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Superintendents increase student achievement by selecting effective principals

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Superintendents increase student achievement by selecting effective principals

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SUPERINTENDENTS INCREASE STUDENT ACHIEVEMENT BY SELECTING
EFFECTIVE PRINCIPALS

by

Sona Arakelyan

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

August 2012

Copyright 2012 Sona Arakelyan

ii
DEDICATION
I would like to dedicate this dissertation to my beautiful, kind, caring, and highly
educated parents, Karine and Ashot. My amazing parents have always motivated and
encouraged me to go above and beyond, always had high expectations of me, always
pushed me to work hard all my life, served as exemplary role models, and supported me
in this as well as in every endeavor I have taken in my life. They came to United States
leaving everything and everyone they loved for us to have a bright future. As an
immigrant, I want to thank them for the sacrifices they made so that I can accomplish the
“American Dream” and have unlimited opportunities for success. From the bottom of my
heart, I’m thankful to my brother, Kahren, my rock, my support, and my inspiration who
was with me every step of this journey. I could have not done this without him. I also
would like to dedicate this to my beautiful daughter, Katherine, who understood what it
meant not to bother me when I was working and patiently waited until I was done. My
heartfelt gratitude and love to my wonderful and devoted husband, Armen, and my son,
Anthony, who had to make many adjustments to support me in my challenging journey
and gave me strength when I felt weak. I am also grateful to my sister in law, Anahit,
who like a sister encouraged and supported me through this challenging endeavor.
Last but not least, I would like to thank three amazing ladies who kept me positive
and motivated throughout this journey. My gratitude goes to Narineh, Paula, and Anet
Their support and motivation raised my spirits and gave me reassurance. This dissertation
is dedicated to those important people in my life who believed in me, who cared for me,
and who supported me every step of the way.

iii
ACKNOWLEDGMENTS
My heartfelt gratitude goes to Dr. Pedro Garcia, for his guidance and support
throughout this journey encouraging me, giving me strength, and supporting me every
step of the way. I am thankful to Dr. Garcia from the bottom of my heart for being an
incredible mentor, an amazing professor, and simply a kind, caring, and supportive
human being. I am blessed and honored to have the opportunity to be taught by him, to be
led by him, and to be guided by him, as he is one of the most incredible people I have
ever met.
My sincere gratitude goes to Dr. Michael Escalante who saw something special in
me and accepted me into his GUSD family, who believed in me, who inspired me, who
cared for me, who encouraged me to start this journey and stayed with me every step of
the way offering me his care, love, and support. I would have never applied to USC at the
time when I did if Dr. Escalante didn’t walk up to me and asked, “So when are you going
to start?” The fact that he believed in me and though that I could be part of this
prestigious program meant the world to me. I submitted my paperwork the next day
inspired and motivated by Dr. Escalante. I am forever grateful to him for all his support
as a Superintendent who hired me and as my mentor who has changed my life. Last but
not least, I would like to thank whole heartedly a great man, an incredible individual, Dr.
Rudy Castruita without whom our team would not be complete. I am honored that he
accepted to be in my committee and forever grateful for his guidance, mentorship, and
support. I thank each and one of these three extraordinary men who made this journey
possible and surrounded me with nothing but guidance, care, motivation, and support.

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TABLE OF CONTENTS

DEDICATION ii

ACKNOWLEDGMENTS iii

LIST OF TABLES vi

ABSTRACT vii

CHAPTER 1: OVERVIEW OF STUDY 1
Statement of the Problem 8
Purpose of the Study 10
Significance of the Study 10
Summary of Methodology 11
Assumptions 12
Limitations 12
Delimitations 13
Definition of Terms 13

CHAPTER 2: SELECTING AN EFFECTIVE PRINCIPAL 15
Principal - an Instructional Leader 18
Evaluation of Principal’s Instructional Leadership 26
Conclusion 33

CHAPTER 3: METHODOLOGY 34
Purpose of the Study 34
Research Design 36
Population and Sample 37
Demographic Data 39
Instruments 39
Procedures 39
Data Collection 40
Data Analysis 40
Ethical Consideration 41
Summary 41

CHAPTER 4: ANALYSIS OF DATA 43
Analysis of Qualitative Data: Interview Results 44
Analysis of Quantitative Data: Survey Results 66
Findings for Research Questions 1 and 2: Quantitative Data 72
Major Findings of the Study 76

v

CHAPTER 5: CONCLUSIONS AND IMPLICATIONS
OF THE FINDINGS 79

REFERENCES

APPENDICES 92
APPENDIX A: SUPERINTENDENT ANONYMOUS 97
SURVEY PROTOCOL
APPENDIX B: SUPERINTENDENT INTERVIEW 100
QUESTIONS
APPENDIX C: INVITATION TO PARTICIPATE LETTER 101

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LIST OF TABLES

Table 1: Demographic Data (n=17) 67

Table 2: Student Enrollment: Total and Percent of the Participating 67
Superintendents

Table 3: District API Total and Percent of the Participating 68
Superintendents

Table 4: Descriptive Statistics of the Measured Variables (n=17) 69

Table 5: Ranking of Instruction Responses 70

Table 6: Ranking of Human Resources Responses 71

Table 7: Ranking of Management Responses 72

vii
ABSTRACT
The role of an urban superintendent is essential to the function of an effective educational
environment and student achievement. Successful superintendents instill trust in
principals, teachers, parents, staff and students. Without trust it is impossible to convince
people to do things your way, to solicit them to work together towards building a strong
organization that will support the vision of the district and ensure academic success. One
of important role of a superintendent is to furnish each school with an effective principal
who will have the necessary leadership skills to lead the school towards improving
student achievement. An effective superintendent has a diversity of skills and the
acquisition of those skills can occur in a variety of settings. A prospective principal will
have to go through an extensive selection as well as an interview process, and ultimately
the superintendent will make the decision as to who should lead a particular school.
There are specific leadership qualities and skills that are crucial to obtain in order for one
to be an effective principal. The superintendent's role is extremely complex and is
directly connected to accountability for student achievement. Moreover, superintendents
can have a positive impact on student learning, through the selection, support and
evaluation of principals as instructional leaders. The problem is that many
superintendents are so overwhelmed with various issues that they don't establish the
dominance of the principal's instructional leadership role when it comes to student
achievement. They don't consistently define what it means for principals to be
instructional leaders and to lead schools to achievement. This study will answer the
following questions: What is the superintendent's perspective on effective principal's

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instructional leadership? What is the superintendent's role in ensuring that an effective
principal is selected? What evaluation instruments are used by the superintendent
evaluate principal's instructional leadership?

1

CHAPTER 1
OVERVIEW OF THE STUDY
National Center for Education Statistics (NCES) reports that many states are lowering the
difficulty of their content-based standards for the purpose of identifying more students at
the proficiency level. Although this report does not include California, other practices
may ultimately influence the inequality of the distribution of the services available to
ALL students, regarding their performance level.

Many schools concentrate on those students who are close to meeting proficiency levels.
Thus the available budget is often spent on students - intervention: after school tutoring,
Saturday school, etc., to bring them up to the required levels. Although NCLB - is
designed to serve every child, many school districts are too concerned about satisfying
the legislature by making the required numbers for significant groups (disadvantaged,
Hispanic, African American, English Learners, students with disabilities, etc.). Hence,
the act becomes not about individual students, but it turns statistical, leaving many to fall
through the cracks. With lowering the bar of difficulty, states will get a step closer to
fulfilling the partial requirements of NCLB, that is, the assuring that all children perform
at or above grade level proficiency.

NCLB’s purpose is raising the proficiency levels and graduation rates as well as closing
the achievement gap between all students by 1) affording them access to the highest

2
quality education possible, and 2)help them attain proficiency in all academic subject
areas, the focus being on reading and mathematics. Distributing resources sufficiently to
schools where needs are greater is the priority for budgeting, The theory is that the
schools with greater needs shall get sufficient resources, so that they do not fall even
further behind, whereas those schools in better shape will not be as far from the goal as
the schools with greater needs. The assumption is that once every school and target group
have moved to closer together academically, it would then be easier to raise their
performance levels to reach proficiency level at the minimum. With the No Child Left
Behind (NCLB) Act, superintendents now more than ever have more accountability in
student achievement and in bridging the gap.

The increased demand for student achievement and closing the achievement gap puts
more pressure on superintendents when it comes to selecting an effective principal who
will ultimately raise student achievement. Superintendants are not only expected to
implement the school board's policies, balance the budgets, and manage resources, but
they are also expected to provide a vision, be instructional leaders, as well improve
student achievement. The modern superintendent will not be a superintendent of schools
whose job is to oversee and manage–he or she will be a superintendent of learning who
will have to navigate an uncertain terrain with skill and finesse (Vanderhaar et al., 2006).
The role of the urban superintendent is critical to the effective educational environment
of the organization. The superintendent plays a significant role in the achievement of
students.

3
One potential problem is that as the complexity of the job has increased, so have fears of
a dwindling pool of qualified leaders. Bruce Cooper and colleagues (2000) found that
almost 90 percent of the superintendents they surveyed agreed that "the applicant
shortage represents a crisis in the superintendence." The Institute of Educational
Leadership has portrayed the urban superintendence as a merry-go-round with an average
tenure of less than three years (Task Force on School District Leadership 2001).
Superintendents must fashion a solution out of three sometimes-conflicting roles:
instructional, managerial, and political. As instructional leaders, they bear ultimate
responsibility for improving student achievement. As managerial leaders, they have to
keep their districts operating efficiently, with a minimum of friction, yet taking risks to
make necessary changes. As political leaders, they have to negotiate with multiple
stakeholders to get approval for programs and resources. Current conditions that prevail
in schools – increased accountability for academic achievement, increased parent and
community participation, and increased media attention – have created visible and
escalating challenges for superintendents.

Today’s ideal superintendent is expected to be a transformational leader, an individual
guiding and leading others to rebuild organizational cultures and climates collaboratively.
A successful superintendent is an instructional leader. He or she knows that the most
important job of the school district is to make sure students are learning and achieving at
high levels. The superintendant is knowledgeable of the best practices for maximizing
student achievement and is supportive of teachers in the district. Superintendents are

4
expected to develop a widely shared vision and to lead the instructional capacity of the
district (Kowalski, 2003). Recent educational research documents just how critical
effective administrative leadership is in school improvement and increased student
achievement (Darling-Hammond, LaPointe, Meyerson, Orr, & Cohen, 2007).

Effective superintendents have direct influence and affect on shaping district’s
instructional program (Farkas, Foley, & Duffet, 2001) found that more than one half of
superintendents listed the most daunting task faced in the job is that of increasing student
achievement. Additionally, 41% of school boards identified raising student achievement
as a primary mission. Effective superintendents with their managerial influence are
recognized as vital to the success of a district’s improvement efforts to raise student
achievement (Forsyth, 2004). Managerial influence includes thoughtful staff selection
and recruitment (Hoyle et al., 2005). Superintendents are responsible for leading the
instructional capacity of the entire school district (Hoyle, Bjork, Collier, & Glass, 2005).
An integral part of superintendent’s effectively leading the district to success and
exercising the managerial role is selecting and hiring an effective principal therefore
directly impacting student achievement. NCLB’s accountability forces superintendents
to focus their attention on strategically improving student achievement.

Recruitment for school leadership roles is becoming very important. The desire to lead
and stay in a superintendent’s position is not being a position of choice; instead, it has
become a position of challenge to administrators. The hiring practices of superintendents

5
appear to be influenced by the overwhelming predominance on research of effective
schools and the need for the most effective principal. Superintendents are considered
under a great pressure to select the most qualified candidate. Choosing a qualified
principal will ultimately enhance student achievement. If principals are truly a key to
improvement and growth of student achievement then superintendent’s assessment and
selection of the most effective candidate is of extreme importance.

It is ultimately the superintendent deciding who the principal should be and what
leadership qualities he or she should possess. Superintendent’s expectations hold the key
to selection and hiring of principals. Therefore, a superintendent’s decision when hiring a
principal has become more and more essential for the success of the school (Zellner,
Jinkins, Gideon, Daughty, & McNamara, 2002). Principals have always been an integral
part of effective school and a key to increased student achievement; however, now with
NCLB standards, they are becoming even more essential in meeting the standards.
Instructional leadership, specifically classroom evaluation and the ability to motivate
teachers to improve their instruction is a valued quality when selecting principals.

According to Marzano et al. (2005) effective principals continuously monitor the impact
of school programs on student learning, and use this information to inform future
practice. They are results oriented, and realize that translating high expectations to
academic achievement will benefit their students with greater opportunities in the future
(McEwan, 2003). The recruitment and hiring of knowledgeable principals will contribute

6
to increased student achievement. The leadership provided by a principal directly affects
the climate and culture of a school, which in turn affect student achievement
(Sergiovanni, 2001).

Using the Superintendent Understanding of Principals' Educational Responsibilities
(SUPER) survey instrument, 119 principals rated their superintendents on leadership
practices as defined by theorists, Kouzes and Posner (2008), developers of the Five
Practices of Exemplary Leadership. Participating principals also responded to items in
the survey that sought to determine their level of job satisfaction, efficacy, and career
longevity. The findings from this study demonstrated that superintendent leadership is an
important factor in the job satisfaction and efficacy of their principals. Using Kouzes and
Posner's (2008) model of the Five Practices of Exemplary Leadership, superintendents
can develop their leadership practices as a way to increase the satisfaction and
effectiveness of their principals. Superintendents who take steps to improve their
leadership may help alleviate pressure on principals and increase the likelihood of getting
and retaining good principals in the future. Research evidence shows that students’
academic achievement is closely related to how effective the school’s principal is.
Therefore, superintendent’s selection of a qualified principal will have its positive effects
on increasing student achievement.

John Chubb and Terry Moe, using longitudinal data from the High School and Beyond
study, found that strong school leadership has a strong, independent effect on

7
achievement gains. With passage of NCLB in 2002, it has become widely acknowledged
both that an effective principal is critical to raising achievement and reducing gaps, and
that minority and poor students are more likely to have less-qualified leaders than are
other students. In School Leadership that Works: from Research to Results, Marzano et
al. (2005) outlines 21 specific principal responsibilities that effective principals must
satisfy to ensure optimum levels of student achievement. Marzano et al. (2005) arrived at
the 21 responsibilities (focus, affirmation, knowledge of curriculum, instruction and
assessment, etc.) after conducting a meta-analysis of 69 studies that examined the
relationship between principal effectiveness and student achievement.

While Marzano et al. (2005) cautions against averaging the 21 responsibilities into one
correlation, it is important to realize that taken individually all responsibilities, if
successfully exercised by an effective principal, will demonstrate a positive effect on
student achievement (Marzano et al., 2005) Unfortunately, high-minority and low
performing schools lack strong leadership that can ensure that all students are meeting the
standards. Schools that make a difference in students’ learning are led by principals who
make a significant contribution to the effectiveness of staff and in the learning of pupils
in their charge (Ribbins & Burridge, 1994). Principals’ instructional leadership behaviors
are viewed as a major predictor of school effectiveness (Murphy, 1992). According to
Leithwood and Riehl, (2003), principal leadership has a significant effect on student
achievement especially in schools with high numbers of minority and poor students.
Fullan (2002) states, “Only principals who are equipped to handle a complex, rapidly

8
changing environments can implement the reforms that lead to sustained improvement in
student achievement (p. 16).

The principal is the primary school leader designated by the superintendent to lead school
improvement initiatives designed to improve the learning of all students. Superintendents
have an incredibly important as well as a challenging role in selecting the best principal
fit to lead an urban school. In the field of education, choosing an effective school
principal is one of the most significant decisions that a superintendent - can make, as new
leadership can propel a district forward in meeting its goals (Elmore & Burney, 2000).
According to a nationally representative survey, superintendents report that hiring new
schools principals is highly challenging (Farkas, Johnson, Duffet, & Folero, 2001). This
research aims to identify the superintendent’s role in selection and hiring of effective
principals, as well as to identify the instruments used by superintends to evaluate
principal’s instructional leadership.
Statement of the Problem
The United States has substantial inequities in achievement across the country, and
international surveys show that the performance gap between the most- and least-
proficient students in the United States is among the highest of all Organization for
Economic Development (OECD) countries (Kirsch et al., 2007). New research by the
Center on Education Policy (CEP) finds that while student performance has risen overall
on state exams, the test score gaps between student groups remain large and will take
many years to close at current rates—even in the states making the most progress. It

9
found that while student performance is on the rise nationwide, the gaps by race,
ethnicity, and income remain large. In accordance with the No Child Left Behind (2002)
federal legislation, school principals are held accountable for the performance of their
students on state-wide assessments. Therefore, it is imperative for principals to determine
and implement leadership practices that enhance learning opportunities and ensure
continuous academic growth for their students (Schmoker, 2001).

Principal accountability, such as principals’ ability to take responsibility for student
achievement, is often an indicator of the quality of a particular school’s educational
practices in general (Vanderhaar et al., 2006). Because principals are educational leaders
among their teachers, an effective principal can shape the outcomes of a school’s
performance on test scores by supporting creative and effective teaching (Firestone et al.,
2001). Therefore, urban superintendents have an incredible and crucially important task
of selecting and hiring highly qualified principals who will drive schools to success and
student achievement. However, current research is yet to explore how urban
superintendents identify the principal’s effective leadership and successfully select the
most competent and effective leader to move the schools. This paper seeks to answer this
critical question: What is the superintendent’s role in selecting an effective principal who
will have the instructional leadership to raise student achievement?

10
Purpose of the Study
The purpose of this study is to examine the role of superintendents in selecting effective
principals to lead raise student achievement. This study includes the current context of
federal, state, and public accountability in the analysis of urban school principal
selection. This study identifies the researched-based instructional leadership
characteristics of successful urban school principals, examines how superintendents
identify and select candidates who possess those characteristics as well as how they
evaluate principal’s efficacy. This study is guided by the following research questions:
1. What is the superintendent's role in ensuring that an effective principal
is selected?
2. What is the superintendent's perspective on effective principal's
instructional leadership?
3. What evaluation instruments are used by superintendents to evaluate
principal's instructional leadership?
Significance of the Study
This study adds to the body of existing literature regarding how superintendents select the
most qualified principals to share their vision and to move schools to success. The study
identifies the leadership skills, experience, knowledge, and professional qualifications
that a principal needs to have in order for him or her to close the achievement gap and
raise student achievement. By providing new research based data and various
perspectives on instructional leadership, this study provides useful information for
superintendents, as well as aspiring and current principals.

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The findings in the study benefit superintendents to guide them not only with having a
clear understanding of what leadership skills effective principals must possess in order to
increase student achievement, but the findings will also assist superintendents in principal
selection and evaluation processes. The findings will review the evaluative processes,
techniques and practices utilized by superintendents to evaluate principal performance.
The evaluation of a principal is critical to ensuring that those charged with leading a
school, exhibit behaviors conducive to student learning and achievement (Davis &
Hensley, 1999).

This study is also significant for aspiring as well as current principals who want to be
successful and effective in an urban school. This study will thoroughly examine the
important role of a principal in affecting student achievement. It will assist aspiring and
current principals to determine and implement leadership practices that will enhance
learning opportunities and ensure increased student achievement. This study explored and
identified particular practices and instructional leadership skills that will positively affect
student achievement.
Summary of Methodology
To answer the research questions posed in this study, a mixed method approach was used.
Quantitative data were collected through survey questions. Qualitative data were
collected from interviews with superintendents.

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Assumptions
The study assumed the following:
1. Superintendents have a clear understanding of what leadership skills one must
possess in order to raise student achievement.
2. Superintendents play a vital role in selecting and hiring an effective principal
as well as evaluating his or her effectiveness.
3. The superintendents that were interviewed in this study provided accurate and
truthful responses to the survey questions.
4. Effective principals have the knowledge and skills to increase student
achievement.
5. The methods, tools, and procedures used in this study to collect and analyze
data are based upon prior research and are therefore valid.
Limitations
This study includes the following limitations:
1. The restriction of time and resources limited this study to survey 5-7
superintendents and to perform 1 case study.
2. The qualitative nature of the study lends itself to potential bias of
interpretation based on the analysis of the researcher.
3. The study was limited to voluntary superintendents.

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Delimitations
The delimitations of this study are:
1. The superintendents are all from urban school districts.
2. The superintendents interviewed in this study all had tenure in their school
district of at least 3 years.
3. The superintendents in this study have been successful at raising student
achievement in their districts during their tenure.
Definition of Terms
Below are definitions for terms used in this research.
Accountability: Educational leaders are held responsible for student achievement results
based on testing requirements mandated by federal and state laws.
Achievement: Achievement refers to students meeting performance expectations on
standardized tests. Usually there is some cut-off level where a student is considered
proficient or advanced on a set of academic standards.
Achievement Gap: The gap between the academic outcomes of different groups of
students. It is often used when comparing different racial subgroups, but it can be used to
compare any group of students to another group of students based on common
characteristics such as nationality, income levels, and race.
Assessments: use of standardized tests to measure student achievement.
AYP – AYP stands for Adequate Yearly Progress. Federal Legislation requires all schools
to increase the number of students who are found to be “proficient.” The AYP is simply
the percent of students who have been rated proficient in Language Arts and

14
Mathematics. Each school must meet minimum AYP requirements that increase
gradually until 2014 when 100% of students are to be proficient.
NCES - The National Center for Education Statistics (NCES) is the primary federal entity
for collecting and analyzing data related to education.
NCLB – The federal No Child Left Behind Act of 2001 (NCLB), a major reform of the
Elementary and Secondary Education Act (ESEA), was passed by Congress and signed
into law by the president on January 8, 2002. ESEA traditionally covered supplemental
aid for poor and disadvantaged children in K-12 education, but evolved over the years to
address other education reform priorities for all children.
Urban Superintendent: are superintendents that work in urban school districts with large
populations of minorities are poor students.

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CHAPTER 2
REVIEW OF RELATED LITERATURE
Introduction
In January of 2002, President Bush signed the No Child Left Behind (NCLB) act into
law. This law included accountability provisions requiring states to test all of their
students and sanctioning schools with low student performance on those tests. It also
required states to provide additional educational opportunities for students in the school
under sanction. The intent of the law has always been to promote equitable academic
achievement in public schools, but the method for achieving this goal has evolved over
time. Earlier versions of the law focused on using teaching methods, curricula and
textbook adoptions that would give needy children better access to skills.

Urban superintendents are charged with implementing the many elements of the law's
main provisions. NCLB presents urban superintendents and other local school leaders
with both a rare opportunity and a unique challenge. NCLB offers urban superintendents
a significant challenge since this law views school and district success through student
achievement. Urban superintendents are challenged by the mandate of the law’s powerful
insistence on consequences for lack of progress (Cohn, 2005). The opportunity for
superintendents comes from the law's powerful focus on individual student performance
as the measure of school and district success (Novak & Fuller, 2003). According to the
2003 Public Agenda Report, urban district superintendents stated that NCLB’s provisions
for standards-based curriculum, highly qualified teachers, annual standardized testing,

16
and disaggregating student achievement by race and students’ socio economic status are
all positive features that will ultimately assist superintendents in closing achievement
gaps and raising student achievement (Casserly, 2004).
Selecting an Effective Principal
To fully implement the No Child Left Behind Act, superintendents delegate strong and
effective principals whose leadership skills subsequently strengthen schools and improve
student achievement (Quinn, 2005). Principals must be highly qualified and ensure that
teachers are providing students with rigorous, standards based instruction, and are
moving all students to perform at optimal levels (Cohn, 2005). According to the National
Association of School Boards of Education (NASBE) Study Group on School
Leadership, effective principal leadership is extremely important when it comes to raising
student achievement (ERS, 2001). Studies show that principals play a crucial role in
improving teaching and learning; effective principals serve as leaders for student
learning. They know academic content and pedagogical techniques (Bolman, 2003).

According to Elmore, a principal is an instructional leader whose focus is to enhance the
knowledge and the skills of people in the organization, to strengthen the organization,
and to hold individuals accountable for their contribution to the collective results
(Elmore, 2000). Accountable leadership focuses on the development of internal
accountability and stresses the importance of individual and collective agency (Elmore,
2005). The No Child Left Behind Act demands that district, school administrators, and
educators be held accountable for student achievement at a district, school, and classroom

17
level. Practices of a school leader have direct influence on all aspects of the learning
community and subsequently on student achievement. Specifics of leadership include
behavior and practices related to five domains: Vision, Mission, Culture, Curriculum and
Classroom Instruction. Promoting student learning and increasing student achievement is
a priority for urban superintendents therefore a key determent when selecting a principal
who will perform as an instructional leader, set high standards for teaching, and
ultimately raise student achievement (Sebring & Bryk, 2000).

Studies have shown that the determinant of excellence in public schooling is the
leadership of the individual school principal, and that effective schools are supported and
led by an effective principal (Action for Excellence, 1983). The superintendent’s
selection of principals has a great impact on how quickly and effectively a positive
change will occur at school sites when it comes to increasing student achievement. As a
leader of a district, a superintendent can have a strong influence on a principal by
recognizing the role of a principal as an extension of the superintendent (McPherson &
Crowson, 1993). Therefore, selecting appropriate candidates for a position of an urban
principal is an extremely important task for an urban superintendent. Effective principals
are considered key factors in initiating, implementing, sustaining success in schools
(Tucker & Codding, 2002). The critical role of school principals as instructional leaders
is often highlighted in research and policy. As instructional leaders, principals are
expected to attend to school culture and other organizational variables believed to

18
influence instruction in classroom and consequently student achievement (Leithwood &
Duke, 1999).
Principal – an Instructional Leader
As an “agent of change” and an extension of superintendent’s vision, a principal is a
leader who transforms ideas into action, foresees the achievement of a goal, makes a
difference, influences others, and allows teachers to develop their own leadership
qualities. According to Yukl, leadership is the process of influencing others to understand
and to agree about what needs to be done effectively, and the process facilitating
individual and collective efforts to accomplish shared objectives (Yukl, 2006). He
describes leadership in terms of effectiveness. A leader is interested in goal attainment
and the motivation of people. An excellent school administrator will lead with a goal and
clear vision yet with sensitivity to the attitude of followers. Understanding school’s
culture is very crucial for a successful and an effective leader. Leaders understand a
school’s climate, see the possibilities, involve the community, and facilitate the process
of transforming the school into the shared vision. When a leader leaves the school, the
vision continues (Schwartz, 2002). Theodore Roosevelt said, “A leader holds his
position purely because he is able to appeal to the conscience and to the reason of those
who support him, and the boss holds his position because he appeals to fear of
punishment and hope of reward. The leader works in the open, and the boss in the covert.
The leader leads, and the boss drives” (Roosevelt, 1910).

19
Superintendents and principals are demonstrating instructional leadership when they
devote time and energy to improving the quality of teaching and learning. The goal of an
effective principal is to ensure implementation of District standards at building level by
aligning curriculum with content standards through teacher observations and/or through
participating in and/or leading curriculum development activities (Barton, 2002).
Regularly using the results of the student assessment data to identify specific student
needs, to emphasize student achievement, systematically assess and monitor student
progress using objective and verifiable information will be some of the priorities of a
principal. As an instructional leader, the principal personally evaluates student work and
participates in collaborative scoring sessions in which the percentage agreement by the
faculty is measured and posted. The principal reviews faculty-created assessments as part
of each teacher evaluation and coaching meeting (Marzano, 2005).

Instructional leaders have a commitment to the academic success of all students,
especially those that are struggling to learn (Blackman, Collins, & Fenwick, 2000). The
principal’s instructional leadership role has also been described by scholars as a critical
element in determining the overall effectiveness of a school (Hallinger, 2003). It has
been found to be a significant factor in facilitating, improving, and promoting the
academic progress of students (Heck, Larsen, & Marcoulides, 1990). Effective principals,
and often superintendents, spend considerable time in the classroom not only observing
but also participating in teaching students. Instructional leaders are not there to

20
undermine the traditional role of the teacher; rather they are there to provide teachers
with support and guidance (Anderson, 2007).

Superintendents select instructional leaders who hold high expectations of students and
teachers, emphasize instruction, possess a provision of professional development, use
data to evaluate students' progress among others, and initiate structure (Hallinger, 2003).
An analysis of data concerning superintendents' leadership style supports the findings of
effective leaders being high performers in the effective leadership dimensions of
initiating structures, embracing school culture, and bringing a positive change (Kohan,
1989). Superintendents are individuals who have a clear vision for their district and a
clear plan for the future of the schools (Mahoney, 1990). Since superintendents are
guided by their vision and are willing to take risks in pursuit of raising student
achievement, consequently they seek principals who will share their vision at the same
time create their own vision and plan to move their school to increased student
achievement (Morris, 1990). The importance of principals having a vision also appears in
the literature concerning instructional leadership (Elmore, 2000). The school
administrators' values and beliefs shape her or his vision. Vision influences the school
climate which includes teachers' instructional behaviors as well as student outcomes
(Casslerly, 2004).

Effective school principals strongly believe in meeting the instructional needs of all their
students, they value students’ learning, and motivate teachers. A successful leader has an

21
unequivocally supportive culture. Leadership is symbolic in terms of it is embedded and
is alive in every member in the organization, those who contribute to the success of the
organization as a whole. Superintendents select principals who can move the organization
toward the shared vision and goals, despite the setbacks and distractions (Cooper &
Lioiu, 2007). According to Schein (1985), the most important task for principals is to
help shape an effective culture in which teachers will effectively move students to
success.

Embracing school culture helps to define shared beliefs, vision, practices, values, and
creating a productive environment for student achievement (Cunningham, 2008).
Superintendents recognize that an effective principal is someone who is willing to be a
change agent, as well as to create and sustain initiatives that would address student
achievement. Change agents are described as “leaders who are willing to take
risks…effective leadership involves the extent to which staff feel empowered to make
decisions and feel free to experiment and take risks” (Marzano, 2005). The school
principal is a key element in leading the process of creating the shared vision for the
school. A principal is an educational leader who promotes the success of all students by
facilitating the development, articulation, and implementation of a new vision of learning
that is shared and supported by the school community (Elmore, 2000).

In order to create a shared vision, it is necessary for leaders to communicate their vision
of the organization to every member of the community. In this way, those members that

22
agree to the vision and fully inherit it as their own can gain an authentic dedication to an
organization. Inadvertently, the vision becomes a desirable goal that everyone works
towards (Senge, 1990). For example, in a school community, a shared vision helps
school members to focus on student achievement and development. Shared meanings
play in conjunction with a shared vision. Shared meaning is defined as the emergent
understandings that are created by group members as they interact with each other
(Schein, 2004). The more positively shared a vision is, the more positive the shared
meanings that develop from it. In order to have an authentic shared meaning, shared
vision must be in place. Finally, authentic vision and meanings of an organization must
be executed and shared amongst the members of the group to have an effective and high
performing institution.

A cultural factor that is not really talked about but is important to the success of an
organization is trustworthiness. Trust is defined as “a positive expectation that another
will not – through words, actions, or decisions – act opportunistically” (Robbins, 2005).
In order to create a trust in a school environment, there are five things that school leaders
should do: (a) be a visible role model; (b) communicate ethical expectations; (c) provide
ethical training; (d) visibly reward ethical acts and punish unethical ones; and (e) provide
protective mechanisms (Marzano, 2005). These criteria are pertinent in creating the
desired ethical culture. Unfortunately, in our school, teacher and administrative
leadership is still in a developmental process, and much work needs to be done to bring
administration and teachers together and subsequently make teachers feel more

23
empowered to lead. “In building and maintaining ethical environments, achieving
compliance is only half the battle; integrity must be an equal partner” (Eliason, 1999).
Michael J. Eliason (1999) believes the internal assessors/auditors of an organization
should be fully aware that the collective value system creates the fundamental control in
the organization, and their involvement in building an ethical environment is essential. In
a school environment, the community members should have similar mental models
amongst them. When there is a lack of trust, it is often quite apparent that the
administration’s mental model of how the school should be run is different from the
teachers’ mental model (Senge, 1990).

Climate is acquired as one of the key determinants of organizational structure and culture.
It is defined as “the feeling that is conveyed in a group by the physical layout and the way
in which members of the organization interact with each other, with customers, or other
outsiders” (Schein, 2004, p. 13). The climate within an academic community can be
divided into two elements: (a) school climate, and (b) classroom climate (Sprott, 2004).
School climate is divided into two categories: organizational management and
administration. The focus on school climate helps to see the overall structure and the
needs of school organization. The following questions focus on school climate in
creating and improving an effective and high performing school organization: (a) how
staff and teachers work as a team; (b) how much everyone is involved in decision-
making; (c) how much staff and teachers knew of their expectations and responsibilities;
and (d) how much influence teachers has on allocating resources (Sprott, 2004).

24
Measuring these focus areas can assess the level of effective school environment. The
higher levels of involvements that teachers and staff have, the more an effective and high
performing learning environment is created (Roach, 2004; Sprott, 2004).

Developing and maintaining the change challenges the principal’s ability to determine
how well what is happening matches reasonable expectations at a given stage of
implementation. In addition, when faced with problems, an effective principal finds
multiple solutions that solve the problem yet preserve the spirit of the vision. He or she
finds it important to study the nature of vision and recognize the stages of its
development (Peterson, 1995). The importance of vision is stressed in effective
organizations and effective schools. Principals, as instructional leaders, have a personal
vision and initiate positive change focusing on instructional and curricular goals which
ultimately become the framework for everything the school does (Goleman, 1995).
Effective principals create conditions to help them realize their vision; this often means
repairing the school, instituting better discipline, hiring new teacher, and handling diverse
managerial and instructional challenges (Bolman & Deal, 2003).

Superintendents view an effective principal as someone who is an educational visionary,
an instructional and curriculum leader, an assessment expert, a public relations expert, a
budget analyst, and someone who is prepared to move students to success (Yukl, 2006).
Principals play a vital role in setting the direction for successful schools. As the impact of
leadership on student achievement becomes more evident, more pressure and

25
accountability is placed on superintendents and consequently on school principals. A
superintendent recognizes that a principal plays a significant role in affecting student
achievement and should be held accountable for it (Jaquiss, 1999). Reviews of research
suggest that successful school leaders influence student achievement in several important
ways, both through their influence on other people or features of their organizations, and
through their influence on school processes (Mantel, 2005). Research has converged on
the importance of three aspects of the principal’s job: developing a deep understanding of
how to support teachers, managing the curriculum in ways that promote student learning,
and developing the ability to transform schools into more effective organizations that
foster powerful teaching and learning for all students (Roach, 2004). Leithwood,
Seashore-Louis, Anderson, and Wahlstrom (2004) outline three sets of core leadership
practices: developing people, setting directions for the organization, and redesigning the
organization.

Superintendents select principals who are skilled in enabling teachers and other staff to
do their jobs effectively, in offering intellectual support and stimulation to improve the
work, and in providing models of practice and support. Developing shared goals,
monitoring organizational performance, and promoting effective communication are
skills that effective principals possess (Leithwood, Seashore-Louis, Anderson, &
Wahlstrom, 2004). In 1979, the Effective Schools Movement investigated schools whose
students from disadvantaged situations (minority status, low socio-economic levels) were
performing at average or above average levels in basic skills on standardized

26
achievement tests. Based on contrastive studies of high and low performing schools,
researchers began to identify common factors or characteristics of these effective schools.
One of the major findings of the effective schools research was the identification of
instructional leadership as a significant aspect of effective schools (Brossard & Harrigan,
1983). A successful principal is engaged in instructional activities that focus on
facilitating student learning, building a professional learning community among faculty
and other staff, fostering teacher professional development, providing instructional
feedback to teachers, working with teachers to improve teaching practices and resolve
challenges facing the school, using data to monitor school progress and propose solutions
(Marzano, 2005). As an instructional resource, the principal actively supports day to day
instructional activities and programs by modeling desired behaviors, participating in
service training, and consistently giving priority to instructional concerns (Marzano,
2005).
Evaluation of Principal’s Instructional Leadership
Consequently, systematic and careful evaluation of principal qualifications, competence,
and performance is critically important to the success of schools. Systematic evaluation is
needed throughout the careers of principals to examine whether (a) the applicant has the
aptitude needed to succeed in a sound principal education program, (b) the graduate of a
principal education program has developed sufficient competence to be certified for
service as a principal, (c) the certified principal has the special qualifications necessary to
succeed in a particular principalship, (d) the employed principal is fulfilling job
performance requirements as well as can be expected, and (e) the principal has exhibited

27
highly meritorious service that deserves special recognition and reinforcement (Schmitt
& Schechtman, 1990).

Growing pressure to increase student achievement, particularly the passage of No Child
Left Behind, has generated new thinking about the role of principal evaluation in
increasing individual and organizational performance. In some states, superintendents
evaluate the principal’s performance based on specific criteria and goals set at the
beginning of the year. For example, the Tennessee State Board of Education has adopted
a straight-forward and standardized approach to performance evaluation (Tennessee State
Board of Education, 1991). Under the Tennessee approach the superintendent evaluates
the principal's performance based upon a performance contract and a portfolio of
achievements prepared by the principal. The results are then used to prepare the
principal's annual professional development plan. According to this standardized
approach, the principal's performance is to be examined in five general areas: (a) student
academic learning and social development, (b) learning environment in the school, (c)
faculty and staff development and involvement, (d) parent and community involvement
and satisfaction, and (e) financial and program management (Stine, 2001). These
assessment areas assure some standardization across principals in assessing performance
of important core school administration responsibilities. This approach emphasizes the
use of evaluation findings in developing professional development plans. Fundamental
requirements of fair and valid performance evaluations are to develop valid job
descriptions, keep them up-to-date, and use them as a basis for evaluating job

28
performance (Joint Committee, 1988). The Joint Committee on Standards for Educational
Evaluation is a Stands Developer Organization (SDO) which has also published three sets
of standards for evaluating school leaders. To evaluate a principal effectively and
accurately, superintendents use standards to guide the professional practice, to hold the
principal accountable, and provide goals for professional growth. Superintendents have
access to a carefully developed, regularly monitored, and periodically updated set of
standards for judging principal evaluation systems, plans, and reports (Joint Committee,
2008). The Joint Committee has defined Personnel Evaluation Standards as "the
systematic assessment of a person's performance and/or qualifications in relation to a
professional role and some specified and defensible institutional purpose" (Joint
Committee, 1988). The Personnel Evaluation Standards is an assessment tool for
evaluating principals’ effectiveness, their implemented procedures, and instruments, as
well as providing direction for improving the systems that universities, state education
departments, and school districts use to evaluate school principals (Crowson & Morris,
1990). These standards provide direction for assuring that principal evaluations will be
ethical and legal in their examination of an individual's aptitudes, competencies,
performance, and special achievements; useful for decision making and obtaining
direction for improvement; feasible for use within reasonable practical constraints; and
accurate in the information they provide (Stine, 2001).

In recent years, educators and policymakers have agreed that principals are critical to
school success and have repeatedly pointed out the need to aggressively recruit and select

29
highly qualified candidates (Hart, 1993). A 1998 study conducted by The National
Association of Elementary School Principals found that 76 percent of respondents
reported being evaluated at least once a year, 13 percent every two or three years, and 10
percent rarely or never. The evaluations were most often carried out by central office
personnel, although some reported an involvement of parents, teachers, and principals
themselves (Lashway, 2003). Discussions of typical principal evaluation practices have
often been highly critical (Reeves, 2003). However, growing pressure to increase student
achievement, particularly the passage of No Child Left Behind, has generated new
thinking about the role of principal and the evaluation of principal’s effectiveness
(Rothstein, 2004).

National Association of Elementary School Principals (NAESP) has derived its standards
from what principals themselves see as their proper role and focus. According to NAESP
standards, a principal should: lead schools in a way that places student and adult learning
at the center, set high expectations for the performance of all students and adults, demand
content and instruction that ensure student achievement of agreed upon academic
standards, create a culture of continuous learning for adults tied to student learning and
other school goals, use multiple sources of data as diagnostic tools to assess, identify and
apply instructional improvement, and actively engage the community to create shared
responsibility for student and school success (Lashway, 2003).

30
In 2001, a sampling of seventeen California districts found three types of evaluations in
use. Checklists rated principals on a variety of behaviors or traits, ranging from time
management to loyalty (Lashway, 2003). These different formats were often combined
resulting in a wide variety of procedures. Free form evaluations consisted of a narrative.
Evaluation by objectives measured principal performance against a set of predetermined
goals (Stine, 2001). Evaluations often combined different formats, resulting in a wide
variety of procedures. A nationwide survey by Reeves found that principals agreed that
their evaluations were generally positive (89 percent), accurate (79 percent), and
consistent with job expectations (76 percent). However, fewer (around 60 percent) found
the evaluation process had improved their performance or motivation, and only 47
percent said their evaluations were specific enough to know what behaviors should be
changed (Lashway, 2003). Reeves points out that in many evaluation instruments the
standards are unclear or nonspecific ("demonstrates effective organizational skills").
Reeves also stated that many evaluation instruments treat leadership skills as "binary"
traits that either exist or do not exist. A binary approach, according to Reeves, offers little
useful feedback to a principal who is clearly proficient in a skill but still has room to
improve (Reeves, 2005). One of Reeves' respondents wrote, "Generally I have felt rather
empty when no suggestions were given to me for improvement. Whenever evaluations
are all positive and no suggestions for improvement, it leaves no motivation for growth
and improvement" (Lashway, 2003).

31
Evaluating principals is an incredibly complex and difficult task for superintendents
because principal’s work is not specific to one task and is exceedingly contextual
(Ginsberg & Thompson, 1993). An evaluation process has been developed by the Center
for School Leadership Development at the University of North Carolina. The process
begins with a self-assessment aligned with state and national standards for school leaders.
The assessment requires principals not just to rate themselves but to provide evidence to
explain why they gave themselves the specific rating. A rubric provides concrete
descriptions of performance at three different levels: "exemplary performance,"
"adequate performance," and "performance needs improvement"(SLD, 2009). The
principal and supervisor have periodic conferences to monitor and discuss progress,
followed by a summative conference. This evaluation process is much similar to teacher
evaluation; however, it is the principal who is being evaluated by the superintendent.

Traditionally, principals have been evaluated on everything from organizational skills to
personal character, using checklists with not much specification or depth. Increasingly,
however, policymakers and practitioners have turned to comprehensive national
standards, such as those from the Interstate School Leadership Licensure Consortium
(ISLLC) (Lashway, 2003). The ISLLC standards reflect a broad professional consensus
on essential leadership skills. Thomas Glass (2003) found that the criteria used by
superintendents when hiring secondary principals were not completely consistent with the
ISLLC standards, suggesting a possible "disconnect" between the standards and "the real
world of selecting, hiring and evaluating secondary principals."

32
Interestingly, the ISLLC standards as well as other developed standards for evaluating
principals tend to focus more on principal behavior and skills and not so much on other
aspects of leadership such as increasing test scores, increasing parental involvement,
decreasing truancy rates (Blackman, Collins, & Fenwick, 2003). Many districts seek to
upgrade principal evaluation and devote considerable time to finding a suitable
assessment that would accurately measure principal’s effectiveness (Zehr, 2002).
Though there are many leadership assessments available, only few are specifically
designed for school principals and could directly measure job performance (Lashway,
2003). The limitation of the checklist approach, combined with the difficulty of
developing and validating more formal instruments, has led many districts to experiment
with portfolios instead of evaluating using the traditional checklists or rubrics. Depending
on the goal, relevant evidence might include items such as parent newsletters, meeting
minutes, records of dropout rates, test scores, and handbooks (Blackman, Collins, and
Fenwick, 2003). Portfolios do not align principal evaluation with the need to improve
student achievement. They can, however, provide an evidence-oriented process that urges
principals to think more deeply about the impact they have on student performance
(Lashway, 2003). Because of the complexity of the principal’s role, the main difficulty in
the field of school principal leadership assessment is identifying the leadership
dimensions that should be assessed (Glasman & Heck, 1992).

33
Conclusion
In 2000, the results from an Educational Research Service (ERS) report concluded that
the context of the principal’s job has changed dramatically in the last 20 years, changing
the emphasis from managerial functions to wide continuum of responsibilities focused
primarily on student achievement. Administration and management are similar in that
they both deal with planning, organizing, leading, and controlling a staff and team.
Administrators and managers make many decisions and both are involved in the daily
operations of their organizations. However, leadership is the exercise of high-level
conceptual skills and decisiveness. It is envisioning mission, developing strategy,
inspiring people, and changing culture (Evans, 1996). An essential difference in 21
st

century schools is that 21
st
century principals are now ensuring systemic change rather
than simply managing. Leaders of educational change have a clear picture of what they
want to accomplish and what changes they want to create in order to increase student
achievement (Mazzarella & Grundy, 1989). Their vision of their school or district
provides purpose, meaning, and significance to the work of the school and enables them
to motivate and empower the staff to contribute to the realization of the vision (Elmore,
2005). An effective principal is the one who can create school conditions to make a
positive impact and raise student achievement.

34
CHAPTER 3
METHODOLOGY
This chapter describes the purpose and design of the study, identifies the sample used to
conduct the research, explains and clarifies the instrument and the procedure used to
conduct the research, to collect the data, and to analyze the data
Purpose of the Study
The purpose of this study is to examine the role of urban superintendents in selecting
effective secondary principals under the recent demands of federal and state
accountability acts. This mixed method study was conducted to identify the skills and the
qualifications necessary to be an effective instructional leader. What makes a secondary
principal effective, and how can superintendents ensure that instructional leaders, whom
they have selected for school sites, do indeed possess the critical attributes and
knowledge required to move students to achievement? Educational stakeholders, as well
as NCLB accountability, demand that students be prepared to succeed in today’s global
economy. The shift towards learning competition in the public education system has
significantly changed the role of secondary principals who must focus upon being
instructional leaders. These principals must now incorporate reform initiatives to improve
current development at their school site, teacher pedagogy and training, as well as
implement effective leadership strategies in order to raise their API and AYP scores.
Research by Dufour et al. (2002) and Marzano et al. (2005) has focused on the leadership
qualities of secondary principals to drive reform and student achievement.

35
This study aims to identify the leadership skills that urban superintendents are looking for
when selecting principals for school sites. Secondary principals need skills and
knowledge around state and federal mandates related to curriculum rigor, assessment
data, and teaching pedagogy. Since the reauthorization of NCLB, superintendent
accountability has increased given the mandates that the district and the schools have to
define Adequate Yearly Progress based on their student achievement data. This study
identifies the researched-based instructional leadership characteristics of successful urban
school principals, examines how superintendents identify and select candidates who
possess those characteristics as well as how they evaluate principal’s efficacy.

The purpose of this study is to answer the following research questions:
1. What is the superintendent's role in ensuring that an effective principal
is selected?
2. What is the superintendent's perspective on effective principal's
instructional leadership?
3. What evaluation instruments are used by superintendents to evaluate
principal's instructional leadership?

In order to answer the questions above, a mixed-method study was used that consisted of
both a quantitative and a qualitative component to provide findings based on
comprehensive analysis. The quantitative part of this study included a 20-question
anonymous survey completed by 17 superintendents in Southern and Northern California.

36
The qualitative part of this research was completed through face to face interview
sessions with five superintendents where each participant had to answer three questions
around hiring standards, skills, placement, and evaluation criteria. The responses
provided the data which were analyzed to identify the selection criteria for secondary
principals as well the qualities required for successful fulfillment of the job of secondary
principals.
Research Design
This study was designed as a mixed method study and was conducted with
superintendents who have been considered to be successful according to NCLB
accountability measures. The study involved a collection of qualitative data from open
ended interviews with superintendents as well as quantitative data survey sent to
superintendents.

The quantitative portion of this study was conducted through a 20-question survey where
each of the questions is indicated to a research addressing those leadership skills. The
selected superintendents are identified as effective through the increased percent shown
by their AYP scores. The participants were urban superintendents in Southern and
Northern California unified school districts. Surveys allow the investigator to collect data
from a larger number of people than is generally possible. Bolman and Deal (2005)
provide background for Four Frames of Leadership. Each of the questions addresses
those specific leadership skills including Bolman and Deal’s leadership theories.

37
The qualitative portion of this research was completed through face to face interviews;
each was approximately 40 minutes in duration to allow superintendents the opportunity
to share their perspectives on effective leadership skills, current practices in the selection
of qualified principals in their districts, as well as their evaluation process. Interview
responses provided important data for this case study. According to Patton, interviews
allow the investigator to see other person’s perspective and to find out what is truly on
someone else’s mind. The data from these interviews were analyzed to find correlation
with what urban superintendents consider effective leadership traits amongst principals.
The research also included data to reflect background information on the demographics
of the school and the superintendents’ years on the job.
Population and Sample
The population of this study was California was urban superintendents from highly
effective districts. Purposeful sampling of participants was used for the quantitative
portion which was based on an anonymous survey that was sent to 17 superintendents in
Northern and Southern California. The participants were pre selected group (all
superintendents) because random sampling could not ensure that all the superintendents
would be from high performing districts and that they would be in their leadership
positions for at least three years. Patton (2002) has confirmed “random probability
samples do not accomplish what in-depth, purposeful samples accomplish, and vice
versa” (p. 236).

38
The selected superintendents had accomplished an increased academic achievement in
student outcomes during their tenure, as shown by the released the Accountability
Progress Report from California Department of Education for all school districts and
schools in California. This report includes results on two different accountability
measures – the Academic Performance Index (API), which is the state’s measure of
growth; and Adequate Yearly Progress, (AYP), which is the federal measure of students’
proficiency under No Child Left Behind.

The 20-question survey requested superintendents to provide information on their
background and their district. Superintendents, who were selected for the survey,
represented urban districts that have met the California state’s target API of 800 which is
a score indicating that the schools in the district had reached a high level of proficiency in
student performance. The state API performance target for all schools is 800. A school’s
growth is measured by how well it is moving toward (or past) that goal. All participants
have been in public education for over 10 years and were serving as superintendents in
their current districts.

The qualitative research included five superintendents from urban districts that have met
the California state’s target API of 800. The superintendents have been in their current
district and represented districts with more than 7,000 students. The interview protocol
included three questions with corresponding four sub-questions which were open ended

39
questions; therefore, they allowed time and opportunity for a more detailed discussion on
the hiring as well as evaluation process and criteria.
Demographic Data
Demographic data, including gender, ethnicity, years of experience, and district API were
collected. In the survey protocol, superintendents reported the demographic data.
However, data such as API and AYP was also collected from California Department of
Education published reports.
Instruments
A mixed method research included 20-question survey for superintendents and an
interview questionnaire with three open ended questions. The data from 20 questions was
analyzed and scored under a 5-point Likert Scale. The 20 survey questions related to four
categories under principal leadership and were based on research identifying the
importance of each question in relation to principal leadership at school sites.

The second instrument used for this research was the interview questionnaire which was
part of the face to face interview process. The data was analyzed for skills and
qualifications that urban superintendents require and expect of secondary principals to be
successful and effective in moving students to academic achievement.
Procedures
The investigator mailed a Request to Participate Letter to 17 selected urban
superintendents in Northern and Southern California asking them to participate in a
survey. Along with the letter, the investigator included a 20-question survey. The face to

40
face personal interviews were conducted with 5 urban superintendents who met the preset
criteria around student performance and principal reform initiatives. These
superintendents were selected based on the size of their district as well as based on their
district’s API having met state’s target of 800. A phone call was made to the office of
each superintendent as well as an email was sent asking them to participate in an
interview process. An email also contained the questions for the interview. An
appointment was made with each superintendent at their place of work. The responses
were audio taped with prior approval. Each interview was transcribed and excerpts were
used in the qualitative study to validate their statements.
Data Collection
By August 2011, a packet was mailed to all identified urban superintendents in Northern
and Southern California with the following documents:
1. The Request to Participate Letter
2. 20-question survey for superintendents
3. A self-addressed stamped envelope to return the completed surveys.
Data Analysis
Descriptive statistics and analysis of variance was used in the quantitative part of the
study. The data was collected using the Statistical Package for the Social Sciences (SPSS)
and was coded, scored, and analyzed. The qualitative analysis consisted of face to face
interviews based on three open ended questions. The analysis included:

41
1. Descriptive statistics were provided around superintendents’ responses
for all subscales based on gender, years in education, tenure, district
size, and district API.
2. Each question was examined for its internal consistency reliability.
3. The interview questions addressed similar questions to the questions
asked in the survey analyzing for trends and common responses.
Ethical Considerations
Several ethical considerations were made for the course of this study. All University of
Southern California Institutional Review Board (IRB) guidelines and procedures were
strictly followed. Confidentiality of all of the participants in the study was kept. Consent
was obtained from all participants prior to conducting any individual, face to face
interviews. All participants agreed to take part in the study and were informed of the
purpose of the study. The anonymity of all participants as well as the confidentiality of
their responses was honored.
Summary
This chapter presents the quantitative and qualitative analysis based on surveys as well as
personal interviews of urban superintendents in order to answer the following questions:
1. What is the superintendent's role in ensuring that an effective principal
is selected?
2. What is the superintendent's perspective on effective principal's
instructional leadership?

42
3. What evaluation instruments are used by superintendents to evaluate
principal's instructional leadership?
The purpose of this mixed method study was to reveal the leadership skills identified as
effective and important by urban superintendents when selecting secondary principals for
schools as well as to reveal the evaluation instruments used by superintendents to
evaluate the instructional leadership.

43
CHAPTER 4
ANALYSIS OF DATA
In an effort to answer the predominant research question Do urban superintendents
increase student achievement by selecting effective principals, this chapter presents
multiple types of data including: quantitative outcomes with the ranking of the responses,
analysis of variance (ANOVA), as well as qualitative analysis of personal interviews of
urban superintendents. Instructional leadership means that superintendents set goals to
support student achievement and engage principals and teachers in thinking about ways
to individually and collectively refine practices to improve student learning (Wallace
Foundation, 2006). The most essential and instrumental educational leaders remain the
principal and superintendent; therefore, their leadership is indistinguishably linked to
student performance.

This chapter presents the findings from a mixed-method study that included both
qualitative and quantitative responses from 22 urban superintendents in California. The
quantitative part of this study included a 20-question anonymous survey completed by 17
superintendents in Southern and Northern California. The qualitative part of this research
was completed through face to face interview sessions with five superintendents where
each participant had to answer three questions around hiring standards, skills, placement,
and evaluation criteria. The data was analyzed and compared to find commonalities or
differences with an ultimate goal of answering the following research questions:

44
1. What is the superintendent's role in ensuring that an effective principal is selected?
2. What is the superintendent's perspective on effective principal's instructional
leadership?
3. What evaluation instruments are used by superintendents to evaluate principal's
instructional leadership?
Analysis of Qualitative Data: Interview Results
The qualitative data was gathered from one-on-one interviews conducted with
superintendents from five urban districts in California and was analyzed in order to
compare the similarities or differences in responses around the identified key issues of
principal leadership. The superintendents were carefully selected under these two
criteria: 1) Experienced superintendent in either Union High School District or Unified
School District in California; and 2) Successful in increasing academic achievement in
student outcomes during their tenure in the current district or in the previous district as
identified through API scores. The qualitative responses provided detailed input from
the superintendents, revealed the leadership skills identified as effective and important
by urban superintendents when selecting secondary principals for schools, and the
evaluation instruments used by superintendents to evaluate the instructional leadership.

The questions allowed superintendents the opportunity to share their perspectives on
effective leadership skills, current practices in the selection of qualified principals in their
districts, as well as their evaluation process. Interview responses provided important data

45
for this case study. The data from these interviews were analyzed to find correlation with
what urban superintendents consider effective leadership traits amongst principals.
Research Question 1: What is the superintendent's role in ensuring that an
effective principal is selected?
The above research question allowed superintendents to thoroughly explain their
perspectives related to the skills necessary to be a leader of a school, their views on
principals being an “agent of change,” and superintendent role in the hiring process.
Superintendents were given the opportunity to reflect on their personal experiences as
well as to emphasize which qualities and skills they valued the most when selecting and
hiring principals. The superintendent’s selection of principals has a great impact on how
quickly and effectively a positive change will occur at school sites when it comes to
increasing student achievement.

The superintendents interviewed agreed with a statement that as a leader of a district, a
superintendent can have a strong influence on a principal by recognizing the role of a
principal as an extension of the superintendent (McPherson & Crowson, 1993).
Therefore, selecting appropriate candidates for a position of an urban principal is an
extremely important task for an urban superintendent. One superintendent stated that
when it came down to selecting an effective principal, he was looking not only for a
candidate with knowledge and skills but also for someone who shared the district’s vision
and was simply a “good match” for the district:
I do think the most important thing I do as a superintendent is to hire
principals. I’ve been hiring principals in this district for 7 years. I’ve hired

46
two people that I fired. I hired the wrong people. You strive to look at
these characteristics of an effective principal and make sure that you are
hiring the people who not only have those characteristics but who are also
the match for your district and can share your vision.

The superintendents expressed that they view themselves as educational leaders of their
community; therefore, selecting the appropriate candidate for a school is crucial as their
selection is a direct reflection of their own expectations and focus on instructional
quality. As an “agent of change” and an extension of superintendent’s vision, a principal
is a leader who transforms ideas into action, foresees the achievement of a goal, makes a
difference, influences others, and allows teachers to develop their own leadership
qualities. Superintendents who were interviewed confirmed the notion that they are
individuals with a clear vision for their district and a clear plan for the future of the
schools (Mahoney, 1990). Since superintendents are guided by their vision and are
willing to take risks in pursuit of raising student achievement, consequently they seek
principals who will share their vision at the same time create their own vision and plan to
move their school to increased student achievement (Morris, 1990). The superintendents
indicated that each district must ensure that schools have high-performing administrators
who are capable and are willing to provide pedagogical leadership, requiring efficacy of
the teachers and are held accountable for all their responsibilities.

Superintendents in this study identified that one of the most important components to the
success of an organization’s culture is shared vision. In order to create a shared vision, it
is necessary for leaders to communicate their vision of the organization to every member

47
of the community. In this way, those members that agree to the vision and fully inherit it
as their own can gain an authentic dedication to an organization. Inadvertently, the vision
becomes a desirable goal that everyone works towards (Senge, 1990). Reiterating these
ideas, one of the superintendents stated:
In a school community, a shared vision helps school members to focus on
student achievement and development. Shared meanings play in
conjunction with a shared vision. The more positively shared a vision is,
the more positive the shared meanings that develop from it. In order to
have an authentic shared meaning, shared vision must be in place. Finally,
authentic vision and meanings of an organization must be executed and
shared amongst the members of the group to have an effective and high
performing institution.

Shared vision is important to an organization because it helps to create and envision what
the organization should look like. All superintendents clearly stated that when selecting
an effective principal, they are looking for a candidate how is able to express how a clear
vision, which would also embrace the district’s vision, will be created and shared with all
stakeholder inside and outside of school.
Having a shared vision in an organization can be difficult because
community members may have their own personal visions that they want
to go by, never relaying their vision to other employees or colleagues.
Often times, when community members within an organization have
different visions, it results in further miscommunication and dysfunction
amongst members. The outcome of this leads to a disarrayed perception
of the vision of the organization.
What makes a school high performing and effective is its unique culture, organization
and leadership. All superintendents who were interviewed strongly believed that a
secondary school principal must have close relations with community partners, parents,
and other stakeholders and must be aware of the school’s role in society. School leaders

48
need to continuously assess, evaluate, and adjust to cultural factors to meet the needs of
the students. Every member of the school community plays an important role in
establishing and stabilizing the school organization. School leaders should develop and
encourage personal growth, dignity, and the life-long pursuit of learning for all students
and staff members. Thus, this can be accomplished by those in leadership positions
providing a unified culture. The school cultural factors include shared vision and
meaning, on-going learning, trustworthiness/integrity, communication, climate, and
group norms. One superintendent stated that when selecting a principal, he is looking for
someone who has the ability to create practices that create a culture of respect, unity,
trust, and a commonly shared vision:
While in the education business both management and leadership are
necessary components, leadership is not personified in one entity and it
does not have a fit size. While management is more reactive, and does
everything to take a group or an organization to a par and fixing rising
problems, leadership is more proactive and is concerned about how to
make changes to prevent future problems. To become a successful leader
one must have an unequivocally supportive culture. Leadership is
symbolic in terms of it is embedded and is alive in every member in the
organization, those who contribute to the success of the organization as a
whole. Leadership should be strong as one, so that it can move the
organization toward the shared vision and goals, despite the setbacks and
distractions.

A principal is an educational leader who promotes the success of all students by
collaborating with families and community members, responding to diverse community
interests and needs, and mobilizing community resources. Understanding school culture
as well as identifying those essential individuals whether on campus or in the community
by making them part of the school-wide decision making process is an important skill

49
valued by superintendents. All superintendents in this study emphasized that when
selecting a secondary principal, they are looking for a leader who has the ability and can
be successful in creating a culture of respect for everyone on campus and in the
community, therefore having every stakeholder engaged and prepared with sharing the
principal’s vision. One of the superintendents supported the above statement:
My first guiding principle when selecting an effective principal is finding
someone who has a strong sense of dedication, honesty, integrity, pride,
perseverance, collaboration, team work, mutual trust, and respect. I think
that those are qualities for school principals since school principals are the
ones who are held to a higher standards than any others in the system. The
job is building relationships in every interaction that they have. Whether it
is with parents, teachers, students, or classified staff, principals are going
to build a relationship and understanding, as well as getting to know them
as a person.

Another superintendent concurred and added:

The principal is the key to the harmony and congruity of the campus.
Getting along with people, fostering relationships, the harmony of the
school is the skill every principal needs to have in order to move the
school and have everyone on board with a vision and a common goal.
Besides having knowledge in the core areas of education, the principal must possess
certain skills to carry out the tasks of an instructional leader. These skills are;
interpersonal skills, planning skills, instructional observation skills, skills in research and
evaluation. Interpersonal or people skills are essential for the success of being a principal.
These are skills that maintain trust, spur motivation, give empowerment and enhance
collegiality. Relationships are built on trust and tasks are accomplished through
motivation and empowerment wherein teachers are involved in planning, designing and
evaluating instructional programs.
All superintendents in this study agreed that a secondary principal, as an educational
leader, demonstrates his/her personality when attempting to build relationships with
people and subsequently build a team of people who will support the leader in to the

50
direction of the common goals, missions. A school leader affects a school’s culture by
promoting a “common” culture with a shared vision. This common culture can be
achieved through the collaboration of the entire school community. With the
identification of these “shared values” it then becomes possible to collaboratively
develop the schools mission, beliefs, and vision with the involvement of all stakeholder
groups. An effective administrator/leader should keep in mind that the school culture
must be respected and given a great consideration. People change organizations
(Robbins, 2005). Leadership is the ability to lead a group of people towards a common
goal. The goal may be mutually desired, or imposed upon the group by the leader.
Superintendents indicated that leadership is a skill that captivates others and makes the
group believe in the leader. A true leader inspires others in the group and instills a belief.
Leadership is the ability to direct people towards achieving the goal, and stimulating
others to participate in the process of the achievement of the goal. Superintendents were
adamant in their belief that an effective principal is one who is successful in engaging the
community as well as all stakeholders on campus around his or her vision and goal. As
one stated:
I need a principal who can make a difference, can enhance, can bring
people together, can connect with parents, can understand the culture of
the campus, and who can involve all stakeholders in the school’s decision
making process and his shared vision. Having the emotional and social
skill of bringing people to harmony are extremely important. It is the
busiest, most complex job; you must have every man’s skills, know
something about everything, know to get people have faith in you and
share your vision.

Superintendents’ responses reflect the current research that prioritizes the understanding
of school culture and making relationships with stakeholders. Superintendents expressed
that they are looking for a principal who is able and is eager to transform ideas into
action, foresee the achievement of a goal, make a difference, influencing others, and
allow teachers to develop their own leadership qualities. Leadership is the process of

51
influencing others to understand and to agree about what needs to be done effectively,
and the process facilitating individual and collective efforts to accomplish shared
objectives (Yukl, 2006). Leaders understand a school’s climate, see the possibilities,
involve the community, and facilitate the process of transforming the school into the
shared vision. When a leader leaves the school, the vision must continue.

Conclusion for Research Question 1: In the responses on how superintendents ensure that
an effective principal is selected, superintendents confirmed that they want a leader who
has the knowledge and the ability to share the superintendent’s vision at the same time
create his or her own vision and plan to move the school to increased student
achievement. Candidate’s ability to understand the goals and the vision of the district and
to be a good match for the district played a significant role for superintendents when it
came to selecting an effective principal. From the interviews it is evident that
superintendents were seeking for a principal who has the skills and the desire to build
relations with the community inside and outside of school, to engage all stakeholders, to
communicate and implement of the shared vision so that the entire school community
understands and implements the vision of the principal and consequently the vision of the
district.
Research Question 2: What is the superintendent's perspective on effective
principal's instructional leadership?
The No Child Left Behind Act demands that district, school administrators, and educators
be held accountable for student achievement at a district, school, and classroom level.

52
Practices of a school leader have direct influence on all aspects of the learning
community and subsequently on student achievement. Contemporary research has
emphasized the importance of the principal as an instructional leader (Marzano, 2005).
Superintendents who were interviewed strongly believed that a successful principal is
more likely to regularly use a variety of instructional leadership practices.

All five superintendents stated that some of the most critical instructional practices, they
would like to see principals implement, include activities that focus on facilitating student
learning, building a professional learning community among faculty and other staff,
fostering teacher professional development, providing instructional feedback to teachers,
working with teachers to improve teaching practices and to resolve challenges facing the
school, using data to monitor school progress, identify problems, and propose solutions.
Superintendents agreed that as an instructional resource, the principal actively supports
day-to-day instructional activities and programs by modeling desired behaviors,
participating in service training, and consistently giving priority to instructional concerns
(Marzano, 2005).

The superintendents who were interviewed confirmed that instructional leadership is
definitely one of the integral skills that every secondary principal needs to possess in
order for him or her to be able to address issues of student achievement as well
achievement gap between subgroups. One of the superintendents stated that instructional
leaders need to know what is going on in the classroom; an opportunity “to walk the

53
factory floor.” He further explained that if principals are not in touch with what is going
on at the classroom level and if they are not able to appreciate some of the problems
teachers and students encounter, then they will have a difficult time leading students to
achievement. The tendency is to address instructional issues from the perspective when
they were teachers.

The superintendents indicated that principals need to work closely with teachers,
developing teaching techniques and methods as a means for understanding teacher
perspectives and for establishing a base on which to make curricular decisions. In the
responses from the superintendent interviews, it was clearly evident that the
superintendents felt strongly about selecting a principal who can understand standard
based instruction, curriculum design, elements of high quality teaching, teacher pedagogy
and instructional relevancy juxtaposed with knowledge, experience, and a clear vision for
moving students and the school to achievement. Instructional leadership is those actions
that a principal takes, or delegates to others, to promote growth in student learning (Flath,
1989). The instructional leader makes instructional quality the top priority of the school
and attempts to bring that vision to realisation. One of the superintendents emphasized
that principals must have the expertise and the prior experience when it comes to
instruction and high quality teaching:
Instructional leadership is the principal’s main role. If the principal knows
instruction and curriculum, if the principal knows data and what it takes to
close the achievement gap, then the school will move. The most important
person when it comes to student achievement is the teacher in the
classroom. The second most important person is the principal. The
principal has to be seen as the instructional leader and has to make

54
instruction his priority. Principal word comes from principal teacher. The
days of just being a manager are over.

The schools of the 21
st
century will require a new kind of principal, one whose role, as opposed to
being a manager, will be defined in terms of instructional leadership that focuses on strengthening
teaching and learning, professional development, data-driven decision making and accountability.
One of the superintendents emphasized that though instructional leadership and management
are interchangeably used, when selecting a principal, she looked for a leader who would
be more creative as to how to reach the goal. She indicated that leadership is the ability to
direct people towards achieving the goal, and stimulating others to participate in the
process of the achievement of the goal.
We used to, a long time ago, when I was a principal, look at principals as
managers. The staff will see through you if you are not a good
instructional leader, if you don’t know your stuff, and don’t know what
you’re talking about. As a principal, you must know how to get it done
and know the intricacies of professional learning community. You can
know everything and you can know it well, but if you don’t know how to
move the school, then you’re not effective. Management should be a
natural part of being a leader. The instructional leadership is the hard part.

Based on interviews from five superintendents, leadership skills with emphasis on
instructional leadership skills evident through knowledge of pedagogy and understanding
of content area were much valued and expressed as a requirement rather than leadership
skills which focused on management. Instructional leaders are capable of facilitating
positive movement not only in all academic areas, but also in building school culture,
relationships, finance, maintenance and data analysis that informs instruction.
Instructional Leaders are expected to inspire and motivate staff to perform at their
maximum level for all students. Effective principals communicate their expectations to

55
their teachers. One superintendent stated that many principals have two major goals in
this communication, changing attitudes and changing behaviors. Principals have the
ability to influence how teachers act and teach. The attitude and behavior of teachers
should be a direct reflection of the educational philosophy of each principal.

It was clearly articulated by one of the superintendents that the quality of instruction of a
school is greatly depended on principal’s knowledge of instruction and how he or she can
and promote instructional leadership through classroom observations and feedback to
teachers leading to meaningful professional development opportunities.
The belief that I have as a superintendent is that principalship is the most
pivotal and important job you can have in the district. The school district,
the success of the district, and the success of the students really hinge on
the skill set and the ability of the principal to be a leader of that school.
Now having done this work for 33 years, it’s just unequivocal that when
you look at a school, you think of the principal’s leadership.

Superintendents expressed that the quality of school’s instruction and the movement of
students to achievement is dependent on principal’s ability to understand pedagogy,
student engagement, and rigor as well as his or her ability to engage staff in instructional
conversations and trainings.
You need to be a good instructional leader in order for you to get your test
scores up. An effective principal must be able to know what strategies to
use, how to help teachers, and how to support them. An instructional
leader will know that an observation of a teacher is not just doing a check
sheet, but a lot of it has to do with the conversation and the data chats that
you would have with your teachers.

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Based on interviews from five superintendents, a successful principal is more likely to
regularly use a variety of instructional leadership practices. Such practices include
activities that focus on facilitating student learning, building a professional learning
community among faculty and other staff, fostering teacher professional development,
providing instructional feedback to teachers, working with teachers to improve teaching
practices and to resolve challenges facing the school, using data to monitor school
progress, identify problems, and propose solutions. As an instructional resource, the
principal actively supports day-to-day instructional activities and programs by modeling
desired behaviors, participating in service training, and consistently giving priority to
instructional concerns (Marzano, 2005).

All superintendents also emphasized that when selecting effective secondary principals,
they look for candidates who have the knowledge and the skill of analyzing data and
critically using the data to drive instruction as well as taking the necessary steps to
develop or change programs in order to move students to achievement. Superintendents’
responses reflect the current research that prioritizes the understanding and use of data in
order to make methodical changes that address achievement gaps and raise student
achievement. Superintendents strongly believed that data is what drives instruction and
that in the current era of accountability when principals are held accountable for closing
the achievement gap and raising test scores, it is extremely important to have a principal
who is capable of effectively dissecting and utilizing the results of data. One of the

57
superintendents confirmed that one must know data in order to create specific strategies
for growth and improvement:
The principal must design and implement strategies that will increase AYP
and API target goals. Providing clear guidance to teachers regarding data
compliance and analysis, holding teachers, students, parents, and herself
or himself accountable, leading collaborative process, and
formulating overall improvement and grade improvement plans based on
data computations are the key elements to lead any school towards the
desired improvement.

Regularly using the results of the student assessment data to identify specific student
needs, to emphasize student achievement, systematically assess and monitor student
progress using objective and verifiable information should be priorities of an effective
principal. Superintendents who were interviewed believed that as an effective school
leader, the principal personally evaluates student work and participates in collaborative
scoring sessions in which the percentage agreement by the faculty is measured and
posted. Superintendents were very consistent in their responses around selecting a
candidate who is able and is willing to personally review faculty-created assessments as
part of each teacher evaluation and coaching meeting (Marzano, 2005). One
superintendent confirmed this belief by stating:
I need a principal who is data driven and understands API and AYP. In
the world we leave in today, curriculum is much broader than standards
based instruction; it includes an array of things. It includes everything
from technology to support materials. Student learning and instructional
leadership will be the center of the skills.

All superintendents were obstinate about selecting a secondary principal who has the
ability to focus on analyzing the data through critical questions and ultimately to use the

58
data to drive the instruction and make the necessary changes in the programs and
curriculum. In order to determine academic strengths and weakness of a school a
principal must evaluate the school’s most recent API and AYP scores, as well as, the
scores from prior years in order to identify trends, strengths, and areas in need of
improvement. There is high expectation that the candidate is knowledgeable in the
accountability measures such as API and AYP as demonstrated through student
performance in California Standards Tests (CST). In addition, superintendents gave a
significant importance to area of prioritizing student achievement. Schools that have a
clear vision and clearly set high expectation for their students had high scores.
The principal is the person who provides the environment that allows
ordinary teachers to do extraordinary things in their classrooms. It’s a
powerful statement. Let’s say to close the achievement gap, one looks at
the data of the EL kids, or poverty kids, and you recognize that the gap
needs to be closed, if it takes extraordinary people to do it, then you won’t
find that many extraordinary people. What you need is a knowledgeable
principal who understands data and can pass that knowledge on to teachers
who will then move students to success.

It was important for superintendents to select a candidate who is able and is willing to
implement a coherent, standards-based instructional program. A uniform curricular and
instructional plan, supported by collaborative team is also an indicator of higher scores.
An effective principal is one who is using assessment data to improve student
achievement and instruction, carefully and prudently selected assessments for the purpose
of improving student achievement and instructional needs. Superintendents were
adamant in their belief that data is what drives programs and addresses the needs of the
school. Superintendent responses reflect the current research that prioritizes the

59
understanding and use of data to make systemic changes that address issues of student
achievement in the current era of accountability (Wallace, 1996).

All school decisions for academics are made based on the data collected from formal
testing and comparison with the characteristics of the student. NCLB calls for more
accountability that is driven by the data. Superintendents, who were interviewed,
emphasized the importance of a principal’s ability to closely analyze data, specifically
CST data of minority students to determine why the gap exists and what action steps
must be taken to close the gap. They also stated that an effective principal must provide
opportunities to teachers on high-yield instructional strategies allowing them to support
learners caught in the achievement gap.

Superintendents who were interviewed strongly believed that a secondary principal, who
is an instructional leader, must have profound knowledge of federal and state mandates as
regards to API, AYP, and CST to support accountability strategies under NCLB.
Superintendents clearly stated that principals, as the leaders of their instructional
organizations, train teachers, counselors, and all involved stakeholders to have data-
driven conferences with students and parents. Subsequently, superintendents responded
that they must ensure that schools have high-performing administrators who are capable
and are willing to provide pedagogical leadership, requiring efficacy of the teachers and
are held accountable for all their responsibilities.
I’m trying to find the best fit for that school and the district. The principal
I choose must have the skills, know what he is doing, and develop a plan

60
based on date to raise student achievement. The role involves setting clear
goals, allocating resources to instruction, managing the curriculum,
monitoring lesson plans, and evaluating teachers.

An ongoing professional development helps teachers to master new curricula and
teaching strategies, especially those effective in diverse classrooms, so that teachers will
be able to help students to improve their ability to meet standards and to challenge them
instructionally. Superintendents were very consistent in their responses when came to
selecting a principal who has the knowledge, the skills, and the urgency to critically
analyze data and involve teachers in making decisions based on data. According to
superintendents, teachers must be re-trained on decision making based on data collection
and analysis to help determine how their lessons should be differentiated and/or modified
in order to better meet the needs of students. Teachers must also be encouraged and held
accountable by principals for analyzing CST, benchmark, common formative as well as
formal and informal assessment data in their professional learning communities in order
to determine areas of strength and improvement for their students and to design
appropriate standards based lessons supporting student achievement. Professional
development on the use of formative assessments, analysis of data, the identified “best
practices” and research based strategies is necessary and must be provided by the
principal.

Superintendents expressed that the excellence of instruction of a school is dependent on
the quality of instruction that goes on in classrooms and on principal’s ability to engage

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staff in data driven decisions as well as to hold all stakeholders accountable for
implementing strategies created based on data. Principals who are instructional leaders
have the ability to improve general instructional practices such as data assessment and
classroom management or to promote collaboration within a school.
Conclusion for Research Question 2: Based on the interviews from five
superintendents, it is evident that superintendents were looking for a principal who has
leadership skills with prominence on instructional leadership demonstrated through
knowledge and understanding of pedagogy, of student learning and classroom
management, of federal and state mandates as regards to API, AYP, and CST, and an
ability to make instructional decisions based on data analysis. Principal candidates must
be able to observe elements of high quality teaching in classrooms, to train teachers in
improving the quality of teaching and learning. Superintendents emphasized the
importance of selecting a principal who has the ability to make data driven decisions
when it comes to curriculum, instruction, closing achievement gaps, and ultimately
moving students to academic achievement.
Research Question 3: What evaluation instruments are used by superintendents to
evaluate principal's instructional leadership?
The No Child Left Behind Act of 2002 has created pressure on school superintendents to
select principals who will be able to raise student achievement and will be held
accountable for their school's academic performance on standardized assessments. In
order to select and maintain effective school leadership, many states adopted standards
for licensed administrators based upon the Interstate School Leaders Licensure

62
Consortium (ISLLC, 1996). Superintendents’ responses reflect the current research
which states that despite the CPSEL standards adopted by ACSA and CTS, there are
many inconsistencies on how districts evaluate principals. The superintendents
interviewed stated that they use the NAESP as well as CPSEL standards as a guideline
for their evaluations of a principal; however, they also recognized that the criteria used by
superintendents when hiring and evaluating secondary principals were not completely
consistent with the ISLLC standards, suggesting a possible "disconnect" between the
standards and "the real world of selecting, hiring and evaluating secondary principals."

According to the NAESP standards, a principal should: lead schools in a way that places
student and adult learning at the center, set high expectations for the performance of all
students and adults, demand content and instruction that ensure student achievement of
agreed upon academic standards, create a culture of continuous learning for adults tied to
student learning and other school goals, use multiple sources of data as diagnostic tools to
assess, identify and apply instructional improvement, and actively engage the community
to create shared responsibility for student and school success (Lashway, 2003). Some
superintendents evaluate the principal’s performance based on specific criteria and goals
set at the beginning of the year. One superintendent responded by describing the process
her district goes through when evaluating a principal:
There is a formal part and an informal part to the evaluation process. We
have a process of goal setting every year that are based on the acts of
characteristics of successful leaders, and all of our goals and
administrative evaluations are aligned. It’s a collaborative process. We
meet, we establish goals for the principals, and then over the course of the

63
year we are collecting data and observing them around those goals. The
major evaluation we’ve been doing is a collaborative process.

Another superintendent shared a similar process of principal evaluation:

We gather all the principals together, and we ask the principals in a
meeting to pick one goal and then share with others how they have worked
on that goal, what progress they have been making, obstacles they ran
into, and what feedback they would like. Then the rest of us give them
feedback. I used that as a mean of evaluation. Then we meet them at the
end of the year and do a written summation. This year they will do a
summary reflection on how they feel they have done on meeting their
goals. That is the formal part. If a person is not making an adequate
progress on the goals, I will then intervene.

According to this standardized approach, the principal's performance is to be examined in
five general areas: (a) student academic learning and social development, (b) learning
environment in the school, (c) faculty and staff development and involvement, (d) parent
and community involvement and satisfaction, and (e) financial and program management
(Stine, 2001). Interestingly enough, there were inconsistencies in how superintendents
viewed principal’s performance and how they determined whether the principal was
effective or not. One superintendent indicated that there is a lack of ongoing edifices
when it comes to evaluating principals with a purpose of supporting them and assisting
them to move their schools to achievement.
We have done checklists, narratives, personal opinions, and etc. My
personal opinion is that the formal type of evaluation is a waste of time.
Evaluation as an instrument has never moved a school. It has never moved
the profession. I have read research, and I have never heard a
superintendent claim that it did; in reality, we do it because we have to.

Superintendents confirmed that they tend to focus more on principal’s behavior and skills
and not so much on other aspects of leadership such as increasing test scores, increasing

64
parental involvement, decreasing truancy rates. However, growing pressure to increase
student achievement, particularly the passage of No Child Left Behind, has generated
new thinking about the role of principal and the evaluation of principal’s effectiveness
(Rothstein, 2004).
When we evaluate principals, we evaluate them on using the district guide
in connection with the professional standards of school leaders. Our guide
has been adopted from the CA standards for school leaders and this is our
take on this since 2009. We meet with them four times a year. Our
principals have supervisors. The first time we meet is to go over their
objectives, their work plan, how they are going to improve this year, and
then the second time we meet is to go through the interim assessments.
We ask them about data and ask them how they felt about their data. The
supervisors visit them often throughout the year. We also meet with them
after the CST scores come out and get their analysis on the CST scores.
Finally, we give them our commendations and recommendations.

Another superintendent concurred and added:

We start meeting with them regularly, in a progressive way, having a
conversation on the weaknesses and providing them feedback. If they still
are not reacting to that feedback, we then start putting that in writing,
maybe put them on an improvement plan. The informal part is that I’m
with principals all the time; I know them, and I know their work. The data
that comes from that is whether or not they are being successful.

The superintendents interviewed stated that there are processes, informal and formal, in
place that address the professional standards for which principals are held accountable.
One superintendent described the process he is going through by using an example from
his personal experience as a superintendent.
When I became a superintendent, I rewrote my contract based on the
district’s strategic plan. If the plan is going to be the whole guidance of the
district, then that is how I need to be evaluated, based on that as well. The
strategic plan shows how well the district is doing. Therefore, I am going
to evaluate a principal based on the school’s strategic plan and the success
of its implementation. We have expectations of each of our administrators
to be instructional leaders. The safety and cleanliness of the school is

65
minimal. It has to do with PLC’s, instructional strategies, the compliance
expectations, interventions, and what your professional expectations are as
well.

In the responses from the superintendent interviews, it was clearly identified that all
superintendents’ accurate and meaningful evaluation of secondary principals has a great
impact on how quickly and effectively a positive change will occur at school sites and
how effective the recommendations of improvement will be on increasing student
achievement. As a leader of a district, a superintendent can have a strong influence on a
principal by recognizing the role of a principal as in instructional leader and, through the
evaluation process, addressing issues of student achievement, addressing the urgency of
closing the achievement gap, and consequently providing guiding and support to a
principal. One superintendent confirmed this belief by stating:
If you have a good principal, then your school will be good with your
support. How do you know they do well? It’s a combination of testing,
data, parent satisfaction, student satisfaction, teacher satisfaction, etc. The
principal is the CEO of his or her site, so the principal has to see what is
going on and address the problems and get the support from the district
office. The ones who get in trouble are the ones who are not aggressing
and getting changes done.

Although procedures in place as well as the tools and approaches to evaluate principals
tend to vary from one district to another, all superintendents who were interviewed
confirmed that they select instructional leaders who hold high expectations of students
and teachers, emphasize instruction, possess a provision of professional development, use
data to evaluate students' progress among others, and initiate structure. All

66
superintendents stated that the process of evaluating a principal is an extremely important
tool when it comes to increasing student achievement. The evaluation of a principal by a
superintendent clearly defines high expectations and prioritizes district goals emphasizing
principal's vital role in improving achievement for all students.
Conclusion for Research Question 3: Based on interviews of five superintendents,
it became evident that there is a growing pressure for superintendents to increase student
achievement. The passage of No Child Left Behind has generated new thinking about the
role of principal evaluation in increasing individual and organizational performance. All
superintendents indicated that they feel strongly about the value of principal evaluation
and emphasized that when evaluating a principal, their purpose is to ensure that every
school has a high quality leadership that is focused on building high quality teaching in
every classroom. Despite the inconsistencies on how districts evaluate principals and
what processes and tools they use for evaluation, all superintendents confirmed that they
give great importance to principal evaluation and that they are actively engaged in the
process of evaluation providing feedback as well as guidance to those who are being
evaluated.
Analysis of Quantitative Data: Survey Results
The survey questions were organized around the ISSLC/CPSEL standards focusing on
three subscales related to the instructional leadership of the principal, management style,
and human relations skills of the principal with all stakeholders involved in increasing
student achievement. Each question was examined for its reliability. The following pages
include the analysis of the survey data divided into 3 parts: Part I includes Tables 1-3 and

67
addresses information on Superintendent Background which includes demographic data,
size of the district, and the API of the district. Part II includes Tables 4-7 and addresses
the Analysis of Ranking of Three Subscales and descriptive Statistics of the Measured
Variables (n =17) to indicate how superintendent responses identified each of the skills
related to the Instructional Leadership skills, Human Relations Skills, and Management
skills, as a requirement for selection.

PART I: Superintendent Background Data
Table 1: Demographic Data (n=17)
Total Percent
District Unified School District
Union High School District
15
2
93.1

The demographic data of 17 anonymous superintendent surveys indicate that the majority
of superintendents (93%) represented k-12 districts.

Table 2: Student Enrollment Total and Percent of the Participating Superintendents

Total Percent
Student
Enrollment
Over 20,000
Over 15,000
Over 10,000
Over 5,000
5
4
5

3
29.4
23.5

29.4

17.6

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Based on the above data, 83 % of the participating superintendents represented districts
with over 10,000 students. These were all large urban school districts in Northern and
Southern California.

Table 3: District API Total and Percent of the Participating Superintendents
Total Percent
District API Over 900
Over 850
Over 800
8
5
4
47.1
29.4

23.5

The responses ranged from districts with APIs between 800 and 900 with
100% of these urban districts having met the State target API of 800, which indicates that
all superintendents who have participated in the survey are leaders of high performing
districts.

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PART II: Analysis of Ranking of Three Subscale Responses

The 20-item questionnaire addressed principal's skills related to Instructional Leadership,
Management, and Human Relations.

Table 4: Descriptive Statistics of the Measured Variables (n=17)
Minimum Maximum Mean SD
Selection Criteria

Instructional Leadership

Management Skills

Human Relations Skills
3.68
3.88
3.55
3.71
5.00
5.00
5.00
5.00
4.28
4.62
4.10

4.38
.35
.37

.28

.41

The responses in each of the subscales were rated on a Likert scale with 5 being the
highest. The Instructional subscale had the highest mean of 4.62, followed by the Human
Relations criteria which had a mean of 4.38, and the Management criteria with a mean of
4.30 indicating that the criteria related to instructional leadership is significantly more
important to the superintendents tan the criteria related to management skills.

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Table 5: Ranking of Instruction Responses
Items Mean SD
Knowledge of the STAR/CST and API/AYP criteria 4.82 .39
Proven performance of raising test scores in previous
administrative positions
4.82 .39
Ability to analyze test data to improve teacher and student
performance
4.88 .33
Commitment to identify diverse student needs and program
implementation
4.76 .43
Knowledge of the master schedule and introduction to new courses 3.24 .43
Knowledge of SLC and PLC and other research based strategies 4.82 .39
Ability to supervise curriculum and evaluate classroom instruction 3.41 .50
Ability to plan effective professional development 4.88 .33
Ability to engage in data driven decision making 4.88 .33
Understanding of the accountability system under NCLB 4.88 .33

The skills identified in this subscale have all been rated high as they relate directly to a
secondary Principal as the Instructional Leader of the school with the responsibility of
regularly using a variety of instructional leadership practices. The results of the
questionnaire clearly demonstrate that superintendents rank instructional leadership as
very important and expect principals to focus on facilitating student learning, building a
professional learning community among faculty and other staff, fostering teacher
professional development, providing instructional feedback to teachers, using data to
monitor school progress, identify problems, and propose solutions. The results of the
survey express superintendents’ beliefs that as an instructional resource, the principal

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actively supports day-to-day instructional activities and programs by modeling desired
behaviors, participating in service training, and consistently giving priority to
instructional concerns (Marzano 2005). Superintendents identified that principals are
required to understand the details of the API/ AYP scores for their school, understand
pedagogy and standard based instruction in order for them to move students to
achievement.

Table 6: Ranking of Human Resources Responses
Items Mean SD
Ability to listen to others 4.76 .43
Ability to effectively communicate 4.76 .43
Ability to tolerate high levels of stress without losing effectiveness 3.41 .50
Ability to work collaboratively with parent, students, staff, and
community
4.82 .39
Ability to engage community stakeholders in decision making 4.88 .33
Ability to motivate others towards meeting a common vision and
goals
4.88 .33
Ability to take risks when it comes to shifting school’s culture 4.82 .39

Leadership is the process of influencing others to understand and to agree about what
needs to be done effectively, and the process facilitating individual and collective efforts
to accomplish shared objectives (Yukl, 2006). It is evident that superintendents strongly
believe that secondary principals as educational leaders must recognize and respect
diverse community stakeholder groups, demonstrate skills in decision-making and

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problem-solving, must be able to work collaboratively as well as engage students,
parents, teachers, and community members in the school’s ultimate goal of raising
student achievement.

Table 7: Ranking of Management Responses
Items Mean SD
Knowledge and experience of working with employee unions,
understanding, and interpreting contract language

3.41 .50
Ability to manage financial resources 3.41 .50

With passage of NCLB in 2002, it has become widely acknowledged that an effective
principal is critical to raising achievement and reducing gaps. The leadership provided by
a principal directly affects the climate and culture of a school, which in turn affect student
achievement (Sergiovanni, 2001). Using the results provided by superintendents, it is safe
to conclude that superintendents consider management skills not as important as the skills
in instructional leadership and in human resources.
Findings for Research Questions 1 and 2: Quantitative Data
The following sections will discuss the survey data analysis for each of the two main
research questions.
Research Question 1: What is the superintendent's role in ensuring that an
effective principal is selected?

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The ISLLC standards have six identified areas that address skills and knowledge required
for a principal. The following section analyzes superintendent responses adhering to these
professional standards of performance.

Standard 1: An administrator is an educational leader who promotes the success of all
students and programs by facilitating and supporting the development, articulation,
implementation, and stewardship of a vision of learning that is shared and supported by
the school/district community. In this standard, superintendents identified the skills of
being able to facilitate and support the development of shared vision for the achievement
of all students based upon data analysis. It was important for superintendents for
principals to communicate and implement as well as assist in the communication and
implementation of the shared vision so that the entire school community understands and
engages in the schools and ultimately the district’s vision of closing the achievement gap
and moving students to academic achievement.

Standard 2: An administrator is an educational leader who promotes the success of all
students and programs by advocating, nurturing, sustaining and supporting a culture,
instructional programs and organizational environment conductive to student learning
and staff professional growth. In this standard, superintendents confirmed their
expectations of a principal having the ability to create and implement an accountability
system that supports teaching and learning based on content standards. Principals are
expected to raise student achievement results, show continual improvement, and meet

74
annual measureable objectives as required under NCLB. Superintendents identified the
skills of being able to develop and implement professional development strategies based
on data analysis and evaluation of student learning. It was also very important for
superintendents to select a principal who will provide opportunities for all members of
the school community to develop programs in collaboration and with shared
accountability.

Standard 3: An administrator is an educational leader who promotes the success of all
students and programs by ensuring management of the organization, operations, and
resources for a safe, efficient, and effective learning and organizational environment.
Superintendent responses related to skills that involve deep understanding in establishing
guidelines, in managing systems, in utilizing the principals of organizational
development, problem-solving, and decision making effectively in juxtaposition of
aligning fiscal, human, and material resources to support the goals of the school.

Standard 4: An administrator is an educational leader who promotes the success of all
students and programs by communicating and collaborating with families and community
members, responding to diverse community interests and needs, and mobilizing
community resources. Secondary principals are responsible for creating a professional
culture built upon dedication, collaboration, and teamwork establishing a shared vision
and responsibility with students, parents, staff, and community. Superintendents indicated
that principals must recognize and respect the goals and aspirations of diverse family and

75
community groups. They are expected to treat diverse community stakeholder groups
with fairness and with respect as well as support the equitable success of all students.

Standard 5: An administrator is an educational leader who promotes the district’s goals
and the success of all students and programs by modeling a personal code of ethics and
developing professional leadership capacity. The superintendents indicated that personal
code of ethics and professional leadership capacity are Important to the selection process.
Superintendents also confirmed that they select principals who demonstrate skills in
decision-making, problem-solving, planning, conflict management, and evaluation.
Superintendents emphasized that principals must communicate decisions based on
relevant data and research about teaching and learning as well as management practices.
It is also important for principals to encourage and inspire others to higher levels of
performance, commitment, and motivation.

Standard 6: An administrator is an educational leader who promotes the success of all
students and programs by understanding, responding to, and influencing the larger
political, social, economic, legal, and cultural context. The skills in this standard relate to
the larger political, social, legal, and cultural context. The survey data indicated that
when selecting principals, superintendents expect principals to have the ability to ensure
that the school operates consistently with the parameters of federal, state, and local laws,
policies, and regulations.

76
Research Question 2: What is the superintendent's perspective on effective
principal's instructional leadership?
The survey data, superintendents rated that principals must have deep knowledge of
instruction and have had teaching experience in order for them to provide instructional
leadership, guidance, and support to teachers, students, and all stakeholders who are
involved in moving student achievement. Principals are expected to implement
professional learning communities at all grade levels and collaboratively plan instruction
and common assessments. Superintendents’ responses on the survey reflect the current
research that prioritizes the understanding of standard based curriculum and the use of
date to make systematic changes which will ultimately close the achievement gap and
move students to achievement. Principals must now incorporate reform initiatives to
improve current development at their school site, teacher pedagogy and training, as well
as implement effective leadership strategies in order to raise their API and AYP scores.
Major Findings of this Study
In order to answer the overarching question, do urban superintendents increase student
achievement by selecting effective principals, the data in this chapter illustrated the skills
superintendents believed were important and necessary in candidates when selecting
them for a secondary principal position, the processes in which principals were evaluated
by superintendents, as well as the guidance and support that superintendents provided to
the principals once selected.

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The major findings of the study are summarized as follow:
1. Based on the qualitative responses and quantitative data, superintendents were
consistent in their responses around the selection criteria. Superintendents clearly
elaborated that they have an incredible and crucially important task of selecting
and hiring highly qualified principals who will drive schools to success and
student achievement.

2. Superintendents felt strongly about selecting a candidate who was able to
demonstrate visionary leadership with the aptitude to develop, articulate, and use
a vision of excellence. Superintendents were seeking for secondary principals
who are able to design and implement collaborative processes to collect and
analyze data and strategically develop a plan based on the results of data. Having
knowledge and skills in facilitating instructional practices that will lead to student
achievement were definitely valued by superintendents based on survey results
and on interviews.

3. Ability to use understand and analyze federal and state mandates as regards API,
AYP, CST to support the high accountability guidelines, to develop formative
instructional strategies, and standard based curriculum as well as demonstrating
the capability to create an organizational culture of high standards and
expectations were skills superintendents were looking for when selecting
principals.

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4. Superintendents selected candidates for a position of a secondary principal who
had the competence to regularly use a variety of instructional leadership practices
such as facilitating student learning, building a professional learning community
among faculty and other staff, fostering teacher professional development,
providing instructional feedback to teachers, working with teachers to improve
teaching practices and to resolve challenges facing the school, using data to
monitor school progress, identify problems, and propose solutions.

5. The school principal is a key element in leading the process of creating the share
visions for the school. In order to create a shared vision, it is necessary for leaders
to communicate their vision of the organization to every member of the
community. Superintendents select principals who are skilled in engaging all
stakeholders in the vision of the school and ultimately in the vision of the district.

Superintendents, who participated in the survey as well as in the interview process,
clearly confirmed that they have an incredibly challenging and important role when it
comes to selecting, hiring, and evaluating principals.

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CHAPTER 5

CONCLUSIONS AND IMPLICATIONS OF THE FINDINGS
Introduction
Chapter 5 presents a summary discussion of the findings and data presented in Chapter
Four. This chapter includes the problem and purpose of the study, research questions, and
a summary of the research methodology.
The Problem
In accordance with the No Child Left Behind federal legislation, school principals are
held accountable for the performance of their students on state-wide assessments.
Therefore, it is imperative for principals to determine and implement leadership practices
that enhance learning opportunities and ensure continuous academic growth for their
students (Schmoker, 2001). Because principals are educational leaders among their
teachers, an effective principal can shape the outcomes of a school’s performance on test
scores by supporting creative and effective teaching (Firestone et al., 2001). Therefore,
urban superintendents have an incredible and crucially important task of selecting and
hiring highly qualified principals who will drive schools to success and student
achievement. However, current research is yet to explore how urban superintendents
identify the principals’ effective leadership and successfully select the most competent
and effective leader to move the schools.
Purpose of the Study
The purpose of the study was to examine the superintendent selection criteria for
secondary principals under the recent demands of federal and state accountability

80
reporting practices. The purpose of this study is to examine the role of superintendents in
selecting effective principals to lead raise student achievement. This study includes the
current context of federal, state, and public accountability in the analysis of urban school
principal selection. This study identifies the researched-based instructional leadership
characteristics of successful urban school principals, examines how superintendents
identify and select candidates who possess those characteristics as well as how they
evaluate principal’s efficacy. The study was conducted to answer one overarching
question: Do urban superintendents increase student achievement by selecting effective
princi1. Three research questions were developed to guide the study:
1. What is the superintendent's role in ensuring that an effective principal is
selected?
2. What is the superintendent's perspective on effective principal's instructional
leadership?
3. What evaluation instruments are used by superintendents to evaluate principal's
instructional leadership?
Methodology
To answer the research questions posed in this study, a mixed method approach was used.
Quantitative data were collected through survey questions. Qualitative data were
collected from interviews with superintendents. In order to answer the questions above, a
mixed-method study was used that consisted of both a quantitative and a qualitative
component to provide findings based on comprehensive analysis. The quantitative part of
this study included a 20-question anonymous survey completed by 17 superintendents in

81
Southern and Northern California. The qualitative part of this research was completed
through face to face interview sessions with five superintendents where each participant
had to answer three questions around hiring standards, skills, placement, and evaluation
criteria. The responses provided the data which were analyzed to identify the selection
criteria for secondary principals as well the qualities required for successful fulfillment of
the job of secondary principals.
Data Collection
Data collection was completed through survey questions and one-on-one interviews with
California urban superintendents from highly effective districts. The quantitative portion
was based on an anonymous survey that was sent to 17 superintendents in Northern and
Southern California. The selected superintendents had accomplished an increased
academic achievement in student outcomes during their tenure, as shown by the released
the Accountability Progress Report from California Department of Education for all
school districts and schools in California. The 20-question survey requested
superintendents to provide information on their background and their district. The data
from 20 questions was analyzed and scored under a 5-point Likert Scale. The 20-survey
questions related to four categories under principal leadership and were based on research
identifying the importance of each question in relation to principal leadership at school
sites. The qualitative research included five superintendents from urban districts. The
interview protocol included three questions with corresponding four sub-questions which
were open ended questions; therefore, they allowed time and opportunity for a more
detailed discussion on the hiring as well as evaluation process and criteria. The data was

82
analyzed for skills and qualifications that urban superintendents require and expect of
secondary principals to be successful and effective in moving students to academic
achievement.
Summary of Findings
The following section is organized into two parts:
Part I. This section uses the qualitative data gathered to answer the three research
questions focusing on the superintendent's role in the selection of an effective principal,
on the superintendent's perspective on effective principal's instructional leadership, and
on evaluation instruments used by superintendents to evaluate principal's instructional
leadership. This section will provide conclusions based on the analysis of interviews
conducted with five urban superintendents from Northern and Southern California.
Part II. This section uses the quantitative data based on 20-survey questions around the
ISSLC/CPSEL standards focusing on three subscales related to the instructional
leadership of the principal, management style, and human relations skills of the principal
with all stakeholders involved in increasing student achievement. This section will
provide conclusions based on the data analysis.
Part I: Analysis of Qualitative Data for Research Question 1
What is the superintendent's role in ensuring that an effective principal is
selected?
The following skills transpired as common themes based on coding: ability to extend the
superintendent’s vision and share the vision with all stakeholders; the ability to build

83
relationships with the community inside and outside of school, and to engage all
stakeholders in leading them to common goal of student achievement.
Skills
Superintendents required that the candidate demonstrate the ability to work
collaboratively with all stakeholders and communicate the desired vision to each and
every member of the school community. Shared vision should be the top priority for an
effective school leadership, since it sets the stage for the commonalities including the
goals and objectives for the school culture. Moreover, a successful leadership will strive
to create a positive atmosphere and stress free ambiance for all members of the school
community, including students, staff and parents. By highlighting positive relations with
their community through recognizing and acknowledging various interests of
stakeholders, secondary principals invite and engage everyone in the collaborative
process of learning and planning consequently making them support the vision. Having a
shared vision in an organization can be difficult because community members may have
their own personal visions that they want to go by, never relaying their vision to other
employees or colleagues.

Often times, when community members within an organization have different visions, it
results in further miscommunication and dysfunction amongst members. All
superintendents confirmed that when selecting a principal, they feel strongly about
selecting someone who has the interpersonal skills of bringing community members and
all involved stakeholders together and lead them towards his or her vision and goal for

84
student success. What makes a school high performing and effective is its’ unique
culture, organization and leadership. Principals need to continuously assess, evaluate,
and adjust to cultural factors to meet the needs of the students. Every member of the
school community plays important role in establishing and stabilizing the school
organization. Principals should develop and encourage personal growth, dignity, and the
life-long pursuit of learning for all students and staff members. Thus, this can be
accomplished by those in leadership positions providing a unified culture. The school
cultural factors include shared vision and meaning, on-going learning,
trustworthiness/integrity, communication, climate, and group norms. In order to create a
shared vision, it is necessary for principals to communicate their vision of the
organization to every member of the community. In this way, those members that agree
to the vision and fully inherit it as their own can gain an authentic dedication to an
organization. Inadvertently, in a school community, a shared vision helps school
members to focus on student achievement and development.

Superintendents stated that positive interactions among adults ultimately affect the
relationship between teachers and students. To create a healthy school environment and
maintain the culture, a successful leadership will be in effective communication with all
members of the school. Superintendents confirmed that communication is an essential
element, for it provides the steps and task force that will realize the work. Without it the
infrastructure will fail and will not meet its goals. Communication is the basic foundation
of other cultural factors. Without effective communication, any organization will be

85
destined to struggle, internally and externally as well. Even when an organization is
experiencing chaos, communication alone can create a harmonic organizational
environment.

Principals must have strong interpersonal skills in order for them to be able to
communicate their vision and their goal to all stakeholders. Without a shared vision, a
principal cannot be successful, as a vision and a goal define what a success is. Only
setting a shared vision can a principal lead students to achievement. To complete the task
and be able to lead the school by minimizing the potential obstacles, an effective
leadership will gain the trust of the entire school community. This can be done only by
providing clear communications with everyone and creating a positive atmosphere for
everyone. Creating a culture where there are open lines of communication is vital for
productivity and goal attainment. Principals must possess the skills to eloquently express
their school’s and their district’s vision at the same time creating culture of respect and
equity. A secondary principal is an educational leader who promotes the success of all
students by collaborating with families and community members, responding to diverse
community interests and needs, and mobilizing community resources. Principals must
have the skills to promote success and outline a supervision plan of action by
collaborating with teachers, family members, and community members, by responding to
diverse community interests and needs, by mobilizing community resources, and by
having a clear mission and a plan for the entire year.

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Part I: Analysis of Qualitative Data for Research Question 2
What is the superintendent's perspective on effective principal's instructional
leadership?
Skills
Based on the analysis of the qualitative data, all superintendents felt strongly about
selecting secondary principals who are instructional leaders and have the skills and the
knowledge to identify elements of high quality teaching, to standard based instruction,
curriculum design, clearly understand instructional practices, and teacher pedagogy.
What makes a school high performing and effective is its’ unique culture, organization
and leadership. Superintendents confirmed that principals must have the skills to
continuously assess, evaluate, and adjust curriculum and instruction to meet the needs of
our students realizing that every member of the school community plays an important
role in establishing and stabilizing the school organization. As instructional leaders,
principals are expected to create professional development that will focus on creating
curriculum and methodology to meet the needs of all students.

Principals must possess the skills to provide professional development that will focus not
only on effective and culturally responsive curriculum and instruction but also
differentiated instruction for diverse learners. Such practices include activities that focus
on facilitating student learning, building a professional learning community among
faculty and other staff, fostering teacher professional development, providing

87
instructional feedback to teachers, working with teachers to improve teaching practices,
to resolve challenges facing students, using data to monitor their progress, identify
problems, and propose solutions. Teachers must be trained by principals on how to target
students in the Basic quintile. Training opportunities must be provided by principals on
high-yield instructional strategies that support learners caught in the achievement gap. It
was important for superintendents to select principals who have the skills of having data-
driven conferences with teachers, students, and parents as well to work collaboratively on
effective curriculum and instruction. Principals must implement a coherent and broad
range of strategies that are designed to improve "teaching and learning" over time
(Williams, 2001). Achieving success for all students takes collaborative efforts from all
stakeholders.
Knowledge
Secondary principals must possess deep knowledge and understanding of teacher
pedagogy, of instruction, as well as knowledgeable in the accountability measures such as
API and AYP as demonstrated on California Standards Tests (CST). The data indicated
that superintendents select principals who hold high expectations of students and
teachers, emphasize instruction, possess a provision of professional development, and use
data to evaluate students' progress. School leadership is the responsibility of a leadership
team within a school as opposed to the principal acting as one leader, all other
responsibilities can be adequately addressed (Marzano, 2005). Principals with teachers
must closely analyze data, specifically CST data of minority students to determine why
the achievement gap exists and what action steps must be taken to close the gap.

88

Principals must have the knowledge on how to provide an ongoing professional
development to help teachers to master new curricula and teaching strategies, especially
those effective in diverse classrooms, so that teachers will be able to help students to
improve their ability to meet standards and to challenge them instructionally. Principals
must have the knowledge on how to re-train teachers on decision making based on data
collection and analysis to help determine how their lessons should be differentiated
and/or modified in order to better meet the needs of students. Based on qualitative data,
principals are required to be knowledgeable in analyzing CST, benchmark, common
formative as well as formal and informal assessment data as well as in developing
professional learning communities in order to determine areas of strength and
improvement for their students and to design appropriate standards based curriculum
supporting student achievement. Professional development on the use of formative
assessments, analysis of data, the identified “best practices” and research based strategies
is necessary and must be provided by principals.

Superintendents confirmed that principals must be able to provide training opportunities
to teachers on high-yield instructional strategies to allow them to support learners caught
in the achievement gap. Principals, as the leaders of their instructional organizations,
train teachers, counselors, and all involved stakeholders to have data-driven discussions.
Student academic data must be incorporated in every discussion and conference,
including discipline and attendance referrals. Subsequently, superintendents must ensure

89
that schools have high-performing administrators who are capable and are willing to
provide pedagogical leadership, requiring efficacy of the teachers and are held
accountable for all their responsibilities.
Part I: Analysis of Qualitative Data for Research Question 3
What evaluation instruments are used by superintendents to evaluate principal's
instructional leadership?
Evaluation
Superintendents interviewed stated that there are processes to evaluate a principal
effectively and accurately. Superintendents use standards to guide the professional
practice, to hold the principal accountable, and provide goals for professional growth.
Based on the analysis of qualitative data, superintendents go through various processes to
evaluate principals; however, all superintendents who were interviewed felt strongly
about the value of principal evaluation and emphasized that when evaluating a principal,
their purpose is to ensure that every school has a high quality leadership that is focused
on building high quality teaching in every classroom.
Part II: Analysis of Quantitative Subscale Data: Instruction,
Human Resources and Management
The responses in each of the four subscales were rated on a Likert scale with
5 being the highest to indicate how superintendent responses identified each of the skills
related to the Instructional Leadership skills, Human Relations skills, and Management
skills, as a requirement for selection. The results indicate that Instructional Leadership
subscale had the highest mean of 4.88 compared with its counterparts followed closely by

90
the Human Relations subscale. The responses on Instructional Leadership have all been
rated high as they relate directly to a secondary Principal as the Instructional Leader of
the school with the responsibility of regularly using a variety of instructional leadership
practices.
Skills
Superintendents required that the candidates demonstrate the ability to promote
collaborative problem solving and open communication, collecting, analyzing, and use
data to identify school needs, use data to identify and plan for needed changes in the
instructional program, and develop systems to establish a clear vision and goal on
increasing student achievement. Superintendents ranked the ability to work
collaboratively with all stakeholders and engage them in the decision making
opportunities as a very important skill. Superintendents in this study confirmed that a
principal demonstrates his/her personality when attempting to build relationships with
people and subsequently build a team of people who will support him or her in to the
direction of the common goals, missions. An effective secondary principal affects a
school’s culture by promoting a “common” culture with a shared vision. Secondary
schools need high-performing principals who are capable and are willing to provide
pedagogical leadership, requiring efficacy of the teachers and are held accountable for all
their responsibilities. One of the most important components to the success of an
organization’s culture is having a shared vision that is unique to the school’s culture.
Shared vision is an important component of an organization because it delineates the
items for a structured entity. An effective principal must have a strong personality and an

91
ability to guide people who execute the objectives of the organization. In order to create
trust in a school environment, school leaders should be influential role models,
communicate ethical expectations, and provide ethical training.
Knowledge
Superintendents identified that principals should have knowledge of secondary
instruction and how to create and implement ac accountability system that supports
teaching and learning based on content standards. There is high expectation that the
candidate is well versed in the accountability measures such as API and AYP and proves
past performance of raising test scores. In addition, principals must demonstrate
knowledge of reform initiatives such as Professional Learning Communities. Secondary
principals must possess knowledge of instructional leadership that focuses on
strengthening teaching and learning, knowledge of professional development, data-driven
decision making, and accountability. Superintendents found it very important for
principals to have the knowledge, skills and trainings reflected in the six ISLLC/CPSEL
standards which focus on secondary instructional leadership.
Conclusions
This study aims to add to the existing research on this topic associated with secondary
principal selection, principal’s leadership, and principal evaluations. Based on the
research findings and the data in this chapter, the criteria for selecting secondary
principals thoroughly match the existing research on principal leadership. This study can
be utilized as a guide to aspiring principals or to those who are new at their leadership
positions.

92
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97
APPENDIX A

SUPERINTENDENT ANONYMOUS SURVEY PROTOCOL

INTRODUCTION:

Thank you for your participation in this survey. This is an anonymous process and has
been field tested and timed for completion within 20 minutes.

The survey questions have been developed to answer the following three research
questions:

1. What is the superintendent's role in ensuring that an effective principal is selected?
2. What is the superintendent's perspective on effective principal's instructional
leadership?
3. What evaluation instruments are used by superintendents to evaluate principal's
instructional leadership?

Selection for participation has utilized the following criteria:

Currently a superintendent in an urban district in Northern or Southern California
Has accomplished an increased academic achievement in student outcomes during
the tenure, as shown by the released the Accountability Progress Report from
California Department of Education for all school districts and schools in
California
The district has met the California state’s target API of 800

The compiled results will be made available to you if you indicate your request in the box
below.

Yes, please send me the compiled results at ____________________________________
(please include an email address that doesn’t identify you)

No, I don’t need the compiled results

98
PART I: SUPERINTENDENT BACKGROUND

Please identify how many of the current secondary principals, middle and high school, in
your district have been hired under your leadership? __________

Prior to being a superintendent, were you the assistant or deputy superintendent in this
district? Yes No

99
PART II: SURVEY

Please refer to the questions in light of Secondary Principal Selection criteria: Please
circle only once of the number for each question
1. Not at all important 2. Little Important 3. Somewhat Important
4. Important 5.Very Important
1. Positive professional references from previous employers 1 2 3 4 5
2. Knowledge of the STAR/CST and API/AYP criteria and its effects on the
school and the school district
1 2 3 4 5
3. Proven performance of raising test scores in previous administrative positions 1 2 3 4 5
4. Ability to analyze test data to improve teacher and student performance 1 2 3 4 5
5. Commitment to identify diverse student needs and program implementation 1 2 3 4 5
6. Knowledge of the master schedule and introduction to new courses 1 2 3 4 5
7. Knowledge of SLC and PLC and other research based strategies 1 2 3 4 5
8. Ability to listen to others 1 2 3 4 5
9. Ability to effectively communicate 1 2 3 4 5
10. Ability to tolerate high levels of stress without losing effectiveness 1 2 3 4 5
11. Ability to work collaboratively with parent, students, staff, and community 1 2 3 4 5
12. Ability to engage community stakeholders in decision making 1 2 3 4 5
13. Ability to motivate others towards meeting a common vision and goals 1 2 3 4 5
14. Knowledge and experience of working with employee unions, understanding,
and interpreting contract language
1 2 3 4 5
15. Ability to supervise curriculum and evaluate classroom instruction 1 2 3 4 5
16. Ability to manage financial resources 1 2 3 4 5
17. Ability to plan effective professional development 1 2 3 4 5
18. Ability to engage in data driven decision making 1 2 3 4 5
19. Understanding of the accountability system under NCLB 1 2 3 4 5
20. Ability to take risks when it comes to shifting school’s culture 1 2 3 4 5

100
APPENDIX B

SUPERINTENDENT INTERVIEW QUESTIONS

Main Research Questions

1. What is your role in ensuring that an effective principal is selected?
2. What is your perspective on effective principal's instructional leadership?
3. What evaluation instruments do you use to evaluate principal's instructional
leadership?

101

APPENDIX C

INVITATION TO PARTICIPATE LETTER

This is an invitation to participate in a research study being conducted by me, Sona
Arakelyan, as part of my dissertation study at University of Southern California. The
study is titled, “Superintendents Increase Student Achievement by Selecting Effective
Principals” and aims to identify the skills and trainings required by secondary principals
to effectively lead schools and raise student achievement.

I understand that this is an extremely busy time of the year for you, and I thank you from
the bottom of my heart for taking this time to participate in this study. This survey has
been time-tested to take less than 15 minutes, is entirely voluntary, anonymous, and
involves no known risks to you nor has any associated costs for your participation. Your
response is invaluable to this study.

This research will be available to university credential programs and to school districts to
attract, train, and retain their best candidates. Enclosed in this packet is the copy of the
survey and a self-stamped envelope for your convenience. This survey is anonymous and
does not require your name or address. Please mark the box applicable if you are
interested in receiving the results of the survey.

All questions related to this survey can be directed to me at sarakely@usc.edu or on my
cell at (818) 632-7662 or to my dissertation chair, Dr. Pedro Garcia pegarcia@usc.edu.
For all questions regarding your rights as a research subject, please contact USC
Institutional Review Board (IRB) by e-mail at upirb@usc.edu or by phone at (213) 821-
5272.

Once again, I thank you for your time and support.

Sincerely,

Sona Arakelyan

Abstract (if available)

Abstract The role of an urban superintendent is essential to the function of an effective educational environment and student achievement. Successful superintendents instill trust in principals, teachers, parents, staff and students. Without trust it is impossible to convince people to do things your way, to solicit them to work together towards building a strong organization that will support the vision of the district and ensure academic success. One of important role of a superintendent is to furnish each school with an effective principal who will have the necessary leadership skills to lead the school towards improving student achievement. An effective superintendent has a diversity of skills and the acquisition of those skills can occur in a variety of settings. A prospective principal will have to go through an extensive selection as well as an interview process, and ultimately the superintendent will make the decision as to who should lead a particular school. There are specific leadership qualities and skills that are crucial to obtain in order for one to be an effective principal. The superintendent's role is extremely complex and is directly connected to accountability for student achievement. Moreover, superintendents can have a positive impact on student learning, through the selection, support and evaluation of principals as instructional leaders. The problem is that many superintendents are so overwhelmed with various issues that they don't establish the dominance of the principal's instructional leadership role when it comes to student achievement. They don't consistently define what it means for principals to be instructional leaders and to lead schools to achievement. This study will answer the following questions: What is the superintendent's perspective on effective principal's instructional leadership? What is the superintendent's role in ensuring that an effective principal is selected? What evaluation instruments are used by the superintendent evaluate principal's instructional leadership?

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Asset Metadata

Creator Arakelyan, Sona (author)

Core Title Superintendents increase student achievement by selecting effective principals

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 07/26/2012

Defense Date 05/26/2012

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

Tag Education,evaluation,high quality teaching,instructional leadership,OAI-PMH Harvest,Principal

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor García, Pedro Enrique (committee chair), Castruita, Rudy Max (committee member), Escalante, Michael F. (committee member)

Creator Email sarakelian@gusd.net

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c3-68524

Unique identifier UC11289400

Identifier usctheses-c3-68524 (legacy record id)

Legacy Identifier etd-ArakelyanS-1025.pdf

Dmrecord 68524

Document Type Dissertation

Rights Arakelyan, Sona

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