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21st century superintendents: the dynamics related to the decision-making process for the selection of high school principals
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Running head: 21
st
CENTURY SUPERINTENDENTS 1
21
st
Century Superintendents: The Dynamics Related to the Decision-Making Process for the
Selection of High School Principals
By
John Paramo
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
December 2014
21
st
CENTURY SUPERINTENDENTS 2
DEDICATION
To my mother Laura Paramo and my father John Paramo:
Thank you for encouraging me toward a career serving young people and instilling in me the
belief that an education is the greatest equalizer in life. I hope you are proud of what I have
accomplished. It has not always been easy. However, your vision for me as parents have made
me the man I am today. I could not have asked for better guidance and preparation. I miss you
both so much!
21
st
CENTURY SUPERINTENDENTS 3
ACKNOWLEDGEMENTS
I offer my gratitude and respect to Dr. Pedro Garcia and Dr. Rudy Castruita for their
selflessness during the dissertation process. You both provided me with the structure and
discipline to engage in this endeavor successfully and in such a timely manner. You have both
provided me with examples of leadership that I can only hope to emulate to the same capacity.
Your standard for excellence has only reinforced my own, “thank you.”
Dr. Jan Britz, you are an inspiration to me. You have taken the time over the last nine
years to mentor and counsel me. You have helped me to maximize my own leadership potential
by forcing me to stretch beyond my own perception of what I could do. Without your guidance,
I would not have understood how much more I was capable of accomplishing. Thank you for
everything! Specifically, I thank you and Kimberley Clark for your patience through several
revisions of my dissertation. You ladies are the best.
Lastly, I want to acknowledge the boys at home who have taken care of me through this
process. Randy and Ethan I love you both and I am proud you are my family.
21
st
CENTURY SUPERINTENDENTS 4
Table of Contents
Abstract 8
Preface 9
Chapter One: Introduction 10
Statement of the Problem 14
Purpose of the Study 15
Research Questions 16
Significance of the Study 16
Limitations 17
Delimitations 17
Definition of Terms 17
Organization of the Study 19
Chapter Two: Literature Review 20
Bolman and Deal 20
Structural Frame 21
Human Resource Frame 22
Political Frame 22
Symbolic Frame 22
Importance of the Principal Position 23
21
st
Century Leadership 29
Intuition/Interpersonal Skills 34
Conclusion 43
Chapter Three: Methodology 45
Purpose of the Study 45
Research Questions 45
Research Methodology 45
Qualitative Methods 46
Quantitative Methods 47
Sample Population 47
Instrumentation 48
Theoretical Framework 48
Data Needed 49
Interview protocol 50
Survey Protocol 51
Data Collection 52
Process of Getting Consent 52
Interview Protocol 53
Survey Protocol 53
Data Analysis 54
Interviews 54
Surveys 55
Table 1: Data Analysis for Surveys 55
Summary 55
21
st
CENTURY SUPERINTENDENTS 5
Chapter Four: Findings 57
Background 57
Table 2: Participation for Interview Protocol 57
Purpose of the Study 58
Methodology 58
Coding of the Data 59
Validity 60
Reliability 60
Ethics 61
Guiding Questions 61
Research Question 1 62
Figure 1 63
Research Question 2 66
Figure 2 66
Figure 3 67
Research Question 3 70
Intuition 70
Figure 4 71
Figure 5 71
Figure 6 73
Figure 7 74
Candidate’s Interpersonal Skills 75
Superintendent’s Interpersonal Skills 78
Chapter Five: Conclusions and Implications 82
Introduction 82
Statement of the Problem 84
Research Questions 85
Review of Current Literature 86
Methodology 88
Results and Findings 89
Research Question 1 89
Research Question 2 90
Research Question 3 91
Implications 93
Recommendations for Future Research 94
Conclusion 95
References 97
Appendix A 104
Appendix B 107
Appendix C 111
Appendix D 113
21
st
CENTURY SUPERINTENDENTS 6
List of Tables
Table 1: Research Questions 55
Table 2: Participants for the Research Study 57
21
st
CENTURY SUPERINTENDENTS 7
List of Figures
Figure 1: Reference Checks and Letters of Recommendation 63
Figure 2: How Relevant is “Best Fit” to Your Decision-Making Process 66
Figure 3: Consideration of the Culture and Climate of the School 67
Figure 4: When Making Personnel Decisions, I Rely on My Intuition 71
Figure 5: When Making a Personnel Decision, I Trust My Inner Feelings 71
Figure 6: My Intuition is Informed by Observable Data 73
Figure 7: When Making a Personnel Decision, My Professional Experience
Influences my Decision-Making 74
21
st
CENTURY SUPERINTENDENTS 8
Abstract
The purpose of this study was to better understand the decision-making process that
superintendent’s use when making the decision to hire a high school principal. More
specifically, this study sets out to determine: 1.) How will superintendents identify the
qualities of leadership that are essential for high school principals in the 21
st
century? 2.) How
do superintendents decide “best fit” for a high school principalship when two candidates seem
equally qualified? 3.) To what extent do intuition and interpersonal skills affect the decision-
making process when evaluating high school principal candidates? This study implemented a
mixed-methods approach in which 47 Southern California superintendents completed a survey
and 10 superintendents completed a formal interview. Through the process of triangulation,
the study’s findings indicate that no matter the limitation, the interview process and the
interview protocols are the mechanisms superintendents rely on to make personnel decisions.
Therefore, the structure of the interview process becomes paramount. Overwhelmingly,
superintendents stated that a candidate’s people skills or interpersonal skills are crucial. In
fact, the superintendents were emphatic that these skills are more important than technical
skills because technical skills can be taught. The effect that intuition plays on the decision-
making process of superintendents cannot be underestimated. A superintendent’s own
professional experiences, as well as the interpersonal skills of the candidates they interview,
influence their intuition. The findings indicate that intuition operates as a catalyst for
superintendents to question, “Why?” The superintendents want to find the evidence that gives
them the feeling that the candidate is either right or wrong for the position. Based on the
findings, superintendents may have the basis for developing a more effective protocol when
hiring a high school principal.
21
st
CENTURY SUPERINTENDENTS 9
Preface
Some of the chapters of this dissertation were coauthored and have been identified as
such. While jointly authored dissertations are not the norm of most doctoral programs, a
collaborative effort is reflective of real-world practices. To meet their objective of developing
highly skilled practitioners equipped to take on real-world challenges, the USC Graduate School
and the USC Rossier School of Education have permitted our inquiry team to carry out this
shared venture.
This dissertation is part of a collaborative partnership between two doctoral students,
Oscar Macias and John Paramo. We jointly created the survey and drafted interview questions
that were to be directed to the superintendents chosen for this study. As a result, two
dissertations were produced by this inquiry partnership. (See Paramo, 2014; Macias, 2014).
21
st
CENTURY SUPERINTENDENTS 10
CHAPTER ONE: ORVERVIEW OF THE STUDY
Introduction
Public education in the United States has seen an increase in accountability since the
advent of the No Child Left Behind Act (NCLB) of 2001. NCLB produced legislation that holds
educators responsible for the improvement of curriculum, instruction, credentials, accountability,
and assessments. In order to meet these new demands, considerable attention has been devoted
to finding ways to improve the quality of instructional leadership in schools and school systems
(Murphy & Shipman, 1997). For example, the current accountability system holds
superintendents responsible for annual measurable objectives with links to incremental student
improvement (Farkas, Johnson, Duffet, & Foleno, 2001).
In order to understand the impact that NCLB has had on instructional leadership, it is
important to examine the evolution of leadership at the district office. The role of
superintendent has changed over time. Initially, the role of the superintendent before the 20th
Century was to be a “teacher-scholar” (Peterson & Barnett, 2005). Superintendents were
expected to be instructional leaders who encouraged school improvement by being the teacher
of teachers. Between the years of 1900 and 1930, the role of the superintendent changed to that
of “manager” (Ferrigno & Glass, 2005). Ferrigno and Glass (2005) explain that superintendents
were expected to secure and properly use human and material resources; ensure legal
compliance; and ensure adequate and efficient operations of the district. Gradually, the role
changed again and by the 1930’s the primary role of the superintendent was to be a “democratic
leader” (Bjork & Gurly, 2005). Superintendents were expected to coalesce district employees
and members of the local community in school improvement and to garner both material and
human support for these essential efforts (Bjork & Gurly, 2005). For a twenty year span,
21
st
CENTURY SUPERINTENDENTS 11
starting from 1950 to 1970, the primary role of the superintendent can be characterized as that
of “applied social scientist” (Fusarelli & Fusarelli, 2005). Superintendents were expected to
engage in problem-solving, decision-making and research as it pertained to the conflicts that
were emerging from political, social, and economic problems (Fusarelli & Fusarelli, 2005).
During the latter half of the 20
th
Century, the role of superintendent changed to focus primarily
on effective communication. From 1970 until 2000, superintendents were expected to maintain
open, multi-directional and ongoing communication in and out of the school district ensuring
(Kowalski, 2005):
(a) Opportunities are maximized
(b) Programs and services remain relevant
(c) Problems are managed effectively
The current trend in educational leadership places 21
st
century school superintendents in
the position to effect lasting change utilizing a variety of skill sets. They must balance leadership
skills, political skills, people skills, and most importantly instructional skills. The superintendent
is seen as the leader of schools and as a spokesperson bridging schools and the communities they
serve. The superintendent duties include being a Board of Education liaison, a financial
manager, daily operations managers, and an advocate for the district. These leaders are primarily
tasked with and held accountable for student achievement. In fact, today’s superintendent can be
characterized as “instructional leaders,” bringing the role of superintendent back to its original
emphasis on teaching and learning. However, it is not simply the teaching and learning practices
of teachers which superintendents are focused – it is more sophisticated than that. It is also a
focus on the teaching and learning of principals as superintendents need to build leadership
capacity, especially in the supervision of curriculum and instruction.
21
st
CENTURY SUPERINTENDENTS 12
As the district instructional leader, the superintendent is held accountable for district
curriculum and instructional improvement and policies for all. This is an essential responsibility
given the implementation process of the Common Core State Standards that educators face today.
Curriculum must meet district, state and federal standards. The superintendent is in charge of
consistently evaluating instructional programs and policies to ensure success or facilitate
improvement if needed.
The position of the school superintendent has been always been a symbol of respect and
authority in our nation’s communities and social structure. Until recently, the nature of the
position required that school superintendents focus primarily on issues revolving around the
professional conduct of employees and the behavior of students in the learning environment
(Hayes, 2001; Hirsch, 1987; Jazzar & Algozzine, 2007). With the increased expectations
resulting from NCLB (2002), there is now a national climate of accountability that, ultimately,
rests at the door of the school superintendent. There is a heightened level of responsibility that is
evident through the communication and public relations with the school board, district
employees, parents and the general public (Allison, 1988; Larson & Rader, 2006; Leithwood &
Musella, 1991). The organizational structure of a school district is affected by the increased
focus on accountability, as the superintendent must coordinate all internal players and external
constituencies to achieve common goals and outcomes and to represent the district in a positive
manner (Bolman & Deal, 2008; Caine & Caine, 1997; Holdaway & Genge, 1995; Leithwood,
Steinbach, & Raun, 1995).
The increased expectations that have developed as a result of performance
accountability have changed the state of the superintendency, as well as what school boards
are looking for in a superintendent (AASA, 1993; Brown, Swenson, & Hertz,
21
st
CENTURY SUPERINTENDENTS 13
2007; Glass, 1992; Glass, 2000). The superintendent is expected to be the primary
instructional leader in the school district, able to develop a district-wide vision for student
success at all levels of the organization (Black, 2007; Fullan, 2004; Johnson, 1997). Ability,
professional qualifications, level of education and certification, and desirable character traits
are all additional factors that determine the effectiveness of a superintendent (Cunningham &
Cordeiro, 2006; Reeves, 2002; Vaughn, 2007).
Because the role of superintendent has evolved over time with the current emphasis on
instruction and instructional leadership, the hiring and evaluation of personnel is a chief duty
superintendents face. After all, the quality of instructional leadership, whether at the central
office or at the site, will be the deciding factor in a performance accountability system. The
risks are high when it comes to hiring a new district administrator, especially principals. A
high school principal is accountable for the safety, well-being and achievement of all students
who attend the school. A wrong hiring decision by the superintendent can have devastating
results and it can consume significant time to remediate.
Therefore, 21
st
century school accountability demands have created high-stakes
pressure on superintendents with regard to all administrative hires, particularly that of the high
school principal. To replace a high school principal takes careful consideration as the
accountability is not just on state or national mandates. Accountability also pertains to college
admissions, Clearinghouse rules for scholar athletes, and graduation rates. Therefore, the
decision-making process Superintendents use to select a high school principal is critical. This
introductory chapter to the study will include the statement of the problem, the purpose of the
study, the research questions guiding the study, the methodology for data collection, the
significance of the study, and specific limitations and delimitations of the study.
21
st
CENTURY SUPERINTENDENTS 14
Statement of the Problem
The current focus for superintendents is centered on the successful implementation of a
new accountability system: Common Core State Standards (CCSS). This new set of national
standards have forced school districts to not only look at a new assessment tool to measure
student achievement, but to reexamine how instruction is being delivered in the core content
areas. The academic focus must now incorporate 21
st
century skills, which include problem
solving, critical thinking, working as a member of a team, and using innovation to solve
problems.
This shift in academic focus is a change from what most teachers are currently doing in
the classroom. Change is often accompanied by anxiety and, in some instances, resistance. At a
time in history when the nation has come together to address the educational needs of our
students from a global perspective, now is not the time for a breakdown in culture. In fact, in this
time of transition, maintaining a positive school culture is paramount if a school district and a
nation are going to be academically successful.
A superintendent’s job is to set the vision for a community that includes not only
individual schools, but the teachers and students who occupy them. The vision that the
superintendent explicitly articulates must include goals and a process to achieve them. Once the
foundation is set, a superintendent relies on a team of principals to implement the process for
student achievement, monitor progress toward district goals, address instructional obstacles, and
maintain a positive school culture that is focused on the continuous cycle of improvement. This
task is challenging for the most experienced of principals. It would be even more daunting for a
newly appointed principal, particularly at the high school level given the new Common Core
State Standards.
21
st
CENTURY SUPERINTENDENTS 15
Should a superintendent need to select a new high school principal under the present
climate of transition, their selection would be critical to the success of students; the individual
school; and the school district. The increased pressure and demands for accountability placed
upon the public schools in California and across the United States, have made the
superintendent’s job of assessing a pool of candidates for a high school principalship more
important than ever.
Superintendents are looking for certain qualities, abilities and personal characteristics
necessary to match the right principal to a specific school site. Because there continues to be a
significant turnover in principals and a diminishing pool of qualified applicants, the need is more
critical than ever before to examine the criteria a superintendent uses to hire a high school
principal. Superintendents ultimately decide who will be a high school principal in the school
district. Therefore, it is important to determine what criteria are most important to them when
selecting a principal and what protocols are used in the decision-making process.
Purpose of the Study
The reputation of a k-12 district is determined by the success of the high school, making
the role of the high school principal critical as their leadership is the deciding factor. The present
study will seek to gain information regarding the criteria superintendents use to base their
decision on the selection of a high school principal. Specifically, this study will explore the
effects of intuition, and the interpersonal skills superintendents employ in the decision-making
process. Interpersonal skills pertain to both the superintendent and the candidate as the
interaction between the two during the interview affect the final outcome. Bolman and Deal’s
(2005) research on the Four Frames of Leadership provides the necessary background for
research related to the criteria superintendents use to assess principle leadership behaviors in
21
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CENTURY SUPERINTENDENTS 16
order to make decisions on the selection of a high school principal. A mixed methods study will
be conducted in which the decisions and experiences of district leaders in a variety of settings
will be explored using surveys and individual interviews.
Research Questions
1. How will superintendents identify the qualities of leadership that are essential for
high school principals in the 21
st
century?
2. How do superintendents decide “best fit” for a high school principalship when two
candidates seem equally qualified?
3. To what extent do intuition and interpersonal skills affect the decision-making
process when evaluating high school principal candidates?
Significance of the Study
Superintendents are often so immersed in the challenges of their local communities that
they do not have the time to explore how their individual struggles are common among all
superintendents. Finding a credible and dynamic high school principal is not unique. In fact, it is
a universal and challenging task for all superintendents. The body of research on leadership is
extensive. Bolman and Deal, for example, have set the foundational frames of leadership as:
symbolic, structural, political and human resources (Bolman & Deal, 2008). Superintendents
understand these frames of leadership and would be looking for these qualities in their selection
process. However, this study will explore how superintendents need to use their own
interpersonal skills to inform their intuition in the making of tough decisions about a
principalship, an aspect of leadership that is limited in the current body of research which limits
the ability to find the best principal for each high school position.
21
st
CENTURY SUPERINTENDENTS 17
The findings for this study will directly affect the manner in which superintendents make
changes to their decision-making process when confronted with the task of replacing a high
school principal. By examining the order, importance and criteria of decision-making protocols,
future superintendents will have a blueprint from which to make personnel decisions.
Limitations
This study includes the following limitations:
1. The restrictions of time and resources limited this study to survey 45 superintendents and
to interview 10 superintendents.
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.
Delimitations
The delimitations of this study are:
1. The superintendents interviewed in this study all had tenure in their school districts for at
least two years.
2. The interviewed superintendents in this study all demonstrated measurable gains in
academic achievement over the past three years.
Definition of Terms
21
st
Century Leadership: 21st Century Leadership is oriented toward being inclusive,
collaborative, and of service to individuals, the social good, and ecological sustainability based
on Common Core State Standards and district outcomes.
21
st
CENTURY SUPERINTENDENTS 18
Accountability: Leaders are held responsible for student achievement under various
district, state and federal mandates targeting student performance in formative and summative
assessments.
Achievement: Student performance in the state standards test and meeting the proficiency
goals, which is interpreted as achieving the standards. Schools continue to address ways to
increase student achievement.
Achievement Gap: The gap in test scores as indicated by results in the California
Standards Tests between subgroups of students and the general student population.
Assessments: Use of tests, quizzes, projects, state tests, etc., to gauge student
achievement; a process of documenting, in measurable terms, knowledge, skills, attitudes and
beliefs.
Content Standards: Standards identified in each curriculum area tested. The standards
define the highest achievement of proficiency that every student can achieve by gaining the
knowledge and concepts presented through standards-based curriculum.
Globalization: The process of transformation of local phenomena into global ones and
described as a process by which people of the world unite despite barriers in language, distance,
economy and politics.
Interpersonal Skills: Interpersonal skills are the life skills we use every day to
communicate and interact with other people, both individually and in groups.
Pedagogy: The art or profession of teaching; refers to the strategies of instruction or the
style of teaching.
School Boards: Elected community representatives who are responsible for hiring the
superintendent and approving all policies within the district. They are elected every two years
21
st
CENTURY SUPERINTENDENTS 19
and usually range between 5-7 members, depending on the district size. They are the governing
board of the district.
Stakeholders: Parents, students, teachers, and community members are the groups of
people who have a stake or interest in the success of education.
Systemic Changes: Changes that occur in education at all levels and in all areas of the system.
Organization of the Study
This study is organized into five chapters:
Chapter One provides an introduction to the study, including: Statement of the Problem,
Purpose of the Study, Research Questions, Significance of the Study, and Organization of the
Study.
Chapter Two presents a literature review pertaining to relevant information addressed in
this study along with the guidelines suggested by Bolman and Deal’s Four Frames of Leadership.
Chapter Three contains methodology, instruments used, sample used for the research, and
data reporting.
Chapter Four reports the findings of the data as they relate to the research questions
guiding the study.
Chapter Five contains the final summary along with the conclusions, future implications,
and recommendations as they relate to the current practice and future research.
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st
CENTURY SUPERINTENDENTS 20
CHAPTER TWO: LITERATURE REVIEW
Bolman and Deal Four-Frame Theory of Leadership
The work for this research study is grounded in a theoretical framework established by
Bolman and Deal’s Four Frame Theory of Leadership (2008). Bolman and Deal are leading
researchers in organizational leadership. They created a Four Frame Model for use in the study
of leadership style, which is based on prevailing theories of leadership and management. The
inherent belief in the framework of Bolman and Deal is that critical organizational issues can and
should be viewed from many perspectives, or frames, depending on the context. The context for
this study is how superintendents utilize the different frames of Bolman and Deal’s Theory of
Leadership in the selection of high school principals.
Effective leadership style and use of power is an integral component in the success of
school leaders. The theories of Bolman and Deal (2008) focus on the idea that leaders will be
impacted by their past experiences as they evaluate alternative actions. This creates a frame
through which a determination is made for the most appropriate course of action in a specific
situation. The four frames or lenses theorized by Bolman and Deal are structural, human
resource, political, and symbolic.
Bolman and Deal (2008) have noted through their research that leaders have one
preferred, or dominate, frame that they use for evaluating situations but that the more frames
used the more effective the leader’s decision. Each frame is a coherent set of ideas forming a
prism that enables you to see and understand more clearly (Bolman & Deal, p.41). Qualitative
research was conducted to gather data to determine the frames most used by managers. Research
included interviews and responses to scenarios to determine the preferred frame or frames that
were used by managers in their decision-making process (Bolman & Deal, p.44). Bolman and
21
st
CENTURY SUPERINTENDENTS 21
Deal suggested that the lens or frame used by an organizational leader influences both the
perception and reaction to a problem or issue. According to Pavan and Reid (1991), to best lead
in an adaptive environment, a leader must “frame and reframe,” in context, thus viewing
different problems or scenarios from “different lenses.” The ability of a leader to adapt and
respond accordingly to an ever-changing environment is described as a necessary skill to lead
and succeed.
The research of Bolman and Deal (2008) is critical to examine as it defines the essential
leadership characteristics necessary for a high school principal. It also puts into context how
superintendents may or may not utilize different perspectives or lenses in the hiring of high
school principals. It is essential that organizational leaders, like school superintendents, should
view the hiring of a high school principal utilizing the four frames.
The Structural Frame
The structural frame is the frame that focuses on structures within an organization.
Leaders who utilize this frame or lens use the structure of the organization to allocate work
according to areas of responsibility which can create problems with coordination and control.
Establishing an organizational structure that meets the nature of the environment and the desired
outcomes of the organization is essential for a successful organization (Bolman & Deal, 2008).
There must be an establishment of structure based on six dimensions: (a) size and age, (b) core
process, (c) environment, (d) strategy and goals, (e) information technology, and (f) nature of the
workforce (Bolman & Deal, 2008). Each dimension would be analyzed as organizational
structures are created.
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st
CENTURY SUPERINTENDENTS 22
The Human Resource Frame
The human resource frame looks upon the organization from the perspective of the
employees and their relationship within and to the organization. Bolman and Deal (2008) have
stated that this frame is built upon four core assumptions: (a) organizations exist to serve human
needs; (b) people and organizations need each other; organizations need ideas, energy and talent;
people need careers, salaries, and opportunities; (c) when the fit between individual and system
is poor, one or both suffer; and (d) a good fit benefits both. The main element of the human
resource frame is the relationships between the organization and the people. However, it must be
noted that the needs are not always aligned with the existing relationships.
The Political Frame
The political frame is associated with the realistic process of making decisions in an
environment with divergent interests and limited resources (Bolman & Deal, 2008). This frame
has five core assumptions: (a) organizations are coalitions of assorted individuals and interest
groups; (b) coalition members have enduring differences in values, beliefs, information,
interests, and perceptions of reality; (c) most important decisions involve allocating scarce
resources; (d) scarce resources and enduring differences put conflict at the center of day-to-day
dynamics and make power the most important asset; and (e) goals and decisions emerge from
bargaining and negotiation among competing stakeholders (p. 196).
The Symbolic Frame
The symbolic frame revolves around sense making amongst chaotic situations that are
presented with the use of meanings, beliefs and faith that are derived from our past experiences.
This frame uses the research of many areas—organization theory, sociology, political science,
21
st
CENTURY SUPERINTENDENTS 23
neurolinguistic programming, and anthropology to provide meaningful symbols, ceremonies and
culture of organizations (Bolman & Deal, 2008).
The symbolic frame is centered in the human experience and stories are the
communication method that conveys the symbolic meaning to members of the organization to
build the culture. According to Schein (1992), culture is a pattern of shared basic assumptions
that a group learned as it solved problems of external adaption and integration that has worked
well enough to be considered valid and therefore to be taught to new members as the correct way
to perceive, think and feel in relationship to those problems.
These four frames of leadership can be applied to superintendents’ and their selection of a
high school principal. Critical to understanding the frames and superintendents’ application of
the frames is distinguishing that the frames are not distinct of each other and intersect depending
on the context. For this research, the focus is the hiring of a high school principal. A
superintendent must address all four frames.
Importance of the Principal Position
While Bolman and Deal (1991) establish a theoretical framework for this research study,
today’s climate of heightened expectations requires superintendents to have a contextual
understanding of the leadership framework when attempting to hire a high school principal.
Principals have primary responsibility to improve teaching and learning. They need to be
educational visionaries, instructional leaders, experts on assessment, experts in public relations,
special program administrators, and legal experts on policy mandates and initiatives. They are
expected to be able to politically navigate the inevitable conflicting interests of parents, teachers,
students, staff members, district officials, and unions while fulfilling state and federal mandates.
21
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CENTURY SUPERINTENDENTS 24
Recognition is long overdue for the indispensable role and mounting demands on principals
(Devita, 2005). The Wallace Foundation (2011) has sponsored research on school leadership and
has empirically linked school leadership and improved student achievement. The foundation said
the following about the empirical link:
Education research shows that most school variables, considered separately, have
at most small effects on learning. The real payoff comes when individual variables
combine to reach critical mass. Creating the conditions under which that can occur is the
job of the principal (Wallace Foundation, 2011, p.4).
Leithwood, Louis, Anderson, and Wahlstrom (2010) also conducted research projects and
have confirmed the assertions of the Wallace Foundation. Their findings come as a result of a six-
year research project on educational leadership. They made the following assertions:
In developing a starting point for this six-year study, we claimed, based on a preliminary
review of research, that leadership is second only to classroom instruction as an influence
on student learning. After six additional years of research, we are even more confident
about this claim. To date we have not found a single case of a school improving its student
achievement record in the absence of talented leadership. Why is leadership crucial? One
explanation is that leaders have the potential to unleash latent capacities in organizations
(Leithwood et al., 2010, p.11).
According to the Wallace Foundation (2011), there are five key functions of principal
leadership:
1. Shaping a vision of academic success for all students, based on high standards.
2. Creating a climate hospitable to education in order that safety, a cooperative spirit and
other foundations of interaction can exist and succeed.
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3. Building capacity in terms of leadership in others so that teachers and other adults
assume their part in realizing the school vision.
4. Improving instruction to enable teachers to teach at their best and students to learn at
their utmost.
5. Managing people, data and processes to foster school improvement.
The research conducted by the Wallace Foundation validates the work of other researchers
such as Leithwood, Louis, Anderson, and Wahlstrom (2010). Clearly, the work of a principal cannot
be underestimated if teaching and learning is to effectively take place at the school site. While
accountability measures are rigorous across all grade levels, the high school setting has specific
dynamics that make academic achievement challenging, particularly in light of the Common Core
State Standards. At the high school level, a diploma is directly related to academic achievement. If
a student does not meet academic standards, they do not graduate. This is challenging as the
curriculum becomes more sophisticated and rigorous as the student progresses through high school.
Therefore, leadership at the high school is critical. To replace a high school principal takes careful
consideration as the accountability is not just governed by state or national mandates. There are
implications for college admissions, clearinghouse rules for scholar athletes, and graduation rates.
Therefore, the decision-making process superintendents use to select a high school principal is
critical.
The basis for appointing a high school principal must begin with an understanding of those
leadership characteristics that are essential for success. These characteristics extend beyond the four
frames dictated by Bolman and Deal (2008) as there is a greater need for specificity. For the last
decade, many superintendents have relied on the research conducted by Marzano et al. (2005). In
the book School Leadership that Works (Marzano, Waters, & McNulty, 2005), a meta-analysis of
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school research was published. The purpose of the study was to examine the research-based
literature from 1978 to 2001 on those school leadership factors that have a direct connection with
student achievement. The overall finding in the study was that school leadership has a statistically
significant relationship with student achievement. The authors explained the 21 specific types of
actions and behaviors that school leaders need to implement in order for student achievement to
occur. The 21 responsibilities of a school leader are:
1. Affirmation – The school leader has the responsibility to praise and celebrate
accomplishments, but yet must still have the courage to address the negatives.
2. Change Agent – The school leader must be able to challenge the status quo.
3. Contingent Rewards – The school leader must understand that not everyone should be
treated equally.
4. Communication – Communication is the most important responsibility because it is
woven into all aspects of leadership.
5. Culture – A school leader must establish a culture of achievement in the school.
6. Discipline – School leaders have responsibility for decreasing the amount of
distractions that impact instructional time.
7. Flexibility – School leaders must realize the situations and adapt their behaviors to
address the situation.
8. Focus – Focus is the leader’s ability to communicate and reinforce the goals and vision,
and to minimize the distractions to those ends.
9. Ideals/Beliefs – It is the school leader’s beliefs that shape the culture of the school and
create a positive following.
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10. Input – The school leader creates opportunities for teachers to provide input into the
school’s vision. This builds a shared sense of purpose and consensus.
11. Intellectual Stimulation – A school leader provides the research and theories that allow
staff to implement and experiment with new strategies.
12. Involvement with curriculum, instruction and assessment – The involvement of the
leader in curriculum, instruction and assessment is critical to the concept of
instructional leadership.
13. Knowledge of curriculum, instruction and assessment – having knowledge of
curriculum, instruction and assessment allows the leader to provide specific, research-
based strategies to teachers for instructional improvement.
14. Monitoring/Evaluating – School leaders should provide specific feedback to teachers
to aid in student achievement.
15. Optimizer – School leaders should display a positive and inspirational emotion that
elicits change.
16. Order – School leaders should devise procedures that allow for effort to be focused on
areas of student learning.
17. Outreach – School leaders should establish communication and partnerships with the
various stakeholders in the community.
18. Relationships – School leaders should have the connections that build credibility.
19. Resources – School leaders should be responsible in providing the tools and training to
aid in student achievement.
20. Situational Awareness – School leaders should have knowledge of what is going on in
the school.
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21. Visibility – School leaders should be available in classrooms and throughout the school.
Marzano (2013) furthered his own research on school leadership and identified five
domains of principal actions and behaviors. The five domains are: (1) data-driven focus on student
achievement, (2) continuous improvement on instruction, (3) a guaranteed and viable curriculum,
(4) cooperation and collaboration, and (5) school climate.
The research of Marzano et al. (2004) set the basis for what superintendents are looking
for when hiring a high school principal. The research is critical because the actions and behaviors
within each of the domains help a school to have a clear focus on student achievement that is
guided by relevant and timely data (Marzano, 2013). The actions and behaviors in the domain of
continuous improvement on instruction are grounded under the assumption that teacher
pedagogical skills are one of the most powerful components in student learning. The school leader,
under this domain, is committed to looking for ways for teachers to increase their pedagogical
skills. The actions and behaviors in the domain of school curriculum allow for learning to be at
an optimal level because of the curriculum available to students and teachers. The cooperation
and collaboration domain allows for opportunities for school faculty and staff members to address
issues critical to the optimal functioning of the school operation. Lastly, the final domain of school
climate allows for students and staff to thrive under a positive and well-functioning environment.
There is a simple conclusion that can be derived from all the research on school leadership.
The fact is that without effective school leaders, most goals of educational improvement will be
very difficult to achieve. Research has clearly shown the critical importance of school principals
serving as effective leaders. Superintendents understand the empirical link between school
leadership and student achievement. The challenge for superintendents is to find a credible and
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viable way to identify these essential leadership qualities when interviewing candidates for the
position of high school principal.
21
st
Century Leadership
Parent complaints about the quality of education, labor market demands for skilled
workers, advancements in technology, and the growth of educational alternatives like charter
schools and voucher programs have changed the face of public schools. Ultimately, it has
resulted in different forms of teaching for the students who inhabit 21
st
century classrooms across
the country. Additionally, it has resulted in different forms of school leadership. While the
research from the Wallace Foundation and the work of Marzano et al. (2004) specify the
characteristics for educational leadership, the 21
st
century has perpetuated the need to position a
high school principal within a new context – a 21
st
century context.
In the past, a principal’s daily duties correlated with those categorized as being
managerial in nature (Ervay, 2006). There has been a well-documented and researched
metamorphosis of the community’s expectations for the leadership of the principal over the last
century (Seifert & Vornberg, 2002). The expectations that have been relied upon by school
leaders provide an inadequate platform for educational leadership in the 21
st
century (Murphy,
1999). There have been powerful political, economic and social shifts in the environment in
which schools are located. There has been a shift in the education sector, as well. According to
Murphy (1999), the changes are seen in how educators understand learning and the organization
and management of school organizations.
Images of school leaders have been transformed in the last century. Each image was
shaped in their own time serving to orient and focus practice and offering practitioners and
researchers alike a framework for making sense of the work of school administration: the early
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ideological grounding in philosophy and religion in the 1800s; the highly managerial
perspective, concerned with efficiency and focused on managerial tasks that characterized the
1900 – 1945 time period; and the behavioral sciences perspective that characterized the field
during the 1946 – 1985 time period (Murphy, 1999). According to Murphy and Louis (1999),
educational administration is more aware today than at any time in the field’s history of the
complexities and challenges of public education and of the importance of effective educational
leadership to the enduring good health of that institution.
Lugg et al. (2002) identified six key interrelated features of the ever-shifting landscape of
education. The contextual terrain facing contemporary leaders is made up of: the political, the
economic, the accountability, the demographic, and the staffing terrains. These features provide
the key and the correlation as to why the selection of a high school principal by a superintendent
is important. Superintendents want to be assured that a high school principal can use appropriate
leadership behaviors particularly the human resources frame as it is an essential tool for daily
problem solving (Bolman and Deal, 2008). They are also critical to the research of Marzano et
al. (2004) because they place the essential characteristics of a high school principal within a
context that is relevant to our day and time.
The political terrain faced by education leaders is marked by contests at the local, state or
national levels over resources, as well as the scope and direction of public education (Lugg,
1996). School leaders are faced with multiple and shifting stakeholders from parent groups,
business, teacher unions, and district administration. Each stakeholder is vying to determine
“who gets what, when, and how” in public education (Lugg et al., 2002).
Another consideration that has direct implications for 21
st
century school leadership is the
economy. The connection between the economy and education is highlighted in the landmark
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report of A Nation at Risk by the National Commission on Excellence in Education (1983).
Lugg et al. (2002) assert that there are two associations between education and economics. The
first is the basic concept of acquisition and use of scarce resources to satisfy unlimited wants for
goods and services. In terms of the education system, education itself is seen as the limited
resource and a desired good or service. Society needs educational services (limited resource) to
prepare people to satisfy the unlimited wants of businesses and industries. And people need
education to prepare them and their children for jobs that will pay them the monies needed to
satisfy their wants (Lugg et al., 2002).
The second association revolves around the works of Adam Smith in 1776. Adam Smith
determined the value of human ability and the importance of acquiring ability through education
and training. This ability would later transcend to growth to a business and society. Research by
Schultz (1963), Denison (1962), and Benson (1978) provided the connection between education
and economic growth. These researchers would categorize this connection as human capital
theory. The economic terrain presents education leaders with a set of circumstances in which
there is no single model to follow when determining which educational programs and services
should be offered (Lugg et al., 2002). This proves to be difficult because every community has
different economic terrains. The Interstate School Leaders Licensure Consortium (ISLLC)
standards (1996) are descriptive in their expectations of school leaders in the context of a
changing economy, the shift to a postindustrial society and a global marketplace, a greater
reliance on technology. The ISLLC propose that leaders:
1. Have high visibility in the community.
2. Develop relationships with community leaders.
3. Establish partnerships with business and higher education.
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4. Reach out to religious, political and service agencies.
5. Secure community resources for their school.
6. Ensure appropriate and wise use of public resources.
The accountability terrain has educational leaders dealing with bureaucratic
accountability: the accountability of a subordinate to a superior, as in the teacher to the principal,
and the principal to the superintendent (Adams & Kirst, 1999). There is also market
accountability to consider. According to Perkinson (1991), public schools have always
competed with private schools. Now, public schools are also facing competition from charter
schools and vouchers in addition to the growth of home schooling. These dynamics are relative
to the current climate in education and add depth to the research conducted by Marzano et al.
(2004), which provides the foundational characteristics of essential qualities for educational
leaders.
The most attention-getting form of accountability comes in the form of political
accountability. Schools and districts must meet state and federal performance expectations.
Ladd (1996) states that this is a direct result of states providing more support for education and
the belief that there should be accountability to ensure that the monies were properly spent.
According to Ladd (1996), there are four elements to a state’s educational accountability system.
They are:
1. An entity to be held accountable (school, principal, teacher, or a student)
2. Performances for which the entity is held accountable
3. Penalties
4. Interventions
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The challenge for a school leader is how to navigate politically through these systems using the
Four Frames from Bolman and Deal (2008). At a minimum, leaders need to attend to test scores
in a way that was not necessary when the only tests were locally administered and the scores
were not publicly posted (Lugg et al., 2002). A successful leader would see this as an
opportunity to seek resources for teachers to improve their teaching and to seek resources for
students to be better learners.
According to Lugg et al. (2002), demographic trends are shaping the experience of 21
st
century educational leaders. The demographic terrain is closely tied with population and
economic shifts. Changes in the economic picture have important implications for education.
Fowler (2000) asserts that the continuing shift in the workplace from manufacturing to
information and technology places demands on schools to provide a workforce appropriate to
these growing sectors. This, in turn, can put pressure on school leaders to accommodate
conflicting demands. To answer to these demands, school leaders must respond by adapting
existing programs and policies. Leaders must:
1. Look at changes to put in place to respond to a changing student population, ranging
from creating or expanding specialized programs for students with particular needs to
building capacity for different kinds of instruction that support students with diverse
backgrounds and needs.
2. Promote instruction that serves students with a variety of needs and focuses on
student learning in areas appropriate to the economy.
3. Offer supplemental programs such as breakfast and interventions to serve students in
poverty.
4. Promote the school program to garner public support. (Lugg et al., 2002).
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The last contextual terrain that places the work of Marzano et al. (2004) within a context
is staffing. The staffing terrain can be split into two categories: labor shortages and the
recruitment and maintenance of qualified and diverse staff. Current and projected shortages are
due to retirements, a growing student population, changes in career, and large teacher and
administrative turnovers (ERS, 1998; Hussar, 1999). Rising student enrollments in general and a
growing need for teachers in specialty areas such as special education, bilingual education and
science education may add to these staffing shortages (Lugg et al., 2002). Staff turnover also can
have drastic effects on teacher and administrative quality. This can lead to a reduction in
instructional quality at a school.
Given these staffing and enrollment projections, school leaders are faced with the
challenge of properly staffing in terms of having the right number of people and the right fit in
terms of diversity for their student populations. School leaders must avoid hastily recruiting to
address staffing shortages (Anyon, 1997). School leaders must keep in mind the following
questions when navigating through the staffing terrain:
1. Are the faculty and administrative staff highly qualified?
2. Does the staff reflect the diversity of the community?
3. Is the school grooming possible candidates from within?
Intuition/Interpersonal Skills
Marzano, Waters, and McNulty (2004) identified 21 responsibilities of successful
principals, claiming that the average correlation of the 21 responsibilities is .25. The authors
translate this .25 statistical measurement to mean that the improvement of a principal in the 21
areas by one standard deviation translates into improvement in student achievement from the 50
th
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percentile to the 60
th
percentile on standard achievement test scores (Marzano et al., 2004). This
correlation is critical as it demonstrates significant academic achievement.
Critical to educational practice is how the information and research from Marzano et al.
(2004) connects to superintendents. After all, superintendents are actively involved, and
ultimately responsible for hiring a high school principal. If a superintendent can identify the 21
responsibilities that principals should possess to affect positive student achievement, then it
follows logically that principal candidates should be selected with these qualities. With this
research available for almost a decade, researcher Robert Rammer questioned superintendents on
how they assessed candidates for the position of principal. The results indicated that although
superintendents agree on the key characteristics necessary for principals to succeed as prescribed
by the study in Marzano et al. (2004), they did not have a credible way to measure those
characteristics in the hiring process (Rammer, 2010).
Generally, superintendents have an understanding of their district, the needs of the
school, and the qualities that a candidate should possess to be successful. While this information
guides the decision-making process, the success of the principal selection process may relate
directly to the interpersonal skills of the superintendent and his or her ability to identify these
characteristics in candidates (Rammer, 2010). Rammer (2010) suggests that in many cases good
superintendents intuitively understand the qualities necessary for principals to be successful.
Because the research shows that intuition and interpersonal skills influence decision-
making, they must be examined when considering how superintendents make the decision to hire
a high school principal (Hogarth, 2001; Rammer, 2010). The research conducted on intuition
indicates that intuition is influenced by what is observed (Hogarth, 2001). In fact, Hogarth
(2001) confirms that when examining a person’s intuition, the focus should explicitly target a
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person’s skills of observation and the process they use to interpret what is observed. Hogarth’s
(2001) research supports Rammer (2010) who suggests that the intuition used by superintendents
to make personnel decisions is dependent on how well they use their interpersonal skills to
interpret the observations made of the candidates during the interview process.
Intuition draws from our inborn ability to synthesize information quickly and effectively
(Dane & Pratt, 2007). In order to understand the function of intuition, it is important to define
what it is. According to Dane and Pratt (2007) intuition is a process by which a person can
perceive and sort data. Psychologists have adopted a dual approach when defining intuition as a
process (Dane & Pratt, 2007). One form of the process can be viewed as “experiential.” It
permits individuals to learn from experience and reach perceptions of knowing without
conscious attention. The second form of the intellectual process is “rational.” It enables
individuals to learn information deliberately, to develop ideas, and to engage in analysis in an
attentive manner.
Based on the research of Dane and Pratt (2007), intuition is really a non-conscious
activity. While rational mechanisms function as an input, it is really not a learning process.
Specifically, the researchers characterize intuition in the following manner (Dane & Pratt, 2007):
1. Intuition is a non-conscious process
2. Intuition involves holistic associations
3. Intuition is produced rapidly
4. These three components affectively charge judgment
In terms of superintendents and the process of hiring a principal, the research provides
insight as to how intuition functions. During the interview process, superintendents are taking in
information through their observation of the candidates. They are using artifacts such as a
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resume, an application, letters of recommendation, references, and responses to interview
questions as the rational part of the process. However, during the interview, this information is
put in context with their actual impression of the candidate: respectability, body language,
intonation of voice, facial expressions, and how animated the candidate portrays himself or
herself. This information is informing intuition in that it provides a perception of coherence
(Dane & Pratt, 2007). In other words, the superintendent is recognizing patterns or structures
holistically through their observations which are informing their intuition.
In the research, there is disagreement as to whether intuitive judgments lead to effective
decisions. Some researchers argue that judgmental tasks such as a moral or ethical problem may
be conducive to intuition problem solving (Dane & Pratt, 2007). This however, is not the
landscape for this research study. What is important to this study is whether or not intuition is
effective in a managerial and leadership sense. There is a growing body of literature that suggests
that for certain people, under appropriate conditions, intuition may be as good as, or even
superior to, other decision making approaches (Dane & Pratt, 2007).
For the purpose of this study, what is certain is that remaining observant through the
interview process and viewing candidates from multiple perspectives helps superintendents to be
mindful. This attention to observation allows for distinctions to be made in the hiring process,
which results in an even more complete picture that informs the process of intuition. Ultimately,
the effectiveness of the intuition process stems from a person’s ability to inform intuition through
the process of observation. These precepts are confirmed by the study conducted by Phillips et
al. (2008) regarding expertise in judgment and decision making.
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The basis for the Phillips et al. (2008) study is to distinguish between an expert and a
novice when it comes to making managerial decisions. The primary distinction that separates the
two is the breadth and depth of their domain-specific knowledge (Phillips et al., 2008):
1. Perceptual skills: The ability to make fine discriminations, seen as an essential
component of expertise in many settings
2. Mental models: Experts have a broader and deeper knowledge and experience base. They
understand the dynamics of events in their domain. They know how tasks and subtasks
are to be performed. This mental representation of “how things work” is referred to as a
mental model, an internal representation of the external world.
3. Sense of typicality and patterns: This knowledge is often in the form of a repertoire of
patterns. Several studies support the assertion that experts can perceive large, meaningful
patterns of information.
4. Routines: This category refers to “knowing how.” Experts know a wider variety of
tactics for getting things done.
5. Declarative knowledge: Experts simply know more facts, more detail. They are in
command of more explicit knowledge.
6. Run mental simulations: People use mental simulations to adjust a known value so that it
fits in a new situation. Experts imagine various configurations of events by combining
what they know to be true with what might be, based on what they see in the new
situation. Experts can use their detailed mental models, coupled with their understanding
of the current state of the situation, to construct simulations of how the situation is going
to develop in the future, and thereby generate predictions and expectations.
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7. Spot anomalies and detect problems: Experts spend relatively more time analyzing the
situation than deliberating about a course of action. They spend less time on the
dynamics of the situation and more time determining how to respond.
8. Find leverage points: Experts can generate novel courses of action by identifying and
capitalizing on unapparent opportunities for useful interventions. Mental simulation is a
powerful tool of using leverage points to support improvisation.
9. Manage uncertainty: Experts use a range of strategies for managing uncertainty in field
settings. Expert decision makers tend to use their mental models to fill in the gaps with
assumptions, to mentally simulate and project into the future, to formulate information
seeking tactics.
10. Take one’s own strengths and limitations into account: Several studies indicate that
experts are better self-monitors than non-experts. Expert’s self-knowledge is not only on
their greater domain knowledge, but also on the way in which that information can be
represented in order to carry more meaning.
The fundamental idea in the research study was to distinguish between a novice and an
expert in managerial decision making. The study indicates that experts rely on an extensive
knowledge base to make judgments, which has been named the Recognition Primed Decision
(RPD) model (Phillips et al., 2008). This model was originally developed based on observations
of firefighters who claimed when interviewed that they did not think, they just acted. The data
from this and other studies of naturalistic decision making indicate that in natural settings,
experts typically use a recognition-primed strategy to make decisions (Phillips et al., 2008). In
other words, skilled decision makers, like experienced superintendents, make sense of the
situation at hand by recognizing it as a prototype they have already experienced and stored in
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long-term memory. Therefore, a recognition match can be done without deliberation. Once the
recognition has been established, an appropriate course of action or decision becomes clear.
Not all situations are that straightforward. Sometimes a manager is faced with a situation that
is unfamiliar. According to the research, what is necessary in this situation is more information
(Phillips et al., 2008). The expert must then deliberate about the nature of the situation, often
seeking missing or additional data to generate a more accurate assessment. By searching for
additional information, the expert is able to inform their intuition to make sense of the current
situation. In such cases, the most plausible story is treated as an explanation and a basis for
understanding the dynamics (Phillips et al., 2008). This indicates that experts, more than their
counterparts, make better use of their experience. Phillips et al. (2008) identified four distinct
ways in which experts learn:
1. Engaging in deliberate practice and setting specific goals
2. Compiling extensive experience banks
3. Obtaining feedback that is accurate, diagnostic and reasonably timely
4. Enriching their experience by reviewing prior experiences to derive new insights and
lessons from mistakes
So how can people acquire expertise in decision making? Phillips et al. (2008) make a
clear distinction between general intuition and specific intuition. Specific intuitions are
judgments related to a particular task within a domain. For example, a contractor has to estimate
the time it will take to complete a job to generate a cost quote. These types of judgments are
discrete and are amenable to isolation as targets for training. Because this type of intuition is so
specific, it can be structured within a program of improvement which would focus on practice
and feedback. General intuition is defined more broadly by Phillips et al. (2008) as knowledge
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and experience within a particular domain, not specific to a task. For example, it is know-how
across a broad range of judgments and actions. At this broad level it is not realistic to rely on
practice and feedback as a training approach due to the difficulty of isolating discrete tasks. A
different approach must be taken for general intuition. The following six goals were established
through the empirical findings (Phillips et al., 2008):
1. Enhance perceptual skills
2. Enrich mental models about the domain
3. Construct a large and varied repertoire of patterns
4. Provide a large set of routines
5. Provide a larger experience base of instances
6. Encourage an attitude of responsibility for one’s own learning
The ongoing research indicates that a scenario-based instructional approach that addresses the six
goals is promising for facilitating the development of decision-making expertise in a specific
domain.
The correlation between interpersonal skills and intuition was made by Rammer’s (2010)
study. He recognized that the success of the principal selection was directly related to the
interpersonal skills of the superintendent because these skills facilitated the acquisition of
information that influences intuition. Interpersonal skills have been shown to be foundational for
effective leadership in many settings (Smith et al., 1992). The need for those skills among
educational administrators was examined and what the researchers concluded is that the
foundation of any leadership effort requires the mastery of and the ability to demonstrate a
specific set of basic interpersonal skills. Interpersonal skills can be acquired through training.
However, most administrative programs do not provide it. Four categories of skills have been
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identified as being central to effective interpersonal functioning: physical attending, empathy,
respect, and concreteness.
Physical attending has been described as the precursor to listening (Smith et al., 1992). It
includes facing someone when you speak to them; maintaining eye contact, leaning slightly
forward; and eliminating environmental distractions. Empathy emphasizes shifting the
perspective on the other person’s frame of reference. In interpersonal exchanges, the focus is on
responding to the content of the dialogue accurately by understanding the meaning of the event
from the other person’s point of view (Smith et al., 1992). Respect refers to the manager’s ability
to communicate regard for the ability of others to manage their own lives. In other words, it
refers to a manager’s ability to suspend judgment. Concreteness is the specificity by which a
manager responds to others’ experiences (Smith et al., 1992). It is validating when a manager is
direct about a professional experience and it is at the same level as the communicator.
The implications of Smith’s (1992) study are that high school principals are being
prepared for leadership roles, even though they do not demonstrate or have only limited
opportunity to acquire interpersonal skills. According to Smith (1992) the characteristics of
interpersonal skills are observable, measureable and quantifiable. The study demonstrates that
administrators, such as superintendents, are going to be successful in managing the behavior of
others if they develop skill in using interpersonal skills, along with developing in the area of
human resources as suggested by Bolman and Deal (2008).
The examination of intuition and interpersonal skills is essential to this research topic
because it is a dynamic that is prevalent in the decision-making process for a superintendent as
indicated by the research of Rammer (2010). While the work of Marzano et al. (2004) and the
context of 21
st
century leadership form a foundation for what a superintendent is looking for in
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potential high school principals, there are other factors that influence the actual decisions that are
made by superintendents. Intuition is more than a hunch or gut feeling. It is a phenomenon that
has been researched and proven to be one of the tools that is employed by superintendents when
they make personnel decisions.
Conclusion
When approaching this research topic, it was important to establish a theoretical
framework. Bolman and Deal’s Four Frame Theory of Leadership (1991) is the foundation for
this research study as it provides the archetypal leadership frames that a superintendent would be
seeking if he or she was going to hire a high school principal. Marzano et al. (2004) adds
specificity to the four frames by examining leadership under the realm of education and identify
21 essential responsibilities that a principal would have to fulfill in order to be successful. This
research is critical because the work of Bolman and Deal (1991) is not specific to educators.
Their work expands the breadth of leadership to include business and other organizational
realms. The research of Marzano et al. (2004) sets the standard specifically to education.
Superintendents have been guided by Marzano’s work for almost a decade. In fact, the
research by Rammer (2010) examined superintendents and concluded that there is agreement
among them that Marzano’s 21 characteristics for a principal are essential. In fact, they are the
exact qualities superintendents are looking for in candidates who apply to be high school
principals. Superintendents also have an understanding of today’s political and economic
climate. Education is on the precipice of great change as the country has now adopted a set of
national standards that changes education in the 21
st
century. The challenge, however, is finding
a credible way to identify these qualities within the hiring process, given today’s political and
economic dynamics.
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Intuition and interpersonal skills have been identified in Rammer’s (2010) research as
key factors in a superintendent’s final decision when hiring a principal. According to the
research, intuition is informed by what is observed. Therefore, what a superintendent observes in
the interview process will inform their intuition. Interpersonal skills are the tool that
superintendents use to extract the observable data in the interviews that will help them to make
the best decision possible.
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CHAPTER THREE: METHODOLOGY
Purpose of the Study
This dissertation seeks to gain information and knowledge regarding the process
superintendents use to base their decision on the selection of a high school principal. The study is
pertinent to education as high school principals are critical to student achievement. In fact, high
school principals in the 21
st
century are expected to respond to increasing state and federal
accountability measures making the process of teaching and learning dynamic and rigorous.
Research by Bolman and Deal (2008) on the Four Frames of Leadership and by Marzano et al.
(2004) on the 21 responsibilities of principals provides the necessary background for research
related to the criteria superintendents use to make decisions on the selection of high school
principals. Included in the research for this dissertation will be an examination of how
interpersonal skills and intuition factor into the process of decision making.
Research Questions
1. How will superintendents identify the qualities of leadership that are essential for
high school principals in the 21
st
century?
2. How do superintendents decide “best fit” for a high school principalship when two
candidates seem equally qualified?
3. To what extent do intuition and interpersonal skills affect the decision-making
process when evaluating high school principal candidates?
Research Methodology
A mixed methodology will be used to conduct the research for this dissertation using both
qualitative and quantitative measurements. According to Creswell (2009), a mixed methods
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study affords the researcher opportunity to obtain qualitative and quantitative data by use of
interviews and surveys. The rational for the decision is as follows:
Qualitative Methods. The research questions for this dissertation are focused on the
decision-making process of superintendents. The data needed to answer the questions are
“emergent” as each superintendent is unique and each superintendent works in a unique setting
(Merriam, 2009). Therefore, a qualitative method of data analysis is necessary because a
qualitative study can provide details about human behavior, emotion and personality that are
important in order to answer the research questions and close the gap in knowledge regarding the
decision-making process of superintendents.
Through interview protocols, the researchers for this dissertation will come to understand
the personal experiences of superintendents and qualify their process for making a decision when
appointing a high school principal. The data collected from this research protocol will provide an
understanding of the selection process that cannot be obtained in a quantitative manner.
Phenomena, such as intuition or interpersonal skills, are difficult to understand through a simple
denotative manner. For a more accurate understanding of the process, it is important to
understand the details and descriptions that can be obtained by using qualitative measurements.
In a qualitative study, the goal is to provide accuracy, dependability and reliability in the
data collection process (Maxwell, 2013). What is most important in answering the research
questions is to understand the perspectives of those involved, to uncover the human behavior in a
contextual framework, and to present a holistic interpretation of what is happening. However,
credibility is also important if the research in this dissertation is to be valid. In order to establish
credibility and validity, it is important to triangulate data measurements.
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Quantitative Methods. Merriam (2009) explains that triangulation means using multiple
sources of data to compare and cross-check information. By triangulating data from multiple data
collection models, conclusions can be made that are more accurate and viable as they will have
been compared between multiple measures of assessment, adding credibility to the research.
While the employment of a qualitative measurement is important to this research study, a
quantitative methodology will be employed to add perspective to the data and to establish the
necessary triangulation. The data collection method used to establish a quantitative measurement
will be surveys completed by superintendents about their decision-making process when hiring a
high school principal.
Sample and Population
For this research study, unique purposeful sampling was used to select participants.
Unique purposeful sampling is used when the sample is based on atypical attributes of the area of
study (Merriam, 2009). In this case, only a superintendent could appropriately answer the
research questions because they are the stakeholder represented throughout the entire interview
process and they ultimately determine which candidate should be presented to the Board of
Education for appointment. During different phases of the hiring process other stakeholders are
involved, such as a teacher who may be part of the first interview panel for a principal selection.
However, the superintendent is the active participant in a second round of interviews. Since
superintendents are the ones interacting with the candidates in the final stages of the hiring
process, they would be the only people who could thoroughly answer questions whether through
interviews or surveys.
It was also important that the superintendents who were the research subjects of this
dissertation had at least two years of experience in their position. This was to validate that they
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have the professional experience to credibly respond to the questions. The researchers were also
interested in interviewing superintendents who had previous work experience specifically at the
secondary level. This was an important factor because the researchers wanted to determine
whether their own personal experiences influenced their decision making. The researchers did
not want to interview superintendents of elementary districts or superintendents who only had
elementary experience because this study was focused on high school principals only.
It is important to note that while unique purposeful sampling was certainly a factor in
selecting the respondents for this research study, there was also an element of convenience
sampling. Time, location and availability were all constraints. Merriam (2009) explains that
some dimension of convenience almost always figures into sampling selection. However, the
integrity of the information obtained from the data collection protocols will not be credible if the
sample selection is made on this basis alone (Merriam, 2009). For this research study, the
convenience of interviewing superintendents in the surrounding counties is balanced by the
professional experiences and integrity of the individuals interviewed and surveyed, validating the
data that was obtained.
Instrumentation
Theoretical Framework
The complexity of selecting a high school principal is that a superintendent is trying to
find a candidate with a specific skill set within a hiring process that is influenced by a
superintendent’s intuition (Rammer, 2010). The theoretical framework for finding a suitable
instructional leader for a high school can be found in Reframing Organizations by Bolman and
Deal (2008). The research indicates that any organizational leader must be able to effectively
function within the four frames: structural, political, symbolic, and human resources (Bolman &
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Deal, 2008). Bolman and Deal’s (2008) research is supported by the work of Marzano (2004)
which explicitly identifies the characteristics of an effective principal which all fall within the
four leadership frames.
Because the research shows that intuition and interpersonal skills influence decision
making, they must also be a consideration in the framework for this dissertation (Hogarth, 2001;
Rammer, 2010). The research conducted on intuition indicates that intuition is influenced by
what is observed (Hogarth, 2001). In fact, Hogarth (2001) confirms that when examining a
person’s intuition, the focus should explicitly target a person’s skills of observation, and the
process they use to interpret what is observed. Hogarth’s (2001) research supports Rammer
(2010) who suggest that the intuition used by superintendents to make personnel decisions is
dependent on how well they use their interpersonal skills to interpret the observations made of
the candidates during the interview process. Therefore, Bolman and Deal (2008) form the
theoretical framework for the leadership characteristics essential for a high school principal
position, while Hogarth (2001) and Rammer (2010) establish a framework for how intuition and
interpersonal skills affect decision making.
Data Needed
Merriam (2009) contends that the theoretical framework, the problem, and the research
questions determine what data protocols should be used to conduct research. For this
dissertation, the framework from Bolman and Deal (2008) is critical based on the review of
literature in this area of study. However, it has to be supplemented with the aspects of intuition
that are proven to influence a superintendent’s decision making process (Rammer, 2010).
Therefore, the data needed centers on those qualities that are essential for a new principal to be
successful:
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Evidence of stature, confidence, decorum and presence (symbolic leadership)
Evidence of political capital through leadership positions held in organizations or
memberships with affiliates or groups (political leadership)
Evidence of people skills and a connection to the community through organizational
relationships (human resources leadership)
Evidence of effective management skills, organization, ability to prioritize and multi-task
(structural leadership).
The data identified above is quantifiable, in part, through artifacts like the candidate’s job
application, responses to interview questions, required writing samples, cover letters, and letters
of recommendation. A survey protocol completed by superintendents will provide this data. The
researchers for this dissertation conducted surveys of 47 superintendents. However, not all of the
data needed to answer the research questions can be obtained in a quantifiable manner. For
example, how the dynamics of interpersonal skills affect the decision making process is
important to the research. Interpersonal skills pertain to both the superintendent and the
candidate as the interaction between the two during the interview affect the final outcome.
Equally important to the research are the effects of intuition to the final personnel decision. It
was determined that this data would most effectively be acquired through interviews. Ten
superintendents were interviewed for this dissertation.
Interview protocol. The interview protocol was developed by crafting questions that
would answer the research questions (See Appendix A). An interview is an opportunity to have a
conversation with a purpose (Merriam, 2009). By asking the right questions, the researchers
could find out what is on the minds of superintendents when they are making a decision to hire a
high school principal. Therefore, a pilot interview protocol was established. The 10 interview
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questions created were practiced on colleagues. Merriam (2009) and Maxwell (2013) state that
piloting interview questions allows for practicing interview techniques and creates the
opportunity for feedback so that the interview questions can be refined. Fellow researchers
devoted careful attention to how the established questions related to the research question. In
some cases, interview questions had to be recreated to garner the data needed to answer the
research question.
Interviews were conducted in a semi-structured format. This design was flexible and
allowed the interviewer the ability to follow the lead of the respondent, while still being guided
by a list of questions (Merriam, 2009). In order to determine how interpersonal skills affect the
way in which superintendents interpret what they observe from the candidates, the interview
protocols had to be open ended to garner the unique stories that each superintendent had to tell.
Intuition is not something that can be easily explained in a simple denotative manner. There are
nuances that would need to be provoked from the respondent. It is for that reason that probing
questions are essential to this process as they allow the interviewer to make adjustments when
the respondent is on to something significant (Merriam, 2009). Therefore, probing questions
were established along with the interview questions.
Survey protocol. Using the methodology prescribed by Fink (2013), the researchers for
this dissertation created a survey protocol that contained 35 questions (See Appendix B). The
questions were purposefully established to answer the three research questions, while keeping to
the theoretical framework that was established for the dissertation. The researchers employed a
unique purposeful sampling approach using a continuous numeric scale. A continuous numeric
scale was essential because it could be tailored to divide information and responses into finer
increments. This approach allowed the researchers to collect the desired targeted data more
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accurately. Moreover, the survey was piloted in order to decrease any internal or external threats
to validity. Lastly, after piloting the survey questions, the researchers made the appropriate
adjustments to the survey protocol to ensure that all the questions were directly established to
answer the four research questions.
Data Collection
In order to validate the research for this dissertation, multiple data sources were used to
establish triangulation. Each of the instruments utilized to collect data for the research was
derived based on the research questions that frame the dissertation. The data instruments were
primarily interviews and surveys. However, there was an extensive review of literature in this
area of study as well as the review of documents and artifacts.
Process of Getting Consent
Gaining consent to conduct both the surveys and the interviews was an important step in
this mixed method research process. Bogden and Biklen (2007) explain that the consent process
lays the framework for a good rapport with respondents. To obtain consent from the participants
of this study, the researchers first emailed a detailed description of their background and status as
a doctoral student at the University of Southern California. They then described the context of
the research being conducted and the interest in the topic (See Appendix C). In order to secure
their willingness to participate in an interview or survey, the researchers shared the central
research questions for the study and set a time frame for the surveys and the interview not to
exceed 30 minutes. The participants granted consent electronically when they participated in the
completing the survey. The interview protocol required written consent which the participants
signed before the interview was conducted (See Appendix D).
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Interview Protocol
Because the research shows that good interviews occur when respondents are at ease, the
researchers asked the participants to choose a time and place for the interview (Bogden &
Biklen, 2007). The intention was to create the possibility for free conversation in an environment
that was most comfortable for the respondent. The communication with the participants for this
part of the process was by telephone. The researchers chose this form of communication
strategically because they wanted to start a connection with the respondents before the actual
interview. The telephone conversation allowed the opportunity to verbally express excitement to
meet with them. It also allowed for the opportunity to make some small talk in order to reduce
the affective filter before the interview actually took place. During the phone conversation, the
researchers took the opportunity to explain to the participants that on the actual day of the
interview they would be provided with a hard copy of the interview questions. The intent was to
create an atmosphere of full disclosure and fairness and to create ease without compromising the
interview by allowing the participants to come to the interview with pre-scripted responses.
Additionally, each superintendent was asked and permission was granted to tape record
the interview to capture all the data necessary. Merriam (2009) asserts that voice recorded
interviews are the best way to capture data for analysis. During each interview detailed notes
were taken to record each superintendent’s responses as well as comments and observations by
the researchers. Immediately following each interview, the researchers reflected on the
experience in order to memorialize the interview and add validity to the process.
Survey Protocol
Surveys were created electronically and emailed to the superintendents who were
identified as appropriate for the research study using unique purposeful sampling. The surveys
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were only emailed after consent had been granted. At the time the surveys were emailed, the
researchers were conscientious to reiterate the purpose of the study, the foundational research
questions to the dissertation, and the importance of their assistance. With regard to
confidentiality, each superintendent was informed that results of the survey would not be shared
with colleagues or any stakeholder affiliated with their respective school district. Moreover,
superintendents were informed that the researchers would be the only people with exclusive
possession of the results of their respective surveys.
Data Analysis
Once all the data was collected using interview and survey protocols, the researchers
analyzed the data and used the information to derive at meaning which ultimately lead to the
findings.
Interviews
After each interview, the tape recording was transcribed and field notes compiled. The
field notes included personal reflections on the interview experience. As each interview took
place, patterns began to emerge from the responses of the superintendents. These patterns
affected the researchers in two ways. First, it gave insight as to probing questions that might be
asked of the next candidate, or prompted the researchers to adjust an interview question to better
garner the information needed. For example, after conducting a few interviews, it became
noticeable that the structural process each district uses to conduct interviews for a high school
principal is different. Therefore, a probing question became necessary so that each
superintendent could detail the interview process for their respective district. Secondly, it made
the researchers realize the emerging patterns in the data collection needed to be categorized
sooner, rather than later, to avoid an unmanageable situation.
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Coding is nothing more than assigning some sort of designation to aspects of data that is
collected (Merriam, 2009). The designation, according to Merriam (2009), can be a single word,
numbers, phrases or even colors. The researchers decided to use colors to designate the data
collected. By color coding the data, all the researchers had to do was highlight the data they
wanted coded and change the font color on Microsoft Word to represent the particular category
that was represented by the data.
Surveys
Surveys were electronically distributed to superintendents and collected by the
researchers for analysis. Table 1.1 illustrates the data analysis plan that was used to examine both
interview and survey protocols.
Table 1
Research Questions Instruments Participants Analysis
1. How will superintendents
identify the qualities of
leadership that are essential for
high school principals in the
21
st
century?
Interviews,
surveys,
document
review
Superintendents Open-ended semi-
structured
interviews and
surveys using
Likert scale
2. How do superintendents
decide “best fits” for a high
school principalship when two
candidates seem equally
qualified?
Interviews,
surveys,
document
review
Superintendents Open-ended semi-
structured
interviews and
surveys using
Likert scale
3. To what extent do intuition
and interpersonal skills affect
the decision-making process
when evaluating high school
principal candidates?
Interviews Superintendents Open-ended semi-
structured
interview
Summary
The goal of the mixed method researcher is to increase the “credibility” of the findings by
triangulating data sources (Creswell, 2009). The researchers used the triangulation method by
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using multiple measures of assessment in several ways. For example, multiple methods of data
collection were utilized by conducting interviews and surveys. Also, multiple data artifacts were
utilized which included interview transcripts, survey data transcripts, field notes and journal
writing. Finally, the researchers analyzed the data using multiple theories that were constructed
in the theoretical framework established for the dissertation: Bolman and Deal (2008), Hogarth
(2001), Marzano et al. (2005), and Rammer (2010).
According to Merriam (2009), the validity and reliability of a research study depends
upon the ethics of the investigator. To establish credibility and ethics, the researchers for this
dissertation were very conscientious about protecting subjects from harm by maintaining the
anonymity of the people interviewed or surveyed. The researchers also maintained the
anonymity of the districts where the interviews and surveys were conducted. Exceptional care
was taken in gaining entry into the interviews and surveys by spending time explaining to the
superintendents what was to be accomplished, how the data was being collected, and how the
data was being used. Furthermore, the researchers shared the data with the superintendents in
order to establish transparency and trust. All participants were also vetted through the process of
informed consent.
After all the data was collected, each data source was coded and analyzed. Themes
emerged from the data analysis which led to the discovery of the findings. Specifically, the
analysis answered the research questions for the dissertation. The connections discovered
through the data analysis allowed the researchers to offer recommendations to superintendents
who will inevitably have to hire a high school principal at some point in their career. It also
provided the opportunity for the researchers to identify areas for further investigation and
academic inquiry.
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CHAPTER FOUR: FINDINGS
Background
This chapter presents the findings for the research that was conducted on the dynamics
related to the decision-making process superintendent’s use for the selection of a high school
principal. The research for this study includes data from 47 surveys and 10 interviews with
superintendents. All of the interviews for this research were conducted with current
superintendents in the state of California. Two out of the 10 superintendents are women. One
superintendent has two years of experience on the job; another has three years of experience. All
the rest, however, have four or more years of experience at the helm of their respective districts.
Nine of the 10 superintendents interviewed have a doctorate in education. All of the
superintendents interviewed for this research have administrative experience at the secondary
level. Additionally, all of the superintendents who were interviewed have personal experience
hiring a high school principal at some time during their tenure as the superintendent. Finally,
nine out of the 10 superintendents interviewed work for a unified school district. One heads a
high school district.
Table 2
Participants
Classification Gender Tenure
Superintendent 1 Unified District Male 7 Years
Superintendent 2 High School District Male 5 Years
Superintendent 3 Unified District Female 14 Years
Superintendent 4 Unified District Male 2 Years
Superintendent 5 Unified District Male 4 Years
Superintendent 6 Unified District Male 4 Years
Superintendent 7 Unified District Male 8 Years
Superintendent 8 Unified District Male 3 Years
Superintendent 9 Unified District Female 9 years
Superintendent 10 Unified District Male 5 years
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Purpose of the Study
The purpose of the study is to gain information regarding the manner in which
superintendents base their decision for selecting a high school principal. Specifically, the study
explores the effects of intuition and interpersonal skills as they relate to the decision-making
process.
Methodology
A mixed methodology was used to conduct the research for this dissertation using both
quantitative and qualitative measurements. Merriam (2009) explains that triangulation means
using multiple sources of data to compare and cross-check information. By triangulating data
from multiple data collection models, conclusions can be made that are more accurate and viable
as they will have been compared between multiple measures of assessment, adding credibility to
the research.
Surveys were conducted as the quantitative measure for triangulating the data. Using the
methodology prescribed by Fink (2013), a survey protocol was created with 35 questions. The
questions were purposefully established to answer the three research questions, while keeping to
the theoretical framework that was established for the dissertation. The researcher employed a
unique purposeful sampling approach using a continuous numeric scale. A continuous numeric
scale was essential because it could be tailored to divide information and responses into finer
increments. Surveys were created electronically and emailed to the superintendents who were
identified as appropriate for the research study using unique purposeful sampling. The surveys
were only emailed after consent had been granted. In total, 47 surveys were collected for this
research study.
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To establish a qualitative measurement for the research and to establish triangulation, 10
interviews with superintendents were conducted. The interview protocol was developed by
crafting questions that would answer the research questions. They were conducted in a semi-
structured format. This design was flexible and allowed the interviewer the ability to follow the
lead of the respondent, while still being guided by a list of questions (Merriam, 2009). In order to
determine how interpersonal skills affect the way in which superintendents interpret what they
observe from the candidates, as well as how their own interpersonal skills affect the interaction
with the principal candidates, the interview protocols had to be open-ended to garner the unique
stories each superintendent had to tell. Likewise, intuition is not something that can be easily
explained in a simple denotative manner. There are nuances that would need to be provoked
from the respondent. It is for that reason that probing questions were essential to this process as
they allow the interviewer to make adjustments when the respondent is on to something
significant (Merriam, 2009). Therefore, probing questions were established along with the
interview questions.
Coding of Data
After each interview, the tape recording was transcribed and field notes compiled. The
field notes included personal reflections of the interview experience. As each interview took
place, patterns began to emerge from the responses of the superintendents. The emerging
patterns in the data collection needed to be categorized from the start of the data collection
process in order to avoid an unmanageable situation. Likewise, surveys were electronically
distributed to superintendents and collected by the researcher for analysis. The survey data was
compiled into charts by survey question which added both depth and complexity to the overall
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research study as this added the triangulation needed to validate the interview responses from the
superintendents.
Coding is nothing more than assigning some sort of designation to aspects of data that is
collected (Merriam, 2009). The designation, according to Merriam (2009), can be a single word,
numbers, phrases or even colors. The researcher decided to use colors to designate the data
collected. By color coding the data, all the researcher had to do was highlight the data he wanted
coded and change the font color in the chart to represent the particular category that was
represented by the data.
As the 10 interviews with superintendents progressed, the researcher continued the
coding process by maintaining the same color codes for each of the 10 interviews. When all the
interviews and surveys were completed, and all the coding was done, the researcher analyzed the
data. The color coding process was essential in condensing evidence into manageable segments
so that the data was discernable.
Validity
In a qualitative study, the goal is to provide accuracy, dependability and reliability to the
data collection process (Maxwell, 2010). The researcher for this dissertation kept this notion at
the forefront of his mind as he worked through the data analysis. What was most important to the
researcher in answering the research questions was to understand the perspective of those
involved, to uncover the human behavior in a contextual framework, and to present a holistic
interpretation of what was happening.
Reliability
Traditionally, reliability is the extent to which research findings can be replicated
(Merriam, 2009). This is problematic as human beings and human behavior is not static.
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Therefore, reliability can be conceptualized as the “dependability” of the research conducted for
this research study. The strategies used to create consistency and dependability included keeping
an audit trail: the researcher documented in a research journal how the data was collected; the
researcher documented how categories were derived; and the researcher documented how
decisions were derived throughout the inquiry of the study.
Ethics
According to Merriam (2009), the validity and reliability of a research study depends
upon the ethics of the investigator. To establish his own credibility, the researcher was very
conscientious of protecting interview subjects from harm by maintaining the anonymity of the
people interviewed or surveyed. The researcher also maintained the anonymity of the district
where the interview was conducted. Likewise, the researcher took exceptional care in gaining
entry into the interviews by spending time explaining to the superintendents what was to be
accomplished; how the data was being collected; and how the data was being used. Furthermore,
the researcher shared the data with the superintendent when it was requested to establish
transparency and trust. All the participants were vetted through the process of informed consent.
Guiding Questions
The following three research questions served as the guiding force for the study:
4. How will superintendents identify the qualities of leadership that are essential for
high school principals in the 21
st
century?
5. How do superintendents decide “best fit” for a high school principalship when two
candidates seem equally qualified?
6. To what extent do intuition and interpersonal skills affect the decision-making
process when evaluating high school principal candidates?
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Research Question #1: How Will Superintendents Identify the Qualities of Leadership that
are Essential for High School Principals in the 21
st
Century?
Answering research question 1 is done, in part, through the examination of artifacts like
the candidate’s job application, required writing samples, cover letters, and letters of
recommendation. Therefore, a survey protocol was established to quantify the importance of
these artifacts. The survey contained 35 questions and it was administered to 47 superintendents.
As it pertains to identifying the qualities of leadership that are essential for a high school
principal, the quantitative data revealed particular emphasis in three areas. The areas that were
identified as significant factors for superintendents in their decision-making process when hiring
a high school principal are:
93.6% percent of superintendents interviewed felt it was either important or very
important that a high school principal candidate have at least three years of teaching
experience at the high school level.
89% of the superintendents surveyed felt it was either important or very important that a
high school principal candidate have a breadth of professional experiences that must
include curriculum and instruction.
97.9% of the 47 superintendents surveyed felt it was either important or very important to
consider the instructional needs of the school against the professional experiences of the
high school candidates who apply for the position.
Additionally, the survey revealed factors that had a lesser impact on the superintendents and their
decision-making process. For example, only 34% percent of the superintendents surveyed felt
that previous high school principal experience was important. And, only 31.9% of
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superintendents felt that the reputation of the university that a candidate attended was of any
critical importance.
Research question 1 refers not only to “what” qualities are critical for a high school
principal candidate, but “how” those qualities are identified. The survey data identified the three
major areas stated above, which can be determined by examining physical artifacts like a resume
or cover letter. However, they are also determined by letters of recommendation and an extensive
background check on references which are critical to superintendents and their decision-making
process as shown in in Figure 1:
Figure 1
After analyzing the data, it became evident that examining physical artifacts were not the
only important factor to superintendents when selecting a high school principal. Equally
important is the actual interview process. For example, 82.9% of the 47 superintendents surveyed
felt that in order to identify the leadership qualities necessary for a high school principal
candidate it is either important or very important to solicit information from the stakeholders at
the school site where the vacancy exists. In contrast, only 34% of the 47 superintendents felt it
0.00% 10.00% 20.00% 30.00% 40.00% 50.00% 60.00% 70.00% 80.00%
Very Important
Important
Somewhat Important
Minimally Important
Not at all Important
Reference Checks and Letters of Recommendation
Superintendents
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was either important or very important to conduct a school site visit where the high school
principal candidate is employed at the time of the interview.
When it comes to identifying the qualities of leadership that are essential for a high
school principal, all 10 superintendents agreed that they have to rely on the interview process.
However, all 10 superintendents also acknowledged that the interview process itself is not
adequate in identifying all the qualities they were seeking in a principal candidate.
Superintendent 6 stated, “I would say no, an interview process is never going to get at every
detail that’s needed.” Other superintendents were quick to reiterate that there is no interview
process that will ever get to all the information that is needed to make a personnel decision,
regardless of the position (Superintendent 9). While this sentiment was consistent with all 10
superintendents, it is important to note that most of the superintendents who were interviewed for
this research study felt the interview process itself, if done right, can produce most of the
information that is needed to make a personnel decision for a high school principal. When
Superintendent 7 was asked if the interview process identified all the qualities he was looking for
in a principal candidate, he stated:
Nearly all, not all. The easy qualities to identify are intelligence, thinking processes,
professionalism, diplomacy, writing skills and oration skills. The harder qualities to
identify are in-the-moment juggling. The second hardest to identify can be decision
making, when to be hard and when to be soft on an issue…In the interview they said they
could fire somebody, but on the job can they? (Superintendent 7)
The superintendents were clear that while the interview process itself could not produce
the entire scope of information needed to make a good decision about a high school principal, the
process could be developed to secure as much vital information as possible to aid in their
decision-making process. The interviews this researcher conducted with all 10 superintendents
included a detailed description of how they conducted interviews for a high school principal
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position in their respective districts. The elements that were consistent among all 10
superintendents are:
First Interview: consisting of all stakeholders including parents, community members,
collective bargaining members, teachers and administrators. The first interview has two
components: technical panel interview and a separate interpersonal panel interview. The
other component to the first interview is a writing exercise which is situational.
Second interview: consisting of the candidates, superintendent and, in most cases, the
superintendent’s cabinet. The superintendent facilitates the second interview. The second
interview is more conversational in nature.
Thorough reference checks. While this is typically done by the Assistant Superintendent
of Human Resources, superintendents acknowledged their own active participation in this
part of the process more often than not.
There were a two distinct protocols that came out of this research study which were not
typical or common practice among all 10 superintendents that were interviewed. First,
Superintendent 9 explained that her district has high school principal candidates watch a
videotape of a lesson. After watching the videotape, the candidate would be asked what
feedback or mentoring would they offer the teacher if what they watched on the video was
actually a teacher observation. Second, Superintendent 4 explained in detail how his district
conducted a “pre-screening” interview prior to the first interview. The purpose of the pre-
screening interview is to meet the candidates in person and determine whether they were
even remotely a fit with their district:
…We go through and screen the applicants, look through the application and look at their
letters of recommendation; look at their employment history and determine if we are
interested in learning more about them. If they are outside of our district, we invite them
for about a 15-20 minute, what I call a pre-screen interview… People can look good on
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paper and walk in the door and within 20 seconds you know there’s no way they will fit
in our district… (Superintendent 4)
Research Question 2: How Do Superintendents Decide “Best Fit” for a High School
Principalship When Two Candidates Seem Equally Qualified?
The idea or concept of “fit” is a major consideration in the decision-making process for
all 10 superintendents who participated in the research study. In fact, all the superintendents
clearly articulated that “fit” is a dynamic that must be clearly identified in the interview process
in order for a candidate to be appointed to a principalship. Therefore, it was important for this
researcher to press the superintendents about what “fit” means to them and how it is identified in
the interview process. The data collected to answer this research question started with the
quantifiable data which was ascertained by the survey protocol. Of the 47 superintendents
surveyed, 45 confirmed that finding a candidate that “fits” the school site and district is either
important or very important as shown in Figure 2:
Figure 2
More specifically, the survey protocol indicates that a major component in determining “best fit”
has to do with culture. This culture, however, is not specific to just the school site that has a
principal vacancy, but encompasses the culture of the district and the surrounding community as
0% 10% 20% 30% 40% 50% 60% 70% 80% 90%
Very Important
Important
Somewhat Important
Minimally Important
Not at all Important
How relevant is "Best Fit" to your decision-making process?
Superintendents
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well. Figure 3 shows that the culture of the school and community provides the context by which
a superintendent can evaluate the qualities of each candidate as it pertains to personality, attitude,
philosophy, values and leadership style.
Figure 3
The data collected in the surveys are confirmed through the actual interviews that were
conducted with the 10 superintendents. The superintendents explained that to a large degree,
“fit” is determined by knowing and understanding the culture of the community and the school
site that has a principal vacancy and matching that up with the personality, philosophy and
leadership style of the candidate:
For me, the most fundamental element in determining fit is the humanistic aspect of that
interview. At the point of the second interview I’m assuming that number 1, and 2, and 3,
they’ve got the technical skills. I don’t really care if you can do a master schedule or not,
you can learn. If you’re at this level then obviously you have to be intelligent and be at a
point where what you don’t know technically you can learn. I’m looking for interpersonal
skills. I’m looking for the humanistic qualities. I’m looking for the communication skills.
I’m trying to picture that person standing in front of the very contentious English
department and picturing that person being able to find that win-win with a department
that has historically been tough to handle or the counseling department or whatever the
issue may be. (Superintendent 3)
Superintendent 3 identifies one of the most essential frames from Bolman and Deal
(2008). The human resource frame is centered on relationships. Therefore, superintendent 3 is
0.00% 20.00% 40.00% 60.00% 80.00% 100.00%
Very Important
Important
Somewhat Important
Minimally Important
Not at all Important
Consideration of the cultural climate of the school site that has a vacancy
weighed against the personality, attitude, and leadership style of the
candidates.
Superintendents
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really looking at how a new principal is going to interact and conduct himself or herself with the
stakeholders from the school site. Because “best-fit” is important to the decision-making process
of superintendents, understanding the mechanism in the interview process that garners that
information is critical. How does a superintendent identify a match between the culture of a
school and community with a principal candidate? Superintendent 10 states that identifying a
match starts before the first interview. He explains that when there is a high school principal
position open in his district, he immediately begins putting out “feelers” regarding potential
candidates who should apply. He is strategically looking for inside candidates who are ready for
the professional challenge and are proven to understand the community. However, he is also
speaking to his peers outside the district who are willing to endorse a candidate who is ready to
be a principal: “We do not go into interviews without talking to people about the particular
person. Most of the time, their reputation in their job has been somewhat telling…We only
choose to interview those candidates whose reputations are stellar.”
Another key component in the interview process that helps superintendents to identify
“best fit” is understanding what the high school wants in a new principal. For example,
Superintendent 6 states that each high school has its own “personality” and the principal has to
match that personality. The only way to know with certainty what the staff and teachers want in a
principal is to ask them directly. Therefore, Superintendent 6 conducts a pre-interview with the
school community to determine what they want and need so that he can match a candidate who
will fit in that school culture. This process is how the human resources frame from Bolman and
Deal (2008) is established. The superintendent has to know what kind of personality will work at
the school site and the only way to accomplish that is to go directly to the source:
Prior to the interview process, first and foremost the familiarity with the school and the
school staff, and the school climate environment. That’s going to have a lot to do with the
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fit. And then we go out and do a pre-interview with the staff. We get the qualities that
they would like to see in their new principal, and then we do that with the community as
well. (Superintendent 6)
By having a meeting with the stakeholders at the site and also with members of the school
community, a superintendent is calibrated to know what he or she is looking for in a new
principal. Superintendent 5 explained that once he understands the community expectations he is
better able to discern what leadership style would work best for that school. For example, he said
a particular school may need a leader who has a leadership style that is direct or decisive because
of dynamics among the teaching staff. For some schools and in some situations, a direct
leadership style may not work and the school may be looking for a leader who is more
collaborative. Superintendent 9 shares the same sentiments:
Fit has multiple levels. We know that every school has its own culture. It’s a way of
doing business, and so when we are looking at both there are some schools that really like
and appreciate a principal who is very heavily involved in day-to-day operations and
really in there, working side by side with them. There are other school cultures that the
teachers think they are running things, and they do best with a principal who will
shepherd them – a little bit different style. That’s a piece of “fit.” (Superintendent 9)
In addition to finding a principal whose leadership style will match a specific school’s
culture, another important element has to do with core values. Superintendent 5 shared that he
always asks principal candidates to define their core values. He feels this is important
information because it will address the candidate’s ability to “fit” within the organization. This
same sentiment was reiterated by Superintendent 8 who gave a specific example. He shared that
if you are a school that has a high academic standing and your school places considerable value
on academic success and to college placement, you are not going to be looking for a principal
that is going to be a “fixer.” Instead, “you just want to get somebody in there that values people.
You want someone who is going to make people feel good” (Superintendent 8). Superintendent 8
establishes the critical nature of the human resources frame by his commentary.
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Research Question 3: To What Extent Do Intuition and Interpersonal Skills Affect the
Decision-Making Process When Evaluating High School Principal Candidates?
When approaching this aspect of the research study, the researcher was apprehensive
about confronting the topic of intuition and interpersonal skills with sitting superintendents. The
apprehension was based on the possible “impression” that superintendents might have about a
concept like intuition and its place in the professional arena. In simplest terms, the researcher
was not sure if intuition or interpersonal skills would be dismissed by superintendents as
“touchy-feely,” and not given any credence in the superintendent’s decision-making process
when selecting a high school principal. This was not the case. However, first and foremost, the
10 superintendents who were interviewed for this research study were very clear that their
mission when hiring a high school principal is to find discernable and undeniable evidence to
support their decision. Given these parameters, the superintendents affirmed that both intuition
and interpersonal skills were contributing factors in their decision-making process. In fact, when
it comes to interpersonal skills, the principal candidates are not the only factor to consider. The
10 superintendents acknowledged that their own interpersonal skills affect the selection process
and, therefore, are a factor for consideration. In order to answer Research Question 3, the
findings will be divided into three sections: intuition, candidate’s interpersonal skills, and
superintendent’s interpersonal skills.
Intuition
The quantifiable data produced by the 47 surveys collected from superintendents
identified intuition as a contributing factor to their decision-making process when selecting a
high school principal. When the survey was created, the researcher attempted to establish
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reliability by presenting the question in two different ways. Figures 4 and 5 illustrate how the
superintendents responded:
Figure 4
Figure 5
Because the Likert scale for the survey did not allow for respondents to select “agree,” only
“somewhat agree” or “strongly agree,” the question was presented to superintendents in a third
manner: “While personnel decisions cannot be made solely on intuition, it is an important
contributing factor to my decision-making process.” Of the 47 superintendents who participated
in the survey, 40 of them (85.1%) answered in the affirmative.
Qualitatively, the 10 superintendents who were interviewed for this research study agreed
that to some degree intuition was a contributing factor to their decision-making process. Seven of
0 10 20 30 40 50 60 70
Strongly Agree
Somewhat Agree
Disagree
Somewhat Disagree
Strongly Disagree
When making personnel decisions, I tend to rely on my intuition?
Superintendent Responses by %
0 10 20 30 40 50 60
Strongly Agree
Somewhat Agree
Disagree
Somewhat Disagree
Strongly Disagree
When making a personnel decision, I trust my inner feelings and
reactions?
Superintednet Responses by %
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the 10 superintendents were emphatic about how significant a role their intuition plays in their
decision-making process as illustrated by Superintendent 3:
For me, it is 100% true. I rely on my intuition a lot. I find that when I don’t, that is when I
look back at career mistakes. When I have made mistakes, it is when I didn’t listen to my
intuition. I pride myself in having fairly capable intuition particularly when it comes to
interpersonal and humanistic qualities. (Superintendent 3)
While all of the superintendents interviewed agreed that intuition played a role in their decision-
making process, they were just as emphatic to share with the researcher that their intuition forces
them to ask, “Why?” In other words, the superintendents shared that their intuition forced them
to look for evidence. Superintendent 7 openly stated:
I’m good at not believing my own nonsense. I mean, I catch myself. If my gut says this is
a great person, I start becoming skeptical …something kicks in and forces me to ask
myself really hard questions to counter my intuition.
Superintendent 7 explained that his intuition is like a barometer. It forces him to find the
evidence he needs to validate what his intuition is communicating. Other superintendents shared
similar responses with the researcher. In fact, Superintendent 9 articulated that many times
principal candidates answer questions based on what they think you want to hear. She explained
that it is her intuition that helps her to hone in on that quality about a candidate and forces her to
examine the evidence: resume, letters of recommendation, phone references, and writing
samples. As shown in Figure 6, the notion that intuition is informed by observable data is also
validated quantitatively by the survey data:
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Figure 6
Superintendent 2 is the only participant who works in a high school district. His only
professional experiences have been at the high school level. He shared that his professional
experiences are what shape his intuition. For example, the fact that he was a high school assistant
principal and a high school principal have been professional experiences that have impacted his
intuitive abilities when hiring a high school principal. Superintendent 2 affirmed that he relies on
his intuition a lot when making decisions about high school principals:
With experience, you learn to get a pretty good read on people. I want someone who is
genuine. I want someone who has a strong work ethic. I want someone who can
communicate well and has the best interest of students, the school and the staff. You ask
people questions, they can answer whatever they want and how do you know if they are
answering truthfully? Part of that is intuition and the gut feeling of trying to evaluate
whether you have a genuine person in front of you. (Superintendent 2)
The data produced in the interview with Superintendent 2 regarding professional experiences and
their influence on the decision-making process is also validated by the survey data as shown in
Figure 7:
0 20 40 60
Strongly Agree
Somewhat Agree
Disagree
Somewhat Disagree
Strongly Disagree
My intuition is informed by observable data?
Superintendent Responses by %
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Figure 7
During the face-to-face interview with Superintendent 3, the researcher had the
opportunity to discuss a personnel situation that was occurring in the superintendent’s district. It
was a district level position that had been advertised for several weeks, and the district had
already administered several levels of the interview process. Two potential candidates made it to
a final interview with Superintendent 3 and two of her cabinet members. When the final
interview concluded, Superintendent 3 did not feel she could endorse either candidate. She
explained to the researcher that there was “something” about both candidates that made her
uncomfortable. She stated that it was her intuition that told her she could not recommend either
candidate to the board of education. This scenario allowed the researcher to ask more deliberate
and probing questions. What was foremost on the mind of the researcher centered on what
Superintendent 3 did after the final interview. Did she just trust her intuition and end the
interview process or were there subsequent steps?
Superintendent 3 explained that she would not share her impression of the two candidates
to the two cabinet members who participated in the interviews with her. Instead, she asked her
team to list the positive and negative qualities of each candidate. She did this to validate her own
impressions of the candidates in order to calibrate with the rest of the team. Once the cabinet
0 20 40 60 80
Strongly Agree
Somewhat Agree
Disagree
Somewhat Disagree
Strongly Disagree
When making a personnel decision, my own professional
experiences influence my decision making?
Superintendent Responses by %
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members shared their thoughts, she shared her own. It was at this point that Superintendent 3
decided she needed to obtain additional information. She felt she did not have enough
information to make a good decision. The next step was for Superintendent 3 to personally call
the references of both candidates. She did not just call the current employers of both candidates,
but went back in their work history and spoke to several people. When the reference check was
completed, she found that her intuition was correct and that she had the evidence she needed to
comfortably go to the Board of Education and inform them that she was unable to endorse either
candidate. Surprisingly, Superintendent 3 did not just state the evidence she used to make her
decision, she actually told the Board that her intuition did not allow the recommendation of
either candidate: “I actually used the word intuition. Fortunately, in my district we have a Board
that really appreciates and gets it. Absolutely, I use my intuition.”
Candidate’s Interpersonal Skills
To quantify the importance of a high school principal candidate’s interpersonal skills in the
interview process, the researchers constructed survey questions that would ascertain the nuances
of such a broad concept. The following data was obtained by surveying 47 superintendents:
99.9 % of the 47 superintendents surveyed indicated that during the interview process, it
is important that the principal candidate communicate his or her knowledge and
experience through both verbal and non-verbal communication.
84.8% of the 47 superintendents surveyed indicated that during the interview process it is
important that the candidate is perceptive and attentive to the superintendent’s behaviors
as the facilitator of the interview.
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91.3% of the 47 superintendents surveyed indicated that during the interview process it is
important that the candidate is capable of controlling the tone of his or her responses to
appropriately meet the situational demands of the interview questions.
93.5% of the 47 superintendents surveyed indicated that during the interview process it is
important that the candidate show his or her involvement in the conversation both
nonverbally and verbally.
91.5% of the 47 superintendents surveyed indicated that during the interview process it is
important that the candidate uses a wide range of behaviors including self-disclosure and
wit when responding to interview questions.
According to the 10 superintendents interviewed, interpersonal skills are critical to the
decision-making process for a high school principal position because interpersonal skills
establish validity. The superintendents shared with the researcher that during the interview
process they have the opportunity to match the content of the actual responses candidates give to
interview questions with their body language and their affect. For example, several
superintendents indicated that a person can give the right answer to an interview question, but
their body language does not show their response is sincere or their body language does not show
the same confidence as the content of their response. These intricacies of the candidate’s
interpersonal skills have a direct effect on the decision-making process of the superintendents.
Superintendent 1 explained interpersonal skills this way:
It is all about likeability and personality, I know a lot of really smart people who are crummy
principals – not because they do not know the right thing to do, but because they cannot get
people to do it. It does not matter what the principal knows. It matters what the principal can
get people to do (Superintendent 1).
Superintendent 2 took a slightly different position on the issue of interpersonal skills. He
explained that by virtue of his title, candidates automatically respond differently to him than they
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do to other people. Therefore, he is very attentive to how the candidates interact with the other
members of the interview panel. He stated that what he really wants to see is if the candidates are
able to make a connection with the parents, students and teachers on the interview panel:
The non-verbal communication is hugely important. I think we all know that. I try to look for
how people present themselves. Are they genuine? Are they coming in arrogant? Some of the
things you see are going to be a turn off and it’s not going to work.
On a positive note, Superintendents 2 and 3 look for the interpersonal skills that convey
passion, enthusiasm and confidence. Superintendent 3 stated that if a candidate is going to talk
about their commitment to kids, she wants them to tell her a story: “Get excited! Show me your
enthusiasm. Let me see your face light up. I am looking at more of the affect.” In contrast to
Superintendents 2 and 10, Superintendent 7 described a very different approach. He is not
necessarily looking for the obvious evidence of interpersonal skill which was defined as passion,
enthusiasm, and confidence by other superintendents. He is looking at how the candidate
interacts with him during the interview when there is a difference of opinion or difference in
philosophy: “I am a machine gun in questioning candidates. I want to see how they handle that
stuff. Are they respectful in the interaction of disagreement? How comfortable are they?”
Overwhelmingly, the 10 superintendents who participated in the interview protocols
expressed the importance of high school principal candidates having “people-skills.”
Consistently, the superintendents expressed the critical nature of a high school principal’s ability
to connect with people; the necessity of making people feel they were heard; the ability to make
people feel that their issues are important; and the ability to get people to follow their leadership.
None of these things are possible if the principal candidates do not excel in their interpersonal
skills. Therefore, what seems to be of most importance to the superintendents is that human
resources frame from Bolman and Deal (2008). Each of the 10 superintendents expressed in their
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own words, in their own way, that seeing how the candidate interacts and engages with people is
more important than their technical skills or their technical knowledge because those elements
can be taught. You cannot teach someone to lead people and have them follow your vision. This
was confirmed in the survey protocol as well where 98% of the 47 superintendents who
participated indicated that the candidate’s interpersonal skills generate the information they need
to inform their decision.
Superintendent’s Interpersonal Skills
It became apparent during the course of the personal interviews with the 10 superintendents
that interpersonal skills have a reciprocal effect. In other words, a candidate’s interpersonal skills
are affected by the superintendent’s own interpersonal skills. In a sense, the two are
interdependent. This notion can be validated using the quantifiable data produced by the surveys
collected for this research:
89.1% of the 47 superintendents surveyed agreed that during the interview process they
knew how to change topics and control the tone of the conversation.
98% of the 47 superintendents surveyed agreed that during the interview process they
show their involvement in the conversation both verbally and nonverbally.
82.6% of the 47 superintendents surveyed agreed that during the interview process they
show their understanding of the candidates they interview by reflecting the candidates
thoughts and feelings back to them.
78.7% of the 47 superintendents surveyed agreed that their own interpersonal skills
during the interview process generate the information they need to inform their decision-
making process.
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When interviewed, Superintendent 9 told the researcher that every superintendent has their
own personality and their own way of engaging in conversations with the candidates. The
interaction between the candidate and the superintendent is a reciprocal relationship because the
way the candidate interacts with the superintendent is either going to make the superintendent
feel connected or not. If the superintendent feels connected, it will change the way the
superintendent responds back to the candidate. This was reiterated by Superintendent 6 who
stated: “I would say this goes back to building relationships and trust. I would say they come into
play because obviously the way I interact with them is going to cause them to interact back with
me a certain way.”
Nine out of the 10 superintendents interviewed stated that they intentionally try and put
the candidate at ease when they come into the interview. The nine superintendents articulated
that they try and greet the candidates warmly; they try to shake their hand assertively; and they
make attempts to interject humor into the conversation. In fact, one superintendent explained that
he tries to find connections with the candidates that might show familiarity. For example, in a
recent interview, the superintendent realized that the candidate was from Ohio so he talked about
dotting the “I” on the interview. In any case, the superintendents stated that they do these things
because if the candidate is at ease, they will get the best interview out of the candidate.
One superintendent disagreed with this approach. In fact, Superintendent 7 engages in a
much different course of action when interviewing the principal candidate in the final interview
process. He explained to the researcher that he wants to see how the candidate is going to
respond to scrutiny and disagreement. Superintendent 7 feels it is important for him to see how
the candidate is going to respond in tough situations because the high school principal position is
not easy. Therefore, Superintendent 7 stated, “I try and put them in a corner.” He goes on to say:
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Yeah. I want to see their resilience. That is the first thing a principal is evaluated on is
their resilience. You have to be resilient. The only way you’re going to be resilient is that
you fail, you mess up, you fall on your face. If the candidate never experienced
resilience, I do not want them. (Superintendent 7)
Superintendent 7’s approach is in contrast to the other nine superintendents interviewed. In fact,
the following statement from Superintendent 1 illuminates the difference:
Yeah, I really don’t play any games. I try to be as genuine as I can and try to draw the
strengths of the candidates because I really don’t want to know what you just put on was
an act for me. I want to try and get to know you. To me, the best interviews are the ones
where the candidate does the best job they can at expressing their values and who they
are. To the extent I can make them comfortable enough to be successful at that will allow
me to select from candidates based on their true understanding of their characteristics and
skills. (Superintendent 1)
Regardless of how the superintendent approaches the candidate in the actual interview,
what is clear from the research is the way superintendents interact with the candidate is going to
impact the way the candidate interacts with them. This interaction is the evidence the
superintendents are seeking to inform their decision-making process. Clearly, some
superintendents strategically conduct themselves in a specific manner to garner the information
they need in order to make a decision. Ultimately, it is the access to the information that is
critical as the superintendents have to feel comfortable with the decision they make on selecting
a high school principal for their district.
A few unintentional discoveries were made in answering Research Question 3.
Superintendent 1 indicated to the researcher that incidentals also come into consideration when
evaluating the reciprocal effect of interpersonal skills. For example, the manner in which the
candidate shakes hands with the superintendent is important. If the superintendent extends an
assertive shake and the response back is soft, that encounter communicates a message.
Additionally, Superintendent 1 seeks information from the Office Assistant who interacts with
each of the candidates who arrives for their interview. The impression that is made during that
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encounter is information the superintendent not only seeks, but it is information that informs the
final outcome of who gets hired.
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CHAPTER FIVE: CONCLUSIONS AND IMPLICATIONS
Introduction
Public education in the United States has seen an increase in accountability since the
advent of the No Child Left Behind Act (NCLB) of 2001. NCLB produced legislation that holds
educators responsible for the improvement of curriculum, instruction, credentials, accountability,
and assessments. In order to meet these new demands, considerable attention has been devoted
to finding ways to improve the quality of instructional leadership in schools and school systems
(Murphy & Shipman, 1997). For example, the current accountability system holds
superintendents responsible for annual measurable objectives with links to incremental student
improvement (Farkas, Johnson, Duffet, & Foleno, 2001).
The current trend in educational leadership places 21
st
century school superintendents in
the position to effect lasting change utilizing a variety of skill sets. They must balance leadership
skills, political skills, people skills, and most importantly instructional skills. The superintendent
is seen as the leader of schools and as a spokesperson bridging schools and the communities they
serve. The superintendent duties include being a Board of Education liaison, a financial
manager, daily operations managers, and an advocate for the district. These leaders are primarily
tasked with and held accountable for student achievement. In fact, today’s superintendent can be
characterized as “instructional leaders,” bringing the role of superintendent back to its original
emphasis on teaching and learning. However, it is not simply the teaching and learning practices
of teachers which superintendents are focused – it is more sophisticated than that. It is also a
focus on the teaching and learning of principals as superintendents need to build leadership
capacity, especially in the supervision of curriculum and instruction.
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As the district instructional leader, the superintendent is held accountable for district
curriculum, instructional improvement and policies. This is an essential responsibility given the
implementation process of the Common Core State Standards that educators currently face.
Curriculum must meet district, state and federal standards. The superintendent is in charge of
consistently evaluating instructional programs and policies to ensure success or facilitate
improvement if needed.
The increased expectations that have developed as a result of performance
accountability have changed the state of the superintendency, as well as what school boards
are looking for in a superintendent (AASA, 1993; Brown, Hertz, & Swenson,
2007; Glass, 1992; Glass, 2000). The superintendent is expected to be the primary
instructional leader in the school district, able to develop a district-wide vision for student
success at all levels of the organization (Black, 2007; Fullan, 2004; Johnson, 1997). Ability,
professional qualifications, level of education and certification, and desirable character traits
are all additional factors that determine the effectiveness of a superintendent (Cunningham &
Cordeiro, 2006; Reeves, 2002; Vaughn, 2007).
Because the role of superintendent has evolved over time with the current emphasis on
instruction and instructional leadership, the hiring and evaluation of personnel is a chief duty
superintendents face. After all, the quality of instructional leadership, whether at the central
office or at the site, will be the deciding factor in a performance accountability system. The
risks are high when it comes to hiring a new district administrator, especially principals. A
high school principal is accountable for the safety, well-being and achievement of all students
who attend the school. A wrong hiring decision by the superintendent can have devastating
results and it can consume significant time to remediate.
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Therefore, 21
st
century school accountability demands have created high-stakes
pressure on superintendents with regard to all administrative hires, particularly that of the high
school principal. To replace a high school principal takes careful consideration as the
accountability is not just on state or national mandates. Accountability also pertains to college
admissions, Clearinghouse rules for scholar athletes, and graduation rates. Therefore, the
decision-making process Superintendents use to select a high school principal is critical. This
introductory chapter to the study will include the statement of the problem, the purpose of the
study, the research questions guiding the study, the methodology for data collection, the
significance of the study, and specific limitations and delimitations of the study.
Statement of the Problem
The current focus for superintendents is centered on the successful implementation of a
new accountability system: Common Core State Standards (CCSS). This new set of national
standards have forced school districts to not only look at a new assessment tool to measure
student achievement, but to reexamine how instruction is being delivered in the core content
areas. The academic focus has now changed to incorporate 21
st
century skills, which include
problem solving, critical thinking, working as a member of a team, and using innovation to
solve problems.
This shift in academic focus is a change from what most teachers are currently doing in
the classroom. Change is often accompanied by anxiety and, in some instances, resistance. At a
time in history when the nation has come together to address the educational needs of our
students from a global perspective, now is not the time for a breakdown in culture. In fact, in this
time of transition, maintaining a positive school culture is paramount if a school district and a
nation are going to be academically successful.
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A superintendent’s job is to set the vision for a community that includes not only
individual schools, but the teachers and students who occupy them. The vision that the
superintendent explicitly articulates must include goals and a process to achieve them. Once the
foundation is set, a superintendent relies on a team of principals to implement the process for
student achievement, monitor progress toward district goals, address instructional obstacles, and
maintain a positive school culture that is focused on the continuous cycle of improvement. This
task is challenging for the most experienced of principals. It would be even more daunting for a
newly appointed principal, particularly at the high school level.
Should a superintendent need to select a new high school principal under the present
climate of transition, their selection would be critical to the success of the individual school and
the school district. The increased pressure and demands for accountability placed upon the public
schools in California and across the United States, have made the superintendent’s job of
assessing a pool of candidates for a high school principalship more important than ever.
Superintendents are looking for certain qualities, abilities and personal characteristics
necessary to match the right principal to a specific school site. Because there continues to be a
significant turnover in principals and a diminishing pool of qualified applicants, the need is more
critical than ever before to examine the criteria a superintendent uses to hire a high school
principal. Superintendents ultimately decide who will be a high school principal in the school
district. Therefore, it is important to determine what criteria are most important to them when
selecting a principal and what protocols are used in the decision-making process.
Research Questions
1. How will superintendents identify the qualities of leadership that are essential for
high school principals in the 21
st
century?
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2. How do superintendents decide “best fit” for a high school principalship when two
candidates seem equally qualified?
3. To what extent do intuition and interpersonal skills affect the decision-making
process when evaluating high school principal candidates?
Review of Current Literature
Marzano, Waters, and McNulty (2004) identified 21 responsibilities of successful
principals, claiming that the average correlation of the 21 responsibilities is .25. The authors
translate this .25 statistical measurement to mean that the improvement of a principal in the 21
areas by one standard deviation translates into improvement in student achievement from the 50
th
percentile to the 60
th
percentile on standard achievement test scores (Marzano et al., 2004). This
correlation is critical as it demonstrates significant academic achievement (see Appendix A).
Critical to educational practice is how the information and research from Marzano et al.
(2004) connects to superintendents. After all, superintendents are actively involved, and
ultimately responsible for hiring a high school principal. If a superintendent can identify the 21
responsibilities that principals should possess to affect positive student achievement, then it
follows logically that principal candidates should be selected with these qualities. With this
research available for almost a decade, researcher Robert Rammer questioned superintendents on
how they assessed candidates for the position of principal. The results indicated that although
superintendents agree on the key characteristics necessary for principals to succeed as prescribed
by the study in Marzano et al. (2004), they did not have a credible way to measure those
characteristics in the hiring process (Rammer, 2010).
Generally, superintendents have an understanding of their district, the needs of the
school, and the qualities that a candidate should possess to be successful. While this information
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guides the decision-making process, the success of the principal selection process may relate
directly to the interpersonal skills of the superintendent and his or her ability to identify these
characteristics in candidates (Rammer, 2010). Rammer (2010) suggests that in many cases good
superintendents intuitively understand the qualities necessary for principals to be successful.
Because the research shows that intuition and interpersonal skills influence decision-
making, they must be examined when considering how superintendents make the decision to hire
a high school principal (Hogarth, 2001; Rammer, 2010). The research conducted on intuition
indicates that intuition is influenced by what is observed (Hogarth, 2001). In fact, Hogarth
(2001) confirms that when examining a person’s intuition, the focus should explicitly target a
person’s skills of observation and the process they use to interpret what is observed. Hogarth’s
(2001) research supports Rammer (2010) who suggests that the intuition used by superintendents
to make personnel decisions is dependent on how well they use their interpersonal skills to
interpret the observations made of the candidates during the interview process.
Intuition draws from our inborn ability to synthesize information quickly and effectively
(Dane & Pratt, 2007). In order to understand the function of intuition, it is important to define
what it is. According to Dane and Pratt (2007) intuition is a process by which a person can
perceive and sort data. Psychologists have adopted a dual approach when defining intuition as a
process (Dane & Pratt, 2007). One form of the process can be viewed as “experiential.” It
permits individuals to learn from experience and reach perceptions of knowing without
conscious attention. The second form of the intellectual process is “rational.” It enables
individuals to learn information deliberately, to develop ideas, and to engage in analysis in an
attentive manner.
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For the purpose of this study, what is certain is that remaining observant through the
interview process and viewing candidates from multiple perspectives helps superintendents to be
mindful. This attention to observation allows for distinctions to be made in the hiring process,
which results in an even more complete picture that informs the process of intuition. Ultimately,
the effectiveness of the intuition process stems from a person’s ability to inform intuition through
the process of observation. These precepts are confirmed by the study conducted by Phillips et
al. (2008) regarding expertise in judgment and decision making.
Methodology
A mixed methodology was used to conduct the research for this dissertation using both
quantitative and qualitative measurements. Merriam (2009) explains that triangulation means
using multiple sources of data to compare and cross-check information. By triangulating data
from multiple data collection models, conclusions can be made that are more accurate and viable
as they will have been compared between multiple measures of assessment, adding credibility to
the research.
Surveys were conduct as the quantitative measure for triangulating the data. Using the
methodology prescribed by Fink (2013), a survey protocol was created with thirty-five questions.
The questions were purposefully established to answer the three research questions, while
keeping to the theoretical framework that was established for the dissertation. The researcher
employed a unique purposeful sampling approach using a continuous numeric scale. To establish
a qualitative measurement for the research and to establish triangulation, ten interviews with
superintendents were conducted. The interview protocol was developed by crafting questions
that would answer the research questions. They were conducted in a semi-structured format. This
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design was flexible and allowed the interviewer the ability to follow the lead of the respondent,
while still being guided by a list of questions (Merriam, 2009).
Results and Findings
Research Question #1: How Will Superintendents Identify the Qualities of Leadership that
are Essential for High School Principals in the 21
st
Century?
The research indicates that superintendents rely on artifacts such as resumes, cover
letters, letters of recommendation, and references to vet potential candidates to interview for a
high school principal position. Actually teaching experience is a characteristic that is of the
upmost importance to superintendents. What has become clear through the process of collecting
and analyzing data is that the focus of superintendents on potential candidates for a high school
principalship is centered on their experience as an instructional leader. They want to see
strengths in the areas of curriculum and instruction. The research from the literature review
supports the notion that leadership roles in education have a renewed sense of focus on
instruction (Black, 2007; Fullan, 2004; Johnson, 1997).
Additionally, the research has shown that superintendents rely on the actual interview
process to derive at the best possible candidate for a high school principal position. The
consensus from the 10 superintendents interviewed was that the actual interview process did not
provide ALL the information that is necessary to make the decision. However, it did provide
“most” of the information, which makes the interview process critical. There was a fair level of
discrepancy as to how the interview process could be constructed to garner the best information
to aid in the decision-making process. Some superintendents do considerable work vetting
candidates before the actual first interview. Likewise, some of the superintendents interviewed
for this dissertation implement very practical protocols in the interview process to evaluate a
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candidates understanding of instruction by asking them to view video footage of a teacher
delivering a lesson to students, which the candidates have to evaluate. All of these protocols are
strategically in place to ensure the essential information to make a decision is obtained.
Conducting the actual reference checks cannot be underestimated. In fact, the large majority of
the superintendents interviewed indicated that they personally conduct the reference check as to
validate their decision about a perspective principal.
Research Question #2: How do Superintendents Decide “Best Fit” for a High School
Principalship When Two Candidates Seem Equally Qualified?
When asked if “fit” was a major component in selecting a high school principal, every
superintendents responded with a definitive, “yes.” However, getting the 10 superintendents who
were interviewed for this research to agree on what “fit” means and how it is identified was more
difficult. What the research indicates is that in large part “fit” is about culture. Superintendents
articulated that it is critical to know the culture of the school; the culture of the community and
the expectations that the stakeholders have in their new principal. Therefore, a considerable
amount of work has to be done before the actual interviews to meet with stakeholders and
understand what leadership characteristics are most critical for a new principal to succeed. Once
this information is ascertained, a determination can be made about the kind of instructional
leader the superintendent is looking for in a principal candidate.
Superintendents rely on the reputation of candidates and the recommendations from peers
to determine if the leadership characteristics of a candidate matches with the culture dimensions
of the high school that has a vacancy. One of the ways in which superintendents utilize the
interview process to obtain additional information is to ask the question, “What are your core
values.” This kind of interview question allows superintendents to align the candidate’s response
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with the recommendations that were given about the candidate, adding to the validity of their
decision-making process.
Research Question #3: To What Extent Do Intuition and Interpersonal Skills Affect the
Decision-Making Process When Evaluating High School Principal Candidates?
First and foremost, the 10 superintendents that were interviewed for this research study
were very clear that their mission when deciding on a high school principal candidate is to find
discernable and undeniable evidence to support their decision. Given these parameters, the
superintendents affirmed that both intuition and interpersonal skills were contributing factors in
their decision-making process. In fact, when it comes to interpersonal skills, the principal
candidates are not the only factor to consider. The 10 superintendents acknowledged that their
own interpersonal skills affect the selection process and, therefore, are a factor for consideration.
The 10 superintendents that were interviewed for this research study agreed that to some
degree, intuition was a contributing factor to their decision-making process. Seven of the 10
superintendents were emphatic about how significant a role their intuition plays in their decision-
making process. While all of the superintendents that were interviewed agreed that intuition
played a role in their decision-making process, they were just as emphatic to share with the
researcher that their intuition forces them to ask, “Why?” In other words, the superintendents
shared that their intuition forced them to look for evidence. Additionally, the superintendents
indicated that biggest influence on their intuition is their professional experiences which serve as
a barometer by which they evaluate the candidates.
According to the 10 superintendents interviewed for this research study, interpersonal
skills are critical to the decision-making process for a high school principal position because
interpersonal skills establish validity. What the superintendents shared with the researcher is that
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during the interview process, they have the opportunity to match the content of the actually
responses candidates give to interview questions with their body language and their affect. For
example, several superintendents indicated that a person can give the right answer to an
interview question, but their body language does not show their response is sincere or their body
language does not show the same confidence as the content of their response. These intricacies of
the candidate’s interpersonal skills have a direct effect on the decision-making process of the
superintendents.
It became apparent during the course of the personal interviews with the 10
superintendents that interpersonal skills have a reciprocal affect. In other words, a candidate’s
interpersonal skills are affected by the superintendent’s own interpersonal skills. In a sense, the
two are interdependent. Nine of the 10 superintendents interviewed stated that they intentionally
try and put the candidate at ease when they come into the interview. The 9 superintendents
articulated that they try and greet the candidates warmly; they try and shake their hand
assertively; and they make attempts to interject humor into the conversation. The superintendents
stated that they do these things because if the candidate is at ease, they will get the best interview
out of the candidate.
Regardless of how the superintendent approaches the candidate in the actual interview,
what is clear from the research is the way superintendents interact with the candidate is going to
impact the way the candidate interacts back to them. This interaction is the evidence the
superintendents are seeking to inform their decision-making process. Clearly, some
superintendents strategically conduct themselves in a specific manner to garner the information
they need in order to make a decision. Ultimately, it is the access to the information that is
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critical as the superintendents have to feel comfortable with the decision they make on selecting
a high school principal for their district.
Implications
The results of this study are of consequence to any superintendent who is tasked with
replacing a high school principal. The outcome of hiring a good high school principal who fits
with the school and the community is dependent on gathering the right information and
understanding how that information informs the decision-making process. It is clear from the
data that superintendents believe in the interview process and rely on the protocols of the process
to provide the information necessary to make a good personnel decision. One implication of this
study is the examination of interview protocols from the earliest stage of vetting applications to
strategies used in a final interview. The data reveals evidence that some districts are more
appropriately investing time and energy vetting candidates before a first interview occurs.
Likewise, the first round of interviews provide opportunities for superintendents to determine a
candidate’s expertise in instruction by implementing more authentic exercises to make an
accurate determination.
More importantly, the study validates the critical nature of interpersonal skill on the final
outcome of the interviews. The decision-making process superintendents use to make a
personnel decision includes the dynamics of interpersonal skills as the principal candidates
interact with the interview panel and the superintendent. An implication of this study is for
superintendents to reflect on how their own interpersonal skills affect the way in which the
candidates respond to them during the interview. While most superintendents agreed that they
purposely try to put candidates at ease during the process, not everyone agreed. Regardless of
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how the superintendent decides to interact with the candidates, it should be strategic as to garner
the precise information the superintendent needs to make their final decision.
Finally, the data confirms the importance of intuition on a superintendent’s decision-
making process. Specifically, the data from the interview protocol illuminates the critical nature
of how a superintendent responds when their intuition sways them one way or the other. An
implication to this study is for superintendents to examine next steps when they feel compelled
by their intuition. If protocols are designed strategically, the next steps should produce actual
evidence that supports what their intuition is informing them to do.
Recommendations for Future Research
In the course of collecting and analyzing data to examine the decision-making process
superintendents use to make a personnel decision for a high school principal, a series of new
considerations arose that warrant further examination. This researcher recommends future
studies in the following:
1. The business community has implemented protocols for intuition-based decision-making.
Given the data produced from this study on the importance of intuition, further research
on how educators can use intuition-based decision making in hiring administrators might
produce better outcomes and eliminate a costly bad hire.
2. A study conducted on principal candidates which focuses on how their interaction was
either enhanced or hampered by the way the superintendents interacted with them during
the interview process could validate a more effective approach when conducting a final
interview.
3. Because superintendents can only base a personnel decision on the information that is
collected during the interview process, research on what protocols will produce specific
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information is critical. This type of research could provide the data that would allow for
superintendents to make choices. A superintendent could then implement specific
protocols when specific information is needed based on a pool of candidates or based
upon the position that is to be filled.
Conclusion
Having conducted the research and examined the data, the researcher concludes that no
matter the limitation, the interview process and the interview protocols are the mechanisms
superintendents rely on to make personnel decisions. Specifically, when deciding on a high
school principal, the superintendents who were interviewed for this research study believe the
process does in fact generate most of the critical information needed for them to make good
decisions. There is consensus among all 10 superintendents that the body of a candidate’s
professional work experience is most vital, as well as their people skills. However, the integrity
and effectiveness of the interview process is what is essential to validate each candidate’s
readiness to assume the position - provided they are a fit with the district, the community and the
school site.
Therefore, the structure of the interview process becomes paramount. While the
interviews with superintendents uncovered essential components to the interview process that are
consistent, some dynamics did surface. Two of the superintendents have protocols in place like
pre-interviews with candidates that add another layer to vet potential candidates for the position.
Additionally, another superintendent provided more authentic opportunities to validate a
candidate’s readiness by asking them to critique the instructional integrity of a lesson. She
accomplished this by having them watch a video of a teacher delivering instruction. All of these
elements emphasized to the researcher the detailed attention required if the superintendent is to
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have all the information that is necessary to ensure the decision-making process produces an
effective outcome.
Overwhelmingly, superintendents stated that a candidate’s people skills or interpersonal
skills are crucial. In fact, the superintendents were emphatic that these skills were more
important than technical skills because technical skills can be taught. People skills cannot be
taught. In order for a high school principal to be effective on the job, they would have to be able
to relate to their constituencies in such a way as to be able to lead them in a common direction.
Therefore, how these skills are identified in the interview process is important.
The effect that intuition plays on the decision-making process of superintendents cannot
be underestimated. A superintendent’s own professional experiences, as well as the interpersonal
skills of the candidates they interview, influence their intuition. Intuition operates as a catalyst
for superintendents to question, “Why?” The superintendents want to find the evidence that gives
them the feeling that the candidate is either right or wrong for the position. When a
superintendent is in doubt about a candidate, they do not ignore it. They attempt to validate why
they are under that impression knowing that their own interpersonal skills toward the candidate
will elicit the additional information that is necessary.
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Vaughn, V. (2007). The search for character. American School Board Journal, 194, 40-
41.
Wallace Foundation. (2011). The school principal as leader: Guiding teachers to better teaching
and learning.
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Appendix A
Interview Protocol
The present study will seek to gain information regarding the manner in which
Superintendent base their decision on the selection of a high school principal to respond to the
increasing state and federal accountability measures. Specifically, the study will explore the
effects of intuition, and the interpersonal skills superintendents employ in the decision making
process. Bolman and Deal’s (2005) research on the Four Frames of Leadership provide the
necessary foundational background for research related to the criterion Superintendents use to
make decisions on the selection of principals.
Background Information
Hiring a new principal will affect student achievement at a school. Research
indicates that school principals heavily influence teacher working conditions and affect the
ability to attract and retain talented teachers. School leadership, after instructional quality,
is the most significant school-related contributor to what and how much students learn at
school. The hiring and evaluation of personnel is a chief duty superintendents’ face. The
risks are high when it comes to hiring a new high school principal. A high school principal
is accountable for the safety, well-being and achievement of all students. A bad hire can
have devastating results and can consume significant time to remediate complications.
The purpose of this study is to determine if Superintendents are influenced by
qualities/factors other than a person’s formal qualifications.
The main research questions for this study are as follows:
1. How will Superintendents identify the qualities of leadership of that are essential for high
school principals in the 21
st
century.
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2. How do Superintendents decide “best fit” for a high school principalship when two
candidates are equally qualified?
3. To what extent do intuition and interpersonal skills affect the decision-making process
when evaluating high school principal candidates?
Demographic Questions
1. Your name and name of the school system you serve.
2. Have you hired a high school principal within the last three years?
3. How long have you served as a school system as a superintendent?
4. Have you served as a superintendent in systems other than the one you now serve?
Interview Guide
1. Does the interview process identify all the qualities you are looking for in a principal
candidate?
2. Finding a principal candidate who “fits” with the organization is important. How do you
determine fit?
3. Current research indicates that superintendents rely on their intuition to some degree in
their decision making process for selecting a principal candidate. How true is this for
you?
4. What are the most important elements that inform your intuition?
5. To what degree does your own professional experience inform your intuition?
6. How does the interaction between yourself and the principal candidate in the interview
process affect your decision-making?
7. Does the candidate’s voice, posture, or facial expressions during the interview process
affect your decision making in selecting a high school principal?
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8. Beyond the actual answers to interview questions, what components about the interview
process affect your decision-making?
9. How do your own interpersonal skills contribute to the interview process and your
decision making?
Probes
1. What do you mean by that?
2. Would you explain that?
3. What did you say then?
4. What were you thinking at the time?
5. Can you give me an example?
6. Tell me more about that?
7. Take me through an experience
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Appendix B
Survey Protocol
1. Do you consent to taking the survey based on the parameters described above?
2. What is your gender?
3. How many years have you been a superintendent?
4. Approximately how many principals have been hired during your tenure as a
superintendent?
5. How many high school principals have you hired?
Based on the following Likert Scale, the following questions were asked:
Not at all important
Minimally important
Somewhat important
Important
Very important
6. Previous experience as a sitting high school principal?
7. At least three years of teaching at the secondary level?
8. Perceived quality of the university attend for either undergraduate or graduate degree?
9. A breadth of professional experiences which includes a background in curriculum and
instruction?
10. A candidate’s previous administrative experience at a school site with similar
demographics and profile?
11. A school site visit from the candidate’s place of employment?
12. Reference checks and letter of recommendation?
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13. The solicitation of information from the stakeholders at the school site where the vacancy
exists?
14. Consideration of the instructional needs of the school weighed against the professional
experiences of the candidates?
15. Consideration of the cultural climate of the school site that has a vacancy weighed against
the personality, attitude and leadership style of the candidate’s?
16. How relative is “best fit” to your decision-making process?
Base on the following Likert Scale, the following questions were asked:
Strongly Disagree
Somewhat Disagree
Disagree
Somewhat Agree
Strongly Agree
17. During the interview process, I use a wide range of behaviors, including self-disclosure
and wit, to adapt to others?
18. During the interview process, I show my involvement in conversation both verbally and
nonverbally?
19. During the interview process, I know how to change topics and control the tone of my
conversation?
20. During the interview process, it is easy for me to manage conversations the way I want
them to proceed?
21. During the interview process, I show my understanding of others by reflecting their
thoughts and feelings to them?
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22. During the interview process, I act in ways to meet situational demands for
appropriateness?
23. Your own interpersonal skills during the interview process generates the information you
need to inform your decision-making?
24. During the interview process, it is important that the candidates use a wide range of
behaviors, including self-disclosure and wit, when responding to interview questions?
25. During the interview process, it is important the candidate show his/her involvement in
the conversation both verbally and nonverbally?
26. During the interview process, it is important that the candidate is capable of controlling
the tone of his/her responses to appropriately meet the situational demands of the
interview questions?
27. During the interview process, it is important the candidate is perceptive and attentive to
my behaviors as the facilitator of the interview?
28. During the interview process, it is important that the candidate communicates his/her
knowledge and experience through appropriate verbal and nonverbal communication?
29. The candidate’s interpersonal skills generates the information I need to inform my
decision-making?
30. When making a personnel decision, I tend to rely on my intuition?
31. When making personnel decisions, it is important for me to feel that the decision is right
than to have a rational reason for it?
32. When making a personnel decision, I trust my inner feelings and reactions?
33. My intuition is informed by observable data?
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34. When making a personnel decision, my own professional experiences influence my
decision-making?
35. While personnel decisions cannot be made solely on intuition, it is an important
contributing factor to my decision-making process?
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Appendix C
INFORMATION/FACTS SHEET FOR EXEMPT NON-MEDICAL RESEARCH
21st Century Superintendents: The Dynamics Related to the Decision-Making Process for the
Selection of High School Principals
You are invited to participate in a research study. Research studies include only people who
voluntarily choose to take part. This document explains information about this study. You should
ask questions about anything that is unclear to you.
Your participation is voluntary. To be eligible, you must be a superintendent whose district(s) has
demonstrated significant gains in academic achievement.
In order to complete this interview, I ask that certain criteria be met before completing this
process. The following characteristics were deemed necessary to the research when selecting
participants for this survey.
1. You are currently serving as a superintendent of a public school district.
2. You have been serving as a superintendent for 2 years.
3. You have had experience hiring a secondary principal.
PURPOSE OF THE STUDY
The purpose of this study is to determine if superintendents are influenced by qualities/factors
other than a person’s formal qualifications. By examining the processes for high school
principal selection, I am hoping to identify traits and characteristics that determine why certain
qualified candidates get selected. I am hoping to share this knowledge and information with
other superintendents as well as hopeful high school principal candidates.
PARTICIPANT INVOLVEMENT
If you agree to take part in this study, you will be asked to take part in a 30-minute audio-taped
interview. You do not have to answer any questions you don’t want to; if you don’t want to be
taped, handwritten notes will be taken instead.
CONFIDENTIALITY
Any identifiable information obtained in connection with this study will remain confidential. Your
responses will be coded with a false name (pseudonym) and maintained separately. Any and all
data collected will be stored on a password protected computer in the researcher’s office.
Identifiable information will be destroyed at the conclusion of the study; non identifiable data will
be maintained indefinitely and may be used in future research studies. If you do not want your
data used in future studies, you should not participate in this study.
The members of the research team and the University of Southern California’s Human Subjects
Protection Program (HSPP) may access the data. The HSPP reviews and monitors research studies
to protect the rights and welfare of research subjects.
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CENTURY SUPERINTENDENTS 112
When the results of the research are published or discussed in conferences, no identifiable
information will be used.
INVESTIGATOR CONTACT INFORMATION
Principal Investigator:
IRB CONTACT INFORMATION
University Park Institutional Review Board (UPIRB), 3720 South Flower Street #301, Los
Angeles, CA 90089-0702, (213) 821-5272 or upirb@usc.edu
21
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Appendix D
Consent for Participation in Interview Research
21st Century Superintendents: The Dynamics Related to the Decision-Making Process for the
Selection of High School Principals
I volunteer to participate in a study conducted by Oscar Macias and John Paramo from the
University of Southern California. I understand that the project is designed to gather information
about the decision making process Superintendents use in the hiring of high school principals. I
will be one of ten Superintendents interviewed for this study.
1. My participation in this project is voluntary. I understand that I will not be paid for my
participation. I may withdraw and discontinue participation at any time without penalty.
If I decline to participate or withdraw from the study, no one on the University of
Southern California campus will be notified.
2. If I feel uncomfortable in any way during the interview session, I have the right to decline
to answer any question or to end the interview.
3. The interview will last approximately 30 minutes. An audio tape will be used during the
interview. Notes will also be taken during the interview. The notes and audio taped will
be transcribed for further study. If I do not want to be audio taped, only notes from the
interview will be transcribed.
4. I understand that the researcher will not identify me by name in any reports using
information obtained from this interview, and that my confidentiality as a participant in
this pilot study will remain secure.
5. I understand that this study has been reviewed and approved by the Institutional Review
Board (IRB) for Studies Involving Human Subjects and information from this study may
21
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CENTURY SUPERINTENDENTS 114
be used in any further research.
6. I have read and understand the explanation provided to me. I have had all my questions
answered to my satisfaction, and I voluntarily agree to participate in this study.
7. I have been given a copy of this consent form.
____________________________ My Signature
____________________________ My Printed Name
For further information, please contact:
Dr. Pedro Garcia
University of Southern California
Waite Phillips Hall
3470 Trousdale Parkway
(213) 740-0224
Los Angeles, CA 90089
________________________ Date
________________________ Signature of the Interview
Abstract (if available)
Abstract
The purpose of this study was to better understand the decision-making process that superintendent’s use when making the decision to hire a high school principal. More specifically, this study sets out to determine: 1.) How will superintendents identify the qualities of leadership that are essential for high school principals in the 21st century? 2.) How do superintendents decide “best fit” for a high school principalship when two candidates seem equally qualified? 3.) To what extent do intuition and interpersonal skills affect the decision-making process when evaluating high school principal candidates? This study implemented a mixed-methods approach in which 47 Southern California superintendents completed a survey and 10 superintendents completed a formal interview. Through the process of triangulation, the study’s findings indicate that no matter the limitation, the interview process and the interview protocols are the mechanisms superintendents rely on to make personnel decisions. Therefore, the structure of the interview process becomes paramount. Overwhelmingly, superintendents stated that a candidate’s people skills or interpersonal skills are crucial. In fact, the superintendents were emphatic that these skills are more important than technical skills because technical skills can be taught. The effect that intuition plays on the decision-making process of superintendents cannot be underestimated. A superintendent’s own professional experiences, as well as the interpersonal skills of the candidates they interview, influence their intuition. The findings indicate that intuition operates as a catalyst for superintendents to question, “Why?” The superintendents want to find the evidence that gives them the feeling that the candidate is either right or wrong for the position. Based on the findings, superintendents may have the basis for developing a more effective protocol when hiring a high school principal.
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Paramo, John M.
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Core Title
21st century superintendents: the dynamics related to the decision-making process for the selection of high school principals
School
Rossier School of Education
Degree
Doctor of Education
Degree Program
Education (Leadership)
Publication Date
10/23/2014
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