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A study of effective superintendents and how critical incidents contributed to their success

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A study of effective superintendents and how critical incidents contributed to their success

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Content A STUDY OF EFFECTIVE SUPERINTENDENTS AND
HOW CRITICAL INCIDENTS CONTRIBUTED
TO THEIR SUCCESS
Copyright 2004
by
Merrill M. Grant
A Dissertation Presented to the
FACULTY OF THE SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of
the Requirements for the Degree
DOCTOR OF EDUCATION
August 2004
Merrill M. Grant
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ACKNOWLEDGEMENTS
It has been a number of years since I embarked on the quest to obtain a
doctorate in Educational Administration from the University of Southern California.
There have been many ups and downs throughout the journey, but I can truly say that
I am a better administrator and person as a result.
In obtaining the pinnacle of advanced degrees, one must reflect on what one
will do with the document. I intend to better serve the students, staffs, and
communities that I work with over the course of my career as a school
superintendent.
I would be remiss in not thanking a number of people for their contributions
in making this dream a reality. My wife Katie has been a trooper, as I spent much
time away from our young family establishing my career and completing the
required coursework. Her insight as a fellow educator was helpful in discussing
various aspects of my coursework and dissertation. My daughters Alexandra, Bridget
and Cameron, show me every day what is truly important as I try to balance personal
and professional responsibilities. My parents have been models for me to follow as
they instilled in me a confidence to reach for my best in anything I partake. I love
you all and thank you all very much.
My dissertation chair, Dr. Robert Ferris, has kept me on track with sage
advice and a belief in me that I had the “right stuff’ to complete the dissertation. I
will always appreciate his keen insight into my topic and the superintendency in
general. I would also like to thank Dr. Stuart Gothold and Dr. Michael McLaughlin
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for their assistance on the dissertation committee—they have provided invaluable
insight for the study and my professional growth.
I am now truly a member of the Trojan family, and will always treasure this
journey as a true learning experience and life lesson. Fight on!
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iv
TABLE OF CONTENTS
ACKNOWLEDGEMENTS.................................................................................. ii
ABSTRACT............................................................................................................ vi
Chapter Page
1. THE PROBLEM........................................................................................ 1
Introduction...................................................................................... 1
Background of the Problem............................................................ 4
Statement of the Problem................................................................. 5
Purpose of the Study........................................................................ 7
Research Questions.......................................................................... 8
Significance of the Study................................................................ 9
Assumptions...................................................................................... 11
Delimitations.................................................................................... 12
Limitations........................................................................................ 12
Summary of Methodology.............................................................. 13
Research Design......................................................................... 13
Survey Population...................................................................... 13
Instrumentation................................................................................ 14
Data Treatment........................................................................... 15
Organization of the Remainder of the Study.................................. 15
2. REVIEW OF THE LITERATURE.......................................................... 16
The School of Superintendency...................................................... 16
Qualities of an Effective Superintendent....................................... 18
Educational Qualities of the Effective Superintendent 19
Managerial Qualities of the Effective Superintendent 24
Political Qualities of the Effective Superintendent.............. 28
Challenges of the Superintendency................................................. 33
Negotiating Community Politics and Controversy.............. 36
The Superintendent and the Board of Education................. 40
3. METHODOLOGY.. ........................................................................... 47
The Qualitative Study............................................................. 47
The “Critical Incident” Technique.................................................. 47
Identification of Proper Target Population.................................... 49
The Interview Process...................................................................... 50
Development of the Interview Questions.............................. 50
Conducting the Interview ........................................... 51
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Chapter Page
Quantifying the Interview Responses..................... 52
The Delphi Technique............................................... 54
4. THE FINDINGS....................................................................................... 56
Introduction...................................................................................... 56
Analysis of the Data......................................................................... 56
Demographic Information......................................................... 56
Responses to Interview Questions........................................... 58
Answers to Research Questions...................................................... 67
Question # 1 ................................................................................ 67
Question # 2 ................................................................................ 69
Question # 3 ................................................................................ 71
Question # 4 ................................................................................ 73
Conclusions to Research Questions................................................ 76
5. SUMMARY, CONCLUSIONS, AND RECOMMENDATIONS 77
Introduction...................................................................................... 77
Summary........................................................................................... 77
The Problem............................................................................ 77
Purpose of the Study.............................................................. 78
Methodology........................................................................... 79
Research Questions.......................................................................... 79
Conclusions....................................................................................... 80
Recommendations............................................................................ 83
REFERENCES....................................................................................................... 85
APPENDIX............................................................................................................ 90
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vi
ABSTRACT
The purpose of this study was to identify six public school superintendents
who are considered effective in the field of the complex, demanding world that is the
superintendency, and illustrate the effect that experiencing a “critical incident” had
on their career and made them better superintendents as a result.
One-on-one interviews were held with six superintendents in various sized
school districts in Northern California. Interviewee questions included what
motivated them to pursue a career in school administration, to relate a critical
incident that they experienced, what they learned from experiencing the critical
incident, and what advice they would give those superintendents experiencing a
critical incident.
The superintendents involved in this case study, all said that critical incidents
are inevitable. How one deals with the incident, however, can have both positive and
negative consequences for the superintendent. They mentioned that effective
superintendents seize the opportunity to lead in times of crisis, are “take charge”
types who have courage and the passion to lead, and communicate well with others
during the process of dealing with the critical incident.
When faced with adversity, these superintendents did not have a template to
follow in solving the problem. They instead relied on their intuition and core beliefs
as an educator to craft a solution that would solve the problem and be good for the
students in their care. In fact, the experiencing of a critical incident can often
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reaffirm the superintendent’s value system as to why they entered education, and
educational administration, in the first place.
In the complex world of a superintendent, there will be times of extreme
challenge. These superintendents, all considered exemplary, stepped up and led
during these times, they knew it was their responsibility to be out in front and solve
the crisis. When faced with adversity, the superintendents reiterated that if one stays
true to their core mission for children, the decisions made under pressure are usually
the right decisions.
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1
CHAPTER 1
THE PROBLEM
Introduction
One of the greatest challenges of the 21st century is to revamp, reinvent, or
transform the public education system in the United States. The world of school
administration is increasingly complex as school systems are confronted with such
issues as multiculturalism, inclusion, high-stakes testing, standards, limited fiscal
resources, and political pressure from a variety of special interest groups. There are
no formulas for success but rather a need for reflective and sensitive practitioners
who are knowledgeable, open-minded, compassionate, and reasonable (Konnert &
Augenstein, 1995).
As the chief executive officer of the school district, the superintendent of
schools is often looked to provide the necessary leadership to insure that the schools
within his/her district are meeting the needs of all children. Leadership is often
invoked as the solution to any and all problems. However, those who make that
statement rarely define what leadership is, and superintendents who aspire to lead,
rarely find clear explanations of what they can expect from constituents or what they
should do. Our culture’s models for leadership emerge from the military, social
movements, religious groups, the corporate world, and politics—not from school
districts. The lessons those models offer are only partially relevant to superintend-
dents, who must devise strategies for leading hundreds of educational professionals
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who work in public bureaucracies that are embedded within political systems
(Johnson, 1996).
Houston (1997) offers the following in regard to the superintendency:
In my more cynical moments, I have often thought of school superintendents
as bearing the same relationship to their communities as fire hydrants bear to
dogs. But while the American school superintendency is one of the toughest
jobs in America, it is also one of the most rewarding. No other role calls for
the same intense emphasis on what Robert K. Greenleaf termed ‘servant
leadership’ and creativity in bettering the lives of children. Superintendents
search for the best possible futures for our children.” (p. 30)
In addition, Houston (1997) explains that there are solutions to the problems
and answers to the questions regarding the complexity of the superintendency. Savvy
leaders who can master the skills and attitudes necessary to navigate the perilous
conditions of American education, will be rewarded by success in fulfilling the most
difficult—and rewarding—jobs in American public life today.
The realities of today’s superintendencies include the unavoidable social,
cultural, bureaucratic, and political obstacles. Through trial and error, learning and
growing, disappointment and success, many superintendents have improved public
education. Their conviction and dogged enthusiasm leave us encouraged and
eternally optimistic (Carter & Cunningham, 1997).
With that premise in mind—that there does exist the potential for practicing
and aspiring superintendents to lead school districts to excellence— comes the
obvious question: What does it take? Are these people simply bom with the requisite
skills to lead large, complex systems? If not, can these skills be acquired and learned
from those looking to improve their craft? What can we leam from those individuals
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who are considered masters of the position of superintendent? Certainly, there must
be both personal and professional experiences that contributed to these individuals’
success and abilities. These experiences, or critical incidents, could be considered
paramount to a superintendent’s growth into a top practitioner in the field. The main
emphasis of this study will be on the unique critical incidents that effective
superintendents consider as having had an impact, positive or negative, on their
professional lives. This paper will also explore educational leadership as a whole,
centering on the superintendent of schools position.
The phenomenon of leadership has interested humankind for millennia. As
we enter the 21st century, it takes on a renewed interest. The scientific study of
leadership has never been greater, nor has the recognition that broad-based
leadership is the only way forward. Broad-based leadership will require “leaders of
leaders,” i.e., those who can help create the conditions for leadership to flourish
(Fullan, 1999). This increased attention to the field of educational leadership is a
great opportunity to learn from those who “have been in the trenches” and have the
experiential knowledge to share with those looking for any kernel of truth in the
superintendent field.
It is this search for existing knowledge that will drive the author of this
dissertation forward—for we know that those who are considered the most effective
superintendents possess the credibility to share with others—ultimately resulting in a
profession that has more answers than questions.
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Background o f the Problem
School leaders face greater pressure as they juggle multiple and increasing
responsibilities while working for across-the-board improvement in student
achievement in a new, highly public, high stakes accountability environment. As a
result, fewer qualified individuals seem willing to enter the fray. At the same time,
the need for school leaders is increasing. A significant number of current
administrators will likely retire over the next decade and must be replaced.
Simultaneously, additional schools, and thus administrator positions, are being
created to keep up with enrollment growth (Teague, 2001).
The problem becomes apparent in that there will be a generation of quality
school administrators leaving the profession in the next decade. The “bench,” or
those that will replace them, is lacking in numbers for a myriad of reasons. The
shortage notwithstanding, what will become of the quality of those assuming the
superintendency? It is essential that we learn as much as possible from those that
have spent a career in the field of education—those that have taken on the seat of
superintendent and have been considered as experts while doing so.
There are bundles of literature that discuss leadership qualities and what
aspects of leadership the great leaders of our country have possessed in making them
stand out above others in similar positions. The problem has always been that if great
leaders are not bom with the essential qualities of leadership, how do they acquire
them? It is to this question that the “statement of the problem” addresses.
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Statement o f the Problem
The position of school district superintendent has been widely researched.
There is a wealth of information available that discusses the superintendency from
both a theoretical and practical perspective. It is much more difficult to find research
on what specific characteristics and traits are found in those superintendents whom
are considered the leaders in their field. Unfortunately, there is no “template” that a
practicing or aspiring superintendent can use that would greatly aid his or her success
in the complex position of superintendent of schools in a public school system.
However, we know of those superintendents that, over time, have exhibited
the necessary leadership skills that have moved their respective organizations
forward—in both chaotic and tranquil times. What is it with these individuals that
have experienced success in what is considered to be the most complex, demanding
position in education? Throughout this study I will attempt to identify certain
behaviors, traits, and characteristics of effective superintendents that those already in
a superintendent position or wishing to enter the superintendency can reflect upon in
comparing themselves and their qualifications against those that have experienced
success in the position.
The premise will also be made that effective superintendents do not assume
the chair with all of the prerequisites in hand—in fact, many superintendents speak
of those moments, or what this study will call critical incidents that cause the
superintendent tremendous anguish. This meeting of the respective challenge can
have both immediate consequences good or bad. But how did the superintendent
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learn from the incident to become stronger, more effective, and better informed?
Moreover, how did the critical incident become what educators refer to as a
“teachable moment”?
The need for quality superintendents will only intensify as the local, state,
and national focus on our schools increases. As the world becomes more
interconnected and education becomes more complex and dynamic, work must
become more “meaningful.” It is no longer sufficient to have one person learning for
the organization. It is just not possible any longer to “figure it out” from the top, and
have everyone else follow the orders of the “grand strategist.” The organizations that
will truly excel in the future will be the organizations that discover how to tap
people’s commitment and capacity to learn at all levels of the organization (Senge,
1990).
The nature of educational leadership is changing into an “inclusive” style that
builds coalitions, teams, and a thrust for the “common good” of the organization. As
explained by Spillane and Regnier (1998), organizations that survive and thrive
today focus on people, change for the better of the organization, and adopt the
dynamics of survival. Many would argue that the nature of leadership from the top of
the educational hierarchy—the superintendency—has become much more of a
difficult position due to the need to build leaders from below instead of simply
dictate orders from above.
Leadership is a relationship between leaders and the people that they aspire to
lead. A failure to understand that leadership is a shared responsibility has led many
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superintendents to take a heroic view of leadership. Superintendents as “heroes”
accept singly the responsibility for their departments and believe that they should
know everything that is going on, being able to solve any problem that arises. It is
this view of leadership that actually prevents excellence from being attained in
contemporary organizations (Bradford & Cohen, 1984).
Within this complex, challenging world of the superintendency, live those
individuals that have experienced success in the eye of the political, structural,
cultural, and symbolic frames that leaders operate (Deal & Bolman, 1992). How
have they managed to become effective superintendents in the face of such
demanding circumstances? It is a question that many researchers have analyzed and
attempted to answer. This study will hopefully contribute to that research.
Purpose o f the Study
All superintendents want to be successful in their jobs. Superintendents are
especially driven to excellence because they are responsible not only for the children
in their charge, but also public education as a social institution. However, even
though the drive for success is evident, most superintendents are not sure precisely
which qualities or skills are the key to attaining that success. One of the best ways to
attempt to identify these skills for success is talk to effective superintendents
themselves and explore whether common threads emerge from their answers
(Mahoney, 1996).
Thus, it is imperative that those new to the profession of the superintendency
or those aspiring to the post learn from those who have exhibited the performance to
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be considered “effective.” That has led the author of this dissertation to a qualitative
study examining those individuals who are considered leaders in the field. In this
study, I will explore the impact of the “critical incidents” that effective superinten
dents considered highly influential in their success as the school district’s leader. Are
we listening to the breadth of knowledge available from the veteran superintendents
who can share not only their biggest successes but also their major disappointments?
Because the position can be so lonely and isolated, it is my belief that superintend
ents have much more to share as a peer group than they have exhibited. Hopefully,
this study will contribute to that sharing.
Research Questions
Within the context of the purposes set forth, this study will answer the
following significant questions:
1. Among successful superintendents, what have been the critical
incidents that they have experienced and what impact did it have on their
professional and personal lives at the time?
2. What did these superintendents learn from their experiences?
3. How did the learning experience involved in experiencing a critical
incident modify their leadership behavior for the future?
4. How would these incidents o f effective superintendents and their
experience with critical incidents benefit other superintendents and their practices?
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Significance o f the Study
Of the seemingly endless lineup of problems school districts face today, the
critical need for strong, responsible, and enlightened leadership should be at or near
the top (Stricherz, 2001). Because states have raised academic standards and
imposed penalties for failing to meet them, school leaders need to reorganize districts
to align their academic programs with state goals. Stricherz also asserts that the task
of restructuring school districts is as vital “as any that currently dominate the
education debate.”
These are not pleasant times for school administrators. They are moving
faster than ever before, but often are not sure of their destination. Cell phones, faxes,
and e-mail have changed the definition of “accessible” so that school leaders are
never truly away from their jobs. Not only are they never truly away, but more is
expected of them—and it needs to be done faster. The demands on the administrator
have increased but the authority given to them has not kept pace (Hoerr, 2000).
The pressures on and responsibilities of school superintendents increase each
school year. However, the opportunities to be a powerful force in the lives of
children and youth increase as well. Troubled youth, families, and communities look
to visionary superintendents who inspire hope and possess the interpersonal skills to
make things happen. Funding for school facilities, teachers, learning technologies,
and staff development will be a problem as long as schools exist. The recruiting of
talented, courageous, and visionary school leaders who will continue the fight for all
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students is paramount for the future success of America’s public education system
(Hoyle, 1999).
The need for strong leadership at the top of the school district is almost too
obvious a statement to make. School districts have weathered poor leadership and
still functioned at a level that was marginal, yet not destructive. However, with the
complexities of today’s world and the problems that educational leaders now face,
there seems to be no place for the mediocre in educational leadership. Those
administrators who cannot rise above mediocrity will be removed from the position
as the search for someone who can deliver results can be found.
School superintendents are asked to do more, no matter what hand they have
been dealt. It is this reality that presses the question, “How can we learn from
effective superintendents so that those entering the superintendency can move
forward quickly and not get mired in the quicksand that can derail positive change
for a district?” We cannot keep playing musical chairs with our superintendents—
they must be successful in districts for a quality period of time so lasting, systemic
change that benefits students can occur.
The significance of this study will benefit those who are in line to become the
school leaders of tomorrow. There have been some masters of the superintendency,
but greatness does not usually come overnight. We learn and improve through
challenges—challenges that sometimes are critical to our future. The outcome may
not be positive, and in some cases, the results can be devastating. But the effective
superintendent learned from these critical incidents for future reference; he either
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proactively heads off the incident before it occurs or deals with the resolution in a
different manner. Any veteran, new, or aspiring superintendent that has not mastered
the craft can learn from their stories, knowing that all superintendents will probably
experience a critical incident. In addition, one can learn from these incidents and be a
stronger leader and therefore a better servant for children as a result.
Assumptions
For the purposes of the study, the following assumptions were made:
1. The superintendents surveyed in this study would be candid and
honest in their responses.
2. Effective superintendents would value highly the role of interpersonal
skills in their profession and to their ongoing success.
3. Being able to navigate the political waters of one’s respective district
while not losing sight of the goals related to student performance is a paramount
quality for the effective superintendent.
4. Having a sense of humor, a support system at home, and handling
stress well will be noted as redeemable qualities for the effective superintendent.
5. Despite being considered a “leader in the field,” the effective
superintendents surveyed will have made mistakes along the way, learning greatly
from those lessons and becoming better superintendents as a result.
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Delimitations
This study is confined by the following delimitations, which may narrow its focus:
1. Only superintendents in California school districts with a minimum of
2,000 students in enrollment were surveyed.
2. The study centered on surveying those superintendents considered by
other practicing or retired superintendents to be “effective.” Perceptions of board
members, principals, community members, or teachers were not solicited.
3. Statistical data regarding student performance from each superintend-
denf s district will not be the leading indicator of “effectiveness.” Rather, it will be
the perceptions of those peers that have followed a superintendent’s career over time
and found effective leadership present in a myriad of different environs regardless of
the variables given to the superintendent.
Limitations
1. Surveys were conducted both in one session in the superintendent’s
office or over lunch or dinner. Depending on the person, these two settings can
produce varying comfort levels and possibly result in differing candidness from the
respondents.
2. Superintendents were interviewed in a geographic area in a roughly
2-hour radius from the author’s residence. This incorporates a large region including
the Sacramento area, the East Bay Area, and the northern Sacramento Valley.
Depending on one’s view, this can be too large or too small of a geographic area.
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Summary o f Methodology
Research Design
This descriptive survey study was formulated to examine the life experiences,
or critical incidents, that helped develop the effectiveness of those superintendents
considered to be leaders in their field. The responses given by the superintendents
will be collated to present a rubric of sorts for others to analyze. Although the
responses to the survey (interview) are sure to be wide ranging, there should be
enough commonality to form generic responses from these superintendents.
The survey will center on the political, structural, symbolic, and cultural
aspects of the superintendency. What are the areas within each domain that effective
superintendents value as critical components for strong organizational leadership,
change catalysts, and personal survival? As the characteristics of effective
superintendents are identified, the analysis of how critical incidents contributed to
the strengthening of these characteristics will be explored.
Survey Population
The superintendents selected for the interview in regard to experiencing
critical incidents that made them more effective in their position were selected by
utilization of the Delphi Method. The author formed a panel of leading educational
administrators from Northern California. The panel was made up of county
superintendents, retired superintendents, current practicing superintendents, and
individuals who manage superintendent searches on behalf of school boards. The
panel each gave the author 3-5 names of current superintendents of district,s in
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Northern California with a minimum of 2,000 students that they consider effective,
but to their knowledge have experienced a critical incident (or incidents) that they
considered significant. The author selected the six superintendents with the highest
number of responses from the panel to interview. An in-person interview was
conducted with the six superintendents. The geographic region consisted of Northern
California, specifically the Bay Area, Sacramento area, and the northern Sacramento
Valley.
Instrumentation
To assist in-group communication among the panel of experts in selecting the
superintendents to interview, the author will rely on aspects of the Delphi Method.
The Delphi Method gives the researcher a group response for a question given in an
interview or survey. The Method is used as a group-response instrument where the
dynamics of group discussion interface are eliminated.
After the panel has identified six superintendents that are considered
effective, yet have experienced a critical incident, a person-to-person interview was
conducted with each superintendent by the author. The interview questions were
developed jointly by the Chair of the author’s dissertation committee and the author;
the aid of another committee member was also solicited for feedback. The questions
posed in the interview were designed to elicit the type of responses that would be
candid and full of experiential knowledge. The interview was designed to last no
more than an hour, taking place at the superintendent’s office or off district grounds
in a relaxed, yet semi-formal atmosphere.
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Data Treatment
The data received from the interviews was recorded by notebook in reporter
fashion. The responses may or may not point to a pattern regarding the lessons
learned from experiencing critical incidents in the realm of the superintendency. The
research questions will be addressed based on the interviewees responses in the
respective interviews. Case study methodology may be utilized to analyze the data, if
appropriate.
Organization o f the Remainder o f the Study
Chapter 2 reviews the literature related to effective superintendents and
critical incidents experienced in the superintendency.
Chapter 3 describes the research methods and procedures used in the study,
the development and implementation of the interview instrument, and includes a
description of the process utilized in the analysis of the data.
Chapter 4 reports the findings and includes the data analysis related to the
questions studied.
Chapter 5 presents a summary of the study, selected findings, conclusions,
recommendations developed from the findings of the study, and suggestions for
further research.
A reference list and appendix conclude the study.
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CHAPTER 2
REVIEW OF THE LITERATURE
The School Superintendency
To a great extent, the quality of America’s schools depends on the
effectiveness of school superintendents. These executives of our nation’s
schools have complex leadership responsibilities, and those who hold the
position must be among the brightest and best our society has to offer. Their
vision and performance must focus on creating schools that will inspire our
children to become successful, caring Americans, capable of becoming
contributing citizens of the world. (Glass, 1993, p. ix)
At the very least, the school superintendency is packed with pressure and
great expectations, with a daunting responsibility as mentioned in the above
paragraph. But with the great responsibility comes a tremendous amount of
opportunity to experience success, to lead organizations to excellence and provide
children the greatest gift one can receive—a quality education.
As we settle into a new century, we see that the profession of the school
superintendency is more important than it has ever been. Today’s superintendents
must be well-grounded in a number of areas: (a) from solid pedagogy to financial
management, (b) from child growth to political acumen, and (c) from organizational
and group behavior to staff development and student personnel.
In addition, the superintendent must be knowledgeable in matters pertaining
to instructional options; application of the most promising research, assessment, and
evaluation; and allocation of human, financial, and material resources. Most
superintendents, however, find that this knowledge is insufficient given the existing
climate in American education. Before the superintendent is able to apply any of this
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knowledge, he or she must first learn to survive in a very difficult, highly politicized,
conflictive job. The success and prosperity of American education may well depend
as much on the survival of the superintendent as it does on his or her ability to be an
effective educational leader (Carter & Cunningham, 1997).
Much research has been conducted on the importance of the superintendent
position and how solid leadership from that position can elevate an entire school
system to excellence. However, there is also ample evidence in the research that
points to the almost “impossibility” of one person being able to adequately lead such
complex school districts. Yet, there are those who have not only prospered, but
excelled. What are the qualities that these individuals possess that make them
exemplary in the field?
In addition, if it is acknowledged that the school superintendency is a field
rife with challenge and possible crisis, then it is assumed that basically all
superintendents, in the course of their career, will face an adverse situation, if not
many. Even those considered as leaders in the profession most likely will have
experienced extreme difficulty at some point or another. This experiential
knowledge, coupled with intuitive characteristics, can be the difference on how
future challenges are met.
“Problem solving” has been listed as a very important task for the practicing
superintendent. What are some of the traits involved with solving problems exhibited
by the effective superintendent? It is to this discussion that we now turn.
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Qualities o f an Effective Superintendent
Although some experts, like Jeffrey Pfeffer (1978), question whether leaders
really make any important difference in organizations, many people still believe in
the promise of leaders like so many of the nation’s top superintendents—those
shrewd, well-informed, take charge leaders who seem to know what schools need
and stride into troubled systems ready to fix them. As educational challenges become
increasingly complicated, many districts search urgently for individual leaders who
will stand above others, command respect, provide answers, and get results.
Superintendents, while possessing great positional power, must persuade
teachers, administrators, parents, and community leaders to join them in improving
schools. New approaches to teaching and learning will find their way into teachers’
lesson plans only if they are promoted collaboratively by the district’s educators
leading in concert. As Larry Cuban (1988) observes, “One only has to read the
brochures sent out by school boards advertising superintendent vacancies to see that
only heroes need apply” (p. 147).
One could debate whether heroism is part of an effective superintendent’s
repertoire, but the fact remains that some have “superpowers” that others envy. What
are these powers, or qualities, that seem to stand out in effective superintendents? To
answer, the three major areas of a superintendent’s job duties, the educational,
managerial, and political arenas will be explored. The methods used by actual
practicing superintendents to solve problems or challenges within each domain will
be investigated.
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Educational Qualities o f the Effective Superintendent
Everything the superintendent does should serve academics. Although loads
of other “things” get in the way, the superintendent’s main focus should always be
on student learning (Spillane & Regnier, 1998). Indeed, throughout the curriculum,
standards must be set and the school community should be held accountable for
meeting these standards. It is the superintendent’s responsibility to ensure that those
involved in the child’s education—parents, teachers, administrators, support
personnel, and the community at large—are working as a team to do all within in
their power to provide the best educational experience for the district’s pupils.
The superintendent has a responsibility to educate the school district’s
constituencies as to what the latest local, state, national, and global trends are in
education. On top of that enormous responsibility, the fact remains that twenty-first
century school systems will need to be reinvented if they are to adapt to the rapidly
changing conditions of the world around them. Developing a clear, well understood
purpose gives meaning to work, provides rationale for vision and gives heart to
change and success (White, 2002). A preferred future, defined by consensus and
based on core values, emerging trends and a collective image of the ideal
organization, galvanizes key players to action.
Granted, many states in the Union have set the menu in relation to student
learning via academic standards, testing mandates, categorical programs, and
rewards/sanctions. But even if much of the rules are set above the superintendent’s
sphere of influence, he or she is given the charge of helping set the vision for the
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school district in order to meet the expectations set upon it from within and outside
the organization.
Superintendents today, awash in others’ hopes for leadership, are expected to
formulate educational visions that will inspire and guide constituents as they set out
to improve their schools. Bennis and Nanus (1985) characterize vision as “a target
that beckons” explaining: “To choose a direction, a leader must have first developed
a mental image of a possible and desirable future state of the organization. This
image, which we call vision, may be as vague as a dream or as precise as a goal or
mission statement. The critical point is that a vision articulates a view of a realistic,
credible, attractive future for the organization, a condition that is better in some
important ways than what now exists” (p. 89).
Perhaps the most important aspect of the superintendent’s role in the area of
vision and the educational culture of the district is promoting a “shared vision”.
Shared vision is vital for the learning organization because it provides the focus and
energy for learning. When people are striving to accomplish something that is
meaningful on a personal level, generative learning will occur. The whole idea of
generative learning—expanding one’s ability to create—will seem artificial and
meaningless until people become excited about some vision they truly want to work
towards (Senge, 1990).
Senge (1990) also states that since humans possess an internal need to create,
the learning organization can become the natural outlet for this to occur. People want
to be connected to something larger than themselves, and certainly the participation
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on a team can fulfill this need. From the Board of Education down through the
organization, there must be a synergy of sorts—all individuals must work
collaboratively to a common end. The fact that this end is student learning makes it a
noble cause that cannot be taken lightly.
One superintendent got off to a rough start in his particular district because
the organization was ripe for change and his perceived followers were clamoring for
definition of what his vision for education was. The problem, as relayed by Johnson
(1996), was that although the superintendent had an excellent vision for the schools
in the district, he did not articulate it well enough to develop followers. After
recognizing this problem, the superintendent relayed his vision (centering all efforts
and resources to supporting classroom teachers) and the district’s constituencies soon
were on board with the new superintendent’s direction.
Pioneering leaders will need to encourage each person in their organization to
personalize the vision and make it their own. Visionary leaders are invaluable in
helping their respective organizations meet the challenge of constant change because
they have the power to deliver the dream (Schwahn & Spady, 1998).
Superintendents and constituents who engage in collaboration endorse this
approach for reasons both political and practical. First, just as individually defined
visions tend to discourage leadership by others, collaboration seems to promote
independent thinking and action. By involving a large array of people in the process
of defining his or her vision, a superintendent ensures that those same people are
invested in seeing the vision through and acting as leaders in its implementation.
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Thomas Sergiovanni (1992), a proponent of shared leadership, observes that when
teachers exercise professional responsibility there is less need for directive
leadership by administrators, “The more professionalism is emphasized, the less
leadership is needed. The more leadership is emphasized, the less likely it is that
professionalism will develop” (p. 42).
When school boards demand greater educational accountability and higher
test scores from superintendents, those superintendents often reissue the same
directives to principals and teachers. This approach to educational improvement
assumes that those at the top of the organization can effectively exert pressure on
subordinates to work harder and better. The superintendent’s j ob is not to exact
compliance from reluctant workers, but to develop instructional capacity in a system
that faces unprecedented demands. In building such instructional capacity within a
school district, the superintendent necessarily relinquishes top-down control as he or
she empowers curriculum coordinators, principals, lead teachers and department
heads to make judgements and exercise initiative (Johnson, 1999).
More specifically in the area of the superintendent’s educational
responsibilities lies in the demonstration of his or her knowledge in the area of a
standards-based curriculum (WestEd, 2001). Working collaboratively with the staff,
the superintendent makes certain that the curriculum is what is actually taught in
order to ensure effective learning practices in all classes and high student
performance by all students. The superintendent structures a culture in the district
that promotes collaboration among members of the staff. It is a culture where
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expectations are held for students and staff and where there are support systems to
assist students in meeting those expectations. Those support systems are fair and
equitable, and they allow all students to approach the learning process with
enthusiasm and dignity.
One could assume that all educators could agree on how best to educate
students. The reality is that some of these decisions can polarize a school district. A
case in point has been brought out in a major urban school district in California. The
superintendent had recommended to the board that they close a comprehensive high
school that was facing state sanctions for low student performance and reopen it as a
charter school (Crump, 2003). The community was severely divided on the change
and hundreds showed up at a series of board meetings to contest the issue.
While facing serious opposition, the board agreed to the superintendent’s
recommendations and the school is now entertaining charter school proposals. The
superintendent took considerable risk to close the school, but he realized that the
state was looking at major sanctions and he could not navigate change any sooner in
the present environment that existed at the school. Courage and foresight are words
that come to mind when a decision that is best for students, yet politically
challenging, is made in the wake of unrest.
Although the superintendent may not be at the blackboard instructing the
students firsthand, he or she still holds a tremendous amount of responsibility for the
educational delivery of his or her particular school district. The superintendent helps
set the educational vision for the district, provides all constituents with the goals or
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standards set for students by local and external forces, allocates resources to achieve
these goals, and holds all involved in this complex process accountable for their
achievements, including himself. As White (2002) states, “Learning is our business!
From superintendents to secretaries, this new era will need everyone to learn and to
lead” (p. 8). And as is the case with most school districts, it is the superintendent
who leads the charge on behalf of the district’s children.
Managerial Qualities o f the Effective Superintendent
Many leading researchers contend that managers and leaders are different
people. “Managers are people who do things right and leaders are people who do the
right thing” has been an oft-repeated mantra regarding school leadership. Managers,
though competent and dependable, are nevertheless pedestrian, inhibited by the rules
and procedures of their organization. Leaders, by contrast, are imaginative,
passionate, and freewheeling, if sometimes unpredictable and unreliable. Abraham
Zaleznik (1992) sets forth a similar distinction arguing that, “Where managers act to
limit choices, leaders develop fresh approaches to long-standing problems and open
issues to new options” (p. 129).
Such distinctions between leadership and management have been made by
numerous sources. The distinctions may make sense on a literal level, but they
misrepresent reality by implying that managers cannot lead and leaders cannot
manage. Perhaps some individuals can thrive while disregarding the routines and
structures of their organizations, but it is unconceivable that school superintendents
could succeed by doing so. School districts, like other governmental agencies, are
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bureaucratic organizations, formally controlled by elected bodies. James G. March
(1978) observes that, “Much of the job of an educational administrator involves the
mundane work of making a bureaucracy work. It is filled with activities quite distant
from those implied by a conception of administration as heroic leadership” (p. 223).
As Johnson (1996) so aptly notes, school boards entrust their superintendent
to allocate resources, appoint staff, and oversee teaching and learning. The
superintendent may foster creative teaching and nurture innovative programs, but if
the busses do not run or the district budget goes astray, he or she is deemed to be an
unfit manager and thus may impede these individuals’ attempt to lead. The
superintendent must lead by managing and manage by leading. The complexity of
this arrangement is rather obvious but ineffective superintendents seem to have
trouble wedding the two together.
One case study in the field of managerial leadership described the new
superintendent who introduced a series of structural changes, all intended to
reestablish order and control to the district. He followed a superintendent who ran a
loosely-coupled system where lines of authority were not clear. The new
superintendent demanded that the system run in a manner that was consistent, where
communication flowed in a line throughout the system. This caused some
consternation among the staff because some roles were now diminished and power
lessened. However, the district needed organization and accountability. The end
result was that all knew their roles and where they would be held accountable;
morale actually improved and the district was a tighter, more refined unit as a result.
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In the area of management, the effective superintendent uses the process
skills of systems management to organize and maintain an environment in the district
that is professional and supports the continued progress of all students. The
superintendent establishes an expectation of, and presides over sites that are safe,
efficient, clean, and well maintained. The climate at the school sites is one of
professionalism. The school promotes and nurtures the educational, social, physical,
and emotional well-being of students and the professional growth of all teachers and
staff.
The school district is a complex organization, and forces within and without
the organization must be addressed. Although the superintendent works
collaboratively, ultimately, he or she is the one responsible for the organizational
structure and results at the school sites as well as the evidence of student learning. It
is the administrator’s responsibility to set the expectation and to administer the sites
to ensure that there is an equitable distribution of resources so that all students learn.
These resources include time, space, facilities, money, and personnel. The
superintendent also has responsibility to ensure that all federal and state laws,
statutes, and regulations affecting the site are followed. Board policies as well as
contractual agreements with employee organizations, outside agencies, and vendors
must also be administered within the limits of the contract. All staff, students,
parents, and community members must be assured that information that is
determined to be private and confidential remains so (WestEd, 2001).
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A discussion regarding the effective qualities of a superintendent in the area
of managerial responsibilities would not be complete without addressing the district
budget responsibilities of the superintendent. Perhaps at no time in recent memory
has the superintendent had more at stake in his or her particular district in the area of
finances, as the budget crisis in California threatens to impact the educational scene
for a number of years in the future. School leaders must possess the skills to allocate
human, material, and financial resources efficiently. Further, this must be done in an
accountable manner to ensure successful student learning (Hoyle et al., 1985).
The paradox encountered by today’s superintendents is that they are asked to
do more with less. The demands on student performance are increasing while
district’s budgets are shrinking. One superintendent, while faced with severe budget
issues, used the crisis as an opportunity to streamline the system. He recognized that
the window to act was minimal before the blame stuck to him. He wisely went back
to the shared vision of the district and worked with the board to keep cuts as far away
from what the district valued as important. Since the vision was formed by the entire
school community, the hard choices of cutbacks became a shared agony, and not
something that the superintendent had to absorb singularly (Spillane & Regnier,
1998).
In a district with a quality strategic plan, the allocation of resources coincides
with the goals set by the district’s constituencies. The goals set by the strategic plan
include timelines, identification of those responsible for the attainment of the goal,
and the resources needed to complete the goal (Cook, 1995). The effective
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superintendent uses the district’s strategic plan to provide the structure for the
district’s budget. Programs that are considered necessary to achieve the district’s
goals are funded, and those deemed as unimportant may be up for consideration.
Granted, personnel takes up most of the district’s overall budget, but programs equal
people, so the correlation between the two are obvious. When tough choices need to
be made in the area of budget formation, the superintendent can protect himself
personally and take more pressure off the board by continually referencing the
strategic plan that was developed by the school community.
In the area of managerial aspects of the superintendency, it is imperative that
this area is given the utmost respect. As noted earlier, the leadership void in
American public education is palpable; school communities want to hire a
superintendent who can turn systems around while displaying a dynamic personality
and flair for the impossible. While these qualities are readily needed, the “leader as
manager” must not be given second billing. There are numerous managerial
responsibilities, that if given the proper respect and time, can become excellent
forums for the superintendent to enact change. The bureaucratic system of schools is
difficult to move quickly, but the effective superintendent uses his or her managerial
opportunities to help enact a greater good for the students in the district.
Political Qualities o f the Effective Superintendent
Politics is central to the work of today’s superintendents, who cannot succeed
as educational leaders without also being active political leaders. They must build
coalitions, negotiate agreements, and force concessions when necessary, all without
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hitting political land mines that may cost them ground. To be “above politics” is to
be outside reality (Johnson, 1996). Surprisingly, some superintendents believe they
will not encounter politics because the noble thought of educating children is above
the political arena. That wish is simply not a reality, as the sector of public education
is one of competing interests, scarcity of resources, and an open forum for special
interest groups.
Thus, no longer free to choose whether to enter the political fray,
superintendents must assess the political context of their district and decide how to
best work within it. Today’s superintendents can no longer rely primarily on the
authority of their position to run the schools (if they ever could), for politics pervades
virtually every aspect of public education. Given the belief of many that education is
the province of the public rather than the professionals, politics abound in the
superintendent’s area of concern.
Carter and Cunningham (1997) present a case study on a political “critical
incident” that Robert Spillane, superintendent of Fairfax County, Virginia and the
American Association of School Administrator’s 1995 “Superintendent of the Year,”
experienced. After gaining much credibility and aplomb on a national scale for the
good work going on in Fairfax County, Spillane and his board were faced with
massive budget cuts. Some of these cuts were at the heart of Spillane’s reform
package and set him at odds with the board. He went through a time of uncertainty
about his job security and whether he thought the board had the best interest of
children at heart.
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In the end, Spillane had ridden considerable turbulence and still remained an
effective superintendent. This was because he was able to corral political support
while maintaining high performing schools. He says the key elements to high
achievement while,
. . . changing the status quo are: (a) clearly and simply articulate the needed
change and its compelling benefits; (b) build constituencies for the change
both inside and outside the school system; and (c) ensure that the people and
other resources necessary to bring about the change are in place, prepared,
and that it can be really made to work. Articulation of the change is critical.
(p. 61)
Politics is defined as competition between competing interest groups or
individuals for power and leadership in government or other groups (Konnert &
Augenstein, 1995). This competition for power and leadership has been evident in
school system history from earliest times to the present. As the leader of the system,
the superintendent cannot “keep politics out of education,” but must provide
leadership in the political arena, which is rooted in the “principles of respect for
persons, social justice, and equity.”
Effective superintendents understand that they are first and foremost
educators, but that the position of superintendent is highly political. Spring (1998),
goes further, labeling superintendents as “administrative politicians.” In local
districts, school boards appoint most superintendents—administrative politicians
retain their positions by serving the interests of those responsible for putting them
into office, and usually, they share the same ideological outlook as the interests they
serve.
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Spring also asserts that the superintendent’s j ob security and overall
effectiveness is determined by how well he or she knows the political landscape in
the respective community. Where are the power brokers? How does the community
handle other issues outside of education? Does the school board have real or implied
authority in the community? Are decisions made by a select few or more by
consensus model? The politically savvy superintendent has an intuitive base of
knowledge as to how to improve the district’s educational program in a landscape
fraught with political ramifications.
A school district can be characterized as a collection of coalitions with
differing degrees of stability, depending on the issues confronting the system
(Hanson, 1996). A school district is usually not managed by a monolithic power
structure but by a multitude of semiautonomous power centers that contribute
significantly to the direction or directions the system takes. The superintendent does
have a political advantage—by virtue of the scope of his position he has access to all
constituency groups, such as the teacher union, Board of Education, PTA, classified
union, the administrative team, and other power brokers in a district. This “position
power” cannot be undervalued. There is not another individual in the educational
organization that can accrue the inside information of a district more so than the
superintendent. Since some assert that knowledge is power, the obvious correlation
of information and political preparedness is obvious.
In the case study mentioned earlier with Robert Spillane, he duly noted that
he knew what he was in for with the critical incident of the budget crisis. He realized
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that all of his political capital would be needed, and it still may not be enough to save
his reform package, if not his job. He was willing to experience the challenge of a
critical incident for what he thought best for children. He did not know the outcome
in advance, but he took the risk of staying the course and became a more effective
superintendent as a result.
Effective superintendents have had either mentors that have taught them the
political responsibilities of the job or simply possess an intuitive knowledge of the
political landscape of the superintendency (Hill & Harvey, 2002). These sitting
superintendents can also prepare successors by being candid about these issues,
instead of glossing over them for fear that such frank discussion will weaken support
for public education.
The elements of the political challenges that face superintendents are
complex and there seems to be no “cure all” answer to the political dilemma. The
superintendents that have succeeded in the political environment seem to possess a
inordinate amount of knowledge about their school community, know who the power
brokers are, and attempt to stay one step ahead of the next political minefield. When
challenges arise, the politically astute superintendent quickly builds coalitions and
brings the board of education along at a comfortable, controlled, informed pace.
What is clear about political movement from the superintendent is that the
school community will tolerate a superintendent’s political approach more readily if
it is done on behalf of bettering the student educational experience. One can
understand and appreciate political maneuvering if done on behalf of a noble cause.
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If political games are played on behalf of self-serving the superintendent, then a
distasteful outcome is more likely.
In one study, Johnson (1996) alluded that superintendents were criticized for
their politics because others saw them acting politically for poor or paltry purposes.
Respondents of the study expressed contempt for superintendents who seemed
motivated by self-interest, using politics to enhance their own power or career. They
respected those, however, who used their political skills to improve the schools. It
was these superintendents whose leadership constituents admired and whose
example they followed.
Challenges o f the Super in tendency
Wanted: Chief executive officers for growing, complex enterprise in highly
regulated industry. Must stay focused on core business despite disparate stakeholder
demands, uncertain funding, critical labor shortages, and politically charged
environment. Must be highly skilled at dealing with sensitive and divisive issues that
may jeopardize family relationships, health, and/or career. Must be able to withstand
intense media scrutiny of professional and personal life. Typical workday: 7 a.m. to
7 p.m., plus some weekends and board meetings. College education required;
doctorate preferred. Pay significantly below market rate. Future of nation at stake
(Carr, 2003).
What is the superintendent’s j ob? Until recently, the superintendent, was
autocrat in chief. His responsibility was structurally similar to the captains of
industry on whose jobs the superintendency was modeled. Comfortably in control at
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the command center, the superintendent reigned supreme over all he surveyed. His
dominion was the district and its employees, both certificated and classified.
Nominally responsible to an elected school board, the superintendency resembled a
“medieval fiefdom.” To complete the picture, the superintendent enjoyed high
esteem, both within the schools and in the larger community that supported the
schools (Doyle, 1998).
Today’s superintendents deal with forces and incidents that are far more
complex and threatening than those of their predecessors. At the same time, the need
and demand for massive reform of the educational system has never been greater.
One cannot be a successful superintendent today without having a broad under
standing of the challenges, issues, and dilemmas, as well as the necessary remedies
and responses, for contemporary education. Key among the desired attributes is the
ability to enunciate a clear, shared vision and the ability to inspire others to work
toward realizing that vision. Equally important is serving as a beacon among the
conflicting ideologies, political pressures, and shifting economic and social
conditions. The superintendency has been called “the impossible job” because it is a
role in which the forces are so difficult to understand, much less control. Nowhere is
there ajob with higher expectations but so little trust and confidence (Carter &
Cunningham, 1997).
The traditionally accepted definition of the superintendent as the implementer
of policy established by the board of education is far too simplistic. The reality of the
superintendency in the twenty-first century is that a dynamic, complex, and ever-
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changing relationship exists between the superintendent and many different people
and agencies, including parents, community groups, students, school personnel, and
state and federal agencies. The superintendent has been called a coach, leader,
follower, manager, motivator, missionary, policymaker, politician, sales person,
evaluator, and distributor of scarce resources. The degree to which a superintendent
can help foster a belief system and mission for a school district and help in
convincing others to carry out the same mission determines superintendent success
(Konnert & Augenstein, 1995).
For the practicing superintendent, the position can at once provide the forum
for spectacular success and disheartening failure. There are a myriad of opportunities
to impact students, staff, and the greater community. Within that opportunity,
however, lie many potential pitfalls that can make the journey very difficult. The
following will represent two areas of the superintendency that have historically
caused challenges for the practicing school superintendent: negotiating community
politics and controversy, and resolving conflicts with boards. While surely not the
only two areas of challenge, they represent two broad areas that can derail the best
intentions of any superintendent.
When one combines the high expectations with the myriad of challenges one
can face in the role of superintendent, it is not surprising that conflict may result for
the superintendent. However, that conflict can package itself as simply “a part of
doing school business” that is not personally threatening to the superintendent, or it
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could be such an issue, or critical incident, that it could threaten the superintendent’s
job security.
Within the areas of community politics and controversy and working with a
board of education, a superintendent is bound to express frustration, challenges, and
failure. The challenges faced with community politics and controversy and working
with boards of education will be explored, aided by examples of superintendents who
have experienced critical incidents within those areas that have taxed their efforts as
a superintendent.
Negotiating Community Politics and Controversy
In the inner workings of a school district, the superintendent deals with
pressures brought from within the organization on a consistent basis. Those pressures
are an expected reality of the job. But pressure also comes from outside the day-to-
day operation of the schools. External forces include demands for specific policies
from interest and pressure groups; increasing intervention from federal, state, and
local governments; heightened public expectations for schools; and social and
economic problems existing within communities (Carter & Cunningham, 1997).
Thomas Glass (1993) asserts that, working with many groups of citizens,
parents, and staff who display adversarial stances is one of the most difficult
challenges facing superintendents. Glass also says that reality in most districts is that
the superintendent spends a significant amount of time serving as the chief political
and public relations officer for the greater school community. “The job is primarily a
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community relations job,” Glass says. “It’s more along the lines of a chief executive
officer of a large, complex organization” (p. 4).
Because a superintendent is basically held responsible for the district’s
performance, many decisions that are made are attributed to that individual. As is the
case with most decisions of importance, some feel the outcome was just and others
are disappointed. One superintendent interviewed by Jerry Patterson (2000) likened
the decision making process as “putting rocks in your pocket.” After awhile those
rocks accumulate and the superintendent may or not have a future in the district,
based on the weight of the “rocks.” Although there may not be one monumental
occurrence that disrupts a superintendent’s tenure, the total of many small incidents,
although not considered critical, can become one critical incident if they are all
packaged together.
Many superintendents feel that the day is simply not long enough to “care
and feed” the myriad of individuals or groups that want some type of contact with
the district’s leader (Stricherz, 2001). Superintendents are expected to develop
partnerships and alliances with local businesses, community agencies, and other
groups for a range of purposes, including the expansion of human and financial
resources available to the school. These partnerships are crucial to the overall
relationship the school district enjoys with the greater community. However, the time
involved in dealing with these responsibilities often has the superintendent away
from the physical boundaries of the district or not directly associating with
employees or students of the district.
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The politics of the bureaucracy, the stress and threats of litigation, and the
informally required negotiations with interest groups severely hamper the ability to
bring about change for the good in relation to increased student performance.
Stricherz noted that two major areas of concern for school leaders included special
education requirements and government mandates—two very important areas that
superintendents need to be held accountable for—yet hold limited authority in the
content of the expectations. There are numerous examples one could use that
underscore this point—that superintendents have very little control of “the rules of
the game”, but are held accountable for the outcomes of these mandates.
In one district, the superintendent had to deal with a student performance
issue that was rooted in racial divide. The white children were high achieving, high
income. The black children were poor, and poorly achieving. The issue of equity for
all students was raised, and this superintendent found herself in the middle of this
polarizing issue. The superintendent, instead of placing blame elsewhere, admitted
that the disparity in performance was a real problem and that her superintendency
would be judged on whether she could remedy the problem. Resources were
allocated to address the issue and close the achievement gap. The superintendent
looked back at the incident as one that was critical in shaping her future as a school
leader—she saw the good that could come out of a problem it dealt with head-on and
without excuse (Patterson, 2000).
Increasingly, the word “accountability” has been a mantra for a skeptical
public. Politicians and citizens are requiring that schools, as the recipients of
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39
taxpayer dollars, be accountable for results. This has often translated into state
accountability policies centered on high-stakes standardized tests. In many places
test scores are published in local newspapers, and low or declining test performance
can have multiple negative consequences—affecting real estate values, threatening
school autonomy in case of district or state intervention, and triggering sanctions
against teachers and students. To deal with the pressure of such a high-stakes
environment, a superintendent must have skills in the areas of public engagement,
interpreting and managing data and political savvy (Thompson, 2001).
In dealing with the expectations of the larger school community and the
political context, it is imperative that the superintendent has understood the
importance of forging solid relationships with individuals and interest groups.
Although the two parties may be far apart in ideology or expectations, there exists a
mutual respect that keeps the line of communication open for both sides to feel that
they are being heard and that their issues are given the utmost consideration.
Regardless of the rules, structures, or roles and irrespective of tasks, strategic plans,
political alliances, programs, contracts, lawsuits, etc., relational leadership is about
people and their perceptions (which, in essence, are their realities) of how they are
being treated (Dyer, 2001).
In his book on various case studies in the field of educational administration,
Kowalski (1991) references a case where a superintendent struggled with the fact
that his teachers were now forming a union to collectively bargain. It had seemed
that the superintendent had enjoyed a great relationship with his teachers, even
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thinking of himself in more of a patriarchal role, looking after their best interests.
The move to form a union hit him especially hard, as he viewed the move as a
critical incident that was questioning his credibility to be fair and equitable when
negotiating with the teachers. The move to unionize was more a sign of the times in
the name of perceived progress instead of an affront to his leadership, but he decided
to fight it through the board of education. Instead of leveraging his established
relations with the teachers to springboard into a positive collective bargaining
scenario, he ended up losing his job because of the rancor and divisive atmosphere it
caused the district.
When negotiating the outside world of community politics and the numerous
controversies superintendents face, it is imperative that one understands the larger
political, social, economic, legal, and cultural context that he or she operates in. At
all times, the superintendent is an advocate for the individual schools within his
district, the district itself, for public education, and for children. He or she must work
to influence the policies and laws regarding children, student learning, and good
instructional practices and procedures. The superintendent is aware of the local and
state political practices and works to support public policy that ensures equity in the
distribution of resources to schools and children and that provides for successful
practices that affect student achievement (CPSEL, 2001).
The Superintendent and the Board o f Education
The superintendent and the school board are the two most important members
of the district’s leadership team. Their continuous, close, creative collaboration is
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essential to carrying out long-term improvement for the district. Strategic planning,
goal setting, policy formation, and public relations are a few of the shared duties
between the board of education and the superintendent.
Neither partner can go it alone. The old concept of the board doing its own
thing in the policy realm and the superintendent unilaterally executing policies do
not correspond to reality (Eadie & Houston, 2003). This outdated notion has
damaged many board-superintendent relationships. Not only does the superintendent
need input from a board in making complex, high-stakes decisions with significant
long-term impact, the superintendent needs “the legitimacy, authority, and support of
the board.” A satisfied board is one of the most important indications of a board-
sawy superintendent, and the superintendent’s j ob security depends heavily on board
members’ satisfaction.
Most superintendents know how important school board relations are to their
ability to be successful; a majority has experienced how impossible the job is when
relations begin to deteriorate (Carter & Cunningham, 1997). In an already highly
political, complex job, the superintendent must convince laypeople—who most often
have never taught a day in their lives and have little experience working with
children—what is best for the education of children within the district. Although the
board and superintendent may exhibit a consensus approach in public the behind the
scenes haggling and mutual disagreement, can become cumbersome for both
superintendent and board.
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The first order of business for a school board and its superintendent is to
build a relationship of trust. Unfortunately, the complex demands of a busy school
district allow little time for this to mature. Nonetheless, it is essential, for the board’s
trust creates the foundation that allows the superintendent to genuinely take charge
of operations. Most studies of superintendent-board relationships conclude that
communication, trust, and understanding role differences are the main factors
influencing their effectiveness. The importance of collaboration among individuals
and groups was consistently stressed in a survey on the subject (Glass, 1992). Board
members and superintendents who described their relationships as excellent
consistently named collaboration as the most important factor. Survey respondents
attributed their successes to joint efforts to seek good relationships and mutual
understanding.
Although the formula for success with school boards seems simple—i.e.,
communication, team building, trust—the realities of board-superintendent relations
can be summed up as a marriage founded on thin ice, where the latest district
controversy or challenge can mean strained relations for all concerned. The number
one reason that most superintendents leave a school district concerns their relations
with, and support from, the school board. Moreover, there are many more
superintendents who remain but are basically impotent because of poor relations with
the board. Superintendents can do very little, if anything, unless the school board
empowers them to make effective changes (Ezarik, 2001).
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Peter Negroni, considered one of the top superintendents in the nation,
relayed the story of how he was at odds with a school board candidate. The candidate
was one of his most vocal critics, and she was elected in a landslide. He anticipated
stormy relations from the outset, and the conflict was palpable. But in the very near
future, she was one of his biggest supporters, “It’s not so much that she changed or I
changed; it’s that we came to an understanding of how to view each other,” Negroni
said. “In fact, superintendents must find ways to make boards not just part of the
reform but molders of the reform—reform that works for children.” If not, the
superintendent may be bringing ideas for reform to the board, rather than the board
and superintendent bringing reform ideas to the school community—a subtle, yet
very powerful idea.
In Glass’ study (1992) on the superintendency, the main problem identified
by superintendents was relations with the school board (64% of those polled). More
specifically, Glass said, the group believed that school boards need to be reshaped.
Although the relationship between boards of education and superintendents may be a
byproduct of a bad idea to start with—that is, having laypeople make educational
decisions for the school district—the fact remains that this is a relationship based on
democratic principles and probably will not change anytime soon.
An effective superintendent will work closely with the board, both in public
and behind the scenes. Solid relationships can be built on mutual respect and trust,
but the revolving door of some boards makes it difficult to establish ongoing
continuity. Patterson (2000) illustrates that the erosion of board support usually
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stems from a change in the school board president. Then, over time, or sometimes
very quickly, the strong board nucleus crumbles as new board members are elected.
Finally, the superintendent awakes to find that the seated board is quite different
from the one that conducted the superintendent search.
Patterson (2000) relates the story of a superintendent whose relations with the
board began to change as they dealt with a major flap over prayer at football games.
The superintendent identified the event as a critical incident he experienced where
the line between what he needed to uphold as lawful and what the board and
community thought was appropriate for their respective community became very
fuzzy.
Where does the superintendent go when he is trying to uphold statutory law
and the community wishes to go another direction? The prayer uproar led to a mass
meeting of the community where the public degraded a board member. The board
member resigned that night and the board president resigned the next morning. Two
new board members were appointed. After the first meeting of the new board, one of
the board members said to the superintendent, “The community and staff want you to
resign.”
Paul Houston (1997) executive director of the American Association of
School Administrators, blames the tension between superintendents and school
boards on a “lack of clarity” about what boards should and should not be involved in.
“Board members often start without properly understanding their roles,” he says, “I
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had a school board president tell me once that she believed her job was to thwart my
actions as superintendent” (Covino, 2002.)-
One school superintendent shares the story of a board that demanded its
schools be balanced on the basis of socioeconomic criteria (Klempen, 2003). Eight
weeks later the superintendent made a recommendation to the board that ignited
sparks in the community. Some complained the plan would “create a ghetto.” The
board swiftly rejected the plan and the superintendent was told to go back and try
again. Whether the plan was good or bad, the superintendent realized that he was in
the middle of a critical incident that would define his ability to adjust, build
consensus, and show that his leadership to bring about a successful plan was needed.
The next time around, the superintendent realized that this was not his plan; it needed
to be developed by the community so that representation was built in, thus buy-in
was attainable.
Making the board a top priority for the superintendent means not sitting back
and waiting for the board to develop itself as a governing body. Rather, the
superintendent assumes primary responsibility for helping the board to develop its
governing characteristics in the interest of higher-impact governing: defining its role,
mapping out its governing work, and developing the structure and processes to
accomplish this work. The savvy superintendent is a board capacity-builder of the
first order.
Although often noted by superintendents as the biggest hurdle in improving
our schools, the board of education can either greatly aid the superintendent or
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absolutely j ettison every move in the name of improving the school district. When
discussing critical incidents faced by superintendents over the course of a career,
experiences shared with working with boards of education often are the root of many
superintendent challenges. However, the effective superintendent has used the
democratic process of board representation to accelerate movement in his school
district. Superintendents work for the pleasure of the board and cannot ignore their
presence and power.
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CHAPTER 3
Methodology
The Qualitative Study
The qualitative study has been defined as research devoted to developing an
understanding of human systems, be they small, such as an individual teacher’s
practice in a certain instructional area, or large, such as a cultural system. Qualitative
research studies typically include ethnographies, case studies, and generally
descriptive studies.
Qualitative research methods can include interviews and observations, but
may also include case studies, surveys, and historical or document analysis.
Qualitative research has several hallmarks. It is conducted in a natural setting,
without intentionally manipulating the environment. It typically involves highly
detailed, rich descriptions of human behaviors or opinions. The perspective is that
humans construct their own reality, and an understanding of what they do may be
based on why they believe they do it.
The “Critical Incident Technique ”
The Critical Incident Technique (CIT) can be defined as a set of procedures
for systematically identifying behaviors that contribute to success or failure of
individuals or organizations in specific situations. CIT has also been put in use as a
method for evaluating systems in functioning work environments. It relies on the
idea that critical incidents will be memorable, making their capture possible either
through interview, observation, or self-reporting. CIT relies upon collecting direct
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observations of human behavior during and around critical incidents over a specific
period of time. Incidents collected should be sufficiently salient as to have had an
effect (real or potential) on the individual, system, or organization. Because the
method relies upon human memory, specific incidents and their associated
circumstances will be available for collection (Carpenter, 2000).
For analysis, incidents may be sorted into groups which are defined and
named. This process creates a taxonomy of critical requirements for an individual,
system, or organization. Incident categories can then be ranked by frequency.
Analysis of the data may reveal changes that should be made in problematic areas,
highlight individual or system strengths, or both.
The CIT was developed by Flanagan (1954). He interviewed fighter pilots
from World War II, asking them describe exactly what they had done successfully
and unsuccessfully with respect to a designated activity. Later, Flanagan formalized
this data collection process and defined it as a method of identifying critical job
requirements. The process involves collecting factual stories or episodes about job
behaviors that are crucial in performing a job effectively. The American Institutes for
Research defines CIT as a “set of procedures for systematically identifying behaviors
that contribute to the success or failure of individuals or organizations in specific
situations.” The CIT is not an appropriate job analysis tool for every job. Rather, it is
appropriate for jobs that have a flexible or undefinable number of correct ways to
behave (Stitt-Gohdes, 2000).
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Identification o f Proper Target Population
Since qualitative interviews are so time-consuming to conduct and analyze,
only a limited number of people can be interviewed. Thus, participants should be
carefully selected for their special expertise or experience. It is important to identify
and seek the participation of the subjects who will be the most informative and
helpful rather than interviewing only those people that are easiest to access.
The obvious drawback to selecting a limited number of interviewees who
have special characteristics is that it is not possible to ensure that the final list of
interviewees is representative of the larger category of people from which they are
drawn. It is therefore a good strategy to deliberately seek out the widest possible
range of opinions and experiences (a technique referred to as “maximum variation
sampling”) so that the study cannot be criticized for only interviewing people who
whose thoughts conform to the researcher’s expectations or hypotheses.
Since qualitative interviews do not attempt to gain high enough participants
to allow hypotheses to be tested for statistical significance, the appropriate number of
interviews to conduct is determined by the subjective judgement of the researcher.
The researcher will cease the interview process when he or she feels that a complete
understanding of the topic has been made. In some studies, the response to the
formulated questions may be so unique or diverse that a set number of interviewees
may be named before the interviews commence. Once again, the subjective opinion
of the researcher determines whether the chosen population is representative of the
intended population for study.
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The Interview Process
A qualitative interview is a form of conversation in which the purpose is for
the researcher to gather data that address the study’s goals and questions.
Development o f the Interview Questions
When constructing questions for an interview, the first thing the researcher
must do is explicitly determine the research questions: What is it that he or she
wishes to know; to what degree? The interview questions must be tied to the research
questions. Too often, interviews get off-target when researchers begin to ask any
question that comes to mind about a topic without considering exactly what useful
information will be gained by doing so (Cozby, 1997).
Questions may be either closed or open-ended. With closed-ended questions,
a limited number of response alternatives are given; with open-ended questions,
respondents are free to answer in any way they like. It must be noted that the open-
ended questioning strategy requires more time to categorize and code the responses.
However, with an open-ended question, the respondent can generate an answer that
is full of detail that may give the interviewer more data to work with. There may also
be deeper emotion displayed or experiential stories shared that greatly aid the
collection of rich, pertinent information.
When utilizing the Critical Incident Technique and interviewing the
respondents, pacing is absolutely essential. The questioning strategy should build up
to the most weighty of the interviewee’s responses. Since the Critical Incident may
bring back rather unpleasant memories, the questions should gradually build up to
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this end. If the respondent is an expert in the field, the questions may start off with a
more biographical slant, with the plaudits of the respondent being culled from the
interviewer.
Once a solid rapport is built with the respondent, the questioning can turn to
bringing out more of the critical incident. Questions that lend to the respondent
telling more of a story than answering specific questions works well here. The
interviewer may probe deeper with “how did you feel during this time” or “can you
explain your frustration.” These questions do not lead the answer, but keep the
interviewee pointing forward, digging deeper than the surface of the incident.
Conducting the Interview
Careful thought should be given to how to organize and conduct the
qualitative study interview. Although some qualitative interviews are flexible, they
should not be unorganized or random (Doyle, 1991). Effective qualitative interviews
are typically divided into three stages. In the first stage, the goal is to establish a
rapport with the interviewee, gaining much background knowledge. Examples of this
background include a brief biographical history, the experience(s) they have had that
is relevant to the topic at hand, and an explanation of how they came to be where
they are today. In the second stage, the focus shifts to the pertinent details of their
experiences (in this case critical incidents) that are relevant to the topic.
Finally, having reflected on their background and pertinent experiences, they
will be ready in the third stage to report on the meaning their experiences had for
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them. In this third stage, typical questions may include, “what have you concluded
from all of this?” or “what sense does this make to you?”
One should have done his homework on the topics of the interview, which
usually requires a thorough review of relevant literature. The expertise gained by the
interviewer’s previous research is invaluable as it will open up avenues and angles to
pursue as the interview unfolds. Qualitative interviewing requires the interviewer to
do several things effectively all at once, including listening intently, monitoring the
progress and time spent in the interview, picking up nonverbal cues, and
remembering what has already been said (Doyle, 2001).
Quantifying the Interview Responses
The goal of the qualitative interview is to develop explanations and theories
that are carefully grounded in the evidence, that is, the interview data. These data
must therefore be recorded and preserved in some form to allow the interviewer to
review and analyze them long after the interview is over. It is important to keep
collection and analysis separate. Conclusions should not drawn until all the data are
in, and taking notes by hand during the interview requires the researcher to make
judgements about what is important and not important during the interview.
Recording and transcribing interviews results in an unwieldy amount of verbal data.
It should therefore come as no surprise that one of the main purposes of qualitative
interview analysis is to reduce the amount of data to a more manageable level. The
goal is to identify and extract the most important, meaningful, and interesting parts
of the interview text. This should begin as a process of “discovering” what is in the
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material, rather than starting out with a definite hypothesis in mind. In qualitative
studies process of data reduction and analysis is subjective, and to gather data that
will hold up in answering the research questions and defending the culled data one
should:
1. Demonstrate that it is based on a careful reading of the interview
texts.
2. Make it clear that the researcher explored data that were inconsistent
or contradictory across subjects.
3. Report in detail on how the researcher carried out the analysis so that
the readers can judge its appropriateness for themselves (Doyle, 2001).
Once each interview has been summarized, attention generally turns to
making comparisons across individuals. This requires the researcher to return the
interview transcripts and review them looking for similarities, differences, patterns
and thematic connections in the data. Interview transcripts should be broken down by
category, or theme, and given code numbers to identify similar between
interviewees. These segments then can be separated from the transcripts and will
serve as the raw material for an analysis of the general findings of the study. Data
reduction can be achieved by noting redundancies in the data and discarding all but
the most interesting and compelling statements that aid in answering the study’s
research questions.
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The Delphi Technique
The objective of most Delphi applications is the reliable and creative
exploration of ideas or the production of suitable information for decision making.
The Delphi Technique (or Delphi Method) is based on a structured process for
collecting and distilling knowledge from a group of experts by means of a series of
questionnaires or interview(s) interspersed with controlled opinion feedback. Delphi
represents a useful communication device among a group of experts and thus
facilitates the formation of a group judgement. The Delphi Technique has been
developed in order to make discussion between experts possible without permitting a
certain social interactive behavior as happens during a normal group discussion and
hampers opinion forming. The Delphi Method has been widely used to generate
forecasts in technology, education, and other fields.
The Delphi Technique is a unique way to develop a forecast where no factual
data exists. A group of experts in the field of interest are identified and each
individual is either sent a questionnaire or interviewed in person. The experts are
kept apart and are unknown to each other. The independent nature of the process
ensures that the responses are truly independent and not influenced by others in the
group. A consensus answer (or answers) develops after all data culled from the
experts is identified for common traits. A Delphi exercise, properly conducted, can
be a highly motivating environment for the respondents and the novelty of the
feedback can be interesting to all. The outcomes do not appear as individual
“educated guesses,” but as results that are objective or at least commonly agreed
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upon. Finally, the anonymity of the exercise allows a sharing of responsibility and
releases the respondents’ inhibitions. It also ensures that individuals are swayed by
the arguments and not by their proponents.
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CHAPTER 4
THE FINDINGS
Introduction
For the purpose of data collection as related to this study, six effective
superintendents selected by a “panel of experts” were interviewed person to person
by the researcher. The names of the participants of the study, the names of their
district, and other personal data were not included to ensure anonymity.
Each interview lasted approximately one hour in duration. In some cases, the
participants asked to see the questions in advance so they could prepare themselves
to answer the questions more rapidly, as time was at a premium for some
participants.
A review of the data collected from the interviews is best completed through
a narrative that is free-flowing and representative of the responses given for each
interview question. Demographic information is presented to give the reader a flavor
of the experience and size of the district for each selected superintendent.
Analysis o f the Data
Demographic Information
Data was gathered by individual interviews with six superintendents. The
results of basic demographic information provide a clear picture of the sample
population that provide the data gathered for the purpose of this study;
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Superintendent A
1. Age and gender: 57, male
2. Ethnicity: Caucasian
3. Student population of current district: 55,500
4. Years at current post: 8.5
Superintendent B
1. Age and gender: 60, male
2. Ethnicity: Caucasian
3. Student population of last district: 4,000
4. Years at post: 7
Superintendent C
1 . Age and gender: 59, male
2. Ethnicity: Caucasian
3. Student population of current district: 2,100
4. Years at post: 27
Superintendent D
1 . Age and gender: 61, male
2. Ethnicity: Caucasian
3. Student population of current district: 380,000
4. Years at current post: 3
Superintendent E
1 . Age and gender: 59, male
2. Ethnicity: African American
3. Student population of current district: 52,000
4. Years at current post: 6
Superintendent F
1 . Age and gender: 58, male
2. Ethnicity: Caucasian
3. Student population of current district: 18,159
4. Years at current post: 6
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Responses to Interview Questions
All six of the superintendents participating in this study were asked identical
questions regarding their philosophical views on education and leadership. In
addition, every superintendent was asked to share a critical incident that they had
experienced in their career. The answers to the interview questions have been
presented as a narrative that represents the interviewee’s responses.
The presented interviews will provide the study with salient information
regarding the selected effective superintendents. Each individual was forthcoming in
their responses with various topics such as: (a) why they originally went into
education and then gravitated to administration; (b) how they see themselves as
leaders and why others might deem them “effective” in their practice; (c) how the
impact of experiencing a critical incident affected their superintendency at the time
and made them better leaders in the future, contributing to their ongoing success;
and, (d) what advice they would have for superintendents who are experiencing a
critical incident and how they would modify their approach in the future, if needed.
Any aspiring or practicing superintendent should have the good fortune to be
able to sit down with experienced leaders in the field of the superintendency. The
interviews presented herewith provides the study with a personal, practical, and
sometimes emotional picture of the challenges and triumphs that even the most
seasoned superintendents have faced and conquered. The interviews now follow:
Superintendent A . I was originally a reporter and knew that it wasn’t a
permanent career choice so I gravitated to working with kids in the teaching
area. I was teaching in New York City and noticed how poorly the system
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was run. I wanted to improve things so my inherent interest in leadership
evolved. In order to lead, people are to be valued; we need to have an
optimism and faith that our world will be better because of our efforts. We
are asked to lead multi-million dollar enterprises with no assurances from
year to year from those above us. Superintendents deal with uncertainty and it
is very difficult to be proactive and get out in front of all the layers that
follow your lead. I am proud that we have made solid student progress in our
district. We are innovative and imaginative in order to meet the various
student needs in our district. We have managed with a stable administrative
team and navigated the political process well. This last spring we had to cut
$27 million from our budget. Although all school districts faced challenges in
the area of finance, it became apparent that our board and community had to
start making tough choices that caused us in the district office some concern.
Our choices were to abolish class size reduction, increase secondary class
size, or terminate our bussing service and contract out. All options were
tough for our board and community to deal with and there seems to be no
easy way through this. I always tell people that the way we operate the fiscal
side of education is ludicrous.
I’ve realized that we as superintendents cannot wait for others to do
things “to” us. We have to prepare our boards of education to make the right
decisions on behalf of students by giving them the best information possible
to make those decisions. The one thing that the budget crisis in this state has
done is forced us to really identify what we value as important for our
children in this district. We are still experiencing the “critical incident” as the
board will be deciding on the bussing decision at their next meeting. I can
predict that they will keep cuts away from the classroom size issue, although
that will create issues with transportation. Making tough choices during a
fiscal crunch can be very detrimental to a district’s positive momentum.
The whole process has reaffirmed the need for us to be out in front as
superintendents. We have to give our boards the right information to make
decisions that do not come back to haunt us. Boards recognize when they are
prepared adequately. There may be no real “win-win” for each decision but
when the information given to the board is trusted, the outcome of the
decision is more palpable for all concerned. I think that is really important—
to cover all of the possible scenarios of a decision that is going to be made, to
show that you are one step ahead as a superintendent, because you sure do
not want to be lagging behind others in the organization.
It’s real important to not get defensive during a critical incident. If your
job security causes you to make decisions to protect yourself and not benefit
students, that is obviously a bad path to go down. There are others in the field
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that you can call that have probably dealt with the scenario that you are
experiencing. When in doubt, an instinctive reaction is probably going to
serve you best. You have to trust your ability to make a tough call and to deal
with the ramifications of that decision.
Superintendent B. I was originally going to be a clinical psychologist. I
changed my course of study to education; my parents were educators and it
seemed to be a natural fit. I started out as a teacher-principal and felt it was
an excellent beginning for me. I was always comfortable in a leadership role
and the opportunity came from there.
In order to offer a better educational experience, we need to empower
people to make change and offer rewards and recognition for their efforts.
With the high visibility of the position comes the high vulnerability. It is a
political position where one has limited control over political issues. There is
limited buffering from the problems districts and the superintendent face.
I have been fortunate to experience success in a number of districts that
had considerable issues when I inherited them. I took on cultural changes that
were risky, yet needed to happen. We attempted to close a high school, going
from three comprehensive sites to two. This caused considerable
consternation in the community. The issue got tangled in the courts and really
caused discomfort at the board-superintendent level.
Experiencing a critical incident such as a community rebelling against a
change we made in the district really solidified my view of making decisions
with the “end in mind”. As a superintendent, you have to predict what the
possible outcomes of a decision may be. Then you have to prepare your
board to deal with the outcome. The high school did not close, and in
retrospect that might have been a good thing because the community
experienced growth in attendance. The incident really solidified in me the
importance of reading the community, which is obviously represented by the
board. If people are not ready for change, the process may take more time
than one originally thought.
As I continued my career, the formation of strategic plans that reflected
what the priorities of the district were became increasingly significant. A plan
that is reflective of the community’s vision is important to buoy the
superintendent and board during trying times. During the rest of my career, I
really leaned on developing a common vision for all within the organization
to follow. You really have to understand the culture and needs of the district
before enacting change.
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In order to stay away from experiencing critical incidents in the first
place, it is always wise to take “smart risks” that have been given lots of
input from the community. Then you need to loop back to the school
community with communication regarding how things are proceeding. An
ability to read the fit of you as a leader and the district is so vital. Where are
the gaps in what you perceive to be your leadership skills compared to what
the expectations of the school community are? Reading the culture and
modifying your style without compromising your values as a leader is an
essential necessity.
Superintendent C. I had not thought of becoming a teacher. I was originally a
political science major and had no real direction. I applied for a teaching spot
without a credential and got the job. As a teacher I started to attend board
meetings and had interest in increased leadership roles. I always seemed to
want to “be out in front,” whether it was as student body president or high
school quarterback.
My philosophy was to provide learning opportunities and challenges for
all students. Give parents choice in their schooling for their children—almost
to the private school approach. In reality, the superintendent has very little
direct power of authority; we answer to five lay-people on a board that may
or may not be there solely for a special interest issue. In our district, we are
measured by the results of our students, which have been incredibly positive.
The quality of our school environments is very high, with students excited
about being there to learn in a safe, orderly environment.
A critical incident for me occurred after we had established a rigorous,
successful academic program in our district, a few newly-elected board
members publicly questioned if our standards were too high; that maybe
somehow there was too much emphasis on academics. The fundamental
philosophies of how I think we should best prepare children for success were
being questioned. The “Y” in the road was at hand, and I reacted severely to
what I thought was a bad direction the district could be headed into. The
direction the board wanted to go was not a place where I could continue to be
employed.
If anything, the incident reaffirmed my core belief system—I found the
hills I was willing to battle for—no compromises. As a result, my internal
belief system was only strengthened as a result. The Board changed their tune
as to the possibility of softening the academic expectations for our students,
but we addressed their concerns in other ways.
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The incident that I shared was a real fork in the road for me profess-
sionally. I was able to stand up and clearly articulate who I was as a school
administrator. It was the first time that I really called the board’s hand and
was willing to depart the system if things kept on the way they were.
The key to solving the issue and moving forward was that I had options
for the board to consider—this was not a win-lose scenario. I did not
compromise myself and I was not going to compromise the board. They
needed to be able to go back to their constituencies with a resolution, and I
prepared them to do that as the issue settled.
Leadership matters. It is important that a superintendent facilitate, not
dominate with his personal agenda. A game plan is in order for all to
recognize and be a part of, because there will be enough unplanned surprises
that crop up in a school district. During a critical incident, it is imperative that
if you are going to advocate and risk your political capital, you give those
making decisions ample data with options so that they do not feel cornered. If
you’re willing to take a risk, you cannot set yourself up as to where the board
is making a decision where there is an obvious winner and loser. If you know
where you want to go, you must sell others on the idea also.
Superintendent D. My mother and father taught and I just felt that was the
direction to go. After teaching a bit I was elevated to the principal level and
really found a fit in the area of educational leadership. My belief in educa
tion is that all children can learn. We need to provide the opportunities for
that statement to come true.
The importance of relationships for a superintendent is crucial. The
reality of the position is that over the course of time, decisions are made that
can have an adverse effect on those relationships, thus creating a possible
problem for the superintendent. I have been able to forge positive
relationships with those that work above me and below. I have been a good
fit in the districts I’ve led and have survived tough issues.
I had a head varsity football coach at one of our high schools who was
inviting players from the team to conduct sexual relations with his wife.
Needless to say, the ramifications of such an issue for a superintendent and
board was very palpable. The situation needed to be dealt with straight-up
and with solid leadership. I felt that solid leadership was needed in times of
crisis in a district. Somebody has to be out in front or you find yourself on the
defensive. I realized that items of magnitude are going to occur in a district,
and I have to be the one to out-think all others and prepare my board to
handle the crisis, because nobody else is.
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The critical incident mentioned above was handled with all of the
foresight and organization we could provide. The Board and I took no direct
hit as a result. The incident with the football coach is simply an example of
the sometimes very intense issues that can happen in our society. The fact
that it happens in education can make it a more emotionally charged event
that creates community concern. I have had a number of these events occur in
my tenure as a school superintendent. The first lesson is that these things will
happen; you cannot take it personally. School systems and the people in them
are reflections of our society.
How you handle these situations can make or break you as a school
superintendent. I have learned through experience that one needs to be out in
front of everybody else. The information shared should have been under your
control to a degree. The superintendent and board need to stay in constant
communication and provide a united front of calm and secure leadership in
times of crisis. The media is to be an ally during these times, which flies in
contrast as to how most school leaders view the media’s involvement during
a critical incident.
During a critical incident, you must surround the situation. There can be
no surprises for the board, or yourself. These situations are hard enough to
deal with, why would one create more trouble by not being out in front, at
least attempting to control the outcome? There is no such thing as over
preparation during a critical incident. Board members must hear the facts
from you to avoid secondhand distortion. In times like these, nobody likes to
be surprised; the district needs the superintendent to step up and lead, if you
leave it to others they will deal with it, but the blame will still trickle
upward—and that would be nobody’s fault except the superintendent’s.
Superintendent E. I didn’t intend to be an educator; I was tapped on the
shoulder by a superintendent who thought I had some of the intangibles to
have a positive effect on children. I was active in district business as a teacher
and was taken under my principal’s wing. I was in a small environment and
dealing with issues that I deal with now—just on a larger scale. I finished my
administrative credential and was fortunate to obtain a teaching credential.
Education is the key to opening doors for all children from every
background. We need to give all children the ability to maximize their
options before they leave our system. Having choices available is a real key
for future success. It’s difficult because we are managing huge systems with
large expectations and political issues. Boards are sometimes very
sophisticated and sometimes very unsophisticated. The fiscal crunch is
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palpable and it becomes difficult to meet the expectations of our public with
the resources we are given,
In reality, I do not see myself as an exemplary superintendent. I have the
same expectations for myself and exhibit the same qualities and values I did
as a teacher. I consider myself more of a child advocate than anything else.
That philosophy has probably helped me more than any other aspect of my
leadership skills.
Experiencing critical incidents seem to come with the territory. I
remember when I was employed in my first principalship and had to endure a
teacher strike. The relationships I had formed with those around me seemed
to change overnight. My perceptions about the noble and virtuous nature of
education had forever been modified due to the experience.
It was a critical juncture for my belief system as a school leader. For the
first time in my career, I had to question the sense of professionalism in the
ranks of other educators in the system. The belief that children are always put
first was severely challenged; I realized that some are out for their own good
first and others second. The “others” in this case are the children that are
under our care. I had the sense that maybe I was the only one involved who
truly put students first. That was an overreaction, but in certain times—like a
strike situation—I still need to be a strong advocate for children in our care.
The whole strike incident reaffirmed my dedication to supporting
children, not catering to adults. When children suffer as a result of adult
behavior, I am willing to go to whatever degree to end the situation. It is a
stance that can be risky, but one that I’ve found to work well in times of
crisis. The lesson I learned from the teachers’ strike is that somebody has to
champion for students during all times, good or bad. Although teachers care
deeply for their students for the most part, during personnel issues such as
this it is the adults, not the students, who come first. I resolved to always put
students first in tough times and hopefully that core value would help guide
my decision making during rough waters—and it has.
I remember my first interaction with another superintendent in a
neighboring district, he let me know in uncertain terms that we would be
competitors, and he wasn’t to be messed with. What did that have to do with
the issues that were confronting our neighboring district in regard to
students? Absolutely nothing. I realized that all adult behavior in our public
school system does not always put kids first, and I hope to be able to walk
that talk through the rest of my career.
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During critical incidents, one has to step up as the leader and be
accounted for. On the contrary, when times are going good credit must be
given to those who make it happen. Superintendents who need their egos
charged will get that—-usually artificially. And when times go bad, those that
helped to fuel that ego will look to blame. Don’t be afraid to lead on behalf of
children—if you don’t take the lead and face the tough decisions with
courage and foresight, nobody in the district will. Children need advocacy
from the adults in charge, and if the superintendent isn’t willing to step up,
who is to blame anybody else for not doing the same?
Superintendent F. I went to college on a basketball scholarship and wanted to
become an engineer. It was the era of the “Space Race.” I had a number of
awakenings and came to the realization that teaching youth was a noble
profession and gravitated there. As I was teaching, I was about to enter law
school when I had the opportunity to become an assistant principal. I took the
job and never looked back.
My philosophy as a superintendent is to build a culture where student
achievement is the number one priority; where children have a safe
environment in which to learn. We need to do a better job in imparting the
nobility of learning in the youth of today.
The responsibilities of the superintendent position are not clearly defined.
You as the superintendent are the only employee in the district directly
employed by a group of individuals that possess very little training in
education. Also, since most everyone went to school, there are many self-
proclaimed “experts” in the field.
Any success I’ve enjoyed is probably due to the emphasis I put on
building culture, as it has really paid dividends. I have really tried to
proactively educate board members and those inside our system as to what
the outcomes for our students should be and how we’re going to get there.
A critical incident that I experienced was that I had arranged for an
undercover narcotic officer to infiltrate the high school where I was the
principal. The resulting controversy of the results of that operation (the
expulsion of 26 students) was trying at the least. I had a chance to question
my career choice on how others reacted to the undercover operation. The
lessons I learned from that critical incident have stayed with me throughout
my career. I didn’t so much lose confidence in my abilities as I realized that
this is powerful stuff we’re talking about— student’s lives being turned
upside down.
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I understood that the business is tough, and what I think is virtuous and
right in a noble profession isn’t enough to win the game—you have to be
better prepared than others. In times of crisis, you have to step up and be
accountable, while not forgetting the intended outcome.
I think the ultimate outcome of that incident was that we gained
credibility as an administration that would do whatever necessary to ensure
safe, orderly schools for our children. During the aftermath of the undercover
drug operation, my superintendent at the time was grilled extensively for
allowing the project to even occur. I recognized how he stood up to the heat
being dealt his way. He could have placed blame on others but he took full
responsibility for the procedure and the results. He stood up for those that he
counted on—his employees; in this case his administrative team. I never
forgot that lesson that you need to trust and support others from your position
as superintendent. If your team doesn’t think that your support will be there,
you will never have their support to take calculated risks on behalf of
children.
To foster a culture where change, however uncomfortable, needs to occur,
one must be counted upon to support and reward those who actually can
implement the educational improvement. Even in times of crisis, don’t forget
the noble profession that you chose to be a part of. It will help you to make
the tough decision. With the position of superintendent comes a responsibility
to make a difference; others in the organization look for you set the bar and
live by those expectations.
There is always more than one way to look at an issue in times of peril,
take your time and weigh all the options available to you. Ask someone who
has been there with the issue you’re facing; chances are you will learn a lot
from their testimony. In the course of my career I have heard from many
superintendents about what was being done to them. Much of it had to do
with not communicating with those around them about why decisions were
being made.
Shame on us as superintendents if we do not educate our boards or our
administrative teams. Shame on us if we do not bring the community and
staff along in a manner that promotes inclusion. There will be enough of the
unexpected to deal with, why do we create more problems by not practicing
the basic tenets of good leadership? School districts need leaders who
recognize this and stay ahead their organizations on behalf of the students in
their charge.
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Answers to Research Questions
The following represents answers to the research questions offered in chapter
one. The superintendents’ responses to each of the interview questions were
documented in a previous section of chapter four. Those interview responses provide
the cornerstone of the researcher’s responses to each research question:
Question #1
Among successful superintendents, what have been the critical incidents that
they have experienced and what impact did it have on their professional and
personal lives at the time?
As expected, the critical incidents shared by the superintendents in this study
were wide-ranging in scope. One superintendent shared his experiences with a single
personnel issue while another related a philosophical problem he was having with his
board of education in the area of academic expectations for the district’s children.
Some of the superintendents foresaw the critical incident happen in advance and
others were blindsided by the situation.
It is rather apparent that the superintendency is not a position where one can
receive technical training on everything that the job entails. A Hollywood
scriptwriter would have a hard time conjuring up the types of incidents and situations
that the superintendents interviewed dealt with. To a person, none of the respondents
were shocked that the incident happened in the first place—it was part of doing
business in the political, topsy-turvy world of school administration at the highest
level.
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The superintendents almost expected critical incidents to happen to them as
part of the position; they were not lamenting that fact. A superintendent does all he
can to ensure that the mission of the district is the guiding principle to follow, but
critical incidents will happen and how one deals with those incidents can directly
impact the attainment of the real desired outcome for the district, whatever that
outcome may be.
With that said, the superintendents shared that the impact of the critical
incident on their professional, and sometimes personal, lives was palpable. There
was no escaping the reality of the event. Professional attitudes were changed,
relationships were lost, strengthened, or forever altered. Others lost much through
the process of solving the particular crisis. Much learning occurred for the
superintendent. Invaluable experience was gained that modified behaviors when
confronted by another critical incident in the future.
The superintendents in this study possess core values regarding education
that were severely tested during the critical incident. There were opportunities to
compromise those values in order to arrive at an outcome that may please all. The
superintendents, however much they were experiencing consternation regarding the
incident, did not compromise those core values for they knew it would taint their
credibility in the future. The quick fix was not worth the loss of credibility regarding
what the superintendent stood for and advocated for publicly for the children in his
care. It made for more complexity and caused more work to be done to solve the
issue, but in retrospect, the superintendents shared that how they handled the critical
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incident spoke to their leadership ability as much as the final outcome of the incident
(Johnson, 1996).
Question #2
What did these superintendents learn from their experiences?
Superintendents, in order to be effective, must be lifelong learners (Senge,
1990). If mistakes were made during the handling of the critical incident, they were
to be examples of how better to react in the future. One superintendent relayed the
decision that caused the critical incident in the first place “should have never been
made.” In retrospect, he did not lay the requisite groundwork for the board to stand
firm on their decision. He thought that everybody was on board to go forward but the
reaction from the community caused more strife than ever imaginable.
In fact, communication in advance and during the critical incident was
paramount in importance as relayed in the study. The superintendents felt that each
issue was manageable, but when it got out of their hands the problem usually
manifested itself into much more than it should have been. Each superintendent
learned that people, in times of crisis, demand and crave information. The
superintendent can be the one to control, or have a hand in, disseminating that
information. If not, others may take the lead, and that can be very risky. Some of the
superintendents had very strong board members that wanted to be the spokesperson
for the district during these times. If given the proper guidance and coached on the
facts, this can be a powerful help for the solving the problem, as board members are
sometimes felt to be less bureaucratic and able to connect with the public better.
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Much was said from the superintendents regarding how they learned to treat
others under their supervision during these critical times. Everybody looks to the
leader in times of crisis because there is an implied responsibility for the leader to
lead during these times (Sample, 2002). One can assume responsibility for
untangling the issue or delegate to others and shift the responsibility. Those that shift
responsibility lose credibility and are seen as weak leaders. “If you sit in the top
chair, you have to assume the risks that come with it,” said one superintendent.
In addition, superintendents reported that one aspect of experiencing a critical
incident that was a major learning experience was that you have a unique opportunity
to solidify your leadership legacy during critical incidents. How others view your
skills in times of crisis will help you immeasurably during the smooth times. If
others know that the superintendent can handle the tough issues, it builds a
credibility bank and a power base that can be utilized as needed. Others in the
learning organization see that a capable, courageous person is in charge, and they
become more willing to experiment, to take calculated risks themselves because they
know somebody, in this case the superintendent, can handle potential negative fallout
with aplomb and skill.
Probably the most important aspect learned from superintendents that
experienced a critical incident was that leadership during these times is needed more
than ever (Hicks, 2003). They learned that they had more intestinal fortitude than
they may have thought previously. To a person, they agreed that their leadership
qualities were enhanced or brought out in ways that they had not been. They relied
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on intuition and skill to get through the critical incident and were a better leader in
the future as a result.
Question #3
How did the learning experience involved in experiencing a critical incident
modify their leadership behavior fo r the future?
Every superintendent interviewed said they reacted similarly and differently
when they experienced other critical incidents later in their career. They kept using
tactics that seemed to work and learned from their mistakes to better address the next
crisis. Their leadership behavior changed in more strategic terms, such as bringing
the board into the situation as early as possible and keeping them informed and
acting as an ally throughout. They learned that the media—if brought along
correctly—can be a friend for the district during trying times.
Probably the most salient point brought out by the interviewed
superintendents was that they reacted to future critical incidents by using the same
filters they employed earlier in their careers. Each superintendent spoke passionately
and eloquently about why they went into education and what their philosophy of
education was. These philosophies, sometimes called “core values” were very
important in providing internal guidance during a critical incident. Particularly early
in their careers, the six superintendents did not have the experiential knowledge to
rely on.
Without knowing exactly how to react in a given situation, the
superintendents would ultimately ask themselves how students would benefit from
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the outcome they were pursuing in regard to solving the critical incident. Every
decision made in a school district ultimately effects students. With that in mind, and
not knowing all the answers, the core values of the individual became the guiding
factor in working through the issue. If those core values were solid at the beginning
of a career, they probably remained solid throughout and towards the end of a career
(Ackerman, 1996).
Because the nature of a critical incident can be so unique, no one person can
have all the technical resources to solve the problem. There is not an administrator
manual that can address all of the varied situations that can occur in a school district.
Instead, leaders rely on their internal compasses to direct them in how to react. The
intuitive thought process was considered essential—having a broad base of common
sense and staying cool under pressure may buy time to work through an issue.
Ultimately, there usually must be a resolution for the problem, and these
superintendents usually came up with the right solution, which is why they have
experienced success and are considered effective in the field of the school
superintendency.
When asked what internal thought process went into solving an issue, there
was no clear answer. “It seemed like the right thing to do” was mentioned most
often. The “right thing” was how the district and its students could benefit by the
leader’s reaction to the issue. More than one superintendent made it clear that if
decisions are made to protect oneself, it absolutely will not work. It may take
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pressure off of the individual superintendent, but the problem will percolate back up
in some fashion and cause much ill will for the superintendent.
The importance of relying on one’s core values to provide direction during a
critical incident was highly valued by the superintendents in the study. Not caving in
to special interests or making decisions for personal protection were solutions that
would not work in the long run. If a superintendent uses his moral compass in times
of strife, the course of action will probably be correct, because that moral compass
will not have changed from when the superintendent entered education as a calling
many years before.
Question #4
How would these incidents o f effective superintendents and their experience
with critical incidents benefit other superintendents and their practices?
Throughout this study, the research has directly supported the fact that the
public school superintendency is a very difficult position to succeed in. The
superintendents interviewed related much of the same as the related literature. Many
pointed out that the position comes with great responsibility and accountability;
however, the direct authority to enact change is severely limited. The difficulty of
being a school superintendent has been proven, yet the profession is proud to contain
those individuals who have enjoyed considerable success in that post (Konnert &
Augenstein, 1995).
Effective superintendents interviewed for this study had difficulty expressing
why they were considered as exemplary. For the most part, they deflected that praise
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back to others in the district, whether it was the board, other staff members, or the
students themselves. Many of them mentioned increased academic student
performance results as maybe the reason why the district and themselves have been
considered successful. Others mentioned that the culture of mutual respect and open
communication that they have tried to foster has directly paid off in increased
credibility for their leadership skills.
As noted in the demographics, each superintendent has spent an entire career
in education and has been noted as exemplary from their peers. Each superintendent
is on the cusp of retirement and has learned through trial and error how to be a better
superintendent. The advice they give newer superintendents, particularly those
experiencing a critical incident, were wide ranging but kept centering back on the
need for solid leadership during those times.
“Solid leadership” to the interviewed superintendents meant that the
superintendent was to try and practice the basic tenets of good leadership, i.e.
communication, courage, knowledge, modeling, etc., to attempt as best as possible to
avoid critical incidents from happening at all. But inevitably, critical incidents will
happen and how you respond as a leader can help or hinder you overall credibility in
the future.
During the critical incident, communication with the board was deemed as
critical and key for working through the issue. If the board is surprised or not
prepared on how to react, they may get out in front of the superintendent, and that
can cause the issue to take on a life of its own, becoming even more politically
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charged and more difficult to resolve. The importance of trusting your intuition was
highlighted; one needs to know where the resolution should be, then keep out in front
of everyone else to keep working toward a desired outcome. That “desired outcome”
needs to be supported in advance by those involved—whether it is the board or the
entire community—the resolution becomes a goal to meet and serves as the
barometer of whether the superintendent was able to get to the desired outcome on
behalf of the district (Kouzes & Posner, 1993).
Probably the most salient piece of advice from the effective superintendents
was to not compromise your internal core values for education to simply deal with a
critical incident. One must make difficult decisions in tough times and a
superintendent needs an internal compass to help that decision-making process. If
your core values put students first, then the issue may be easier to deal with,
providing one with a clear sense of purpose and direction in times of crisis. If one’s
core values do not match up with the district’s, it could be a bad fit overall for that
superintendent—and something will probably have to give.
Finally, it was reiterated many times that the superintendency is a lonely
position at the least. One does not have to feel isolated, however. There is probably a
superintendent who has dealt in some fashion with the critical incident that you are
now experiencing. Give that person a call and digest the knowledge given. Use
others in the field for support and guidance, for superintendents need to be there for
each other as a type of extended support system that is not directly connected to the
issue at hand.
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Conclusions to Research Questions
There are some common themes that emerged from the interviewed
superintendents regarding how critical incidents helped shape their leadership style.
These common themes are encapsulated below:
1. When confronted with a problem, superintendents did not rely on
others to solve the issue. They assumed leadership responsibility and actually
preferred that they have control over the issue because of the potential strife it could
cause.
2. In solving a critical incident, superintendents did not have a clear
“template” to follow. Instead, they relied on their internal core values as to what they
best for students and the district culture to help guide them with decision making.
3. A universal response from the interview superintendents was that
critical incidents will happen. How one handles the incident (not who wins or loses)
may determine the credibility of the leader for the rest of his tenure.
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CHAPTER 5
SUMMARY, CONCLUSIONS, AND RECOMMENDATIONS
Introduction
This chapter contains a summary of the study, including a statement of the
problem, purpose of the study, and methodology used in this study. The research
questions are presented with conclusions drawn as related to analysis of the data. In
addition, the researcher has made various recommendations for consideration.
Summary
The Problem
The position of superintendent as it presently stands in the arena of public
education has been widely researched. The difficulties and complexities of the
position require a person adept and navigating the political, managerial, and
educational challenges that come with the title. Much of the research illustrates the
“impossibility” of one person to be able to excel in all facets of the superintendency,
yet our system seems to not expect anything less from those at the top. There are
those superintendents who have been able to tread through the various challenges
and come out for the better—who are they and what is their secret?
In the field of the superintendency, there are those who are considered
exemplary. They have managed careers that spanned decades and have succeeded in
what some consider the most difficult position in education. Yet, for all of their
success, every superintendent will face challenges, or “critical incidents” that
severely taxed their ability to lead, to still be considered exemplary.
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For those superintendents who are still evolving, just starting their first
superintendentcy, or are experiencing a critical incident, there is not a template to
follow to provide guidance. Unlike a surgeon who usually follows a prescribed
procedure in operating, the superintendent has no such direction. He or she reacts to
a crisis “without a net” and that is a very difficult situation to be in.
The problem is simple—we know superintendents will face critical incidents
in their career, but there is no easy answer for these situations—thus, we turn to the
experts in the field to offer their guidance to help provide the solution.
Purpose o f the Study
The purpose of this study can be framed in three components. The first
component was to identify six superintendents in Northern California that were
selected by their peers as being exemplary in the field of the superintendency, yet
have experienced a critical incident at sometime in their career. The second
component was to identify the nature of the critical incident and how it challenged
their ability to lead. The third component was to collect data on how the effective
superintendents worked through the critical incident and how they became a better
superintendent for the future as a result.
The collected data from the above three components become a template of
sorts for other superintendents to follow when they are confronted with a critical
incident. As stated in the problem, there is much research done on how difficult the
position of superintendent is, there is very little research on how effective
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superintendents are able to meet those challenges and as a result, become better
leaders for their respective school districts.
Methodology
This design was qualitative in nature. The study centered on the research of
six superintendents who were considered effective by a panel of experts in the field.
These experts also had firsthand knowledge of challenges, or critical incidents, that
these effective superintendents had experienced at one time or another in their career.
The data collection process started with the researcher and two of the “panel
of experts” designing the interview questions to be asked. One on one interviews
were conducted with six superintendents varying in length from 45 minutes to an
hour and a half. The interview instrument contained open-ended questions to elicit as
much response as possible with a sometimes emotional topic.
The interviewer took the liberty to probe deeper on an answer by asking what
may have not been a formulated question, but contributed to the thematic response of
the designed question. All responses were tabulated and condensed for space
consideration as presented in chapter four.
Research Questions
1. Among successful superintendents, what have been the critical
incidents that they have experienced and what impact did it have on their personal
and professional lives at the time?
2. What did these superintendents learn from their experiences?
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80
3. How did the learning experience involved in experiencing a critical
incident modify their leadership behavior for the future?
4. How would these incidents o f effective superintendents and their
experience with critical incidents benefit other superintendents and their practices?
Conclusions
The following conclusions for this study are presented below:
1. By virtue of the nature of the position, superintendents will be faced
with various critical incidents during the course of their career in the superintend-
dency. The type of critical incident that will come up is impossible to predict because
the scope of what constitutes a crisis for a superintendent is very wide. The effect
that a critical incident can have on a superintendent can be devastating on both a
professional and personal level as the critical incident evolves and after the incident
arrives at some type of resolution. The impact that a critical incident has on a
superintendent will create opportunities to lead, to show a side of executive
leadership that may have been dormant in the superintendent and never witnessed by
others. Although the critical incidents are unique to each individual, the same
qualities of leadership are employed to work through to an outcome. Ironically,
effective superintendents use critical incidents as an opportunity to reaffirm the
vision of the district as to how they handle the incident—there is a statement made
about how one carries himself when the going gets tough— and courageous
superintendents take the necessary measures to ensure that the incident is dealt with
and that everybody learns something as a result.
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81
2. The superintendents that have experienced critical incidents learned
that there is no template to follow in times of crisis. Leadership steps forward to deal
with the situation and to try and create a “win” for the district. Since there is nothing
written about how one handles all of the various critical incidents one may face,
superintendents increasingly found themselves looking internally for the answers.
They used their intuition as to “what is best for the children of this district” in
making tough decisions. The leader’s core values as to why they entered education
served them well in making decisions that would have obvious ramifications—
sometimes not in the best interest of the superintendent politically. Many of the
superintendents used in this study referred to their “moral compass” in directing their
response in times of crisis. In the grand scheme, it was better to make a decision,
stand firm, and not waver because of pressure. A statement was made by one
superintendent about how he handled himself during the critical incident, was as
important as how the whole situation ended up. Truly, did the superintendent “walk
the talk” or simply find the easy way out to avoid personal conflict? The decisions
made by effective superintendents as they experienced critical incidents earlier in
their career paid dividends for years after because people knew that the
superintendent was courageous and credible.
3. Superintendents are lifelong learners in regards to education as a
whole and certainly in relation to the complexities of the superintendency. After
experiencing and providing resolution to a critical incident, superintendents then
have more to add to their data bank and their credibility as a leader usually increases.
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82
As situations arise in the future, many times they are dealt with before they can even
become a critical incident because an effective superintendent can head off trouble
before it takes on a life of its own. The strategic aspects one employs when working
through a critical incident are used to one’s advantage, such as bringing the board of
education in at the earliest possible time. Communication was paramount during
times of challenge, whether it was the media, the community at large, the teacher
union, etc. If people are informed, they can become allies instead of hindering
progress toward a resolution. Superintendents make a habit of being “out in front” of
the organization, always staying a step ahead with a finger to the wind to anticipate
the next challenge. Above all, superintendents do not modify who they stand for as a
leader to solve a crisis; they use their internal core values as a navigating tool to help
guide them through rough patches that the position will invariably bring.
4. The lessons learned from those effective superintendents that have
experienced critical incidents should not be lost on those new to the field. Because
the superintendency is such a unique position of leadership, experiential knowledge
is invaluable. The superintendents interviewed for this study emphasized that
because of the possible negative ramifications involved with experiencing a critical
incident, some superintendents may not want to learn directly from this type of
experience. They may instead rely on those that have been through various fires and
can now relate sage advice to the novice superintendent. First and foremost, it was
mentioned that it is imperative that a superintendent experiencing a critical incident
that is somewhat lost for answers must seize the opportunity to lead. It is his duty,
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83
and if left to others, all may lose, including the district and the superintendent.
Communication was stressed by the superintendents involved in the case study—not
only with the Board but with the community at large. In many cases, the
superintendents relayed that they sought out counsel from other practicing
superintendents. One needs to ask others that have been through the situation before,
and someone probably has to some degree. It is imperative that one communicates
throughout the experience, letting others know the rationale for making certain
decisions. The Board of Education must be informed to a degree where they can
serve as positive allies for the superintendent. All superintendents said that mistakes
will be made; they learned from them and become a better superintendent as a result.
Above all, the study confirmed the fact that superintendents must realize that they
will experience a critical incident. During those trying times, one must rely on
common sense, intuitive leadership, and a belief system that puts children first.
Recommendations
The researcher offers the following recommendations for further thought:
1. There is a wealth of experiential knowledge contained in the minds of
practicing superintendents that are veteran in the field and considered exemplary
leaders. We need to glean more technical, tactical, and practical knowledge from
these individuals. In the next 5 years, there will be considerable turnover in the ranks
of superintendents in California. The “bench” that is to become our public education
system’s next generation of leaders could benefit greatly from these individuals’
depth of understanding in regards to the position of superintendent. There needs to
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84
be more opportunities for sharing of knowledge for school leaders from school
leaders.
1. Administrator preparation programs should offer more courses that
deal with the practical side of school administration, i.e., experiencing a critical
incident. Superintendents make great teachers in this arena because they have usually
occupied all of the various administrative chairs before becoming a superintendent.
The classes taught in relation to theory are important, but they need to be balanced
with courses that deal with the “here and now” of school administration taught by
exemplary school leaders who also serve as role models for prospective
administrators.
2. School district superintendents should support one another more as an
insular group than they have. Because of other duties and time constraints,
superintendents very rarely come together in formal or informal settings to “talk
shop” and provide support for one another. The Association of School
Administrators (ACSA) could take the lead by putting more emphasis on this notion
by strengthening the various superintendent committees found in each ACS A region.
Superintendents need to share best practices and experiences, for the position can be
very lonely at times.
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REFERENCES
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APPENDIX
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University of Southern California
Dissertation for Merrill Grant
“A Study of Effective Superintendents and How Critical Incidents Contributed to
Their Success”
Component: Superintendent Interviews
** To be conducted orally
Name:________________________________________________________________
Age: Ethnicity:
Gender:
District: ____________ _________ _______________________________
ADA of current district:___________________________________________________
How many years at current district as superintendent?
Previous positions and years at each position
1. _________________________________________________________________________________________________
2 . ________________________________________________________________________________________________________________________
3.
Why did you choose education as a career?
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92
What transpired you to choose educational administration as a career path in the
field?
What is your philosophy of education?
Why is being a school superintendent so difficult?
You are considered a leader in the field, one who can be considered an exemplary
superintendent. Why would people say that?
(Explain “critical incident” to the interviewee)
Please relate a critical incident that you experienced as a superintendent that
challenged every facet of your leadership capability.
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93
(Does interviewer need to ask for another example?)
How did you feel as you worked yourself through that experience? Did you lose
confidence in your own abilities or feel disenchanted with public education or the
realities of being a superintendent? What was the ultimate outcome?
How did you use that incident as a learning experience to help you become a better
leader? Have you experienced similar incidents and responded differently based on
that previous incident?
(Is there a question to ask the interviewee based on philosophy of education, or core
values, and how that helped the respondent work through the critical incident?)
What advice would you give to a new superintendent—particularly one that is
experiencing a critical incident?
Anything else to add?
SAY THANK YOU
Total interview time should be approx. 60 minutes
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Asset Metadata

Creator Grant, Merrill M. (author)

Core Title A study of effective superintendents and how critical incidents contributed to their success

School School of Education

Degree Doctor of Education

Degree Program Education

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

Tag education, administration,OAI-PMH Harvest

Language English

Contributor Digitized by ProQuest (provenance)

Advisor Ferris, Robert (committee chair), Gothold, Stuart (committee member), McLaughlin, Michael (committee member)

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c16-403484

Unique identifier UC11335613

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Legacy Identifier 3145205.pdf

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Document Type Dissertation

Rights Grant, Merrill M.

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

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

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