and (f)
management. Fellows analyze case studies and meet with superintendents across the country to
conduct observations and to discuss best practices with leading K–12 education experts. Tuition
and expenses are paid by The Broad Foundation.
Upon completion of the program, Broad fellows are expected to seek superintendent
positions in urban school districts. They can seek positions in the nine states that no longer have
credentialing or licensing requirements for superintendents or in the 21 of the remaining 41 states
that have provisions for waivers or emergency credentials (Kowalski & Björk, 2005). The
Academy does not guarantee jobs for fellows; instead, it offers support in searching for a posi-
tion. It also offers continuing support to fellows who accept a position in one of the 200 “eligible
districts” within 12 months of completing training. To date, the Academy has graduates in 37
cities serving in the capacity of superintendent (Broad Center, 2011).
Mentoring and Networking
Researchers such as Daresh (2004) and Kamler (2006) have concurred on the importance
of mentoring, in particular, the mentorship of educators who show an interest in or potential for
the superintendency. Kram (1983, 1985, as cited in Kamler, 2006) described two models of
mentorship: (a) psychological mentoring, involving role modeling, acceptance, confirmation,
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 27
counseling and friendship; and (b) career-related mentoring, encompassing sponsorship,
exposure and visibility, coaching, protection of self, and challenging assignments (Kamler, 2006,
p. 298). Although there is overlap between these two levels, objective career success indicators
such as compensation and promotion are more closely tied to career-related mentoring than to
psychological mentoring. However, career-related mentoring will more likely provide both
informational and social support, which will allow mentees to feel more confident in their career
decisions. Providing actionable feedback and strategic career advice, along with sponsorship,
exposure, and visibility, enables the mentee to connect and network outside the organization by
facilitating relationship building with peers and those above the mentee’s hierarchical levels
(Kamler, 2006).
The mentoring process focuses on the exchange and transmission of acquired knowledge,
with researchers concluding that “mentorship (and networking) must promote growth rather than
cloning to include insights into trends, issues, and social realities that go beyond existing
practices” (Daresh, 2004, p. 512). Some mentoring networks have served as barriers for women
superintendents, in particular the “old boys” network comprised predominately of White males
who advance their members into positions of power and influence. Through networks, aspirants
learn about job openings, understand administrative strategies, increase visibility to recruiters,
and benefit from the support system (Kamler, 2006). Minorities entering the superintendency
pipeline, such as women, report lack of professional networks, membership in the old boys’
network, and influential sponsors creating a challenge to advance toward the superintendency
(Björk & Kowalski, 2005; MacArthur, 2010). In a similar vein, Grogan and Brunner (2005)
reported that minorities need growth opportunities from former superintendents, executives of
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 28
superintendents, and school board associations to recruit, support, assist, and mentor these
aspirants.
Not only is mentoring important for all aspirants to a position to gain insider information
and to learn from the experiences from those who have gone before them, but it is espe-
cially important for women, and women and men of color, who have been traditionally
marginalized in the superintendent’s role. Multiple mentors are needed to help these
aspirants navigate the unchartered waters of traditional routes to the superintendency.
(Björk & Kowalski, 2005, p. 245)
Recruitment of the Superintendent
Traditional Career Path of a Superintendent
According to Kowalski (2005), the majority of superintendents follow a traditional career
path of moving through a district’s organizational hierarchy. They enter the system as teachers
and are promoted to administrative positions in schools and within the district (Glass et al.,
2000). In taking this traditional route, most superintendents have completed preparation
programs that confer a state license or credential to practice education administration.
Within the traditional school system, school boards hire superintendents with a deep
understanding of each scaffold of leadership and managerial experience in a school district. A
traditional career path involves a teacher earning a master’s degree in education, which focuses
on educational leadership, after which they earn an administrative credential. The highly edu-
cated teacher then becomes an Assistant Principal (AP) and gains understanding and experience
about how to manage various school programs and systems, usually with a major focus on disci-
pline, curriculum and instruction, athletics and activities, and facilities management. Once the
APs become experienced in all these areas, they can be considered for a principal’s position. A
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 29
principal with aspirations for growth typically then pursues a doctorate in education, focusing on
educational leadership. Once the principal has the doctorate and added enough experience to the
résumé, he or she can venture and seek a district-level position such as categorical director,
assistant superintendent, and eventually superintendent (Callan & Levinson, 2011).
The Elementary School Principal’s Career Path to the Superintendency
As the superintendent position has evolved over the years, it remains a position generally
held by educators. According to a study of school superintendents by Glass et al. (2000), very
few superintendents had no educator background. Many had taken both traditional and nontradi-
tional career paths to the superintendency. When considering the career trajectory of superinten-
dents with high school versus elementary school experience, nearly 60% of superintendents had
been high school teachers, while only 28.5% had taught at the elementary level, between 1992
and 2000. Regarding how many of those were elementary principals versus secondary principals,
53% had been in secondary schools and 26% had served as elementary principals (Glass et al.,
2000). In large school districts, it is not uncommon for a teacher to bypass an administrative role
and move directly into a district-level position before acquiring the superintendency (Glass et al.,
2000). Based on the results of the AASA study (Glass et al., 2000), a majority of superintendents
followed a career path that included serving as administrator at the secondary level; few had
served as elementary principals.
Typically, the career paths of superintendents have included 7 years of classroom
teaching and 8 years as principal or assistant principal, serving an average of 19 years in educa-
tion prior to reaching the superintendency. Superintendents of large school districts, on average,
spent less time in the classroom and as principals than did superintendents in small districts
(Cooper et al., 2000).
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 30
Glass et al. (2000) highlighted the differences according to gender and color. They con-
cluded that, when comparing secondary teachers to elementary teachers, secondary teachers were
more likely to attain the superintendency, with males teaching predominantly at the secondary
level and females and persons of color teaching at the elementary level. Regardless of district
size, only 26% of superintendents had begun their teaching careers as elementary teachers,
providing a possible reason why fewer women and persons of color are hired as superintendents
(Glass et al., 2000).
The underrepresentation of superintendents whose career paths included time as elemen-
tary principals is well documented. With women and persons of color occupying predominantly
more elementary school principalships compared to White males, it is important to understand
the perceptions of those who have attained the superintendent position. Therefore, research dedi-
cated to understanding factors that contribute to the preparation, recruitment, and retention of
elementary principals in their career aspirations may generate findings that explain this
underrepresentation of superintendents whose career paths included experience as elementary
principals.
Superintendent Skill Set
The role of the superintendent has been defined in the literature as instructional leader,
manager, politician, social scientist, and communicator (Glass et al., 2000; Kowalski et al.,
2011), yet several additional skills are needed to thrive in the position. Based on a 1990 survey
of 250 superintendents, the AASA identified myriad associated skills (School Superintendents
Association, 2014). Among the 10 skills were leadership, organizational management, fiscal
responsibility, school-community relations, teacher evaluation, cost-effective budgeting,
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 31
motivational techniques, conflict mediation, testing and evaluation of student performance, and
curriculum development and instructional planning (Hoyle, English, & Steffy, 1994).
Kowalski (2003) added to the above list by including skills such as an understanding of
how policy and governance inform district leadership, ways in which instructional management
affects student outcomes, and values and ethics to guide decision making. Others, such as
Murphy and Hallinger (1988), contributed to the skill set by suggesting that the following seven
skills are necessary to be effective in the role: selecting responsible and competent principals,
supervising instruction and best practices, evaluation building level leadership, providing staff
development for all employees, appropriate rewards and sanctions as needed for all employees,
setting vision and goals, and allocating resources. The successful superintendent must demon-
strate leadership in teaching and learning (Kowalski, 2003) and be competent in policy and gov-
ernance. Although the school board creates policy, the superintendent must understand how the
policy will affect stakeholders and have a thoughtful implementation plan.
Executive Search Firms
The selection and recruitment of the best qualified candidates to fill a vacant superinten-
dent position can be a daunting task for any school board. Research has supported that school
board members often have little to no experience with regard to hiring a superintendent. In fact,
Conway and Miles (2009) contended that the task was out of the scope of capacity for board
members, who generally lack the background to conduct a comprehensive search that ends in a
successful match. “A Board that initiates a succession planning process in a timely fashion and
manages the inherent risks can ensure a transition that does not squander the momentum the
long-serving, successful head of school has built” (p. 2). In spite of the need for school boards to
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 32
recruit the best candidates, Conway and Miles (2009) found “successful transitions of school
leadership need time and active board involvement” (p. 2).
The lack of knowing and the burden of delivering the best possible candidate for the job
explain why districts reach out to executive search firms to assist in the task. “The time involved
in planning, coordinating, and supporting the conclusion of a superintendent search is a major
commitment” (Boring, 2003, p. 7). Conway and Miles (2009) added, “Managing the business
continuity risks associated with disruptive transitions and conducting a search for a new Head
can be a problematic combination for even the strongest boards and schools” (p. 2). Because of
these realities, many school boards hire executive search firms to head the search process.
Decreasing the length of searches allows board members to resume their work duties
more quickly.
Competency-based interviewing looks at both behavioral skills and technical knowledge.
It assesses the learning agility of applicants in terms of what the candidate knows and has
done. This approach to interviewing candidates has been shown to increase the likelihood
of hiring the right person through a consistent and fair process. Combining this assess-
ment with the art of culture fit can produce powerful results for the school. . . . A search
firm that aggressively enters the marketplace and looks for a leader who matches identi-
fied competencies can ensure a complete survey of talent available to the school. . . .
Hiring a search firm that has the capabilities of looking beyond the usual candidate pool
is imperative in the highly competitive race for leadership. (Conway & Miles, 2009, p. 4)
Glass (2001) noted that many executive recruiters are retired school administrators or
university professors in the field of educational leadership. In addition to the wealth of
knowledge and experience that these individuals bring to searches, they bring many contacts due
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 33
to their extended career paths. This connectedness allows executive search firms to seek potential
candidates who currently work at other institutions, to minimize influence from anyone from
within the hiring institution, and to generate a viable list of candidates in a relatively short period
of time. Conway and Miles (2009) added that the expertise of executive recruiters in “the analy-
sis of organizational structures and experience in personnel assessment are crucial ingredients in
the administrative review” (p. 5). Executive search firms offer expertise and objectivity in
determining which candidates would fit the position well.
In short, the effectiveness of an executive search firm is “dependent upon [the] ability to
understand the psychology and philosophy of the client” (Cosca, 2010, p. 38). However, there
are additional factors that make search firms appealing. Although boards of trustees certainly
help to guide the search process, “executive search firms help officials develop what they want,
and they are more experienced in developing candidate profiles or searching for candidates”
(Hamori, 2004, p. 9). In addition to developing a plan, executive recruiters are available to do
much of the actual work while “bringing professionalism to an executive search” (Cosca, 2010,
p. 39). Once a board is presented with a group of qualified candidates, the recruiter steps back
and allows the board to make its selection. Because of this ongoing role, many executive recruit-
ers have unique knowledge not only of the hiring process but also of the inception of many
administrative tenures. Moreover, successful recruiters tailor the search process for each school
to recruit and ultimately hire a superintendent who best fits the leadership profile developed by
the school board.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 34
Retention of the Superintendent
Entry Plan
A superintendent never walks into his or her role not knowing the climate of the school
district or what it will take to be a successful superintendent in that district. An entry plan guides
success during the first 90 to 100 days of the tenure as the new leader. The transition period from
any position to the position of superintendent must be carefully crafted. This new role must be
considered an opportunity for a fresh start, and leaders must prepare themselves mentally for
their new role (Watkins, 2003).
Part of learning about the new culture and environment is developing entry plan strate-
gies. This effort involves many hours of research and planning. Even prior to interviewing for
the position, it helps to understand the challenges that one might face in the role (Neff & Citrin,
2005). One way to develop this entry plan is to outline the expectations that the district and team
members have of their superintendent. When introducing themselves to the new team, superin-
tendents must understand that the team is learning many things about them and that taking the
time to know what it wants and expects out of its leader will aid in the selection and retention of
the new superintendent (Neff & Citrin, 2005). It is important to understand the culture and
history surrounding each challenge so the superintendent is not doomed to repeat previous fail-
ures (Watkins, 2003).
To develop a working reputation as a leader, a superintendent must establish early suc-
cesses with stakeholders. The superintendent is not only responsible to the school board but also
charged to lead them. Sometimes it is easier to set small specific goals that are attainable. The
superintendent must model the leadership styles and expectations that are associated with
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 35
credibility, such as avoiding winning if the victory presents the superintendent as manipulative or
underhanded (Watkins, 2003).
Securing the confidence of the school board and other colleagues allows a superintendent
to gain trust, understand the nature of the existing team, and improve the likelihood of retention
in the role. The superintendent’s support cabinet and executive leadership teams are made up of
people who are both capable and flawed. It is advisable for the superintendent to take the time to
get to know the team and not make rash decisions without working closely alongside them until
they know that they can contribute to the ultimate success of the district vision and goals.
Superintendents can surround themselves with the right people to ensure the successful
completion of an entry plan’s goals (Watkins, 2003). Part of creating coalitions with key players
in a district is to ensure the fidelity of the superintendent’s entry plan. It is important to develop
goals and objectives that the leadership team will agree are vital to the successful completion and
eventual retention of the superintendent (Neff & Citrin, 2005).
The communication of the superintendent’s goals and objectives to the leadership team,
the community stakeholders, and the school site leadership teams helps to secure the alignment
of activities that each facet involves (Watenpaugh, 2007). The superintendent must be able to
work one on one with each facet of the school community and use varying communication
strategies that assess the development, implementation, or evaluation of the entry plan (Neely,
Berube, & Wilson, 2002). Nearly all successes shared by team members can help to raise confi-
dence in district leadership as a whole when marketed in a positive way. Communicating the
vision, goals, and an action plan becomes the primary way by which the public will evaluate the
success of the superintendent, which makes it important to communicate constantly the success
of the superintendent’s entry plan and eventually make it a routine way to reach the community.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 36
According to Carlson and Eller (2009), the position of superintendent will likely be the
most difficult position of an educator’s career. Depending on the community, the superintendent
is expected to be in touch with parents, staff, administration, school board, students, community,
business leaders, clergy, elected officials, and service organizations. An entry plan will help the
new superintendent to be immersed in the new school district (Carlson & Eller, 2009). According
to Watkins (2003), the entry period (the first 90 days) is the most important time for a new
superintendent. Actions that are taken during that time will ultimately determine retention or
failure. The purpose of an entry plan is to help the superintendent to accomplish the following:
1. Establish a plan for approaching the first 90 days as superintendent;
2. Begin to develop key relationships with school district and community constituents;
3. Assess current school district issues and concerns;
4. Identify the formal and informal policies, procedures, and communication strategies
within the district; and
5. Identify issues to be addressed, establish a list of priorities, and develop an action plan.
(Carlson & Eller, 2009, p. 195)
The adoption of an entry plan during the early months of a superintendent assignment can
produce major returns for both the new superintendent and the school district.
School Board Relations
History of school boards. This section provides a brief historical perspective of the
factors that have influenced the evolution of the school board system from the late 1800s to its
present-day form. Both the CSBA (2010) and Resnick and Bryant (2010) have agreed with
authors Campbell and Greene (1994), who asserted that citizen oversight is the cornerstone of
democracy. Since their conceptualization during the Colonial era, school boards have grown
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 37
exponentially in size and scope. As the nation’s largest category of elected officials, there are
approximately 14,000 school boards serving nearly 52 million children and overseeing a budget
that exceeds $600 billion annually (Hess & Meeks, 2010). The United States had approximately
90,000 elected or appointed school board members in 2011 (Dervarics & O’Brien, 2011). Cali-
fornia’s approximately 5,000 board members have the responsibility for school governance of
12% of the nation’s students (CSBA, 2007). Resnick and Bryant (2010) confirmed that, despite
increased involvement by state and federal government, public education remains a local enter-
prise. Charged with the responsibility of effective school governance, the role of the modern
board member has become increasingly complex. According to Land (2002), as the role of the
superintendent shifted, so did the responsibilities and expectations. The bulk of the literature on
school boards has focused on leadership styles and indicators of effectiveness.
The impetus for the creation of school boards can be traced to the Colonial era, when the
1642 Massachusetts School Ordinance introduced the concept of lay responsibility for public
education by requiring that schools choose select members to assume the duties of school
management. Their initial tasks included providing employment, setting wages, and determining
the length of the school year (Schmitz, 2007). In a dissertation exploring the impact of state-
mandated training on governance roles of Missouri school board members, Lupardus (2005)
noted that the select members, who were also often steering management of multiple towns,
often had neither the time nor expertise to handle competing issues simultaneously. During the
early years of school boards, the ability of select members to ensure that the concerns of their
local constituents were addressed played a primary role in governance decisions (Lupardus,
2005).
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 38
As the number of school boards spread throughout the New England states, the system of
separate educational governance quickly followed suit (Danzberger, 1994; Hess, 2002; Land,
2002). Exponential population growth, coupled with increases in local governance responsibili-
ties, led to appointment of laymen to govern education matters (Land, 2002). School governance,
which was initially administered through town hall meetings, quickly became both overwhelm-
ing and ineffective (Schmitz, 2007). As separate districts funded by local taxes emerged, Massa-
chusetts enacted legislation in 1891 that placed the financial and administrative authority in
individual districts (Land, 2002). By the late 1800s, loosely defined roles led most boards, which
were generally elected by their communities, to become increasingly involved in local politics
(Land, 2002).
The lack of role definition resulted in school boards taking on more responsibility as edu-
cation progressed. This increase in responsibility, both financially and from a managerial stand-
point, served as the impetus for superintendent appointments (Moody, 2007; Schmitz, 2007). The
initial role of the first superintendent, appointed in Buffalo, New York, in 1837, was clerical in
nature. As time progressed and as the role of superintendent shifted back and forth over the
years, a constant has been accountability to the school board members.
In response to the corruption that plagued school boards in the late 19th century, major
reforms in school governance spread across the nation. According to Land (2002), these reforms
resulted in the centralization of local educational governance during the first two decades of the
20th century. Land also asserted that, as governance shifted from larger ward boards to smaller
city school boards, the structure mirrored that of corporate boards and marked the shift from
heavy involvement in daily administration to policy making. As this shift occurred, this system
of school governance spread throughout the United States (Hopkins, O’Neil, & Williams, 2007).
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 39
While the basic mission of school boards has remained constant, the demographics and
number of members have changed over time. As Land (2002) observed, school boards have
shrunk from the 13- to 15-member boards of decades past to the more common size of six to and
eight members. In contrast, California boards have traditionally had three, five, or seven
members (CSBA, 2006).
Role of school boards. According to the CSBA (2007), the qualifications to become a
school board member are as follows: 18 years of age or older; a citizen of the state, a resident of
the school district, a registered voter, and not disqualified by the constitution or laws of the state
from holding a civil office. The CSBA has published various documents outlining the roles and
duties of board members in California. According to the CSBA (2010), boards govern their
schools by setting the direction for the community’s schools, by establishing an effective and
efficient structure for the school district, by creating a supportive environment, by ensuring
accountability to the public, and by demonstrating community leadership. In reality, because
board members are elected from the community at large and although the majority of board
members are generally middle-class White males of various professional backgrounds, education
levels vary and few members have extensive backgrounds in policy development and imple-
mentation (Land, 2002).
Working relationship with a superintendent. Superintendent retention depends heavily
on the types of relations that can be created and maintained. In order to work together as a gov-
ernance team, it is imperative that the board and the superintendents to develop and maintain
good relationships with each other. Although it was clear in the literature that the key to board
effectiveness is a relentless focus on student achievement, in order to continue as a body, boards
must also develop relationships with community, business, and other governmental agencies
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 40
(Land, 2002). Perhaps the most important relationships are those among board members. Early in
the history of the United States, citizens held distrust of distant governing bodies that made deci-
sions that affected the local community (Land, 2002). This public distrust of governing bodies
continues, so it is important for boards to maintain good relationships. Some studies have con-
firmed that board members, regardless of demographics, struggle with working together as a
united governance team (Danzberger, Kirst, & Usdan, 1992).
Superintendent relations. The superintendent is the primary representative of the school
board in any district. Just as it is important for the board to develop and maintain various forms
of relationships, the same is true for the superintendent. While the board’s primary function is to
develop policy, the superintendent’s primary function is to implement those policies (Wirt &
Kirst, 2005). In order to implement policies and initiatives from the board, superintendents must
develop strong relationships of trust with all people and groups that have an interest in the school
district. These groups include local bargaining units, community and business partners, and
parents (Kowalski, 2003). The most important relationships that can be formed by the superin-
tendent are those with the board as a whole and with individual board members. Difficult
relationships between board members and superintendents are often the result of misunder-
standing the individual roles of each in the political realm (Kowalski, 2003). Superintendents
tend to seek support from individual board members to strengthen their influence on the board
because their continued good reputation and retention depend at least in part on the ability to
gain board approval of pivotal recommendations (Kowalski, 2003).
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 41
Leadership Framework
Good-to-Great Leadership
Collins (2001a), in his Good to Great, suggested eight “timeless principles” of leadership
First among Collins’s good-to-great principles is the principle of Level 5 leadership. This leader-
ship principle does not describe the “flashy” leader who is “a genius with a thousand helpers”
(p. 13). Rather, the Level 5 leader is “self-effacing, quiet, reserved, even shy” (p. 39). The Level
5 leader is a “paradoxical blend of personal humility and professional will” (p. 13). This leader is
“more like Lincoln and Socrates than Patton or Caesar” (pp. 12-13). Collins (2001a) cited five
levels of leadership, arranged in hierarchical order, as described below.
The Level 1 leader is a highly capable individual who “makes productive contributions
through talent, knowledge, skills, and good work habits” (p. 12). The Level 2 leader is a con-
tributing team member who contributes “individual capabilities to the achievement of group
objectives, and works effectively with others in a group setting” (p. 12). The Level 3 leader is a
competent manager who “organizes people and resources toward the effective and efficient
pursuit of predetermined objectives” (p. 12). The Level 4 leader is an effective leader who
“catalyzes commitment to and vigorous pursuit of a clear and compelling vision; stimulating
higher performance standards” (p. 12). The Level 5 leader is an executive leader who “builds
enduring greatness through a paradoxical blend of personal humility plus professional will”
(p. 12).
Level 5 leaders “embody all five layers of the pyramid” (Collins, 2001a, p. 21). That is,
they are capable of each of the leadership qualities exhibited in Level 1 through Level 4 leader-
ship. In Good to Great Collins (2001) focused exclusively on the Level 5 leadership qualities
that are present in identified “good-to-great companies.” Collins (2001a) cited the example of
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 42
Colman Mockler to illustrate this layer. Mockler, the chief executive office (CEO) of Gillette
from 1975 to 1991, faced three hostile takeovers during his tenure. Mockler fought for the life of
Gillette, placing his own well-being beneath that of the company. Collins (2001a) described
Mockler as a “quiet and reserved man, always courteous, Mockler had the reputation of a
gracious, almost patrician gentleman. Yet those who mistook Mockler’s reserved nature for
weakness found themselves beaten in the end” (2001, p. 23).
Collins (2001a) further defined this attribute of the Level 5 leader by explaining
Mockler’s personal effort to thwart the final hostile takeover attempt. “In the proxy fight, senior
Gillette executives reached out to thousands of individual investors—person by person, phone
call by phone call—and won the battle” (p. 23). Collins (2001a) explained that the average
investor who “flipped” his or her investment at the time of the takeover attempt “would have
come out three times worse off than a shareholder who had stayed with Mockler and Gillette”
(p. 24). Thus, Collins (2001a) illustrated the combined attributes of humility and will in the
Level 5 leadership example of Coleman Mockler.
Organizational Leadership Frame: Bolman and Deal
Bolman and Deal’s (2003) work Reframing Organizations began in the mid-1980s and
was first published in 1991. The authors presented the concept of reframing the organization
through one of four frames or lenses: structural, human resource, political, or symbolic frames.
Through these four frames, leaders view the organization through a corresponding metaphor:
factory, jungle, theater, or temple.
The four frames can be summarized as follows: (a) structural frame: how to organize and
structure groups and teams to get results; (b) human resource frame: how to tailor organizations
to satisfy human needs, improve human resource management, and build positive interpersonal
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 43
and group dynamics; (c) political frame: how to cope with power and conflict, build coalitions,
hone political skills, and deal with internal and external politics; and (e) symbolic frame: how to
shape a culture that gives purpose and meaning to work, stage organizational drama for internal
and external audiences, and build team spirit through ritual, ceremony, and story (Bolman &
Deal, 2003). The core of the book is reframing, a tool for finding new opportunities and options
in confusing and troubling organizational situations.
Bolman and Deal (2003) showed how multiple frames give leaders an edge in decoding
organizational complexity, explaining the four frames as follows.
Structural frame. The structural frame sees the organization’s social context, using the
metaphor of the factory or machine. The authors listed six suppositions for the structural frame:
1. Organizations exist to achieve established goals and objectives.
2. Organizations increase efficiency and enhance performance through specialization and
clear division of labor.
3. Appropriate forms of coordination and control ensure that diverse efforts of individuals
and units mesh.
4. Organizations work best when rationality prevails over personal preferences and extra-
neous pressures.
5. Structures must be designed to fit in organizations’ circumstances (including its goals,
technology, workforce, and environment).
6. Problems and performance gaps arise from structural deficiencies and can be remedied
through analysis and restructuring. (p. 45)
Human resource frame. The human resource frame views the organization as a family
whose members have individual needs. The leader’s goal is to mold the organization to meet the
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 44
needs of its people. The leader seeks to blend the needs of employees with the needs of the
organization in order to accomplish its overall goals. The key to this window is a “sensitive
understanding of people and their symbiotic relationship with organizations” (Bolman & Deal
2003, p. 115).
Political frame. The political frame sees the organization through the metaphor of the
jungle—full of conflict, competition, and negotiation. This frame’s five assumptions follow:
1. Organizations are coalitions of various individuals and interest groups.
2. There are enduring differences among coalition members in values, beliefs, infor-
mation, interests, and perceptions of reality.
3. Most important decisions involve the allocation of scarce resources and what gets
done.
4. Scarce resources and enduring differences give conflict a central role in organizational
dynamics and typically make power the most important resource.
5. Goals and decisions emerge from bargaining, negotiation, and jockeying for position
among different stakeholders. (Bolman & Deal, 2003, p. 186)
Symbolic frame. The symbolic frame sees the organization as a carnival, temple, or
theater. Its five assumptions follow:
1. What is most important is not what happens but what it means.
2. Activity and meaning are loosely coupled; events have multiple meanings because
people interpret experience differently.
3. In the face of widespread uncertainty and ambiguity, people create symbols to resolve
confusion, increase predictability, find direction, and anchor hope and faith.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 45
4. Many events and processes are more important for what is expressed than what is pro-
duced. They form a cultural tapestry of secular myths, heroes and heroines, rituals, cere-
monies, and stories that help people find purpose and passion in their personal and work
lives.
5. Culture is the glue that holds an organization together and unites people around shared
values and beliefs. (Bolman & Deal, 2003, pp. 242-243)
The four windows or frames presented by Bolman and Deal (2003) give leaders the
ability to view events in new ways and to shift perspective. The use of the multiple frames can
assist the leader to see and understand more broadly the problems and potential solutions avail-
able and encourage the leader to think flexibly about the organization.
Rather than proposing one primary framework, as other leadership scholars have done,
the underlying assumption of this work is that effective leaders and managers should examine
their organizations through multiple conceptual frameworks. Bolman and Deal (2003) argued
that leaders often “live in psychic prisons because they cannot look at old problems in a new
light and attack old challenges with different and more powerful tools–they cannot reframe”
(p. 4). They contended that the process of reframing is an essential skill that enables leaders to
“generate creative responses to the broad range of problems that they encounter” (p. 4).
Organizational Leadership Frame: Marzano and Waters
Marzano and Waters (2009) co-authored the book District Leadership That Works. They
sought to establish a direct relationship between district leadership and student achievement.
Their meta-analysis of studies was designed to address two research questions:
1. What is the strength of relationship between district-level administrative actions and
average student achievement?
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 46
2. What are the specific district leadership behaviors that are associated with student
achievement?
Using the themes from their analysis, the following leadership actions and initiatives
emerged as positively affecting student achievement: (a) ensure collaborative goal setting, (b)
establish nonnegotiable goals for achievement and instruction, (c) create board alignment and
support of district goals, (d) monitor goals for achievement and instruction, and (e) allocate
resources to support achievement and instruction goals.
Establishing nonnegotiable goals for student achievement. Marzano and Waters
(2009) proposed a four-phase process that a superintendent might use and engage in with site
leaders: (a) Phase 1: Use state standards to inform how rubrics should be revised to score forma-
tive assessment, (b) Phase 2: Track student progress using formative assessments, (c) Phase 3:
Identify students not making growth and provide extra support, and (d) Phase 4: Change report
cards to show knowledge gained in a reporting period rather than simply a grade.
Establishing nonnegotiable goals for instruction. To achieve this task, Marzano and
Waters (2009) acknowledged the need to hire and retain highly qualified teachers whose peda-
gogical skills are continuously improved through professional learning. In addition to those two
actions, the authors proposed a five-phase process to accomplish instructional goals districtwide:
(a) Phase 1: systematically explore and examine instructional strategies through action research,
(b) Phase 2: design a model of instruction that individual schools can tailor to meet the needs of
their site, (c) Phase 3: have teachers systematically interact about the model of instruction in
structured and unstructured conversation and ensure that time and space are provided for conver-
sations to occur, (d) Phase 4: have teachers observe master teachers using model of instruction
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 47
and produce significant gains in student learning, and (e) Phase 5: monitor the effectiveness of
teaching.
Ensuring collaborative goal-setting, board alignment with nonnegotiable goals and
allocation of resources to support nonnegotiable goals. In spite of these actions and initiatives
existing on their own, Marzano and Waters (2009) discussed them simultaneously, highlighting
the need for all stakeholders to collaborate to achieve common goals. Collaboration by teachers,
administrators, unions, the community, school boards, and the superintendent fosters creative
problem solving. While the end goal of district initiatives is to meet achievement and instruc-
tional goals, the authors recognized that collaborative goal setting, board alignment, and alloca-
tion of resources are the foundation to any work. “Effective instruction is considered causal to
enhanced student achievement and therefore critical to the process of district reform” (p. 23).
Figure 1 illustrates their point regarding efforts of district leaders to effect change in order to
influence student achievement.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 48

Figure 1. Interaction of findings for district leadership. From District Leadership That Works:
Striking the Right Balance, by R. Marzano & T. Waters, 2009, p. 24.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 49
CHAPTER 3: METHODOLOGY
The study was conducted by a research team of eight doctoral candidates from the
Rossier School of Education at the University of Southern California. The team discussed topics
related to the preparation, recruitment, and retention of superintendents in California. Consensus
was reached regarding pertinent literature to review, the appropriate research design, and specific
methodology. The study was designed to identify strategies used by successful superintendents
to assist in their preparation, to increase their likelihood for recruitment, and to improve their
chance of retaining the position of superintendent.
In Chapter 2, the historical evolution of the role of superintendent was reviewed. The
literature indicated that a superintendent pipeline exists and described the trajectory toward
preparation, recruitment, and retention in light of the roles played by executive search firms and
school board members. Chapter 3 is a presentation of a description of the procedures that the
researcher will use to address the research questions: (a) research design, (b) sample and popula-
tion, (c) instrumentation, (d) data collection, (e) ethical considerations, and (f) data analysis.
Research Questions
To examine the perceptions held by successful superintendents regarding their prepara-
tion, recruitment, and retention, the following research questions were developed to guide the
study:
1. How have training programs and experience prepared superintendents to manage the
complexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards on
the strategies used to help the current superintendent to attain his or her position?
3. What are the perceived strategies that support the retention of superintendents?
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 50
Research Design
The researcher determined that a mixed-methods design was appropriate to address the
research questions, utilizing qualitative data derived from interviews with board members,
executive search firms, and superintendents and quantitative data extracted from an online
survey distributed to board members, executive search firms, and superintendents. A mixed
methodology was chosen “because of its strength of drawing on both qualitative and quantitative
research and minimizing the limitations of both approaches.” (Creswell, 2014, p. 218). Specif-
ically, the researcher collected data sets simultaneously and in separate forms, analyze data gen-
erated from survey responses (quantitative) and interviews (qualitative) to yield findings
(Creswell, 2014).
Conceptual Framework
The researcher adopted the conceptual framework shown in Figure 2, illustrating a suc-
cessful superintendent who incorporates the theoretical framework. The successful superinten-
dent is knowledgeable and able to shift actions to incorporate Bolman and Deal’s (2003) four
frames, Collins’s (2001a, 2001b) Level 5 leadership, and Marzano and Waters’s (2009) district
leadership that works. The successful superintendent strategically exercises Bolman and Deal’s
(2003) four frames with various relationships within the organization. The use of each frame
depends on the circumstances of the various relationships and the context of the organization.
The successful superintendent also develops and implements strategies from school district lead-
ership that works (Marzano & Waters, 2009). By developing and implementing these strategies,
the successful superintendent focuses the school district and board on nonnegotiable goals that
were set collaboratively. Finally, the successful superintendent adopts the posture of Collins’s
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 51

Figure 2. Conceptual framework for the study. Based on Reframing Organizations (3rd ed.), by
L. G. Bolman and T. E. Deal, 2003, San Francisco, CA: Jossey-Bass; “Level 5 Leadership: The
Triumph of Humility and Fierce Resolve,” by J. Collins, 2001b, Harvard Business Review,
79(1), pp. 65-76; and School District Leadership That Works: The Effects of Superintendent
Leadership on Student Achievement, by J. T. Waters and R. J. Marzano, 2006, Denver, CO:
McRel.

(2001a, 2001b) Level 5 leadership when reacting to his or her own successes and failures in the
position. This includes reflecting praise for success back to the organization’s people and
absorbing criticism for failure back to himself or herself. Depending on the situation, the
successful superintendent acts within these three theoretical frameworks in unison or in a
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 52
continuum, depending on the circumstance and context. These theoretical frameworks are critical
to proactive behaviors by the successful superintendent.
Population and Sample
The research team collaborated to determine the population and sample for the study. The
focus of the study was the superintendent pipeline in California and so parameters were deter-
mined for the population and for selection of the sample. The team determined that, to garner
data to address the research questions in an effective manner, purposeful sampling was appropri-
ate (Merriam, 2009). This allowed the research team access to more than 1,000 superintendents.
Purposeful sampling of superintendents, school board members, and executive search
firms helped to focus the research team in identifying and ultimately selecting districts that
would help to address the research questions. The team developed a list of characteristics for
selecting superintendents and school board members from districts: (a) current superintendent in
the state of California, and (b) superintendent with a minimum of 2 years of experience. Execu-
tive search firms did not have a criterion to determine their participation in the study and the
research team agreed that their inclusion would yield necessary data; thus, it was agreed that a
random sample would suffice.
The team used the Internet-based survey software Qualtrics™ to deploy the survey.
Surveys were sent to superintendents with access to the ACSA database and a subsampling of
superintendents was surveyed via the DSAG distribution database. School board members were
surveyed via the CSBA distribution database.
Informed participants received an email with an attached recruitment letter and link to the
survey. The use of Qualtrics allowed development and collection of survey results for later anal-
ysis. Each of the sampled populations—superintendents, executive search firms, and school
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 53
board members—received their respective email with attached recruitment letter (Appendix A)
and link to the survey.
Instrumentation
Members of the research team collaborated on the instrumentation for the study. Based
on the leadership frameworks by Bolman and Deal (2003), Collins (2001a, 2001b), and Marzano
and Waters (2009), the team used the concepts from the literature to construct qualitative and
quantitative instruments to address the research questions. The following instruments were used
in this qualitative study: (a) superintendent survey (Appendix B), (b) school board member
survey (Appendix C), (c) superintendent open-ended interview guide (Appendix D), (e) school
board member open-ended interview guide (Appendix E), and (f) executive search firm open-
ended interview guide (Appendix G).
The surveys and interview guides were created to address the preparation, recruitment,
and retention of superintendents. The research questions guided the content of the surveys and
the interview guides. By embedding the research questions in the surveys and interview guides,
the research team was able to address the research questions.
Quantitative Instrument
The eight-person research team worked collaboratively for several months to develop
three surveys, each with 38 items with Likert-style response options. The first survey was
intended for superintendents, the second for school board members, and the third for executive
search firms. The surveys were designed to gather information regarding the preparation,
recruitment, and retention of California superintendents.
The 38 survey items were scored as follows: 0 = Don’t Know/NA, 1 = Strongly Disagree,
2 = Disagree, 3 = Agree, and 4 = Strongly Agree. This scale is considered a forced-choice
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 54
method (Fink, 2013). Forced-choice questions are appropriate to lead respondents to commit to a
specific answer (Fink, 2013). In this study, the framework allowed participants to report their
degree of support for each survey item. The superintendent survey was piloted to provide the
research team an opportunity to refine and align items to the research questions. The pilot
process provided feedback from current superintendents (Fink, 2013) and improved reliability
and validity of the methodology. Table 1 displays the response rates from each survey adminis-
tered to stratified samples.

Table 1

Quantitative Survey Response Rates

Survey name Sample size Responses Response rate (%)

ACSA Superintendents 350 61 17.42
DSAG Superintendents 61 12 19.67
CSBA Board Members 300 29 9.7

Note. ACSA = Association of California School Administrators, DSAG = Dean’s Superinten-
dent’s Advisory Group, CSBA = California School Boards Association.

Qualitative Instrument
The research team wanted to ensure that each research question would be addressed
through the instrumentation. The team reviewed interview protocols related to the problem of
focus in this study. Using that information, the team composed an interview protocol that
includes 10 questions (Creswell, 2014; Merriam, 2009). The team limited the number of
questions in consideration of the length of time for the interview. The questions are designed to
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 55
assist the research team in gathering perceptions held by superintendents, school board members,
and an executive search firm staff member with regard to preparation, recruitment, and retention
of successful superintendents in California.
Data Collection
Prior to data collection, the research team gained approval by the Institutional Review
Board (IRB) at the University of Southern California. IRB approval ensured that all participants
would be notified of their rights to privacy and anonymity during the research process.
Data collection for this qualitative study took place in two phases. The first phase
involved data collection from the quantitative surveys administered to a stratified sample:
superintendents and school board members. The second phase involved data collection via
interview based on the interview guides. Each member of the research team was assigned a
district in which to conduct interviews.
Quantitative Data Collection
Using Qualtrics, an Internet-based survey software, quantitative data were collected from
superintendents and school board members from districts in California that met the participation
criteria. An email was sent to each potential participant (superintendent and school board
member), including a recruitment letter explaining the purpose of the study and the purpose of
the survey. Interested persons were encouraged to follow the embedded link to complete the
Qualtrics survey online.
Qualitative Data Collection
Each member of the research team conducted six interviews in his or her assigned district
of focus. Districts of focus for the study were those that met the sampling criteria. Three inter-
views were held with superintendents, two with school board members, and one with a staff
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 56
member of an executive search firm. As the single source of qualitative data, researchers con-
ducted 1-hour one-on-one interviews using the corresponding interview protocol. In accordance
with the IRB, each participant confirmed consent to participate and was informed of the right to
privacy and anonymity. Each participant gave consent to have the interview audiotaped. Inter-
views were transcribed by each researcher and shared by team members.
Data Analysis
In order to triangulate and validate findings, the research team analyzed the data collected
from surveys, interviews, and the body of literature related to the superintendent pipeline. Each
researcher sorted responses to online surveys and coded interview responses to organize and
prepared the data for analysis. Patterns and themes in the quantitative and qualitative data were
be identified and aligned to the research questions (see Appendix G).
Quantitative Data Analysis
The quantitative data generated from the completed surveys were evaluated in light of the
research questions. Each of the three surveys (superintendent, school board member, executive
search firm staff) contained questions that addressed the research questions by sections: prepara-
tion, recruitment, and retention. Modes of response scores were calculated.
Qualitative Data Analysis
Qualitative data analysis was guided by Creswell’s (2014) six-step model to help the
research team to manage the data and make sense of emerging themes. The process was as
follows: (a) organize the data by transcribing interviews and prepare it for analysis, (b) read
through all the data to determine theme, (c) code the data, (d) generate description using coding
process, (e) using narrative passages, convey the finding of the analysis, and (f) interpret the
data.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 57
Ethical Considerations
Since this qualitative research combines quantitative and qualitative research, ethical
considerations should attend to both forms of inquiry. To address these, all members of the
research team participated in the Collaborative IRB Training Initiative (CITI), an online process
that trains researchers to consider the ethical implications of research. The goal was to ensure
that the study did no physical or emotional harm to participants.
Chapter Summary
The purpose of this chapter was to describe the process that the research team employed
to address the research questions that will guide this qualitative study. The process of developing
the interview guides and surveys was described. Members of the research team collaborated on
determining the appropriate research design, selection of the population and sample, considera-
tion of quantitative and qualitative data collection methods, and best practices for data analysis.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 58
CHAPTER 4: RESULTS
The purpose of this mixed-methods design was to examine the preparation, recruitment,
and retention of California superintendents of schools. Considering that the role of the superin-
tendent is critical to student achievement, it is important to identify the preparation, supports,
skills and relationships that superintendents need in order to meet the challenges and complexi-
ties of the superintendency (Waters & Marzano, 2006).
This chapter presents the findings from the mixed-methods study consisting of quantita-
tive surveys completed by two superintendent groups (ACSA and DSAG) and school board
members and six qualitative interviews conducted with three distinct participant groups: super-
intendents, school board members, and executive search firm consultants. The findings are
reviewed and analyzed in this chapter and aligned with the three research questions. The
responses to the research questions were formulated through triangulation of the research litera-
ture, survey questionnaires, and interview response analysis. The questions for the surveys and
the interviews were aligned to the following three research questions:
1. How have training programs and experience prepared superintendents to manage the
complexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards
regarding the strategies used to help the current superintendent to attain his or her position?
3. What are the perceived strategies that support the retention of superintendents?
Purpose of the Study
This study serves to inform multiple stakeholders. Aspiring superintendents will be
informed on the preparation, skills, and relationships that will support their transition to the
superintendency. School boards of education will gain insights that help them recruit better
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 59
candidates into the superintendency and to help maintain a positive relationship with their
superintendent. Executive search firms will be informed on perceived strategies used by success-
ful superintendents and aide in the recruitment of candidates into the position while providing
strategies on superintendent retention. Universities and nonuniversity training programs will be
informed on the impact their programs make on training superintendents. The study will also
inform current superintendents about the perceived skills needed to achieve success and longev-
ity.
Participants and Response Rate
Upon IRB approval, the team of eight researchers interviewed a total of 29 superinten-
dents, 16 school board members, and eight executive search firm consultants. However, in this
study, the researcher focused on reporting data based on interviews with superintendents who
had experience as administrators at the elementary level. An administrator was conceptualized as
assistant principal, principal, director, or assistant superintendent. Interviews with board
members were also referenced in this study. Also, to inform the study, surveys were sent to
superintendents affiliated with the ACSA and superintendents associated with the DSAG. An
additional survey was sent to school board members affiliated with the CSBA.
Quantitative Demographic Data
This study examines the perceptions held by superintendents regarding preparation,
recruitment, and retention. The demographic data collected from survey participants include
basic information that identifies the personal and school district information. Personal data
gathered from the survey included gender, ethnicity, age range, highest degree earned, university
with which participant identifies professionally, years in the education profession, years as a
superintendent, which superintendency was being served, whether participant promoted from
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 60
within the district, prior work and role experience, and salary information. Information collected
about school districts included district type and district student enrollment. These identifying
demographics aided in understanding the perceptions held by the superintendents as they
prepared, were recruited, and were retained in the position. The tables summarize the survey
responses to these demographic questions.
The initial sample included 250 superintendents purposely selected according to criteria
described in Chapter 3. The participants were asked to complete a survey delivered via email
using Qualtrics software. A total 61 superintendents returned completed surveys and a total of 29
school board members returned completed surveys. This section reports the demographics of the
superintendents who participated in the study. Table 2 displays the percentages of gender and
doctorate for the participants in the study.
As shown in Table 2, more males than females participated in the study. These results are
similar to the national decennial study conducted by Kowalski et al. (2011), which had a gender
distribution of 62.30% male and 37.70% female. Table 2 also shows that a majority (63.16%) of
the participants were of White ethnicity. Historically, White males have dominated the profes-
sion of superintendent; however, in recent years there have been changes in this profile
(Kowalski et al., 2011; Tyack & Hansot, 1982). Table 2 also shows the age distribution of
superintendents who completed the survey.
Table 3 summarizes information reported by respondents with regard to their educational
background: highest degree earned and years in the educational profession. Of particular interest
is that the majority of superintendent respondents held a Master’s degree (51.43%) and reported
having been in the educational profession for 21–30 years (51.43%). Table 3 shows that a
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 61
Table 2

Demographic Data for Participating Superintendents (N = 61)

Characteristic and category %

Gender
Male 62.30
Female 37.70

Ethnicity
Asian 3.95
Black 65.80
Latina/o 11.84
Native American 2.63
Pacific Islander 1.32
White 63.16
Multiple 2.63
Other 2.63
Declined to state 5.26

Age (years)
30–35 4.29
36–40 2.86
41–45 5.71
46–50 21.43
51–55 24.86
56–60 22.86
61–65 15.71
65+ 2.86

majority (42.86% of the participants had earned a doctorate. These results are higher than those
reported by Kowalski et al (2011), with 45.3% holding a doctorate.
Table 4 summarizes the career lengths of superintendents who responded to the survey.
Respondents were asked to select how many years they had served in the role as a superinten-
dent. Choices included the least amount of time served, 1 year or less, to the longest tenure as
superintendent, 16 years or more. To garner perspective from the respondents, they
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 62
Table 3

Educational Background of Participating Association of California School Administrators
(ACSA) Superintendents (N = 61)

Characteristic and category %

Highest university degree earned
Ed.D. 42.86
Ph.D. 2.86
Master’s 51.43
Other 2.86

How many years in the education profession?
1–10 4.29
11–20 7.14
21–30 51.43
> 30 37.14

Note. Ed.D. = Doctor of Education; Ph.D. = Doctor of Philosophy.

Table 4

Career Length of Participating Association of California School Administrators (ACSA) Super-
intendents (N = 61)

Characteristic and category %

How many years as a superintendent?
1 year or less 8.57
1–5 47.14
6–10 35.71
11–15 7.14
16 or more 1.43

This is my __time serving as a superintendent.
1st 72.06
2nd 25.53
3rd 4.41
4th 0.00

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 63
were asked to select which superintendency they held at the time of the survey: first, second,
third, or fourth.
The surveyed superintendents reported an average of 5 years of experience. Most had
been in the role for 1 to 5 years (47.14%) and most were serving in their first superintendency
(72.06%). This is in alignment with how this study defined successful superintendent in Chapter
1. These questions aligned with the study sampling criteria. These responses allowed the
researcher to gather sufficient data related to all three research questions.
Table 5 reports how the surveyed superintendents had arrived to their role. They were
asked to select whether their career trajectory had started within the district in which they were
currently serving (referred to as coming from within) or were serving as superintendent in a
district outside of their career trajectory (referred to as coming from outside). The majority
(62.86%) had come from outside the district.

Table 5

Professional Trajectory of Participating Association of California School Administrators
(ACSA) Superintendents (N = 61)

Characteristic and category %

Came from within the district 37.14

Came outside the district 62.86

In order to examine the professional background of the superintendents and discern their
perspectives on their preparation, recruitment and retention, participants were asked to report
their prior experiences. Choices included school site positions, school site administrator
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 64
positions, district-level positions, and positions other than educational. School site positions are
those such as classroom teacher at any level, counselor, college/university instructor, community
college instructor, or teacher on special assignment (TOSA). A TOSA serves outside the class-
room setting for any instructional assignment as defined by the district. School site administrator
positions included assistant principal at any level, site principal at any level, and dean of
students. District-level positions included coordinator, specialist, director of varied district
departments, and assistant superintendent of varied district departments or levels. Positions other
than educational could include any position not within a school district. Respondents selecting
this choice were asked to specify the prior experience. Nearly all of the respondents had served
as a teacher, most at the high school level, prior to becoming a school administrator and/or
district-level administrator. Table 6 summarizes the responses.
The survey for school board members was administered to validate responses from the
superintendent survey. The survey, administered in collaboration with CSBA, was sent to school
board members via Survey Monkey.
The quantitative data collected via the surveys indicated that these superintendents had
been in their position for an average of 5 years. Most had served as educators during the majority
of their careers, with a high frequency of respondents stating that they had been classroom
teachers and principals at various levels. Their educational experience and tenure indicated that
the respondents had knowledge of instructional practices, experience with changes in the field,
and a desire to do what is best in the interest of students.

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 65
Table 6

Prior Experience of Participating Association of California School Administrators Superinten-
dents (N= 61)

Characteristic and category %

School site positions
Elementary school teacher 23.03
Middle school teacher 18.25
High school teacher 29.37
Counselor (any level) 4.76
College/university instructor 9.52
Community college instructor 3.17
Teacher on Special Assignment (TOSA) 10.32

School site administrator positions
Elementary School Assistant Principal 11.49
Middle School Assistant Principal 12.84
High School Assistant Principal 19.59
Elementary Principal 19.59
Middle School Principal 11.49
High School Principal 16.22
Dean of Students 5.00

District-level positions
Coordinator 12.96
Program Specialist 3.70
Director of Curriculum and Instruction 14.81
Director of Research and Planning 0.93
Director of Human Resources 5.56
Director of Student Support Services 5.56
Assistant Superintendent of Curriculum and Instruction 16.67
Assistant Superintendent of Human Resources 9.26
Assistant Superintendent of Business/Chief Business Officer (CBO) 2.78

Qualitative Demographic Data
Qualitative data were collected via 30-minute in-person interviews at locations conven-
ient to the interviewees. Interviews were audiotaped and transcribed to ensure reliability of
responses. The interview transcripts were coded for patterns and themes aligned to the three
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 66
research questions. Creswell’s (2014) open coding system guided the management of data and an
analysis of themes: (a) organize the data by transcribing interviews and prepare it for analysis,
(b) read through all the data to determine theme, (c) code the data, (d) generate description using
coding process, (e) using narrative passages, convey the finding of the analysis, and (f) interpret
the data.
Six participants were interviewed: three superintendents, two school board members, and
one executive search firm consultant. An invitation was sent via email to each, asking for
participation in the study; each responded positively. The researcher chose to interview
superintendents with experience as administrators at the elementary level as part of their career
trajectory. The researcher did not have to consider alternate participants, and the initial selection
criterion for superintendents was not changed.
Superintendent Information
Superintendents who were currently employed in a school district, had served there for at
least 2 years, and had served as an administrator at the elementary level were invited to partici-
pate in a qualitative interview. Table 7 and Figure 3 display the demographic data and profiles of
the three superintendents who participated in qualitative interviews. The other interviewees for
the study were two school board members and one executive search consultant. Two were males
and one was a female.
The demographic data gleaned from the quantitative and qualitative instruments provided
a foundation to address each of the three research questions. The remainder of the survey ques-
tions were directly aligned to one of the research questions related to the preparation,
recruitment, or retention of superintendents. Answer choices included Strongly Agree, Agree,
Disagree, Strongly Disagree, and Don’t Know or N/A. Preparation was defined for respondents
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 67
Table 7

Characteristics of the Superintendents and Their Districts

Years in current Prior Highest
Superintendent Gender superintendency experience education

S1 Male 16 Elementary principal Master’s
S2 Male 7 Elementary principal EdD
S3 Female 5 Elementary principal Master’s

Note. EdD = Doctor of Education.

Superintendent
and district
Student
enrollment

District ethnic composition
Grade
levels
S1, D1 76,428 Hispanic 56.5% K-1

African American 13.3%

American Indian 0.2%

Asian 7.4%

Filipino 3.2%

Pacific Islander 1.5%

White, not Hispanic 13.2%

Two or more races 2.7%
S2, D2 13,363 Hispanic 50.7% K-8

African American 1.4%

American Indian 0.4%

Asian 21.0%

Filipino 2.2%

Pacific Islander 0.2%

White, not Hispanic 19.4%

Two or more races 4.1%
S3, D3 128,040 Hispanic 46.7% K-12

African American 8.7%

American Indian or Alaskan 0.2%

Asian 8.5%

Filipino 5.0%

Pacific Islander 0.4%

White, not Hispanic 22.9%

Two or more races 7.0%

Figure 3. Characteristics of districts by superintendents.

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 68
as strategies and steps taken prior to the first superintendent position. Recruitment was defined as
the process/strategy used to gain the first superintendent position. Retention was defined as the
process/strategy used to maintain the current superintendent position. Tables in the following
section summarize the respondents’ perspectives regarding preparation for the role of superin-
tendent, how respondents viewed recruitment efforts into the superintendency, and how
respondents viewed retention of superintendents in California.
Results for Research Question 1
Research Question 1 asked, How have training programs and experience prepared
superintendents to manage the complexities and challenges of the superintendency? The results
from the surveys and interviews showed three themes referred to by most superintendents, board
members, and an executive search firm consultant when addressing how training programs and
experience had prepared the superintendents for the role. The research cohort focused on the
preparation of the superintendent because of the complex, challenging, and evolving nature of
the role in the past decade (Callahan, 1966; Kowalski, 2005; Kowalski et al., 2011).
Given the evolution of the superintendent role, crucial skills are needed to fulfill the job
duties and preparation for the role is integral to success. With this in mind, it was expected that
this research question would assert this claim. The three themes that evolved were (a) partici-
pants viewed mentoring as critical in preparation for the superintendent role, (b) on-the-job
training was valued more than university training programs, and (c) networking coupled with
prior experience was the most valued manner by which to prepare for the duties and challenges
of the superintendent role.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 69
Mentoring
As noted in the review of the literature in Chapter 2, mentoring of those who are inter-
ested in and have the potential to become superintendents is important to success (Daresh, 2004;
Kamler, 2006). The opportunity to have mentoring support for informational and social concerns
throughout the career generates necessary confidence to pursue a high-ranking position such as
superintendent. Mentoring provides strategic advice and exposure to the role, as well as the
potential for relationship building in the form of informal networks (Kamler, 2006).
The ASCA superintendent and CSBA surveys support the assertion that mentoring is an
essential component of preparing for the role. At 86%, respondents agreed or strongly agreed
that mentorship is instructional when preparing for the role. In addition, more than 50% of the
superintendents agreed in their interviews that mentors are an important professional relationship
when preparing for the superintendent position (Table 8).
In interviews, each superintendent related how mentoring had influenced preparation for
the role. Superintendent 1 said, “I didn’t have any formalized training; obviously, I got mentor-
ing from my previous superintendent, who I worked with” (interview, September 25, 2017). The
superintendent continued:
I truly believe people should, if they wanna be the superintendent, you’re never gonna be
prepared. It’s just not happening. It’s just like teaching, none of our jobs are you gonna
be 100% prepared. You can do a lot to get there and I do believe superintendents today
should job shadow other superintendents. (interview, September 25, 2017)
Superintendent 2 concurred: “I would actually say probably the mentoring. So I was very
fortunate, and I had a superintendent when I was a director who provided a lot of mentoring and
support” (interview, September 27, 2017).
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 70
Table 8

Preparation Strategy/Steps Valued by Association of California School Administrators (ACSA)
Superintendents Participating in the Survey (N = 61)

Strongly Agree or
Item Agree %

University programs provided training and experience 66.66
Prior work experience was more important than my
university training experience 88.89
Holding a doctoral degree 43.75
Nontraditional training programs 21.88
Holding certification and/or licensure 37.50
Having a mentor 85.94
Having a professional network of support 78.12
Informal networks of support 93.66
Networks with university professors 37.50
Having an entry plan 57.14
University training program provided intentional support and resources 24.19
Having experience as a principal 92.06

In developing the survey questions, the research cohort kept Bolman and Deal’s (2003)
four frames in mind. Question 6 stated, “Having mentors was instrumental in preparing me for
the superintendent position,” which aligned with the symbolic and political frames. The mentor
aids in developing a leadership skill necessary for preparing as a superintendent by reframing
situations and generating solutions as they arise (Bolman & Deal, 2003).
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 71
The value of a mentor as a support person and thought partner was expressed by Super-
intendent 3 when discussing the impact of mentors on her development as a leader, as well as
insight into the role:
He was really important, he’s still a good friend, we still talk to each other. He’s been
gone from the district over 15 years, but he was definitely a role model. And someone to
look up to in terms of what he built at that district, took it from a teeny little one-horse
town into a big successful district. He was important for my mentorship. (interview,
October 2, 2017)
In sharing how her former principals had also been mentors, she elaborated:
I got a really good balance of if you’re only into child development and social-emotional,
and you missed academic outcomes you’re a problem. . . . You create problems if you’re
only about academic outcomes and you ignore the heart. And so I got really good
balances from seven years with each of those two principals. (interview, October 2, 2017)
In developing the survey questions, the research cohort kept Bolman and Deal’s (2003)
four frames in mind. Item 6 was, “Having mentors was instrumental in preparing me for the
superintendent position,” which aligned with the symbolic and political frames.
On-the-Job Training
When discussing university preparation programs, some researchers value the instruc-
tional content that knowledge coursework provides but contend that it does not fully prepare an
aspiring superintendent for the challenges of the role (Smith, 2008; Waters & Marzano, 2006).
Orr (2006) supported the notion that, while pedagogy is important in preparing the leader of a
school district, programs lack what can be considered real-world, on-the-job training experiences
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 72
.Levine (2005) concurred that an ideal framework for preparing future superintendents couples
on-the-job experiences with pedagogy and theory.
When survey respondents were presented the item, “My prior work experience was more
important than my university training experience to prepare me for my position as a superinten-
dent,” 88.89% strongly agreed or agreed that their prior experience was an important factor in
their perception of preparedness for the role of superintendent. Addressing the benefit of on-the-
job training as preparation, Superintendent 1 said,
I didn’t go through any prep program so actually it was all on-the-job training, so I was
very fortunate. . . . Didn’t realize it at that time, I was placed in certain positions on a dif-
ferent path. So for example, before I became superintendent I had, let’s see, three differ-
ent positions . . . and so not realizing what was going on, but all very important to this
position today. So as I reflect back on it, very critical in order to understand what this role
was. (interview, September 25, 2017)
Networks Created Through Prior Experience
Networking emerged as a theme in both the survey responses and interviews. In Chapter
2, it was mentioned that networks can initiate as a product of a mentoring relationship (Kamler,
2006) or as a stand-alone structure to support aspirants to the role of superintendent. Networks
established prior to pursuing the role serve informational purposes, often as the means by which
a job opening is communicated or an opportunity to increase visibility with recruiting executive
search firms (Kamler, 2006). The unintended benefit that also became apparent in the literature is
that, through networking, the challenges and complexities of the role are shared in informal
settings, adding to the knowledge base of aspirants and preparation for the role.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 73
In the ACSA superintendent survey, the idea that networks served an essential part of
their preparation was confirmed by responses to the item, “Informal networks of support (such as
professional colleagues) were important in preparing me for my position as a superintendent,”
with 93.66% who strongly agreed or agreed. Also, 78.12% strongly agreed or agreed with the
statement, “A professional network of support (such as AASA, ACSA, or through a university)
was important in preparing me for my position as a superintendent.” Superintendents’
respondents clearly confirmed that networking is important.
The idea of networking as a means to preparing for the superintendency was captured by
Superintendent 2 as he shared how a former mentor had helped him to gain his first superinten-
dent position.
He was connected to a network of other either retired superintendents or current superin-
tendents, and because of that network, he introduced me, and then they also helped me
and guided me, because of that network that he had. And then my very first superinten-
dency, . . . he suggested another retired superintendent to help me through my 1st year.
(interview, September 27, 2017)
Results for Research Question 2
Research Question 2 asked, What are the perceptions of current successful superinten-
dents regarding the strategies used to help the current superintendent to attain his or her posi-
tion? The selection of a superintendent is not a clearly defined process and several current and
successful superintendents have taken a traditional or nontraditional path to role (Kowalski et al.,
2011). A traditional superintendent has at some point taught in the classroom, became an
assistant principal, and held district-level positions such as assistant superintendent and finally
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 74
superintendent (Callan & Levinson, 2011). Whatever their road to the office of superintendent,
aspects of their career have enhanced their recruitment opportunities.
The review of the literature, survey responses, and interviews generated three themes that
indicate that candidates are recruited for the following reasons: (a) they have a proven record of
success in their prior position, (b) they are perceived as a match for a district, and (c) their prior
experience is considered to be of interest to the district seeking to fill the position.
Proven Track Record of Success
The review of the literature indicates that to be a successful superintendent requires lead-
ership in teaching and learning, as well as competence in policy and governance (Kowalski,
2003). These skills lead to results; while the school board creates policy, a candidate will be
recruited for results that display a commitment to policy execution and thoughtful planning.
Superintendent 1 claimed that his appointment was based on his record of success:
I know why I was [recruited]. . . . I was very fortunate to have had made some huge
changes in the academic world. So I was fortunate as a principal to turn around a very
low performing school, at the time it was the second lowest performing school. I was
very fortunate when I worked here in the central office to bring about policy changes.
Colleague and I led third grade reading initiative that brought the end of social promo-
tion. I was very fortunate as an area superintendent to have massive academic achieve-
ment with my schools. And then when I became the deputy superintendent, I was
assigned 19 schools of the lowest performing, because they said, “Well, based on your
past practice, you need to target these schools.” And I was fortunate to do that. (inter-
view, September 25, 2017)
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 75
Superintendent 3 confirmed this assertion: “It was the real work that I had done for 10
years at my school. I was 10 years at one school . . . and delivering on the kinds of outcomes that
the board wanted. And the board very much believed in that” (interview, October 2, 2017).
School Board Member 1 was clear that results in the former position had greatly influ-
enced why the current superintendent was appointed: “I think the richness of his background. He
was part of what was called the ‘Miracle of XX Avenue’ and all three [principals] were having
tremendous success” (interview, September 26, 2017).
Match Values of the District
As a vacancy arises, school boards are faced with the challenge of finding the best candi-
date for the highest position in a district: the superintendent. The search and hiring of a candidate
can be a daunting task; executive search firms are sometimes hired to assist. Conway and Miles
(2009) explained that the daunting task is often one that school boards are not equipped to do.
The recruitment process then becomes one in which executive search firm leads the school board
to develop a candidate profile to find within a short amount of time a match who holds identified
competencies (Glass, 2001).
The assertion that an aspiring candidate to the superintendency is recruited based on a
match with a district was confirmed in the interviews with superintendents, school board
members, and an executive search firm consultant. When describing what he believed to be the
reason he was recruited to the position, Superintendent 2 said,
And he [mentor] knew that I had an interest in the area of innovation, technology and the
arts. He knew that that was important to me. And so when this position opened up, he
called me and he said, “I think this would be a really good fit.” And so, this point I think
superintendencies . . . I think all positions this is true but I think it’s even more so for a
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 76
superintendent. It is about values of the superintendent. . . . And how well it matches or
fits with the culture of that district and of the board. And so, you can have highly success-
ful superintendents in one district but if their values aren’t aligned to the board or to the
school district, they will be unsuccessful there. And so I think that alignment is so criti-
cal. In my case, [the mentor] knew me and knew this district and so suggested this would
be a good fit. (interview, September 27, 2017)
Superintendent 3, appointed to her current role, described her transition from her prior
role to superintendent. She stated that her board was impressed with how she had managed her
team and had achieved results that they were seeking:
I’m definitely very articulate. I think one of the things they [board] saw is my ability to
articulate the what and the why and the how of what we’re doing and I have a very strong
mission-centered approach . . . . my belief system is very strongly intact and I’m very
much able to talk about it wherever I am, around equity and around public education and
what it means. And the board wanted somebody that could [do the same]. (interview,
October 2, 2017)
To support the idea that a candidate is recruited on the concept of being a match, the
executive search firm consultant shared,
When we bring recommendations to a board, what we’re specifically looking for are
people that come with a match, which means they came from a position that was similar
to the type of position that they’re applying for, that they have demonstrated success in
making systemic change in those positions and that they come to this district with the
background that specifically meets what a school district is looking for. (interview, Sep-
tember 27, 2017)
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 77
He explained that, as districts seek the help of firms such as his, they are seeking to fulfill a the
position with a certain individual in mind. As a result, he explained the concept of candidates as
a match:
When we bring recommendations to a board, what we’re specifically looking for are
people that come with a match, which means they came from a position that was similar
to the type of position that they’re applying for, that they have demonstrated success in
making systemic change in those positions and that they come to this district with the
background that specifically meets what a school district is looking for. (interview, Sep-
tember 27, 2017)
Prior Experience
The last emerging theme for this research question involved an aspiring superintendent’s
prior experience as a consideration in recruitment. While this is aligned to the prior theme of
candidates recruited for being a match, prior experience encompasses the perceptions of school
board members in recruiting for the position. When looking at interview responses, School
Board Member 1 indicated that the prior experiences held by the current superintendent had
made him an attractive candidate due to his proven track record in those positions and he dis-
played the personal qualities that they sought. In considering whether the candidate was a match,
the board referred to his prior experiences as “the richness of his background” (interview, Sep-
tember 27, 2017).
Table 9 displays the responses to the survey as the superintendents perceived each
recruitment process or strategy as influencing their ability to be recruited for the position. In the
ACSA superintendent survey, Item 8 in the recruitment section was, “My prior experience
outside of education was an important process/strategy to being recruited into my current
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 78
position as a superintendent.” While few respondents strongly agreed or agreed (22.58%), it was
assumed by the researcher that the responses in disagreement (61.29% strongly disagree or
disagree) reflected the sentiment that they perceived that their prior experiences as educators
were contributing factors to their recruitment.

Table 9

Recruitment Process/Strategy Perceptions by Participating Association of California School
Administrators (ACSA) Superintendents (N = 61)

Item Strongly Agree/Agree %

Having a mentor 74.19
University experience 38.71
Being part of a professional network 53.23
Networking with an executive search firm 50.00
Holding a doctoral degree 40.32
Presenting at conferences and/or publishing in professional journals 32.26
Networking with board members 43.38
Prior experience outside of education 22.58
Demographic composition of a board of education 38.71

Results for Research Question 3
Research Question 3 asked, What are the perceived strategies that support the retention
of superintendents? The retention of a superintendent is a daunting task for many school boards
and vacancies have increased in recent years (Glass & Franceschini, 2007). According to Glass
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 79
et al. (2000), efforts to effect change occur over a period of at least 5 years, with unwavering
dedication and oversight from a superintendent. Thus, the longer a superintendent remains, the
greater the chances for positive change and improved student achievement. Based on the litera-
ture reviewed in Chapter 2, the survey of superintendents and school board members, and the
interviews, the following themes emerged as exerting influence on the retention of a
superintendent: (a) board relations matter, (b) leadership skills displayed by a superintendent are
noted and favored, and (c) a superintendent who communicates with all stakeholders is success-
ful.
Board Relations
The importance of positive governance and collaboration between a school board and the
superintendent is pivotal in increasing student achievement. Joint efforts of the school board and
superintendent affect student achievement. To that end, the relationship between a school board
and superintendent affects the success of the district (Kowalski et al., 2011).
As the research cohort developed survey questions, the literature pointed to board rela-
tions as a crucial aspect of superintendent retention and longevity. With that in mind, Table 10
shows the results of the ACSA survey with data regarding the perceptions held regarding reten-
tion. Responses to the ACSA survey indicated that 96.72% strongly agreed or agreed with the
statement, “The relationship with my board of education determines my success in retaining my
position as a superintendent” and 96.72% also strongly agreed or agreed with the statement,
“The relationship with my board determines my desire to continue in my position as superinten-
dent.” The clear agreement that board relations determine both success and desire was confirmed
in the DSAG survey.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 80
Table 10

Recruitment Process/Strategy Perceptions by Participating Association of California School
Administrators (ACSA) Superintendents (N = 61)

Item Strongly Agree/Agree %

Having a mentor 74.19
University experience 38.71
Being part of a professional network 53.23
Networking with an executive search firm 50.00
Holding a doctoral degree 40.32
Presenting at conferences and/or publishing in professional journals 32.26
Networking with board members 43.38
Prior experience outside of education 22.58
Demographic composition of a board of education 38.71

When asked about important relationships that helped him to enter the superintendency,
Superintendent 1 responded,
When you become a superintendent, obviously you work for a board, and the board sets
the agenda. You have a unique position because you have to—I don’t like the term, when
people use the term “managing the board,” I don’t like that. I think that’s disrespectful
from my perspective. It’s about relationships and so they have a job, they have really
three goals, one is to hire and fire the superintendent, one is to set policy for the school
system. Both instructional, business and all that fun stuff. And then the other one is the
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 81
fiduciary and all the money part of it. And then you hire a CEO to carry out those things.
(interview, September 25, 2017)
When asked to share what factors motivate his ongoing retention in the position, Super-
intendent 2 stated that
it’s easy to be successful in a district like [District 2] because there’s such a belief in
children and that . . . a mission around that. And so I believe that actually that’s a huge
thing. For sure, my relationship with the board. At some point, I think there are some . . .
I know there are cases where superintendents will wait until, let’s say they literally get
voted out. My thought is, “I’m gonna foster good relationships and if I don’t have good
relationships with the board, I wouldn’t stay.” And so I wouldn’t wait to have a 3-2 vote
against me. (interview, September 27, 2017)
Leadership Skills
Collins (2001a) stated, “Level 5 leaders look out the window to assign credit, even undue
credit. They look in the mirror to assign blame, never citing external factors” (p. 75). This is a
reminder that qualities exist that allow executives to move a company from good to great. It
highlights that a leader exhibits Level 5 type of leadership by building enduring greatness
through a combination of personal humility and professional will.
Another seminal work on leadership is the well-known work that provides a framework
for leadership. Bolman and Deal (2003) indicated that the use of four frames is crucial to leader-
ship of any organization: the structural frame, the human resource frame, the political frame, and
the symbolic frame. The core of their work is reframing as a tool for finding solutions and
options during confusing and troubling organizational situations. The authors contended that,
working in multiple frames, leaders can tackle complex and challenging situations within their
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 82
organizations. Waters and Marzano (2006), in a meta-analysis study of district leadership that
affects student achievement, focused on three main findings (a) District-level leadership matters,
(b) effective superintendents focus their efforts on creating goal-oriented districts, and (c)
superintendent tenure is positively correlated with student achievement.
Research suggests that successful superintendents incorporate all three models in their
leadership practices and the research cohort of this study asserted in their conceptual framework
that successful superintendents exercise Bolman and Deal’s (2003) four frames, adopt Collins’s
(2001b) Level 5 leadership when reacting to successes and failures, and develop and implement
Waters and Marzano’s (2006) strategies for success as a school district leader.
The theme of leadership skill use was not nearly as evident in the survey responses
because there was not a specific item regarding use of leadership skills as a strategy to aid in
retention of successful superintendents. However, the researcher found data that clearly asserts
that leadership skills affect success and retention in the role. Reference to leadership skills was
made by all three superintendents and the board member interviewed, particularly when asked,
“What strategies or skills do you believe a superintendent should use to be successful in the
role?”
Superintendent 1shared,
I think they have to lead by example. So if you’re talking about closing the achievement
gap, everything you do better be about that achievement gap, whatever that issue is.
Don’t say that and then go off 10 other areas, because you can easily get distracted. So
the issue for me is, as much as possible, keep to whatever that mission of whatever your
vision is at that time, and that’s with the board too. So the issue is you gotta help them
understand, too. (interview, September 25, 2017)
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 83
Superintendent 1 also stated that leaders need knowledge of many departments and to
understand how each department is essential to the mission and vision of the district:
I have a true bias because I truly believe a superintendent needs to be the instruction
leader. That does not mean that he or she is doing the work by any means, because they
can’t. There isn’t a day that I accomplish what I set out to do. Not a single day. It’s no
different than being a principal. So it’s like I say I’m gonna do X, and something
happens. But we have people who do lead the work and then your job is to help make
sure that it stays on task, change the course if you think it’s going nowhere, slow it down.
(interview, September 25, 2017)
Another aspect of leadership skills that emerged in this theme is the idea that superinten-
dents strategically build a team to deliver on the mission and vision. Superintendent 2 portrayed
this in the following way:
It’s all about your team. It’s all about, like, a great team, and assembling that great team,
and taking time to build that team. And it means also letting people go. And it’s just not
letting people go that aren’t talented or skilled, because sometimes I might let someone
go who’s talented or skilled, but doesn’t have the same value set, beliefs, approach to
learning and education, and in that case I’m actually doing them a disservice, had them
continue in a role where they’re not gonna be successful in the organization, ‘cause it’s
counter to their core beliefs or values. (interview, September 27, 2017)
Having knowledge of many departments in a district and building a team to support the
work of a superintendent were identified by two superintendents. Yet another aspect of leader-
ship was referred to by Superintendent 3, alluding to vision building and system thinking:
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 84
I want long-term systems change that is not connected to me anymore, that I could walk
away and the system knows how to operate. And so, from the very beginning I used a
vision. I cast a vision and said well, the Vision 2020 was already there, but I said,
“Everything that we do needs to go through the lens of the following.” I think I had six
words. “Everything we do needs to be sustainable, scalable, replicable, systemic.” And
the next word is a little bit like systemic, but it’s different. It’s systematic. And it needs to
be equitable and affordable. . . . Where there’s greater need, there has to be greater
resource and investment, so that’s where you do equitable systemic reform and you’re
very systematic on how you do it, and you have to do it in the context of a major budget
crisis, so it has to be affordable. That was the frame for all of my decisions that I make.
(interview, October 2, 2017)
Board Member 1 supported the claims made by each superintendent. He supported the
idea that a successful superintendent’s retention is due in part to his or her knowledge of the
departments of a district, with skill to build a team and follow a vision. When asked “What
strategies or skills do you believe a superintendent should use to be successful in their role?” the
board member concurred with the superintendents:
You gotta be a great people person to start with. I think you have to be, in this day and
age, financially very prudent and be willing to take hard stands when it comes to where
money is going to go. I think it depends on having great people in Human Resource
Services, in the budget office, in maintenance. You have to have good folks there, I think,
to be successful. So, good supportive staff. (interview, September 26, 2017)
Referring to his current superintendent in particular, he added that
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 85
one thing, he’s got an amazing memory for detail. Budget matters, maintenance matters,
personnel matters. In closed session, he’s just quite dramatic in the way that he can spew
out all of these facts about our district and where he thinks we’re going, where he thinks
we should go. So he’s on top of . . . information wise, he’s on top of all of the vital stuff
that it takes to run a good district. (interview, September 26, 2017)
Stakeholder Communication
According to Carlson and Eller (2009), the role of superintendent will be the most
complex and challenging of any educator’s career. The reviewed literature indicated that longev-
ity and retention of a superintendent are affected by the ability to communicate positively and
effectively with stakeholders. Communicating goals and objectives to district-level teams, sites,
and community stakeholders helps to raise confidence and build positive perceptions of district
leadership (Watenpaugh, 2007). In communicating positively, a superintendent works with each
stakeholder in the school district community to assess the development, implementation, and
evaluation of plans to fulfill the mission and vision (Neely et al., 2002).
The ACSA superintendent survey revealed that 68.85% of the respondents strongly
agreed or agreed when asked whether having a formal written strategic plan supports their
success in retaining the position of superintendent. The strategic plan is used as a communication
strategy of the mission, vision, and action plan by a superintendent. The superintendents shared
their perceptions of how they engage and communicate with stakeholders effectively. Superin-
tendent 1 shared,
The strategic plan is developed by all the stakeholders and so, and they’re very good
because they understand that to bring about change takes time. So, the goals aren’t gonna
change. What will change will be the metrics. Maybe our resource allocation, whatever it
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 86
happens to be. But by consistently communicating on what is going on and not going on
with those communications, those goals, then that’s what brings us forward. (interview,
September 25, 2017)
In discussing his engagement with stakeholders, the values that he places on these interactions,
and their impact on his retention, he stated,
It’s all stakeholder groups. I have a great board who holds me accountable but also gives
us the authority to do what we need to do. I have a great executive staff that carries out
the work and pushes back and I push back on them. I spend a vast majority of my time
working with stakeholder groups, so whether it means my parents, I have students that I
meet on a regular basis at the high school level. I visit sites, I go to the community things.
So all those things are what keep me going. (interview, September 25, 2017)
Superintendent 3 expressed a very clear stance on the importance of engaging and com-
municating her vision with stakeholders:
They used to say that there were three things that stand in the way of a superintendent’s
tenure. Let’s see if I’m remembering them now, the first thing is the relationship with the
board. The second is the relationship with the union, and the third is the relationship with
the mayor of the city. This is in the large urban districts and so when I was appointed I
had a strong relationship with the board. I was appointed by an enthusiastic, very sup-
portive board and I wouldn’t say I had rubber stamp 5-0 votes the whole time I’ve been
here. I’ve had almost all 5-0 votes but we work for them, they do not come from, “Just do
it because she says so.” I have constant engagement with the board and with the com-
munity about what we’re doing, why we’re doing it, how we’re doing it, how it’s aligned,
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 87
how it’s . . . . If we’re not doing what the public says, I have to explain why. (interview,
October 2, 2017)
Chapter Summary
Chapter 4 presented the findings from data collected by the researcher. It presented the
“triangulation” of data collected by way of surveys administered to stratified random samples of
superintendents and school board members, in-depth interviews. Literature was reviewed to
increase validity of findings. Conclusions, presented as themes, were made regarding which
processes or strategies superintendents had employed to prepare, boost their recruitment, and
increase the likelihood of retention in their role. Each question elicited strong themes, including
mentoring, which is critical to the preparation for the superintendent role; on-the-job training,
which is valued more than university training programs; prior experience, which is considered
when being recruited; a proven track record, which makes a candidate attractive to a school
board; the importance of board relations; a display of leadership skills to increase longevity and
communication with all stakeholders for job retention. Mentoring and networking was a key
theme at each phase of the pipeline.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 88
CHAPTER 5: CONCLUSIONS
Statement of the Problem
According to Kowalski et al. (2011) and McLaughlin (2005), the job of superintendent
has become more complex and challenging, with roles, responsibilities, and expectations contin-
ually evolving since the inception of the position in the early 1800s. Aspiring superintendents
must consider thoughtfully the proper preparation, recruitment strategies, and skillsets for ongo-
ing retention and success in the position. Preparation programs, such as university programs and
nonuniversity programs, have made attempts to train prospective superintendents to be recruited
and successful in the position but many have fallen short in their efforts (Barnett, 2004; Björk et
al., 2005; Levine, 2005; Perry, 2012). Support for current superintendents, including networking,
mentoring, and coaching, have contributed to most superintendents’ ongoing success in the posi-
tion; however, superintendent turnover remains high (Kowalski et al., 2011). Although many
superintendents are successful in the position, dismissal from the position usually ends the career
in education (Byrd et al., 2006; Kowalski et al., 2011). The fact that disparities in recruitment
and retention of female superintendents and superintendents of color exist magnifies the problem
for these subgroups (Kowalski et al., 2011). These inadequacies signify an overall problem in
superintendent preparation, recruitment, and retention.
Purpose of the Study
This study served to inform multiple stakeholders. Aspiring superintendents will be
informed on the preparation, skills, and relationships that will support their transition to the
superintendency. School boards of education will gain insights to recruit better candidates for the
superintendency and to maintain a positive relationship with their superintendent. Executive
search firms will be informed on perceived strategies used by successful superintendents to aid in
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 89
the recruitment of candidates for the position while providing strategies on superintendent reten-
tion. Universities and nonuniversity training programs will be informed on the impact of their
programs on training superintendents. This study will also inform current superintendents about
the perceived skills needed to achieve success and longevity.
Research Questions
To examine the strategies and behaviors that successful superintendents used to prepare,
be recruited for, and retain their position, the following research questions were developed to
guide the study:
1. How have training programs and experience prepared superintendents to manage the
complexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards
regarding the strategies used to help the current superintendent to attain his or her position?
3. What are the perceived strategies that support the retention of superintendents?
Findings
This study, through mixed methods, revealed nine separate findings. First, mentoring is
critical to the preparation for the superintendent role. Second, on-the-job training is valued more
than university training programs. Third, networking coupled with prior experience was reported
as the most valued manner by which to prepare for the duties and challenges of the superinten-
dent role. Fourth, superintendent recruitment increases with a proven record of success in prior
positions. Fifth, if an aspiring superintendent candidate is perceived by the school board to be a
match for a district, the potential for hire increases. Sixth, a superintendent’s prior experience is
considered to be of interest to a hiring district. Seventh, a positive board-superintendent relation
affects retention in the position. Eighth, effective leadership skills displayed by a superintendent
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 90
are noted by staff and community alike and are favored. Ninth, a successful superintendent
embraces and employs various ways to communicates with all stakeholders.
Findings for Research Question 1
Research Question 1 asked, How have training programs and experience prepared
superintendents to manage the complexities and challenges of the superintendency? The first key
finding for preparing aspiring superintendents was having a mentor to guide, lead, and support.
As a critical activity in attaining the superintendency, the concept of having a mentor agrees with
Bolman and Deal (2003), whose human resource frame values putting the needs of people
working in an organization first. Mentors, according to interviews with these selected superin-
tendents, give advice, offer guidance, offer solutions to problems, and support the transition to
the first superintendency as a result of collaborating with predecessor and mentors. The literature
highlights ways in which mentoring can work. Kram (1983, 1985 as cited in Kamler, 2006)
described two models of mentorship: (a) psychological mentoring, involving role modeling,
acceptance, confirmation, counseling and friendship; and (b) career-related mentoring,
encompassing sponsorship, exposure and visibility, coaching, protection of self, and challenging
assignments.
The second key finding was that on-the-job training is valued more than university
training programs. According to the ACSA survey of superintendents, 89% of respondents
agreed or strongly agreed that on-the-job training was more important and that experience as a
site principal was the most important factor in preparing for the role of superintendent. The
superintendents and the executive search firm consultant agreed that highlighting and marketing
one’s work is important. The consultant added that equally important for an aspiring superinten-
dent is the notion of surrounding oneself with the right people, characterized as people who
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 91
could provide training. While training is essential to prepare superintendents for success and
longevity, the practical knowledge gleaned in prior positions is valued more by current superin-
tendents than the theoretical knowledge gained from university programs, which supports
Levine’s (2005) critique of university programs as failing to provide a balance between theory
and practice. However, school board members agreed that it was desirable for the superintendent
to hold an advanced degree, such as a doctorate.
The third key finding was that networking is instrumental toward the preparation of
aspiring superintendents. Following the thinking presented by Kram (1983, 1985 as cited in
Kamler, 2006), networking falls in line with the type of mentoring that is focused on support
exposure and visibility, coaching, and career-related problem solving. Learning from others is
highly beneficial in preparation for the superintendent role. Equally crucial is maintaining con-
nections with the right people to secure a position.
Findings for Research Question 2
Research Question 2 asked, What are the perceptions of current successful superinten-
dents and school boards regarding the strategies used to help the current superintendent to
attain his or her position? Clearly, the most important strategy used by aspiring superintendents
was past successes. As a life-long learner and instructional leader of a school district, the super-
intendent must demonstrate leadership in teaching and learning (Kowalski, 2003). Those who
seek the position must have experienced success in these two areas, regardless of their previous
positions. Therefore, success as a school site principal is a strategic and essential activity and
process for aspiring superintendents. All participating superintendents recounted their successes
prior to their current role and referred to them as a reason that they were attractive to their school
board and community.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 92
When school boards are actively seeking to fill the position of a potential superintendent,
they use a process to determine a candidate profile. Executive search firms and school boards
alike seek specific attributes in aspiring candidates. They may be looking for someone with a
strong business background or a strong sense of curriculum and instruction or the potential to
bring innovation to the district. The opportunity for candidates to be recruited increases if their
skill sets, past experience, and vision are aligned to what the district is seeking in a candidate.
A superintendent’s prior experience is of interest to a district that is seeking to fill the
position. In the ACSA survey, 61% of the respondents indicated that experience outside of edu-
cation was not as important as the roles within education. Interviews with the superintendents,
school board members, and the executive search firm member all supported this survey finding.
Each interviewee reported that roles served prior to superintendent were a determining factor in
garnering experience and gaining qualifications for the job.
Findings for Research Question 3
Research Question 3 asked, What are the perceived strategies that support the retention
of superintendents? The literature clearly supported that a positive board-superintendent relation
affects retention in the position, and 96% of ACSA superintendent responses were in agreement
that this relationships affects not only their success in the role but also their desire to remain in
the role. Kowalski (2003) reported that school board relations are among the most important
relationships that a superintendent must foster in order to maintain longevity. He also noted that
consistent communication helps to establish relationships and build trust in school boards.
Effective leadership skills displayed by a superintendent are noted by staff and com-
munity alike and are favored. A successful superintendent embraces and employs various ways
to communicate with all stakeholders.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 93
Implications
The findings from this study add to the current body of literature regarding the pipeline to
the superintendency. Administrators, training program administrators, school boards, and execu-
tive search firms can use the findings to highlight the need for a pipeline that fills vacancies for
the important role of superintendent of schools. There was evidence that mentoring is essential to
a pipeline for aspiring superintendents and that networks serve to prepare and retain superinten-
dents because they serve as a structure for differentiating professional development.
As a result of this study, aspiring superintendents are informed on the preparation, skills,
and relationships that will support their transition to the superintendency. School boards of edu-
cation are offered have insights to help them to recruit top candidates and to maintain a positive
relationship with their current or future superintendent.
This study identified strategies that executive search firms can employ to recruit candi-
dates while providing recommendations on superintendent retention. Universities and
nonuniversity training programs are informed on the impact of their programs on preparing
superintendents. The results also inform current superintendents regarding perceptions about
what is required to achieve success and longevity.
The researcher offers the following suggestions to support aspiring candidates, training
programs, school boards, and executive search firms as they reflect on their current practices.
1. Mentors help to shape leadership style by modeling.
2. Advanced education such as a doctorate degree does not provide practical, tacit
knowledge but does help an aspiring candidate.
3. Mentoring is an opportunity to provide support when seeking the position.
4. Mentors push others to achieve their maximum potential.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 94
5. A potential candidate learns by observing the leadership style of the mentor.
6. The mentor relationship is valued because it provides years of support and is sup-
portive when a candidate pursues the superintendent position.
7. A mentor can challenge the aspiring superintendent to reach maximum potential.
Recommendations for Future Study
This study examined the preparation, recruitment, and retention of superintendents. There
are still areas worthy of study. The researcher recommends that the following be considered for
future study: (a) a case study of districts currently exploring and/or implementing a pipeline to
the superintendency; (b) a study of the planning, design, and execution of university programs
that prepare candidates for the superintendency; (c) continued research into university programs
that balance theory and practice for the role of superintendent; and (d) research on the success
and longevity of superintendents who hold roles in the curriculum and instruction side versus
those focusing on the business side within a district.
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 95
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APPENDIX A
RESEARCH PARTICIPANT INVITATION E-MAIL

Dear___(stakeholder group role),

I am a doctoral candidate in the Rossier School of Education at the University of Southern Cali-
fornia and a ________ (role) in the ________________________ Unified School District. I
would like to invite you to participate in a research study that will investigate the preparation,
recruitment, and retention of successful superintendents.

You are asked to participate only if you are currently employed as a superintendent for at least 2
years. If you agree to participate, you will be asked to complete a survey; estimated time for
completion is approximately 20 minutes. University of Southern California’s Institutional
Review Board has approved this research study (IRB #APP-17-02065).

Your participation is completely voluntary. If you decide to participate after reading this
email, you can access the survey via the following link: ____________

I value your input and hope that you will consider participating in this study. Please email me at
___________________ if you have any questions. Thank you in advance for your time.

Sincerely,

USC Doctoral Candidate Researcher
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 104
Informed Consent Form

Date: _____________________
Dear ________________________,

My name is __________________ and I am a doctoral student at the USC Rossier School of
Education. I am conducting a research study under the guidance and direction of Dr. Michael F.
Escalante. The purpose of my mixed-methods study is to examine the preparation, recruitment,
and retention of school district superintendents in California. I will interview and survey
superintendents, board members, and executive search consultants.

You have been invited to participate in a graduate research study that will shed light on the
preparation, recruitment, and retention of superintendents. The results of this study will inform
multiple stakeholders, including aspiring superintendents, school boards, and executive search
firms. It is my hope that this study will serve as a valuable resource.

Your participation, although appreciated, is voluntary and you have the right to withdraw at any
time. The information collected will be kept confidential and anonymous by the researcher and
members of the dissertation committee. Data will be presented in a manner that will ensure that
no individual or district can be identified.

If you have any questions or concerns regarding your participation in this study, you may contact
me at _____________ or Dr. Michael F. Escalante at the University of Southern California.

Thank you, in advance, for your time and assistance.

Sincerely,

_______________, Researcher Dr. Michael F. Escalante, Dissertation Chair
[email address] mescalan@usc.edu
(xxx) xxx-xxxx (818) 802-4769

( ) I have read this form and have been given the opportunity to ask questions. I consent to my
participation in the research described above.

Participant’s Signature: _____________________________ Date: __________

Participant’s Printed Name: __________________________

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 105
APPENDIX B
SUPERINTENDENT SURVEY
The purpose of this mixed-methods study is to examine the preparation, recruitment, and
retention of California superintendent of schools. Since this position is critical to student
achievement, it is important to identify the preparation, supports, skills, and relationships that
superintendents need to be successful. The goal of this brief, 15-minute survey is to quantify
your perceptions on superintendent preparation, recruitment, and retention. Your participation
in this survey is anonymous. Thank you for your participation.

Personal Background
1. Gender
o Male
o Female
2. Ethnicity (check all that apply)
o Asian
o Black
o Latina/o
o Native American
o Pacific Islander
o White
o Multiple
o Other
o Decline to state
3. Age range:
o 30-35
o 36-40
o 41-45
o 46-50
o 51-55
o 56-60
o 61-65
o 65+
4. Highest university degree earned:
o Ed.D.
o Ph.D.
o Master’s
o Other
 Please specify
5. What university do you identify with professionally?

6. How many years in the education profession?
o 1-10
o 11-20
o 21-30
o 30 or more
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 106
7. How many years as a superintendent?
o 1 year or less
o 1-5
o 6-10
o 11-15
o 16 or more
8. This is my _________ time serving as a superintendent.
o 1st
o 2nd
o 3rd
o 4th
9. Did you come from within the district or outside the district to the position?
o Within
o Outside
10. Past experiences (check all that apply):
 School site positions:
 Elementary school teacher
 Middle school teacher
 High school teacher
 Counselor (any level)
 College/university instructor
 Community college instructor
 Teacher on Special Assignment (TOSA)
 Other ______________________
 School site administrator positions:
 Elementary School Assistant Principal
 Middle School Assistant Principal
 High School Assistant Principal
 Elementary Principal
 Middle School Principal
 High School Principal
 Dean of Students
 District-level positions:
 Coordinator
 Specialist
 Director of Curriculum and Instruction
 Director of Research and Planning
 Director of Human Resources
 Director of Student Support Services
 Director: Other ____________________
 Assistant Superintendent of Curriculum and Instruction
 Assistant Superintendent of Human Resources
 Assistant Superintendent of Business/Chief Business Officer (CBO)
 Assistant Superintendent: Other _____________________
 Other than education
 Please specify: ______________
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 107
11. Base Salary Range (approximate):
o Less than $100,000
o $100,000-140,000
o $140,001-160,000
o $160,001-180,000
o $180,001-200,000
o $200,001-220,000
o $220,001-240,000
o $240,001-260,000
o $260,001-280,000
o $280,001-300,000
o $300,001-320,000
o $320,001-340,000
o $340,001-360,000
o $360,001+
12. Total Compensation Range (approximate):
o Less than $100,000
o $100,000-140,000
o $140,001-160,000
o $160,001-180,000
o $180,001-200,000
o $200,001-220,000
o $220,001-240,000
o $240,001-260,000
o $260,001-280,000
o $280,001-300,000
o $300,001-320,000
o $320,001-340,000
o $340,001-360,000
o $360,001+

School District
13. Type of district:
o Urban
o Urban/suburban
o Suburban
o Rural
14. District student enrollment :
o Less than 1,000
o 1,001-5,000
o 5,001-10,000
o 10,001-15,000
o 15,001-20,000
o 20,001-25,000
o 25,001-35,000
o 35,001-50,000
o 50,001-75,000
o 75,000-100,000
o More than 100,000
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 108
Based on your perception of your preparation experience to be a superintendent, rate the following state-
ments from Strongly Agree (SA) to Strongly Disagree (SD)

Statement
Strongly
Agree
4
Agree
3
Disagree
3
Strongly
Disagree
1
Don’t
know or
NA (0)
For the next statements, please use the following definition for superintendent preparation:
Preparation is defined as the strategies and steps you took prior to taking on your first superin-
tendent position.
Preparation
1. University programs provided training and experience that
was important in preparing to become a superintendent.

2. My prior work experience was more important than my
university training experience to prepare me for my posi-
tion as a superintendent.

3. Holding a doctoral degree was important in preparation for
my position as a superintendent.

4. Nontraditional training programs (such as The Broad
Academy) were important in preparing me for my position
as a superintendent.

5. Holding certification and/or licensure from organizations
(such as ISLLC, AASA/USC, ACSA) was important in
preparing me for my position as a superintendent.

6. Having mentors was instrumental in preparing me for the
superintendent position.

7. A professional network of support (such as AASA, ACSA,
or through a university) was important in preparing me for
my position as a superintendent.

8. Informal networks of support (such as professional col-
leagues) were important in preparing me for my position
as a superintendent.

9. Networks with university professors were important in
preparing me for my position as a superintendent.

10. Planning my career was important in preparing me for my
position as a superintendent.

11. My university training program provided intentional
supports or resources to prepare females to enter the
superintendent position.

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 109
12. My university training program provided intentional
supports or resources to prepare people of color to enter
the superintendent position.

13. Having experience as a principal is a crucial element in
preparing me for the position as superintendent.

For the next statements, please use the following definition for superintendent recruitment:
Recruitment is the process/strategy you used to gain your first superintendent position.
Recruitment
14. Having a mentor(s) was an important process/strategy for
being recruited into my current position as a superinten-
dent.

15. My university experience was an important process/
strategy for helping me to be recruited into my current
position as a superintendent.

16. Being part of professional networks (such as AASA,
ACSA, university alumni associations) was an important
process/strategy for being recruited into my current
position as a superintendent.

17. Networking with an executive search firm was an
important process/strategy for being recruited into my
current position as a superintendent.

18. Holding a doctoral degree was an important process/
strategy for being recruited into my current position as a
superintendent.

19. Presenting at conferences and/or publishing in professional
journals was an important process/strategy for being
recruited into my current position as a superintendent.

20. Networking with board members was an important
process/strategy for being recruited into my current posi-
tion as a superintendent.

21. My prior experience outside of education was an important
process/strategy for being recruited into my current posi-
tion as a superintendent.

22. Creating a “First 100-Day Entry Plan” was important for
being recruited into my current position as a superinten-
dent.

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 110

23. Gender is an important factor for being recruited into the
superintendent position.

24. Race and ethnicity are important factors for being
recruited into the superintendent position.

25. The demographic composition of a board of education
(such as gender, race, and ethnicity) is an important factor
for being recruited into the superintendent position.

For the next statements, please use the following definition for superintendent retention: Reten-
tion is the process/strategy you used to maintain your current superintendent position.
Retention
26. My university training program provided me with
processes/strategies that currently support my success in
retaining my position as a superintendent.

27. Professional networks (such as AASA, ACSA, university
networks) provided me with processes/strategies that cur-
rently support my success in retaining my position as a
superintendent.

28. Having a mentor(s) provided me with processes/strategies
that support my success in retaining my position as a
superintendent.

29. Having a district-provided executive coach currently
supports my success in retaining my position as a super-
intendent.

30. The relationship with my board of education determines
my success in retaining my position as a superintendent.

31. The relationship with my board determines my desire to
continue in my position as superintendent.

32. Board/superintendent protocol (relationship) workshops
have been an important process/strategy for building our
relationship.

33. My relationship with my board is more important than my
compensation.

34. My compensation determines my desire to continue in my
position as a superintendent in my district.

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 111

35. Negotiating additional compensation jeopardizes my rela-
tionship with the board.

36. Having a formal, written strategic plan supports my
success in retaining my position as a superintendent.

37. Receiving on-the-job professional development training
(such as conference attendance) is a process/strategy that
supports my success in retaining my position as a super-
intendent.

38. District stakeholders hold female superintendents to dif-
ferent standards for their ongoing job retention.

39. My race and ethnicity may influence the expectations that
district stakeholders have of me in my position as a
superintendent.

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 112
APPENDIX C
SCHOOL BOARD MEMBER SURVEY
Based on your perception of the preparation experience to be a superintendent, rate the following state-
ments from Strongly Agree to Strongly Disagree.

Statement
Strongly
Agree
4
Agree
3
Disagree
3
Strongly
Disagree
1
Don’t
know or
NA (0)
For the next statements, please use the following definition for superintendent preparation: Prepa-
ration is defined as the strategies and steps that your superintendent took prior to taking on
his/her superintendent position.
Preparation
1. My superintendent’s prior work experience was more
important than his/her university training experience to
prepare him/her for his/her current position.

2. Holding a doctoral degree was important for my superin-
tendent’s preparation.

3. Nontraditional training programs (such as The Broad
Academy) were important in preparing my superinten-
dent for his/her current position.

4. Having mentors was instrumental in preparing my super-
intendent for his/her current position.

5. A professional network of support (such as AASA,
ACSA, or through a university) was important for pre-
paring my superintendent for his/her current position.

6. Informal networks (such as professional colleagues) were
important in preparing my superintendent for his/her
current position.

7. I believe that university training programs provide inten-
tional supports or resources to prepare females to enter
into the superintendent position.

8. I believe that university training programs provide inten-
tional supports or resources to prepare people of color to
enter into the superintendent position.

Based upon your perception of your superintendent’s recruitment experience to be a superinten-
dent, rate the following statements from Strongly Agree to Strongly Disagree:

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 113
For the next statements, please use the following definition for superintendent recruitment:
Recruitment is the process/strategy that your superintendent used to gain his/her superintendent
position.
Recruitment
9. It was an important process/strategy my superintendent to
have a mentor(s) to being recruited into his/her current
position.

10. Networking with an executive search firm was an
important process/strategy for my superintendent to being
recruited into his/her current position.

11. Networking with us, as board members, was an important
process/strategy for my superintendent to being recruited
into his/her current position.

12. My superintendent’s prior experience outside of educa-
tion was an important process/strategy for him/her to
being recruited into his/her current position.

13. Gender is an important factor to being recruited into the
superintendent position.

14. Race and ethnicity are important factors to being
recruited into the superintendent position.

15. The demographic composition of a board of education
(such as gender, race, and ethnicity) is an important
factor to being recruited into the superintendent position.

Based upon your perception of your superintendent’s current retention experience in being a
superintendent, rate the following statements from Strongly Agree to Strongly Disagree:

For the next statements, please use the following definition for superintendent retention: Retention
is the process/strategy that your superintendent used to maintain his/her current superintendent
position.
Retention
16. The university training program provided my superinten-
dent with processes/strategies that support his/her success
in retaining his/her current position.

17. Professional networks (such as AASA, ACSA, and
university networks) provided my superintendent with
processes/strategies that support his/her success in
retaining his/her current position.

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 114
18. Having a mentor(s) provided my superintendent with
processes/strategies that support his/her success in
retaining his/her current position.

19. The relationship that my superintendent has with our
board determines his/her success in retaining his/her
current position.

20. Board/superintendent protocol (relationship) workshops
have been an important process/strategy for my superin-
tendent to build our relationship.

21. My superintendent’s compensation determines his/her
desire to continue in his/her current position.

22. Having a formal, written strategic plan supports my
superintendent’s success in retaining his/her position.

23. District stakeholders hold female superintendents to a
different standard for their ongoing job retention.

24. My superintendent’s race and ethnicity may influence the
expectations that district stakeholders have of him/her in
his/her current position.

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 115
APPENDIX D
SUPERINTENDENT INTERVIEW GUIDE

Preparation Recruitment Retention
Research
Questions
How have training programs
and experience prepared
superintendents to manage
the complexities and chal-
lenges of the superinten-
dency?
What are the perceptions of
current successful superin-
tendents and school boards
regarding the strategies used
to help the current superin-
tendent to attain his or her
position?
What are the perceived
strategies that support the
retention of superintendents?
Themes Interview Questions
Training
Programs
1. What type of training have
you attended that prepared
you for the superintendency?
 1a. Where did you
receive your most effec-
tive training? Why?
5. Some superintendents have
not utilized training programs
because they believed that
the best training was on the
job. What is your opinion
about that?
9. How is ongoing training
supporting your retention as
a superintendent?
9a. What types of training
support your retention?
9b. What strategies support
your retention?
Experience
2. Describe your career path
to the superintendency.
 2a. Which professional
experiences leading up to
becoming the superinten-
dent were the most bene-
ficial? Why?
6. What prior experiences did
you have that made you most
favorable to hire?
10. What strategies or skills
should a superintendent use
to be successful in his/her
role?
Relational
Supports
3. Who were the most
important professional rela-
tionships that helped you to
prepare for the superinten-
dent position?
 3a. How were they
important?
7. Did you strategically use
professional relationships
(mentoring/networking) to
attain your current position?
If so, how?
11. What professional rela-
tionships support your
retention?
11a. What strategies do you
use with your board to
support your retention as
a superintendent?
Career
Planning
4. When did you know that
you wanted to be a superin-
tendent?
 4a. What proactive steps
did you take to get there?
8. Did you create an “Entry
Plan” when being recruited
into the position?
 8a. If so, how did it help
you get recruited?
 8b.If not, how could it
have helped you?
12. Do you utilize a formal,
written strategic plan outside
of the LCAP?
 12a. If so, how does it
differ from the LCAP?
 12b. If so, how does it
enhance your retention?
13. What factors have moti-
vated your ongoing retention
in the position?
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 116
APPENDIX E
SCHOOL BOARD MEMBER INTERVIEW GUIDE

Preparation Recruitment Retention
Research
Questions
How have training pro-
grams and experience pre-
pared superintendents to
manage the complexities
and challenges of the
superintendency?
What are the perceptions of
current successful superin-
tendents and school boards
regarding the strategies used
to help the current superin-
tendent to attain his or her
position?
What are the perceived
strategies that support the
retention of superinten-
dents?
Themes
Interview Questions
Training
Programs
1. What type of training did
your superintendent attend
that prepared him/her for
the superintendency?
1a. Where did he/she
receive the most effec-
tive training? Why?
5. Some superintendents have
not utilized training programs
because they believed that the
best training was on the job.
What is your opinion about
that?
9. How is ongoing training
supporting your superin-
tendent’s retention in
his/her position?
9a. What types of training
support your superin-
tendent’s retention?
9b. What strategies did
your superintendent
acquire that support
his/her retention?
Experience
2. Describe your superinten-
dent’s career path to the
superintendency.
2a. Which experiences that
your superintendent had
leading up to becoming
the superintendent were
the most beneficial?
Why?
6. What prior experiences did
your superintendent have that
made him/her most favorable
to hire?
10. What strategies or
skills should a superinten-
dent use to be successful in
his/her role?
Relational
Supports
3. Who were the most
important professional rela-
tionships that your superin-
tendent had that helped
him/her to prepare for the
position?
3a. How were they
important?
7. Did your superintendent
strategically use professional
relationships (mentoring/
networking) to attain his/her
current position? If so, how?
11. What professional
relationships support your
superintendent’s retention?
11a. What strategies do
you value the most
when interacting with
your superintendent?
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 117

Career
Planning
4. What proactive steps did
your superintendent take to
get to his/her position?
8. Did your superintendent
present an “Entry Plan” when
being recruited position?
8a. If so, how do you believe
that helped your superin-
tendent to be recruited?
8.1. How important is it for a
prospective superintendent to
have an entry plan when
being recruited?
12. Does your superinten-
dent utilize a formal, writ-
ten strategic plan outside
of the LCAP?
12a. If so, how does it
differ from the LCAP?
12b. If so, how does it
enhance retention?

13. What factors motivate
your superintendent’s
ongoing retention in the
position?

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 118
APPENDIX F
EXECUTIVE SEARCH FIRM INTERVIEW GUIDE

Preparation Recruitment Retention
Research
Questions
How have training programs
and experience prepared
superintendents to manage the
complexities and challenges of
the superintendency?
What are the perceptions of
current successful superin-
tendents and school boards
regarding the strategies used
to help the current superinten-
dent to attain his or her posi-
tion?
What are the perceived
strategies that support
the retention of superin-
tendents?
Themes
Interview Questions
Training
Programs
1. What type of training was
attended by superintendent(s)
whom you recommended
that prepared him/her for the
superintendency?
1a. Where did he/she receive
the most effective training?
Why?
5. Some superintendents have
not utilized training programs
because they believed that the
best training was on the job.
What is your opinion about
that?
9. How does ongoing
training support the
retention of superinten-
dents whom you have
recommended?
9a. What types of train-
ing support a superin-
tendent’s retention?
9b. What strategies has
your superintendent
acquired that support
his/her retention?
Experience
2. Describe your superinten-
dent’s career path to the
superintendency.
2a. Which professional expe-
riences that your superin-
tendent had leading up to
becoming the superinten-
dent were the most benefi-
cial? Why?
6. What prior experiences did
the superintendents whom you
recommended have that made
them most favorable to hire?
10. What strategies or
skills should a superin-
tendent use to be suc-
cessful in his/her role?
Relational
Supports
3. Who are important pro-
fessional relational supports
that prepare a prospective
superintendent for the posi-
tion?
3a. How are they important?
7. Did superintendents whom
you recommended strate-
gically use professional rela-
tionships (mentoring/ net-
working) to attain their current
position? If so, how?
11. What professional
relationships support a
superintendent’s reten-
tion?
11a. What strategies
should a superinten-
dent use when inter-
acting with the board?
DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 119

Career
Planning
4. What proactive steps did a
superintendent whom you
placed take to get to the
superintendency prior to
coming to you?
8. Do superintendents whom
you recommend present an
“Entry Plan” when being
recruited into the position?
8a. If so, how does that help
the superintendent to be
recruited?
8.1. How important is it for
a prospective superinten-
dent to have an entry plan
when being recruited?
12. Do superintendents
whom you placed utilize a
formal, written strategic
plan outside of the LCAP?
12a. If so, how does it dif-
fer from the LCAP?
12b. If so, how does it
enhance retention?

13. What factors motivate
your superintendent’s
ongoing retention in the
position?

DETERMINING SUPERINTENDENT SUCCESS AND LONGEVITY 120
APPENDIX G
QUESTION ALIGNMENT MATRIX
Instrument
RQ1
How have training pro-
grams and experience
prepared superinten-
dents to manage the
complexities and chal-
lenges of the superin-
tendency?
RQ2
What are the percep-
tions of current suc-
cessful superintendents
regarding the strategies
used to help the current
superintendent to attain
his or her position?
RQ3
What are the perceived
strategies that support
the retention of super-
intendents?
Superintendent
Survey
1–13 14–25 26–39
Superintendent
Interview Guide
1–4 5–8 9–13
School Board
Member Survey
1–13 14–25 26–39
School Board
Member Inter-
view Guide
1–4 5–8 9–13
Executive
Search Firm
Survey
1–13 14–25 26–39
Executive
Search Firm
Interview Guide
1–4 5–8 9–13

Abstract (if available)

Abstract This study examined perceptions held by current successful superintendents regarding their preparation, recruitment, and retention in the role. Three research questions guided the study: ❧ 1. How have training programs and experience prepared superintendents to manage the complexities and challenges of the superintendency? ❧ 2. What are the perceptions of current successful superintendents and school boards regarding the strategies that used to help the current superintendent to attain his or her current position? ❧ 3. What are the perceived strategies that support the retention of superintendents? ❧ A qualitative approach was used for data collection and analysis. Data were triangulated via a survey and interviews of superintendents, school board members, and an executive search firm consultant. ❧ Nine themes emerged regarding how superintendents perceived their preparation for the position: (a) Participants viewed mentoring as critical to preparation for the superintendent role, (b) on-the-job training was valued more than university training programs, (c) networking coupled with prior experience was the most valued manner to prepare for the duties and challenges of the superintendent role, (d) aspiring superintendents with a proven record of success in their prior position are recruited, (e) aspiring superintendents are recruited when perceived to be a match for a district, (f) prior experience is considered to be of interest to a district in filling the position, (g) good board relations contribute to retention, (h) leadership skills displayed by a superintendent are noted and favored, and (i) a superintendent who communicates with all stakeholders is likely to be successful in retaining the position. ❧ The findings indicated important implications for practice: Mentoring is essential to a pipeline for aspiring superintendents and networks serve to prepare and retain superintendents because they serve as a structure for differentiating professional development.

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Asset Metadata

Creator Salazar, Lucy Alejandra (author)

Core Title Perception of the preparation, recruitment, and retention of California school district superintendents

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 03/09/2018

Defense Date 03/01/2018

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

Tag mentoring superintendent,OAI-PMH Harvest,superintendent pipeline,superintendent preparation,superintendent retention

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Escalante, Michael F. (committee chair), Green, Alan (committee member), Hinman, Charles (committee member)

Creator Email lasalaza@usc.edu,mirasala@msn.com

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c40-482913

Unique identifier UC11268076

Identifier etd-SalazarLuc-6094.pdf (filename),usctheses-c40-482913 (legacy record id)

Legacy Identifier etd-SalazarLuc-6094.pdf

Dmrecord 482913

Document Type Dissertation

Rights Salazar, Lucy Alejandra

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...

Repository Name University of Southern California Digital Library

Repository Location USC Digital Library, University of Southern California, University Park Campus MC 2810, 3434 South Grand Avenue, 2nd Floor, Los Angeles, California 90089-2810, USA