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What key characteristics are seen as essential by board of education members that lead to a successful superintendency

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What key characteristics are seen as essential by board of education members that lead to a successful superintendency

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Content Running head: KEY QUALITIES OF SUPERINTENDENTS 1
WHAT KEY CHARACTERISTICS ARE SEEN AS ESSENTIAL BY
BOARD OF EDUCATION MEMBERS THAT LEAD TO
A SUCCESSFUL SUPERINTENDENCY
by
Ilin Magran
____________________________________________________________________
A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION
May 2015
Copyright 2015 Ilin Magran
KEY QUALITIES OF SUPERINTENDENTS 2
Dedication
This educational endeavor could have not been accomplished without the support
of many individuals dedicated to my success. I dedicate this dissertation to my loving
parents. I thank my mom and dad for their continuous encouragement throughout my
entire life. Both have always been there for me, and I will always love them for being the
great parents that they are. On October 23, 1993, they decided to leave everything behind
in Kuwait/Iran and move to United States of America for better opportunities for their
children, and I am forever grateful. In spite of their personal hardships throughout their
lives−from moving to another country, to learning to speak English−they have been by
far the greatest teachers I have ever had. Completing this dissertation and this doctorate is
a tribute to the values that they instilled in me at an early age. They have been the best
role models on how to be a loving and caring individual and how to survive life’s
challenges. Their encouragement and support have given me the inner strength to pursue
my passion and follow my dreams. Thank you, Mom and Dad!
This study would not have been possible without the support of all my family
members. I thank my dear husband Armen for his support and assistance in keeping me
focused amidst my tears and complaints. I thank my boys, Michael and Alex, for being
the best children that could can ask for. I also thank them for their continued patience
when Mom had to be away from home to finish her projects for school. May nothing
stand in the way of their dreams and aspirations. The two of them have served as my
motivation in life, and I love them.
I thank my sister Maylin for inspiring and motivating me to do the best that I
possibly can in life. I am also grateful to her for being a great sister and the best friend
KEY QUALITIES OF SUPERINTENDENTS 3
that anyone could ask for. I thank her for her valuable time that she shared by taking care
of my boys, Michael and Alex, when I needed an extra hand. I am appreciative to my
brother Joseph for his encouragement and for having pride in me.

KEY QUALITIES OF SUPERINTENDENTS 4
Acknowledgments
Many people played key roles in this journey in my life, and I thank and
acknowledge each of them. First, my family gave continued support and encouragement,
holding very high expectations for me that led to completion of this dissertation.
Three people have had a profound effect on my life and in this 3-year journey. My
dissertation chair, Dr. Rudy Caustrita, was the driving force, navigating me through this
process with encouragement, continued support, and sharing of experiences. He is a
wealth of knowledge, and I have enjoyed getting to know him. Being in his Superintend-
ency class allowed me to acknowledge and appreciate a true leader and learn from the
mistakes of others.
Dr. Pedro Garcia is a well respected and loved professor in the USC School of
Education, and it has been pleasure to know him. I appreciate his guidance, feedback, and
accessibility throughout this journey.
This study would not have been possible without support and encouragement by
Dr. Cuauhtémoc Avila, my former supervisor at Glendale Unified School District and
dissertation committee member, and I am forever grateful. His gracious guidance has
proven indispensable both to this study and to myself personally and professionally.
Dr. Katherine Torossian, Dr. Dick Sheehan, and Dr. John Garcia provided
continuous support and encouragement. I thank all school board members whom I
interviewed and surveyed. They deserve credit for my ambition to pursue and complete
this dissertation.
Dr. Scott Anderley has given encouragement and support in my professional and
educational endeavors in the past 2 years. I appreciate his trust in me and allowing me to
KEY QUALITIES OF SUPERINTENDENTS 5
be part of his team and allowed me to grow professionally by participating in difficult
situations. He is a great boss. The staff at Student Support Services/Healthy Start gave
support and encouragement. Margarita, Anna, and Diana, welcomed me to their team and
allowed me to take the department to a different level, sometimes providing the
impossible for our families in need. They are extraordinary coworkers, and I appreciate
each one of them.
Finally, I extend my thanks to the USC Rossier School of Education for giving
me the opportunity to join this amazing program and the Trojan family. I have met some
extraordinary and amazing educators, who made this journey an exciting and memorable
experience. I have enjoyed getting to know my classmates in Cohort 2012, and I will
miss those weekly classes. Fight on!
KEY QUALITIES OF SUPERINTENDENTS 6
Table of Contents
Dedication 2
Acknowledgments 4
List of Tables 8
List of Figures 9
Abstract 10
Chapter One: Overview of the Study 11
Statement of the Problem 13
Purpose of the Study 15
Research Questions 15
Significance of the Study 16
Assumptions, Delimitations, Limitations 16
Definition of Terms 17
Organization of the Dissertation 17

Chapter Two: Literature Review 19
The Importance of an Effective Superintendent 20
Success of Superintendents in the Modern Education System 22
Communication 23
Educational Knowledge 28
Leadership 31
Organizational Ability 34
Supervisory Skills and Management 36
Interpersonal Skills 37
Budgeting/Finance 39
Importance of School Board Member Opinions 41
Impact of Superintendent on Student Achievement 42
Chapter Summary 45

Chapter Three: Methodology 48
Participants and Setting 48
Design Summary 50
Methodological Approach 51
Instrumentation and Protocols 54
Data Collection Protocols 56
Data Analysis 57
Ethical Considerations 58
Limitations of the Study 60
Chapter Summary 61

Chapter Four: Findings 62
Background 62
Research Questions 63
Coding of Data 63
Participant Demographics 64
Research Question 1 67
KEY QUALITIES OF SUPERINTENDENTS 7
Research Question 2 72
Research Question 3 77
Conclusion 80

Chapter Five: Conclusions and Implications 82
Statement of the Problem 83
Purpose of the Study 83
Research Questions 83
Significance of the Study 84
Review of the Current Literature 84
Methodology 86
Results and Findings 86
Research Question 1 86
Research Question 2 88
Research Question 3 90
Limitations of the Study 91
Implications 93
Recommendations for Future Research 94
Conclusion 95

References 97
Appendices
Appendix A: Interview Protocol 104
Appendix B: Online Survey 106
Appendix C: Recruitment Materials 110
KEY QUALITIES OF SUPERINTENDENTS 8
List of Tables
Table 1: Ages of Participants 65
Table 2: Educational Levels of Participants 66
Table 3: Student Enrollments in the Districts of Participants 67
Table 4: Important Leadership Characteristics of a Superintendent According
to Respondent Members of Boards of Education 69
Table 5: Respondent Board Members’ Preference for Superintendent’s
Background 71
Table 6: Respondent Board Members’ Preferences for Means of
Communication With the Superintendent 71
Table 7: Respondent Board Members’ Views of the Extent of Collaboration
and Cooperation Between Board and Superintendent 75
KEY QUALITIES OF SUPERINTENDENTS 9
List of Figures
Figure 1: Skills needed to succeed as a superintendent 13
KEY QUALITIES OF SUPERINTENDENTS 10
Abstract
The superintendent plays a vital role in the positive development of the
educational system at the local, statewide, and national levels. The purpose of this study
was to identify effective leadership characteristics that are seen by board of education
members to lead to a successful superintendency. Three research questions were posed
regarding (a) an assessment of the perceived necessary leadership characteristics for
superintendents from the perceptions of the board of education members, (b) which style
of leadership members of the boards of education thought is most appropriate for
successful superintendency and how the style affects student achievement, and (c) how
members of the board of education evaluate superintendents for their success. The study
was conducted utilizing a mixed methodology approach, combining qualitative and
quantitative methods. A survey of 39 urban board of education members in southern
California and interviews with 5 board of education members were conducted. The
following themes emerged from the survey results: effective communication, high
educational level and knowledge, good supervisory and interpersonal skills, and the
ability to build a community and collaborate with organizations in the community. The
findings in the area of communication included the need for frequent, focused, and
purposeful communication, using a variety of communication methods to meet the styles
of various board of education members. The board members stated that superintendents
were crucial to student achievement because they control resources and monitor schools
and principals to meet goals for improvement of student achievement. Recommendations
for further study and the impact of the results are provided.
KEY QUALITIES OF SUPERINTENDENTS 11
CHAPTER ONE: OVERVIEW OF THE STUDY
“Nearly all men can stand adversity, but if you want to test a man’s character,
give him power” (Abraham Lincoln, as cited in BrainyQuote.com, n.d.).
The superintendent plays a vital role in the positive development of the
educational system at the local, statewide, and national levels (Kowalski, McCord, &
Peterson, 2011). As the person with executive oversight of an educational institution,
controlling administrative powers, the superintendent is crucial in ensuring that the
education of the students occurs to its maximum potential (Cash, 2008). According to
Glass and Franceschini (2007), a school superintendent has a unique position in the
public education and plays a critical role as a connecting link between schools and
communities represented by school governing boards. Waters and Marzano (2006) stated
that, if superintendents and district leaders carry out their leadership responsibilities
effectively, student achievement is positively affected.
The heightened focus in recent years on the nature of accountability in the
American public school system has highlighted the role of all persons involved in the
educational process, including superintendents, and the relative success and failures
attributed to superintendency (Elmore, 2000). However, there is debate about the
importance of certain leadership characteristics and competencies and the importance
associated with these in terms of the overall success of the individual leader (Bjork &
Kowalski, 2005).
This study analyzes effective leadership characteristics held by superintendents
that were deemed most important by members of boards of education. The study is
immersed within educational and leadership theory, as well as organizational change
KEY QUALITIES OF SUPERINTENDENTS 12
management theory. A study by Andrews, Cameron, and Harris (2008) on the subject of
organizational management found complexities involved in managing change in practice
and concluded that these complexities reflected the distinctive organizational
environment and cultures, with this view. The study assessed the relationship between
leadership competencies and characteristics and the impact of superintendents on the
development of the educational institution in which they are in charge. Andrews and et al.
indicated that educational institutions are unique in their need for certain management
qualities.
Research has been conducted on the qualities needed by superintendents, as cited
by Henry and Reidy (2006), but the perceptions held by members of school boards have
not yet been the primary focus of research. Early work on this subject included work by
Kennedy and Barker (1987), who focused on assessing the ability of rural school
superintendents in America. They found that the “most valued capabilities of
superintends were interpersonal relations (communication skills), financial
(organizational management skills), good moral character and personality” (p. 83). The
qualities identified by superintendents in the study by Henry and Reidy are listed in
Figure 1.
Based on those studies, it is clear that there has not been a comprehensive study of
the perceptions of members of boards of education regarding qualities needed by
superintendents. This was deemed to be a major gap in the literature due to the power and
influence that these persons have in local districts.
This chapter provides a statement of the problem and identifies the main purpose
of the study. Research questions are presented, as well as significance of the study.
KEY QUALITIES OF SUPERINTENDENTS 13

Skills Needed to Succeed as a Superintendent of Schools

Leadership/Strategic Thinker/Problem Solver
Communication/Community Relations
Interpersonal Skills
Character
Competency in Curricular Areas
Supervisory Skills
Budget/Finance
Organizational Abilities
Flexibility/Sense of Humor
Continuous Learner
Goal Accomplishment
Multilingual
Right Staff in Place

Figure 1. Skills needed to succeed as a superintendent. Source: Characteristics of
Effective Superintendents, by L. Henry & B. Reidy, 2006, retrieved from http://
www.nspra.org/files/docs/CharacteristicsOfEffectiveSuperintendents.pdf
Assumptions and delimitations are presented, key terms are defined, and the overall
structure of the research effort is described.
Statement of the Problem
The analysis of leadership qualities and the attributes needed to be a success in a
leadership position are well documented in an extensive body of literature. However,
because of the continual shift in focus to new forms of leadership, evidence germane to
specific leadership situations is minimal and often fragmented. One area of leadership
that lacks meaningful and thorough research is that which focuses on the leadership
quality necessary to be successful as a superintendent of a school district. Waters and
Marzano (2006) studied the impact of superintendent leadership on student achievement
KEY QUALITIES OF SUPERINTENDENTS 14
but failed to address the qualities identified by members of boards of education to be
essential to the success of a superintendent.
The literature indicates that the role of the superintendent has changed
dramatically in recent years, leading to a shift in the debate concerning the important
characteristics needed for success in the school environment. Bredeson and Kose (2007)
described educational reform in the past two decades that has led to the “work of school
superintendents being affected over a ten-year period by these reform initiatives,
especially with increased demands for accountability” (p. 61). It is apparent that there are
clear challenges in determining success in American public schools, as researchers often
see the local “district office—the organization headed by the superintendent that oversees
and supports all the schools in the district—as part of the problem and not as a crucial
part of the solution” (Childress, Elmore, & Grossman, 2006, p. 1).
Understanding the term superintendent and its multiple definitions has led to a
problem (Kowalski et al., 2011). The term has undergone many changes in the history of
America’s public school system, perhaps being the cause the confusion regarding the
modern-day superintendent. Elayan (2007) asserted that there are two positions regarding
the role of a superintendent: (a) some see the role as a manager requiring a specific level
of business acumen and organizational skills but no real need for educational experience,
and (b) some contend that the central mission of learning and teaching is most important
and should be the fundamental prerequisite for selection of a superintendent. The debate
and confusion related to the superintendent supports the need to examine beliefs held by
members of boards of education and the key characteristics (business based or education
based) that they desire in a superintendent.
KEY QUALITIES OF SUPERINTENDENTS 15
Purpose of the Study
The purpose of this study was to advance the debate and present conclusive
evidence from a sample of school board members regarding their views on the effective
characteristics and roles of a superintendent and to describe how successful
superintendents have implemented key characteristics that are viewed essential by
members of school boards.
Research Questions
Three research questions guided this study:
1. What are the most important leadership characteristics for superintendents
based on perceptions of members of boards of education?
2. Which style of leadership do members of boards of education think is most
appropriate for successful superintendency and how does it affect student achievement?
3. How do members of boards of education evaluate superintendents for their
success?
The research questions focus on the perceptions held by members of boards of
education, who were the main participants in the study. The study assessed their
perceptions through a mixed methodology approach described in Chapter 3. Four
research objectives below were developed to ensure reliability and validity of the findings
(Cohen, Manion, & Morrison, 2007): (a) the need to conduct a thorough analysis of the
previous literature on the subject, (b) the selection of a research methodology that allows
the researcher to address the research questions appropriately, (c) consideration of the
limitations that could affect the study before the primary research takes place, and (d) an
objective analysis of the collated data and critical assessment of the data using the
KEY QUALITIES OF SUPERINTENDENTS 16
findings from the review of literature. The use of these objectives led to appropriate
address of the research questions to produce insightful and reliable findings.
Significance of the Study
This study is important as it adds strong research-based information on effective
leadership characteristics that are viewed essential for a successful superintendent of
schools in K–12 public education. This study defines and describes some of the issues
that superintendents face and how they overcome barriers. By addressing the research
questions and identifying key characteristics for a successful superintendency, the study
can assist aspiring superintendents and members of boards of education to glean useful
information to support future school leaders. The implications and recommendations will
provide information to researchers and educational institutions that are preparing future
superintendents regarding key and essential factors for successful superintendency and
how those can be incorporate into programs and training.
Assumptions, Delimitations, and Limitations
For the purpose of this study, it was assumed that all participants would answer
questions truthfully and convey their actual perceptions of characteristics needed by a
superintendent to be successful, instead of simply providing answers that they deemed to
be expected. It was assumed that the research questions were relevant to the purpose of
the study. It was assumed that the sample reflected the general attitudes of members of
boards of education at large.
This study was delimited to members of boards of education who had access to
persons involved in the process of selecting a school superintendent. The relatively small
sample size (due to limitations in time and personnel) means that the findings may be
KEY QUALITIES OF SUPERINTENDENTS 17
limited and not necessarily representative of the population of members of boards of
education across the United States. However, the findings could be used as a base for
further research on the subject.
Definition of Terms
Board of education: The body of officials elected to develop and enforce policies
of the school district; sometimes referred to as the governing board or board of trustees.
Leader: The person who leads or commands a group, organization, or country.
Leadership characteristics: Individual elements or traits of a person in a
leadership position, such as a superintendent of public schools.
Leadership: The position or function of a leader.
Perceptions: Observations and opinions of a tested population.
School district: A local education agency responsible for the management of a
school or system of schools.
Superintendent: The chief executive appointed by members of a board of
education and given legal and administrative power to manage the day-to-day operations
of a school district; reports directly to the board of education, overseeing the school
district’s professional and nonprofessional staff.
Organization of the Dissertation
This dissertation is organized into five chapters. Chapter 1 provides an
introduction, statement of the problem, purpose of the study, research questions,
significance of the study, delimitations, and definition of terms. Chapter 2 contains a
detailed review of the literature, with a focus on leadership theory in educational settings,
change management theory, and the perceptions held by those who are involved directly
KEY QUALITIES OF SUPERINTENDENTS 18
in education (such as superintendents) and those who are involved indirectly (members of
boards of education). Chapter 3 details the research methodology, focusing on a mixed-
methods approach, for surveying and interviewing members of school boards in southern
California. The methodology presents a research design that includes both qualitative and
quantitative data collection methods to ensure a reliable and valid study. Chapter 4
presents the findings from the study, outlining the major results in relation to the research
questions. The presentation of the results includes a comprehensive discussion of the
findings within the context of the results from the review of the literature, enabling
triangulation of data to improve the reliability and validity of the findings. Chapter 5
presents the major conclusions and recommendations from this study, enhancing the
knowledge of the subject but also acknowledging the limitations of the study.
Recommendations include possibilities for future study, as well as the impact of these
results as they relate to the essential leadership characteristics needed by a superintendent
to experience a successful superintendency.
KEY QUALITIES OF SUPERINTENDENTS 19
CHAPTER TWO: LITERATURE REVIEW
This literature review was organized to analyze studies on the topic of specific
leadership characteristics and their link to the role of the superintendent in the American
education system. The study was guided by three research questions that reflect the aims
of discovering the most important leadership characteristics for superintendents
according to perceptions of the board of education members, determining which style of
leadership is most appropriate for superintendents, and measuring the extent to which the
leadership characteristics of the superintendent affect student achievement.
The review was based on key word searches in scholarly libraries, including
journals such as the Journal of Educational Research, Leadership Quarterly, Journal of
Management, Public Administration Review, and many others. This allowed the
researcher to analyze peer-reviewed papers and articles on the subject, increasing the
integrity of the findings from the review and enhancing the impact of the study on the
research field.
The literature review focused on specific aspects of studies conducted on the
subject. Rather than simply present a description of the findings from work that discussed
the characteristics of superintendents in the education system, the chapter focuses on a
critical assessment of the literature, noting the types of methodologies used in the
research and how this may have affect the results of each individual study (Creswell,
2002). In this manner, the reliability and validity of each study was assessed and
evaluated with reference to the subject’s overall context, allowing an enhanced review of
the literature.
KEY QUALITIES OF SUPERINTENDENTS 20
The Importance of an Effective Superintendent
The focus of the review was on the success of superintendents in a general
manner. The review of literature was designed to determine whether certain factors aided
superintendents in their successful handling of school districts. One of the most
comprehensive studies in recent years was conducted by Hoyle, Bjork, Collier, and Glass
(2005), who assessed the nature of the current of superintendents in the modern education
system. This modern education system has witnessed changes that have led to the
developing role of the superintendent in the United States. Hoyle et al. (2005) determined
that these changes included “high-stakes testing which has brought greater local, state
and national accountability to school districts in a time of greater social problems and
inadequate resources to meet growing needs of a more diverse America” (p. 9).
It has been noted that the role of the superintendent has developed in a manner
that has led to far greater scrutiny of the position in the community and within the
education system at large (Chalker, 1999). Moreover, it has been emphasized that the role
of the superintendent has evolved, changing from the traditional and less visible role to
that of a “highly visible chief executive who needs vision, skills and knowledge to lead in
a new and complex world” (Hoyle et al., 2005, p. 1).
Such changes in role have led to an increase in the number of people leaving the
education profession and a decrease in the number of people seeking to become
superintendents (Hoyle et al., 2005, p. 9). Thus, knowing what keeps some leaders
interested in the superintendency and what leadership attributes contribute to a successful
superintendent in today’s demanding educational climate warrants this study.
KEY QUALITIES OF SUPERINTENDENTS 21
This introduction highlights why this study was deemed important and why the
study was implemented. Moreover, it identifies the context in which this review of the
literature took place, with the need to underline the characteristics and attributes deemed
vital to the success of the superintendent.
The importance of the study by Hoyle et al. (2005) is noted because it is one of
only a few studies that “focus on research-based knowledge and skills needed by current
and aspiring school district superintendents to become high performers and student
advocates” (p. 9). Although the role of the superintendent is viewed as vital to the overall
success of the school district, this role is not a popular one among members of the
educational community.
Childress et al. (2006) reported that the district office, led by the superintendent,
was often viewed as part of the problem as it related to the failure to reach high levels of
student achievement in the district. This was seen by the researchers as a mistake, with
the view that
achieving excellence on a broad scale requires a district-wide strategy for
improving instruction in the classroom and an organization that can implement it.
Only the district office can create such a plan, identify and spread best practices,
develop leadership capabilities at all levels, build information systems to monitor
student improvement, and hold people accountable for results. (Childress et al.,
2006, p. 56)
This assessment places the role of the superintendent as fundamental to the
overall success of the local education system, highlighting the need to assess the
KEY QUALITIES OF SUPERINTENDENTS 22
attributes of superintendent and how they can stimulate greater levels of student
achievement over time.
Success of Superintendents in the Modern Education System
The success of superintendents in the modern education system is a highly
debated topic in the relevant literature. There is debate concerning the need for the
superintendent to focus on specific elements of his or her role, such as educational
programs or business and budgets. Hoyle et al. (2005) noted that superintendents in the
modern education system tended to view their role as similar to CEOs in the private
business sector. “Both executive offices require many of the same management and
executive skills to meet complex issues of budgets, personnel, information technologies,
product accountability and competition” (p. 10). The notion that the superintendent
should treat his or her role as a CEO, focusing on the business aspects of the job, is
perhaps controversial but it reflects modern thinking on the role.
There is greater debate as to the need for the position of superintendent in the
education system, particularly if superintendents view their role as one that focuses on
business and organization management rather than on educational programs. This debate
is discussed thoroughly in this review of the literature in individual sections focusing on
specific attributes of the role. This point underpins the study and drives the discussion of
how members of boards of education view the role of superintendent and the importance
placed on generic management characteristics such as leadership, organizational ability,
and communication, as compared to that of the educational leader who desires to partake
in continuous learning.
KEY QUALITIES OF SUPERINTENDENTS 23
Communication
A detailed study concerning the importance of communication when acting as a
superintendent was conducted by Henry and Reidy (2006). Their longitudinal study
focused on determining the contribution of good communication practices to the success
of superintendents. The researchers questioned a selection of superintendents who had
been recognized as outstanding examples, with “the goal of gathering their perceptions of
qualities and practices that contributed to their success as superintendents” (2006, p. 1).
The study used an effective approach, interviewing 14 superintendents from across the
United States and asking them to list important skills that were necessary to their success
as a superintendent.
The study by Henry and Reidy (2006) focused on communication as the most
important attribute of a superintendent’s success and asked the participants to comment
on how important communication was to a range of skills, the impact of communication
on the success of their district’s vision, and whether communication played a role in
improving student achievement. The self-perceptions of superintendents “clearly and
consistently pointed to the critical contribution of communications to student success,
realizing the district’s vision and successful leadership of a school district” (2006, p. 5).
The results of the study were an important finding to consider for the current work.
Although the results reported by Henry and Reidy (2006) did not necessarily
reflect the precise aims of this work and the study did not use members of the board of
education as participants, the results provided insight into the importance of
communication as perceived by successful superintendents. There were some areas of
concern in terms of reliability, with a small sample (14 participants), and a lack of
KEY QUALITIES OF SUPERINTENDENTS 24
assessment concerning the location of the school district (rural versus urban) of the
participants. However, the study provided a detailed analysis of the self-perceptions of
successful superintendents about the characteristics necessary for success, implying that
the results could have some value for the current work.
A recent study by Thornton (2009) assessed the importance attached to certain
characteristics in a comparative study, using the perceptions of both superintendents and
board of education presidents or chairpersons. The aim of the study was to “compile and
assess the views from current superintendents and their board chairpersons to
acknowledge the similarities and differences that existed between these two groups”
(p. 1). Although the superintendents and board chairpersons agreed on the importance of
certain characteristics, such as communication, perceptions differed on characteristics
such as professional development experience, team building ability, and the political
astuteness of the superintendent. These results indicate that, although superintendents and
board members may generally agree on specific characteristics, the results are not
necessarily compatible. Board members and superintendents may differ in the importance
attached to single characteristics in terms of their success in the workplace and the raising
of student standards.
There is support for the findings reported in Henry and Reidy’s (2006) study in
the wider literature, indicating that the ability to communicate effectively is a crucial
attribute for a superintendent’s success. Miller (2006) identified perceived characteristics,
skills, and barriers reported by female superintendents in Missouri. The six participants
agreed with the view that communication skills were necessary for a practicing or
aspiring superintendent. Participants “cited the use of oral, written and listening skills in
KEY QUALITIES OF SUPERINTENDENTS 25
their work. The importance of communication with board members and community
members were specifically mentioned” (p. 86).
Although communication clearly is an important characteristic, it is necessary to
assess the extent of this importance and the specific factors that lead to its importance so.
Traditionally, the literature has ascribed a high value to the characteristic of
communication, with studies such as that by Pitner and Ogawa (1981) providing early
evidence that the role of superintendent actually revolved around communication.
Casey (2012) addressed the contemporary role of the superintendent and
highlighted that communication was fundamental to the success of the superintendent,
mainly because it was a central attribute from which success in other categories could
develop. Casey acknowledged that, to be a successful leader, it was crucial to have
excellent communication skills and that it would be highly unlikely that a leader could
achieve success to a great extent without this ability.
Forner, Bierlan-Palmer, and Reeves (2012) stressed that it was not the
characteristic of communication that was the most important part of the superintendent’s
role, but the ability to utilize “constructive confrontation” (p. 1) in a successful manner.
Their work presents a perspective different from that of the previous studies by arguing
that there is a dramatic difference between communication and confrontation, and that
superintendents who excel at communicating are not necessarily solving the problem.
When asked about the importance of communication, one of the seven participants in the
study responded,
I think we have to move from communication to confrontation in education.
What’s happened is that we communicate the problem. The problem is that
KEY QUALITIES OF SUPERINTENDENTS 26
nobody wants to confront the issue. So what we have is avoidance, we continue to
communicate and talk about our problems but nothing gets done. (p. 6)
This viewpoint, although emanating from only a small number of studies
reviewed concerning communication, introduces a valid point. When considering the
wider literature on organizational management, it is apparent that this viewpoint is not
well received, with the view that communication rather than confrontation is the most
appropriate form of approach to problem solving.
Although not strictly focused on the education system, Morgenson, DeRue, and
Karam (2009) argued that communication in leadership was a necessary precondition for
any successful form of teamwork enterprise. This accentuates that the need for effective
communication at the leadership level is a prerequisite for success, further supporting the
views stated in the educational literature presented in this review. Their assessment of
leadership structures indicated that the academic analysis of such a subject as leadership
theory has addressed the notion of key elements involved in the successful adaptation of
leadership in organizations.
When applied to the educational setting, the view that communication is crucial is
supported by Elmore (2000), who underlined that effective school leadership revolved
around communication between the principal and staff, as well as between the principal
and higher levels of the education system, such as leaders at the district level.
Waters and Marzano (2006) analyzed the impact of superintendent leadership on
the level of student achievement in specific school districts. The study’s main focus was
that of the impact of leadership strategies on overall student achievement. The study
posed questions such as asking what the specific leadership responsibilities were that,
KEY QUALITIES OF SUPERINTENDENTS 27
when completed in a successful manner, could lead to higher student achievement. Part
of the findings was that communication by superintendents and principals of their overall
vision, working with staff and key personnel, and ensuring that their strategies were
carried out were vital to a possible increase in student achievement through their
respective roles as educational leaders.
When identifying the importance of communication in relation to the specific
ways that it helps to improve the level of success of a school district and reflects the work
of the superintendent, perhaps the most comprehensive study is that by Henry and Reidy
(2006). The importance of their work is notable because, rather than just asking
participants to list attributes that were deemed to be important to the role of the
superintendent, as other studies had done, they asked the superintendent participants to
look at the significant impact of communication within the role. The results showed that
effective communication had a crucial effect on bond referendum/levy success, the ability
to communicate changes such as curriculum, attendance boundaries and accountability,
marketing, crisis communications, student performance, building trust and
communicating a strategic plan. It was evident from the results that the authors had
conducted the most in-depth study concerning communication and its link to
superintendent success. Rather than simply addressing the attribute as one of many, the
researchers deemed it important enough to devote the majority of the study to
communication, discovering that the characteristic helped to improve an array of aspects
of the superintendent’s role.
KEY QUALITIES OF SUPERINTENDENTS 28
Educational Knowledge
The characteristic of strong educational knowledge was also identified as a key
factor in many studies. This is not surprising, although there was some debate
considering how important the attribute was in select studies, with many tending to view
the ability to run an organization, leadership, and communication to be more important
and worthy of consideration. This section identifies this debate and assesses the overall
discussion concerning the importance of educational knowledge as an attribute of
superintendents in the American education system.
A report by the Education Writers Association (EWA, 2002) argued that the role
of the superintendent should combine a range of attributes, including that of a high level
of educational knowledge. This was deemed essential in the report because “the ability of
a superintendent or a school board to engage in community building and shared decision-
making, or for that matter, to adroitly navigate a school district’s often turbulent political
waters, is meaningless unless such efforts improve student achievement” (EWA, 2002,
p. 8). The report stressed that, to improve student achievement, it was vital that
superintendents have a high level of educational knowledge, while establishing a link
between student achievement and the level of educational knowledge in low-achieving
districts. Among superintendents with a lower level of educational knowledge, it was
deemed that they were complacent and more willing to “accept shortcomings in the
students or in the district more generally” (p. 8).
Hyle, Ivory, and McClellan (2010) focused on an analysis of superintendents in
small school districts. Their study included 37 superintendents who worked in school
districts with fewer than 1,000 students. They concluded that the higher the level of
KEY QUALITIES OF SUPERINTENDENTS 29
educational knowledge among the superintendents, the more likely that they worked in a
successful school district, as reflected by high levels of student achievement. However,
they also noted that a major part of the superintendent’s role was to constantly update
their knowledge about the education system and about policy that affected their district.
Hyle et al. (2010) found that “what counts for our superintendents appears to be in
constant and fluid negotiation because of the small-district context supporting themes of
competing visions, you are the center of the wheel and balancing/negotiating/weighing
decisions” (p. 154). In this way, the literature seemed to support the notion that
educational knowledge is a vital characteristic that should be constantly updated for
superintendents to be successful. However, the findings were limited, given the study’s
sample size and location. By restricting their study to small school districts in the
Midwest, Southwest, and Southeast, the researchers failed to assess the impact of the
level of educational knowledge held by the superintendent in larger, urban school
districts, where the majority of American schools are located. Therefore, although the
study findings supported the position that educational knowledge was important, they
could not be generalized regarding the superintendent’s role.
There has been debate concerning the importance of this attribute in certain
studies, with many scholars concluding that the ability to run an organization, leadership,
and communication were more important and worthy of consideration. This was not to
say that the authors claimed that educational knowledge was not an important attribute;
they contended that it was not necessarily one of the most important characteristics
needed for a superintendent to be successful. For example, Henry and Reidy (2006), in
one of the most prominent studies in this review, found educational knowledge and
KEY QUALITIES OF SUPERINTENDENTS 30
competency within curriculum areas to be much less important to a successful
superintendency than skills such as leadership, communication, and interpersonal skills.
Of 17 superintendents who participated in the study, 9 agreed that competency in
curriculum areas and support for public education were among the most important skills
to be a successful in their role. The 60% agreement was high compared to the majority of
other skills. For example, only one participant said that being multilingual and a
continuous learner were important. However, a significant majority of the
superintendents (in a role deemed by many as vital to the level of student achievement
reached in school districts) did not identify educational knowledge as an important skill.
Danna (2011) underlined that “superintendents who provide clear expectations
and goals, ensure quality professional development, and attend to matters of curriculum
alignment and collaborative decision-making develop building leaders with the skills,
knowledge, and efficacy to carry out reforms” (p. 1). That study focused on development
of curriculum mapping in New York State public schools and concluded that the
relationship between the superintendent and principal, if positive, could have an impact
on the development of curriculum and could lead to higher levels of student achievement.
Although the study was delimited to New York State public schools and cannot be linked
to the wider education system in the United States, it indicates the need for
superintendents to be up to date and knowledgeable on educational thinking so they can
be proactive in the role, enabling greater success in the school district.
Bredeson and Kose (2007) offered a more plausible view on this matter. They
contended that superintendents “are interested in curriculum and instruction and believe
these are important tasks, but the daily realities of their work often subvert even the most
KEY QUALITIES OF SUPERINTENDENTS 31
committed professional” (p. 1). This suggests that, although superintendents understood
the importance of educational knowledge, they were unable to develop their knowledge
or apply it because of the demands of the role, with financial and managerial elements
exerting a negative impact on their ability to influence the district in an educational way.
Thus, the literature is divided on the issue of educational knowledge, although the
majority of studies tend to view it as important and acknowledge that this characteristic is
often overlooked due to the prominence of other characteristics related to the role.
Leadership
Miller (2006) reported responses focusing on leadership ability and its
importance, even though the research instrument used by Miller did not focus specifically
on leadership in the list of skills on the survey. This result supports the notion that
leadership is a requirement for superintendents, with female superintendent participants
highlighting its necessity without any prompting. The view that leadership is an
important characteristic is found specifically in educational studies and generally in
organizational management literature.
Studies conducted by Andrews et al. (2008) and Battilana, Gilmartin, Sengul,
Pache, and Alexander (2010) focused on discussion of leadership in the broader context
of organizations, indicating that those at the head of the organization (reflecting the role
of the superintendent and the school district in a theoretical sense) should display
effective leadership qualities that include delegation, knowledge, interpersonal skills,
innovation, and the ability to motivate as key requirements for any leader to be successful
within an organization.
KEY QUALITIES OF SUPERINTENDENTS 32
Regarding the education system specifically, Bredeson and Kose (2007) stated
that the superintendent as a leader should demonstrate important leadership attributes in
the modern education system, including the ability to motivate, influence positively, and
increase the desire of those who work in public schools in the district under his or her
supervision. They noted that the superintendent should lead successfully in the district
office, enabling all under his or her supervision to work effectively and move in the same
direction.
This leadership attribute of superintendents has also been reported by the
Education Policy and Leadership Center (EPLC; 2006). That study emphasized that it has
been vital to assess the attributes of superintendents, mainly because of the reduction in
the number of potential superintendent candidates in Pennsylvania. “There have been
fewer applicants for the top school district post than there were a decade ago and that
more applicants are seeking their first superintendency, many without prior central office
experience” (p. 2). The study was important because it analyzed the important qualities
needed by superintendents, especially related to the reduction in number of candidates.
Although the EPLC (2006) report was delimited to Pennsylvania, it focused on
meta-analysis of leadership qualities needed by superintendents. The study involved both
a discussion of the literature and a comprehensive study group consisting of principals,
district leaders, educators, policymakers, members of the Pennsylvania Department of
Education, and other education advocates, resulting in a comprehensive, qualitative
analysis of the subject. “The role of superintendent has become more complex, requiring
a broad array of substantive and procedural knowledge as well as a diversity of skills”
(p. 11). The report stated that these skills often related to leadership and deduced that
KEY QUALITIES OF SUPERINTENDENTS 33
“some of the knowledge and skill base relates to a set of broader leadership attributes,
including communication, collaboration, data-based decision-making and politics”
(p. 11). These findings aligned the concept of leadership as a specific set of skills that
include many of the attributes discussed in this review.
Bolman and Deal (2008) stated that successful organizations require leaders
capable of managing personnel, resources, and processes in a highly synchronized
manner. They described such balanced leadership through their four-frame leadership
model, indicating four primary approaches to management practice: structural, human
resource, political, and symbolic. The model is intended to help change agents, such as
superintendents of school districts, to conceptualize and coordinate an appropriate
balance of these approaches to manage the variety and complexity of issues and
situations that they encounter. The model consists of the four named frames. The
structural approach focuses on structural elements in the organization, as well as strategy,
implementation, and adaptation. It works well when there is a need to clarify goals and
expectations, ensures that cause-and-effect relationships are well understood, and
prevents or removes conflict, uncertainty, or ambiguity. The human resource approach
focuses on people and emphasizes support, empowerment, and responsiveness to
employee needs. A focus on people works well when employee morale is a consideration
and when there is relatively little conflict. The political approach focuses on political
realities within and outside the organization, dealing with interest groups, coalition
building, negotiating conflicts over limited resources, and creating compromises. The
political frame is appropriate when resources are scarce or diminishing, as well as when
goals or values are in conflict. The symbolic approach focuses on vision and inspiration
KEY QUALITIES OF SUPERINTENDENTS 34
through traditions, ceremonies, and rituals. Symbolic leaders lead people to believe that
their personal work and the work of the organization are important and meaningful. This
approach helps to clarify goals and/or cause-and-effect relationships in social settings.
The perspective that leadership, as an attribute, encompasses a range of
characteristics such as communication and decision making means that the isolation of
leadership as singular is difficult. In the context of this study, leadership refers to the
ability to motivate staff and create a vision for the school district, rather than a general
term including communication. This allows communication and leadership to be viewed
as separate characteristics or constructs and to be presented as such following the
collection of primary research data in this work.
Organizational Ability
The importance of organizational ability in superintendents draws attention to
their ability to organize both their district office and the overall organization of the
district. When considering the wider and more general literature on the subject of
organizational ability, it is apparent that this is a valued skill in the management
community.
Fairholm (2002) posited that the organizational ability of a leader was a form of
umbrella term “used to include and summarize activities such as planning, performance
measurement, program budgeting . . . the efforts of public administrators to control
organizational endeavors are essential, necessary and aligned with current best practices”
(p. 1). This quotation highlights two important points. The concept of organizational
ability has been described as a generic attribute encompassing many skills, much like the
concept of leadership described earlier in this review. Furthermore, the study
KEY QUALITIES OF SUPERINTENDENTS 35
acknowledged that organizational ability was a key trait of a successful leader, mainly
because it ensured that organizations were led in the most effective manner possible.
Fairholm’s findings, while generalized and concerning organizational management
theory, supported the importance of the role of the leader and organizational ability.
Burkus (2012) focused on the need to create a strong organization and how
organizational ability was a key feature of this. Burkus acknowledged that, although
organizational ability was not frequently viewed as a key feature of an organization, the
system that underpinned it was crucial.
Systems are the sets of interacting elements that receive inputs from the
environment and transform them into output discharged into that environment.
Systems are the less tangible aspects of organizational design but they play a vital
role in how individuals within the organization determine appropriate behavior
and performance. (p. 59)
This view of systems and the need to assess how they affect the individual and
performance underscore the importance of the concept.
Within the context of the education system, the role of the superintendent as the
leader of the educational organization or school district should be perceived as
synonymous to that of managers of other organizations, placing organizational ability as
a key skill to be developed. Despite this, Henry and Reidy (2006) found that only two
participants agreed that it was one of the most important aspects of leadership and overall
success of the superintendent in the school district. One can infer that the reason for such
a low response rate to this perspective was the belief that organizational ability is one of
those terms that is difficult to define. Alvesson (2012) stressed that, when discussing
KEY QUALITIES OF SUPERINTENDENTS 36
organizational management, it was clear that specific terms were often met with
confusion and a lack of understanding, mainly because of the high level of jargon
apparent in their terminology. This is a possible reason for the low response rate in the
study by Henry and Reidy (2006), but it is also necessary to consider that superintendents
do not feel that their role depends on this skill. For the current study, it was important for
the researcher to be aware that confusion can stem from a discussion of organizational
ability, especially considering that board members who participated in the study were
given a precise and explained definition of the term as it was used in the study.
Supervisory Skills and Management
In assessing the nature of organizational ability and its definition for this study, it
was important to distinguish between organizational ability (the overall management of
an organization) and management of staff and supervisory skills of the superintendent.
This distinction was important because of the view that management of staff often
involves key interpersonal skills and communication, whereas organizational ability
relies more on generic leadership skills (Fairholm, 2002).
Hallinger (2011) conducted a longitudinal study of key leadership qualities in
education, focusing primarily on principals but also analyzing personal attributes in the
broad educational spectrum. Hallinger rated management of staff in education as
important, particularly in terms of the principal or superintendent ensuring that all staff
members are aware of the overall vision in the organization and adhere to it consistently.
The ability to manage staff effectively was also viewed as a somewhat important
quality by the superintendents in a study conducted by Henry and Reidy (2006). In that
student three participants agreed to the importance of the management of staff and placed
KEY QUALITIES OF SUPERINTENDENTS 37
it as one of the most important skills for a superintendent to possess. However, as
indicated earlier, it is apparent that other skills were deemed more important and so this
observation should be placed in perspective. What is apparent is that the management of
staff and the overall nature of the organizational ability displayed by superintendents are
two essential features that influence the effectiveness of a superintendent’s role. Rueter
(2009) also considered this issue, pointing out that direct management of staff by the
superintendent in a visible manner was a potential factor in increased effectiveness of
staff in a school district.
Interpersonal Skills
Several studies (Andrews et al., 2008; Battilana et al., 2010; Fairholm, 2002) have
claimed that the interpersonal skills of a leader are crucial for the success of an
organization. The ability to communicate effectively, ensure that employees feel
respected and not looked down on, respect others and increase positivity in an
organization are clustered into interpersonal skills and viewed as vital. Other studies in
the wider field of education have noted that educators who display high and positive
interpersonal skills are much more likely to ensure student success and motivation,
leading to better levels of staff engagement and improving the standing of the school at a
more administrative level (Bowles & Gintis, 2013; Jennings & DiPrete, 2010). The
dialogue in the literature states that, regardless of the specific line of work, the need to
develop positive relationships and an acceptable form of working relationships with those
around the leader are the most important aspects of being both a successful colleague and
a leader (Schyns & Meindle, 2005).
KEY QUALITIES OF SUPERINTENDENTS 38
The importance of interpersonal skills in superintendents has been noted in
numerous studies (Henry & Reidy, 2006). In fact, when compared with other attributes
that were presented to superintendent participants, it was rated as the third most important
characteristic, behind leadership and communication but ahead of curriculum
competency, supervisory skills, and organizational ability. Participants consistently
identified skills related to good communications or those that depended on good
communications as determinants of success as superintendents. All participants cited
interpersonal skills such as good listening and building positive relationships. This has
been supported by other studies that have discussed interpersonal skills in terms of the
quality of surgency (Henry & Reidy, 2006).
Positive impact on the emotional elements of others has been labeled surgency
and has been deemed to be a crucial quality of a leader (Anbuvelan, 2007). The definition
of surgency includes a range of characteristics, including cheerfulness, listenability, and
enthusiasm that has a positive impact persons surrounding the leader. Surgency was
deemed to be a crucial quality for a leader. It was highlighted in the study that, because
“leadership is essentially an influence process, and the leader may be defined as the one
who significantly influences the activities of others . . . surgency (talkative, cheerfulness,
geniality and enthusiasm) is clearly an important attribute to possess’ (p. 229). The
inclusion of a range of attributes under the overall heading of surgency tends to reflect
the vital importance of this quality as a necessary leadership skill and as part of the
concept of interpersonal skills as a whole.
KEY QUALITIES OF SUPERINTENDENTS 39
Budgeting/Finance
The final characteristic to be reviewed is budgeting and finance. The view
surrounding finance has changed dramatically over the years, especially concerning its
associated level of importance in the daily role of the superintendent. The EWA (2002)
report presented the view that budgeting and financial knowledge have decreased
relatively in importance because the role has become more complex in modern society.
Superintendents once were considered successful if they could manage the “B’s”
of district leadership: buildings, buses, books, budgets and bonds . . . The
challenge today is to shift the focus to the “C’s”: things like connection,
communication, collaboration, community building, child advocacy and curricular
choices. (p. 6)
This assessment of the changing role of the superintendent indicates that the traditional
attributes have undergone a relative decline in importance as the role of finance has
become far more visible and open to criticism in terms of the educational development of
the school district.
The view that the importance of budgeting and financial ability has declined in
the modern era is supported by the study conducted by Henry and Reidy (2006).
Responses to a questionnaire administered to 17 participants placed the ability to budget
and control finances low on the list, with only 3 participants selecting this as one of the
most important skills for success as a superintendent.
Although these studies reflect changing attitudes, some authors have argued that
budgeting is still extremely important; this viewpoint should also be considered. For
example, Abshier, Harris and Hopson (2011) argued that, due to increased levels of
KEY QUALITIES OF SUPERINTENDENTS 40
scrutiny on superintendents, the importance of budgeting well and within certain financial
limitations has risen. “The district budget has become a great source of anxiety for
superintendents’ (p. 1). Although that study focused on only small and rural school
districts, it was reported that “rural communities comprised 97% of the United States land
mass and contained 60 million individuals” (p. 1). This underlined that, although the
study focused on a minority of school districts by population, the sample was a large
minority and the study should be viewed as valid and reliable.
Although questions could arise concerning the validity of the rural school district
study, its results were strengthened by work by Glass and Franceschini (2007). In their
larger study superintendents stated that the issue of school and district finance was one of
their most difficult challenges. This finding rejected the view that budgeting was not
important. The interview study by Glass and Franceschini was similar to the study by
Henry and Reidy (2006). Therefore, the different results reflect that opinions remain
highly subjective and perhaps are related to the level of financial skill held by each
individual superintendent.
Thus, it is apparent that there is a mixed attitude concerning the importance of
budgeting and the ability to manage finances. Some studies have indicated that this skill
is less important in modern society and others have argued that it is important because of
greater scrutiny placed on it. The truth is perhaps somewhere in the middle, but it was an
important discovery in this review of the literature and is reflected in the research
instruments developed for this study.
KEY QUALITIES OF SUPERINTENDENTS 41
Importance of School Board Member Opinions
The penultimate section presents a brief discussion of the findings from the
literature that highlight the importance of the perceptions held by board members and
why their current views on superintendent characteristics have been placed at such a
premium. A seminal study by the National School Board Association (NSBA; 2013)
evaluated important characteristics of effective school boards, noting that “more than
90,000 men and women are members of local school boards in the United States, serving
on 13,809 elected or appointed boards” (p. 8).
The importance of board member opinions stems from the link between
successful school districts and the habits and behaviors of school boards in these districts
in contrast to those in less successful school districts. The NSBA study (2013) found that
members of boards of education who “possess detailed knowledge of their district,
including initiatives to jump-start success and have crafted a working relationship with
superintendents, teachers, and administrators based on mutual respect, collegiality and a
joint commitment to student success” (para. 6). The study acknowledged the important
link between school board members and superintendents and indicated the heightened
role that board members now have in the overall development and guidance of the
education system. The working relationship between the superintendent and the board of
education is therefore emphasized as a critical component of this study, with the
understanding that communication between board members and superintendent is
deemed by board members to be vital. Although this was perhaps expected, it warrants
mention, given its impact on this study.
KEY QUALITIES OF SUPERINTENDENTS 42
Impact of Superintendent on Student Achievement
It is important to consider the potential impact of the superintendent on the level
of student achievement in a school district. Although oversight by the superintendent
perhaps reflected that this link would be clear, it is important to address the issue by
studying available data on the question.
One of the most prominent studies on the subject was conducted by Waters and
Marzano (2006). One of their central aims was to discover the “strength of the connection
between leadership at the district level of education and the nature of the average
student’s success in the respective school district” (p. 7). They argued that, previously,
the role of superintendents and its potential impact on student achievement had been
rejected by academics such as William Bennett (1987), a former U.S. Secretary of
Education, who referred to superintendents as part of the “blob; made up of people in the
education system who work outside the classroom soaking up resources and resisting
reform without contributing to student achievement” (p. 8). Bennett’s perspective was
critical of the position that the superintendent drains resources from areas that desperately
need them.
Waters and Marzano (2006) rejected this view, arguing that district leadership
could make a distinct difference in academic achievement by students. Their work used a
quantitative methodology that focused on identifying correlation patterns based on the
perceptions reported in previous studies on the same subject. They found not only that
superintendents had a strong impact on student achievement but also that this impact
could be dissected into key responsibilities of the superintendent. They identified five
responsibilities that linked the superintendent to student achievement: the “goal-setting
KEY QUALITIES OF SUPERINTENDENTS 43
process, non-negotiable goals for achievement and instruction, board alignment with and
support for district goals, monitoring the goals for achievement and instruction and the
use of resources to support the goals for achievement and instruction” (p. 11). These
results are important and reflect more modern thinking about the role of the
superintendent and how it can positively affect student achievement.
The work by Waters and Marzano (2006) should be viewed as valid and reliable.
Their meta-analysis included a studies conducted between 1970 and 2005, including
many of the works previously cited in this current review of the literature. While they did
not actually conduct primary research or use participants such as board members or
superintendents, their review of the literature and the quantitative methodology that
accompanied it should be viewed as an important finding that is credible in the research
community.
Another study that addressed the question of the impact of the superintendent on
the level of student achievement in individual districts was conducted by Rueter (2009).
This study examined the topic from a slightly different perspective, focusing on how the
importance of superintendent visibility could have an impact on student achievement,
staff accountability, and organizational culture; it kept the impact on student achievement
as a fundamental question of the study. Reuter identified “certain perceptions that people
have about a superintendent who is visible and available to all stakeholders” (p. 104).
This led to four main conclusions:
(a) organizational culture is enhanced by the visible superintendent, (b) student
achievement increases with the conveying of high expectations via personal
interactions, (c) school district personnel are more accountable due to a visible
KEY QUALITIES OF SUPERINTENDENTS 44
superintendent, and (d) the district is awarded dividends when the superintendent
is a visible presence in the community. (p. 104)
Although coming from a slightly different angle from the work by Waters and Marzano
(2006), the work by Rueter (2009) expressed the view that superintendents, by being
visible and proactive, could help to raise student achievement. Perhaps the only major
limitation of the work by Rueter was that it took place in only one school district, thereby
limiting the usefulness of the results. However, generalizing the findings would enhance
the argument that the superintendent role could seriously increase the level of student
achievement in a district.
Using recent research as a guide, it is apparent that the education system has come
to believe that the superintendent can have a clear impact on the nature of student
achievement in a school district. Casey (2012) argued that the superintendent could help
to drive achievement upward by paying more attention to educational innovation,
implementing policies that lead to personalization of student curriculums, and providing
inspirational leadership that could spread throughout the district.
This viewpoint was echoed by Corcoran, Fuhrman, and Belcher (2001), who
highlighted “the important role that districts can play in improving instruction by
providing vision, focus, support, and policy coordination and by building commitment at
the school level” (p. 78). This opinion has been widely held by scholars, including
Murray and Hallinger (1988), as long as key variables are apparent.
The reviewed research indicated that the superintendent could have a positive role
in the increase in student achievement in a school district. Similarly, as noted by the
EWA (2002), superintendents who were not successful could have a negative impact on
KEY QUALITIES OF SUPERINTENDENTS 45
student achievement by holding back innovation and policy changes that could be vital to
students. The impact of superintendents is variable and depends largely on the type of
superintendent. Superintendents who are proactive, visible, hard-working, and effective
leaders are more likely to have a positive impact on student achievement. A weak
superintendent could harm student achievement or at least hold students back from
achieving at a higher level.
Chapter Summary
The review of the literature has underscored crucial points in the discussion of the
importance of certain attributes and characteristics held by superintendents to contribute
to their overall success in the position. The available work on the subject reflected
general agreement on the majority of factors that were seen as vital to the role of the
superintendent. The current study focused on discovering the most important leadership
characteristics for superintendents from the perceptions held by members of boards of
education, which style of leadership is most appropriate for superintendents, and the
extent to which the leadership characteristics of superintendent’s could affect student
achievement. The review included a range of journal articles and reports completed in the
United States, identifying the role of the superintendent in the education system. Only a
few articles addressed the subject from the view of board members, with those studies
finding that leadership, communication, educational knowledge, and organizational
ability were vital for superintendents to succeed.
This review indicates a need for a study such as the current one. Although several
studies related to superintendent characteristics in general, only a few focused on
analyzing a large selection of these attributes and none was conducted from the point of
KEY QUALITIES OF SUPERINTENDENTS 46
view of the members of boards of education. Therefore, this study will make an important
contribution to the literature by providing a detailed assessment of the modern attitudes
toward superintendent characteristics from a unique perspective that will inform aspiring
and sitting superintendents regarding current skills needed to be successful in the
American public school system.
Due to the limited availability of literature on perspectives held by board
members, this review of the literature is generalized. Therefore, it included studies that
focused on either the superintendents’ perceptions of the role or studies that were
conducted in the same area from a more general educational standpoint. In overview, the
studies seemed to identify specific characteristics that were important to the success of
the superintendent in the American education system. The ability to communicate was
found to be crucial, as was the ability to lead and organize, as were effective
interpersonal skills, supervisory skills, and the ability to manage staff.
An important area of general agreement related to educational knowledge and the
need for superintendents to have a firm grasp on the latest findings in education. There
were other less-championed characteristics mentioned by the literature, including
empathy, treating staff members equally, and working well with board members. This
last attribute was found in a study that analyzed perceptions held by board members,
perhaps indicating why it was so important to the board member participants. Despite the
subjectivity of this finding, it has an important consequence for this study, especially
because this work also focuses on perceptions held by board members.
The review of the literature provided substantial information about both the
characteristics that were deemed important for superintendents in their role and the belief
KEY QUALITIES OF SUPERINTENDENTS 47
that the leadership characteristics of superintendents influence student achievement. The
finding was one of the most interesting parts of the review, as it underlined the need for
superintendents to be up to date with educational knowledge and that the superintendent
directly affects the overall success of students. The research methodology of the current
study was based on this review.
KEY QUALITIES OF SUPERINTENDENTS 48
CHAPTER THREE: METHODOLOGY
The major purpose of this study was to identify the key characteristics that are
seen by board of education members to be essential in the successful superintendency.
This study was designed to collect and analyze data pertaining to the perceived
importance of leadership characteristics in the superintendency. Two main types of
findings emerged from the review of the literature: (a) the extent of importance attributed
to specific leadership characteristics of superintendents, including communication, the
ability to lead and organize, and interpersonal skills; and (b) the growth in importance of
the need to have extensive and current educational knowledge in the modern system, as
opposed to the traditional skills of management, budgeting and organization. Limited
research is available on the perceptions held by board members, so this study carries
extra significance as one to focus specifically on this issue.
The second purpose of this study is significant because provides a detailed
assessment of the modern attitudes toward superintendent characteristics from a unique
perspective. Hence, the study contributes to existing literature in this area and informs
aspiring and sitting superintendents regarding skills needed to be successful in the
American public school system.
Participants and Setting
The unit of analysis in this study was board of education members in southern
California. This aligned with Patton’s (2002) model of people-centric studies, using
persons who share a common experience and reside in the same state. Patton
recommended designating a minimum sample size based on research questions and
design.
KEY QUALITIES OF SUPERINTENDENTS 49
Purposeful sampling was used to identify board of education members for
qualitative research efforts. Patton (2002) has described purposeful sampling as the
nonrandom selection of information-rich subjects for in-depth study. The first layer was a
review of documents to find out which districts demonstrated significant gains. This
allowed the researcher to select board of education members in southern California’s
urban K-12 school districts that had demonstrated significant gains in academic
achievement or that had maintained high levels of achievement, above 850 Academic
Performance Index (API) points (California Department of Education, 2013). Based on
recent doctoral research, a minimum sample size for surveys was set at 39 participants
and a minimum sample size for interviews at five participants. To the extent possible, a
complete sampling was conducted, with surveys emailed out to all board of education
members in those districts. By surveying the complete population, sampling bias can be
avoided (Creswell, 2008).
Therefore, purposeful sampling was used for information-rich cases in the
selection of board of education members to be interviewed. Information-rich cases
maximize a researcher’s time by providing much detail on the topic of study and
answering the research questions in depth (Patton, 2002). While purposeful sampling
limits the generalizability of findings, the data gained provides a depth of understanding
in selected cases that otherwise was not available in the literature. After reviewing the
data from survey responses of board of education members, the researcher identified
trends and determined criteria for selection of participants to interview. One criterion
included the participant identifying a willingness to be contacted for a follow-up
interview, as indicated by a response at the conclusion of the survey.
KEY QUALITIES OF SUPERINTENDENTS 50
Design Summary
This study followed Creswell’s (2008) six identified steps: identifying a research
problem, reviewing the literature, specifying a purpose for research, collecting data,
analyzing and interpreting the data, and reporting and evaluating research. Chapter 3
specifically addresses the last three steps. The methodology employed in this research
included collection of quantitative data from an electronic survey and qualitative data
from 10 open-ended 10 questions on the survey and interviews, gathered from board
members in large urban K–12 school districts in southern California. The mixed-methods
approach of triangulating findings is an important step in checking for consistency of
findings in the extant literature, survey data, and interview data.
The mixed-methods approach has been used to maximize the strength of
quantitative research in providing descriptive information from a large population,
coupled with the strength of qualitative research in providing an in-depth exploration of
the underlying meanings that participants give to the data (Creswell, 2008).
According to LeCompte and Schensul (2010), the interpretivist paradigm is most
suited to studies that focus on analyzing the opinions of participants because it reflects in
its very nature that the results are subjective and therefore cannot product an absolute
truth. This was an appropriate approach for the current study because of the involvement
of 45 board of education members from large, urban K–12 school districts in southern
California as participants and the reliance on opinion for the data rather than using a
positivist approach that relies on scientific and objective data to try to find an absolute
truth. The use of the interpretivist paradigm allows the researcher to provide findings that
address the research questions but also recognizes that the results are limited to the
KEY QUALITIES OF SUPERINTENDENTS 51
opinions of the participants and, as far as the researcher can surmise, the results are
indicative of the wider population’s attitudes regarding the importance of specific
characteristics to be held by superintendents in the education system.
Methodological Approach
The selection of the interpretivist paradigm was vital so that results could be
published without being criticized by the wider academic field. However, it was also vital
to ensure that the methodological approach was as strong as possible, mainly because of
the lack of studies in this area and the desire of the researcher to ensure that the results
could help to develop understanding of the topic. Traditional choices for the
methodological approach tend to focus on choosing either a qualitative or a quantitative
approach. Qualitative research is defined as research that relies on data that are very
detailed, variable in content, and closely linked to everyday life and that have a concrete
meaning. “Data with a concrete meaning are written facts and documents, photos, videos
and interviews to name a selection” (Ernst, 2003, p. 3). Qualitative research is defined as
research that seeks to understand the “meaning that people have constructed, that is, how
people make sense of their work and the experiences that they have in the world”
(Merriam, 2009, p. 13). Merriam stated that qualitative research is suitable for
educational research because it helps to gauge opinions and is far more detailed, which is
suitable because educational studies tend to use fewer participants and to focus more
specifically on the topic. The nature of qualitative research uses a range of methods such
as observation, interview, and case study (Merriam, 2009). These enable a
comprehensive and detailed assessment of a subject and advance knowledge on the topic
due to the qualitative nature of these methods.
KEY QUALITIES OF SUPERINTENDENTS 52
Ernst (2003) defined quantitative research as research that focuses on gaining
numerical and statistical data findings that can then be analyzed to provide broad results
that allow for generalization. Quantitative research is excellent for studies with a large
population because it can help to analyze a large number of findings in a short time.
However, it is also noted that quantitative research provides limited information and is
less detailed and therefore is not as effective at discovering reasons attitudes exist, even
though it can discover what those attitudes are (Ernst, 2003, p. 14).
The two methodological approaches have advantages and disadvantages;
traditionally, researchers have selected one or the other format to address research
questions. This meant that studies have had to acknowledge serious limitations of the
findings, mainly because a single approach involves limitations, although there has
previously been no way to avoid this problem.
However, more recently, researchers have developed the concept of the mixed
methodological approach. This approach is nontraditional and it attempts to combine both
qualitative and quantitative research approaches into one mixed methodological study
(Maxwell, 2013). The mixed-methods approach has been acknowledged as able to reduce
the limitations that are linked to both quantitative and qualitative approaches while
ensuring that the advantages of both are maintained (Ridenour & Newman, 2008).
This study used the mixed methodological approach, which is defined as an
approach that has offered a powerful new way of working in research studies, ensuring
that researchers can use numerical and qualitative findings to provide both macro and
micro sets of results concerning a subject (Ridenour & Newman, 2008). It was decided
KEY QUALITIES OF SUPERINTENDENTS 53
that, using this approach, the researcher chose the most viable option to ensure that the
views of the 45 participants would have the greatest impact in the wider academic field.
Two research data instruments, interviews and surveys, were used to ensure that
the results could provide a detailed assessment of the participants’ views regarding the
importance of certain characteristics in the role of the superintendent in modern society.
Qualitative data were collected via a survey generated through SurveyMonkey.com
®
and
designed as a cross-sectional survey to collect data that might be reported using
descriptive statistics. In an alignment with Creswell’s (2008) recommendations for
creating survey instruments, the instrument included various types of questions stated in
clear language and was field tested by other educational administrators. Survey questions
were gathered based on the review of literature and in alignment with the research
questions. Question types included structured responses and open-ended prompts and
addressed leadership characteristics to student achievement. The open-ended prompts
added depth to closed responses and provided qualitative data that informed data gathered
in the open-ended interviews.
Fifty board of education members were selected; 5 were interviewed and 40
received the survey. Ary, Jacobs, and Sorensen (2010) stated that interviews are
appropriate because they provide the researcher a research instrument that takes time to
receive answers from participants, are set in a personal setting that allows the participant
to be more honest than in focus groups, receive a better response rate than surveys, and
can be created so that they focus on gaining detailed insight into the topic of the
researcher’s choice. Ary et al. noted that interviews are also important because of the
KEY QUALITIES OF SUPERINTENDENTS 54
increased level of trust between interviewer and interviewee, which can lead to the
participant opening up and providing revealing information on the topic.
Ary et al. (2010) stated that the major attribute of interviews because was that
they enable the researcher to ask questions such as why something occurred or why the
interviewee feels a certain way about a topic, which is very difficult to achieve in
questionnaires. Hatch (2010) stress that interviews lead to an overflow of data, which can
be an issue, depending on the number of participants interviewed. Hatch also stated that
the process of interviewing participants can also take time, which the researcher should to
bear in mind when developing the interview protocol.
Based on this information, the researcher created an interview protocol of 10
open-ended questions. This relatively short interview design recognized that the
researcher was to interview five participants in a limited time frame. The semistructured
questions were designed so the interviewer could ask questions that arose from answers
provided by the interviewee (Hatch, 2010). A formally structured interview would not
allow this flexibility (Merriam, 2009). This was the main justification for the choice of
the semistructured interview.
Instrumentation and Protocols
In each of the studies cited in the literature review regarding key characteristics of
the successful superintendency, data had been collected via surveys and interviews. Many
of the questions had the benefit of having been tested over time, as the researchers had
borrowed from American Association of School Administrators (AASA) surveys that had
been implemented and validated since 1923 (Glass & Franceschini, 2007; Kowalski et
al., 2011). While the ease of comparison over time and to like individuals (all acting
KEY QUALITIES OF SUPERINTENDENTS 55
board members) has been beneficial, the depth of information has been limited to
demographic information, perceptions, and behaviors. An in-depth analysis of level of
skill, motivation factors, and organizational barriers could provide a more complete
understanding of particular gaps in performance (Clarke, Estes, Middlebrook, &
Palchesko, 2008).
The qualitative data collection was enhanced through open-ended interviews
using a semistructured, open-ended interview protocol (Appendix A). This type of
interview protocol has been recommended for situations in which single interview
sessions take place within a fixed time frame (30 minutes); the protocol allows the
researcher and participant to stay focused and the data to be analyzed easily (Creswell,
2008; Patton, 2002). Question probes were included to ensure a full discussion of the
topics, and the interview protocol was field tested to ensure question alignment and
effectiveness in gathering complete data in reference to the research questions. Consistent
with the philosophy of naturalistic inquiry, the interview process allowed flexibility for
the researcher to explore emergent issues. The qualitative inquiry process typically has
more emergent, exploratory issues toward the beginning of the process, moving toward
confirmation of emergent issues and findings toward the end of the fieldwork (Patton,
2002). Consistent with a grounded theory approach, an emphasis in the interviews was to
capture the participants’ experiences and the meanings that they attached to those
experiences.
Building physical rapport with the interviewee is a critical skill for establishing an
environment in which the interviewee feels comfortable to share. Physical rapport is
KEY QUALITIES OF SUPERINTENDENTS 56
distinguished from content, in which the interviewer must maintain neutrality (Patton,
2002).
Data Collection Protocols
For the online survey (Appendix B), an initial email with background
information, an invitation to participate, and a link to the instrument was emailed to each
identified participant (Appendix C). Board of education members spent approximately 15
minutes responding to the survey. In order to achieve a high response rate, a contributing
factor to reliable results (Creswell, 2008), follow-up procedures included email reminders
as necessary. After each board member had completed the survey, she/he received an
email thanking her/him for participating.
For the open-ended interviews, an initial phone call was made to 10 board of
education members selected to participate based on the selected criteria. In this call, the
researcher identified herself, restated the background and purpose for the interview, and
scheduled a time to meet with the board member. A follow-up email was sent providing
background information and a list of questions that were to be covered during the
interview. The individuals interviews were conducted between the researcher and the
participating board member in a mutually agreed place that was both confidential and
comfortable for the participant. Six of the ten selectees were available to meet either in
person or by phone. With the permission of each participant, an electronic voice recorder
was used to ensure a quality recording of the interview and to allow the researcher to
focus on the participant during the interview rather than on detailed note taking
(Creswell, 2008; Patton, 2002). Recordings were transcribed for analysis and coding.
KEY QUALITIES OF SUPERINTENDENTS 57
Data Analysis
After collection of data from the online survey and open-ended interviews,
separate reports were written to document findings from each data source. The findings
were compared with each other and with the review of literature through a process of
triangulation to identify convergent and divergent findings.
Quantitative findings are presented using descriptive statistics such as those
referencing central tendencies: mean, median, and mode. While the mean was generated
for each response item, the median and mode were used as needed to provide perspective
on the data, reducing the impact of more extreme scores (Salkind, 2011). A chart
documented which type of descriptive statistic was used for each question on the survey.
Analysis of central tendencies was used to understand the demographic characteristics of
the typical board members in southern California, including their background and the
demographics of the district that they led. In addition, the research questions were
addressed regarding key characteristics that are essential for successful superintendency
and how the participants perceived them to be beneficial for their districts and future
superintendents.
Analysis of the qualitative data, both from open-ended questions on the survey
and from the one-on-one interviews, was conducted from a grounded theory approach.
The grounded theory approach validates and acknowledges the complexities of the
concepts being studied and is a process of systematically and rigorously exploring and
generating a theory regarding a phenomenon (Creswell, 2008; Patton, 2002). Transcripts
of the survey responses and the interviews were read through multiple times, with the
researcher using cascading levels of labeling, sorting, and condensing categories. In this
KEY QUALITIES OF SUPERINTENDENTS 58
inductive method of analysis, the researcher was immersed in the data to “generate a
general explanation . . . that explains a process, action, or interaction among people”
(Creswell, 2008, p. 61). Data coding emphasized the use of terms used by participants to
describe their experiences and perceptions, rather than terms applied by the researcher.
After a systematic method of coding the data, a visual model of the themes and emerging
theory was constructed.
Once the data from the quantitative and qualitative methods were analyzed and
reports written, a process of triangulating the data between these components and the
findings of the literature review was conducted. Patton (2002) described several types of
triangulation, and analysis for this study included triangulation of methods and sources.
In addition, triangulation between qualitative sources was conducted through analysis of
responses from multiple interview participants and the open-ended responses on the
survey. The purpose of triangulating the data was to find points of convergence and
divergence between the data sets and data sources (Patton, 2002). It was not expected that
all findings would necessarily be consistent between sources and data sets, and it was in
those differences that the depth and complexity of the topic was explored. The theory
generated in the inductive analysis of qualitative data was reviewed upon completion of
the triangulation and updated as indicated by the findings from this process. A visual
reference of these theories and findings was then generated.
Ethical Considerations
The researcher completed the Collaborative Institutional Training Initiative (CITI)
course offered by the University of Southern California Institutional Review Board
(IRB). The names of the districts and board members were changed for the report.
KEY QUALITIES OF SUPERINTENDENTS 59
Participation in this project was entirely voluntary. No information has been published
without the consent of the persons from whom it was elicited. All transcribed interviews
were stored in a secure location, access to which was limited to the research team, the
dissertation chairperson, and the IRB. Transcriptions and audio recordings will be
destroyed in 2018.
When considering the protection of human subjects, it was vital to take into
account the ethical considerations of this study and the potential risks and benefits during
and after its completion. The literature on educational research underlines that it is crucial
for the researcher to take into account key ethical considerations, especially information
that is received that focuses on students who are under the age of consent (Cohen et al.,
2013). This did apply in this study but the participants discussed the impact of
superintendent characteristics on student learning, so it was possible that the discussion
could include students. However, this study focused on the views of board of education
members and the work was designed to discover the participants’ views on the
importance of specific characteristics of the superintendent role. Therefore, this study did
not necessarily deal directly with students. Nevertheless, there were important ethical
considerations to be highlighted before the study took place. The information obtained by
the researcher from the participants remained securely locked and encrypted during the
research process. Only the researcher and examiners had access to the data. The
researcher aimed to provide anonymity and confidentiality to the participants.
The literature underlines that it is often only through the guarantee of anonymity
and confidentiality that participants are willing to speak truthfully on certain subjects
(Cohen et al., 2013). Although it was not expected that any participant would
KEY QUALITIES OF SUPERINTENDENTS 60
intentionally not tell the truth, the provision of anonymity and confidentiality as outlined
by the researcher at the beginning of the study was expected to help in leading
participants to respond honestly. Furthermore, the guarantee of confidentiality and
anonymity was important because it has been seen as a way to allow participants to relax,
particularly in the interview setting (Aubrey, David, Godfrey, & Thompson, 2000). This
meant that the board members were relaxed and willing to provide information, rather
than being on edge and less willing to discuss key issues about their views on education
and the role of the superintendent.
Limitations of the Study
This study had acknowledged limitations. There was no way to ensure that the
board members were providing accurate information on the survey or during the
interviews, although it was assumed that they would do so. It was hoped that the board
members would understand the importance of the study and feel secure that their names
would not be released with regard to specific answers in relation to personal experiences
with superintendents. While this seems plausible, there was no way to know the absolute
accuracy of the responses, which could be a problem if the data did not reflect honesty on
the part of the participants. Moreover, the researcher would not have any relationship or
influence with the board of education members because participants were chosen based
on their willingness to be candid and forthcoming about their perceptions, as well as their
availability to participate in the interview voluntarily. This process strengthened validity
and reliability of the study. A similar limitation existed with the interviews. In fact, the
interviews were even more difficult to assess regarding accuracy. Any of a multitude of
interpersonal factors could interfere with participants providing accurate answers,
KEY QUALITIES OF SUPERINTENDENTS 61
especially including the current relationship between the board member and the
superintendent with whom the board member worked. This personal relationship was the
key to receiving results that had to be assessed using an interpretivist paradigm. The
researcher made every effort to minimize these extraneous variables but they can never
be completely eliminated.
Chapter Summary
This study was designed with a mixed-methods approach, incorporating
quantitative data from an online survey and qualitative data from open-ended responses
on the survey and in open-ended interviews. Findings from these sources, along with
those from a review of literature, were triangulated to provide a robust and complex
understanding of the perceptions of the board members regarding key characteristics of
leadership qualities for a successful superintendency in California. The three research
questions focused on answers from the perspectives of the board of education members.
They included discovering the most important leadership characteristics for
superintendents based on perceptions of the members of the boards of education, which
style of leadership members of the boards of education thought were most appropriate for
successful superintendency, how members of the boards of education evaluated
superintendents for their success, and how all of these factors affected student
achievement. This study design was intended to allow the researcher the best possible
chance of conducting a successful analysis that would address the research questions.
KEY QUALITIES OF SUPERINTENDENTS 62
CHAPTER FOUR: FINDINGS
Background
This chapter provides an analysis of data from the study that aimed to explore the
key characteristics that are seen by members of the board of education as essential to a
successful superintendency. This chapter presents the data gathered by the mixed
methodological approach, highlighting the main findings in a stand-alone format that
presents the results of both the quantitative survey completed by 39 board of education
members and the qualitative data from five in-person interviews. All board members
were serving in southern California public schools with at least 3,000 students at the time
they were interviewed. Two of the five interviewees were females and they ranged from
late 40s to early 60s in age. All had college degrees, except for one who held only a high
school diploma.
Qualitative data were collected from an electronic survey and qualitative data
were collected from responses to open-ended questions on the survey and interviews.
Surveys were distributed to 121 members of boards of education in southern California,
and 39 were completed, providing a response rate of 32%. Five of these respondents were
interviewed based on a researcher-developed protocol. There were 16 interview
questions, corresponding to the three research questions.
The results are presented, where possible, with visual aids, to report the responses
provided by the 39 participants on the quantitative portion of the study, followed by
qualitative data from the interview responses. In qualitative data evaluation, open-ended
responses to questions provide quotations, which were the main source of raw data.
Patton (2002) noted that quotations “reveal the respondents’ levels of emotion, the way in
KEY QUALITIES OF SUPERINTENDENTS 63
which they have organized the world, their thoughts about what is happening, their
experiences, and their basic perceptions” (p. 348). Kvale (1996) defined qualitative
research interviews as “attempts to understand the world from the subjects’ point of view,
to unfold the meaning of peoples’ experiences, to uncover their lived world prior to
scientific explanations” (p. 24)
Research Questions
Three research questions guided this study:
1. What are the most important leadership characteristics for superintendents
based on perceptions of members of boards of education?
2. Which style of leadership do members of boards of education think is most
appropriate for successful superintendency and how does it affect student achievement?
3. How do members of boards of education evaluate superintendents for their
success?
Coding of Data
After collection of data from the online survey (Appendix B) and open-ended
interviews (Appendix A), separate reports were written documenting findings from each
data source. The findings were coded and compared with each other and with the review
of literature through a process of triangulation to identify convergent and divergent
findings. The raw data from transcribed interviews were coded to make sense of and
analyze the data, generate a general theory, and align it with the research questions.
Shenton (2004) indicated that coding facilitates the organization, retrieval, and
interpretation of data and leads to conclusions on the basis of that interpretation.
KEY QUALITIES OF SUPERINTENDENTS 64
The results are presented here in visual format, along with an explanation of the
findings in written form. The survey consisted of 30 questions, with the initial 11
questions used to establish background information, key demographics regarding the
participant, and information about the participant’s school district, including the number
of students and whether the district used an external consultant when hiring the
superintendent.
Participant Demographics
The demographic section presents the responses to each question (1–11) received
from the 39 participants. The data show the age, gender, profession, and level of
education of the respondent and information about the school district in which the
respondent served as a member of the board of education.
First, it was important to ensure that all the participants were taking part in the
study of their own accord and that they understood the situation and overall aims of the
study. The question regarding whether they agreed to the terms of the survey received a
unanimous positive response. Once permission for completion of the study was achieved,
it was possible to begin asking the participants demographic questions.
The largest single age group of participants was 51–55 years, but participant ages
were spread evenly from 51 to 66 years and older, with each of these four categories
having approximately 20% of the participants. There were younger participants, with
10% from the 46–50 age group and 10% from the 41–45 age group (Table 1).
Fifty-three percent of the participants were male and 47% were female, reflecting
a slight male dominance among board members, although this was a relatively small
sample.
KEY QUALITIES OF SUPERINTENDENTS 65
Table 1
Ages of Participants (N = 39)

Age range n %

35 years or younger 1 2.56
36–40 years 0 0.00
41–45 years 6 15.38
46–50 years 5 12.82
51–55 years 9 23.08
56–60 years 6 15.38
61–65 years 6 15.38
66 years or older 6 15.38

The fourth question on the survey was open-ended and asked the members of
boards of education to highlight their profession. This question could not generate a great
amount of analysis, with the numbers of each profession far too small to lead to
conclusive evidence on the opinions of the participants, but it was interesting. A range of
professions was represented. Professionals included dentists, architects, and pharmacists,
as well as many who had worked in or related to education for many years. These
included retired school teachers, social workers, professors, and a Dean of Creative Arts
and Applied Sciences. The range of professions also included engineering, business
owners, and executives.
The responses reflected that many of the board members were well educated. This
was confirmed in the responses about highest level of education achieved. Fifty-four
percent of the participants had received a graduate degree (postgraduate, including
KEY QUALITIES OF SUPERINTENDENTS 66
master’s or doctorate) and 33% had earned at least a bachelor’s degree. Three percent had
an Associate degree and 10% had attended college but had not earned a degree. None of
the board members had an education level lower than college (Table 2).
Table 2

Educational Levels of Participants (N = 39)

Educational level n %

Less than high school diploma 0 0.00
High school diploma or equivalent 0 0.00
Some college but no degree 4 10.26
Associate degree 1 2.56
Bachelor degree 13 33.33
Graduate degree 21 53.85

The sixth question asked participants to report the total number of students in
their district. About three fourths (74%) stated that the total number of students in their
district ranged from 3,000 to 24,999, 23% reported more than 25,000 students in their
school district, and 3% reported 300 to 2,999 students in their district (Table 3).
Of the 39 respondents, 97% stated that their district served Grades K–12, with one
serving in a district that served Grades 9–12. The average board member had 9.8 years of
experience as a board member. This average was skewed by three participants who had
been serving more than 20 years as board members. With these three outliers removed,
the average services was 7.5 years, with tenures ranging from 1 to 5 years and averaged
2.7 years. Even with this adjusted figure, it is apparent that the participants had a high
level of experience as board members. The majority had worked with two or three
KEY QUALITIES OF SUPERINTENDENTS 67
Table 3

Student Enrollments in the Districts of Participants (N = 39)

Enrollment n %

Fewer than 300 students 0 0.00
300 to 2,999 students 1 2.56
3,000 to 24,999 students 29 74.36
25,000 or more students 9 23.08

superintendents, indicating that most had experience working with multiple
superintendents.
Regarding recruitment, 78% of participants reported that their districts used
external sources. The final question in the section asked participants to name the
consultant or agency that was used as the external source for recruiting a new
superintendent. The most commonly named search firm was Leadership Associates (6);
other firms named were Hazard, Young, Attea and Associates and the Cosca Group.
Responses to these 11 questions indicated that the participants were well
educated, had an average age more than 50 years, and were experienced as board
members. Only half identified the search firm used by the board to hire superintendents.
Research Question 1
Research Question 1 asked, What are the most important leadership
characteristics for superintendents based on perceptions of members of boards of
education? This question focused on the important attributes and characteristics valued
by members of the board of education, with a focus on communication, leadership,
KEY QUALITIES OF SUPERINTENDENTS 68
interpersonal skills, educational knowledge, and other key characteristics that have been
associated in the literature with the role of a successful superintendent. Analysis of the
data revealed a pattern to frame the probe of the key characteristics of a superintendent,
with three emergent themes. All five interviewees spoke about the importance of (a)
communicating effectively with members of the board of education and the community,
(b) interpersonal skills, and (c) educational knowledge and a background in education
rather than in business.
Survey responses indicated that the majority of participants agreed on six
characteristics. Ninety-two percent agreed that effective communication was important,
while 73% agreed that collaboration and 84% agreed that interpersonal skills were also
important. Seventy-six percent agreed that community building was vital and 66%
supported the view that educational level and knowledge, as well as supervisory skills
were important. These six characteristics were deemed as the most important. Other
factors were deemed less important, with only 24% of participants citing “other” as
important, 31% indicating connection with the community and the leadership team, and
40% choosing child advocacy (Table 4).
Female board of education members tended to favor educational level of
knowledge (76%), as compared to men (65%), while men viewed supervisory skills
(70%) as more important than did women (58%). The other major differences by gender
were in the rating of connection, with 48% of female board members citing this as
important compared to 25% of men; community building was also important for the
female board members (88%), while 70% rated this as important.
KEY QUALITIES OF SUPERINTENDENTS 69
Table 4

Important Leadership Characteristics of a Superintendent According to Respondent

Members of Boards of Education (N = 38)

Characteristic n %

Educational level and knowledge 25 65.79
Effective communication 35 92.11
Supervisory skills 24 63.16
Connection 12 31.58
Collaboration 28 73.68
Community building 29 76.32
Child advocacy 15 39.47
Interpersonal skills 32 84.21
Other 9 23.68

Board Member 1 stated, “The ability to make decisions on the spot, to act on
those decisions and to lead is the most important characteristics.” Board Member 4
stated, “The primary skill they have to have is communication. They may have to be able
to communicate not only with the board but the community and the parents, PTA
committees, most importantly the administrators and the staff of the district.” They
agreed with Interviewee 1: “Superintendents have to be good leaders and all of that has to
be based on the educational and professional knowledge of the education community and
education as a whole.” Board Member 2 comment that that the “ability to work well with
the staff that exist and to get the community support” was a key concept. The only
KEY QUALITIES OF SUPERINTENDENTS 70
interviewee to offer a slightly different response Interviewee 3, although the viewpoint fit
into the concept of communication.
A superintendent, in order to be successful, should be a great listener and it’s not
only from the school board side, but it’s from the cabinet, from the principals and
from the teachers. It’s very tough to be a person in charge of a large organization
like a school district. And listen first, assimilate the information, and then speak.
The person who can do that will be successful. (Interviewee 3)
This viewpoint highlighted that candidates picked communication and the ability to lead
and gain support from the community as an important attribute for superintendents.
They need to create relationships with the both of the staff and the community and
be viewed as a positive person, unless you’ve been hired to do something specific.
You just have been hired, last guy is retiring, new guy coming in, they need to
build lots of relationship with the community. (Board Member 2)
This comment indicates that the art of communication by the superintendent, from the
perspective of board of education members, is a vital part of the process of being a
successful leader and making a difference in students’ lives.
Regarding the superintendent’s professional background, 90% of the participants
indicated that a superintendent should have an educational background rather than a
business background (Table 5). Only men viewed a business background as an important
factor, with all 18 female participants selecting an education background as a key
requirement of being a successful superintendent.
Because communication was highlighted as the major attribute for a
superintendent to be skilled and, therefore, successful, assessment of the means of
KEY QUALITIES OF SUPERINTENDENTS 71
Table 5

Respondent Board Members’ Preference for Superintendent’s Background (N = 38)

Preferred background of the superintendent n %

Business background 4 10.53
Educational background 34 89.47

communication between the two parties was important to determine. The two main forms
of communication were telephone and email (90% and 97%, respectively). A small
majority of responses (56%) stated that the relationship developed through personal
visits, while 14% included mail as a form of communication. The gender analysis
highlighted that, although both genders would use telephone and email, men were more
likely (70%) to communicate through personal visits than were women (43%; Table 6).
Table 6

Respondent Board Members’ Preferences for Means of Communication With the

Superintendent

Means of communication n %

Telephone 33 89.19
E-mail 36 97.30
Mail 5 13.51
Personal visit 21 56.76

Participants were asked how often they met with the superintendent and
communicated about the role. These responses varied substantially, ranging from “at least
KEY QUALITIES OF SUPERINTENDENTS 72
monthly” to 4 days a week and sometimes twice daily. The majority of meetings were
weekly or slightly more frequently.
In summary, there was consensus between interview and survey responses on the
importance of characteristics for a successful superintendency, such as leadership,
effective communication, interpersonal skills, and a relationship with the community.
Research Question 2
Research Question 2, asked, Which style of leadership do members of boards of
education think is most appropriate for successful superintendency and how does it affect
student achievement? All leaders have qualities that can make them successful. School
principals, leaders of organizations, class presidents, and even presidents of nations have
similar attributes. Superintendents are not made overnight. It takes time and experience to
develop leadership skills. Effective leadership requires development—the process of
progressing, growing, or evolving.
Bolman and Deal’s (2008) four-frame leadership model was the basis for study of
leadership style in this study. The structural, human resource, political, symbolic frames
serve as lenses to bring organizational culture into focus, allowing superintendents to
reflect on experience in determining the appropriate approach as they coordinate
organizational processes and material resources in their efforts to accomplish goals of a
school district. The analysis of data revealed that 78% described their superintendent’s
leadership style as human resources, 15% as political, and 7% as symbolic.
Forty-one percent strongly agreed and 43% agreed that the superintendent
provides resources that directly support student achievement; 4 slightly agreed and 1
each disagreed or strongly disagreed with the statement.
KEY QUALITIES OF SUPERINTENDENTS 73
From the overall results, it is clear that the superintendent plays a key role in
improving student achievement and that, according to the participants, most
superintendents were good at achieving this. Female board members agreed with this
statement, 69% strongly agreeing and 31% agreeing, with only one female participant
strongly disagreeing. Male board of education members were less inclined to support the
statement; 25% strongly agreed and 55% agreed.
Participants were asked whether the superintendent provides resources that
directly support student achievement. The results once again highlighted the close link
the superintendent has to student achievement. Forty-four percent of the participants
strongly agreed with this statement and 33% agreed and 14% slightly agreed, showing
that the majority of participants agreed that the superintendents has the direct ability to
affect student achievement.
Interview and survey results suggested that superintendents provide resources for
professional development that support administrators in raising levels of student
achievement. Of the 39 participants that were questioned, 57% strongly agreed and 28%
agreed with this view. Only 2 participants strongly disagreed.
Participants acknowledged that superintendents can proactively support an
increase in student achievement. When asked whether the superintendents monitored
principals to ensure that the goals for student achievement were met, responses were just
as conclusive: 56% strongly agreed, 20% agreed, and 13% slightly agreed. Only 2
participants strongly disagreed with this statement. Overall, 93% responded positively.
Participants agreed that the superintendent has a vital role in student achievement:
54% strongly agreed, 33% agreed, and 3 participants (10%) strongly disagreed with this
KEY QUALITIES OF SUPERINTENDENTS 74
statement, indicating that the majority of board members agreed that the superintendent is
heavily involved with the process of improving achievement in school districts through
provision of resources, as well as active monitoring of schools and principals to see
whether goals were met.
As collaboration and communication were deemed important characteristics, it
was important to determine whether this was a key issue in terms of student achievement.
Survey and interviews data indicated less agreement regarding whether superintendents
collaborate with board members on all decisions, with wide variation in responses. The
two most frequent responses were 28% agree and 36% disagree, suggesting a relatively
equal division in responses. Ten percent slightly agreed, 20% strongly agreed, 5%
strongly disagreed, indicating a general split in participant views, with 57% responding
positively and 43% responding negatively (Table 7). Male board members were more
likely to disagree (45% compared to 33% for females) about consultation and
collaboration between the superintendent and board members on decisions on student
achievement.
The ability to communicate when providing goals for the school year was seen as
essential to successful implementation of policy to achieve higher student achievement.
We go through an intensive session of setting superintendent’s goals so that we,
both superintendent and board members, understand what the expectations are for
the upcoming year and are both on the same page. That we’re headed down a path
that will take us to improving student achievements. (Board Member 4)
This ability to communicate between the board and superintendent, followed by
successful communication by superintendent, administrators, and others in the district
KEY QUALITIES OF SUPERINTENDENTS 75
Table 7

Respondent Board Members’ Views of the Extent of Collaboration and Cooperation

Between Board and Superintendent (N = 39)

Response n %

Strongly disagree 2 5.13
Disagree 14 35.90
Slightly agree 4 10.26
Agree 11 28.12
Strongly agree 8 20.51

education system can ensure that goals are met and student achievement is increased.
Board Member 1 said, “We took one of the principals from the high school, brought him
to the district office. We have more teachers training. This was an effort of the district
superintendent and the board.”
It is clear that the work done by superintendents has led to improvement of
student achievement in specific districts. This was stressed by participants who pointed
out that the need for training principals was a key part of the monitoring and progression
process, leading to overall gains by the students. When asked how the board and
superintendent worked together to improve achievement, Board Member 3 responded,
“The superintendent has to do that conversation, because we’re all going to have our
personal agendas.” This statement underlined that not all boards of educations work in a
similar manner, highlighting the need for caution when generalizing the impact of the
superintendent on student achievement. Board Member 3 said, “Occasionally, student
KEY QUALITIES OF SUPERINTENDENTS 76
achievement could develop without the support of the superintendent, reducing their
importance in the process.”
Board Member 2 reported a difficult encounter with the previous superintendent.
I would say—and I’m going to speak about the previous, which you could use
some time and not this one—I would say that the student achievement increased
in spite of the relationship that existed with the superintendent. So the principals,
in this case, were very strong.”
This example was negative and reflected that the district had excellent principal
leadership to make up for the ineffectiveness of the superintendent. Responses in the
interviews on this question were mixed, with half of the participants supporting the role
of the superintendent in the development of student achievement and half presenting the
view that the superintendent’s role was not necessarily crucial or understood. Board
Member 2 stated, “Board members aren’t elected to be, you know, we are focused on
student achievement—most school board members do not know what student
achievement would look like.”
It is important that 92% of the participant board members indicated that they were
looking for leaders who could relate to Bolman and Deal’s (2008) human resources frame
as applied to schools. Two assumptions made in this study were that (a) organizations
(school districts) exist to serve the people, not the reverse; and (b) when the fit between
the individual and the organization is poor (superintendent of schools and board of
education), both can become victims and student achievement can be affected.
KEY QUALITIES OF SUPERINTENDENTS 77
Research Question 3
Research Question 3 asked, How do members of boards of education evaluate
superintendents for their success? It is important to determine the nature of the
relationship between the superintendents and the board of education members and how
superintendents are evaluated. It allows the researcher to describe the working
relationship between the two entities, considering possible bias or comments that would
seem to be too positive or negative regarding attitudes about the role of the
superintendent.
Participants were asked how often the superintendent communicated with the
board. The average time between communications was 1 week, with 92% of the
participants selecting 1 week rather than monthly or daily. The weekly communication
between superintendent and board members took place via email or telephone. The
responses to this question indicated how board members viewed their relationship with
the superintendent and the evaluation process.
The majority of board members reported positive relationships with their
superintendents. Most described the relationship as excellent, very positive, or
professional. Thirty-one participants rated the relationship as positive, while one had just
begun a relationship and so could not comment. Negative comments included “rocky
with issues of distrust” and “average but deteriorating.” When participants were asked
how they dealt with a conflict between the board and the superintendent, one of the major
responses concerned the need to communicate, perhaps underlining why communication
was viewed as such an important attribute. The relationship appeared to be professional
KEY QUALITIES OF SUPERINTENDENTS 78
between superintendents and board members in this study, with the view that
communication and a personal meeting would be enough to resolve conflicts.
Boards should have agreed upon core district beliefs, a district vision and/or
mission, and must know what their priority areas are. Only then can they
effectively evaluate the superintendent. Superintendent evaluation should be a
communications process that serves as a model for district evaluation at all levels.
(Interviewee 1)
According to Interviewees 1 and 2, goals should be (a) goal based (district goals
set mutually by the board and superintendent in priority areas for the coming year), and
(b) data driven. Evaluation should be an ongoing process. Goals should be collaborative
(working together as a governance team, the board and superintendent should agree on
success indicators for each goal). The board should provide an opportunity for
acknowledging and commending the superintendent’s accomplishments. The board
should support growth of the superintendent and sustained improvement for the district.
If necessary, the board should identify weaknesses or problems to be addressed to ensure
continuous progress.
Part of the problem in terms of communication with the superintendent was a lack
of evaluative services provided by the board in certain districts. There was a great deal of
variance in the methods used, including the annual review as the most common method
of assessment, although certain responses stated that this review was quarterly instead of
annual. Interviewee 4 outlined stated, “The evaluation was done poorly. Overall, it has
been general agreement that all is going well and then looking for direction for the
coming year.”
KEY QUALITIES OF SUPERINTENDENTS 79
This compares negatively when addressed alongside the use of “once a year to
review results compared to goals set at the beginning of the year,” emphasizing that there
is a clear difference in the level of professionalism of board members. The interview
process presented findings on the importance (or lack of importance) ascribed to a
positive working relationship between board of education members and superintendents.
When asked about the need to ensure a positive relationship with the superintendent,
Interviewee 3 stated,
While it’s not necessary in order to be functioning, it is helpful, as in any
organization, that the people who are in charge of it are respectful and courteous
to each other. Even in disagreement, there must be courtesy and respect for the
positions that each person hold. Now, a positive relationship means that a
superintendent respects the role of the board and the board respects the position of
the superintendent.
Here, the participant stated that it was not necessary for the relationship to be
positive but that it could be very helpful, especially when evaluating the superintendent.
Interviewee 4 identified the need for board members to ensure the happiness of the
superintendent.
The superintendent sets the tone for the district, and if a superintendent is
struggling with the board or with issues, you just see moral drop across the
district. And it just drops. If the superintendent’s happy and moving forward on
the academic achievement stuff, the whole district responds to it.
KEY QUALITIES OF SUPERINTENDENTS 80
This reflects the importance of keeping the relationship positive because it can
have a direct impact on student achievement. Interviewee 1 also saw a need for a positive
relationship.
Positive relationship would be that you are all on the same page as far as your
mission and your purpose, and that you are moving in the direction that the board
of education set for board goals. Current superintendents should be visionaries,
indicating that the role has developed into a leadership one for the future, rather
than how traditionally it has been viewed.
Conclusion
The mixed methodology approach used in the quantitative survey and the
qualitative interviews produced understanding regarding these specific questions, as well
as the wider assessment of the relationship between board of education members and
superintendents and what the role of the superintendent is in the school district.
The study focused on key characteristics needed by superintendents to be
successful, according to the perceptions held by board of education members. Almost all
board members indicated that open and effective communication was the key to success
as a school superintendent. The results also highlighted that superintendents should have
an educational background instead of a business background. Collaboration, interpersonal
skills, and community building were also viewed as important characteristics of an
effective superintendent.
The results of this study were consistent with those reported by Henry and Reidy
(2006). Less important characteristics were the concepts of connection and supporting
child advocacy. Female board members tended to favor educational level of knowledge,
KEY QUALITIES OF SUPERINTENDENTS 81
while male board members viewed supervisory as more important. Another major
difference was in the attitude toward connection, with female board members supporting
the characteristic and community building, while a smaller majority of male board
members supported this claim. Eighty-seven percent of participants agreed that
superintendents play an important role in providing support (professional development to
teachers and administrators) and resources to raise student achievement.
The results from the survey and interviews indicated that, for the most part, the
relationship between board members and the superintendent was positive and
professional. Frequent communication between parties was rated as essential in retaining
a healthy relationship, although there were individual cases of board members and
superintendents missing that component, which tended to hamper the effectiveness of the
role of the superintendent.
KEY QUALITIES OF SUPERINTENDENTS 82
CHAPTER FIVE: CONCLUSIONS AND IMPLICATIONS
The superintendent plays a vital role in the positive development of the
educational system at the local, statewide and national levels (Kowalski et al., 2011). As
the person with executive oversight of an educational institution, with control of
administrative powers, the superintendent is crucial in ensuring the optimal education of
students (Cash, 2008). According to Glass and Franceschini (2007), a school
superintendent has a unique position in public education and plays a critical role as a link
between schools and communities represented by school governing boards. Waters and
Marzano (2006) stated that, if superintendents and district leaders carry out their
leadership responsibilities effectively, student achievement is positively affected.
This study identified effective leadership characteristics held by superintendents
that are deemed by board of education members to be most important. Andrews et al.
(2008), in a study on organizational management, found complexities involved in
managing change in practice and concluded that these complexities reflect the distinctive
organizational environment and cultures. The current study assessed the relationship
between leadership competencies and characteristics and the impact that superintendents
can have on the development of the educational institution in which they are in charge.
Andrews et al. indicated that educational institutions are unique in their need for certain
management qualities.
This chapter provides a summary of the study conducted during March and April
2014; it includes the introduction, statement of the problem, purpose of the study,
research questions, review of literature pertinent to this topic, methodology, key
limitations of the study, key areas for future research, and an overall conclusion.
KEY QUALITIES OF SUPERINTENDENTS 83
Statement of the Problem
The role of the superintendent has changed dramatically in recent years, leading
to a shift in the overall discussion concerning the important characteristics for success in
the school environment. The term superintendent has undergone many changes in the
history of America’s public school system, perhaps being the cause of the confusion over
understanding the modern-day superintendent. This study evaluated the participants’
perceptions in terms of their experience regarding the appointment of superintendents and
the characteristics desired by board members for superintendents to be successful leaders
and how that contributes to student achievement.
Purpose of the Study
The purpose of this study was to find conclusive evidence from a sample
population of board of education members regarding the decision-making process used
by school board member related to characteristics that are essential to be a successful and
an effective superintendent in a school district. The study was also designed to identify
and analyze the leadership styles that are considered to have a positive influence on
student achievement. Finally, the study looked at the thinking process and the decision
making by board of education members in hiring the appropriate leader for their school
district.
Research Questions
Three research questions guided this study:
1. What are the most important leadership characteristics for superintendents
based on perceptions of members of boards of education?
KEY QUALITIES OF SUPERINTENDENTS 84
2. Which style of leadership do members of boards of education think is most
appropriate for successful superintendency and how does it affect student achievement?
3. How do members of boards of education evaluate superintendents for their
success?
Significance of the Study
Training programs for educational leaders have always examined the current
research relative to leadership, leadership styles, models, and theories. The results of this
study indicated a need for leadership training programs to clarify those types of
leadership style and key characteristics that are essential to be successful as a
superintendent of schools.
Review of the Current Literature
The superintendent sets the tone, the bar for what is acceptable, and the vision of
a school district. “The superintendent is the CEO of the school system in its entirety”
(Wilmore, 2008, p. 1). He or she is the decided-upon presence, the voice and face of
education on a local level. The importance of this position cannot be overstated. The
work includes not only managing diverse aspects of central office administration but also
supporting the leadership of the schools within the district.
Bolman and Deal’s four frames of leadership model (2008) posits that an
organization can be viewed through four lenses: structure frame, human resource frame,
political frame, and symbolic frame. Applying the human resource frame to schools, two
assumptions are made: (a) Organizations exist to serve the people, and (b) when the fit
between the individual and the organization is poor, both can become victims.
KEY QUALITIES OF SUPERINTENDENTS 85
Frick (2004) presented the servant-leadership model in his book about Robert
Greenleaf as a person-centered model in which servant-leaders achieve results for their
organizations by giving priority attention to the needs of their colleagues and those whom
they serve. Human resources, interpersonal relationships, and servant-leadership are
concepts that focus on people within the organization.
The review of the literature identified crucial points in the discussion of the
importance of certain attributes and characteristics held by superintendents in their
overall success in the position. The current study focused on discovering the most
important leadership characteristics for superintendents from the perceptions held by
members of boards of education. Results showed that the ability to communicate
effectively was crucial, as was the ability to lead and organize.
The study also found attributes such as effective interpersonal skills, supervisory
skills, and the ability to manage staff to be necessary. One key finding was that
educational knowledge and the superintendent’s firm grasp on the latest findings in the
educational sphere of knowledge were essential.
The review of the literature provided substantial information about both the
characteristics that were deemed important for superintendents in their role and the belief
that the leadership characteristics of superintendents affect student achievement. The
latter finding was one of the most interesting parts of the review of the literature,
especially because it underlined the need for superintendents to be up to date on
educational knowledge and that the role of superintendent directly affected the overall
success of students in the district under their care.
KEY QUALITIES OF SUPERINTENDENTS 86
Methodology
The study used a mixed-methods approach in an interpretivist paradigm. Five
board of education members from three very different school districts were interviewed
individually and 39 board of education members in public school systems in southern
California completed an online survey in March or April 2014. The participants were
board members and the purpose was to understand their interpretation of the importance
of the superintendent’s role, the characteristics associated with success, and the
individual relationships between superintendents and board members. In addition, this
study highlighted the existing literature review and existing perceptions held by board
members regarding effective characteristics of a successful superintendent and how they
affect student achievement.
Results and Findings
Research Question 1
Research Question 1 asked, What are the most important leadership
characteristics for superintendents based on perceptions of members of boards of
education? The review of the literature indicated specific characteristics that were
important to the success of the superintendent: the ability to communicate effectively,
leading and organizing, effective interpersonal skills, supervisory skills, and the ability to
manage staff. The review of literature also indicated that educational knowledge and the a
firm grasp on the latest findings in the educational sphere of knowledge were key. It was
also seen as important that the superintendent engage others in shared meaning.
The results of the study reinforce findings from previous studies. The 39
participants in this study provided responses that indicated that superintendents should
KEY QUALITIES OF SUPERINTENDENTS 87
have an educational background in modern society. Male and female participants agreed
with this viewpoint, strengthening the findings from the literature.
The key characteristics selected by the participants were effective communication,
collaboration, and interpersonal skills. Community building, educational level, and
knowledge, as well as supervisory skills, were important factors in an effective leader.
Less important characteristics were connection and supporting child advocacy. The
gender difference was noticeable on selected characteristics but the results from male and
female participants were relatively similar when considering the important characteristics
as seen by board members.
These results indicated that superintendents should have a solid base of
understanding of education, as well as the ability communicate effectively with board
members, principals, teachers, and community members. This represents a change from
the traditional belief that superintendents should be more skilled in business than in
education, which was the viewpoint approximately two decades ago.
The importance of these results should not be understated. There is growing
evidence of the gradual change of the superintendent’s role in the school district, as well
as the growth of accountability in the position. The literature and study participants agree
that effective communication is a fundamental characteristic for success as a
superintendent. Waters and Marzano (2006) found that communication between
superintendents and principals regarding overall vision, working with staff and key
personnel, and ensuring that strategies are carried out are vital to increase in student
achievement through the role of educational leaders.
KEY QUALITIES OF SUPERINTENDENTS 88
Research Question 2
Research Question 2, asked, Which style of leadership do members of boards of
education think is most appropriate for successful superintendency and how does it affect
student achievement? The success of a superintendent is influenced by how staff and
school board members perceive the leadership of the superintendent and how the
superintendent uses the power of the position. Certainly, if a superintendent always uses a
“telling” or autocratic style of leadership, there is a possibility that he or she may be
viewed with fear but not respected as an effective leader.
With a leadership style of “selling,” followed by “telling,” superintendents are
perceived as showing a reluctance to delegate authority to staff. According to the results
of this study, southern California superintendents were perceived as servant leaders with
an emphasis on the human resources frame. The findings regarding the beliefs of board
members in the current study and those cited in the literature review were positive in
terms of the impact that a superintendent could have on student achievement. Certain
studies in the literature noted that this impact is changing gradually, despite the role of
the superintendent coming under fire from the education system for a lack of
effectiveness and attitude toward student achievement (Bennett, 1987). However, more
recent work has rejected this view, with Waters and Marzano (2006) stressing that district
leadership could make a distinct difference in academic achievement by students. This
was supported by Rueter (2009) and Casey (2012), who argued that the superintendent
could help to drive achievement upward by paying more attention to educational
innovation, implementation of policies that lead to personalization of student curricula,
and inspirational leadership that could spread through the district.
KEY QUALITIES OF SUPERINTENDENTS 89
The participant board members argued that, in theory, the superintendent had an
important impact on student achievement in the school district. The participants accepted
that superintendents give support to raise student achievement, with the majority agreeing
as well that the goals in the district office were aligned with the desire to improve student
achievement. Superintendents were deemed to be effective in providing resources to raise
student achievement levels. The findings indicated that the superintendent plays a vital
role in supporting professional development of teachers and administrators, enabling
further improvement in achievement by students in an indirect manner.
Overall, the results indicated that, although in the past the superintendent’s role
may have been more concerned with running the school district as a business enterprise,
there has been much more emphasis on the educational position and success in the district
in recent years. This has coincided with higher levels of accountability, as well as the
changing role of the superintendent and the rising belief that educational knowledge is
key to success in the role (related to Research Question 1). Therefore, the role of the
superintendent in terms of impact on student achievement is viewed as positive and
influential in modern society.
Comments by participants emphasized possible limitations in the study. Board
Member 5, remarked,
My only comment is that the word monitors in some of your questions is much
too passive a word to describe what takes place in our district. The superintendent
goes way beyond monitoring student and principal performance. He is actively
engaging in a process of goal setting, strategy development, resource allocation
and outcomes review.
KEY QUALITIES OF SUPERINTENDENTS 90
Research Question 3
Research Question 3 asked, How do members of the boards of education evaluate
superintendents for their success? The superintendent and board members play vital roles
in improving student achievement. Board members are responsible for hiring, evaluating,
and, if necessary, dismissing the superintendent. Upon hiring a superintendent, the board
enters into a contract that includes explicit goals and performance standards. It is vital
that both parties adopt a vision for the district that includes input from individuals in the
school system such as the central office staff, principals, teachers, parents, and students.
Evaluations of superintendents can be based on any of several purposes:
1. To improve educational performance through principals and teachers and
through them the instruction received by students in the classroom. The superintendent
should be evaluated at least once a year regarding how goals have affected student
performance. Goals should be data-driven, goal-based, and collaborative.
2. To improve communication between board members and the superintendent. It
is important to keep the channels of communications open, and a formal evaluation is a
key factor in this process. The board should provide an opportunity for acknowledging
and commending the superintendent’s accomplishments, and, if necessary, the board
should identify weaknesses or problems to be addressed to ensure continuous progress.
3. To clarify the roles of the superintendent and board. The formal evaluation
should define in detail the roles of the superintendent and the board to eliminate tension
between the two parties.
4. To improve board-superintendent relations. Effective and open communication
is key for a successful superintendency. The majority of board members in this study
KEY QUALITIES OF SUPERINTENDENTS 91
reported positive relationships with their superintendents. They used such terms as
excellent, very positive, and professional when discussing their relationship with the
superintendent. The board should support growth of the superintendent and sustained
improvement for the district.
Limitations of the Study
One possible limitation was that the study relied only on board of education
members to describe the nature of the relationship, rather than asking superintendents for
perspectives, as well. This was intentional, as it was deemed excessive and potentially
damaging to the study (in terms of stretching resources) to include superintendents.
However, it is acknowledged that this limits the validity of the results, especially as there
are no comparative data to assess the viewpoints of the board members. Despite this, the
study presents key findings on the nature of the relationship between superintendent and
board members from the perceptions of the board members.
The primary results from the survey and interviews indicated that, overall, the
relationships between board members and superintendents were positive and
professional, and with the board members having a mixture of experience in their
position. Specific findings highlighted how this relationship could be improved in theory.
The findings showed that frequent communication between parties was vital in retaining
a healthy relationship, even some individual board members and superintendents did not
have a positive professional relationship, which tended to hamper effectiveness of the
superintendent.
The findings indicated that the types of meetings between superintendent and
board members (telephone, face-to-face, email) were important in developing the overall
KEY QUALITIES OF SUPERINTENDENTS 92
relationship, with face-to-face meetings being rated as the most conducive to
development of a positive relationship. This was an important finding because of the
belief that most meetings were not face-to-face, an area of the relationship that could
certainly be improved. Most relationships were positive, but for those that were not, it
was clear how important the type of relationship could be to the overall success of the
superintendent. From the board members’ perspective, there is a need for personal and
professional relationships to be positive to enable superintendents to complete their role
to the best of their ability. This was supported by the NSBA (2013), who announced that
it was imperative that board members and superintendents work together to ensure
greater success for students in their respective school districts.
The survey included both closed and open-ended questions, which was a positive
element in the study. However, the open-ended questions did not necessarily allow
participants to open up and be honest in terms of their beliefs about the research
questions, instead asking them to present factual information, such as the company used
in outsourcing hiring of the superintendent, as well as years of experience as a board
member.
If this research is conducted again regarding the perceptions of board members
regarding the key characteristics of superintendents to be successful in the position, the
survey should include more open-ended probing questions. For example, participants
could be asked to specify how they think the superintendent influences student
achievement, rather than answering a close-ended question on the provision of resources
and the nature of leadership. This would gain a more diverse but less structured response
to the question and would enrich the data on the subject.
KEY QUALITIES OF SUPERINTENDENTS 93
The small sample did not necessarily affect the validity of the findings but it does
not allow for generalization with regard to the role of the superintendent in the public
school system. The sample agreed in general that the superintendent’s role was crucial to
development of student achievement and that certain characteristics were necessary for
the superintendent to be successful in a school district.
Implications
The results of the study, coupled with the recognized limitations, lead to specific
implications for practice in education. These implications focus on both the hiring of
superintendents and the types of characteristics that should be sought from applicants
who apply for the superintendency. Also, more positive relationships between board
members and superintendents, gained by improving communication and development of
school district goals and clear vision, will ultimately increase student achievement.
The board of education members noted that the hiring process was usually
conducted by consulting firms. Important information can be passed to these agencies in
terms of the key characteristics that are essential for a superintendent to be successful in
the role. The key characteristic is to communicate effectively with a range of people in
the school district and the community at large. However, perhaps the most interesting
implication is the need for the superintendent to have a high level of educational
knowledge, both in terms of content and how policies can be implemented to improve
student achievement.
Based on the reported perceptions held by board of education members, that there
was a distinct impact on the effectiveness of the superintendent depending on positive
relationships with board members. This indicates major implications for practice in terms
KEY QUALITIES OF SUPERINTENDENTS 94
of the need to ensure a positive professional relationship between the two entities. The
participants pointed out that a negative relationship could have a strong negative
influence on the overall success of the school district. Board members and
superintendents have vital roles to play in improving student achievement; therefore, it is
important not to allow personal attitudes to exert a negative impact on the ability of the
superintendent to execute the role successfully.
It is important for face-to-face meetings between the two parties to occur more
often. There is a to develop positive relationships through team-building exercises and a
general increase in communication. These two actions should help to develop a
productive relationship and ensure that petty rivalries do not get in the way of the
superintendent doing an effective job.
Recommendations for Future Research
The results of this study indicate a need for further research on the topic. It was
acknowledged in Chapter 3 that research studies are affected by naturally imposed
limitations. Therefore, this study can be assessed as having met its central purpose in
addressing the research questions. However, as the results showed, some areas need
further development in terms of enhancing understanding of the role of the
superintendent in a school system. The literature acknowledged that the superintendent’s
position has become increasingly important over the past decade, with an influence on
student achievement.
The results from this study provide detailed information on how members of
boards of education viewed the key characteristics that are needed for a superintendent to
be successful, how far student academic achievement is linked to the nature of the
KEY QUALITIES OF SUPERINTENDENTS 95
relationship between the superintendent and board members and how superintendents are
evaluated. The following recommendations for future research are based on the overall
findings from the study.
1. Future research should use a larger sample of members of boards of education.
2. Future research should compare states, not limiting the research to California.
3. Future research should include educators from private and/or charter schools.
4. Future research should involve a range of educational leaders, such as
superintendents, assistant superintendents, directors, and principals, not limiting the study
to members of boards of education.
5. A larger sample would improve the ability to generalize findings, perhaps
identifying statewide perceptions held by educators and enhancing understanding of this
research topic. However, the ability to complete such an extensive study relies on
resources such as time, finances, and personnel.
Conclusion
The high turnover rate among superintendents and variable failure of many school
districts may appear incomprehensible, but such realities are mere byproducts of a truly
incomprehensible system of educational policies that give superintendents an
unreasonable amount of responsibility coupled with limited authority to govern their
districts (Houston, 2001). With an imminent retirement rate of more than 50% of current
superintendents in 2015, there is a need to prepare aspiring superintendents. This study
identified characteristics that were deemed important by members of boards of education
for successful superintendency, leadership styles that are most appreciated, how
KEY QUALITIES OF SUPERINTENDENTS 96
superintendents affect student achievement, and the process of evaluating
superintendents.
Several conclusions can be reached based on the results of this study. Specific
characteristics that are important for a superintendent’s success from the perspectives of
members of boards of education are (a) educational knowledge, (b) effective and open
communication, (c) interpersonal and leadership skills, and (d) attribute of organization.
This study showed the superintendent could have an impact on student
achievement. The importance of gaining the opinions of board members was expressed
through the enhancement of understanding the relationship between board members and
the superintendent, with the belief emerging that there must be a positive relationship for
superintendents to be complete their duties effectively. This has led to implications for
best practice, as well as areas for further development in future research.
Overall, this research study was effective in addressing the research questions.
Limitations affected the ability of the researcher to enhance the conclusive nature of the
findings. However, it can be concluded that, generally, the reported results are valid and
reliable.
KEY QUALITIES OF SUPERINTENDENTS 97
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Appendix A
INTERVIEW PROTOCOL
Time of Interview:
Date:
Place:
Interviewer: Ilin Magran
Interviewee:
Position/District of Interviewee: School board member

INTRODUCTION

I’m a graduate student at University of Southern California working on my
dissertation and studying the key characteristics that are seen as essential by the
board of education members that lead to a successful superintendency. As
someone who is a school board member, you are in a unique position to describe
how those key characteristics can effect in being a successful superintendent in a
school district. And that’s what the interview is about: your experiences in
working with the school superintendent and what qualities you find valuable.

The answers from all the people I interview, and I am interviewing about 5 school
board members, will be combined for my report. Nothing you say will ever be
identified with you personally. As we go through the interview, if you have any
questions about why I’m asking something, please feel free to ask. Or if there’s
anything you don’t want to answer, just say so. The purpose of this interview is to
get your insights into what key characteristics will assist superintendents in their
position as a CEO of the school system.
Any questions before we begin?

[Turn on recorder and test it.]

1. Please describe your career path that led you to a school board member. What
positions did you hold? Where and for how long?

2. What might be some of the differences between having a male and a female
mentor?

3. What do you think are the most effective qualities that a superintendent should
have to be successful in his/her career?

KEY QUALITIES OF SUPERINTENDENTS 105
4. What is your opinion on the importance of having a positive relationship with
your superintendent?

5. What strategies do you use for building positive relationships with your
superintendent? Please share what a positive relationship with your
superintendent looks like?

6. What background training, education, or other experiences do you think will
assist a new superintendent in their new assignment?

7. What style of leadership do you think is most appropriate for successful
superintendency?

8. How do you structure conversations with the superintendent that move from
personal agendas to working on a singular vision towards increasing student
achievement?

9. If in your role as a school board member you notice that relationships are
deteriorating with the superintendent, what might you do to manage the conflict?

10. How is the relationship of the superintendent with the board president different
and/or the same as other board members?

11. How would you resolve a conflict with the superintendent and the assistant
superintendents?

12. What is the process that the school board uses to evaluate your superintendents?

13. In what ways has the relationship you’ve had with the superintendent helped
increase student achievement?

14. What have been your experiences with mentors related to new superintendents?

15. What have been your experiences with formal and informal networks related to
your superintendent?

16. What recommendations would you make to other superintendents considering the
superintendency as a profession? Is there anything else you would like to add that
you feel may be pertinent to this study and important for aspiring superintendents
to know?

CLOSING
Thank you for participating in this interview. Please be assured that we I will hold all
responses confidential. Should I have any further questions regarding your interview
responses or experiences, may I contact you for a follow-up phone interview?
KEY QUALITIES OF SUPERINTENDENTS 106
Appendix B
ONLINE SURVEY
1. Please select the age group that best describes you:
35 years or younger
36-40 years
41-45 years
46-50 years
51-55 years
56-60 years
61-65 years
66 years older
2. What is your gender?
Female
Male
3. What is your profession?

4. What is the highest of degree you hold?
BA or BS
Master’s Degree
Ed.D
Ph.D.
5. Total number of student in your district?
Fewer than 300 students
300 to 2,999 students
3,000 to 24,999 students
25,000 or more students
6. What grade level does your district serve?
K-6
K-8
K-12
7-12
9-12
KEY QUALITIES OF SUPERINTENDENTS 107
7. How many years have you been serving as a school board member?

8. How many superintendent have you had since you have been serving as a school
member?

9. Does your current district utilize the services of a consultant or search agency in
pursuing candidates for the position of superintendency?

10. Which consultant or agency was used?

11. What do you see as the key characteristics for a successful superintendency?
Educational level and knowledge
Effective communication
Supervisory skills
Connection
Collaboration
Community building
Child advocacy
Interpersonal skills
12. The superintendent ensures that district goals are based on relevant research?
Strongly Disagree
Disagree
Slightly agree
Agree
Strongly Agree
13. The superintendent monitors the impact of instruction has on achievement?
Strongly Disagree
Disagree
Slightly agree
Agree
Strongly Agree
KEY QUALITIES OF SUPERINTENDENTS 108
14. The superintendent consults and collaborates with the board of education members on
all decisions made?
Strongly Disagree
Disagree
Slightly agree
Agree
Strongly Agree
15. The superintendent provides resources for professional development to support
administrators in achieving student achievement?
Strongly Disagree
Disagree
Slightly agree
Agree
Strongly Agree
16. The superintendent monitors principals to ensure that goals for student achievement
are being met.
Strongly Disagree
Disagree
Slightly agree
Agree
Strongly Agree
17. How is your relationship with the superintendent?

18. How is the superintendent’s relationship different with the board president?

19. How often do you communicate with superintendent?

20. How often does the superintendent communicate with the board?
Weekly
Daily
Monthly
21. How is the communication with the superintendent?
Phone
E-mail
Mail
Personal visit
KEY QUALITIES OF SUPERINTENDENTS 109
22. The superintendents establishes agreement with the board on professional
development for board members?
Strongly Disagree
Disagree
Slightly agree
Agree
Strongly Agree
23. The superintendent provides resources that directly support student achievement?
Strongly Disagree
Disagree
Slightly agree
Agree
Strongly Agree
24. The superintendent ensures that the goals aligned with improving student achievement
are based on relevant research?
Strongly Disagree
Disagree
Slightly agree
Agree
Strongly Agree
25. How do you handle conflict with the superintendent?

26. How do you handle conflict with another board member?

27. How do you evaluate superintendents?

28. Thank you for participating in this survey. Please feel free to add any additional
comments that you feel are relevant to this study.

29. Thank you for your participation in this survey. If you are interested in receiving copies
of my dissertation, including the findings form this survey, please contact me at
magran@gusd.edu.
KEY QUALITIES OF SUPERINTENDENTS 110
Appendix C
RECRUITMENT MATERIALS

KEY QUALITIES OF SUPERINTENDENTS 111

KEY QUALITIES OF SUPERINTENDENTS 112

KEY QUALITIES OF SUPERINTENDENTS 113

Abstract (if available)

Abstract The superintendent plays a vital role in the positive development of the educational system at the local, statewide, and national levels. The purpose of this study was to identify effective leadership characteristics that are seen by board of education members to lead to a successful superintendency. Three research questions were posed regarding (a) an assessment of the perceived necessary leadership characteristics for superintendents from the perceptions of the board of education members, (b) which style of leadership members of the boards of education thought is most appropriate for successful superintendency and how the style affects student achievement, and (c) how members of the board of education evaluate superintendents for their success. The study was conducted utilizing a mixed methodology approach, combining qualitative and quantitative methods. A survey of 39 urban board of education members in southern California and interviews with 5 board of education members were conducted. The following themes emerged from the survey results: effective communication, high educational level and knowledge, good supervisory and interpersonal skills, and the ability to build a community and collaborate with organizations in the community. The findings in the area of communication included the need for frequent, focused, and purposeful communication, using a variety of communication methods to meet the styles of various board of education members. The board members stated that superintendents were crucial to student achievement because they control resources and monitor schools and principals to meet goals for improvement of student achievement. Recommendations for further study and the impact of the results are provided.

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Asset Metadata

Creator Magran, Ilin (author)

Core Title What key characteristics are seen as essential by board of education members that lead to a successful superintendency

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 01/13/2015

Defense Date 10/28/2014

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

Tag Board of Education,budgeting/finance,Communication,educational knowledge,interpersonal skills,leadership,OAI-PMH Harvest,organizational ability,student achievement,success of superintendents in the modern education system,successful superintendent,superintendent evaluations,supervisory skills and management,team player

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Contributor Electronically uploaded by the author (provenance)

Advisor Castruita, Rudy Max (committee chair), Avila, Cuauhtemoc (committee member), Garcia, Pedro Enrique (committee member)

Creator Email magran@usc.edu,manssourian@sbcglobal.net

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c3-522410

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