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A case study in reform: implementation strategies of one urban superintendent

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A case study in reform: implementation strategies of one urban superintendent

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A CASE STUDY IN REFORM: IMPLEMENTATION STRATEGIES OF ONE
URBAN SCHOOL SUPERINTENDENT

by

Elizabeth J. Blanco

__________________________________________________________________

A Dissertation Presented to the
FACULTY OF THE ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION

May 2009

Copyright 2009 Elizabeth J. Blanco
ii
DEDICATION
This dissertation and all of the work along the way are dedicated to my
husband, my soul mate, Jack M. Blanco for his unconditional “agape” love and the
support he has given me in my professional career. This work is offered as an
example of perseverance and accomplishment that is dedicated to my six beautiful
children Jack Lee, Lisa Rene, Jeffery Scott, Lori Nicole, Jacqueline Suzanne and
Jacob Bryan, their spouses and my twelve grandchildren. I thank you for blessing us
with your individual gifts and talents! My wish for our family is that all of you will
follow your dreams, listen to your hearts, pray for guidance, never give up and
always remember that all is possible for those who try! Remember the words of
Eleanor Roosevelt, “The future belongs to those who believe in their dreams.”
This work is also dedicated to my father Cecilio Louis Cedano and mother
Sue Ann Cedano, the loving parents who never criticized my choices and taught me
to follow my dreams! My life is richer because of their wisdom! Our family
exemplifies this quote, “While faith makes all things possible, it is love that makes
all things easy!”(Unknown). My sister-in-law Betty Robles has helped make this
work possible as a supporter and caretaker for my youngest children. The
overarching theme in this dissertation is about leadership, the courage and skills
needed to make difficult choices to overcome complex circumstances for the future
of children; these themes are dedicated to my sister, my best friend, Carol Lynn Styx,
and her family. Last but not least, this work is dedicated to all of the system leaders
iii
that create opportunities for America’s children, our future, supported through public
education!
iv
ACKNOWLEDGMENTS
I would like to acknowledge my dissertation committee members Dr. Rudy
Castruita, Dr. David Marsh and Dr. Darline Robles for their advice and guidance in
completing this work. I want to thank Superintendent Dr. Maria Ott, for her
encouragement to enter the University of Southern California Doctoral Program.
Dr. Ott has truly been an inspiration to me and other aspiring leaders. As a role
model, she demonstrates courageous leadership and has imparted the values of social
justice for all children. Throughout this process, I was blessed to have the experience
of finest leaders in the field of both K-12 and higher education.
I would also like to express my gratitude and appreciation to Migdalia
Miranda, a significant friend who encouraged and supported me by leading through
her example of relentless passion for learning and her perseverance to rise above
life’s most difficult obstacles. I could not have completed this doctoral program
without her consistent encouragement, support and friendship. As colleagues, we
share the vision of equal opportunities for all children and their families.
I would be remiss if I did not mention the Rowland Unified leaders with a
special appreciation to the Program Specialists’ and the clerical staff working in the
Special Education Department. These individuals went above and beyond the call of
duty to assist me in maintaining balance between my professional responsibilities as
their leader and completing this important research. My cohort colleagues have also
provided friendship and valuable support throughout this process.
v
Finally, I wish to recognize my appreciation to the organizations that
supported the advancement of my career and education including: the California
Association of Latino Superintendents and Administrators (CALSA), the National
Association of Latino Superintendents and Administrators (ALAS) and the
Association of California School Administrators (ACSA). Through the CALSA
mentoring program, Elisa Sanchez became my mentor as a result of her leadership I
gained the courage to accomplish my dreams and the honor of the title Doctor. I am
proud to be part of CALSA’s “legacy of excellence”. I want to acknowledge the
scholarship support of ALAS and Houghton Mifflin Publishing Company with a
vision to ensure the “Wings” of success for Latino educators. As a member of
ACSA, I have been privileged to serve in numerous leadership roles. I have much
admiration for my colleagues and the Superintendents responsible for the
championing of public education as the ACSA motto states “Leadership Matters!”
As a member of the Trojan Family, I feel a personal responsibility to uphold
the core values of accountability, diversity, leadership and learning and to carry-on
the University of Southern California’s tradition of excellence. Representative of my
gratitude, this work has resulted in not only a doctoral degree but the beginning of an
opportunity to exercise servant leadership through the mentorship of others. Dr. Ken
Magdaleno, a leader with a vision of mentorship sent the following inspiration to me.
Success is:
To laugh often and much;
To win the respect of intelligent people and the affection of children;
To earn the appreciation of honest critics and endure the betrayal of false friends;
To appreciate beauty, to find the best in others;
vi
To leave the world a bit better, whether by a healthy child, a garden patch or a
redeemed social condition;
To know even one life has breathed easier because you have lived.
This is to have succeeded. (Bessie Stanley)

Fight On!
vii
TABLE OF CONTENTS
Dedication ………………………………………………………………… ii
Acknowledgments ………………………………………………………... iv
List of Tables …………………………………………………………….. viii
List of Figures ……………………………………………………………. x
Abstract ………………………………………………………………….. xi
Chapter One: Introduction ……………………………………………… 1
Chapter Two: Review of the Literature ………………………………… 24
Chapter Three: Research Methodology ………………………………… 71
Chapter Four: Findings, Analysis and Discussion ……………………… 96
Chapter Five: Summary, Conclusions and Implications ……………….. 191
References ………………………………………………………………. 222
Appendices ……………………………………………………………… 236
viii
LIST OF TABLES
Table 1: Of Every 100 Kindergarten Students …………………………………… 30
Table 2: Reform Strategies Definition Chart-Ten Reform Strategies ……………. 83
Table 3: Relationship of Research Questions to Data Collection Instruments …... 87
Table 4: Data Collection Activities ………………………………………………. 91
Table 5: District Demographics …………………………………………………. 100
Table 6: Strengths in Fair City Public Schools upon Arrival …………………… 103
Table 7: Challenges in Fair City Public Schools upon Arrival …………………. 105
Table 8: Overall Reform Strategies ……………………………………………... 115
Table 9: Rubric Ratings of House Model Reform Strategies …………………… 118
Table 10: Rubric Scoring of Strategic Plan ……………………………………... 121
Table 11: Addressing Change in Strategic Plan ………………………………… 123
Table 12: Strategic Plan Rating by Rubric Component ………………………… 125
Table 13: Rubric Scoring of Assessment ………………………………………. 126
Table 14: Addressing Change in Assessment ………………………………….. 128
Table 15: Assessment Rating by Rubric Component ………………………….. 130
Table 16: Rubric Scoring of Curriculum ………………………………………. 132
Table 17: Addressing Change in Curriculum ………………………………….. 134
Table 18: Curriculum Rating by Rubric Component ………………………….. 136
Table 19: Rubric Scoring of Professional Development ……………………… 137
Table 20: Addressing Change in Professional Development …………………. 139
Table 21: Professional Development Rating by Rubric Component …………. 141
ix
Table 22: Rubric Scoring of Human Resources System and Human Capital
Management …………………………………………………………………….. 143

Table 23: Addressing Change in Human Resources System and Human
Capital Management ……………………………………………………………. 145

Table 24: Human Resources System and Human Capital Management Rating
by Rubric Component …………………………………………………………... 147

Table 25: Rubric Scoring of Finance and Budget ………………………………. 149
Table 26: Addressing Change in Finance and Budget ………………………….. 150
Table 27: Finance and Budget Rating by Rubric Component ………………….. 151
Table 28: Rubric Scoring of Communications …………………………………. 153
Table 29: Addressing Change in Communications …………………………….. 155
Table 30: Communications Rating by Rubric Component …………………….. 156
Table 31: Rubric Scoring of Governance and Board Relations ……………….. 158
Table 32: Addressing Change in Governance and Board Relations …………... 160
Table 33: Governance and Board Relations Rating by Rubric Component …… 162
Table 34: Rubric Scoring of Labor Relations and Contract Negotiations …….. 163
Table 35: Addressing Change in Labor Relations and Contract Negotiations …165
Table 36: Labor Relations and Contract Negotiations Rating by
Rubric Component …………………………………………………………….. 167

Table 37: Rubric Scoring of Family and Community Engagement …………... 168
Table 38: Addressing Change in Family and Community Engagement …….. 170
Table 39: Family and Community Engagement Rating by Rubric Component . 172
Table 40: Strategies Implemented within the House Model and Action Steps .. 177
x
LIST OF FIGURES
Figure 1: The PELP Coherence Framework …………………………………. 34
Figure 2: The Four Frames …………………………………………………… 37
Figure 3: The Role of the Contemporary Superintendent ……………………. 41
Figure 4: The Continuous Improvement Cycle (PDCA) …………………….. 44
Figure 5: The Urban School Leadership Institute House Model …………….. 82
Figure 6: Cycle of Change …………………………………………………… 97
Figure 7: The Six Fundamentals for Coherence …………………………….. 216
xi
ABSTRACT
Superintendents are called to increase student performance and meet the high
expectations of multiple accountability systems. This study evaluates the reform
strategies selected by a Superintendent who was trained and placed by the Urban
School Leadership Institute in a large urban public school system.
The purpose of this study was to generate a set of findings that allowed the
Urban School Leadership Institute to fundamentally enhance its program for the
preparation of urban Superintendents. This case study describes the entry of one
Superintendent leading a large urban district in order to discover the ten key reform
strategies, the strengths and challenges of the district, elements of the House Model
and previous backgrounds/experiences of the Superintendent in relation to improving
student achievement. The author applied an analytical case study model and
purposeful criterion sampling to conduct an in-depth study of the reform strategies
employed by the Superintendent to produce qualitative data in relationship to the
Superintendent’s actions and student achievement.
The study revealed that job preparation, leadership skills and the district’s
strengths and challenges significantly influence the choice of the reform strategies
selected by new leaders. Strategic planning, building capacity, common vision, a
theory of action and a focus on data-driven results lead to improved student
achievement.
1
CHAPTER ONE
INTRODUCTION
Student achievement in our public schools continues to be a concern at the
national and state levels. Reports such as the Trends in International Mathematics
and Science Study (TIMSS), the National Assessment of Educational Progress
“Nation’s Report Card” (NAEP) and California’s Academic Performance Index
(API) indicate that many students are underperforming in reading and math and that
the achievement gap for diverse populations continues to grow in urban school
districts (Piere, Moran & Lutkus, 2005; California Department of Education CDE
2007a). Many of our current reform efforts only achieve limited student success and
these efforts often do not permeate beyond individual classrooms and local settings
resulting in only pockets of excellence that are not systemically replicable
particularly in urban settings. Thus, there is a critical need to understand best
leadership practices in order to strategically design effective, sustainable local
systems that can be replicated in various contexts (Anderson 2003; Childress,
Elmore & Grossman, 2006; Elmore 1996; McDermott, 2000; Togneri, 2003).
The design of the local system can play an important role in assisting urban
leaders in creating consistent, high performing urban school districts. Elmore (2002;
2003a; 2003b) has presented the case that accountability systems should provide the
framework for Superintendents in helping them to turn around low performing
schools. The increased focus on accountability calls for a new definition of
leadership and a refined set of skills to address all aspects of the new data driven
2
accountability system. The function of the leader and the continual changes in the
school system correspondingly requires changes in the traditional values and cultures
of current educational structures. “In short, we must fundamentally redesign schools
as places where both adult and young people learn” (Elmore 2002, p.35) Research
supports the notion that governors and other policy makers need to design
accountability systems that force all schools to keep improving and build capacity.
The changed landscape of federal accountability, particularly as it is being
mediated by the No Child Left Behind Act of 2001, mandates rigorous standards for
all children. This new era of acute accountability requires contemporary
Superintendents to balance and fulfill three unique and sometimes conflicting roles
as a political, managerial and instructional leader (Cuban, 1998; Johnson, 1996).
Superintendents report that they are confronted with demands from various
constituencies on a daily basis making the position as an educational leader,
particularly challenging in terms of meeting the plethora of accountability
requirements as mandated by NCLB. Many traditional and non-traditional
Superintendents of urban school districts believe that the position and the job can
sometimes seem to be an impossible one under the current conditions and the
authority given to them is not equivalent to their duties and responsibilities
(Lashway, 2002). Such leaders report that current resources and lack of authority
create unrealistic job goals and unfounded job expectations. Too often, labor unions
and other groups are driving policy that does not align with or opposes a focus on
student achievement.
3
The contemporary Superintendent’s inherent role as one who is responsible
for improving student performance is that of an educator, a designer and a politician
(Wyks, 2004). The superintendent needs to be able to analyze strengths and
challenges in the district, select and implement reform strategies that result in gains
in student achievement (Takata, Marsh, & Castruita, 2007). The largest-ever
quantitative Meta-analysis study of Superintendents conducted by Waters and
Marzano (2006) resulted in similar findings that reveal a significant correlation
statistically between the role of the superintendent and student achievement. Three
findings from this study indicate: district-level leadership matters, effective
Superintendents focus their efforts in creating goal-oriented districts and a
Superintendent’s length of time in the position is correlated with student
achievement (Waters & Marzano, 2006). This Meta-analysis study reflects the
correlation between district leadership and student achievement and identifies the
challenges that urban Superintendents are still facing in addressing student
performance. Research suggests that Superintendents believe that expertise gained
from their training and experiences is valuable, but there is still a need to learn how
to quickly evaluate the district upon entering the office. Superintendents must be
able to evaluate the strengths and weaknesses of the system in order to develop
strategic instructional improvement plans.
Superintendents often struggle to construct coherence out of mismatched
public expectations, internal practices and cultures thus there is a need to understand
how Superintendents act as change agents to improve student achievement for all
4
students particularly for children in low-performing urban districts. There are
currently several frameworks to guide system leaders in fostering a coherent
organization and an integrated system connected to teaching and learning in the
classroom. One leadership model designed to shape the leadership role of traditional
and non-traditional system leaders is the Broad Superintendents Academy, a
management program designed to prepare leaders from various backgrounds to lead
urban school districts. Broad has developed the House Model, a conceptual
framework designed to prepare leaders with a strong foundation that includes an
Entry Plan during the first 100 days, leading into year one designed around the
concepts of: Theory of Action, Strategic Plan, Resource Reallocation and Data
Dashboard. In year two, the framework includes: Instructional Alignment,
Operational Excellence and Stakeholder Connections & Satisfaction. In year three,
the roof is added to the House to include the following important key actions:
Increasing Student Achievement, Closing Achievement Gaps, and Improving
College Readiness (Takata, et al., 2007, p. 16). It is the role of system leaders to
implement research-based frameworks that move urban education to large-scale
student achievement. By following the House Model, Superintendents are
theoretically equipped to influence change and create coherent organizations.
Superintendents should enter a district with a clear Entry Plan in order to
build relationships, set expectations, identify the key management team and open
communication to effectively lead and be successful in the organization (Neff &
Citrin, 2005; Watkins, 2004). The lack of understanding into the entry process is a
5
concern that coincides with the need for more in-depth preparation for the role of the
system leader. The Broad Foundation House Model also asserts that the first 100
days on the job are critical for paving the foundation and “building momentum” to
sustain the long-term success of the organization. In contrast to traditional job
preparation for the superintendent, the Broad Superintendent Academy asserts that
most traditional programs are not working to prepare leaders for entry period and the
leadership work beyond. Under the current conditions, a large number of university
preparation programs and credentialing standards are not preparing the caliber of
leaders necessary to meet the challenges of today’s educational system.
Research indicates that there are four major weaknesses in the traditional
superintendent preparation: (a) the lack of hands-on application, (b) inadequate
access to technology, (c) failure to link content to practice and (d) too much
emphasis on the professors’ personal experiences (Bjork, Kowalski, & Young, 2005,
p.84). Murphy and Vriesga (2006) suggest two new ideas to address these issues: a)
rethink the basis of administrative preparation programs in the United States through
the regular examination of “who we are and what we are doing in the area of leader
preparation” and b) set up a united plan around preparation and education intention
(p. 192). For example, the purposes of Ph.D. and Ed.D. programs are not always
clearly defined thus creating confusion in the training and development of
practitioners, researchers and leaders. Shulman, Golde, Bueschel and Garabedian
(2006), describe the problems of education doctorates as “chronic and crippling” and
6
express the need to restructure the university system to create equally important but
separate degrees (p.25).
Beginning in 2001, the Carnegie Foundation spent five years addressing the
dilemma of leadership preparation through working with universities on action
research studies of eighty-four Ph.D. programs that focused on four themes: purpose,
principles, apprenticeship and intellectual community thus paving the way for others
to change (Carnegie Foundation, 2007a; 2007b). At the same time, the faculty of the
University of Southern California Rossier School of Education (RSOE) also
embraced the challenge of redefining their purpose and engaged in an extensive
process to create a new strategic vision for RSOE resulting in a new definition for
both the Ph.D. and Ed.D. programs. The University of Southern California is
nationally recognized for having accomplished the creation of a doctorate program
with two distinct models. The University of Southern California Ed. D. program is a
major player in the preparation of Superintendents (Dembo & Marsh, 2007).
Although superintendent preparation programs have undergone many
changes in recent years, there are still two opposing views on professional
preparation programs and standards-based credentialing/licensing. Supporters of
academy reforms make a case for the need to incorporate more rigorous practicum
experiences and less classroom time in administrative training programs prior to
credentialing/licensing. Critics outside the educational profession, support the
philosophy of deregulation for leadership and Superintendent preparation programs.
They claim that credentialing/licensing hinders school boards’ right to employ
7
executives outside the field of education (Broad Foundation & Thomas B. Fordham
Institute, 2003; Hess 2003).
Reformers believe that the preparation of Superintendents may be approached
by utilizing models outside of the traditional education structure. Hughes and Haney
(2002) suggest that leadership lessons from the military are applicable to the
leadership skills necessary to lead in the K-12 system. This military model suggests
that K-12 preparation programs should establish a task force of national curriculum
experts for strategy analysis and create a plan based on duties. The military model
proposes partnering with a small number of universities and creating a model
institution that employs applicable military lessons. Other strategies include the
development of a national standard for career paths, establishment of formal
mentoring and national certification programs. Hughes and Haney (2002) argue that
leadership roles in the military share similar beliefs and characteristics of education
and that accountable professional development sessions and revision of the
evaluation process include ranking leadership that can improve training programs for
future urban leaders.
Superintendents agree there is a need to improve training programs, but
experience is a primary factor in their success as leaders. Although non-traditional
Superintendents who come from outside the K-12 arena may have more political
finesse and political skills, they are still challenged with overcoming the same issues
as their traditional counterparts. Improved leadership cannot replace the need for
revamping of district governance, preparation and support programs. It is important
8
that officials responsible for deciding between deregulation and reforming
professional preparation programs have a clear understanding of the problems
affecting the superintendency and the knowledge and skills needed to adequately
prepare CEO and instructional leaders (Bjork, et. al.; 2005a; 2005b). The conclusion
of this research states that in addition to improving the existing structures, effective
Superintendents will need to be committed to raising student achievement regardless
of background or training. In comparing the House Model and other frameworks,
there are similarities and differences in the actions and reform strategies that
Superintendents exercise to make changes and improve student achievement in their
respective districts.
Statement of the Problem
There is a need to identify and understand how the quality, implementation
and choice of reform strategies utilized by “system leaders” correspond with
improved student performance and equally important, why is it that some effective
Superintendents are able to achieve their goals while others are not able to reach
their potential. Childress, et al., (2006) implies that Superintendents often question
the role they play, their place in the system and what skills and knowledge they need
to fulfill the managerial, political and instructional roles. In order to improve the
educational preparation and professional development programs for system leaders,
further investigation is needed in order to find out how specific reform strategies can
be used for self-improvement to define the Superintendent’s role.
9
Many education leaders have claimed that traditional superintendent
preparation programs do not adequately prepare leaders for the challenging social,
political, economic and educational roles that are necessary to improve student
achievement in urban school systems (Bjork, et al., 2005a; Bjork et al., 2005b).
Private foundations such as the Urban School Leadership Institute are focused on
training non-traditional professionals for the position of Superintendent. Both of
these preparation training programs have reform components that are referred to as
the House Model, which need to be examined for their effectiveness as new
leadership models to identify successful, replicable leadership strategies to improve
student performance. There is a need to examine the relationship between selection,
training, preparation, job responsibilities and performance of the superintendent as a
system leader since their actions greatly impact student performance.
Purpose of the Study
The purpose of this study is to generate a set of findings that will allow the
Urban School Leadership Institute to fundamentally enhance its program for the
preparation of urban Superintendents and support their early work as
Superintendents. The project will investigate the entry of one superintendent leading
a large urban school district in order to understand how she assessed the strengths
and weaknesses of the district and the reform strategies that have been implemented
by the Superintendent and the subsequent impact on student achievement in their
respective district.
10
This case study will investigate how an effective Superintendent, “system
leader,” changes structures, increases student achievement and identifies the reform
strategies she uses in achieving national, state and local achievement targets. This
study examines the work of a Superintendent in the social, political and educational
contexts. It will explore the strategies that an Urban School Leadership Institute
graduate Superintendent employs upon entry and the impact of her leadership on
student performance during her first year as a system leader. Such research addresses
connections between selection, training, preparation, job responsibilities and
performance of the Superintendent as a system leader.
The focus of this evaluation is to find out the strategies that an Urban School
Leadership Institute graduate implements to improve student achievement that result
in positive outcomes in their role as Superintendent of major urban public school
systems. This investigation will analyze the strategies, strengths and challenges the
system leader encounters and how the choices made in her role as a Superintendent
of a large urban school system relate to state of the district upon entry and her
professional background. The study builds upon the exploratory Phase I Urban
School Leadership Institute evaluation results and will be used to develop strategies
and suggestions that fundamentally enhance the preparation of urban
Superintendents and supports their early work as Superintendents (Takata, et al.,
2007).
11
Research Questions
The following research question and sub-questions guided this study:
1. How are the ten key reform strategies being used by Urban School
Leadership Institute Superintendents to improve student achievement in
his or her respective district?
a. How does the quality and implementation of ten key reform
strategies correspond to the strengths and challenges of the district
when the Superintendent took office?
b. What additional reform strategies (if any) were used? How do
they correspond to the elements of the House Model?
c. How does the choice and implementation of the ten key reform
strategies correspond to the previous background/experiences of
the Superintendent?
Significance of the Study
The findings in this study will make an important contribution to education
literature regarding the reform strategies successful Superintendents use to improve
student achievement and the effectiveness of preparation programs for system
leaders. There is a strong correlation between specific leadership duties performed
by the Superintendent and student performance (Waters & Marzano, 2006). Data
suggests that the majority of American educational system leaders have not mastered
the art of utilizing reform strategies such as assessment, curriculum, professional
development, human resources system and human capital management, finance and
12
budget, communications, governance and board relations, labor relations/contract
negotiations, family and community engagement and strategic plan which are
outlined in the Broad Academy House Model well enough to result in significant
long-term urban reform. This study clarifies that this goal can be accomplished
when urban leaders effectively choose and implement quality reform strategies to
develop system-wide improvement plans to reform urban educational practices.
The information gained will be useful to institutions of higher education,
policy makers, professional organizations and Boards of Education in addressing the
shortage of administrators in the field of education. Fuller, Campbell, Celio, Harvey,
Immerwahr, Winder, (2003) noted that Superintendent Preparation Programs need to
foster leadership skills and recruit leaders that have the potential for political,
managerial and leadership insight. Organizations responsible for providing
certification need to understand the reform strategies that effective urban
Superintendents employ to improve student achievement. The data gathered will
assist professionals in the area of administration who are responsible for preparing
future system leaders to successfully accomplish their goals.
Research supports the notion that Superintendents need new tools to align
local systems to state and federal requirements intended to improve student
achievement (Elmore, 2003). As a result of the high expectations, limited authority
and public accountability to multiple stakeholders’, Superintendents are searching
for an understanding of the processes which facilitate change in order to transform
their respective organizations as necessary to achieve large scale yet sustainable
13
reform. The findings of this study will have relevance for practicing Superintendents
as they will benefit from new information on the specific reform strategies utilized
by successful system leaders to improve student achievement. This information will
be useful for seasoned and/or aspiring Superintendents by providing a framework for
developing an Entry Plan, balancing multiple roles as they evolve as a system leader
and facing challenges associated with the position of system leader and initiating
systemic sustainable change.
The primary focus of this work is to present new data to the Urban School
Leadership Institute on the impact of ten key reform strategies that can support
system leaders in performing their role. This study compares and contrasts the
preparation of Urban School Leadership Institute Superintendents to other
Superintendent preparation programs in an effort provide the Urban School
Leadership Foundation with significant information on how to enhance Urban
School Leadership Institute programs and increase support networks for new system
leaders. This research will extend the Phase I study of the Broad Superintendents
Academy graduates completed by University of Southern California Professors
David Marsh, Ph.D. and Rudy Castruita, Ed. D.. The data gathered in this case study
will be combined with nine other new case studies to contribute to a meta-analysis
study on the implementation and quality of effective reform strategies practiced by
successful leaders across the nation.
14
Assumptions
This study assumes that a strong relationship exists between leadership and
student achievement in urban school settings and it also assumes that a system leader
is responsible for the district’s student achievement outcomes. The case study
conducted presupposes the following: a) The Superintendent provided information
on real life experiences, b) interview and observational data would provide valuable
information in regard to reform strategies, c) the system leader was knowledgeable
about best practices when selecting and implementing reform strategies and d) the
Superintendent shared factual and relevant information during the interviews.
The openness and honesty of the participant’s responses are critical to the
validity of this study. The lead University of Southern California Professor has
credibility with the selected participant thus creating an atmosphere of trust that
fosters an environment in which the participant feels comfortable sharing her
personal experiences related to the job of system leader. This collegiality and trust is
important to the result of this study and necessary for a positive systemic change in
education.
Limitations
The research was limited by resources and time constraints; therefore, the
researcher was restricted to one case study. A site visit was made to a Southern
California urban school district for the purpose of interviewing, observing and
reviewing artifacts. The information for this study was collected over a two-day
15
period, through intensive interviews of the Superintendent, her identified key players
and other staff. All interviews were completed during the month of June, 2008.
The data for this study reflects the perceptions of an individual in the role of
the Superintendent and her identified key players, thus the results are limited to the
training and experiences of the study. Although the Superintendent identified two
key players and purposely selected other staff, the culture of the school district or
system prior to her entry may have directly impacted her behaviors and responses.
The overall validity of the data is limited to the reliability of the instruments used
and the topic of this research is not easily quantifiable. The researcher’s bias is a
frequent phenomenon that occurs when conducting qualitative research as the data is
subject to the interpretation of the researcher. Although, the researcher attempted to
prevent bias through the triangulation of data, there were no controls for participants
or researcher biases in this study.
Delimitations
This is a qualitative study of the reform strategies utilized by the Urban
School Leadership Institute Superintendent to improve student achievement. This
analytical case study was conducted at a specific urban school district with a
Superintendent who is a graduate of the Urban School Leadership Institute;
therefore, the results may not be generalizable to Superintendents and other system
leaders that have attended other university or academy programs. This study is
confined to one urban school district. The study focused on ten key reform strategies
implemented by the system leader in an attempt to influence district reform efforts to
16
improve student achievement. The criteria used to select the case study district
included:
1. District must be identified from the largest 125 school systems in the
United States;
2. The Superintendent must have been in office since 2006 or earlier;
3. The Superintendent must have graduated from the Urban School
Leadership Institute Superintendent’s Academy;
The study did not interview a large sample of urban Superintendents and focused on
a specific Superintendent instead.
Definition of Terms
For the purpose of this study, the following terms are operationally defined as
follows:
Academic Performance Index (API): A statewide ranking of schools based on
student test scores from the CST, and high school exit exam; it ranges from 200 to
1000. Most schools have an API, a state ranking (by elementary, middle, or high
school), a ranking in comparison to 100 similar schools, and growth targets for the
following year (Ed-data).
Accountability: The notion that people (e.g., students or teachers) or an
organization (e.g., a school, school district, or state department of education) should
be held responsible for improving student achievement and should be rewarded or
sanctioned for their success or lack of success in doing so (Ed Source).
17
Achievement Gap: A term that describes the difference in academic
performance between different ethnic groups, gender, socioeconomic status and
disability (U.S. Department of Education).
Adequate Yearly Progress (AYP): Federal indicator of annual progress
towards the goal of grade-level proficiency for all students that is required by the No
Child Left Behind Act of 2001 requiring districts and all subgroups therein to make
annual progress towards the goal of 100% proficiency by 2014.
Assessment: Activities that enable the districts to determine students are
learning what they are supposed to learn (i.e., the standards).
Alignment: The degree to which assessments, curriculum, instruction,
textbooks and other instructional materials, teacher preparation and professional
development, and systems of accountability all reflect and reinforce the educational
program's objectives and standards (Ed Source).
Communications: Public relations or communications that showcase positive
stories in their district and counteract misinformation or negative news. Development
of a public relations or communications staff to deal with the media.
Conceptual Framework: A comprehensive and consistent application of
thought, represented by an integration of research literature, theoretical constructs,
and other pertinent information with the potential to connect to all aspects of inquiry:
problem definition, purpose, literature review, methodology, data collection and
analysis. Curriculum: The materials used to teach, including classroom materials
18
such as textbooks, worksheets, pacing guides to address the scope and sequence of
the district’s learning standards.
Educational Reform: The alignment of assessment, instruction and
accountability programs with state and federal standards with a focus on instruction
and professional development.
Entry: The process of beginning a new job or an appointment to a position.
Entry Plan: A plan for the first 90-100 days on the job which includes the
steps, strategies, or procedures that the new leader would follow during their entry
period.
Family and Community Engagement: Residents of a school district’s
jurisdiction are considered its stakeholders, community and families to interact with
the district, stakeholder satisfaction leads to greater support for the district.
Finance and Budget: Budget is balanced and sustainable, aligned with
instructional priorities.
Governance and Board Relations: Governed by boards elected from the local
population; responsible for setting the policy direction for the district.
House Model: The conceptual framework developed by the Broad Academy
to provide a visual representation of the reform model that is used by the Broad
Academy in its training session and curriculum.
HR System and Human Capital Management: A process for attracting,
selecting, and managing talented employees such as teachers, principal, or central
office level. Development of support and retention strategies to keep talent in the
19
district. Capacity for providing a quality education by examining and refining their
selection process.
Labor Relations / Contract Negotiations: Teachers unions and several other
unions to which various district staff belong. Working with unions to build
relationships and understand the priorities of union leaders. Contract language is one
of the most significant influences on student achievement.
Large Urban School District: The Urban School Leadership Foundation
defined this term based on student enrollment. The largest 125 districts are
considered to belong within this category.
Non-traditional Superintendents: A school CEO

or Superintendent whose
professional backgrounds lie entirely

outside of education.
Professional Development: Any integrated program or course intended to
improve teachers’ and principals’ effectiveness or that enables principals and
teachers to improve their knowledge and skills in areas of district focus.
Reform strategies: Strategies that are implemented by
Superintendents/system leaders to improve student performance.
Standards: Standards describe grade level and subject specific learning goals.
Standardized test: An assessment that is designed, administered, and scored
in a consistent standard manner. The assessment measures specific skills and
knowledge.
Subgroup: A uniform group as defined by race/ethnicity, English proficiency
status, gender, immigrant status, students with disabilities or socioeconomic status.
20
Sustainability: The capacity of a district to retain and continue reform
strategies resulting in improved student achievement beyond the initial phase.
System Leaders: A Superintendent of a school district who thinks and plans
strategically, creating an organizational vision focused on increasing student
achievement.
Systemic Reform: Coherent change that drives interaction between groups
resulting in reflection and restructuring all aspects and levels of the educational
institution, impacting and requiring the involvement of all stakeholders.
Traditional Superintendents: A school CEO

or Superintendent whose
professional backgrounds comes form within the educational system.
Strategic Plan: The district defines the district’s mission, goals, and vision. It
also assigns performance indicators and work plans to each of the district’s primary
goals and serves as the guiding document for the district decisions and priorities.
Superintendent: The top administrative position within a school district
selected and evaluated by the publicly elected Board of Education. The position is
responsible and accountable to the Board for the operation of the school district.
The Urban School Leadership Institute Superintendent’s Academy: A
rigorous ten month executive management program designed to prepare CEOs and
senior executives to lead urban public school systems.
The Urban School Leadership Institute Superintendent: Leaders coming from
various backgrounds in business, government, the military, and education, attend
21
seven extended-weekend training sessions covering CEO-level skills in finance,
management, operations, organizational systems and education.
Urban: The term urban became a pejorative code word for the problems
caused by the large numbers of poor and minorities who live in cities. Such negative
associations with the term urban profoundly affect education and shape the nature of
urban schooling (Questia.com).
Organization of the Study
Chapter One of the study presents the introduction to the study, the statement
of the problem, the purpose and significance of the study, the research questions to
be answered, the importance of the study, the limitations, the delimitations, and the
definitions of terms.
Chapter Two is a review of the relevant literature. It addresses historical
trends in education and the characteristics of the superintendency; the status and
performance that is relative to the work of local systems; the role of local systems in
improving student performance; the strategies that system leaders use for their start-
up time as leaders; and the preparation of system leaders in relationship to improving
student achievement.
Chapter Three presents the research methodology used in the study, including
the reasons for interest in the study and relevant background; including the research
design; population and sampling procedures; and the instruments and their selection;
and information on validity and reliability.
22
Chapter Four presents the findings of the study and their impact on the
answers to the research questions which guided this study.
Chapter Five describes the significance of the study and implications for
practice, discusses and analyzes the results, forms conclusions, and makes
recommendations for future research.
23
CHAPTER TWO
REVIEW OF THE LITERATURE
This review of current and past literature is pertinent to a discussion of the
role of the urban school Superintendent in implementing educational reform
strategies to improve student achievement in urban settings. This research provides a
historical perspective in current achievement trends in the United States in relation to
district, state, and federal accountability. This review explores the role that
Superintendents play in improving student achievement. The sections in this chapter
outline relevant research on the role of the system leader in employing research-
based best practices specifically to ten particular reform strategies: (1) strategic plan,
(2) assessment, (3) curriculum, (4) professional development, (5) human resources
system and human capital management, (6) finance and budget, (7) communications,
(8) governance and board relations, (9) labor relations and contract negotiations and
(10) the family and community engagement. The last part of this literature review
focuses on the research describing the preparation programs for the role of the
superintendency and how academic preparation and background experience,
influences choices in implementing reform strategies to improve student
achievement. The intent of this chapter is to synthesize the literature by describing
best practices in urban superintendency, connecting their actions to increase student
performance for all students, and the demand to meet high accountability standards
imposed by the state and federal guidelines.
24
Student Achievement
Background
Historically, Americans have valued and cultivated public education with the
intent of increasing human capital to foster our democracy and economic prosperity
and also to ensure that we remain a primary player on the global stage. In our quest
for continuous improvement, America’s leaders have developed and passed major
landmark legislation in attempts at federal educational reform. These reform efforts
have been primarily directed at equality, equity and accountability beginning with
the Civil Rights Act of 1964 to end desegregation and the Elementary and Secondary
Education Act (ESEA) of 1965 to provide aid for children in poverty. In order to
ensure access for children with disabilities, the Education of All Handicapped
Children Act of 1975 was passed. In 1983, with the publication of A Nation at Risk,
perceiving that our educational reform was in crisis, the United States was spurred to
further educational reform which eventually led to the No Child Left Behind Act
(NCLB) of 2001 mandating accountability for all students (Cowan, 2003).
A multiplicity of efforts, laws and policies has attempted to address the
achievement gap among various groups of students, yet the very continuation of the
achievement gap remains a recurrent social and economic theme in education,
politics and research. The achievement gap continues to grow, and is particularly
acute in schools located in large urban districts. Current data on standardized test
results further substantiate the fact that there is a great difference in the educational
opportunities available to and the potential economic outcomes of diverse social and
25
ethnic groups on both the national and local measures of student achievement
(Hodge, 2007; Kewal Ramani, Gilbertson, Fox & Provasnik, 2007; Miller, Sen &
Malley, 2007). National, state and local reports on the status of student achievement
reflect the need to align local educational systems with federal reform initiatives.
National and Local Trends
Research supports that the job of the urban Superintendent is critical in
producing productive members of society and addressing the achievement gap. As
stated by Fullan (2003), a high-quality public education system is essential for the
parents, students and society as a whole. At the National level, the Center for
Education Statistics (NCES), reports on how the United States’ achievement figures
compared with the world’s other economically developed countries known as the
Group of Eight (G-8) including the United States, Canada, Japan, the United
Kingdom, France, Germany, Italy, and Russia. This data includes the Indicators of
National Educational Systems (INES) project, the Program for International Student
Assessment (PISA), and the Trends in International Mathematics and Science Study
(TIMMS). In comparison to the Group of 8, one quarter of American 15-year-old
students scored at or below the proficiency level when assessed on the PISA
combined mathematics literacy scale (National Center for Education Statistics,
2005). America’s data also demonstrated a significant achievement gap of 82 points
between the wealthiest and poorest students. Only France (88 points) and Germany
(102 points) had wider gaps (Miller, Sen & Malley, 2007). The U.S. Department of
Education utilized the Trends in International Mathematics and Science Study
26
(TIMSS) to assess and compare the mathematics performance of U.S. students at
grades four and eight with 45 other countries. According to this report, the United
States’ ranking declined relative to 14 other countries participating in the TIMSS
assessments between 1995 and 2003. Fourth grade students did not demonstrate a
measurable change in mathematics while eighth grade students had some
improvement.
The Nation’s Report Card (NAEP) serves as an evaluative tool to measure
the condition of American education and the progress of student achievement (Piere,
et al., 2005). In 2003, NAEP data reported that only 48% of America’s fourth
graders from urban schools met basic mastery in reading, with some urban schools
scoring as low as 31% compared to other fourth grade students who scored 62%
nationwide (McAdams, 2006).
The Achievement Gap
The NAEP data has allowed researchers to compare the performance levels
of U.S. students and study the relationship between poverty and student academic
achievement in the United States. It was reported that in 2007, more than 350,000
fourth and eighth grade students participated in the NAEP Reading and Math
Assessments and demonstrated gains in overall reading and math performance.
Although higher percentages of white and minority students performed at or above
the basic and proficient levels in both reading and math, these gains have not
succeeded in closing racial, ethnic and gender gaps (Lee, Grigg & Donahue, 2007).
NAEP reported that students identified as eligible for free and reduced lunch
27
continued to have lower reading and math scores than those who were not eligible
for the program. When assessed by gender, gaps in the scores have remained
relatively constant over the last 15 years and females continued to out perform males
in reading (Lee, et.al.; 2007). According to NAEP data, ethnicity, poverty and gender
are negatively correlated with literacy and math skills.
California has designed an accountability system with high standards to
address deficiencies in student performance. California state and local systems
comply with the federal system of accountability enacted by the No Child Left
Behind (NCLB) Act of 2001 which requires all states to have 100% of students
achieve proficiency in ELA and Math by the year 2013–14. The California
Department of Education (CDE) measures students’ progress through the Academic
Performance Index (API) and it is reported to the public annually on the State
Accountability Report Card (SARC). The API is the state’s ranking model based on
growth targets, measured through the statewide California Standards Test (CST), in
grades 2-12 (California Department of Education, 2007c).
Although in 2006, 42% of the students in grades 2-11 scored proficient or
above in English-language Arts and 40.6 % of students scored proficient in Math on
the CST, the achievement gap continues to be perpetuated in California’s public
schools. The CST data revealed a substantial educational achievement gap between
minority and non-minority students based on the 36.9% proficiency difference in
English Language Arts (ELA) from the lowest Latino scores to the highest Asian
scores in each respective group. CST Math data results also reflect a 42.0%
28
proficiency gap from the lowest African American score to the highest scores among
Asians. There is a significant discrepancy in proficiency rates between minority
students and other sub-groups (California Department of Education, 2007a; 2007 b).
Urgent Need to Improve
Research supports that Failure is no longer an option for children served in
Americas schools (Blankstein, 2004; Fullan, 2003). From the national to the local
level, the poverty rates and employment status among ethic groups in California
coincides with the noted gaps in educational achievement in the state as well. The
poverty rate for Latinos and African Americans is at 20% and is much greater than
the poverty rates for Asians reported at 12 % and Anglos at 8%. In addition, these
same working minority groups earn fewer wages per hour as compared to the Asian
and Anglo population (Public Policy Institute of California, 2004 & 2006).
As reported by Blankstein (2004), 80% of the U.S. prison population is
illiterate of which 75% are Latino or African American. Diverse urban school
districts have not been able to meet the state or federal standards for all students
which lead to a negative impact on the development of social and human capital for
the nation’s children and young adults. Barton (2004) reported that across the nation,
the average 8
th
grade minority student was achieving at the same level of the average
4
th
grade white student. Many of our minority students become disengaged with the
system and drop out of school as demonstrated by the dismal graduation rates in
America’s large urban schools with fewer than 50% of ninth graders being retained
to become graduating seniors four years later (McAdams, 2006).
29
Researchers continue to expend great effort in trying to identify why the
achievement gap exists, specifically, examining the life factors associated with
school achievement and the statistics on whether the schooling experiences of
students differ in significant ways based on the basis of race/ethnicity and income
(Aronson, 2004; Barton, 2004; Marzano 2003; Rothstein, 2004). This ongoing
research has come to conclude that home factors such as, health, family, early life
experiences and school factors such as teacher preparation and quality, access to a
rigorous instruction, technology and safe environments are all linked to student
performance. Closing the achievement gap among the various student and ethnic
sub-groups continues to present serious dilemmas for teachers and their educational
leaders.
Due to the lack of educational preparation in the K-12 system, many students
are not afforded the opportunity to attend universities and achieve economic security.
Although nearly two-thirds of California’s citizens think a college education is
necessary for an individual’s future success and economic well-being, the state ranks
40
th
in the United States in terms of the rate of high school students going directly to
college following high school (EDCAL, 2008). Many young adults have attempted
to reconcile this problem and further their education by enrolling in community
colleges. In reviewing the data for community colleges, the research indicated that
more than 50% of the students who enroll in community colleges are from low
socio-economic homes and minority backgrounds. Fifty-six percent of all Hispanic
students and 45% of African-American students attend community colleges.
30
Although community college opens the door for economically disadvantaged and
minority students, only a small fraction of students from these diverse populations
complete a degree (McClenney, McClenney & Peterson, 2003).
Cambron-McCabe, Cunningham, Harvey and Koff, (2005) demonstrated
through data, the notion that students’ chances of graduating from high school and/or
attending higher education are dependent upon the students’ racial background.
Based on this data, the educational tenure of minority students is startling (see Table
1). White students have more opportunities followed by African-Americans and
leaving behind Hispanic students. The director of Educational Thrust argued “we
have a myth in this country that we have a wonderful system of higher education, but
a wretched public school system. The truth is that neither system is performing well.
Both are producing poorly prepared graduates, and the sooner we get out of the
blaming game, the better off we will be.”

Table 1: Of Every 100 Kindergarten Students

Who Are:
Graduate From
High School
Complete
Some College
Obtain
Bachelor’s
Degree
Obtain
Advanced
Degree
White 93% 65% 33% 6%
African
American
87% 50% 18% 2%
Latino 63% 32% 11% Unknown
Native
American
58% Unknown 7% Unknown

Source: Superintendent’s Field Book (2005) based on the Census Population Surveys, The Education
Trust, Washington D.C.
31
The Role of Local Systems in Improving Student Performance
The future and success of the educational system is dependent on the
collaborative efforts of all stakeholders and political, economic and social influences.
These varied influences have changed the focus of our education to a system of
accountability that attempts to assess our reform efforts through standardized
assessments. The local system is made up of internal and external constituents
including students, parents the collective bargaining team, the Board of Education,
community members, media, and political officials and business organizations. It is
the job of the educational leader to build allies and coalitions to achieve the agreed
upon mission (Meier & O’Toole, 2003).
Childress, et al., 2006 claim that “big city school systems aren’t businesses
and can’t be managed like them. They need their own framework for creating
successful strategies and coherent organizations” (p. 55). In an effort to improve
student achievement and ensure social justice, the local educational systems have
devoted attention to discovering and designing frameworks that will transform
district systems into change agents that are able to produce system-wide student
achievement. Scholars have reported that many modern reform efforts only achieve
limited student success that do not permeate beyond individual classrooms and local
settings resulting in only pockets of excellence that are not replicable across systems
or in other urban settings (Anderson 2003; Childress, et al., 2006; Elmore 1996;
McDermott, 2000).
32
Several authors assert the need for the central office to lead the reform
movement. Childress, et al., (2006) suggest that large scale urban reform can be
accomplished when the district office designs a plan to identify best practices, builds
leadership capacity, monitors student progress and holds staff accountable for
results. According to Elmore and Burney (1999), the district plays a significant role
in supporting school site leaders in the urban reform movement by supporting low
performing schools through the provision of instructional support and professional
development. Additional research supports the notion that although some schools
have produced positive results in a decentralized setting, school level management
alone does not often result in increased student achievement (Chrispeels, Gonzalez,
& Edge, 2006).
Ogata’s research (2005) substantiated the importance of the role of local
systems in improving student achievement by utilizing The Center for the Study of
Teaching and Policy’s framework to examine a district’s influence on system-wide
instructional improvement. This framework provides a method to leverage system-
wide change through seven domains of action: (a) defining teaching and learning, (b)
developing the profession, (c) communicating externally and internally, (d)
responding to and contending with exogenous policy, (e) acquiring and allocating
resources, (f) creating local systems of accountability and (g) partnering with non-
system actors (Ogata 2005, p.123). Leadership was identified as a key factor in each
of these domains of district action.
33
The Harvard Graduate School of Education’s Public Education Leadership
Project (PELP) study of 2003 focused on a framework to guide leaders in fostering a
coherent organization and an integrated system connected to teaching and learning in
the classroom. This goal can be best accomplished through the leadership of central
office personnel as they are in the best position to overcome the barriers and create
“strategic function”—namely, a district-wide strategy for instructional improvement
which includes recognizing and extending best practices, increasing leadership skills,
constructing information systems, and supervising student improvement to ensure
accountability for results (Childress, et al., 2006, p. 59). The PELP team developed
the following framework (Figure 1) designed to achieve coherence overtime: (a)
connecting the instructional core with a district-wide strategy, (b) emphasizing
district elements that can enhance or hinder effective implementation, (c) identifying
interdependencies among basics and (d) evaluating environmental situations that
impact the implementation of strategy (Childress, et al., 2006). The overall goal of
the framework is to assist the leader making all parts of a large district focus on
student success and work together with the district strategy (Childress, et al.;
Childress & Elmore, Grossman, & Johnson, 2007).
34
Figure 1: The PELP Coherence Framework

Source: Harvard University, Childress, Elmore, Grossman and King, 2007, adapted from Tushman
and O’Reilly’s Congruence Model, 2002.

Elmore (2003) has made the case that accountability systems implemented by
states should provide the material framework to schools for turning around low
performing schools. The author suggests that accountability systems are necessary to
assist urban leaders in creating coherent, high performing urban school districts.
35
Elmore supports the notion that governors and other policy makers need to design
accountability systems that force all schools to keep improving and build capacity.
This goal can be accomplished by requiring the governmental agencies to provide
quality experts to schools and developing accountability systems that recognize
growth for low performing schools. Elmore (2003a; 2003b and 2004) asserts that
districts need to have system-wide instructional improvement plans that create
incentives to retain teachers and administrators to be able to meet high standards for
all students.
Through professional development and shared leadership, the District has the
capacity to train and motivate staff to become a professional network and learning
organization, focused on student learning (Elmore, 2003; Senge, 1990). Research
substantiates the notion that it is the responsibility of the school district to provide a
supportive and motivating environment (Datnow, Borman, Stringfield, Overman &
Castellano, 2003; MacIver & Farley, 2003).
The role of the Superintendency calls for the integration of multiple
frameworks to face the challenges that system leaders encounter as they learn to
navigate the complex role of governance, political and legislative arenas and
mandates. It is critical that the Superintendent lead the district to quality outcomes
including coherence among policies and actions, increased equity among student
groups and between schools, sustainability of the reform and the development of
professionalism.
36
Role of System Leaders in Improving Student Performance
Leadership Matters
Based on the concept of balanced leadership, the research of Waters,
Marzano and McNulty, (2006) demonstrated a significant correlation between
specific leadership duties and student performance. This research implies that
effective leaders are able to balance change initiatives with the preservation of
organizational culture, values, and norms and align organizational priorities while
adjusting their leadership style to support the effects of the degree of change. These
balanced leaders clearly understand the “first order” of change which is consistent
with existing values and the “second order” of change that requires stakeholders to
learn new approaches even if they conflict with institutional culture. These balanced
leaders know how and when to use appropriate leadership practices to facilitate
learning and change.
In an effort to demystify the complexity of leadership and provide new
opportunities within large organizations, such as an urban educational setting,
Bolman and Deal (2003) present another leadership approach utilizing the concept of
four frames referred to as structural, human resources, political and symbolic, which
a leader can utilize, in conjunction with leadership frameworks to appropriately
reframe an organization.
The structural frame (see Figure 2), as articulated by Bolman and Deal, may
be used to focus teams on functional processes, rules, structures, and goals of the
organization to achieve results (Bolman & Deal, 2003). The human resources frame
37
provides the avenue to develop relationships and foster open communication to
motivate the players in the organization to work in a supportive manner. The
political frame empowers the leader to build the necessary coalitions with both
internal and external interests groups to gain support and resources. The symbolic
frame is exercised by the leader as S/he guides and shapes the organization’s culture
and actualizes the values and vision among the stakeholders to give meaning to their
work. These tools can assist the leader in gaining an understanding of the
organization from multiple perspectives by examining the district’s design for
improving instruction while serving as a vehicle for the system-wide instructional
improvement (Bolman & Deal, 2003).

Figure 2: The Four Frames

Source: Bolman and Deal (2003).
38
The Chief Executive Officer (CEO) business model of leadership often
suggests another set of leadership practices as the answer for solving the issues and
problems that surround urban education. Collins (2001) has suggested that leadership
may look different in non-profit sectors verses private businesses, but that in the
efforts expended to achieve substantial success, the core values and principles of
integrity remain the same in both the non-profit and corporate realms. Leadership in
a business setting has profit as the intended result. The outcome of leadership in an
educational setting is to have empowered others to reach their fullest potential and
goals. In both settings, successful leaders must be change agents, passionate about
their jobs, engage in reflection and advocate for who and what they believe in. There
is a need for system leaders to have an understanding of the change process, practice
organizational leadership skills and engage in leading the learning in order to
transform an organization to achieve large scale sustainable reform (Broad
Foundation & Thomas B. Fordham Institute, 2003; Harvey, 2003).
Superintendents Matter
The role of the Superintendent is to improve schools through accountability
and the development of systems that remove obstacles and support students learning
outside of school. As stated by Fullan (2001), “Educational change is technically
simple and socially complex” (p. 69). Thus, on a comprehensive level, all of the data
unanimously suggest that there is a need to develop local systems to better prepare
students to become competitive, productive members of society.
39
A large quantitative Meta-analysis study by Waters and Marzano (2006)
reflects the correlation between district leadership and student achievement and
identifies the challenges that urban Superintendents are still facing in addressing
student performance. Three findings from this study indicate: district-level
leadership matters, effective Superintendents focus their efforts in creating goal-
oriented districts and a Superintendent’s length of time in the position is correlated
with the level of student achievement. Marzano, Waters and McNulty (2006)
determined that effective Superintendents develop achievement goals for students
and ensure that research-based instructional strategies are implemented in order to
reach the goals. It is important that the board is aligned and supportive of district
goals that have been deemed as non-negotiable and guarantee that there are minimal
distractions from these goals and those resources are allocated to accomplish the
targets. This process may involve letting go of initiatives that interfere with the
vision. Superintendents are also responsible for establishing relationships that foster
“defined autonomy” which Marzano, et al., (2006) translates into fulfilling the
expected outcomes within the margins of the district goals.
Correspondingly, the Council of Great City Schools found that
Superintendents with “clear vision, strong leadership, relentless focus, political
acuity, personal accountability, effective management, and fortitude were most likely
to reduce the achievement gap in urban school settings” (Broad Foundation and
Thomas Fordham Institute, 2003, p.27). In addition, Johnson (1996) suggested that
Superintendents were dependent upon principals and teachers to carry-out the vision
40
and that successful Superintendents needed to focus on evaluating principals,
aligning the learning community and ensuring the instructional schema within the
district.
Shift in role of Superintendents
The role and responsibility of leading an urban school system is as complex
as the responsibilities of any other big city leader, and the position is now further
complicated with the increased pressures of federal and state accountability measures
as mandated by the No Child Left Behind Act of 2001. According to the Thomas
Fordham Institute (2003), the Superintendent’s job has changed significantly from
manager to that of a CEO required to lead with political finesse. Prior to the age of
accountability, Superintendents were deemed successful if they were able to manage
buildings, buses, books, budgets and bonds referred to as the “killer B’s” now they
need to be skilled in processes known as the “crucial C’s” connection,
communication, collaboration, community building, child advocacy and curriculum
(Houston, 2001). Contemporary Superintendents are forced to balance and fulfill
three unique and sometimes conflicting roles as a politician, manager and
instructional leader (see Figure 3) (Fuller, et al. 2003; Johnson, 1996; Cuban, 1998).
41
Figure 3: The Role of the Contemporary Superintendent

The Center on Re-inventing Public Education and the Wallace Foundation
conducted a research study that identified the skills and conditions necessary for
success of a system leader in the role of an urban superintendency. The study reports
that experienced Superintendents of urban school districts believe that it is not
possible to successfully execute the job of the Superintendent under the current
conditions and that the authority presently given to Superintendents is not equal with
their prescribed duties. The leaders self-reported that current resources and lack of
authority create unrealistic job goals and unfounded job expectations. Often labor
unions and other groups are driving policy as opposed to focusing on student
achievement. The Superintendents suggested that they need full authority over
42
central office staff and the authority to hire more established and effective school
boards since school boards may attempt to limit the Superintendent’s authority.
This new age of heightened accountability calls for a new definition of
leadership and a sophisticated set of skills to address all the aspects of the new data-
driven accountability systems. The Superintendent needs to be able to analyze
strengths and challenges in the district, select and implement reform strategies that
result in gains in student achievement (Takata, et al., 2007).
Strategies Employed by System Leaders
The new role of system leaders calls for the implementing of research-based
frameworks that move urban education to significant and verifiable levels of student
achievement. According to Hoyle, Bjork, Collier and Glass (2005), Superintendents
may employ the frameworks of systems thinking as a model to assist them in
problem-solving and understanding the relationship between school districts and
society. This new way of thinking is necessary so Superintendents may better serve
the stakeholders within the system. Senge (1990) referred to systems thinking as the
fifth discipline which shifts the current state of organizations from working in
isolation to learning organizations with a shared vision and team learning approach
focused on continuous improvement. Learning organizations provide a framework
for schools to be responsible for their own learning and continuous improvement.
Senge (1990) and Pace-Marshal (2006) assert that creating a learning organization
through systems thinking promotes personal mastery that allows team members to
construct their own knowledge and become a community of learners.
43
Based on a national report of a colloquium for former urban Superintendents,
Harvey (2003) provides practical insights and offers two major strategies to address
the Superintendency and student learning, namely: organizational leadership and
taking a leadership role in the learning process referred to as “leading the learning.”
Harvey (2003) outlined seven organizational elements necessary for a
Superintendent to lead:
1. You must have the right people
2. You must have data about system’s performance
3. You need an effective delivery system
4. Logistical systems are essential
5. You need a communication system
6. You absolutely have to have a methodology for evaluating the first five
elements
7. Finally, you need to understand leadership is a process not a destination.
The elements above provided guidance to Superintendents to become
effective leaders. Based on the voices of the colloquium of Superintendents, leaders
need to exercise a model for continuous improvement such as the plan, do, check, act
cycle. This cyclical model demonstrates the following steps: 1) Plan-find opportunity
and plan a change; 2) Do-test the change. Conduct pilot study; 3) Study-review the
test, analyze the results and identify the key learning; 4) Act-take action based on
data and results. If the change did not go as planned, enter the cycle again with a new
44
plan. If you were successful, incorporate changes on a wide-scale (ASQ Quality
Tools, 2009).

Figure 4: The Continuous Improvement Cycle (PDCA)

Source: Adapted from ASQ Quality Tools, Deming Cycle and Shewart Cycle (2009).

The authors stated that “leading the learning” translates to being visible in the
classrooms and becoming skilled in the areas standards and the assessments used to
measure progress and that the Superintendent needs to be relentless in regards to
organizational leadership and learning how to lead (Harvey, 2003). Other researchers
have also noted that building a common vision among stakeholders was one of the
most critical components for the success of the organization (Cook, 2001; Collins,
45
2001; Fullan, 2008; Johnson, 1996; Marzano, Waters & McNulty, 2005). Experts
also agree that the Superintendents of the future must understand the importance of
building relationships (Fullan, 2001: Houston, 2001; Johnson, 1996). Fullan (2008)
introduced the six secrets of change to be implemented in an integrated fashion to
bring about long-lasting sustainable change: (1) Love your employees; (2) connect
peers with purpose; (3) capacity building prevails; (4) learning is the work; (5)
transparency rules, and (6) systems learning. Fullan noted that these concepts cannot
be left to chance and are necessary to cultivate a learning system.
Several researchers also suggest that upon entry, Superintendents must be
able to evaluate the strengths and weaknesses of the system in order to develop
strategic instructional improvement plans (Takata et al., 2007; Jentz & Murphy,
2005; Neff & Citrin, 2005; Watkins, 2004). Neff and Citrin (2005) offer several
preparation strategies that have proven to be valuable to system leaders as they
prepare to enter a new professional situation. The highest rated actions a leader can
engage in for success prior to entry include: (a) absorb information, (b) define
challenges, (c) establish credibility, (d) assess senior management team and (e)
prepare yourself emotionally. The leader does not have to present a strategic plan
upon entry; they can draft the 100 day agenda after they have gathered the needed
information. Neff and Citrin (2005) suggest that the role of the leader during the first
year includes: relationship building, setting expectations, identifying the key
management team and open communication. Watkins (2004) suggests implementing
a 90 day transition plan to develop strategies and set the stage for the role of the new
46
Superintendent. The author implies that an Entry Plan is the key in overcoming entry
challenges as a leader enters an organization. The Broad Academy asserts that the
first 100 days on the job are critical for paving a solid foundation and “building
momentum” to sustain the long-term success of an educational organization.
Although entry roadmaps have been instrumental in assisting new leaders in paving
their way to be successful there is still a need to closely examine the preparation
program for Superintendents.
A unique preparation program for urban school leaders integrating research
based reform strategies is known as the Broad Academy that develops the House
Model Elements which are intended to provide an integrated coherent direction for
new Superintendents in reforming the system of K-12 education. The Broad
Academy has prepared and placed both traditional and non-traditional leaders into
the role of superintendency, in urban school districts across the country (The Broad
Academy Website, 2007). The House Model aligns specific reform strategies as best
practices in leadership for improving student achievement. The quality and
implementation of the ten specific House Model strategies which have been the
focus of this study are defined in the following sections:
Strategic Plan
The goal of strategic planning is to create a common understanding among
stakeholders in regards to mission, vision and commitments to adopted goals and
strategies (Childress et al., 2006; Goldberg & Morrison, 2003; McLaughlin, Gilbert,
Hightower, Husbands, Marsh, Young, & Talbert, 2002). Research supports the
47
contention that Districts benefit from the shared learning process of strategic
planning, an experience which involves and is owned by all stakeholders through a
commitment to reform through the development of a comprehensive plan (Broad
Foundation & Thomas B. Fordham Institute, 2003; Cook, 2001; Goldberg &
Morrison, 2003; Harvey, 2003). Through the development of a strategic plan, a
district sets measurable performance goals and outlines action plans aligned to each
of the districts over arching goals (Cook, 2001). The strategic plan is a living
document designed to drive decision-making and the prioritizing of resources
(McLaughlin & Talbert, 2003; Shannon & Blysma, 2004).
Research has demonstrated that the Superintendent, as a planner, should not
create strategies alone but rather train the leadership team(s) to think strategically. In
other words, let the leaders synthesize the learning to reach the vision and common
goals of the district. The failure of strategic planning occurs when stakeholders are
not allowed to have a broad vision and be reflective about their work (Mintzberg,
1993, 2004). The field literature also notes that the strategic Superintendent must
overcome the innate desire to formalize behavior and be willing to be adaptable to
new situations and create a flexible learning environment (Fullan, 2001; Mintzberg,
1993, 2004; Senge, 1990). Through these processes the Superintendent can develop a
theory of action that clearly articulates a structure that indicates what is managed and
what decisions are left to the autonomous strategic thinking of others.
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Assessment
In creating a common vision within the cycle of continuous improvement,
districts are held accountable through student performance on standardized metrics.
Research implies that the Superintendent should foster a data driven and results-
oriented internal professional community (Schmoker, 1999) and strategically utilize
both summative and formative data as a tool for decision-making. The purpose of
assessment is to provide the district and classroom teachers data to conduct gap
analysis and to develop strategies to monitor progress and improve instruction. Other
researchers have suggested that educators know much about how to administer
standardized tests, but that they know little about how these tests actually improve
classroom instruction (Reeves, 2005, 2007; Stiggins, 2004). Common assessments
and district benchmark testing have proven to be useful in changing instruction when
administered frequently and the feedback is immediate. Assessments are valuable
when the material is directly tied to standards and the curriculum being taught in the
classroom (Chappuis, Stiggins, Arter, Chappuis, 2005; Marzano, 2007).
The field literature has outlined the benefits of summative and formative
assessments to address the mandates of NCLB and measure student achievement.
Instructional leaders may use summative assessments as a reform strategy by
instituting: 1) clear expectations of program goals, 2) systematic levels of
proficiency, 3) explicit data revealing performance levels, and 4) progressive
accountability outcomes (O’Day, Bitter, Kirst, Camoy, Woody, Buttles, Fuller &
Ruenzel, 2004). Formative assessments can be utilized to gauge and monitor the
49
level of proficiency and performance of a particular skill set over a period of time
(Chappuis & Chappuis, 2007/2008).
Benchmark assessments have led to explicit and guided performance for
higher student achievement when aligned to standards, curriculum, and instructional
practices (Ainsworth, 2007; Gallagher & Ratzlaff, 2007/2008; Marzano, 2007).
Based on the available research, it is fair to say that scholars in the field have
concluded that accurate and objective data is necessary for the Superintendent to
support learning and improve instructional practices, guide the decision-making
process and allocate resources (Gregory & Kuzmich, 2004).
Curriculum
The current educational environment, as politically driven as it is, subjects all
educators to high performance standards and accountability. Thus, the system leader
is expected to have a keen awareness of the linkage of standards to curriculum and
instruction (Harvey, 2003; MacIver & Farley, 2003).
Researchers have written a considerable amount regarding the components of
a viable curriculum, which includes: high quality standards-based material, access
for all students, fidelity of implementation and clear processes for the adoption of
new materials (Anderson, 2003; MacIver & Farley, 2003; Marzano, 2007; Swanson
& Stevenson, 2002). The literature suggests that although high quality materials are
available for instruction, the lack of fidelity in implementing the curriculum and the
need for implementation of professional development continues to prevent all
students from meeting the targeted objectives (MacIver & Farley, 2003). Schmoker
50
(1999) found that most teachers continue to enter the system without guidance and
supervision allowing them to teach without the commitment to the agreed upon
standards, thus presenting a challenge to the Superintendent in selecting strategies
for improving student achievement.
Based on the Broad Academy’s definition, curriculum encompasses the
materials that are adopted by the Board of Education and provided to the classroom
teacher to teach the standards. The district then adopts a curriculum with a scope and
sequence that provides a roadmap to the schools that is aligned to the state and local
standards and assessments. According to best practices, the curriculum must be
communicated to all stakeholders such as administrators, teachers, students, parents
and the community to provide a clear vision of what is expected in terms of student
learning and the accountability requirements (Carr & Harris, 2001; MacIver &
Farley, 2003).
It is critical that the Superintendent has the right instructional services team
to carry-out the work that leads to fidelity in the implementation of a curriculum that
addresses the needs of all students. The district’s central office team is the key player
in securing effective processes for the adoption and for supporting the
implementation of the educational policy, providing materials and monitoring the
evaluation processes at the site level. This practice is vital to ensuring the fidelity of
the adopted curriculum and that the program provides differentiated learning
opportunities for all students to access the curriculum in an environment that
supports and honors their particular learning needs (Carr & Harris, 2001; MacIver &
51
Farley, 2003). The Center for Research on the Education of Students conducted a
longitudinal study of accountability systems in districts and schools across ten states
and concluded that the district office plays a significant role in serving schools to
meet state standards, including leadership to principals and teachers in standards-
based instruction and curricular frameworks (MacIver & Farley, 2003).
Professional Development
Successful districts have an integrated professional development that centers
on enabling educators to detect when students are not meeting standards and to
adjust instruction accordingly, by enabling educators to improve their knowledge and
skills in areas of district focus. Professional development is defined as any program
or course intended to improve teachers’ or principals’ effectiveness. It may center
on content, leadership or habits (Broad Academy, 2008).
The research indicates that in effectively acting as the CEO of the
organization, the Superintendent should utilize professional development as a
process for reshaping the organization and creating powerful learning communities
within their district (Hoyle, et al., 2005; Lashway, 2002). In the role of an
instructional leader, it is important that the Superintendent secure resources for
professional development and ensure that the strategic plan includes goals and
activities for quality professional development as the research clearly supports that
targeted staff development contributes to the success of high performing schools
(OPSI, 2000; Marzano, Pickering, & Pollock, 2001). It is critical for a
Superintendent to guarantee that staff development programs are designed to equip
52
site leaders with the tools to ensure that all teachers have the skills to deliver and
differentiate the core curriculum (Hoyle et al., 2005; Marzano, et al., 2001).
Available research indicates that effective staff development programs utilize the
knowledge base within and are designed to include the following components: (a)
presentation of theory, (b) demonstration (c) entail practice in the training session (d)
and provide prompt feedback about the efforts (Dufour & Sparks, 1991 p. 57).
Existing research also reinforces the fact that professional development must
be centered on district goals and instructional practices that improve student
achievement. Research further indicates that although individual teachers have a
profound influence on student learning, there is much disparity in the quality of
instruction from teacher to teacher thus supporting the position that continuous
learning for all staff is necessary to build human capacity (Marzano, et al., 2001).
Staff development should be incorporated into the cycle of continuous improvement
as positive outcomes will require the ongoing study of teaching and learning
throughout the school year as it has been well documented in the field literature that
one time training sessions do not lead to sustainable improvement in performance
over time (Joyce & Showers, 2002). Staff development incorporates research-based
“best practices” that connects student achievement to the curriculum aligning the
measuring of goals and objectives that result in the evaluation process. Researchers
have also shown that collaborative cultures engage in collective inquiry about their
practice and that such behaviors are positively tied to student achievement gains
53
(Eaker, Dufour, & Burnetter, 2002; Elmore, 2002; Fullan, 2000; Marzano et al.,
2001).
Human Resources System and Human Capital Management
The district’s Human Resources Department plays a central role in managing
human capital and the placement of administrative leadership contributes to fidelity
in implementing and monitoring programs designed to promote district goals and
objectives. Author, Jim Collins (2001) stated that successful organizations engage in
the practice of “getting the right people on the bus and the wrong people off the bus”
(p. 63). In keeping with this approach, it is essential that a Superintendent be able to
select and manage talent, at all levels of the organization since the human resources
and human capital management systems (HR) are vital to the progress and success of
a district. It was discovered that the most time consuming issues that are handled by
Superintendents, center around hiring, effective placement and the discipline related
issues of personnel (Hoyle et al., 2005). Webb and Norton, (2009) noted, “That the
successful administrator is aware that an effective educational program depends
greatly upon maintaining a high quality of human resources” (p. 22). The research
surrounding the human resources strategies reflects several components necessary to
increase and maintain human capital within the organization including: (a)
recruitment by utilizing compensation and incentive packages (b) selection and
hiring practices that are aligned with district goals and needs (c) placement
procedures that match the individual’s skills with the organization’s needs (d) and a
retention plan to entice successful administrators and highly qualified teachers to
54
remain in the district (e) supportive professional development that includes coaching
and mentoring (f) competitive salaries and benefits (g) equitable, fair, and non-
discriminatory policies and procedures. Improving the recruiting and hiring
processes for personnel, developing attractive compensation packages, and
streamlining the process of applications and payments are all evidence of a good
human resources system (Council of Great City Schools, 2003; Elmore, 2000, 2003;
Hanushek, Kain, & Rivkin, 2004; Hoyle, et al., 2005; MacIver & Farley, 2003).
The research has shown that that teacher and principal qualities are primary
factors in improving student achievement (Elmore, 2003; MacIver & Farley, 2003;
Schulueter & Walker, 2008). Thus, making the case for the need for strong support
networks for new teachers, teacher support through induction programs and
professional development leads to improved instructional consistency and efficacy in
delivering the district’s curriculum and instructional objectives by classroom
teachers (Jacob, 2007; MacIver & Farley, 2003; Wong, 2004). Researchers also
noted that the development of human capital is contingent upon the success of a
continuum which begins with the relationships with teacher preparation programs,
through the induction and professional development processes and concludes with
transitions out of the classroom. A breakdown at any point of such a continuum can
have a negative impact on student achievement (Jacob, 2007; MacIver & Farley,
2003; and Wong, 2004).
Elmore (1996 & 2003b) implies that districts can increase the retention rate
of staff at hard to staff schools by implementing compensation incentives. Further,
55
districts can align the work of the human resources and fiscal divisions to support
student performance objectives thus integrating departments within the organization
by providing increased resources to support underperforming students.
Finance and Budget
According to Hoyle, et al., (2005), the famous 1985 quote of Bennis and
Nanus, “that managers are people who do things right and leaders are people who do
the right things” is a fallacy as research suggests that an accomplished
Superintendent must possess and practice both management and leadership skills
especially in the area of finance. The Superintendent can meet the district’s
compliance goals and conduct cost-analysis of programs through transparent,
strategic budget planning that connects and aligns budgets with district goals and
actions (Brewer, Hentschke, Eide, Kuzin and Nayfack, 2007; Childress, et al., 2006;
Cook, 2001; MacIver & Farley, 2003). Although the boards hire Superintendents
under the premise that improving student achievement will be their primary role,
more Superintendents have been released for lack of skills in financial management
than for poor test results (Broad Academy, 2008; Hoyle, et al., 2005).
The Superintendent needs to exercise and understand all aspects of school
finance in order to ensure fiscal solvency and increase student achievement. Being
knowledgeable and skilled in the areas of data management, development and
management of budgets, legal facets of fiscal compliance and problem solving is
imperative to lead a district to improved student achievement (Waters & Marzano,
2006; Shannon & Blysma, 2004). It has been found that Superintendents that align
56
the budget with instructional priorities are likely to have increases in the academic
achievement of students as well (Childress, et al., 2007; Hoyle, et. al, 2005; Shannon
& Blysma, 2004; Waters & Marzano, 2006). Research also supports the notion that
all key leaders need to understand the budget process in order to provide adequate
resources to students and staff and to articulate the fiscal direction and budget
priorities with the community (Hoyle, et al., 2005). Waters and Marzano (2006)
have noted that a primary responsibility of the district leader is to ensure that
adequate resources such as time, money and human capital are made available to
staff.
Existing research identifies six processes that may be employed by the
Superintendent and the Board of Education to productively develop a budget plan,
which includes: (a) incremental (traditional) budgeting, (b) line item budgeting; (c)
program budgeting; (d) the planning, programming budgeting (PPBS); (e) zero-
based budgeting, and (f) site based budgeting. It was noted that the decision to select
one process over another should be based on the districts core values, instructional
priorities and board policy (Anderson, 2003; Hoyle, et. al, 2005; Norton, Webb,
Dlugash & Sybouts, 1996).
Communications
Researchers have noted that a Superintendent’s strategy for providing internal
and external communication may be the most critical skill necessary for success in
the role of the Superintendency (Hoyle, et. al, 2005). In the area of communications,
the field literature notes that effective school districts need to showcase the best
57
aspects of their district and to counteract misinformation (Broad Academy, 2008;
Carlsmith & Railsback, 2001; Howlett, 1993; National School Public Relations
Association, 2002). Researchers have implied that effective communication
strategies build parent and community support leading to higher levels of student
improvement (Bauch & Goldring, 1995; Shatkin & Gershberg, 2007).
Balancing the content and the quality of information that comes in and out of
the organization may present challenges for the Superintendent, but good
communication is an integral part of the decision making process and necessary to
carry-out the districts vision (Carlsmith & Railsback, 2001; Howlett, 1993; Hoyle, et.
al, 2005; National School Public Relations Association, 2002). To address this
dilemma of content versus quality, the literature suggests creating a communications
office staffed with media specialists to develop a communication plan and regularly
sharing information with the community. The communication plan is aligned to the
district strategic plan for promoting two-way communication, and a shared vision
that builds support for initiatives (Carlsmith & Railsback, 2001; Howlett, 1993;
National School Public Relations Association, 2002).
Governance and Board Relations
Research findings on effective Superintendents have emphasized the
importance of communication and good board relationships and indicate that good
relationships with the board impact student achievement (Leithwood, 1995; National
School Boards Foundation, 2001; Smolley, 1999; Waters & Marzano, 2006).
McAdams (2006) presents the case for a partnership between the Superintendent and
58
the school boards but also clearly points out that they are not equal partners in the
relationship. The school board members govern, and are responsible for setting the
policy direction for the district and Superintendents manage, and execute the board’s
policy. According to Hoyle, et al., (2005), school boards are delegated the authority
to act on behave of the state and ensure schools are operating within state and federal
guidelines and students are learning. Their duties include serving as advocates for all
children, developing a Superintendent’s job description, evaluating the
Superintendent, delegating the management responsibilities to the Superintendent,
monitoring instructional programs, and working with the Superintendent in nurturing
a team for improvement and communicating with the public. Other bodies of
literature have shown that as a governing body the school board has the
responsibility to: (a) create core beliefs (b) craft the district’s vision, (c) set goals (d)
formulate a theory of action for change; (e) policy direction and approval (f)
apportion resources (g) watch over policy execution and the efficiency of
management systems (h) act as a go-between with the public (California School
Boards Association, 2007; Elmore, 2000; McAdams, 2006, National School Boards
Foundation, 2001; Petersen & Short, 2001). The Superintendent may support the
board’s role in developing policy (Broad Foundation, 2008; McAdams, 2006).
McAdams, (2006) presented a synthesis of literature from the National
School Board Association (NSBA) along with John Carver and others (1997, 2001,
2002; Carver and Carver, 1997) regarding board governance and the Board’s
responsibility for leadership. This research created a framework focusing on
59
governance with the purpose of improving urban education. The framework outlines
strategies for urban leaders and boards to create efficient high performing districts
and includes the following concepts for productive change: core beliefs and
commitment; theories of action for change; reform polices; policy development and
oversight; building blocks for reform governance; roles, responsibilities and
relationships, civic capacity; and transition planning (Carver, 2006). McAdams
(2006) describes the goal of the Reform Governance Framework, which is to draw
together the full array of board thought with action and demonstrate the relationship
of the parts. The author’s premise is “Creating high performing urban school districts
should be the nation’s number one educational priority. Without strong boards and
Superintendents working together to redesign urban schools this cannot be done” (p.
12).
Labor Relations and Contract Negotiations
Superintendents need to be able to build relationships and understand the
priorities of union leaders and utilize collective bargaining as a tool to structure
relationships, roles, rights, expectations, and define good work practices (Hannaway
& Rotherham, 2006; Hess & West, 2006). Research has also has shown that the
shape of agreements is affected by the characteristics of the process. Proactively
approaching the work with unions from a model of continuous improvement
demonstrates a good faith effort in labor relations on the part of the Superintendent
and supports the needs of both sides thus minimizing adversarial behaviors; enables
productive review of existing contract language; identify problem areas, and
60
articulate concerns of their stakeholders, while holding organizational outcomes
(Cambron-McCabe, Cunningham, Harvey& Koff, 2005; Hannaway & Rotherham,
2006).
Labor relations and contract negotiations should be approached with three
main goals in mind: (a) collaborative work is essential to education reform, (b)
relationships, planning and analysis for negotiating contracts are essential, (c)
negotiations should be principled based on core values regardless of the approach
selected to ensure fiscal accountability of public funds (Hewitt, 2007; Ingram &
Snider, 2008). The practice of core values fosters productive behavior and teamwork,
creating a negotiating environment that focuses on improving student success.
Contract language can restrict or expand the Superintendent’s options for replacing
and reassigning staff. The content of the contract also requires close attention, as it
can restrict or expand the Superintendent’s options for replacing and reassigning
staff (Cambron-McCabe et al., Hannaway & Rotherham, 2006; Hess & West, 2006).
Family and Community Engagement
The Superintendent has a key role in engaging families in partnerships to
improve student achievement. The Superintendent is responsible for articulating the
vision and mission to all parents, forming relationships and communicating with all
cultural groups, influencing the community’s support for initiatives that will benefit
the welfare of the districts students and building business partnerships to support the
community and family’s needs (Broad Foundation, 2008; Hoyle, et. al, 2005).
61
Studies support the notion that family engagement is a two-way partnership
involves active listening and acting on the concerns of the parents by the
Superintendent. All families are valued and encouraged to participate in the
district’s leadership roles such as governance and advisory councils thus providing
the district with diverse parent leadership possibilities and opportunities.
Research also suggests that effective districts create conditions that lead to
improved community and family relations, consequently, promoting improved
student achievement. These districts offer numerous ways for the community and
families to interact with the district and their local schools, from coordinating
volunteer opportunities for parents to creating successful partnerships with local
businesses and other types of organizations to provide resources to increase student
success. When necessary, parents are provided with information in a language they
can understand in order to become actively involved in their children’s education
(Epstein & Sanders, 2006; Fiore, 2006; Henderson & Mapp, 2002; Ingram, Wolfe, &
Lieberman, 2007; Lunenburg & Irby, 2002; Warner, 2002).
The field literature has also noted that the community and families should be
invited to give the district written and oral feedback of their perceptions on the
district’s performance for the purposes of fostering productive relationships that
enable appropriate evaluations and consequent improvement of programs, thus,
increasing student achievement. Research continues to suggest that when parents and
the community are satisfied with the services provided by their schools and the
district, the Superintendent and board will garner more support from the parents
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when the district needs and requests that parents support critical district and school
initiatives (Henderson & Mapp, 2002).
Leadership Preparation
New leaders for New Schools
Twenty-first century leadership calls for the Superintendent to be well versed
in an array of research-based literature and trained in many areas of practicum such
as corporate leadership, youth psychology, organizational development technologies
and professional learning communities (Blankstein, 2004; Hoyle, et al., 2005). The
literature emphasizes the need for a Superintendent to be skilled in understanding
their moral purpose, having the ability to develop a professional learning
organization and be able to create a culture that adapts to continuous improvement
and change (Blankstein, 2004; Fullan, 2001; Pace-Marshall, 2006; Senge, 1990).
Scholars have shared experiences and best practices for re-culturing
organizations in an effort to achieve sustainable results for all students. This work
must be utilized to prepare future Superintendents in a concise practical way so that
the training corresponds to established research findings which show that the
investment in leadership training for a Superintendent is correlated with their overall
success (Broad Foundation & Thomas B. Fordham Institute, 2003; Carnegie
Foundation for the Advancement of Teaching, 2007a, 2007 b; Dembo & Marsh,
2007; Murphy and Vriesenga, 2006; Shulman, et al., 2006; Walker, Golde, Jones,
Bueschul & Hutchings, 2008). A Superintendent must be prepared to implement
high level reform strategies that have been reviewed in this chapter such as a
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strategic plan, assessment, curriculum, professional development, human resources,
finance and budget, communication, governance and board relations, labor relations,
and community engagement if they are to execute such strategies in the educational
organization. Research notes that formal leadership preparation should include
several research-based elements such as a grounded theory, real-life experiences,
role playing and problem solving skills (Grogan & Andrews, 2002). Although it is
quite clear that there is no precise formula for urban reform, and leadership success,
the existing research does point to many proven strategies that Superintendents can
apply in order to be a successful leader and meet the unique needs of their
organization.
Several organizations have developed standards for leadership such as the
Interstate School Leaders Consortium (ISLLC), which has developed standards for
leaders that are being used as guides for academic leadership programs and assist in
the development of licensure requirements. These standards are geared toward
improving school effectiveness but hold true for all school administrators and it is
assumed that the leader of leaders, the Superintendent, be able to “walk the talk” and
model the behavior expected form other leaders throughout the organization:
Principle 1: Facilitating the development, articulation, implementation and
stewardship of a vision of learning that is shared by and supported by the
community.
Principle 2: Advocating, nurturing and sustaining a culture and instructional
program conducive to student learning and professional growth.
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Principle 3: Ensuring management of the organization, operations, and
resources for safe efficient and effective learning environment.
Principle 4 Collaborating with families and the community interests and
needs and mobilizing community resources.
Principle 5: Acting with integrity, fairness, and in an ethical manner.
Principle 6: Understanding, responding to, and influencing the larger
political, social, economic, legal, and cultural context (Murphy, Yff, and Shipman,
2000).
In summary these principles are used to enhance the training programs for
administrators.
In 1993, the American Association of School Administrators (AASA)
published the professional standards for superintendency. Researchers have implied
that these standards are more appropriate than the Interstate School Leaders
Consortium (ISLLC) standards in regards to the role of superintendency as these
standards represent a stronger research base in several key areas including: school
and district governance, policy development, political strategies, strategic planning
and school finance. These standards follow eight performance goals including
leadership and district culture, policy and governance, communications and
community relations, organizational management, curriculum planning and
development, instructional management, human resources management, and values
and ethics of leadership. These standards were developed to represent the changes in
65
the role of the Superintendent and provide criteria for evaluations and program
accreditations.
Innovative University and Non-University
Superintendent preparation programs have undergone many changes in recent
years. Some research suggests that Superintendents believe that expertise gained
from their training and experiences is valuable. Other research supports that under
the current conditions a large number of university preparation programs and
credentialing standards are not preparing the caliber of leaders necessary to meet the
challenges of today’s educational system. According to Fullan (2003),
“Superintendent training, it seems, does little to prepare leaders for the highly
ambiguous situations they are about to enter, in which political skill and calculation
are as important as expertise about instruction” (p. 57).
Research indicates that there are four major weaknesses in the traditional
approaches to Superintendent preparation: “(a) the lack of hands-on application, (b)
inadequate access to technology, (c) failure to link content to practice and (d) too
much emphasis on the professors’ personal experiences” (Bjork, Kowalski, Browne-
Ferrigno, 2005, p. 84). Murphy and Vriesga (2006) suggest two new ideas to address
these issues: a) rethink the basis of administrative preparation programs in the United
States through the regular examination of “who we are and what we are doing in the
area of leader preparation” and b) set up a united plan around preparation and
education intention (p.192). For example, the purposes of Ph.D. and Ed.D. Programs
are not always clearly defined thus creating confusion in the training and
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development of practitioners, researchers and leaders. Shulman, et al., (2006),
describe the problems of education doctorates as “chronic and crippling” and express
the need to restructure the university system to create equally important but separate
degrees (p.25).
Beginning in 2001, the Carnegie Foundation addressed the dilemma of
leadership preparation by conducting action research studies of 84 Ph.D. programs
that focused on four themes: purpose, principles, apprenticeship and intellectual
community thus paving the way for others to change (Carnegie Foundation, 2007a,
2007b). As a result of this work, a colloquium of universities across the country
agreed to make a commitment to participate in the Carnegie Project on the Education
Doctorate (CPED) and embrace the concept that intellectual team learning and
practicum experiences will result in highly skilled practitioners who will become the
nation’s next innovative educational leaders.
At the same time as the Carnegie project, the faculty at the University of
Southern California Rossier School of Education (RSOE) also embraced the
challenge of redefining the purpose of the School, and engaged in an extensive
process to create a new strategic vision for RSOE. These efforts resulted in new
definitions for both the Ph.D. and Ed. D. programs. Consequently, the University of
Southern California is now nationally recognized for having accomplished the
creation of a doctorate program with two distinct models for the Ed.D. and the Ph.D.
degrees.
67
The University of Southern California Ed. D. program is a front runner in the
preparation of Superintendents as faculty scholars and leaders in the program believe
that the preparation and development of effective educational leaders is critical to the
future and success of urban education and ultimately student learning (Dembo &
Marsh, 2007). The Ed.D. Program at the Rossier School of Education is a three year
program that focuses on a practitioner model embracing four basic principles
encompassing leadership, accountability, diversity, and learning. Students work
together in cohorts to increase their understanding of urban education through
synthesis of high level texts and real-life problem solving. The overall goal of the
program is to produce highly skilled leaders and problem solvers prepared to
improve public education (Dembo & Marsh, 2007). The Ed.D. Program has
concentration areas which include educational psychology, higher education, and K-
12 leadership in urban education, teacher education and multi-cultural societies. This
program is designed for practitioners in the field of education. The Ph.D. program
provides fellowships to conduct research as opposed to a practicum experience.
Some reformers of education believe that the preparation of Superintendents
may be approached by creating effective models outside of tradition. For example,
Hughes and Haney (2002) have suggested that the leadership lessons learned from
the military are applicable to education. Hughes and Haney’s model borrowed from
the military proposes that K-12 preparation programs establish a task force of
national curriculum experts for the purpose of strategy analysis and create a plan
based on duties: the military model also proposes partnering with a small number of
68
universities and creating a model institution that employs applicable military lessons.
Other strategies include the development of a national standard for career paths,
establishment of formal mentoring and national certification programs. Hughes and
Haney (2002) argue that the way leadership roles are structured in the military, share
a correspondence with the aims of education. The Broad Academy is a
Superintendent preparation program that actively recruits and prepares traditional
and non-traditional leaders to raise student achievement in the large urban school
districts. Based on the research of the Broad Foundation and Thomas B. Fordham
Institute (2003) traditional Superintendent programs are not working. They have
authored an article “A Manifesto” which cited three central themes for improving the
training of Superintendents: (a) University preparation programs and credentialing
standards are meaningless and regulatory annoyances, (b) executives and military
officers would be willing to serve as Superintendents if the requirements are changed
and (c) public schools are failing due to ineffective leadership.
Need to Improve Leadership Programs
Glass, Bjork and Brunner (2002) and Bjork, et al., (2005) reported that
Superintendents themselves agree there is a need to improve training programs, but
they also cite experience as the critical factor in their success as educational leaders.
Although non-traditional Superintendents who come from outside the K-12 arena
may have more political finesse and political skills, they are still challenged with
overcoming the same issues as their traditional counterparts. But it is important to
note that improved leadership alone cannot replace the need for reworking and even
69
re-conceptualizing district governance, preparation and support programs (Bjork, et
al.; Cambron-McCabe, et al., 2005). The conclusion of this research states that in
addition to improving the existing structures, effective Superintendents will need to
be committed to raising student achievement regardless of their background or
specific areas of expertise in their training.
Conclusion
The focus of this study is to gain a clear understanding of the specific reform
strategies utilized by Superintendents to improve student performance. The research
presented in this literature review, provides sobering information regarding student
performance in the United States as compared to other countries. It is clear from the
evidence that U.S. students are not performing at the same high levels as other
students around the globe and the achievement gap continues to specifically threaten
the future of minority youth. This review of the literature contributed to a greater
understanding of the dynamics of the role that local systems play in advancing and/or
hindering student achievement. The literature review makes evident that the
Superintendent is a key player in advancing student achievement while wearing
many hats as a manager, politician and instructional leader, yet they are often left
yearning for the knowledge and skills necessary to coherently and productively lead
large urban school systems. The existing research also indicates that through
adequate preparation Superintendents can lead to create sustainable learning
organizations that increase student learning.
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Beginning in 2002, the Urban School Leadership Institute has prepared and
secured Superintendent positions for traditional and non-traditional leaders in twenty
large urban school districts throughout the U.S. utilizing the ten strategies outlined in
the House Model (The Urban School Leadership Institute Website, 2007). This
Model incorporates the best known research-based reform strategies to be used as
tools by leaders in their quest to produce sustainable educational reform. Thus, these
Urban School Leadership Institute’s trained Superintendents have entered their
positions prepared to build relationships, tackle challenges and create new systems.
Through training and mentoring support they have gained a comprehensive
understanding of resource allocation, instructional alignment, organizational
effectiveness, and system governance, as well as the specific reform strategies have
proven to be essential in re-culturing school districts including but not are limited to:
(a) strategic plan, (b) assessment, (c) curriculum, (d) professional development, (e)
human resource system and human capital management, (f) finance and budget, (g)
communications,(h) governance/board relations, (i) labor relations/contract
negotiations and (j) family and community engagement which have been cited to
contribute to effective leadership and increased student achievement. The House
Model provided a conceptual framework for this study of reform strategies engaged
by Superintendents to improve student achievement in urban settings. The
methodology for the implementation of this model will be discussed in Chapter
Three and the discussion and analysis of the findings of this study will be presented
in Chapter Four.
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CHAPTER THREE
RESEARCH METHODOLOGY
This chapter describes the research methodology utilized in this study,
including the design, sample, instrumentation, data collection, and data analysis for
the study. The main purpose of this study is to gain insight on effective reform
strategies utilized by an urban Superintendent. In an effort to better prepare system
leaders and enhance the support system offered to Urban School Leadership Institute
graduates as they enter the role of Superintendent, the findings of this study support
the Urban School Leadership Institute in augmenting the preparation program for
urban Superintendents. The project specifically investigated the use of ten reform
strategies including: (a) assessment, (b) curriculum, (c) professional development,
(d) human resources system and human capital management, (e) finance and budget,
(f) communications, (g) governance and board relations, (h) labor relations/contract
negotiations, (i) family and community engagement and (j) the district’s strategic
plan which are outlined in the Urban School Leadership Institute’s House Model.
Such a model is a visual framework designed to assist the system leaders in
increasing student achievement to meet national, state and local achievement targets.
One Urban School Leadership Institute graduate was selected from the state
of California to participate in this research. The study explored the strategies that this
Superintendent employed upon entering the job and the impact of her leadership on
student performance during the beginning of her tenure as a system leader. This
research addressed connections between prior experience, selection, preparation, job
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duties and performance of the Superintendent as a system leader. This analytical
case-study analysis examined the following research question accompanied by four
sub-questions which provided the framework and guided the study:
1. How are the ten key reform strategies being used by large urban school
Superintendents to improve student achievement in his or her respective
district?
a) How does the quality and implementation of ten key reform
strategies correspond to the strengths and challenges of the district
when the Superintendent took office?
b) What additional reform strategies (if any) were used? How do
they correspond to the elements of the House Model?
c) How does the choice and implementation of the ten key reform
strategies correspond to the previous background/experiences of
the Superintendent?
Study Design
A holistic qualitative research method was utilized in this study, and was
intended for the researcher as a means to acquire a comprehensive picture of the
Superintendent’s actions in relation to student achievement. It was determined that
the analytical case study model was the most appropriate method for this research as
it involved an in-depth study of instances of the phenomenon of “reform strategies”
employed by system leaders in relation to improved student achievement. The
research occurred in the “real life setting” of an urban school district in Southern
73
California. The information gathered through in-depth interviews was from the
personal perspective of an urban Superintendent and other key players in their
respective districts (Gall, Gall & Borg, 2007).
As with this study, researchers suggest the case study approach may be
exercised when focusing on a small sample in order to gain a wealth of information
about a specific subject (Patton, 2002; & Gall, et al. 2007). Case studies have also
proven to be a useful option when the unit of analysis is a bounded system and
particularly effective when investigating processes (Merriam, 1998). The unit of
analysis in this study was a female Superintendent in her respective district and the
process under investigation was how a system leader makes use of reform strategies
to improve student achievement. Patton (2002) suggests that the context sensitive
case study method will equip the researcher to develop a comprehensive
understanding of the situation, events, people interactions and observed behaviors. A
case study approach provided the best avenue to develop and establish a rich
description of each reform strategy under study (Patton, 2002).
This researcher employed multiple methods, and used a variety of interview
instruments to collect data to examine how the Superintendent utilized the ten reform
strategies in her role as a system leader to improve student achievement. This multi-
perspective methodology was designed to allow the researcher to better understand
the context and degree to which a Superintendent utilizes specific reform strategies
to make decisions, thus allowing the researcher to conduct a formative evaluation in
order to improve the practice of leadership and preparation programs for
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Superintendents (Gall, Gall et al., 2007, p. 246). The design was intended to produce
qualitative data that measured the impact of the reform strategies employed by the
Superintendent in her individual district to provide a means to measure the
relationship between Superintendent action and student achievement. This design
allowed the researcher to compare the relationship between Superintendent actions
and student achievement as well as measure the differences and similarities in the
utilization of reform strategies in her role as a leader. The data collected in this study
analyzed the strengths, challenges and strategies a system leader utilized in her role
as a Superintendent of large urban school system based on the planned research
questions.
It must also be noted that the researcher considered the limitations of the case
study approach such as time constraints, investigator bias, and issues related to
reliability, validity, and generalizability. In addition, the case study did not utilize
randomization, thus making it difficult to replicate elsewhere, and was also
dependent upon subjective interpretation to validate results (Merriam, 1998). This
particular case was bound by constraints of both time and processes as the researcher
was limited to two days and only able to interview two key players and ten small
groups of personnel selected by the Superintendent. To prevent the effects of these
limitations, this study utilized triangulation of multiple data which included using
interview data, documents provided by the participants, and state achievement data.
One large urban school district Superintendent was purposefully selected for this
study in order to provide an opportunity for an in-depth, information rich case study
75
which will provide great insight into the actions taken by a particular Urban School
Leadership Institute graduate Superintendent to raise student achievement.
Pilot Study
The Urban School Leadership Foundation has been innovative in creating an
academy to promote leadership skills and develop successful urban Superintendents.
The Urban School Leadership Institute Superintendents Academy is a nationally
recognized, ten-month program designed to prepare Superintendents to lead urban
public school systems. Gifted leaders from a variety of arenas such as business,
government, the military, and education, apply to attend weekend sessions at the
academy to learn new sets of skills and refine their knowledge in the areas of
finance, management, operations, organizational systems and education. For the
most part, upon completion of the year-long program the graduates are placed into
Superintendent or cabinet-level positions within 18 months (Urban School
Leadership Foundation, 2008).
In 2007, an exploratory evaluation study “Phase I Urban School Leadership
Study” was conducted by University of Southern California Professors, Dr. David
Marsh, Dr. Rudy Castruita, and Broad staff, Dr. Jen Takata and served as the basis
for this study. The purpose of Phase I was to investigate two districts identified by
the Urban School Leadership Institute with strong quantitative results in order to
understand the reform strategies that were implemented by two Urban School
Leadership Institute Superintendents (graduates of the Urban School Leadership
Institute) to improve student achievement in their respective districts. Additionally,
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the original project team sought to clarify the ways in which the Urban School
Leadership Institute Program helped to prepare the Superintendents for their
leadership positions. The team investigated strategies utilized by Superintendents
outlined in the curriculum and presented in the House Model. This curriculum is
designed to help leaders improve student achievement in urban public schools
through enhanced governance and restructuring of management, labor relations and
healthy competition (The Broad Center, 2007).
The exploratory research team offered preliminary findings and suggestions
to largely improve the Urban School Leadership Institute’s urban Superintendent
preparation program and to increase support for beginning Superintendents (Takata,
et al., 2007). The findings from the Urban School Leadership Institute Phase I work
laid the foundation for this study and the research team recommended the following
for future research:
(a) cross-site comparison of eight to ten Urban School Leadership Institute’s
graduates to confirm and extend the tentative findings from this study (b)
extended data collection including observations of a board meeting and/or
classrooms, (c) evaluation of degree of implementation (high, medium, low)
of various House Elements using rubrics (d) evaluation of district documents
(entry plan, strategic plan, etc.) using rubrics, (e) interview current Urban
School Leadership Institute participants to identify current gaps in curriculum
and training as well as potential, future coaching needs, etc. (f) analysis of
case studies and other Urban School Leadership Institute materials that would
determine alignment between teaching tools and elements of the House
Model. (p.24)

This led into the current work which called for additional information on ten specific
reform strategies and provided a cohort of ten doctoral students an opportunity to
contribute additional findings from their research to a larger scale study. The data
77
from the ten additional individual case study reports will be part of a Meta-analysis
study to be completed by leading professors at the University Of Southern
California, Rossier School of Education.
Sample and Population
The sample case included one female urban school Superintendent and her
particular urban school district. Purposeful criterion sampling was employed in this
research to allow for an information-rich case study, which provided insight into the
strategies, strengths and challenges the Superintendent faced when attempting to
raise student achievement. The sampling method allowed the researcher to
extensively study the Superintendent’s choice of reform strategies in her beginning
phase in the role and understand how the district context and the Superintendent’s
background/experience contributed to the selection and use of particular reform
strategies. It was noted by Patton (2003) that “the validity, meaningfulness, and
insights generated from qualitative inquiry have more to do with information
richness of the cases selected and the observational analytic capabilities of the
researcher than with sample size” (p. 243). This study focused on gathering in-depth
rich information through a small sample and thorough interviews as opposed to a
large sample and gathering a breath of information.
Selection Criteria
The researcher focused on analyzing strengths, challenges and strategies
regarding ten specific reform strategies from the Superintendent that met the
selection criteria outlined by the Urban School Leadership Foundation. The sampling
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criteria for this research were developed by the Urban School Leadership Foundation
staff with input from University Of Southern California professors David Marsh and
Rudy Castruita. The urban Superintendent selected for this study by using the
criterion sampling were informed that participants would remain an anonymous
district in this case study met the following specific set of criteria as determined by
the University Of Southern California professors and the Urban School Leadership
Institute. The district under study was selected based on the following criteria:
1) The district must be identified from the largest 125 school systems in the
United States;
2) The Superintendent must have been in office since 2006, or earlier;
3) The Superintendent must have graduated from the Urban School
Leadership Institute.
Setting and Participants
The Fair City Public School District is located in Southern California, serving
a diverse student population of 32,000 during the 2006 – 2007 school year. The Fair
City Public School District serves a diverse community made up of students
attending preschool through adult programs. The demographics of the student
population include 79.7% Hispanic, 7.4% African-American, 6.4% White, 6.4%
Multi-Racial students of whom approximately 43.7% of the students are designated
as English learners.
There are many challenging academic and social needs that must be
addressed in order to foster student achievement at the Fair City Public School
79
District. The District’s community contends with high levels of generational poverty,
the need for formal education, unemployment, homelessness and mobility.
Approximately 73.5% of the students are considered to be economically
disadvantaged and participate in the free and reduced breakfast and lunch programs.
The district provides access to a myriad of social services to address the
communities’ needs in the areas of academics, social emotional and health services.
According to the mission statement the district “provides a well-rounded and
challenging educational program of the highest quality, empowering students to lead
productive, fulfilling lives as lifelong learners. Supported on a foundation of integrity
and respect, students will gain academic excellence and take personal and
community pride as responsible citizens and productive participants in a diverse
society and global economy.” The district’s vision is “a world-class education
system committed to:
Respect, where all students, parents, staff, and community members are
valued partners;
Responsibility, where everyone is accountable for what they say and do; and
Results, which reflect a high level of student achievement, include a
comprehensive curriculum that spans the spectrum from special education to gifted
and talented education.” (Fair City Public School District’s Website, 2008)
The study took place in an urban school district located in a Southern
California community. The Superintendent was identified by the Urban School
Leadership Foundation staff and agreed to participate in the study, the
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Superintendent identified her key players and other staff from her respective district.
These two key players were purposefully selected to take part in unobtrusive
interviews regarding the strengths, challenges and strategies utilized by the
Superintendents in the district. These key individuals invited other district personnel
with significant backgrounds and information to provide input on the impact of the
Superintendents’ choice of reform strategies on the culture and success of their
district. The participants verified the information presented by the Superintendent
and provided additional information from a different perspective related to the
identified research questions. The Professors assigned a student from the thematic
cohort to go into the field with a Professor and investigate the identified school
district and the Superintendent and other participants meeting the criteria
requirement outlined by the Urban School Leadership Foundation staff.
Instrumentation
The interview instrumentation utilized in this study was developed and
refined by a cohort of ten doctoral candidates working collaboratively in a thematic
research team under the direction of University of Southern California Professors,
Dr. David Marsh and Dr. Rudy Castruita. The cohort referenced the unpublished
Phase I study to serve as a resource for Phase II to link the research question and
three sub-questions to the data needs; data sources and required instrumentation for
the study. The group met during the spring of 2008 and agreed upon a compilation of
instruments for the purpose of collecting data on the quality and implementation of
the ten reform strategies defined by the Urban School Leadership Foundation. The
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cohort adapted the research questions from Phase I Urban School Leadership
Institute Study, developed ten rubrics for the analysis of quality and implementation
for each of the ten reform strategies and refined and developed three interview
guides to collect responses to the main research question and three sub-questions.
Conceptual Framework
The cohort adopted the House Model to serve as the conceptual framework
for the basis of study. The House Model is a framework based on research that
outlines strategic actions (reform strategies) and serves as the conceptual framework
for the main question and three sub-questions in the study. The framework is
structured by utilizing the concept of rooms that represent different areas such as the
strategic plan, instructional alignment, operational excellence, and stakeholder
connections and satisfaction. The model was developed by the Urban School
Leadership Institute staff to provide a visual representation of many different
comprehensive strategies that are aligned to the strengths and challenges faced by
new Superintendents in urban leadership roles (see Figure 5).
The Urban School Leadership Institute staff met with the thematic
dissertation group to assist the cohort in understanding the model prior to the group
developing interview guides and quality and implementation rubrics for ten key
components of the House Model. The group agreed to utilize a three point 3 point
Likert scale, high, medium and low for each of the ten reform strategies. The Reform
Strategies Definition Chart outlines the meaning of ten reform strategies as defined
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by the Urban School Leadership Institute in the conceptual framework, the House
Model (see Table 2).

Figure 5: The Urban School Leadership Institute House Model

Instructional Alignment
• Standards
• Assessment
• Curriculum
• Instruction
• Professional
Development
• Program Effectiveness
• Focus on Lowest
Performers
• Student Support Services

Operational Excellence
• Human Resources
System and Human
Capital Management
• Finance & Budget
• Resource Alignment
• Facilities
• Performance Management
Systems / Accountability
Plan
• Business Systems
• Other Operations Services
Stakeholder Management
• Communications
• Governance / Board
Relations
• Labor Relations /
Contract Negotiations
• Political Relationships
• Philanthropic and
Institutional Partnerships
• Family & Community
Engagement
• Constituent Service
Superintendent’s Plan of Entry
Sustainability
Increasing Student Achievement
Closing Achievement Gaps
Improving College Readiness

Organizational Assessment
and Audits
Strategic Plan
• Theory of Action
• Data Dashboard
Organizational & Management
Structure
• Leadership Team
Effectiveness
- Assessment of
Leadership Team
- Standards of practice /
Protocols
• Organizational Chart
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Table 2: Reform Strategies Definition Chart ten reform strategies as defined in
House Model implemented by Superintendents

Strategy Room Reform
strategies
Definitions
Foundational
Elements
Strategic
Plan
The strategic plan defines the district’s mission, goals,
and vision. It also assigns performance indicators and
work plans to each of the district’s primary goals and
serves as the guiding document for district decisions and
priorities.
Systemic
Improvement
Instructional
Alignment
Assessment Assessment activities enable districts to know whether
students are learning what they are supposed to learn
(i.e., the standards). Common, regularly-scheduled
district-wide assessments should connect directly with
standards, the curriculum, pacing guides, and
professional development.
Curriculum Curriculum refers to the materials used to teach.
Classroom materials—textbooks, worksheets, pacing
guides, etc.—should address the scope and sequence of
the district’s learning standards.
Professional
Development
Professional development is any program or course
intended to improve teachers’ and principals’
effectiveness. It may center on content (e.g., teaching
about force in physics), instructional techniques (e.g.,
Cornell note-taking), leadership (e.g., a workshop for
principals and assistant principals), or habits (e.g.,
collaboration among teachers in the same grade-
level/subject matter). In many districts, professional
development topics are arbitrarily chosen. Successful
districts have an integrated professional development
strategy that centers on enabling teachers to detect when
students aren’t meeting a certain standard and to adjust
their instruction accordingly, or enables principals and
teachers to improve their knowledge and skills in areas
of district focus.
Operational
Excellence
Human
Resources
System and
Human Capital
Management
Research indicates that teacher quality is perhaps the
primary influence on student achievement, yet many
districts do a poor job of attracting, selecting, and
managing talent, whether at the teacher, principal, or
central office level. Improving the recruiting and hiring
processes for teachers and principals, developing
attractive compensation packages, and processing
applications and payments quickly—which a good HR
system should be able to do—can greatly improve the
quality of instruction in schools and classrooms across
the district. Districts then need to develop clever support
and retention strategies to keep talent in the district.
Most importantly, districts can proactively improve their
capacity for providing a quality education by examining
and refining their selection process.
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Table 2, continued

Finance and
Budget
While student achievement is the ultimate bottom line,
more Superintendents are fired for poor financial
management than for poor student achievement results. In
addition to ensuring that their budget is balanced and
sustainable, Superintendents should closely align their
budget with instructional priorities. Some districts have
adopted innovative budgeting approaches such as “zero-
based budgeting” and weighted student funding to bring
their budgets into closer alignment with their priorities.
Stakeholder
Management
Communications Effective school districts need to showcase the great
stories in their district and to counteract misinformation or
negative news. Developing a public relations or
communications office staffed with experts on dealing
with the media can enable the district to communicate its
vision to the public or proactively build support for an
important initiative.
Governance/
Board Relations
Most districts are governed by boards elected from the
local population; others answer to appointed boards.
School boards are responsible for setting the policy
direction for the district; Superintendents can take a
supporting role in developing policy but are mainly
charged with executing it. Winning the support of board
members, especially elected ones, is a time-consuming but
critical task for most Superintendents.
Labor Relations
/Contract
Negotiations
Teachers unions, Superintendents often need to build
relationships and negotiate with several other unions to
which various district staff personnel belong. Success in
working with unions requires an upfront investment in
building relationships and understanding the priorities of
union leaders. The content of contracts also requires close
attention. Contract language can restrict or expand the
Superintendent’s options for replacing and reassigning
staff. This is particularly crucial with teacher contracts, as
teacher quality is one of the most significant influences on
student achievement.
Family and
Community
Engagement
All residents of a school district’s jurisdiction can be
considered its stakeholders, so ensuring everyone’s
satisfaction can be difficult. Districts should offer several
ways for the community and families to interact with the
district, from coordinating volunteer opportunities for
parents to partnering with local organizations in support of
student success. It is also important to gather feedback
from the public on the district’s performance. Several
districts take surveys of parents of children and of the
community in general to determine how they view the
district and what their priorities for improvement are.
These surveys should be closely linked to the district’s
performance management system and data dashboard.
Increasing stakeholder satisfaction can lead to greater
support for bond measures for the district, significantly
increasing its financial resources.
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The reform strategies in the model are designed to encompass concepts
captured in current research such as “School District Leadership that Works: The
Effect of Superintendent Leadership on Student Achievement,” by Waters and
Marzano (2006) and “School Leadership that Works” by Marzano, Waters and
McNulty (2005). The authors have compiled a wealth of literature and research that
has been gathered for several years to delineate 21 school site leadership
responsibilities and five district-level leadership responsibilities that have a
significant relationship with student achievement. The House Model framework was
used to reveal how Superintendents perceived and utilized the ten specific levers of
the House Model to initiate and sustain change. The House Model allowed the
researcher to create word pictures to answer the research question(s) and to
understand the strengths, challenges and strategies Superintendents utilized from the
different elements of the House Model in their reform efforts. Research also
supported the need to consider the quality and degree of implementation of the
reform strategies.
In addition to the adoption of the conceptual framework, the thematic cohort
group developed rubrics based on current research for each of the ten identified
reform strategies to be incorporated in the interview guides and assist in the analysis
of the data (see Appendix D & E). The rubrics assisted the researcher in correlating
the elements of the House Model with the effect of specific reform strategies.
A ten-member research team collaboratively developed the instruments
utilized in the study. Each team member was an Ed.D. candidate at the University of
86
Southern California attending classes together in 2008 under the guidance of Dr.
David Marsh and Dr. Rudy Castruita. The research team created a literature map and
conducted an extensive review of the literature; consequently, the five areas of
current research included: (a) student achievement and school accountability; (b) the
role of the district in raising student achievement; (c) the role of system leaders and
influence on academic performance; (d) start-up and strategic planning implemented
by system leaders to improve student learning and (f) training and preparation of
urban school Superintendents. This work led to the development of (1) the research
questions and designing the instruments for data collection and (2) the purpose of the
study.
Specific Interview Guides
The instrumentation tasks were equally assigned to small group of students
within the thematic cohort. To ensure standardization across researchers a small
group students in the cohort worked together to refine the Superintendent Interview
and Key Player Interview Guides. The Superintendent Interview and Key Player
Interview Guides served as open-ended interview guides in the study and were field
tested in the Phase I Urban School Leadership Study to be adapted for use in this
current research project. Another small group used the individual reform strategy
rubrics to develop the Specific Dimensions of Reform: Interview Guide.
For example, the Superintendent’s Interview Guide is related to Research
Question 1 “How are the ten key reform strategies being used by the Urban School
Leadership Institute Superintendents to improve student achievement in their
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respective districts?” The guide probes the Superintendent to respond to the
challenges, strengths and weaknesses the Superintendent encountered upon entering
the district. The cohort’s in-depth instruments for Phase II Urban School Leadership
Institute Study included: a) Superintendent Interview Guide, b) Key Player Interview
Guide and c) Specific Dimensions of Reform Interview Guide. Table 3 illustrates the
relationships between the research questions and the data collection instruments.

Table 3: Relationship of Research Questions to Data Collection Instruments

RQ:
10 Key
Levers
RQ 1a:
Factors
Context
RQ 1b:
Additional
Strategies
RQ 1c:
Background/
Experiences
Superintendent Interview Guide X X X X
Key Player Interview Guide X X X
Specific Dimensions of Reform
Interview Guide
X X

Data Collection
In a qualitative study, it is the job of the researcher to gather information to
create mental images and tell the story. As described by Creswell (1998) qualitative
research is a field based inquiry process in which data is collected as words and
pictures and the researcher strives to construct a complex picture and tell a story
through the perspectives of others gathered in detailed interviews and observations
(p. 63 & p. 186). In this study, the researcher designed the interview protocols to
include questions to discover the strengths, challenges and the district reform
strategies used by the Superintendent to position the district for improving student
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achievement. The researcher probed further to find out information about the
Superintendent’s personal reflections on the use of the ten specific reform strategies.
The data collection instruments assisted the team in interviewing the Superintendent
and key players to assess the connections between student achievement and the
reform strategies implemented by the district Superintendent. Each of the following
interview instruments described below were used to organize the wealth of
qualitative data prior to the analysis of research questions.
Instrument 1: Superintendent Interview Guide was designed to explore the
strategies used by the Superintendent for improving student achievement (see
Appendix A). A sample question and sub-question follows:
What was the overall status of the district when you assumed your position as
Superintendent?
• What were the major strengths of the district? (ask for 3 most salient
strengths)
Instrument 2: Key Player Interview Guide the purpose of the key player
interviews was to confirm information provided by the Superintendent with respect
to district reform strategies (see Appendix B). A sample question and sub-question
follows:
What was the overall status of the district when the Superintendent arrived
(or when key player arrived, if after Superintendent)?
• What were the major strengths of the district? (ask for 3 most salient
strengths)
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Instrument 3: Specific Dimensions of Reform Interview Guide was a tool
utilized to investigate the Superintendent’s reflections on her use of reform strategies
to positively impact student achievement and achieve overall success (see Appendix
C). Some sample of questions follow:
What is your district currently doing with regard (to this reform strategy)?
What has been the Superintendent’s specific strategies regarding this reform
strategy?
Finally, the researcher also collected key documents, such as the
Superintendent’s Entry Plan, the district’s strategic plan, and any other important
district documents as mentioned by the Superintendent or other key players during
interviews.
Institutional Review Board
The Institutional Review Board (IRB) committee reviews research proposals
for use of ethical standards in research and to ensure that results benefit to society.
The University of Southern California Institutional Review Board committee is
responsible for approving all research projects conducted by the University of
Southern California students and staff. The Institutional Review Board requires
students and faculty to submit detailed descriptions of the scope, the information
regarding sampling and population and methodology to be employed in research. For
consistency of the data collection and methodology in the study, the cohort decided
to submit one Institutional Review Board package for the group. A small committee
was formed within the cohort to investigate the steps for Institutional Review Board
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approval and supported the cohort throughout the Institutional Review Board
process. After completing an extensive application, the group received notification
from the University of Southern California Institutional Review Board which
indicated that the study was approved.
The cohort began the data collection after receiving approval from the
University of Southern California’s Institutional Review Board. The cohort’s data
collection occurred over a two-month period between June and July of 2008 at
assigned district sites. Members of the cohort collected data from multiple sources
during on-site visits in an effort to ensure depth and richness for each of the
qualitative data findings (Patton, 2003). The two-person teams consisted of one
student and were led by a University of Southern California Professor. The
University of Southern California Professor made the initial contact by telephone and
arranged for the on-site visits. Prior to arriving at the sites, the interview team
followed Creswell’s (1998) steps for interviewing: (a) identified participants based
on purposeful sampling procedures; (b) determined the type of interview helpful for
answering the questions; (c) determined the use of recording actions; (d) designed
the interview guides; (e) determined the setting for interviewing; (f) obtained consent
from the interviewees and followed the questions, worked within the timeframe in a
polite fashion.
The Superintendent received documentation relating to the site visits, prior to
the arrival of the research team and was allowed the freedom to identify study
participants, including two key leaders who were present when the transition took
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place and held roles in implementing change. The district leader also was asked to
identify and provide access to other individuals who held roles in implementing
policies related to the ten key reform strategies. These individuals included cabinet
members and other district staff that agreed to participate in the study.
The site visit for this study was conducted in June 2008, over a two-day
period during which time on-site data collection was facilitated by the research teams
of two members. A matrix that outlines the data collection activities can be found in
Table 4 below.

Table 4: Data Collection Activities

Day One Day Two
Morning • Superintendent Interview (1 hour)
• Key Player Interview (1 hour)
• Key Player Interview (1 hour)
(all these interviews done by the
two data collectors together to
build common understanding)
• Five Reform Strategy- Specific
Small Group Interviews
(60 minutes each)
(Completed by one or two of the
data collectors)
Afternoon • Five Reform Strategy-Specific
Small Group Interviews
(60 minutes interviews completed
by one or two of the data
collectors)
• Superintendent Interview (1 hour)
(Interview focused on the
background and experience of
Superintendent and obtained
missing information from Day
One)
Evening • Two data collectors met to
debrief, make initial ratings, and
identify missing information for
day two.
• Data collection team continued to
formulate initial ratings and begin
synthesizing ideas for the study.
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The research team at each site included at least one University of Southern California
Professor and at least one University of Southern California doctoral student. With
permission, digital audio recordings were made of all interviews and detailed field
notes were taken by the researchers.
Semi-structured interviews and document review, took place over two days;
on-site, follow-up interviews were conducted as necessary to ensure data collection
was comprehensive and complete. The interviews were held at the district office and
lasted approximately 60 minutes. Each interview was recorded and transcribed at a
later time. The morning of day one consisted of interviewing the Superintendent and
key players, separately, for one hour. In the afternoon of day one and the morning of
day two, the team conducted ten small group interviews on the specific reform
strategies consisting of small groups for approximately 60 minutes. The small groups
shared key artifacts and documents with the researcher at the conclusion of the
interviews. A follow-up interview was conducted with the Superintendent at the end
of day two. In addition, follow-up phone calls were made to the Superintendent to
clarify unanswered questions not covered in the face to face interviews.
Following the interviews each day, the researchers debriefed their
experiences in order to begin preliminary analysis of the data. The researchers
gathered data from each of the site visits to exchange notes from the different
interviews and began coding the data according to themes outlined in the research
questions. The qualitative data gathered during the case study were obtained from the
Superintendent, the district’s two key players and individuals that participated in
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small group interviews. Some of the data regarding district statistics and student
achievement were obtained from the Urban School Leadership Foundation. A
number of collaborative meetings were also conducted with the cohort group to
support one another and facilitate the drafting of the research reports and cross-
comparisons of the groups’ data.
The integrity of findings was enhanced via triangulation of findings, which
began with an examination of student achievement data, followed by a thorough
review of relevant documents, concluded by tape recorded interviews. Patton (2003)
inferred that the goal of triangulation is not to yield the exact same results from all
the sources but, to test for consistency, as different types of data may, to some extent,
generate different results because different types of inquiry are subject to real-life
situations and slight differences. The triangulation of data presents the lessons
learned by the Superintendents on how they utilized different reform strategies to
become effective system leaders. Pseudonyms were used to ensure anonymity for the
individuals and Districts that participated in the study, all data is real and factual.
Data Analysis
The data collected was examined in regards to the main research questions
with four sub-questions embedded within the question. The purpose of the sub-
questions was to address the main issue and the complexities to be resolved in the
study (Creswell, 1998). In the analysis phase, the researcher followed the six step
process as outlined by Creswell (1998) which included: (a) organizing and preparing
data, (b) carefully reading and studying the data, (c) designing a detailed analysis of
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the information with coding, (d) generating a description of the findings by themes,
(e) representing the descriptions in a narrative and visuals, and (f) analysis- making
meaning of the data. The rubrics guided the team through a careful review of the data
and pertinent information.
In the final phase of this process, the researcher was able to create a story that
was twofold: first it explained why urban school Superintendents chose specific
reform strategies to increase student achievement and secondly the researcher was
able to gain an understanding of the relationship between the levers selected by
Superintendents and their professional experiences while training.
Validity and Reliability
Threats to validity were minimized as the data was collected through multiple
sources. The triangulation of data through the use of oral interviews, document
review and assessment data strengthened the internal validity of the findings and
reduced the risk of chance. Creswell (1998) presents validity as strength of
qualitative research in relationship to determine if the findings are accurate from the
point of view of the researcher and participant(s). The overall generalization of
findings is limited to the study of the district, although findings may be used to
inform leaders and policy makers of practices that have proven successful in these
leadership contexts. The instruments proved to be reliable across settings and
researchers in the cohort. This study is part of a larger project conducted by
prominent University of Southern California professors and will provide a deeper
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understanding of leadership skills needed to foster change and improve student
achievement.
Summary
This chapter outlines the research methodology used in the study. Included in
this chapter was a comprehensive presentation of the research questions, the
conceptual framework, the House Model and a detailed description of the
instrumentation utilized to collect data, participants in the study and procedures for
data analysis. The findings of this case study will be presented in the following
chapter. The findings will discuss the strengths and challenges encountered by an
urban Superintendent with unique training working in an urban setting. An analysis
of the choice of reform strategies and the implementation of reform strategies
utilized by a Superintendent that resulted in improved student achievement is
discussed. Additionally, the research team analyzed the Urban School Leadership
Institute preparation of the Superintendents for their leadership the relationship and
use of the ten specific reform strategies. The researcher evaluated and reported on
the degree and quality of the implementation of the House Model Elements with
particular focus on the ten specific reform strategies. This information should serve
as a catalyst to improve preparation and support networks for new urban
Superintendents.
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CHAPTER FOUR
FINDINGS, ANALYSIS, AND DISCUSSION
In large urban districts across the United States, student performance falls
short of national targets and national averages, consequently, academic achievement
of students is in need of wide scale improvements and districts are under tremendous
pressure to improve student achievement. Historically, research in education
administration and programs for administrators (aspects of the broader field of
education, which could significantly affect student achievement) has been limited in
scope and depth. This chapter is an attempt to bridge some of that gap in the field
literature, and represents the findings from the case study of an Urban School
Leadership Institute Superintendent graduate, who was attempting to improve
student achievement in an urban educational setting by implementing particular
reform strategies, which had been substantiated by research in terms of achieving
school success.
The purpose of this study was to examine the quality and degree of
implementation of the ten key reform strategies. As described earlier, the Urban
School Leadership Institute’s House Model, founded research-based strategies, and
served as the conceptual framework for this study, outlining the ten reform strategies
that data was collected from. The House Model utilizes the concept of rooms, which
include Strategic Plan, Instructional Alignment, Operational Excellence, and
Stakeholder Connections and Satisfaction.
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This project investigated the entry of one Superintendent leading a large
urban school district in order to understand how she assessed the strengths and
weaknesses of the district at the time she arrived and the reform strategies that have
been implemented by this Superintendent and the subsequent impact of those
strategies on student achievement (see Figure 6).

Figure 6: Cycle of Change

Source: Urban Institute Report Takata, Marsh and Castruita (2007).

Through interviews, the case study methodology allowed the researcher to
investigate the connections between selection, training, preparation, job
responsibilities and performance of the Superintendent as a system leader.
Furthermore, the researcher investigated the connections between professional
background training and preparation of the Superintendent, the geographic location
Analysis of
Strengths and
Challenges in
the District
Selection and
Implementation
of Reform
Strategies
Gains in
Student
Achievement
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of the district, the Urban School Leadership Institute’s Theory of Action, to assess
the overall performance of the Superintendent as a system leader.
The investigator of this specific study was part of a collaborative cohort
group comprised of a team of eleven University of Southern California researchers
utilizing the same protocols, rubrics and procedures to study ten urban districts
across the nation. For this study, two researchers collected data which utilized the
following five instruments: (1) Superintendent Interview Guide (Appendix A); (2)
Key player Interview Guide (Appendix B); (3) Specific Dimensions of Reform
Interview Guide (Appendix C); (4) Quality Rubric (Appendix D); and, (5)
Implementation Rubric (Appendix E). The data collected in the study was primarily
comprised of interviews with the Superintendent, two key players, ten small groups
made up of other district leaders and the district’s supporting documents listed in
(Appendix F). In addition, quantitative reports from the California Department of
Education, other State and local web sites, the Fair City Office of Assessment and
the Urban School Leadership Foundation were included in the analysis. Aligned with
the requirements for qualitative data analysis, these multiple sources of information
allowed the researcher to utilize the process of triangulation to strengthen the
reliability and validity of the findings (Patton, 2002; Miles & Huberman, 1994;
Merriam, 1998 & Creswell, 1998).
A two-person research team conducted 14 interviews. The interview
questions were intended to bring forth responses directly related to the research
questions regarding the ten reform strategies. The questions posed to the
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Superintendent and the two key players centered around the overall status of the
District when the Superintendent arrived, the academic profile of the District, the
strengths and challenges inherent to the District and the overall reform strategies
implemented by the Superintendent. The questions presented to the small groups
focused on the District’s prior and current approach to improvement, the
Superintendent’s strategies and specific role in the district, linkages of those reform
efforts to improve student achievement, strengths and challenges of those reform
efforts and the level of implementation of each of the ten areas of reform. The exit
interview with the Superintendent assisted the researcher in drawing conclusions on
how the Superintendent’s previous background experience was related to the choice
of reform strategies she implemented to improve student achievement. The focus of
the interview questions was to examine what actions the Urban School Leadership
Institute Superintendent has taken to improve student achievement, and specifically,
to understand the impact of the ten identified reform strategies on academic
achievement and the consequent student outcomes.
Data was collected in June 2008 using the research instruments described in
detail in Chapter Three. The group worked together in collaborative sessions
including a series of data analysis meetings in July/August to discuss and calibrate
our respective findings. As outlined in detail in Chapter Three, the Fair City Public
School District was selected for this research as it met the purposeful sampling
criteria determined by leadership and agreed upon by the cohort: (a) The district
must be identified from the largest 125 school systems in the United States; (b) The
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Superintendent must have been in office since 2006, or earlier; (c) The
Superintendent must have graduated from the Urban School Leadership Institute.
The following sections are dedicated to the particular findings, analysis and
discussion of the data in this study.
Findings
The District Background Characteristics and Description
In gathering data to be able to describe and contextualize the district, the
researcher reviewed District artifacts, internet resources and the Urban School
Leadership Foundation’s Student Achievement Analyses Report 2006/07. Fair City
Public School District is a large urban school District located in Southern California
serving a diverse population of approximately 32,000 students in grades pre-K
through adult. The majority of the students who attend school in Fair City are
minority students. The student demographics are composed of 79.7% Hispanic,
7.4%, African American, 6.4% White and 6.4% Multi-Racial children and 43.7%
designated as English learners. Over 73.5% of the families in the District are
designated as educationally disadvantaged as measured by the free and reduced
lunch count with a myriad of social challenges (see Table 5).

Table 5: District Demographics

District Size White Black Hispanic Other Free and
Reduced Lunch
33,294 6.4% 7.4% 79.7% 6.4% 73.5%

Comments: Fair City Public School District is a large urban school District located in Southern
California serving a diverse population of approximately 32,000 students in grades pre-K through
adult.
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Although 69% of the community members graduate from high school, only
22.7% take advantage of higher education opportunities and graduate from college.
One out of every five applicants that is hired into the Fair City Educational system is
a former student of Fair City Public School District. Over 62% of the teaching
population comes from diverse multi-cultural backgrounds reflecting the
composition of the community. The District is recognized as the largest city
employer, providing job opportunities for approximately 3,000 community members.
Superintendent Soldado reported, as with many neighboring districts, Fair City
Public School District will be faced with tough budget decisions as a result of
declining enrollment.
The Superintendent’s Background
The information regarding the Superintendent’s background was gathered
from the entry and exit interviews, staff interviews and artifacts that are within the
domain of public documents, such as news articles and demographic and data
reports. According to published data, Dr. Soldado was appointed Superintendent in
the Fair City Public School District in July, 2006, returning as an urban reform
leader with the Stupski Foundation. She has over 25 years of extensive experience in
the field of education as she began her career as a bilingual teacher, was promoted to
the administrative ranks of middle-school assistant principal, elementary school
principal, director of instruction, assistant Superintendent and deputy Superintendent
in Southern California’s public schools. Dr. Soldado achieved her goal of becoming
an urban Superintendent on the traditional K-12 educational pathway. She has
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proven to be a life-long learner as she participated in the California Association of
Latino Superintendent and Administrators (CALSA) Mentoring Program. As the
newly appointed Superintendent, Dr. Soldado was excited to have the opportunity to
build upon the instructional foundation that she had developed in the District during
her tenure as the Fair City Public School District’s Chief Academic Officer.
The District at the Time the Superintendent Arrived
Individual interviews with the Superintendent, professional development
consultant and the Springboard coach revealed the perceived strengths and
challenges of the District at the time Dr. Soldado was appointed to the
Superintendency at Fair City Public School District (FCPSD). These strengths and
challenges are described in some detail below, and help paint a picture of the district
at the time of the Superintendent’s arrival.
Major Strengths
Fair City Public School District is demographically diverse with a strong
sense of identity serving the City of Fair City and a portion of Jewel City. Many of
the employees in Fair City have an investment in the community since they live in
the area and have developed their careers in the Fair City Public School District
which has promoted a strong allegiance to the District among the stakeholders. As
outlined in the annual budget report and affirmed by the Assistant Superintendent of
Fiscal, Fair City Public School District has plenty of fiscal resources, as the District
is a recipient of large sums of categorical dollars and many grants. The historical
focus on real-estate acquisition has led to fiscal solvency and the development of
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pockets of innovative technology that have assisted in the development of the
technology infrastructure to be used for data-driven instruction.
Throughout the interview process, it became apparent that the District had
some dedicated and talented principals and teachers at the time when Dr. Soldado
was appointed to her office. Based on her prior leadership experience in Fair City,
Dr. Soldado was aware that the District had many pieces of the instructional program
in place; but organizational fragmentation, lack of a clear vision for the District, and
a lack of accountability have prevented the staff from helping all children to reach
their goals as presented in Table 6 which corresponds to the main strengths of the
District to the House Elements.

Table 6: Strengths in Fair City Public Schools upon Arrival

Key strengths House Element
1. Fair City Public School District has a
sense of community and identity
Stakeholder Management: Political
Relationships/ Labor Relations / Contract
Negotiations
2. Peaceful labor relations Stakeholder Management: Labor Relations
/ Contract Negotiations
3. Some dedicated and talented personnel Operational Excellence: HR Systems and
Human Capital Management
4. Financial stability and sound revenues;
significant amount of property is owned by
the District
Operational Excellence: Finance and
Budget

These strengths focused on fiscal solvency and covered the dimensions of
community, human capital and labor relations. The strengths displayed in the table
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above had been institutionalized in the district for several years. It was the goal of
Dr. Soldado to capitalize upon the district’s strengths and improve student
performance. The Superintendent reported Fair City was known for technology and
a lot of property and stated, “But the focus wasn’t instruction.” Ironically, the
strengths of the District later became the impetus for both operational and
instructional challenges.
Major Challenges
Based on conversations with the professional development consultant and the
professional Springboard coach, it was made clear that Fair City had many long
standing as well as ascending issues that needed to be addressed when Dr. Soldado
was appointed to the Superintendency. Interviews with the two key players
supported the notion that the district had a few areas of strength, but needed to
address several cultural, operational and instructional challenges. Although the staff
was committed to their students, the leadership and operational systems prevented
them from attaining measurable results. The District was described as “lacking soul”
and employees were disconnected to one another and with the community. After
years of limited communication and negative press, many families and pockets of the
community had became disenchanted and disengaged.
Additionally, Dr. Soldado indicated that during her entry she was faced with
strained Board of Education relationships as the members of the Board were not
focused on the District’s vision, mission, values and priorities relating to student
achievement. The district was financially sound, but the budget allocations and
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resources were not aligned to instructional priorities. Coherent operational systems
were not in place resulting in the various departments operating as ineffective silos,
staff working in vertical isolation, without any clear sense of direction. The system
resisted being evaluated at all levels, as accountability was not part of the culture.
The instructional services team was not successful in leading staff in understanding
how to link curriculum, instruction, assessments and professional development
together to produce results and close the achievement gap particularly for minority
students. Constrained leadership and lack of accountability systems translated into
poor student achievement. The District’s lack of vision and poor communication
across the system exemplified the main challenges of the District outlined in Table 7
aligned to the corresponding House Elements.

Table 7: Challenges in Fair City Public Schools upon Arrival

Key challenges House Element
1. Strained Superintendent/ Board relationships
due to conflicting goals property management
vs. instruction
Stakeholder Management: Governance/ Board
relationships
2. Vision, mission and goals were not well
articulated across the system and did not
represent personal values of stakeholders
Entry Plan
3. District and site administration were not held
accountable for student achievement
Organizational & Management Structure
Leadership Team Effectiveness
4. Instruction (teaching and learning) was
disconnected from the curriculum, assessment
and professional development
Instructional Alignment:
Assessment/Curriculum/ Instruction/
Professional Development /Program
Effectiveness/Focus on Lowest Performers
5. Poor communication between the Board, the
District, parents and community regarding
student achievement
Stakeholder Management: Communications/
Family and Community Engagement
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The challenges listed above outline the roadblocks that Dr. Soldado faced
when she entered the superintendency. Poor communication and a disconnection
with the community exemplified the need for a vision and accountability. The
challenges in Fair City were exasperated by the disconnectedness of the support staff
with the Instructional Services Division. The Superintendent’s goals to improve
student achievement were closely aligned to the strengths and challenges in the
district at the time she took office.
Superintendent’s Goals Coming into District
The Superintendent shared that she entered her position with knowledge of
the climate and culture of the district as Dr. Soldado had positive relationships and
experience in working with the staff when she had served as the District’s Deputy
Superintendent. As noted by the Springboard coach, from her first day as
Superintendent, Dr. Soldado realized that student achievement as well as teachers’
expectations for students’ was low. There were also a number of schools in program
improvement leading to the district being deemed a program improvement district.
When asked, what was the overall academic profile of the district?
Dr. Soldado expressed her concern regarding the dropout rate. She also
indicated that Fair City’s database reported 28% of the students district-wide were
not making it to sophomore status and that 43% of the students were dropping out of
school. These circumstances led the Superintendent to strategically address the
District’s need for instructional direction and accountability through a well thought
out Urban School Leadership Institute Entry Plan.
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The Entry Plan
The Urban School Leadership Institute training regarding the Entry Plan
made a significant impact on the way Superintendent Soldado approached the
academic challenges and the change process as she entered the district.
Superintendent Soldado began her tenure in office with a 90 day Listening and
Learning Plan. The plan was strategically utilized for leverage, to buy time, gather
information quickly and be accountable to the Board. This plan became the vehicle
for change and the foundation for the strategic plan. In the exit interview, when Dr.
Soldado was asked to think of one piece of advice for prospective Superintendents,
she stated, “the one piece that provided the most leverage for me was the entry plan.
It is the ability to use something to buy you time…and assesses what you are getting
into [as you enter this role].”
The Fair City Entry Plan included five major goals with measurable
objectives and activities: (1) Ensure effective future District governance through
positive and productive Board-Superintendent relationships; (2) Create a proposal for
accelerating student achievement that builds upon the work of the previous
administration; (3) Establish public trust and confidence through open honest
communication and positive relationships among stakeholder groups; (4) Increase
the organization effectiveness and efficiency and (5) Establish clear and definitive
strategy to address perceptual and factual issues related to school safety, security and
climate for all schools (Fair City Listening and Learning Plan, 2006).
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In discussions with the researchers, Dr. Soldado stressed the importance of
community involvement. She engaged the community, listened to their concerns and
developed strong partnerships as she entered Fair City. In the preface of her plan of
entry “Listening and Learning Plan,” she indicated that she would be engaged in the
following: (1) I intend to review all the changes in the organization that have taken
place in the last 18 months when I was away from Fair City Public School District.
(2) My goal is to better understand our community and to establish a strong
community presence from the beginning of my tenure at FCPS. (3) I want to
determine what our organization’s strengths are, and what its areas of challenge are.
(4) I intend, in this manner, to identify the critical issues within our organization. Dr.
Soldado designed this plan to include and involve many stakeholders in her “vision
of change.” Dr. Soldado commented on the importance and significance of the
Urban School Leadership Institute’s assistance in preparing her to develop the Entry
Plan since the first 90 days are critical in understanding the complex dynamics
underlying the educational, civic and political issues impacting the school district.
Launching Strategies
In an attempt to understand the launching strategies that Superintendent
Soldado engaged in to carry out the reform agenda, the researchers interviewed the
leadership team. These interviews revealed that the reform efforts were supported by
the Urban School Leadership Institute staff. During the entry period of her tenure,
this support included, but was not limited to, change in governance workshop,
strategic community outreach, audits of the major departments, reorganization of
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central office and a strategic plan at end of launch that occurs during the first 90 days
of her superintendency. The various aspects of the Superintendent’s launching
strategy, and the particular details and dynamic of each (as contextualized within the
district), are described in greater depth below.
Change in Governance Workshop.
As part of her Urban School Leadership Institute training, Dr. Soldado
attended the Board Governance Training Program presented by a director from the
Urban School Leadership Institute to gain skills in Board of Education and
Superintendent relationships. She called upon the assistance of an Urban School
Leadership Institute Consultant to work with the Fair City Board of Education to set
up standards of practice since there was a need to shift the focus from land
management to student achievement. According to Dr. Soldado, the Board resisted
the study sessions and did not necessarily want to discuss student achievement. The
Urban School Leadership Institute assisted with the development of standards of
practice and setting up the calendar for the Superintendent evaluation. It was
reported that the Board of Education is still struggling with the idea of four
Superintendent evaluations per year so this year, Dr. Soldado arranged another
meeting on the standards of practice led by another Urban School Leadership
Institute Consultant. The Board of Education is currently adopting the Fort Worth
Standards of Practice since the standards of practice was developed by an Urban
School Leadership Institute alumni and is expected to hold Dr. Soldado accountable
for the goals outlined in the Six Fundamentals of Coherence and for improving
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student results. Just as she navigated the internal hierarchical structure and power
dynamics of the district, Dr. Soldado realized that she needed to establish open lines
of communications with the external stakeholders in the district, namely the
community at large. That process is described below.
Strategic Community Outreach
Based on her Urban School leadership Institute experience, Dr. Soldado hired
a Communications Officer to facilitate open communication with parents and
encourage positive relationships to benefit the students. She had the task of
rebuilding an open and positive relationship with the media and connecting the
political leadership between two cities. The Urban School Leadership Institute
taught Dr. Soldado a strategy that was related to her Entry Plan that she referred to
“as being strategic about who,” in the community are the “power brokers” and
meeting with them on a regular basis. Dr. Soldado began her community outreach
with six community engagement meetings held throughout the community.
As the researcher has been suggesting, the Superintendent was aware that the
strategic changes she was attempting to execute had to happen on all levels of the
district, consequently, the central office did not escape her focus.
Reorganization of Central Office
One major launching strategy reported by Dr. Soldado included the
reorganization of the central office, cabinet and principals. With the assistance of the
Urban School Leadership Institute training and results from the external audits, Dr.
Soldado understood the importance of having the right personnel to carry out the
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vision and district’s mission. She indicated that the instructional services staff was
her biggest struggle, as she did not have the right leadership in place when she
arrived at the district. The Urban School Leadership Institute Consultants, all of
whom are successful urban Superintendents, referred to as “celebrity
Superintendents,” due to their national achievements, assisted her with the
reorganization of the central office.
In her first year in office, she made over 20 moves and put ten new
principals in place. She created two additional cabinet positions that she named
principal evaluators, under the Instructional Services Division in order to align
instruction, coach, and mentor and evaluate principals. These two positions were
necessary as the principals, with the exception of one time only, had not been
evaluated under the previous Superintendent. She appointed the Deputy
Superintendent of Personnel to improve customer service standards and develop
human capital. She demoted the Facilities Assistant Superintendent to a Director
level and gave the responsibilities of facilities to her experienced Chief Financial
Officer. She promoted the Assistant Superintendent of Pupil and Community
Services and hired a Communications Officer to improve public relations and regain
the trust of the community. As advised by the Urban School Leadership Institute
Consultant, Dr. Soldado hired a Director of Community Affairs to handle and follow
up on all complaints. This allowed her to free up the Assistant Superintendent
handling complaints to focus on community engagements. The Director of Student
Assessment was asked to report directly to her to stop the cleansing of data that was
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hiding the fact that Fair City students were not meeting standards. Dr. Soldado
commented on the fact that she allows all employees to leave gracefully and has
assisted them in moving within the organization or seeking employment in a more
suitable position outside the district.
Obviously, changes of this magnitude, with as many complex interrelated
aspects as we have been discussing, cannot be executed single handedly, as
discussed below, Dr. Soldado had experienced and supportive help.
Role of Urban School Leadership Institute Consultants
Dr. Soldado reported that she had a strong network of support during the
entry period and throughout her first two years of the Superintendency. Five-
experienced Urban School leadership Institute Consultants supported Dr. Soldado
through strategic meetings and advised her behind the scenes to assist her in the
development of the Strategic plan, the Six Fundamentals of Coherence. The Urban
School Leadership Institute Team also coached her on how to be more focused on
specific content areas such as literacy so she could confront the “brutal fact” that she
was still not focused on student achievement. These meetings paved the way for the
Six Fundamentals of Coherence and assisted her in engaging in the practice of
reflection and the cycle of inquiry, “reflect and reassess.” In regards to the Urban
Institute alumni, Dr. Soldado said, “…I still keep connected…and it’s the network of
people that is very important.” In addition to the Urban School Leadership Institute
Superintendents, the Superintendent of County Schools, mentor from the California
Association of Latino Superintendents and Administrators (CALSA) and her
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Springboard Coach, provided on the job support to improve her skills especially in
the area of Board relations as she transitioned to the role of Superintendent.
As the launching strategies of governance training, community outreach,
audits, and reorganization were an initial move, the Superintendent considered the
the development of a more ongoing strategic plan, as described in the next section.
Strategic Plan at the End of Launch
The launching reform strategies ended in the development of a strategic plan.
According to Dr. Soldado, with the support of the Urban School Leadership Institute
and a Springboard coach, she was able to educate the Board of Education to redirect
their priorities from property management to student achievement as evidenced by
the approval of the Strategic Plan, the Six Fundamentals of Coherence that were
adopted to work toward a common mission and vision. The strategic plan has a
defined theory of action in practice, with six essential goals for the District. The plan
was intentionally designed to connect the work of each department and school site,
to reach out to the community and improve student achievement. The Six
Fundamentals of Coherence were connected across the system and the staff worked
together to carry out the goals of the strategic plan, focusing on the themes of
“Reaching, Teaching and Learning” with “high support and high accountability.” Dr.
Soldado was able to quickly begin reform work as she established a good rapport
with the Board of Education. Dr. Soldado created an overall plan for reform based on
the concepts outlined in the Urban School Leadership Institute House Model, which
included five main strategies.
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Overall Reform Strategies
The Board of Education and Dr. Soldado reaffirmed their commitment to the
staff, students and the community through actions that revealed their commitment to
open communication and accountability for student outcomes. Dr. Soldado utilized
the newly formed Communication Department to be able break down the barriers
and communicate the new vision to the public. Through her experiences as an Urban
School Leadership Institute Fellow, Dr. Soldado engaged her leadership team, in the
Urban School Leadership Institute Theory of Action and connected the organization
through the Fair City Public School District Strategic Plan. Each goal clearly outlines
expectations for schools, evidence in the classrooms and school and expectations for
the district office administrators. These guiding principles have become the
cornerstone for improving student achievement throughout the organization and
provided the framework for measuring success through the Balanced Score Card.
Table 8 is a summary of the overall reform process based on the interviews
conducted with the Superintendent, two key players, staff and a review of artifacts
such as the strategic plan, department operational plans, data reports and
communication to the public.
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Table 8: Overall Reform Strategies

Overall Reform Strategies
1. Refocused the Board of Education/District from real estate acquisition and property
management to instruction and accountability to establish a cohesive governance team
with a student-centered agenda.
2. Developed a Strategic Plan defined as the Six Fundamentals of Coherence with a clear
vision focusing on the alignment and connection of curriculum, instruction, and
assessment through a theory of action, measured by the Balanced Score Card.
3. Developed an evaluation system for site and central office administration to hold staff
accountable for student achievement across the organization.
4. Restructured the instructional services division to connect standards, curriculum,
instruction, assessment and professional development to improve student achievement.
5. Established a communication department fostering positive communications and
relationships among stakeholder groups through the community forums and positive
media.

The Relative Influence of the Superintendent’s Background,
Geography and the Urban Institute Theory of Action

The interviews revealed that the choice of the key reform strategies selected
by Dr. Soldado to improve student achievement in her respective district was directly
influenced by several factors, which included the Superintendent’s background,
geography and the Urban School Leadership Institute Theory of Action. Dr. Soldado
indicated that her background and professional development experiences have
contributed to her success as a Superintendent. She placed great value on several
aspects of her educational background and career, which includes: her doctoral work
at University of Southern California, which led to a degree in Language, Literacy
and Learning, work experience in urban settings on the national level and the
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mentors and networking, provided by the Urban School Leadership Institute and
California Association of Latino Superintendents and Administrators (CALSA). She
also took the initiative to step out of public education and gained experience working
at foundations that focused on urban reform at a national level. Her experiences
include working with the Stupski Foundations and the Annenberg Los Angeles
Metropolitan Project (LAMP).
Geographic Location
The Superintendent indicated that the implementation strategies outlined in
the strategic plan might face some hindrances due to declining enrollment and the
budget crisis in this state resulting in a low per pupil funding guideline. Nonetheless,
interviews with the Superintendent led the researcher to believe that her overall
reform agenda was not drastically affected because of the geographic location of the
District and that the District would remain as focused as other districts across the
nation in moving the achievement agenda toward meeting state accountability tests,
state standards and No Child Left Behind reforms.
The Reform Strategy: House Elements
After careful examination of the Superintendent’s Entry Plan, the geographic
location of Fair City, the strengths and challenges in the district upon the arrival of
Dr. Soldado, it was clear that the work of the Superintendent was defined and guided
by the Urban School Leadership Institute’s Theory of Action which primarily
outlined the launching of the reform strategies.
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The reform plan was designed with input from all groups, at all levels, to
address the challenges and build upon the strengths of the district under the
leadership of the Board of Education and the Superintendent, according to the
professional development plan and springboard coaches. In order to initiate this plan,
Dr. Soldado utilized ten key reform strategies, as well as other elements of the House
Model based on her training at the Urban School Leadership Institute which
included: 1) Strategic Planning, 2) Assessment, 3) Curriculum, 4) Professional
Development 5) Human Resources Systems and Human Capital Management, 6)
Finance and Budget 7) Communications, 8) Governance and Board Relations 9)
Labor Relations and Contract Negotiations 10) Family and Community Engagement.
The definitions of the reform strategies, as articulated by the ten specific House
Elements, are described in detail in the methodology section of this study.
The investigator mediated the findings of this study, namely the effectiveness
of the reform strategies, by taking into account the status of the district prior to Dr.
Soldado’s arrival, and the current state of the district with regard to each of the ten,
specific reform strategies based on the House Model.
The descriptions of the rubric ratings with scores ranging from 1-5 were used
to investigate the ten reform strategies by evaluating the quality and the
implementation process of each dimensions of the intended reform. Table 9 below
provides an overview of the data scores collected on the rubrics which includes: (a)
the quality of the strategies prior to the arrival of this Superintendent; (b) the current
quality of the strategies planned during the tenure of this Superintendent; and (c) the
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level to which the planned strategies are currently being implemented for each of the
ten specific reform strategies investigated.
Scores were calculated using the mean score of the rubric components, then
rounded to the nearest whole number. The column labeled Pre-Quality, shows the
program design for each of the ten House Elements at the time the Superintendent
came to the district. The column labeled Post-Quality represents the post program
quality following the Superintendent’s tenure and the column labeled
Implementation level shows the current level of implementation for each reform
strategy. The ratings in Table 9 are color-coded as follows: red is low (1 or 2),
yellow is moderate (3) and green is high (4 or 5) in terms of quality program design
and level of implementation.

Table 9: Rubric Ratings of House Model Reform Strategies

House Elements Pre-Quality Post-Quality Implementation
Level
Strategic Planning 1 4 2
Assessment 1 3 3
Curriculum 1 3 2
Professional Development 1 3 3
HR System and Human Capital Management 1 3 2
Finance and Budget 3 4 3
Communication 1 3 2
Governance and Board Relations 1 3 1
Labor Relations and Contract Negotiations 2 3 3
Family and Community Engagement 1 2 1
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The average pre-quality rubric scores for all ten House Model Elements were
rated low, by researcher, ranging from 1 to 2 with the exception of finance and
budget, rated a 3, indicating that the pre-quality of the program design was weak
across nine of specific change levers included in the House Model. This data
supports the fact that the Superintendent began the reform effort from the basic
ground level. The average post-quality scores across the ten House Elements ranged
from 2 to 4. Based on the quality rubric ratings, the majority, seven out of ten, of the
reform strategies including assessment, curriculum, professional development,
human resources system and human capital management, communication,
governance and board relations and labor relations and contract negotiations had post
average scores that fell within the moderate range. The exceptions in post ratings
included family and community engagement, scoring lower at 2, and strategic plan
and finance and budget, which scored at the higher level of 4. These scores indicate
the District has made positive gains in the quality of program in all ten aspects of the
House Elements and was gaining momentum and making steady progress in the
implementation of these reform strategies.
The data collection began with an entry interview with the Superintendent
and interviews with the professional development and Springboard coaches. The
researcher asked the Superintendent during the entry interview to identify specific
strategies she employed to improve student achievement. When asked, what specific
strategies did you employ to improve student achievement within your district?
Dr. Soldado stated:
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Last year it was around building strategic priority areas and beginning
to set targets. We called them “Targets” last year. This year we
expanded to the Six Fundamentals of Coherence and created a
Balanced Score Card. In addition, the Balanced Score Card became
very specific about what we wanted to see in terms of our interim
assessments, in terms of our growth on our state assessments, growth
in terms of the schools and their AYP and their API.

The Six Fundamentals of Coherence and Balanced Score Card that Dr.
Soldado discussed related to the strategic plan and accountability system and this
was used to measure progress on the strategic plan. Based on the interviews, it
appears that another area of deep concern for the Superintendent had to do with
principal evaluations. She stated that she has been working on “an evaluation tool
that we can use for the principals, again aligning them to the Six Fundamentals of
Coherence, aligning their school plans to our Balanced Score Card.” However, aside
from the specific issues, that necessarily involves her time and attention; the larger
efforts of the district remain focused on her central endeavor to improve student
achievement.
During this interview process, Dr. Soldado stressed the importance of
teamwork, strategic alignment, and accountability. She indicated that she expects all
of the senior management to work as a team to improve student achievement and
provide customer service and customer care. The articulation of her expectation was
also apparent in the key player interviews. The professional Coach from
Springboard affirmed that the Superintendent was not afraid to present realistic data
to the board and the public as well as having courageous conversations with the staff
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and community regarding the need to improve student performance. The
Springboard Coach also noted that the press picked up on her honesty and sincerity
allowing her to build early relationships that made a difference.
The following section of this study closely examines the strengths and
challenges of the ten reform strategies at the time the Superintendent entered the
district and the strategies that she employed in implementing the ten reform
strategies outlined in the conceptual framework of the House Model.
Strategic Plan
Table 10 summarizes the pre and post quality rubric scores for the House
Element Strategic Plan comparing the pre and post quality scores as well as the
action steps outlined by the Superintendent to implement the reforms.

Table 10: Rubric Scoring of Strategic Plan

House
Elements
Quality
Pre
Quality
Post
Essence of the
Difference Between Pre
and Post Implementation
Strategies / Action Steps
Strategic
Plan
1 4 From little
accountability and
without operational
systems to a culture
focused on student
achievement and
accountability: Strategic
Plan Six Fundamentals
of Coherence
• Year 1 priority areas, Year 2
evolved into Strategic Plan:
Six Fundamentals of
Coherence
• Audited of practices by
Departments to identify best
practices
• Operational Plans aligned to
mission and vision by
departments with targets
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Out of the ten reform strategies investigated, the strategic plan scored the
highest post-rating and demonstrated the greatest difference between pre and post
quality. It is important to note that the process of strategic planning began with an
Entry Plan and priority targets that led into the development of the Six Fundamentals
of Coherence. A small group of district leaders described the evolution of the
strategic planning process as a case of clear leadership vision that became the
reference point for change and set expectations across the system at all levels, with a
high degree of accountability. When asked, what is the District’s current approach to
strategic planning? The Assistant Superintendent, Chief Financial Officer answered:
We did the priority areas. So that was really the beginning of it. And the
“results, respect and responsibility” was we had that the first year. And then
the second year it evolved into the more formalized strategic plan. She
referred to the strategic plan as …a framework and then supporting that, it’s
kind of living, breathing, and evolving our work.”

When asked, what have been the Superintendent’s contributions here and who were
the stakeholders involved in developing the plan? The Deputy Superintendent of
Human Resources answered:
Dr. Soldado drives this, clearly… the refining of the focus about our work.
And so I think that a lot of what she does is working directly with the Board
around the greater vision. Certainly, she involves us in the development of
the vision, but the core of that comes from her.

During the strategic plan interview, the staff also stated that the ability to
have access to the Superintendent has created a foundation of trust thus allowing her
to develop a transparent system and create a paradigm shift moving from an
exclusive system to a new system designed to systematically meet the needs of all
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students. The Superintendent was highly visible in the community and throughout
the district. She engaged in an open door policy allowing employees from all
factions of the organization the freedom to express their concerns and make
suggestions for improving student achievement.
Table 11 represents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District and describes the initial
reform strategies that were implemented to improve student achievement in the
House Element of the Strategic Plan.

Table 11: Addressing Change in Strategic Plan

Strengths Challenges
• Expressed ethical code
• Concise statement
• Availability of Human capital and
resources
• Benchmark tests that gave some
indication of progress
• The vision was not well articulated across the system and did not
represent personal values of stakeholders
• Creating a process to articulate district’s vision, mission and
goals well articulated in the strategic plan
• Keeping the Board informed and together
• Changing the culture to individuals and departments to a
collective organization, supported by cabinet
• Identifying central office role and getting Instructional Services
Division on track to support schools
• Staying connected to the community and staff
• Aligning indicators to the strategic plan
Strategies
• Entry Plan was leveraged for change “cycle of inquiry”, and quickly assessed the instructional and
operational situations in Fair City which included both internal and external audits
• Systematic process cabinet to examine: Core Mission, Core Vision Year 1 priority areas, Year 2 evolved
into Strategic Plan: Six Fundamentals of Coherence
• Inclusion of everyone in the revisiting of core mission, vision with the focus on instruction
• Audit of practices by Departments to identify best practices, system alignment to be shared with Board
• Operational Plans aligned to mission and vision by departments with targets
• Weekly conversations about the Operational Plans “Can you validate that your work is connected to the
Vision?”
• Developed a theory of practice operationally a theory of action
• Designed Operational Plans and an accountability system aligned to Balanced Score Card
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Based on the extensive interviews and review of artifacts, the researcher
concluded that Fair City’s major strength in regards to the strategic plan was human
capital and resources, while the major challenge was the execution of a cohesive
vision that had hitherto not been well articulated across the system. Dr. Soldado’s
Entry Plan allowed her the leverage to build upon strengths and assess the challenges
in the District. Her entry goal was to strategically foster Fair City’s culture to focus
on student achievement and accountability: Reaching, teaching and learning. At the
beginning of her tenure, Dr. Soldado set the stage for the strategic plan by holding a
cabinet retreat to examine the core mission, vision, as well as the personal and
organizational belief systems. She realigned resources including human capital by
immediately placing the staff in the right positions that matched their talents.
During the interview, cabinet members utilized their opportunity to examine
the good, the bad and the ugly and assisted Dr. Soldado in working with the Board of
Education. It was made clear to the Board that both internal and external data are
relevant for the accomplishment of the first and foremost priority, to improve
instruction. Fair City was in Year three of Program Improvement and for the first
time Dr. Soldado was willing to share the academic state of the district, with the
Board of Education; politically, this data could not be ignored. As staff stated in the
interview, the Superintendent gained 100% support from the cabinet. Through staff
and community validation, the groups soon began to work collectively together to
connect to the District’s priorities and build upon successes. The goal was achieved
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through leveraging the support of the community and involving the community and
staff in the evolution of the plan.
The researcher evaluated each component of the strategic plan to assess prior
quality, current quality and level of implementation of Fair City’s plan utilizing two
research-based rubrics. Table 12 lists the ratings for previous quality; current quality
and the average score and delineate the overall level of implementation for this
reform strategy.

Table 12: Strategic Plan Rating by Rubric Component

Rubric Components
Previous Quality
1
Current Quality
4
Level of
Implementation
Vision 1 5
Mission 1 5
Objectives (goals) 1 3
Strategies 1 3
Action Plan 1 3
2
Theory of Action 1 3
Data Dashboard 1 3

Based on the data collected during the interviews and a review of documents,
the rubric ratings support an average pre-score of 1 and an average post-score of 4
for the quality of this reform strategy and an overall score of 2 for the current level of
implementation. The scores for the strategic plan reform reflects a moderate-high
score for the current quality of the strategy that was implemented by the Board of
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Education and Superintendent through the development of a new District’s vision
that included input from all stakeholders, and the launch of a comprehensive
strategic plan known as the Six Fundamentals of Coherence. The plan centers on the
guiding principles of: respect, responsibility and results. A score of 2 was given for
the level of implementation of the strategic plan since there is a lack of focus on the
Six Fundamentals of Coherence due to a lack of capacity within the system to fully
understand how to improve instruction for English language learners and special
education students. There was still a need for strong leadership in the Instructional
Services Division, as well.
Assessment
Table 13 summarizes the pre and post quality rubric scores for the House
Element Assessment comparing the pre and post quality scores as well as the
strategic action steps as outlined by the Superintendent to implement the reform
strategy assessment.

Table 13: Rubric Scoring of Assessment

House
Elements
Quality
Pre
Quality
Post
Essence of the Difference
Between Pre and Post
Implementation
Strategies / Action Steps
Assessment 1 3 From a non coherent 3
module assessment system
to increased drive and focus
affirming all staff have clear
picture of the 4 module
accountability system
• Restructured director reports
to Superintendent 360
Accountability evaluation
• Increased use of System
RXNet, for analysis of state
test and Benchmarks
• Added Module 4 -
understand and connect data
with school Plan
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Based on the interview with the Director of Curriculum and Director of
Assessment, the House Element of Assessment met the minimal criteria outlined in
the rubric for aligning assessment to standards. Based on the federal and state
accountability reports, the District continued to advance in program improvement
status as defined by NCLB. Although the infrastructure RxNet (a longitudinal
reporting system) and an Assessment Department had existed under the past
leadership, it had remained in an infancy stage for many years. The Director of
Assessment reported that as the Deputy Superintendent, Dr. Soldado had developed a
benchmark testing system that was not well embraced by the union and the results
were not used by teachers to improve instruction. Although the District had the
following training modules for developing the Academic Plan for Student
Achievement (APSA): Module 1: Big Picture Accountability (state and federal);
Module 2: Internal Accountability includes performance analysis and setting Targets;
3. Ongoing Database Instruction; APSA school plans were cumbersome and not
understood by most staff thus did not translate to improved instruction. It was also
reported that prior to the arrival of Dr. Soldado, internal and external accountability,
and analyzing student performance had not been a priority in the district.
After the appointment of Dr. Soldado as Superintendent, the focus on under-
standing data has increased and sites are held accountable and supported by the
central office. During the assessment interview, staff was asked, “How does your
current effort that you’re doing today, with regard to assessment, differ from what
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you were doing prior to the current Superintendent coming to the district?” The
Director of Assessment described the change as follows:
Dr. Soldado is introducing across-the-board accountability, with the
assessment data and how can we use assessment data to look at overall
District accountability.

Table 14 presents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District and describes the initial
reform strategies implemented by the Superintendent to improve student
achievement in the House Element of the Assessment.

Table 14: Addressing Change in Assessment

Strengths Challenges
• Compliance with state and federal testing
programs
• Three module system
• Modules 1- Big accountability picture
provides site data AYP, API use RXNet to
populate
• Module 2 - Summative data CST,
CAHSEE CELDT
• Module 3 - Formative Benchmarks
Elementary 3 benchmarks Middle & High
school 4 benchmarks
• District-wide schedule for testing
• Department gives 1to 1 assistance and
tutoring upon request
• Based on the Federal Accountability System Fair City PI
is a district in year 3
• 14 out of 42 school sites with varying PI status from year
1 to year 5
• Based on the Title III criteria the English Learner sub
group did not meet adequately yearly progress at the LEA
level in the area of ELA Arts
• Only pockets of high quality tech use and use of data
• Many admin staff new to positions new team impacts
student achievement
• Instructional responsiveness data reports
• Providing a culture where all staff are able to admit if they
don’t understand data
• Previous Cleansing of Data
• Developing an accountability process for principals that
links evaluation of site principals to assessment results
Strategies
• Increased drive and focus affirmed all staff have clear picture of the 4-module accountability system.
Added Module 4- closing the loop Does staff understand and connect data with school Plan? How did
you monitor yourself?” Feed back system to match content and state standards
• Continue to align benchmark assessments to with state and federal testing programs
• Data on the teachers desk top to make decisions about individual students Real-time for and student
demographics; Pacing guides
• Increase use of System RXNet, for analysis of CST, CELDT,CAHSEE & Benchmarks to gage and
monitor student performance to ten0% of staff through E TEAM
• Department developed Operational plan
• Director reports to Superintendent 360 Accountability across the system evaluation
• Superintendent evaluated all 43 principals

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The researcher found that Fair City’s major strength in the area of assessment
was that the District’s assessments were aligned with the state’s testing program and
had a well-developed infrastructure to provide data. Through interviews and a review
of the operational plans and training modules, the researcher was able to obtain this
information. In our continued interview with the Assessment Director, it was noted
that Fair City’s major challenge is in exiting from the Year Three Program
Improvement status that the district has been placed on based on the federal
accountability system.
It was reinforced by the discussion that the Superintendent employed many
strategies to move accountability to the forefront of the district based on the need to
improve student achievement as outlined in the Balanced Score Card, a tool that was
developed to assist leaders in asking questions that lead to using data to change
instruction. There were several strategies mentioned to support the reform strategy of
Assessment such as the fact that the Data Management, Information, and Reporting
System are beginning to be utilized to provide diagnostic information, promote
student learning and provide accountability information. The assessment office is
now providing support and technical assistance to principals. All departments and
staff are expected to contribute to closing the achievement gap through the Academic
Plan for Student Achievement (APSA). The Superintendent established a fourth Data
module to provide training in understanding the relationship between data analysis
and goals.
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During the interview, the Director of Assessment also emphasized the
importance of teachers having direct access to the data to be able to gauge how well
students are moving towards proficiency on state standards. He stressed the
importance of continuous development of the Fair City’s data system, Rx Net, to
allow teachers to have access to data and make decisions at the grade level or course
level. He stated the department was emphasizing the use of data to make decisions,
looking at multiple assessments, and subgroup data to decide the best way to move
forward on student achievement.
The researcher evaluated each component of assessment to determine prior
quality, current quality and level of implementation of Fair City’s Assessment/
Accountability Plan utilizing two research-based rubrics. Table 15 lists the ratings
for previous quality; current quality and the average score and delineate the overall
level of implementation for this reform strategy.

Table 15: Assessment Rating by Rubric Component

Rubric Components
Previous
Quality
1
Current
Quality
3
Level of
Implementation
Summative Assessments 3 5
Formative Assessments 1 3
Data Management, Information, and
Reporting System
1 3
Analysis, Interpretation, and Utilization of
Assessment Data
1 3
Professional Development 1 3
3
Fiscal Support and Resources 1 3
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Based on the data collected during the interviews and a review of the
documents, the rubric ratings for assessment support an average pre-score rating of 1
and an average post-score of 3 for the quality of this reform strategy and an overall
score of 3 for the current level of implementation. The scores for the assessment
reform strategy indicate a moderate level for the current quality because the
benchmarks are starting to be used to improve instruction. The District has provided
comprehensive training modules for improving instruction and developing the APSA
school plans: Module 1: Big Picture Accountability (state and federal); Module 2:
Internal Accountability includes performance analysis and setting Targets; 3.
Ongoing Database Instruction. A moderate-low level implementation rating was
given since these efforts have made little impact on instruction and student
performance as the District has continued to advance in Program Improvement status
as defined by No Child Left Behind.
As reported by both the Superintendent and the Director of Assessment, the
teachers are working towards learning how to use data to inform their instruction. To
address this issue and support the goals in the strategic plan, the Assessment Director
reported that the department has developed Module: 4 data training to assist the staff
in connecting data with instruction and understanding the relationship between data
analysis and goals in the school plan.
Curriculum
Table 16 summarizes the pre and post quality rubric scores for the House
Element Curriculum comparing the pre and post quality scores as well as the
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strategic action steps as outlined by the Superintendent to implement the curriculum
reform strategy.

Table 16: Rubric Scoring of Curriculum

House
Elements
Quality
Pre
Quality
Post
Essence of the Difference Between
Pre and Post Implementation
Strategies / Action Steps
Curriculum 1 3 From fragmented silos in the
instructional services division to a
refocus on Reaching, Teaching and
Learning and the Six
Fundamentals of Coherence.
• Split the department from one K-
12 position to two positions: K-6,
7-12
• Designed maps to provide pacing,
sequencing and assessments for
instruction
• Focused on one literacy program
and AB466 training

The table illustrates that prior to the arrival of Dr. Soldado, the
implementation of district’s core curriculum and instruction was not aligned to
content standards in all schools resulting in inequity across the system since some
students were receiving a standards-based instruction while other were not receiving
this type of instruction. Based on the data collected, the rubric ratings for curriculum
support an average pre-score of one and an average scale score for the current level.
It was mentioned that pockets of excellence existed in some schools and that the
Curriculum Department did not have the capacity to get out to school sites to support
the implementation of curriculum. At the interview, the issue of implementation was
noted by staff, which stemmed from the lack of fidelity in implementing the district’s
curriculum, resulting in few students having the opportunities to access content and
learning standards. The district did not fully communicate the required curriculum to
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site administrators, teachers, or other stakeholders. The district demonstrated no
commitment to long-term implementation of the curriculum. Only a few staff
members used assessment results to determine what materials were needed to ensure
that the key standards were being mastered. This information accounts for the low
rubric score for the pre-quality of the reform strategy.
It was reported that under the direction of Dr. Soldado, Fair City Public
School District has new leadership in the Curriculum Department to support the full
implementation of core curriculum based upon content standards, and frameworks
that are aligned to the required assessments of student learning. The district staff is
now communicating the goals of the Curriculum Department through the operational
plan and is working with the professional development staff to ensure that teachers
have appropriate opportunities to collaborate and learn how to implement standards
and all components of the curriculum. During the interview process, the Director of
Curriculum stated, “giving those teachers the opportunity to look at standards and
talk has probably been the most important thing we’ve done and we do a lot of work
with them before we even start looking at instructional material.”
Table 17 represents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District and describes the initial
reform strategies implemented by the Superintendent to improve student
achievement in the House Element Curriculum.
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Table 17: Addressing Change in Curriculum

Strengths Challenges
• Standards are filter for all adoptions and pacing
guides
• Resources for teacher training & staff for
development
• Spanish Houghton Mifflin pages match closely
to the English
• Follows state cycle
• Representation from school sites to participate in
material selection in adoption years
• New staff only one team member left from Sups
original team as deputy
• IS Support only provided to some schools
professional development
• Connection of other departments with Curriculum
• Ensuring fidelity, new staff big shake-up
• Monitoring intervention programs
• Technology that comes with program classrooms
not wired, old buildings
• IS Department does not have alignment or
coherence with curriculum due to lack of leadership
• Need to analyze benchmarks and complete analysis
as a group
Strategies
• Split the department from one K-12 position to two positions: one Secondary and one Elementary
• Refocus on Reaching, Teaching and Learning through the Six Fundamentals of Coherence
• Curriculum maps grade level state standards with District-Wide Assessments and provide the location of
those standards in the adopted textbooks
• Maps are designed to provide teachers with a suggested sequencing and time frame for instruction standards
that will be assessed by the District-Wide
• Program Administrator of Departments Special Education IS all together: DATE Department, Special
Education, EL
• Principal Coaches internal and external 2 admin Directors to support principals Evaluate principals IS hired
consultants for Read 180 language!
• Curriculum E-Team teacher specialist hardest working group helps with infrastructure needs IS tech it is its
tech tried to curriculum. Monthly meetings “How can we support it?” Staff, hardware…

Currently, Fair City’s major strength is their curriculum alignment, which
focuses on standards as reported by staff. Fair City has adopted and implemented a
standards-based curriculum and follows the state cycle for the adoption of materials.
The primary challenge encountered by Dr. Soldado when she arrived was to find and
foster the leadership to refocus the department on reaching, teaching and learning as
it was reported that there was incoherence in this area across the system.
The Curriculum Department was reorganized to support the District’s new
vision for this reform strategy; the Superintendent split the responsibilities of one K-
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12 position into two positions: K-6 and 7-12. The special education and child
development leaders are now included as part of the Instructional Services Division.
During the interview, the two Directors of Curriculum described the
Superintendent’s re-organization of the department as a positive change as it allows
them to have the capacity to go out to schools and support staff. It was apparent that
the team was on board with the theme “Reaching, Teaching and Learning.” It was
noted that the Curriculum Department was able to resurrect a prior vision that the
staff referred to as the Harvard experience, in which they were taught the importance
of evaluation and accountability. The Superintendent reported that she is continuing
to move toward a managed curriculum and that the staff has begun to develop
curriculum maps to provide pacing, sequencing and assessments for instruction in
the core content areas. There has been a focus on one literacy program and AB466
training.
The staff also acknowledged that the Six Fundamentals of Coherence was the
vehicle intended to get the team back on track and help them to connect the
curriculum across the system. They credited Dr. Soldado for refocusing the
Curriculum Department. The researcher found that although Dr. Soldado has set the
stage for success of the department, the data for the District’s English learners and
special education students strongly indicates there is still a need for teachers to learn
how to differentiate the instructional program.
The researcher evaluated each component of the curriculum to assess prior
quality, current quality and level of implementation of Fair City’s Plan utilizing two
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research-based rubrics. Table 18 lists the ratings for previous quality; current quality
and the average score and delineate the overall level of implementation for this
reform strategy.

Table 18: Curriculum Rating by Rubric Component

Rubric Components
Previous
Quality
1
Current
Quality
3
Level of
Implementation
Alignment to Learning Standards and
Assessments
1 3
Equal Access to Learning Standards 1 3
Fidelity in Implementation 1 3
Sufficiency of and Appropriateness of
Materials
1 3
Clear and Regular Procedures to Review and
Update the Curriculum
1 1
2

Based on the data collected during the interviews and a review of documents,
the rubric ratings for curriculum support an average pre-score of 1 and an average
post-score of 3 for the quality of this reform strategy and an overall score of 2 for the
current level of implementation. The current scores for the curriculum reform
strategy indicate a moderate level of quality since there was evidence that the district
is moving in the direction of a managed curriculum. Fair City has begun to develop
curriculum maps to provide tools for pacing, sequencing and assessments for
instruction in content areas. The District scored a 1 on the rubric on the current
quality in the area of Clear and Regular Procedures as the staff indicated that due to a
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change in leadership, the department was not using assessment results to determine
what materials were needed to ensure that students meet standards. The District
scored a 2 on the current level of implementation since district interviews revealed
there are some concerns on ensuring fidelity to the programs, and that they are
consistent across the system. Fidelity to the research-based programs across the
organizations and sustainability continue to be a challenge for the Department. The
Director of Curriculum supported these findings and expressed the need to continue
to work on the consistent use of the programs and noted that, “We’ve done a lot of
teacher training with folks around curriculum but we don’t always see the fidelity of
the program for the consistent implementation that we need to.”
Professional Development (PD)
Table 19 summarizes the pre and post quality rubric scores for the House
Element Professional Development comparing the pre and post quality scores as well
as the strategic action steps as outlined by the Superintendent to implement the
reform strategy professional development.

Table 19: Rubric Scoring of Professional Development

House
Elements
Quality
Pre
Quality
Post
Essence of the Difference Between
Pre and Post Implementation
Strategies / Action Steps
Professional
Development
(PD)
1 3 From a PD system that lacked
follow-up, connections and
accountability to a framework (Six
Fundamentals of Coherence)
connecting PD programs in the
district with curriculum, instruction
and assessment
• Operational Plan: based on the
FPC’s and the National
Council’s standards
• Utilized Springboard coaches
PI schools, Title III specialists
for EL
• New Admin & PD staff;
changed FPC focus to specific
academic areas & data

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Based on a review of artifacts including the Fair City Practitioners College
Catalogue (FPC) and interviews with key personnel, the researcher found that for
years, the District provided multiple opportunities for professional development
including training for additional credits on the salary schedule referred to by many as
the “carrot and the stick” method. This proved to be an ineffective professional
development technique as teachers often became overwhelmed with too many
instructional initiatives that did not include coaching, follow-up or monitoring. This
lack of direction and focus appears to have added to the instructional issues as it
often caused fragmentation of the core programs. Professional development was
disconnected to classroom practices and did not support and promote teacher
effectiveness in the classroom.
The Superintendent began with an audit of the practices and hired a new
professional development team to align to her persistent message of high
accountability, and a high level of support for their goals. The team was charged
with designing an Operational Plan with the goal of high quality, sustained,
systematic and embedded professional development, consistent with the FPC’s and
the National Staff Development Council’s standards. The newly hired professional
development staff has designed an operational plan aligned to the Six Fundamentals
of Coherence, based on the results of a needs assessment. The current professional
development long-term plan includes goals for: improving all students’ learning,
improving teacher effectiveness, setting high standards for teachers, promoting
continuous staff learning, and enhancing staff intellectual and leadership capacity.
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The district is beginning to align the school improvement plan(s) to professional
development activities, and teacher and student outcomes.
Table 20 presents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District and describes the initial
reform strategies implemented by the Superintendent to improve student
achievement in the House Element of the Professional Development.

Table 20: Addressing Change in Professional Development

Strengths Challenges
• Practitioners’ College (PPC) provides avenue for
the development of professional system for the
district
• Bargaining members’ agreement provides for
opportunity for all members administrative,
classified/confidential to attend training for
compensation
• A set of CORE seminars, identified for
Principals, Assistant Principals, Office Managers
and classified/confidential members Based On:
Interests of employee certificated administrators;
Interests of classified and confidential Bargaining
members; Interests of all Bargaining members.
• PD needs to focus on effective instructional
practices, grounded in scientifically based
research
• PD lacked follow-up, monitoring
accountability connections
• Deepening the collaborative work on
instructional planning, delivery and
assessment with new targets
• Accountability for effective strategies
differentiated instruction, SDAIE and
technology support, to support all student
needs
Strategies
• Working with principals at schools, restructuring plans to actualize the cycle of collective inquiry and
continuous improvement
• Continue to refine and focus the work of school Data Action Teams
• Utilized Six Fundamentals of Coherence, provide a framework for the professional development
programs in the district
• Operational Plan
• Added three new days for District-wide initiative training grade/department level
• Invites Board attend PD
• Tied principal evaluation to the theory of action
• Expanded PD staff and changed PPC focus to specific academic areas, determine needs by the ongoing
analysis of student, teacher and administrator data systemic weaknesses
• Springboard coaches PI schools
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Interviews with the two administrative directors, Director of Special
Education and Director of Professional Development revealed that the major strength
of Fair City’s Professional Development program held at the Fair City’s
Practitioner’s College (FPC) included the systematic pay for training program
delineated in the bargaining agreement. The major challenges centered on
accountability and deepening teachers’ content knowledge to enable them to be able
to craft and direct instructional lessons and in integrating effective strategies to
support all students in accessing the curriculum.
Dr. Soldado built upon the systems that were already in place, however, the
professional development staff was directed to change their focus. Fair City’s
Practitioner’s College worked with other departments to determine the district’s staff
development needs through the ongoing analysis of student, teacher and
administrator data. One of the major changes initiated by Dr. Soldado included
working with site administrators to restructure school plans by utilizing the cycle of
collective inquiry and continuous improvement. Consistent with the National Staff
Development Council’s standards, the department created an operational plan to
achieve their goals of high quality, sustained, systematic and embedded professional
development. During the interview, the staff indicated that they were new to their
positions. In addition to new administration, coaches were added to the department
to assist teachers in improving instruction and schools in implementing and meeting
their goals. The Director of Special Education noted:
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For the very first time, the core days included days around Special Education,
students with disabilities. We have never had that before, so here we are, a
significant subgroup and finally get the, the ability to be part of that core.
Think about what that does in terms of raising the bar for principals being
held accountable for students with disabilities on their campus.

When asked, how the professional development needs of teachers are met,
the Director responded:
We hold monthly professional learning communities for principals, and that’s
where we deepen the work, and that’s where, for example, one of our
instructional initiatives this year, our primary instructional initiative this year
was thinking maps. So, all teachers and all principals were trained in thinking
maps. Part of the work at principal’s meetings have been, bring your
homework, as it were, bring some evidence to show how your teachers are
using, your students are using thinking maps.

The researcher evaluated each component of professional development to
assess prior quality, current quality and level of implementation of Fair City’s plan
utilizing two research-based rubrics. Table 21 lists the ratings for previous quality;
current quality and the average score and delineate the overall level of
implementation for this reform strategy.

Table 21: Professional Development Rating by Rubric Component

Rubric Components
Previous
Quality
1
Current
Quality
3
Level of
Implementation
Designing Professional Development 1 3
Implementing Professional Development 1 3
Evaluating and Improving Professional
Development
1 3
Sharing Professional Development
Learning
1 3
3
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Based on the data collected during the interviews and a review of documents,
the rubric ratings for professional development support an average pre-score of 1 and
an average post-score of 3 for the quality of this reform strategy and an overall score
of 3 for the current level of implementation. The current scores for the professional
development reform strategy indicate a moderate level of quality as Fair City offers
the Practitioners’ College (FPC) as an avenue to provide a comprehensive
professional development system for the district. The Bargaining members’
agreement provides for opportunity for all members administrative and
classified/confidential to attend training for compensation. The professional
development plan is based on the results of the needs assessment and the training
schedule is aligned to the Six Fundamentals of Coherence. The long-term goals
include improving all students’ learning, improving teacher effectiveness, setting
high standards for teachers, promoting continuous staff learning, and enhancing staff
intellectual and leadership capacity. During the interview, the Director of
Professional Development emphasized a major change in the topics selected for
professional development. She indicated that the cabinet spends time at the end of
the benchmark testing period examining student achievement district-wide, which
translates into professional development that is always linked to student achievement
data. The level of implementation is also moderate as the current professional
development team is new to their positions and they have just begun to coordinate
their work with the other departments. The staff is beginning to provide coaching
and is working with the sites to align the school plans to professional development
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activities to improve teacher and student outcomes. The implementation of the
department’s goals has been slightly hindered due to changes in leadership.
Human Resources System and Human Capital Management
Table 22 summarizes the pre and post quality rubric scores for the House
Element Human Resources System and Human Capital Management, comparing the
pre and post quality scores as well as the strategic action steps as outlined by the
Superintendent to implement the reform strategy human resources system and human
capital management.

Table 22: Rubric Scoring of Human Resources System and Human Capital
Management

House
Elements
Quality
Pre
Quality
Post
Essence of the Difference Between
Pre and Post Implementation
Strategies / Action Steps
HR
System
1 3 From a department with a reputation
for poor customer service to a
department where “all staff speak the
same language” with employees that
feel valued and are held accountable
• Accountable- Operational Plan
bi-weekly meetings, goals for
retention, HQT
• Customer service: 4 R’s
Recruitment, Relationships,
Recognition and Respect
• Converted stand-alone
personnel systems into
integrated systems

Following the interview process, the researcher concluded that Fair City’s
human resources practices garnered mixed reviews while there was a strong
Apprentice Program, university partnerships and several compensation incentives.
However, based on interviews and the artifacts reviewed, it would appear that the
salary schedule was not competitive for the area. The Deputy Superintendent of Fair
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City stated that the district implemented many recruitment strategies to entice new
teachers to become part of the team such as the TAP grant, relocation incentives and
computer packages and paired teaching support. The Deputy Superintendent and
staff voiced concerns regarding the effect of the uncertainties of declining enrollment
which have delayed the staffing allocations and a hiring process that has resulted in
good candidates taking other employment. In addition, Fair City Public School
District has had a practice of hiring large numbers of teachers as temporary
employees that have remained temporary for many years, thus missing the
opportunity for tenure. Based on these factors, the recruitment of highly qualified
teachers to improve student achievement continues to be a challenge for the District.
A key human resources staff member described Fair City’s strategy for recruitment
as follows:
When you go out to recruitment fairs and you talk with teachers about what’s
important to them, it isn’t really salary. It’s about support and what happens
on a day-to-day basis in the work environment and how they feel about
coming to work.

Table 23 presents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District describing the initial
reform strategies that have been implemented by the Superintendent to improve
student achievement by applying the House Element of the Human Resources
Systems and Human Capital Management.
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Table 23: Addressing Change in Human Resources System and Human Capital
Management

Strengths Challenges
• Apprentice Program, National Board & paired
teaching support
• Great partnerships: Claremont graduate school
fellowship match for special education
partnership and Cal Poly Pay
• Compensation incentives are used in recruiting:
TAP grant, relocation incentives, and computer
packages for hard to fill positions Math and
Science all filled
• Declining enrollment, dropped approximately
2,900 students in the past two years
• Projected enrollment uncertainties delay the
staffing allocations to schools resulting in a late
hiring cycle
• The practice of hiring large numbers of teachers as
temporary employees and their remaining
temporary for many years
• Delays in the hiring process have resulted in good
candidates taking other employment
• After years without I.S. leader, adjusting to
changing the focus on instruction implementing a
connected, common filter with HR
• Lack of a sufficient number of both certificated and
classified substitutes
Strategies
• Clear about expectations, Six Fundamentals of Coherence: 4. Aligned Resources… to support and
assure student learning alignment of Personnel Department budgets support to students
• HR Operational Plan bi-weekly meetings, goals for retention, pre-employment, HQT in the classroom
Williams compliant
• Superintendent is using new resources and the opportunity to realize importance of the department,
focusing on Teachers, Time; Road maps—huge difference, quality leadership “all staff speak the same
language”
• Continuing to develop positive customer service centered on the 4 R’s Recruitment, Relationships,
Recognition and Respect
• Superintendent strengthened partnership with universities
• Established benchmarks for the implementation of goals in Strategic and Operational Plans
• Conducted a comprehensive analysis of the district’s teacher turnovers
• Converted stand-alone personnel systems into integrated systems that facilitate sharing and reduce
duplication of effort
• Use of technology improved the personnel presence on the district web site
• The Human Resources Department provides the supportive efforts to principals on hiring, discipline and
evaluation
• Recognition/incentive programs includes classified employees of the district

As reported by the Superintendent, the two outside consultants and human
resources staff, all indicated that one of the District’s greatest assets was human
capital. The reported challenges include overcoming poor morale due to poor
customer service, perception held by a large number of individuals that express
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serious concerns about discourteous conduct toward applicants and district
employees, the aging work force and the need to make-up for failure to connect with
the Instructional Services Division since the instructional department did not have a
leader for seven years.
The most effective reform strategy for the Human Resources Department
included the use of the audit that was reported to have created an avenue for
continual improvement in the human resources system by employing a model that
follows a circular process of plan, check, and act, resulting in continuous evaluation
and improvement. According to Dr. Soldado, she began her tenure with an audit of
major departments including human resources to assess the quality and efficiency of
divisions within the organization. The results of this study provided a road map to
assist the Superintendent in assessing specific areas in need of restructuring. This
process guided the leadership in the development of the Human Resources
Operational Plan with goals for recruitment, retention and the employment of highly
qualified classroom teachers. There is high support with high accountability to be
monitored and evaluated quarterly. The goal of these new processes is to improve
student achievement by ensuring that the best and brightest are recruited and
retained in Fair City. The Superintendent has defined the new vision by continuing
to foster and develop positive customer service centered on the four R’s:
recruitment, relationships, recognition and respect for staff, who are now reporting
that they feel connected to the organization.
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The principal on special assignment, who has been assigned to the personnel
office, attributes the success of the department to the implementation of the Cycle of
Continuous Improvement and made the following comments regarding the personnel
audit which helped to develop standards of practice.
…. I know many departments have gone through the audit, but one of the
things that we’ve brought back and, and we rely heavily on, is feedback from
our stakeholders, feedback from the principals, from the teachers, from the
classified staff.

From additional comments made, it was evident that the audit improved customer
service and solidified the human resources team.
The researcher evaluated each component of the human resources system and
human capital management processes to assess prior quality, current quality and
level of implementation of Fair City’s plan utilizing two research-based rubrics.
Table 24 lists the ratings for previous quality, current quality and the average score
that delineates the overall level of implementation for this reform strategy.

Table 24: Human Resources System and Human Capital Management Rating by
Rubric Component

Rubric Components
Previous
Quality
1
Current
Quality
3
Level of
Implementation
Recruitment, Selection and Placement of
new Administrators
1 3
Recruitment of Highly Qualified Teachers 1 3
Teacher Support and Development 1 3
Salaries, Wages and Benefits 1 3
Use of Incentives 1 3
2
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Based on the data collected during the interviews and a review of documents,
the rubric ratings for human resources system and human capital management
support an average pre-score of 1 and an average post-score of 3 for the quality of
this reform strategy and an overall score of 2 for the current level of implementation.
The scores for the human resources system and human capital management reform
strategy indicate a moderate for the current level of quality. The human resources
audit guided the leadership in the development of a solid Human Resources
Operational Plan with goals for recruitment, retention and the employment of highly
qualified (HQT) classroom teachers.
Fair City’s human resources practices present a perplexing story. The
implementation rating is low since interviews and review of the artifacts indicate that
the salary schedule is not competitive and recruiting highly qualified teachers to
improve student achievement continues to be a challenge for the District. The
Human Resources Department continues to engage in a number of recruitment
strategies to address this issue, such as grants for teachers, relocation incentives, and
computer packages and paired mentoring teacher support.
Finance and Budget
Table 25 summarizes the pre and post quality rubric scores for the House
Element Finance and Budget comparing the pre and post quality scores as well as the
strategic action steps as outlined by the Superintendent to implement the reform
strategy.
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Table 25: Rubric Scoring of Finance and Budget

House
Elements
Quality
Pre
Quality
Post
Essence of the Difference Between
Pre and Post Implementation
Strategies / Action Steps
Finance
& Budget
3 4 Moved the department from the
typical fiscal service model to active
participants in helping schools meet
their academic targets through the
operational Plan
• Created Associate Director
position
• Provided workshops to help the
principals understand budgets and
align site budgets to the ABSA
school plan
• Facilities under umbrella of
finance

In the past, prior to the appointment of Dr. Soldado, the Superintendent and
the Board of Education worked annually to set fiscal goals, but these goals were not
communicated across the system. The budget was not aligned to student outcomes,
but was aligned to the district’s previous priorities. Although there was not a link to
instruction, the department had solid practices resulting in a moderate pre-score on
the rubric. Currently, the District goals and priorities are now linked to the strategic
plan incorporating measurable objectives and outcomes that are used as the basis of
budget planning. The budget is closely aligned to the district’s mission, goals, and
operational activities and identifies who is accountable for specified outcomes. The
fiscal team made an effort to understand the District’s past fiscal issues, problems,
challenges, and accomplishments in order to gain a perspective on how to guide the
district in the future. Through conversations with the chief financial officer, the
researcher deduced that the business services department moved form a functional
role to supporting classroom instruction.
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Table 26 presents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District and describes the initial
reform strategies implemented by the Superintendent to improve student
achievement in the House Element of Finance and Budget.

Table 26: Addressing Change in Finance and Budget

Strengths Challenges
• Decentralized approach to budgeting, schools
and departments are allowed to make decisions
but then held accountable for student outcomes
• Staffing ratios maintained to comply with
current collective bargaining contracts
• General Fund Reserve for Economic Uncertainty
of no less align with state criteria and standards
for districts of similar size
• Declining enrollment lost approx. 2900 students
projected to continue to decline
• Keeping up enrollment at the Charter school
• A plan for a budget committee will require
systematic training members need to stay on and be
educated
• Process of correcting budget, change in focus
different Division
• Re-structuring for a stronger focus on student
achievement
• ten new principals continued need to train on
learning budget aligning school plans
Strategies
• Change in priorities
• Creation of new positions/Divisions folded facilities under umbrella of finance
• Facilities study to look at reconstitution of schools; opened a District charter this year
• Systems in place to address budget crisis all new general fund positions controlled by elimination of
something else
• Revised the ABSA plan, aligned the academic program with business services
• Great negotiations-- two year contract zero increase compliment from LACOE 08-09 numbers are the
numbers
• Associate Director position to help principals understand budget and create best practices
• Inclusiveness of the Department has moved the department beyond service model to active participants in
helping schools meet their targets
• Training by Consultant from School Services

Fair City’s financial records demonstrated that the district was fiscally sound.
The Board of Education was involved in the process of budgeting, but not focused on
using the resources to support the increase of student achievement. The greatest
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challenge in this department was to become inclusive, in other words, to move the
department beyond a service model to one that actively participates in helping the
schools meet their targets. The new Superintendent utilized school services to link
the services provided by business services to the mission, goals, and to help the
department to understand their role in supporting school sites in improving
instruction. The Chief Financial Officer described this paradigm shift and made the
following comments:
…we always believed that our role was service. …our business services in
this district had always been service-oriented. That’s never been a problem.
All the directors … there’s a lot of our staff in business services, that live in
this district and are parents in this district. So, there is a lot of dedication to
the service. It’s just that we weren’t linked as, as closely as we are [now].

The researcher evaluated each component of finance and budget to assess
prior quality, current quality and level of implementation of Fair City’s plan utilizing
two research-based rubrics. Table 27 lists the ratings for previous quality; current
quality and the average score and delineate the overall level of implementation for
this reform strategy.

Table 27: Finance and Budget Rating by Rubric Component

Rubric Components
Previous Quality
3
Current Quality
4
Level of Implementation
Strategic Budget Planning 3 5
Organizational Culture 3 3
Operational Procedures 3 5
3
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Based on the data collected during the interviews with the fiscal department’s
administrative staff and a review of documents, the rubric ratings for finance and
budget support a pre-score of 3 and a post-score of 4 for the quality of this reform
strategy and a score of 3 for the current level of implementation. The scores for the
finance and budget reform strategy indicate a moderate-high level of quality. The
District goals and priorities are linked to the strategic plan incorporating measurable
objectives and outcomes that are used as the basis of budget planning. The budget is
closely aligned to the district’s mission, goals, and operational activities and
identifies who is accountable for specified outcomes. The Fiscal team understands
the District’s past fiscal issues, problems, challenges, and accomplishments in order
to gain perspective on how to guide the district in the future. The District received a
moderate score in the level implementation as declining enrollment continues to be a
fiscal challenge. There are also ten new principals, thus creating a continued need to
provide training on the budget and the alignment of the budget with school plans,
focusing on student achievement. The interviewees indicated the need for a budget
committee which will require systematic training of members. As the facilities are
now supervised by the Fiscal leader, there is need to preserve the use and value of
existing facilities and equipment through capital improvements and preventative
maintenance.
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Communications
Table 28 summarizes the pre and post quality rubric scores, the essence of the
difference between pre and post quality as well as the strategic action steps taken by
the Superintendent to implement the reform strategy of communication.

Table 28: Rubric Scoring of Communications

House Elements Quality
Pre
Quality
Post
Essence of the Difference
Between Pre and Post
Implementation
Strategies / Action Steps
Communications 1 3 From a district with little
community contact and an
unseen Superintendent to a
highly visible Superintendent
utilizing a new Communication
Department to create a new
image for the public
• Community forums focused
on Reaching, Teaching and
Learning reaching in all
communications
• Designed web-page virtual
tours in the process of
creating a new image
• Communications Department
“works” the press, free
media/LA newspapers

The Communication Officer noted that the Superintendent recognized that
too many stakeholders believed that Fair City was not a welcoming and safe school
district. Some of Fair City’s schools represented negative images of safety concerns,
poor curb appeal and little focus on instruction resulting in a pre-score of 3. In
addition, the former Superintendent filed a lawsuit against the local newspaper,
resulting in negative press that hindered positive communication. A communications
plan was not developed due to the District’s lack of a vision to employ a
communication department. The District had no venue to communicate the mission
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and vision. Schools were not required to send printed materials to parents, thus the
community was unaware and not informed of the District’s activities and events.
Through their interviews, the communication staff indicated that currently,
the Superintendent has made a commitment to transparency and open
communication, and developed the Communication Department and enabled them to
breakdown the barriers and communicate the new vision to the public. She engaged
in a personal relationship with the paper and frequently makes sure that positive
stories about Fair City Public School District go out to the public and the press. The
Fair City Public School District’s staff has expressed the opinion that they believe
her genuine passion and caring style when working with families is naturally a part
of her character. However, Dr. Soldado attested to the fact that she acquired many of
these skills in other educational settings. Specifically she states that in working with
the Annenberg Foundation at the Los Angeles Metropolitan Project (LAMP), taught
her an important lesson that open communication and a strong community base
ultimately increases student achievement.
Table 29 presents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District and describes the initial
reform strategies implemented by the Superintendent to improve student
achievement in the House Element of Communications.
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Table 29: Addressing Change in Communications

Strengths Challenges
• Community will attend activities when invited
interested in home-school communications
• Community accepting of new Superintendent
and open to changes
• 99% of what happens each day at each school
and in each classroom is positive
• Overall, lack of any understanding of the need to
market the district despite years of declining
enrollment
• District missing a Web presence for information and a
marketing plan
• Need for a Communications Office Need for web
master
• Marketing plan not board approved
• Two versions of old logos that do not communicates
“who we are or what we do for children
• News paper covered scandals only
• Perception that the previous Superintendent and
school board did not view bilingualism as an asset
• Poor school presence on web-site
• School newsletter not requirement hands-off approach
former Superintendent
• Need for better regular internal communications
staff/parents
Strategies
• Created a Communication Department
• Analyzed the public perception
• Department is engaged now in a branding effort, attempting to create a new image because public has lost
confidence
• Reaching, Teaching and Learning reaching in all communications “children instead of students” human
aspect by design
• Communications Department “works” the press, free media/LA newspapers, daily bulletins School District
• Visible Superintendent Past 17 months
• Staff talks about “children” instead of “students,” “schools” instead of “sites,” and “Reaching” just as much
as “Teaching and Learning.”
• Superintendent articulates in English and Spanish that the governance board cares about all students
• District newsletter 47,000 quarterly 4x focused on themes
• Superintendent’s presence on the district website, her Bog entries, and to more regular e-mail
communication

In discussion with the communications staff, the researcher discovered that
although marketing and communication was limited, 99% of what was happening in
the classrooms at schools was positive news. The challenge faced by the district
amounted to the fact that there was an absence of the district in the community
news. The district also had a need for better internal communication as many
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departments and schools operated in isolation. Dr. Soldado addressed these issues
strategically by hiring a Communications Officer and she began to utilize the press
to send clear positive messages to the community. The Communications Officer
stated that he hit the ground running and created a web-presence for the district and
designed printed publications in English and Spanish to connect with the
community.
The researcher evaluated each component of the communication strategy to
assess prior quality, current quality and level of implementation of Fair City’s plan
utilizing two research-based rubrics. Table 30 lists the ratings for previous quality;
current quality and the average score and delineate the overall level of
implementation for this reform strategy.

Table 30: Communications Rating by Rubric Component

Rubric Components
Previous
Quality
1
Current
Quality
3
Level of
Implementation
Communications Plan 1 3
Communications Office 1 3
Communication of District Vision to the
Community
1 5
Build Support for District Initiatives 1 3
Two-way Communications with
Community
1 3
2
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Based on the data collected during the interviews and a review of documents,
the rubric ratings for support garnered a pre-score of 1 and a post-score of 3 for the
quality of this reform strategy and a score of 2 for the current level of
implementation. The scores for the communication reform strategy indicate a
moderate level of quality as the Superintendent has made a commitment to be
transparent and to further the use of technology to inform the community to maintain
open communication. The web site and her Blog has led employees and parents to
acknowledge that presently they have heard more from and seen more of their
Superintendent than at any time in the past. The Communications Officer worked
closely with the Superintendent to breakdown the barriers by communicating the
new vision to the public. Through community forums, the Superintendent listened to
the community and then she responded quickly to the public’s requests and concerns.
The district received a low score in the level of implementation as the department is
relatively new and there is not yet a written communication plan in this area. During
the interviews, the Communications Officer indicated the need for additional staffing
in this division. The work with school sites is still limited; the principals are
beginning to develop newsletters. It is evident from the 2006 community-
engagement meetings that parents wanted to hear from their leaders. Dr. Soldado is
beginning to build a strong community base with the goal of increasing student
achievement. She has repaired the District’s relationship with the press resulting in
positive press releases.
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Governance and Board Relations
Table 31 presents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District and describes the initial
reform strategies implemented by the Superintendent to improve student
achievement in the House Element of Governance and Board Relations.

Table 31: Rubric Scoring of Governance and Board Relations

House
Elements
Quality
Pre
Quality
Post
Essence of the Difference
Between Pre and Post
Implementation
Strategies / Action Steps
Governance &
Board
Relations
1 3 From negative Board
governance relationships
without vision to a coherent
Board focused on student
achievement
• Quickly developed community
relationships “a power base” for
credibility
• Called upon Urban School
Leadership Institute
Springboard to assist in the
governance relations
• Developed strategies and
symbols for the Board to own
the Six Fundamentals of
Coherence

Prior to the arrival of Dr. Soldado, information was not made readily
available to the Board. The District’s vision, mission, value, and priorities were non-
existent. The goals were not measurable and were not reviewed. Board policies were
not adopted or approved and they did not have input in the curriculum adoption. The
budget allocation did not align resources based on instructional priorities and student
needs. There was no evidence of reform efforts that directly influenced student
achievement. The Board did not have systems to monitor student achievement and
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rarely communicated any information to the community. There was a need to
evaluate the Superintendent, set policy for personnel evaluations and monitor
program effectiveness. The elected members serving on the Board and the
governance structure did not involve the community in any meaningful way and did
not readily accept feedback from the community.
Supported through the design and acceptance of the Six Fundamentals of
Coherence of the Strategic Plan, the Board of Education has changed its vision,
mission, values, and priorities to focus on student achievement. The needs of all
students are now clearly articulated throughout the school community. The District’s
current goals are measurable and possibly achievable and will be evaluated annually.
Instruction is beginning to be aligned to student needs to close the achievement gap
and the Board of Education is setting policies and the direction for adopting the core
curriculum. In addition, the Board established budgeting priorities on time and
consistent with the vision and goals of the district. The budget aligned resources to
instructional priorities and student needs and there was some evidence of additional
support for reform efforts that directly impact student achievement.
Table 32 presents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District and describes the initial
reform strategies implemented by the Superintendent to improve student
achievement in the House Element of Governance and Board relations.
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Table 32: Addressing Change in Governance and Board Relations

Strengths Challenges
• The Board of Education does
not impede system
• The Board of education hangs
tough with the union
• Four member Board election
coming up in November
• The District’s vision, mission, value, and priorities lacked focus
Changing the focus and priorities from property to student
achievement
• Change the focus from property management to instruction, New
agenda from land acquisition to student achievement
• Recovering from the scares of the recall of 4 Board members accused
of rubber stamping for then former Superintendent
• Board members serving to keep health insurance
• Board members who continue to have relationships with former sup
• Board members with a firm belief that two foundations bring funding
to the District
• There is very little to no information available at any district site or in
the LEA plan
• The goals are not measurable or non-existent and are not reviewed
• The Board of Education and district was disconnected with
community as they did not fully understand their role and had no
regard for student achievement and often disagreed publicly
Strategies
• Developed Listening and Learning Entry Plan which was critical to assessment and the development of
measurable goals
• Quickly developed relationships which became a power base credibility a popular Sup with community
support
• Provided opportunity for Board ownership of strategic plan and held Board retreats
• New Board member changing the culture (beginning to understand roles and support the Superintendent)
• Contract that prevented Board approval of positions for people that the Board liked to keep and protect
• Conducting the FCMAT audit removing and replacing the facilities Admin
• Board supported the development and acceptance of the Six Fundamentals of Coherence
• Employed a Spring Board’s Coach to assist in the Board governance relations
• Develop strategies and symbols for the Board to own the Six Fundamentals of Coherence
• Forced Superintendent Evaluation to model for others in the system that the Superintendent is held
accountable

Although the strength of the Fair City Board of Education was longevity and
fiscal solvency, the Superintendent was challenged by the necessity to build a
relationship with the board. The challenge for the Superintendent was to have the
board fully understand their role in focusing on improving student achievement. This
included the development of standards of practice and she proposed to the board that
she be evaluated on student performance. The Superintendent describes the process
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as difficult but worth the effort. Dr. Soldado employed a personal coach to observe
her during board meetings and give her feedback on her behavior in an effort to help
her gain the confidence and trust she needed to move the board forward.
In order to develop a theory of action for change, Dr. Soldado called upon the
support of the Urban School Leadership Institute alumni to work with her and the
Board of Education to understand the theory of system change and create an
environment for reformed governance that over time has transformed the culture of
the district. The Board is committed to improving student achievement and supports
the initiatives put forth by the Superintendent. As described by the Superintendent,
“They’re committed more so than I have ever seen, even them because they’re
getting now more community support, they’re bumping into people on the street who
say, “Oh, there are good things happening in Fair City.”
The researcher evaluated each component of the governance and Board
relations to assess prior quality, current quality and level of implementation of Fair
City’s Plan utilizing two research-based rubrics. Table 33 lists the ratings for
previous quality; current quality and the average score and delineate the overall level
of implementation for this reform strategy.
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Table 33: Governance and Board Relations Rating by Rubric Component

Rubric Components
Previous
Quality
1
Current
Quality
3
Level of
Implementation
Setting the Direction for the Community’s
Schools
1 3
Establishing an Effective and Efficient
Structure for the District
1 3
Providing Support and Resources 1 3
Ensuring Accountability to the Public 1 1
Actions as Community Leaders 1 3
1

The rubric ratings for governance and Board relations support an average pre-
score of 1 and an average post-score of 3 for the quality of this reform strategy and
an overall score of 1 for the current level of implementation. The scores for the
governance and board relations reform strategy indicate a moderate level of current
quality since the Board of Education partially supports the District’s vision and is
beginning to support and empower the Superintendent. The Board of Education has
changed its vision, mission, values, and priorities to focus on student achievement.
The tenuous relationships between the Board and Superintendent are changing and
have become more positive over time.
There is much work to be done in refining roles and fully implementing the
standards of practice resulting in a low score for the current level of implementation.
The Superintendent still calls upon The Urban School Leadership Institute for
support and employs a professional Springboard coach to help her to continue to
improve her skills in this area. In the exit interview, Dr. Soldado indicated that
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follow-up for The Urban School Leadership Institute’s Governance Workshop would
be helpful as “Superintendent and Board relationships are hard.” She is putting
systems in place but did not feel she was quite there yet. She stated, that she learned
a lot but that “the most important thing is having somebody there who knows the
community and that can debrief with the new Superintendent after the Board
meetings because it is not something a Superintendent can discuss with the staff.”
Labor Relations and Contract Negotiations
Table 34 summarizes the pre and post quality rubric scores for the House
Element Labor Relations and Contract Negotiations comparing the pre and post
quality scores as well as the strategic action steps as outlined by the Superintendent
to implement the reform strategy labor relations and contract negotiations.

Table 34: Rubric Scoring of Labor Relations and Contract Negotiations

House Elements Quality
Pre
Quality
Post
Essence of the Difference
Between Pre and Post
Implementation
Strategies / Action Steps
Labor Relations
& Contract
Negotiations
2 3 From limited communication
with association leaders to
moderately open
communication during the
bargaining process and a
contract linked to student
achievement
• Contract linked to student
achievement evaluation
negotiated carrot and the stick
paid staff development
• Formed Advisory Group to
address issues for negotiations
• Held monthly meetings with
both associations;
Superintendent and union
lunches
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Historically, the District has had positive negotiations as a result of the long-
standing tenure of the Deputy Superintendent and his ability to form positive
relationships with the associations’ bargaining teams. The District secured and
established definitive roles and responsibilities for both teams. The lead negotiator
for the District stated he took a different approach when working with certificated
and classified staff. His credibility and political savvy resulted in successful
negotiations. During negotiations, the teams did not engage in interest based problem
solving but practiced traditional bargaining. Stakeholders were informed of the
negotiation process and information was fluid regarding the process itself. There
were unusual nuances in the contract in regards to transfers and teacher evaluations.
Negotiations regarding student achievement could not be aligned with instructional
practices, as the teams did not have a strategic plan. For the most part outcomes
focused on staff.
There has been a change in the union president causing tension in the
working relationship. The District and union are beginning work together to
determine an overarching approach to setting bargaining goals and objectives in
relation to the importance of the district mission and possible bargaining success.
Bargaining members are provided with some training on bargaining strategies. It was
recommended in the audit for teams to focus on interest-based strategies. Teams are
starting to work together collaboratively to review existing contract language to
identify problem areas, articulate community concerns and discuss the current impact
of current language on student achievement. Stakeholders are informed of planning,
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updates, modifications to proposals and strategies, and tentative and final
agreements. Teams are encouraged to use the Six Fundamentals of Coherence of the
Strategic Plan, mission statements, major goals and core values to develop
objectives.
Table 35 presents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District and describes the initial
reform strategies implemented by the Superintendent to improve student
achievement in the House Element of the Labor Relations and Contract Negotiations.

Table 35: Addressing Change in Labor Relations and Contract Negotiations

Strengths Challenges
• Trusting relationships
• Deputy has historical perspective
• Two year contract without re-openers
• Language for removal from classroom
for negative evaluations
• Changing “Labor Peace” culture. Transition of leadership in
the teachers association Union president
• Unusual transfer language
• New union leadership “president” for certificated with new
agenda
• Equitable contract Shore –up prep and dismissal times
• Contract limits the amount of time a principal may meet
with his/her staff
• Big Question: “What do we do with the contract to improve
student achievement consistently over time?”
• Aging workforce benchmarks; 85 teachers that need to
retire but have tenure
• Need to release letting go 60 of the brightest lose
investment in professional development
• Long Temporary Contracts 8 years
Strategies
• Audit of Personnel Department
• Operational Plan with objectives and targets
• Contract linked to student achievement evaluation
• Connection among departments Business Services presents financial data to the district and the employee
organizations during the bargaining process
• Formed Advisory Group to address issues for negotiations
• Working on equity for all members of the organizations example: equal preps
• Monthly meetings with both associations; Superintendent and union lunches
• Open communication with organization
• Contract allows to pull-out unsuccessful teachers to act as rotational subs
• Carrot and the stick staff development for admin to learn about negotiations
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According to the Deputy Superintendent of Human Resources, the strength of
the department was the longevity of the staff, he commented on the fact that the
senior technical assistant had been in the department for twenty years and that he
watched one of the other leaders grow as a teacher, principal and advance into his
current position. This veteran team created an environment that fostered positive
relationships with each other and the association leaders. Until recently, the District
has a history of positive negotiations. Currently, working with new union leadership
has presented new challenges in this arena. The District’s leadership team has
worked diligently at fostering trusting relationships through open communication;
the team follows the Superintendent’s lead and operates in a transparent fashion.
During the interview, the Deputy Superintendent of Human Resources outlined the
importance of a flexible contract in order to support teachers who are not being
successful. He was proud of the fact that the Fair City contract allowed the District to
pull teachers out of the classroom that needed extra support. He stated it was
essential to have the flexibility to be able to remove ineffective teachers out of the
classroom to ensure that children received high quality instruction.
The researcher evaluated each component of labor relations and contract
negotiations to assess prior quality, current quality and level of implementation of
Fair City’s Plan utilizing two research-based rubrics. Table 36 lists the ratings for
previous quality; current quality and the average score and delineate the overall level
of implementation for this reform strategy.
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Table 36: Labor Relations and Contract Negotiations Rating by Rubric Component

Rubric Components
Previous
Quality
2
Current
Quality
3
Level of
Implementation
Relationships, Communications and
Trust
1 3
Negotiation Principles and Objectives 1 3
Strategies for Negotiation 3 3
Fair and Equitable Outcomes 3 3
3

The rubric ratings for labor relations and contract negotiations support a pre-
score of 2 and a post-score of 3 for the quality of this reform strategy and a score of 3
for the current level of implementation. The score for the labor relations and contract
negotiations reform strategy indicates a moderate level of quality as the District and
union are beginning to work together to determine an overarching approach to
bargaining goals and objectives in relation to the importance of the district mission
and possible bargaining success. One of the recommendations in the audit report
suggested that the negotiating teams focus on interest-based strategies, resulting in
some training on bargaining strategies for team members. Stakeholders are informed
of planning, updates, modifications to proposals, strategies and tentative and final
agreements. Teams are encouraged to use the Six Fundamentals of Coherence of the
Strategic Plan, mission statements, major goals and core values to develop
objectives. A moderate score for implementation was given as there are still some
obstacles and challenges in negotiations since there has been a change in the union
president causing tension in working relationships. The leadership teams are
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beginning to work together collaboratively to review existing contract language to
identify problem areas, articulate community concerns and discuss the impact of the
current language on student achievement.
Family & Community Engagement
Table 37 summarizes the pre and post quality rubric scores for the House
Element Family and Community Engagement comparing the pre- and post- quality
scores as well as the strategic action steps as outlined by the Superintendent to
implement the reform strategy of family and community engagement.

Table 37: Rubric Scoring of Family and Community Engagement

House
Elements
Quality
Pre
Quality
Post
Essence of the Difference
Between Pre and Post
Implementation
Strategies / Action Steps
Family &
Community
Engagement
1 2 From very limited parental and
community involvement to a
multi-level approach and an
informal action plan that
embraces parents as partners
• Conducted: needs assessment,
community engagement forums:
let the community speak
• Quick response to parents:
financed after school programs
and counseling
• Hired staff : Administrator for
parent involvement & Parent
Mediator to listen to parent
concerns

Prior to the arrival of the new Superintendent, schools received little support
from the district in planning trainings for staff with a focus on working with parents/
community. Schools were inconsistent in inviting parents to participate in activities.
Few resources were made available for schools to emphasize the importance of
communication between the home and school. The district and schools did little to
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address barriers to parent/community participation. The schools did not have active
parent committees. Parents/community had not been consulted in the development of
the Local Educational Agency Plan, parent involvement policies, parent needs
assessments, or school-parent compacts. Community organizations and/or
institutions were not involved in district and/or school activities.
Family and community engagement became a top priority for the
Superintendent as demonstrated in the Six Fundamentals of Coherence. The district
ensures and supports schools in educating all staff in working with parents as equal
partners, coordinates parent programs, and builds ties between parents/ community
and the schools. Both the district and school sites have developed a plan to organize
trainings for parents on a scheduled basis. The district staff is providing trainings on
how to work with the parents/ community. The Superintendent has instilled a
district-wide expectation for consistent and effective two-way communication
between the home and school for all families. Schools are beginning to regularly
emphasize the importance of communication between the home and school.
The Program Administrator for the parent engagement and community
involvement described the changes made by Superintendent Soldado as radical:
I almost interrupted when you asked, was there a change? And did she drive
that change? Because, goodness, the change could not have been more
radical, more felt, more obvious, more public…yes, there was definitely a
change and it was very much driven by the Superintendent as we can see…
So just to answer your question, and I don’t think its my feeling only that it
was serious, it was clear, and it was sent out to community members, parents,
staff, administrators, everybody [for whom] this was going to be a priority.
This is right up there.

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Table 38 presents the major strengths and challenges at the time the
Superintendent arrived at Fair City Public School District and describes the initial
reform strategies implemented by the Superintendent to improve student
achievement in the House Element of Family and Community Engagement.

Table 38: Addressing Change in Family and Community Engagement

Strengths Challenges
• Some PTA, PTO and Booster
Groups
• School Site Councils
• Open to change and learning about
roles
• Change in writing put money behind the rhetoric
• Implementing the November 2005 Community Engagement
report
• Go beyond the bake sale, PTA, Open House, Parent Ed to
address student achievement
• Involving schools in the new vision: to provide parents the
opportunity to be engaged parent education
• Training Admin and Confidential employees (salary incentives)
Multi-level approach entry look at where we are and developed
an informal action plan
• Monthly Parent lead meetings K-12 training for parents
• Following Mental Health Model focusing on the family and the
whole child
Strategies
• Needs assessment: Two questions what are we doing well? What can we improve? Aligned to Youth Master
Plan Which became Youth & Family Master Plan
• Talking to parents about data what does it mean that we are Program Improvement District
• Outside Consultants to assist in the needs assessments Century Consultant Company
• Support for Compliance oriented groups DELAC SSC title I, PICA, guidance for PTA, PTO, Boosters
• Quick response to parents requests: after school programs ACSES 1 million in-kind, counseling ten82 ratio
down
• Hired Staff : Program Administrator over parent involvement & Parent Mediator to listen to parent concerns

Many positive accolades for the visionary leadership of Dr. Soldado were
expressed during the interviews with the newly appointed Family and Community
Engagement staff. The staff indicated that the Superintendent built upon the
strengths of community involvement which were limited but included traditional
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activities such as school site council, PTA and booster clubs. The community
embraced Dr. Soldado as she made it a priority to listen to parent and community
concerns. She quickly acted upon the committee’s request to involve them in the
decision-making and created many avenues for communication. Additionally, Dr.
Soldado sent a clear message in the strategic plan by including a strategy focused on
parent and community engagement. It was evident throughout the interviewing
process that everyone in the organization was aware that connecting with families
was one of the Superintendent’s top priorities. Dr. Soldado gathered both oral and
written input and feedback from the community of Fair City. This information was
the basis for the Community Engagement Report. The challenge for the
Superintendent and her team was to implement goals with measurable outcomes
from this information. A supporting administrator in the interview commented
specifically on the success of the parent engagement forums due to the fact that Dr.
Soldado acted immediately upon the parent concerns by opening after school
programs, increasing counseling services, hiring a program administrator for parent
and community engagement and a mediator to deal with all compliance issues and
parent concerns.
The researcher evaluated each component of the curriculum to assess prior
quality, current quality and level of implementation of Fair City’s plan utilizing two
research-based rubrics. Table 39 lists the ratings for previous quality; current quality
and the average score and delineate the overall level of implementation for this
reform strategy.
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Table 39: Family and Community Engagement Rating by Rubric Components

Rubric Components
Previous
Quality
1
Current
Quality
2
Level of
Implementation
Parenting 1 1
Communication 1 1
Volunteerism 1 1
Learning at Home 1 3
Decision Making 1 3
1
Collaboration with the Community 1 5

The rubric ratings for family and community engagement support an overall
pre- score of 1 and an overall post-score of 2 for the quality of this reform strategy
and an average score of 1 for the current level of implementation. The current score
for the family and community engagement reform strategy indicates a low-moderate
level of quality. The district received a low score on the level of implementation for
family and community engagement as the staff interviewed indicated that Fair City is
in the planning stage for this reform strategy. They also noted, the racial and
socioeconomic differences continue to create a perception of the have and the have-
nots within the community. The district is beginning to support schools in educating
all staff in working with parents as equal partners, coordinating parent programs, and
building ties between parents/community and the schools. There is not systemic
reform but the district and school sites are developing a plan to organize trainings for
parents on a regular basis.
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The interviews further revealed information about the extent of the quality of
the ten reform strategies after the district leadership was assumed by the
Superintendent who is an Urban Institute graduate. The interviews and hard data led
the researcher to conclude that the implementation of several of the ten specific
change levers was in start-up phase and the reforms have not been fully
implemented. Based on the scoring rubric, the House Elements with the greatest
degree of implementation include: assessment, finance and budget, professional
development and labor relations. The House Elements with the lowest measure of
implementation included: governance and board relations and family and community
engagement.
During the interviews, the Superintendent and professional development
consultant and Springboard coach were asked to rate the level of implementation for
each of the ten strategies.
When asked, "How would you describe the level of implementation you have
achieved for each strategy used?", Dr. Soldado expressed her concern for the lack of
focus regarding the Six Fundamentals of Coherence in terms of instructional
practices for English language learners, special education students and secondary
schools. She noted the budget constraints were hindering the process of growth in
these areas. She also indicated there was a need for staff to continue to learn how to
use data to improve instruction.
When the consultants were asked, "How would you describe the level of
implementation achieved for each of the reform strategies used?", the professional
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development consultant responded that the staff trusts Dr. Soldado, they are aware of
the expectations of the Superintendent and “that they know that her heart is in
improving student achievement.” The Springboard coach indicated that although Dr.
Soldado has made significant progress, she has not been here long enough to put
sustainable systems in place. He described, “One of her greatest assets is that people
receive and respect and trust her.” Both interviewees indicated the Superintendent
was on her way to building solid relationships and in time, she would be able to
create a sustainable system.
This research and a review of literature indicate that the implementation
problems will require commitment and high quality leadership. The Urban School
Leadership Institute has developed safety nets to address the challenges and
sustainability issues related to leadership in urban education which leads to
addressing the action steps taken by the Urban Institute Superintendent in an effort to
reform the organizational and instructional systems in Fair City.
Action Steps Taken by the Superintendent
The research team conducted ten individual interviews with key staff
regarding the quality and implementation of each of the ten specific House Elements.
The interviews allowed the researchers to investigate the action steps taken by the
Superintendent and leadership teams to improve the quality in each of the ten
specific reform strategies. Information regarding the action steps assisted the
research team in understanding the reform strategies employed by the Superintendent
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to institute the change process. This information was used to complete the pre and
post rubrics and to rate the quality and implementation of the ten reform strategies.
In listening to the interviews and reviewing the transcripts, the researcher
discovered that the Superintendent took several actions that correlated to the
conceptual framework of the House Model to improve student achievement at Fair
City. It became evident that the Superintendent established an Entry Plan to be able
to take the necessary steps to improve communication, create a vision and set
expectations across the district. Dr. Soldado reorganized the central office, hired new
site personnel to assist in carrying out her goals. She focused on developing leaders
to build capacity within the system. These actions considered as a whole, defined a
theory of action in terms of the alignment and connection of curriculum, instruction
and assessment. By implementing particular launching strategies, a clear vision
evolved into the development of the strategic plan, which focuses on reaching,
teaching and learning utilizing the cycle of inquiry. All of the personnel interviewed
clearly articulated the organization’s mission.
Throughout the interview process, district personnel voiced that the
Superintendent insisted on operational excellence as evidenced in the new evaluation
system for all administrators. Her staff referred to her drive as “relentless passion.”
Many of them indicated that for the first time in their long careers in Fair City they
were held accountable for student achievement. Staff stated they were required to
align instructional and fiscal resources to support students in meeting targets and
develop transparent Operational Plans to meet measurable targets outlined in the
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district’s Balanced Score Card. The Superintendent called upon the assistance of
consultants to set-up standards of practice and led the Board in connecting the
system through the district’s strategic plan. She ensured that all staff had a clear
picture of the four-module accountability system supported through the staff
development department. Dr. Soldado invested in stakeholder management by
establishing a coherent governance team with a student-centered agenda supported
by the parents and community. The Superintendent engaged the organization in the
active participation of open communication, high support, high accountability, and
transparency with the goal of improving student achievement.
Table 40 illustrates a synopsis of the strategies and actions steps that were
implemented by Superintendent, an Urban Institute graduate, aligned to the rooms in
the conceptual framework the House Model.
The District’s reform change process involved additional House Elements
that were not included as the main focus of the study. Although this study focused on
ten particular elements of the house model, the researcher wanted to know if other
elements of the Urban Institute House Model were important in the reformation of
the District. It is important to note the impact of the additional House Elements was
interconnected with the ten elements and was discussed as part of the reform effort
during the process of conducting interviews with the Superintendent, the professional
development consultant, the Springboard coach and specific reform strategy staff.
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Table 40: Strategies Implemented within the House Model and Action Steps

Strategies
Implemented
Specific Action Steps:
Entry Plan - Led Listening and Learning Tour-Community forums
- Attended the Urban School Leadership Institute Governance Training with Board
- Developed a theory of action
- Worked on developing positive Board of Education relationships
- Developed a strategic plan
- Utilized the use of outside consultants and External Audits of all departments
- Reorganized central District and site leadership hired ten new principals and made 20
staff changes
- Developed of evaluation procedures for principals
- Signed contract negotiation with hiring and firing
- Focused on instructional leadership and professional development
- Developed community and business partnerships
Strategic Plan - Developed Clear Strategic Vision
- Focused on achievement and accountability: Reaching, Teaching, Learning “Cycle of
inquiry”
- Designed Year 1 strategic priorities and targets
- Expanded Year 2 Six Fundamentals of Coherence and the higher level of
accountability
- Developed Balanced Score Card targeting specific interim assessments growth,
Academic Performance Index (API), Adequate Yearly Progress(AYP) growth
- Defined a theory of action in terms of the alignment and connection of curriculum,
instruction, and assessment
Operational
Excellence
- Developed evaluation system for site and central office administration
- Hired a new Chief Academic Officer (CAO) and two principal coaches
- Requested Senior leadership to complete Operational Plans aligned to the Strategic
Plan and Balanced Score Card
- Held weekly meetings to discuss plans
- Required leaders to present progress on goals to the entire management team four
times per year
- Aligned School Plan (ABSA) with expenditures
- Required all Instructional and Fiscal resources be aligned to support students in
meeting targets
Instructional
Alignment
- Hired a new Chief Academic Officer and Coaches
- Refocused on reaching, teaching and learning resurrect the vision from the Harvard
experience
- Restructured the division to remove Silos “High Accountability, High Support”
- Utilized the Six Fundamentals of Coherence, Strategic Plan and operational plans to
connect curriculum, instruction, assessment and professional development
- Increased drive and focus on data driven instruction affirmed all staff have clear
picture of the 4 module accountability system
- Aligned benchmark assessments to with state and federal testing programs
- Utilized data system RXNet, for analysis of CST, CELDT,CAHSEE & CAPA
- Divided the Professional Development Department from one K-12 position to two
positions
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Table 40, continued

Stakeholder
Management
- Refocused the Board of Education/District from real estate acquisition and property
management to instruction and accountability
- Started weekly check-in meetings and scheduled Board retreats
- Utilized a practice of transparency in working with the board with the goal of creating
positive and productive Board-Superintendent relationships
- Established a cohesive Governance Team with a student-centered agenda
- Maintained Superintendent; highly visible and transparent
- Fostered Open communication and positive relationships among stakeholder groups
through the community forums and the public communication officer
- Established a Communication Department-a web page, Blog, positive internal and
external press
- Conducted a needs assessment: Two questions what are we doing well? - What can
we improve?
- Aligned to Youth Master Plan which became Youth and Family Master Plan
- Superintendent engaged in 1 to 1 meetings with parents
- Talked to parents about data what does it mean that we are Program Improvement
District
- Led community engagement forums: let the community speak
- Offered Parent Ed at 38 of 41 schools partner with Adult Ed: ESL, Citizenship,
Literacy
- Created a welcoming culture for parents empowering parents
- Conducted November 2005 Community Engagement report

Other House Model Elements
The Superintendent’s contract was a positive element in empowering the
Superintendent to hire key players to restructure the organization. She changed the
organizational chart which included moving the Facilities Department under the
supervision of the CEO in the Fiscal Department and requiring the Director of
Assessment to report to the Superintendent. Her contract also helped her to apply the
House Element of organizational audits, which included contracting the help of
outside consultants to conduct external audits of all departments to be used as
leverage for changing operational and instructional practices in the Entry Plan. The
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principals were assisted by the Springboard coaches to improve in the area of
leadership effectiveness. The Superintendent held the principals accountable for
student achievement through the development of new evaluation protocols.
In the room known as Instructional Alignment, the other House Elements
implemented by the Superintendent included: (a) standards, (b) instruction, (c)
program effectiveness, (d) focus on lowest performers and (e) student support
services. The implementation of these other House Elements worked together to
create a notable impact on the choice of reform as stated by the Superintendent. All
departments and staff are expected to contribute to closing the achievement gap
through the Academic Plan for Student Achievement (APSA); all plans have
standards based goals and focus on the themes of Reaching, Teaching and Learning.
The new focus on instruction allowed all employees to be able to earn extra credit on
the salary schedules by attending research-based staff development trainings in the
evenings. AB 466 training helped the staff with the alignment of math and reading
instruction at the sites. The Curriculum Department developed curriculum maps and
pacing guides to support standards-based instruction. Dr. Soldado led the staff to
focus on the needs of the lowest performers, which included interventions for the
English Language learners and special education students. As part of the movement
toward managed curriculum, the central office closely monitored and evaluated the
interventions, with the goal of aligning operational plans to focus time and resources
at Program Improvement sites. Student Support Services included offering in school
and after school intervention programs.
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In the room of Operational Excellence, the other House Elements: a) resource
alignment, (b) facilities, (c) performance management systems/accountability plan,
(d) business services, and (e) operational service were incorporated in a systematic
fashion to create a coherent organization. The Superintendent’s actions stressed the
importance of resource alignment. She required that all funding, including
categorical funds, be aligned to the strategic plan. The fiscal department is working
with administration to ensure resources are aligned with Local Education Agency
and school plans as well. The department’s operational plans and the Balanced Score
Card serve as Performance Management Systems and Accountability Plans
connecting goals. It was noted that operational plans and evaluation of principals are
in the infancy stages, thus, there is a need to continue to focus on accountability and
evaluating. The departments have begun to systematically work together to monitor
the levels of program implementation and effectiveness and the Superintendent
reports progress to the Board of Education. In the area of facilities, it was noted that
the District is in need of a bond to improve facilities, but the CFO stated there are
plans to address the facilities issues surrounding curb appeal following an audit. The
District opened a dependent charter school, a model technology school and is home
to a model high school. In the area of business and operational services, all funding
is connected to the district strategic plan; operational goals are also tied to the district
strategic plan. The business office is expected to address declining enrollment,
measure success and annually report to the Board. The Superintendent provided
opportunities for collaboration and expected the all departments to provide the
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highest quality operational services and align their work with newly adopted the
customer care standards.
In the area of Stakeholder Management, the other House Elements are related
to: (a) political relationships, (b) philanthropic and institutional partnerships, (c)
constituent service and (d) sustainability. It was reported numerous times through the
interviews, that the Superintendent is actively involved in the community and is well
known as an advocate for the district by the media and service clubs. The
Superintendent also reported meeting regularly with city, county, state and political
leaders. Philanthropic and Institutional Partnerships are increasing since the District
has developed positive relationships with Cal Poly and Claremont College higher
learning. In the area of Constituent Service, the Superintendent spends much time
gathering input from the parents and community and has established two parent
education positions and one position to handle complaints. The communication
department promotes the district’s vision and provides multiple opportunities for
constituents to respond to the District. The community understands that in the theme,
“Reaching, Teaching and Learning” all components are important in seeking a
positive relationship with the community. The House Element of Sustainability is
questionable as the Superintendent is relatively new and state funding is limited, the
Springboard coach player noted that the reform work may not be sustainable should
the Superintendent leave the District as the reform effort has not fully become an
integral part of everyday operations in the system.
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Discussion Literature Connection
The findings in this study were presented by analyzing the data that was
collected through the conceptual framework of the House Model. Four themes
emerged from the findings that provide purpose and meaning to the study:
(a) changing culture in the district, (b) the entry period, (c) strategic planning and (d)
accountability. Based on the literature reviewed, these themes are supported by
action research and best practices.
Changing Culture in the District
Through the act of courageous leadership, Dr. Soldado demonstrated the
ability to re-culture an entire system by establishing a new mission, vision and by
engaging all stakeholders in the strategic planning. She refocused the educational
community of Fair City Public Schools on teaching and learning. She presented a
reasonable, persuasive message to all stakeholders, “Fair City is about teaching and
learning!” Dr. Soldado believed in her staff and students but more so was she acted
on the premise of highly reliable organizations (HRO) that hold the belief that failure
is not an option (Blankstein, 2004). Dr. Soldado was able to exercise
transformational leadership because she had an internal sense of her purpose as the
leader of Fair City. According to Senge (1992), leadership is straightforward: be a
model, committed to personal mastery, as this behavior will encourage others to seek
out their own personal mastery. Throughout the data collection, her colleagues and
subordinates often referred to her as having relentless passion, a heart for the work
and clear sense of direction for the organization. Fullan (2001) refers to these actions
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as the defining ones own “moral purpose.” Through the research of the principles
connected to the concept of “failure is not an option”, Blankstein (2004) asserts that
having a moral purpose is the precursor to the Courageous Leadership Imperative
(CLI), in which leaders are able develop and implement projects to the end,
encourage outstanding performance in staff and sustain high achievement for all
students. Leaders with a Courageous Leadership Imperative are described as
balancing the interests of all groups, creating meaning, having clarity of purpose,
confronting data and building relationships.
The Superintendent’s goal was to break down all barriers that prevented Fair
City from acting as a living, learning system. Through open communication,
listening to staff, community meetings, the media and high visibility, Dr. Soldado
extended a shared sense of purpose “teaching and learning” among all of the
stakeholders as many had forgotten why they were there and others were simply
never given the opportunity to understand their role. These actions allowed the
Superintendent to quickly rebuild alliances in the community to support the change.
For many years, the Board of Education focused on property management and the
acquisition of land. Although the district was fiscally solvent, many of the students
were not achieving their goals or meeting state and federal standards. While
respecting the authority of the board, the Superintendent educated the board through
data analysis and on the importance of their role in teaching and learning. Over time,
the board changed their focus and began using data to understand the academic state
of the district and approved the necessary changes to improve teaching and learning
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for the students of Fair City. Dr. Soldado’s gift of transparent leadership allowed her
to be skillful at providing high-quality direction, learning in relation to results. The
Superintendent gained the respect and trust of the staff, parents and community thus
allowing her to be influential leader and a change agent.
Superintendent Soldado’s philosophy and the actions were closely aligned to
the work of Fullan (2008) in which the theory of change is outlined in his work
entitled, The Six Secrets of Change. Fullan (2008) asserts that following secrets can
be applied to large-scale reform to change organizations: (1) Love your employees,
(2) Connect peers with purpose, (3) Capacity building, (4) Learning is the work (5)
Transparency rules and (6) Systems learn. Fullan (2008) believes that staff members
will engage in continuous learning when meaningful relationships and motivation
connect them to their work. This proved to be true in the case of Fair City since the
Superintendent was able to change culture from individuals working in isolation to
coherent teams by focusing on student achievement and collaborating with the
community to focus on the same goal of improving student performance. It is
important to note that these changes in culture did not occur by accident but rather
through a strategic approach.
Entry Plan and Strategic Planning
Research supports that the fact that the first 100 days on the job are critical
for paving the foundation, building momentum, creating coalitions to sustain the
long-term success of the organization. Authors suggest that a leader should: a)
absorb information, b) define challenges, c) establish credibility, d) assess senior
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management team and e) prepare emotionally during the entry period (Neff & Citrin,
2005; Watkins, 2004). Superintendent Soldado strategically entered Fair City as the
Urban Institute prepared her with a set of skills to create a road map to address
transition challenges. Dr. Soldado began her position with a clear plan of entry, a
listening and learning tour, to establish a set of goals, activities and objectives to
transition into the Superintendency. Aligned with research of Neff and Citrin,
(2005); Watkins, (2004), Dr. Soldado worked hard to build personal credibility and
gathered data for the process of strategic planning during her first 100 days as the
new Superintendent.
Dr. Soldado accelerated her learning regarding Fair City’s board practices
and local politics through Urban Institute’s alumni support and professional
coaching. She hired a communication officer to promote the board’s new vision and
she took the time to identify opportunities to secure early wins with the staff and
community. Transparent communication and quick responses resulted in strong
stakeholder and community support. She gathered data through audits to match the
strategies she proposed to the identified needs of the district prior to developing
action plans. She evaluated the leadership team that she inherited and restructured
the team to create the leadership culture necessary for the success of the district.
Through the Entry Plan also referred to as the Listening and Learning Tour,
the Superintendent engaged in the practice of modeling the ethical behavior she
expected from others. She gained the confidence and trust of the employees and the
community through open honest communication and she increased organizational
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efficiency by establishing a solid leadership team and a board with new standards of
practice. Upon completion of the entry goals, objectives and activities, she engaged
in self-reflection and evaluation, and then reported the success of the entry period to
the Board of Education. This Board of Education report named the Blue Print for
Change brought the organization into alignment and set the stage for all stakeholders
to engage in the formal process of strategic planning.
During the listening and learning tour, Dr. Soldado created an environment of
open, transparent communication by reaching out to the community. Through
listening and soliciting input from stakeholders at community forums, Dr. Soldado
facilitated the process for Fair City to become a strategic organization responsible for
designing and cultivating their own culture, which led to the development of the
Strategic Plan known as the Six Fundamentals of Coherence. According to Cook
(2001), “Strategic planning is the means by which community continuously creates
artifactual systems toward extraordinary purpose” (p. 47). The purpose of Fair
City’s plan was to encompass the values of respect, responsibility and results, clarify
the new vision and develop a clear theory of action for reaching, teaching and
learning.
As stated by Senge (1990), “You cannot have a learning organization without
shared vision” (p. 209): The Six Fundamentals of Coherence guides all decision-
making and the plan is inclusive of all stakeholders in the organization. The Six
Fundamentals of Coherence are designed to ensure student achievement and include
responsive to instruction, professional development, shared leadership, family and
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community, aligned resources and student work and data. The Six Fundamentals of
Coherence were found to be closely aligned with the six researched based principles
of effective schools and professional learning communities. These best practices
include: (1) common mission, vision, values and goals (2) ensuring achievement for
all students; creating g systems for prevention and intervention (3) collaborative
teams focused on teaching and learning (4) using data to guide decisions and
continuous improvement (5) gaining active engagement from the family and
community (6) building sustaining leadership capacity (Blankstein, 2004). Everyone
in the system was able to articulate the goals outlined in the strategic plan, but many
admitted they were in the infancy stage in achieving goals and still learning on a
continuous basis. According to Cook (2001), strategic organizations have the choice
and the job to realize their identity by performance and should develop living plans
and build capacity throughout the whole system.
Accountability
Fair City was a district in Year Three of Federal Program Improvement (PI)
status when Dr. Soldado entered into Superintendency and raised the bar for
accountability across the system. As found in the data collection, it was Dr.
Soldado’s efforts to focus on facing the brutal facts about student achievement in
Fair City that led the leadership team to begin to understand the importance of
reflective practice and the process of continuous improvement that they referred to
as: plan, do, check, and act. Dr. Soldado began the change in accountability with her
own personal accountability to the board and the community. She assisted on semi-
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annual evaluations with the board that forced them to assess her skills in relation to
the outcomes in the area of improved student achievement. The board also received
department reports following a series of audits, which led to the implementation, and
evaluation of operational plans with measurable goals. Progress on these plans was
shared with the entire leadership team. The Superintendent created a balanced score
card to measure progress on the Six Fundamentals of Coherence, this tool was
designed to track trend data and observe improvement over time.
Communication about accountability was on going and touched all aspects of
the organization and across the district; all heard the new mantra “high
accountability with high support.” Accountability at the site and classroom was
strongly supported by the central office. Schools had access to and utilized a
comprehensive benchmark-testing program to measure student progress throughout
the year. The assessment and the staff development department’s in Fair City
provided the infra- structure for accessing data and four training modules for the staff
across the system to understand how summative and formative data could improve
instruction. The training was aligned with the strategic expectations in the Six
Fundamentals of Coherence and followed the levels of accountability outlined by
Reeves (2005) beginning with the goal of having all staff to understanding the
individual students’ success, the success and failures of the entire system,
effectiveness of the best teaching methods and the achievements and breakdowns of
intervention programs. This data and information was incorporated into the school
planning process and shared with parents at each site. Elmore (2004) suggests that an
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investment in internal accountability is necessary step in order for schools to respond
in a positive way to external pressures for performance. In accordance with Fullan
(2001), Dr. Soldado believed that sustainable student performance, required
leadership and accountability at all levels of the organization. Fullan (2001) claims,
“Your leadership in a culture of change will be judged as effective or ineffective not
by who you are as a leader but by what leadership you produce in others” (p.137).
Dr. Soldado modeled her approach to accountability with the work of Smoker,
(2006); Marzano, (2005) and Reeves, (2005). This research suggests that one of the
main roles of a Superintendent is to design an effective accountability system that
moves stakeholders beyond the simplistic review of tests to data analysis. By
implementing a comprehensive systemic accountability, she ensured opportunities
for staff to collaborate and engage in the cycle of continuous improvement. Reeves
(2005) asserts that when a Superintendent implements comprehensive systematic
accountability for the entire organizational system, they are considered STAR
leaders who are able to combine a commitment to standards, tools, assessment and
accountability and results plus, the plus representing strategies for effectiveness
(p. 226).
The focus of this evaluation was to discover the strategies that a Urban
Institute graduate implements to improve student achievement that result in positive
outcomes in their role as Superintendent of major urban public school systems. The
study builds upon the exploratory Phase I study of Urban Superintendents who
participated in the Urban Institute. These evaluation results will be used to develop
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strategies and suggestions that fundamentally enhance the preparation of urban
Superintendents, and support their early work as Superintendents (Takata, et al.,
2007).
Summary
This chapter serves as a review of the findings, analysis and the interpretation
of this data. The interpretation of findings involved the analysis of multiple data
relevant to the research in Chapter Two. The data was useful in identifying the level
and quality of the implementation of the reform strategies selected by the
Superintendent to improve student achievement supported by research and provided
insight to the researcher in discovering the connections between the quality and
implementation levels and student achievement. The findings in this study were
based on multiple data collection, which strengthen the validity of the study. The
summary, conclusions and implications of the study are presented in Chapter Five.
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CHAPTER FIVE
SUMMARY, CONCLUSIONS, AND IMPLICATIONS
Due to the stringent accountability systems in place within the current
educational environment, the role of system leaders has correspondingly evolved in
the context of their work in terms of leading an organization, with a set of reform
strategies intended to transform education to meet student performance. Given the
paradigm shifts that have occurred in issues relevant to educational leadership, there
is much to be uncovered in how urban school district leaders enact change within the
accountability environment and how they are prepared in the various dimensions to
reform a district toward increased academic achievement for all students.
The uniqueness of each district is circumscribed by its own strengths and
challenges that shape how the reform efforts are agreed upon, implemented and
evaluated. A system leader must learn to navigate these challenges by using
strategies that will bring positive changes in student achievement. Researchers have
shown that Superintendents do make an impact on student achievement whether it is
positive or negative or not at all. It is critical to understand what an effective urban
leader does to bring about systematic change, how their decisions affects student
achievement, and how their selected strategies are related to their personal and
professional backgrounds (Cuban 1998; Fuller et al., 2003; Johnson, 1996; Lashway,
2002; Nestor-Baker & Hoy, 2001).
The future of public education is dependent upon the urgent need to
strengthen the role of urban Superintendents through the replication of best
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leadership practices and prepare courageous leaders to work in a collaborative
fashion with their boards, as well as balance the demands of state, federal and local
accountability systems. There is an expectation from all constituents to complete
these tasks in tandem with putting the goal of high quality instruction for all students
at the forefront of the district’s plan. These system leaders are eager to have the
skills necessary to have productive tenures that enable them to establish sustainable
changes that lead to transformation, and a cycle of continuous improvement for
teaching and learning.
Purpose of the Study
The purpose of this study was to generate a set of findings for the Urban
School Leadership Institute’s Preparation Program for urban Superintendents. This
research will allow the institute to provide the tools for all leaders in urban education
and their graduates in applying best practices. This case study investigated the work
of one Superintendent in the context of social, political and educational settings to
determine how an effective Superintendent/“system leader” changed structures
through the implementation of ten specific reform strategies identified by the Urban
School Leadership Institute. The ten reform strategies are as follows: 1) strategic
plan; 2) assessment; 3) curriculum; 4) professional development; 5) human resource
system and human capital management; 6) finance and budget; 7) communications;
8) governance/board relations; 9) labor relations/contract negotiations; and 10)
family and community engagement. This research analyzed the strengths and
challenges that the system leader encountered related to the state of the district upon
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entry and how the strategies she selected in her role as a Superintendent of a large
urban school system correlated to her training and professional background to
improve student achievement in the district.
This case study was part of a two-phase study in which the exploratory Phase
I was conducted by Takata et al., (2007). Phase I reviewed and compared the reform
strategies implemented by two Urban School Leadership Institute graduates, one
with a traditional K-12 background and the other with a non-traditional background
with the intent to raise student achievement. Phase II, expanded the work of the
Phase I study by examining ten districts through utilizing a case methodology. This
is one such case study, in order to further understand the reform strategies
implemented by urban Superintendents and the probable impact of those strategies
on student achievement. As with the Phase I methodology, the Phase II study used
the reform strategies outlined in the House Model as a lens to review the overall
reform plan. The difference in Phase II of the study is that the researcher was more
focused on the approach through an in-depth review of the ten specific House
Elements. The following research question and the three sub-questions outline the
boundaries of this study:
1. How do urban schools Superintendents apply the ten key reform
strategies to improve student achievement in his or her respective district?
a) How does the quality and implementation of ten key reform
strategies correspond to the strengths and challenges of the district
when the Superintendent took office?
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b) What additional reform strategies (if any) were used? How do
they correspond to the elements of the House Model?
c) How does the choice and implementation of the ten key reform
strategies correspond to the previous background/experiences of
the Superintendent?
Methodology
A holistic qualitative research method provided the researcher with a
comprehensive picture of the Superintendent’s actions in relation to student
achievement. The analytical case study model was deemed the most appropriate
method to conduct an in-depth study of the reform strategies employed by the
Superintendent with the intent to implement systemic reform to improve student
achievement. In alignment with researchers such as Patton, 2002 and Gall et al.,
2007, the case study approach was exercised to focus on a small sample in order to
gather a wealth of information about a specific subject. The context sensitive case
study method equipped the researcher in developing a comprehensive understanding
of a complex urban education system in which reform involved the interactions of
many stakeholders and the specific actions of the system leader. This approach
provided the best avenue to develop and establish a rich description of each reform
strategy that was studied (Patton, 2002).
The design of this case study produced qualitative data that measured the
impact of the ten specific reform strategies employed by the Superintendent in her
individual district that examined how the Superintendent utilized the ten reform
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strategies in her role as a system leader with the focus of improving student
achievement. The data was collected through in-depth interviews that included the
personal perspectives of an urban Superintendent, two district key players, and
several reform strategy-specific district leaders.
The House Model developed by the Urban School Leadership Institute was
used as the conceptual framework for this study. The model outlines reform
strategies for the Superintendents to engage in during their first two years on the job
with the intent of improving student achievement. The data collected in this study
analyzed the strengths, challenges and strategies a system leader utilized in her role
as a Superintendent of a large urban school system based on the House Model
elements and the planned research questions. This multi-perspective methodology
allowed the researcher to understand the context and degree to which a
Superintendent utilized ten specific reform strategies to reform a large urban system.
The researcher conducted a formative evaluation in order to improve the practice of
leadership and preparation programs for Superintendents. The unit of analysis in this
study was a female Superintendent in her respective district and the process under
investigation was how a system leader makes use of reform strategies to improve
student achievement.
Sample
A Hispanic female urban school Superintendent and her particular urban
school district was selected for this case study through purposeful sampling to assist
the researcher in gaining rich insightful information on the strategies, strengths and
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challenges the Superintendent encountered when attempting to raise student
achievement. The sampling process allowed the researcher to study the
Superintendent’s choice of reform strategies at the beginning of her tenure and to
understand how the district context and the Superintendent’s background/experience
contributed to the selection and use of particular reform strategies. This method
focused on collecting in-depth information through a small sample and thorough
interviews as opposed to a large sample and gathering a breath of information. The
case study participants included the district Superintendent, two key players (selected
by the Superintendent) and strategy-specific staff serving on the leadership team,
including the deputy Superintendent, district-level administrators, and outside
consultants.
Data Collection and Analysis
The data collection for this study took place during the month of June, 2008.
The goal of this qualitative research was to create a picture in the minds of the
readers and to tell a specific story through the data gathered during interviews, as
well as through pictures and artifacts. As described by Creswell (1998) the
researcher gathered information from the perspectives of others, collected in-depth
interviews utilizing the lens of the House Model developed by the Urban School
Leadership Institute study as the conceptual framework for this study. The House
Model is a comprehensive visual representation encompassing several rooms
outlining reform strategies based on best practices in the field of educational
leadership. The House Model was utilized to examine the ten specific reform
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strategies studied including; strategic plan, assessment, curriculum, professional
development, human resources systems and human capital management, finance and
budget, communications, governance and board relations, and labor relations and
contract negotiations, and family and community engagement. Ten specific
strategies were the main objective for this study but, due to importance of their role
in the overall reform of the district, launching strategies and other House Elements
also became key areas of focus in the data analysis.
The researcher designed the interview protocols to include questions to
discover the strengths and challenges and the district reform strategies applied by the
Superintendent to position the district for improving student achievement. The
researcher probed further to find out information about the Superintendent’s personal
reflections on the use of ten specific reform strategies. The data collection
instruments assisted the team in interviewing the Superintendent and key players to
assess the connections between student achievement and the reform strategies
implemented by the district Superintendent.
The three interview instruments (Superintendent, Key player, and Specific
Dimensions of Reform) listed in detail below served multiple purposes: they steered
the interview process, brought forth information in regards to the study’s research
questions and established the means for recording and coding the interview data. The
researcher was able to collect key documents, such as the Superintendent’s Entry
Plan, the district’s strategic plan, assessment data and other important district
documents as mentioned by the Superintendent or other leaders during the interview
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process. The quality and implementation rubrics listed below were based on best
practices for each of the ten identified reform strategies and data analysis in regards
to the correlation of the elements of the House Model and the Superintendent’s
actions.
Five instruments described below were used to organize the wealth of
qualitative data and provided a basis for data collection and analysis:
1. Superintendent Interview Guide (Appendix A) The Superintendent's
Interview Guide explores the strategies used by the Superintendent for
improving student achievement.
2. Key Player Interview Guide (Appendix B) was designed to confirm
information provided by the Superintendent with respect to district reform
strategies.
3. Specific Dimensions of Reform Interview Guide (Appendix C) was a tool
utilized to investigate the Superintendent’s implementation of reform
strategies to positively impact student achievement and attain overall
success.
4. Quality Rubric (Appendix D) measured the level of quality of
comprehensive elements for each of the ten key reform strategies through
a 5 point Likert scale with a levels indicated by (5) high, (3) moderate and
(1) low.
5. Implementation Rubric (Appendix E) measured the level of
implementation of each of the ten reform strategies utilizing a 5 point
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Likert Scale with a level (5) indicating high, (3) moderate and (1) low and
was based on the following criteria: (a) the external challenges to full
implementation; (b) the extent that each component of the reform strategy
was fully implemented in practice; (c) the level of shared understanding,
values, and expectations leading to reflection and continuous
improvement; and (d) the sustainability of staff and fiscal resources.
Threats to validity were minimized as the data was collected through multiple
sources such as tape-recorded interviews, a review of documents and artifacts and
assessment data reducing the risk of chance. The triangulation of data presented the
lessons learned by the Superintendent on how she utilized different reform strategies
with the goal of systemic reform and improving student achievement.
Selected Findings
The data collection reveals relevant information about the role of the
Superintendent and the impact of her actions on student achievement. These next
sections go over the main points of those findings and the data was collected using
Superintendent Interview Guide, the Key Player Interview Guide, and the Strategy
Specific Interview Guide and the strategy-specific Quality and Level of
Implementation Rubrics, which led to the analysis and interpretation of the findings.
Research Question 1: Ten Key Reform Strategies
Research question 1 asked, “How are the ten key reform strategies being
used by large urban school Superintendents to improve student achievement in his or
her respective district?”
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Strategic Plan
Dr. Soldado’s strategic planning process began with an Entry Plan and
priority targets that led to the development of the Six Fundamentals of Coherence.
Her Entry Plan activities provided her the advantage to build upon strengths and
assess the challenges in the District. She was able to strategically change the culture
at Fair City to focus on student achievement and accountability: Reaching, Teaching
and Learning. The evolution of the strategic planning process was the result of a
clear leadership vision that became the reference point for change and set
expectations across the system at all levels, with a high degree of accountability.
Dr. Soldado worked closely with the Board of Education and the cabinet to
define a theory of action, which included examining the core mission, vision,
personal, and organizational belief systems. She immediately realigned and placed
the necessary staff in key positions to advance the agreed upon goals. From the
beginning of her tenure, the Superintendent was highly visible in the community and
throughout the district. She engaged in an open door policy allowing employees from
all factions of the organization the freedom to express their concerns and make
suggestions for improving student achievement. All employees understood they had
a role in improving student achievement. The Superintendent created a foundation of
trust with the board and other stakeholders thus allowing her to develop a transparent
system and enable a paradigm shift moving from an exclusive system centered on
property management to a new system focused on student achievement designed to
systematically meet the needs of all students. Through staff and community
201
validation, the groups soon began to work collectively together to connect to the
District’s priorities and build upon successes. Through leveraging the support of the
community and involving the community and staff in the evolution of the plan, the
Superintendent achieved the objective.
Assessment
The Superintendent employed a data driven decision-making model to move
accountability to the forefront of the district based on the urgent need to improve
student achievement. Fair City faced a major challenge in the area of assessment as
the district had been deemed Year 3 Program Improvement status based on the
federal accountability system NCLB. Internal and external accountability and
analyzing student performance had not been a priority in the district. Dr. Soldado
shared the academic state of the district with the Fair City Board of Education,
making it clear to the Board that data analysis was relevant to their political role and
key to improving instruction for all students.
Dr. Soldado developed the Balanced Score Card to set measurable targets for
the district and evaluate the strategic plan. The assessment office is expected to
support sites and all departments and all staff members are expected to contribute to
closing the achievement gap through benchmark data, which is connected to the
Academic Plan for Student Achievement (APSA). The Superintendent ensured staff
was provided training in understanding the relationship between data analysis and
goals.
202
Curriculum
Pockets of excellence existed in some schools and the Curriculum
Department did not have the capacity to support sites in the implementation of the
districts’ adopted curriculum. To address inequity in the implementation of core
curriculum across the system, Dr. Soldado hired new leadership and additional staff
in the Curriculum Department to ensure support for the fidelity of the state standards
and the adopted curriculum. The Superintendent was moving the district toward the
concept of a managed curriculum through curriculum mapping, pacing, and
benchmark assessments. This managed approach is aligned to the concept of plan,
check, act and do through the cycle of continuous improvement. The Superintendent
required an operational plan that resulted in the curriculum staff working with the
professional development staff to ensure that teachers have appropriate opportunities
to collaborate and learn how to implement standards and all components of the
curriculum.
Professional Development
The Superintendent began the strategy of professional development with an
audit of the practices that resulted in a reorganization of the department and hiring of
coaches to provide a high level of support for the goals in the strategic plan. The
Professional Development Department aligned their focus to teacher effectiveness in
the classroom. Based on the results of a needs assessment the leadership designed an
operational plan consistent with the National Staff Development Council’s
Standards, aligned to the Six Fundamentals of Coherence. The professional
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development plan includes goals for improving all students’ learning, improving
teacher effectiveness, setting high standards for teachers, promoting continuous staff
learning, and enhancing staff intellectual and leadership capacity. Dr. Soldado led
the alignment of site and district plans through the restructuring of school plans
through the cycle of collective inquiry and continuous improvement.
Human Resources and Human Capital Development
Dr. Soldado conducted an audit of the human resources to assess the quality
and efficiency of division within the organization. The results of this study assisted
the Superintendent in restructuring the department and directing the leaders to
develop an operational plan with goals for recruitment, retention and the
employment of highly qualified classroom teachers. The Superintendent defined the
new vision for human resources expecting positive customer service centered on the
four R’s: recruitment, relationships, recognition and respect for staff, who now report
that they are connected to the strategic plan and the overall vision of organization. As
with other areas, she provides high support with high accountability to be monitored
and evaluated quarterly. Her overall strategy is aimed at improving student
achievement by ensuring that the best and brightest are recruited and retained in Fair
City.
Finance and Budget
Prior to the arrival of Dr. Soldado, Fair City was a financially sound district
and the Board was involved in the process of budgeting, but not focused on using the
resources to support the increase of student achievement. The Superintendent utilized
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outside consultants, School Services of California, to overcome the challenge of
moving the business services department beyond a service model to a department
that actively participated in supporting school sites in improving instruction.
Through the process of strategic planning, Dr. Soldado restructured and expanded
the leadership role of the Assistant Superintendent to strategically advance the
Business Services Department to improve student performance. The districts budget
was closely aligned to the district’s mission, goals and operational activities clearly
identifying accountability for specified outcomes.
Communications
Dr. Soldado believed that open communication and a strong community base
ultimately increases student achievement, she strategically hired a Communications
Officer and immediately began to utilize the press to send clear positive messages to
the community. Under her leadership, the Communications Officer created a web-
presence for the district and designed printed publications in English and Spanish to
connect with the community. The Superintendent was genuinely committed to
transparency and communicated the new vision to the public. She utilized open
communication to breakdown the previous barriers that separated Fair city from the
families and the community. Dr. Soldado reestablished the relationship with the local
press and personally ensured that good news regarding Fair City Public School
District was sent to the public and the press on a regular basis.
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Board Governance and Board Relations
The Superintendent was challenged by the necessity to build a relationship
with the board and to have the board fully understand their role in focusing on
improving student achievement. In order to develop a theory of action for change,
Dr. Soldado called upon the support of the Urban Institute alumni to work with her
and the board to understand the theory of system change and create an environment
for reformed governance that over time has transformed the culture of the district.
This support included the development of standards of practice and she proposed to
the board that she be evaluated on student performance. Dr. Soldado employed a
personal coach to observe her during board meetings and give her feedback on her
behavior in an effort to help her gain the confidence and trust she needed to move the
board forward.
Currently, the board culture has changed and is committed to improving
student achievement and supports the initiatives put forth by the Superintendent.
Supported through the design and acceptance of the Six Fundamentals of Coherence
of the Strategic Plan, the Board of Education has changed its vision, mission, values,
and priorities to focus on student achievement. The needs of all students are now
clearly articulated throughout the school community. The District’s current goals are
measurable and possibly achievable and will be evaluated annually.
Labor Relations and Contract Negotiations
Dr. Soldado used the audit process to build upon the strengths of the long
standing positive labor relationships and the longevity of the staff leading this
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department. This veteran team created an environment that fostered positive
relationships with each other and the association leaders. The District had a history
of positive negotiations, but working with new union leadership presented some new
challenges in labor relationships. The audit recommended that the teams focus on
interest-based strategies and the Superintendent encouraged teams to use the Six
Fundamentals of Coherence of the Strategic Plan, mission statements, major goals
and core values to develop objectives.
The Superintendent met regularly with the District’s leadership team and the
union to build trusting relationships through open communication; the teams
followed the Superintendent’s lead and operated in a transparent fashion. The
flexible contract provided support to teachers who are not achieving successful
results to ensure that children receive a high quality instruction. The contracts
included opportunities to earn extra wages through attendance in a core staff
development program, which served the dual purpose of training staff and making
the salary schedule more competitive than it appeared to be on the surface.
Family and Community Engagement
The Superintendent began her 90-day listening and learning tour with a
strategic focus on family and community engagement. Dr. Soldado quickly sent a
clear message that one of her top priorities was to connect with families. She hired a
program administrator to improve parent and community involvement and a
mediator to resolve parent concerns. She appointed an additional family and
community engagement staff to build upon the strengths of community involvement
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and move beyond traditional activities such as school site council, PTA and booster
clubs. She held forums, listened to the community, and acted upon the requests. A
key strategy was collecting oral and written input and feedback resulting in the
Community Engagement Report to be shared with the board and staff. She quickly
gained the trust of the parents as she involved parents in the decision-making and
included them in the goals of the strategic plan that included measurable outcomes
for the progress in this area.
Interviews of the Superintendent, two key players, and strategy specific
leaders and district artifacts were data sources for this analysis. This process was
validated by scoring the data on the strategy-specific Quality and Level of
Implementation Rubrics.
Research Question 1a: Strengths and Challenges of the District
Research question 1a asked, “How does the quality and implementation of
ten key reform strategies correspond to the strengths and challenges of the district
when the Superintendent took office?”
The Superintendent entered her position with knowledge of the climate and
culture of the district as Dr. Soldado had positive relationships and experience in
working with the staff when she had served as the District’s Deputy Superintendent.
Dr. Soldado realized that student achievements as well as teachers’ expectations for
students were low. The Superintendent evaluated the strengths and challenges of the
district prior to assuming her role and developed an Entry Plan to address the
instructional gaps and operational deficiencies. The entry goals were as follows: (1)
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Ensure effective future District governance through positive and productive Board-
Superintendent relationships; (2) Create a proposal for accelerating student
achievement that builds upon the work of the previous administration; (3) Establish
public trust and confidence through open honest communication and positive
relationships among stakeholder groups; (4) Increase the organization effectiveness
and efficiency and (5) Establish clear and definitive strategy to address perceptual
and factual issues related to school safety, security and climate for all schools.
Dr. Soldado overcame strained board relationships by changing the culture of
the District through the education of the board members regarding the importance of
a new vision and student achievement as the district was in year 3 of Programs
Improvement. Eventually, she changed the focus of members of the board from the
acquisition of property and land to student achievement embracing the District’s
vision, mission, and values. Together, they developed priorities relating to student
achievement and correspondingly, they aligned the budget allocations and resources
to instructional priorities.
Dr. Soldado capitalized upon the district’s strengths in the areas of
community pride, peaceful labor negotiations, human capital and financial stability
with the goal of improving student performance through the process of strategic
planning. All stakeholders had input on the plan that was well articulated across the
system and held staff accountable for results. Student assessment moved to the
forefront of the district and the instructional services team was restructured to link
curriculum, instruction, assessments and professional development together to
209
produce results and close the achievement gap particularly for minority students. The
instructional and operational departments developed operational plans to set goals to
evaluate the effectiveness of their efforts. Internal and external accountability and
analyzing student and staff performance became priority in the district for all
stakeholders.
Interviews of the Superintendent, two key players, and strategy Specific
leaders and district artifacts were data sources for this analysis. This process was
validated by scoring the data on the strategy-specific Quality and Level of
Implementation Rubrics.
Research Question 1b: Other Reform Strategies
Research question 1b asked, “What additional reform strategies (if any) were
used? How do they correspond to the elements of the House Model?”
The District’s reform change process involved additional House Elements
that were not included as the focus of the study. The impact of the additional House
Elements was interconnected with the ten elements and was discussed as part of the
reform effort during the process of conducting interviews.
Elements of the Superintendent’s contract enabled her to enact organizational
changes that she would not have been able to otherwise, including the right to
contract outside consultants. Part of the Superintendent’s structural reorganization
also had to do with holding principals accountable for student achievement through
the development of new and more effective evaluation protocols.
210
In the room known as Instructional Alignment, the other House Elements
implemented by the Superintendent included: (a) Standards, (b) Instruction, (c)
Program Effectiveness, (d) Focus on Lowest Performers and (e) Student Support
Services. The implementation of these other House Elements worked together to
create a notable impact on the choice of reform as stated by the Superintendent.
In the room of Operational Excellence, the following House Elements
allowed the Superintendent to stress the importance of resource alignment:
a) Resource Alignment, (b) Facilities, (c) Performance Management
Systems/Accountability Plan, (d) Business Services, and (e) Operational Service
were incorporated in a systematic fashion to create a coherent organization.
In the area of Stakeholder Management, the Superintendent revealed her
particular expertise in dealing with the public, and creating an atmosphere of
transparent information relay between her office and the public. The relevant House
Elements in this area included: (a) Political Relationships, (b) Philanthropic and
Institutional Partnerships, (c) Constituent Service and (d) Sustainability.
Research Question 1c: Relationship to the previous Background/Experience of
Superintendent
Research question 1c asked, “How does the choice and implementation of the
ten key reform strategies correspond to the previous background/experiences of the
Superintendent?”
Dr. Soldado’s background and professional development experiences
contributed to her success as a Superintendent. She valued her educational
211
background and career, including her doctoral work at University of Southern
California, with a degree in Language, Literacy and Learning, work experience in
urban settings on the national level and the mentors and networking, provided by the
Urban School Leadership Institute and California Association of Latino
Superintendents and Administrators (CALSA). She acquired additional skills
through foundation work that centered on urban reform at a national level. These
experiences included working with the Stupski Foundation and the Annenberg Los
Angeles Metropolitan Project (LAMP).
Dr. Soldado indicated that her leadership strengths were in the areas of
Strategic Planning, Assessment, Curriculum and Professional Development and
Family and Community Engagement as she was an organizational development
specialist during her time at the Stupski Foundation. The Stupski Foundation
experience left her with a moderate set of skills in the area of human resources that
accounted for her need to hire an auditor to assist her in developing efficient systems
Fair City. She rated herself low in the areas of Governance and Board Relations,
Finance and Budget, where she focused during her Urban Institute training
experience. Dr. Soldado prides herself on her ability to be transparent and practices
open communication skills that were emphasized in her Urban School Leadership
Institute Training Program. In conclusion, Dr. Soldado commented that her
combined degrees, experiences, mentors, and her Urban School Leadership Institute
training had prepared her for the role of the Superintendency.
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Interviews of the Superintendent, two key players, and strategy Specific
leaders and district artifacts were data sources for this analysis.
Conclusions/Analysis
Based on the findings in this study, the Urban School Leadership Institute
Superintendent, who was the subject of this study, transformed structures through
reform strategies that influenced the social, political and educational contexts of an
urban public school district. The Superintendent received specific leadership training
through the Urban School Leadership Institute in the areas of organizational and
operational educational systems. Through this training and her professional
experiences, she was equipped with the tools to incorporate ten specific strategies of
the Urban School Leadership Institute House Model and other elements as part the
reform effort to improve student achievement in Fair City Public Schools.
The Superintendent’s job preparation, leadership skills and the District’s
situation, strengths and challenges, played a significant role in the choice of the
reform strategies selected by the leader at time the she arrived to the role of
Superintendency. The conclusions in this study present a set of findings that
addresses the preparation of urban Superintendents, which support their early work
on the job:
1. The Superintendent simultaneously focused on restructuring and changing
culture in the district to improve student achievement resulting in positive
gains in the post implementation ratings for the current level of program
quality across the ten House Elements. One of the House Elements that had
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the largest gain was strategic planning and the majority of the other reforms
scored moderate ratings including assessment, curriculum, professional
development, human resources system and human capital management,
communication, governance and board and labor relations and contract
negotiations.
2. As a transformational leader, Dr. Solado quickly assessed the strengths and
challenges she faced at Fair City. She gained the trust of the Board of
Education and the community, which enabled her to engage in systemic
change. Prior to the arrival of the Broad Superintendent, the program design
was of low quality with a low level of implementation.
3. The Urban School Leadership Institute training prepared the Superintendent
with a set of skills to launch specific strategies to begin the reform effort
resulting in a successful entry. These strategies included negotiating,
employment contract, developing an Entry Plan with measurable goals for the
Superintendent, reorganizing of the central office, hiring ten new principals,
designing an intentional community engagement process, changing the
function of the board’s role and style of governance and auditing the major
departments.
4. The Superintendent utilized the Urban School Leadership Institute resources
and services to move the reform agenda in advancing the district objectives.
The Urban School Leadership Institute alumni and other mentors played a
significant role in the choice of reform strategies selected by the
214
Superintendent, beginning with a comprehensive Entry Plan. The mentoring
and coaching support led to the development of the Six Fundamentals
Strategic Plan.
5. Through the reform governance, the Superintendent and the Board of
Education developed the district’s Six Fundamentals of Coherence Strategic
Plan with a theory of action and six core essentials that connected work
across the system within the reform framework delineated through House
Model. The strategic plan set the stage for deeper work across the system and
all departments designed and implemented operational plans while the sites
refined and aligned their school plans to encompass the ten reform strategies
and other House Elements. The strategic plan outlined goals and objectives
for success and served as an action plan for the staff and community in the
district. Although the plan focused on reaching, teaching and learning
through the Six Fundamentals of Coherence, there is still a need to focus on
the English learner and special education populations.
6. Transparent communication was a high priority: The Superintendent created
departments for family and community engagement and a communication to
reach out to the community. The family and community involvement reform
strategy is in an early implementation stage, there is a need for consistency of
parental involvement activities at the school sites and formalized
accountability in this area.
215
7. Building capacity is necessary to change classroom instruction. The data
reflected the need for training on the concept of data dashboard. Fair City had
an accountability office with an infrastructure to provide live data. The
benchmark exams had been put in place to assess student achievement on a
regular basis. However, the District did not have a long-standing
professional development program to address the need to unwrap standards,
connect the results to teaching and learning and conduct gap analysis to drive
instruction.
Although the Board of Education and the Superintendent developed a new
District vision, established the Six Fundamentals of Coherence with stakeholders’
input that was well articulated across the system and held everyone accountable for
results, there is still much reform work before the positive results are sustainable (see
Figure 7).
216
Figure 7: The Six Fundamentals for Coherence

Source: Adapted from Fair City Strategic Plan (2006).

Implications for Practice
The complex role of the Superintendent and the shrinking pool of qualified
candidates for this role present a huge dilemma for educators, local school boards
and the communities they serve, policy makers, universities and other preparation
programs and most of all for the children and families dependent upon public
education. As evidenced by a large body of research, there is a need to equip leaders

Responsive
Instruction

… to reach each
student

Professional
Development

… to improve
instruction

Shared Leadership

… to sustain a
collaborative
culture

Family and
Community

… to support
student learning

Aligned Resources

… to support and
assure student
learning

Student Work and
Data

… to assess learning

THE SIX
FUNDAMENTALS
FOR COHERENCE
Respect,
Responsibility,
Results
217
with the skills and strategies to be instructional leaders, managers, politicians as all
three roles are necessary for the success of today’s system leader in the pursuit to
improve public education for all students. The implications listed below are
applicable to many stakeholders including administrators and aspiring
administrators, community and school board members, and policy makers and the
leaders of Superintendent preparation programs.
Administrators and Aspiring Administrators
1. Strategic planning was at the center of the reform movement. Removing
silos, developing and implementing a strategic plan with measurable goals,
aligned resources and accountability for results will promote the model of
continuous improvement and holds promising in the pursuit for improved
student achievement.
2. Building capacity within the organization through transparent leadership and
trust that embraces a common vision with a theory of action will provide
greater opportunities for all students to access high quality teaching and
learning.
3. Utilizing internal and external performance data to focus leaders on data-
driven results will assist all staff in gaining an understanding of the barriers
that prevent some students and some adults from actively engaging in the
learning process. This information should be used to differentiate
experiences for students that are not experiencing success.
218
Community and School Board Members
1. Superintendents report that board relationships are a continuing issue despite
the literature that espouses that the board’s role is policy setting and the
Superintendent’s role is execution of the policies. The political reality is that
Superintendents must be skilled in strategies to gain support for their
recommendations. The Urban School Leadership Institute has developed an
extensive Board training program that should be shared with Superintendents
who may not be graduates of the program in an effort to advance Urban
School Leadership Institute commitment to public education.
2. Gaining an understanding of how to develop meaningful family and
community partnerships is critical in advancing the district‘s vision forward.
The involvement of stakeholder groups in the development of the district’s
strategic plan and community forums has proved to be successful in fostering
positive relationships.
3. Districts need greater assistance in understanding the value of diverse
communities through multi-cultural education for all staff. The achievement
gap cannot be addressed unless educators are willing to understand, value
and embrace the community they serve.
Policy Makers and Superintendent Preparation Programs
1. Superintendents need extensive skills and knowledge in understanding how
to accurately assess the strengths and weaknesses of the district upon entry.
The Entry Plan and launching strategies played an important part in
219
leveraging support and allowing the Superintendent the time to initiate
reform. All aspiring Superintendents need to be trained on the development
of a plan of entry and the other launching strategies such as governance
reform, the benefits of outside audits and strategic planning.
2. Mentoring and coaching can provide valuable insight in terms of solving the
issues related to improving student achievement in a large urban setting. All
University-based or Institute Programs should provide practicum
experiences, networking and alumni services to ensure the success of twenty-
first century Superintendents.
3. Professional organizations may consider the need to lobby policy makers to
think about the changes in the role of the Superintendency surrounding the
three roles outlined by researchers as instructional leader, manager and
politician (Cuban, 1998; Johnson 1996; Lashway, 2002) so that policy
leaders can consider ways to help leaders balance the accountability demands
with instructional leadership expectations.
Recommendations for Future Research
Based upon the findings and conclusions of this study the suggestions for
future research surfaced in several areas:
1. This case study focused on one Urban School Leadership Institute
Superintendent in order to understand the reform strategies she implemented
in a particular urban setting and the probable impact of these strategies on
student achievement in Fair City Public School District. As many of the
220
reform efforts were in the infancy stages, it is recommended that the Institute
continue to study this District for three to five years to provide longitudinal
data in the following areas: (a) sustainability of the reform efforts, (b) degree
of district reform in the classrooms and (c) the evaluation of the goals and
actions outlined in the strategic plan.
2. The Urban School Leadership Institute provided quantitative analysis from
the student achievement data that was collected in the spring of 2007,
comparing Fair City’s results to other comparable districts and the state.
Since this data was gathered less than a year after Dr. Soldado was in office,
the researcher determined that the Superintendent had not been in office long
enough to draw valid and reliable conclusions regarding the relationship
between the quality and implementation of the ten key House Elements and
improved student achievement. It is recommended that the Institute conduct a
longitudinal quantitative study of student achievement data to be completed
for three to five years to establish trend data and to be able to make valid and
reliable assumptions regarding the relationship between the implementation
of particular reform strategies and their impact on student achievement.
3. This case study was part of a Meta-analysis of the findings from the ten urban
school districts across the nation led by Superintendents who were Urban
School Leadership Institute Graduates. The results were intended to assist the
Urban School Leadership Institute in understanding the impact of the training
program on the quality and implementation of particular reform strategies
221
exercised by these leaders to improve student achievement. It is
recommended that other University of Southern California doctoral students
continue this work and conduct a cross- site analysis of the ten districts that
were studied to further the research on what can be learned about district
reform from the perspective and practice of Urban Institute graduates.
4. As the developing role of the Superintendent continues to present challenges
and requires a new skill set, it is recommended that a comparison study of
Superintendents who graduated from the Urban School Leadership Institute
be compared to other Superintendents who graduated from other preparation
programs, in an effort to identify strategies and best practices in addressing
difficult issues and to establish a best practice network on a national level of
practicing Superintendents.
5. The Urban School Leadership Institute provided the graduate with unique
coaching/mentoring services as part of the program. Further research on the
impact of these services correlated with the tenure of Superintendents who
graduated from the Urban School Leadership Institute would provide
practical information in the areas of instructional leadership and securing the
political foundation necessary for transformational leadership.
222
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236
APPENDIX A
SUPERINTENDENT INTERVIEW GUIDE
Please log: Name, data/time of interview, contact information, documents to be
obtained after the interview, part of the interview guide that were not fully covered,
digital tape location.

Superintendent Interview Guide – DAY 1

Q# Question RQ:
1 Describe the overall status of the district when you assumed your position as
Superintendent?

 
What were the major strengths of the district? (ask for 3 most salient)

 
What were the major challenges facing the district? (ask for 3 most salient)

 
What was the overall academic profile of the district?
1a

1a

1a

1a
2 Considering the context of the district when you arrived, what strategies did you use
to improve the overall condition of the district?

 
What specific strategies did you employ to improve student achievement
within your district?

 
Which participants were significantly involved in these strategies?

 
How would you describe the level of implementation you have achieved
for each strategy used?
1a/b

1a/b

1a/b
1a/b

Superintendent Interview Guide – DAY 2

Q# Question RQ:
3 
 
Please describe key aspects of your previous background/experience
(Probe: Rate top 3 experiences in terms of importance)


 
How did your preparation and experience help you to select and implement
appropriate reform strategies designed to improve student achievement?
(Probe: USLI experience, non-USLI experience, K-12 background, degree
programs, work experience, etc.)
1c

1a/b/c
4 
 
Please rate your previous professional experience with the following reform
strategies [On a scale from 1 = limited to 3 = extensive].
(Reform Strategies: Strategic Plan, Assessment, Curriculum, Professional
Development, HR System and Human Capital Management, Finance and Budget,
Communications, Governance and Board Relations, Labor Relations and Contract
Negotiations, and Family and Community Engagement)

(Probe: Identify her/his rationale for each rating)
1c
237
APPENDIX B
KEY PLAYER INTERVIEW GUIDE
Please log: Name, title, data/time of interview, contact information, documents to be
obtained after the interview, part of the interview guide that were not fully covered,
digital tape location.

Key Player Interview Guide

Q# Question RQ:
1 Describe the overall status of the district when the Superintendent
arrived (or when the key player arrived if after the Superintendent)?

 
What were the major strengths of the district? (ask for 3 most
salient)

 
What were the major challenges facing the district? (ask for 3
most salient)

 
What was the overall academic profile of the district?
1a

1a

1a

1a
2 Considering the context of the district, what strategies did the
Superintendent use to improve the overall condition of the district?

 
What specific strategies did the Superintendent employ to
improve student achievement within the district?

 
What was your involvement in these strategies?

 
How would you describe the level of implementation achieved
for each of the reform strategies used?

(Note: Request documents mentioned).
1b

1b

1b
1b
238
APPENDIX C
SPECIFIC DIMENSIONS OF REFORM INTERVIEW GUIDE
Please log: Names, titles, data/time of interview, contact information, documents to
be obtained after the interview, parts of the interview guide that were not fully
covered, and digital tape location.

Specific Dimensions of Reform Interview Guide

Q# Question
1 In this whole discussion, we want to focus directly on (the specific dimension)

 
What is your district currently doing with regard (name the dimension)? What has
been the superintendent’s specific strategies regarding this dimension?

 
Is your current strategy at all linked to improving student achievement—please
explain?

 
What has been your success in getting your current reform in this dimension actually
implemented and what challenges do you now face in this regard?

 
How does your current effort for this dimension differ from what you were doing
prior to when the current superintendent came to this district?

 
For your prior approach, to what extent was that approach fully implemented?

Specific Dimensions of Reform Interview Guide (Probes)

Questions
Strategic Plan:

 
What is your district currently doing with regard to (name the dimension)? What has been the
superintendent’s specific strategies regarding this dimension?

 
Is your current strategy at all linked to improving student achievement—please explain?

 
What has been your success in getting your current reform in this dimension actually
implemented and what challenges do you now face in this regard?
Assessment:

 
What strategies or does your district have in place in regards to summative and formative
assessment to improve student performance?

 
What assessment practices are carried out both at the district-level and school-site level to
improve student achievement?

 
How does your district ensure that assessment policies and practices are carried out throughout
the district?
239
Specific Dimensions of Reform Interview Guide (Probes), Continued

Questions
Curriculum:

 
What steps does the district take to ensure that the curriculum provides all students with
opportunities to access content and learning standards, (e.g., under-performing students,
students with disabilities, and English Language Learners)?

 
What steps does the district take to ensure fidelity of implementation of the curriculum across
all schools and classrooms?

 
What steps does the district take to review and update the curriculum and adopted materials for
alignment to learning standards and student learning needs?
Professional Development:

 
Describe how the district’s professional development plan includes emphasis on improving
student achievement, building teacher effectiveness, maintaining high standards, and promoting
continuous learning to enhance intellectual and leadership capacity?

 
How are resources specifically designated and available to support the district's professional
development plan?

 
To what extent does the district's organizational structure and policies ensure the
implementation, evaluation, and monitoring of the professional development plan?

Specific Dimensions of Reform Interview Guide (Probes), Continued

Questions
HR System and Human Capital Management:

 
What structures are in place to support the recruitment, selection, and placement of new
teachers and administrators?

 
What district policies and practices are in place to ensure teachers and administrators build
collective capacity to understand and respond to student achievement data?

 
How are incentives used to attract and retain highly qualified teachers and strong administrators
for hard to staff schools?
Finance and Budget:

 
Prior to the superintendent’s tenure, did the districts mission, vision, and value statements align
resources to the districts instructional goals and priorities?

 
Describe the process used to create an organizational culture which includes all stakeholders in
the development of district-wide budget and spending priorities?

 
What effective controls are in place to ensure the district’s resources are managed properly,
including financial reports for fiscal management and decision-making?
240
Specific Dimensions of Reform Interview Guide (Probes), Continued

Questions
Communications:

 
What structures are in place to support communication of the district's vision to the key
stakeholder groups: (e.g., students, staff, and community members)?

 
What district policies and practices are in place to ensure district personnel build collective
capacity to "tell the story" concerning policies, activities, and events employed to improve
student achievement?

 
How is the communication plan used to inform the community of district interests and
activities?
Governance and Board Relations:

 
Describe how the districts’ vision, mission, value, and priorities are focused on the achievement
and needs of all students providing a coherent "road map" to success?

 
What procedures are in place and guide how the governance team (superintendent/board
members) works together to establish systems and processes to monitor student achievement
while communicating the information to the larger community?

 
What district-wide policies, culture and practices are currently utilized which reflect a
commitment to implementing systemic reform, innovative leadership, and high expectations to
improve student learning and achievement?

Specific Dimensions of Reform Interview Guide (Probes), Continued

Questions
Labor Relations and Contract Negotiations:

 
What processes are in place to build trust, foster relationships and ensure open communication
between the District and labor union negotiating teams?

 
What are the procedures for establishing principles and objectives for the negotiating process?

 
What strategies are employed by the negotiating teams to ensure accountability and fair and
equitable outcomes for the District’s employees?
Family and Community Engagement:

 
How does the district support capacity building and encourage parents and community
members to participate in governance and advisory roles?

 
Please describe the district’s process for gathering information about parent/community needs
related to supporting their children’s education and how the district responds to this
information?

 
What kind of training or support is provided to administrators, teachers, and other school staff
in working with parents as equal partners in student academic achievement?
241
APPENDIX D
QUALITY RUBRIC
Definition: The strategic plan defines the district’s vision, mission, and goals. It
also assigns the performance indicators and work plans to each of the districts goals
and serves as the guiding document for the district decisions and priorities.

Quality Rubric - Strategic Plan

Components High (3) Medium (2) Low (1)
Vision

□
□ □
The district’s vision is well
articulated in the strategic
plan. It expresses the
ethical code, overriding
convictions, and the moral
convictions of the district
□
□ □
The vision represents the
personal values of those
vested in the organization
and is easily understood
□
□ □
The district’s vision is
somewhat articulated in the
strategic plan. To some
extent it expresses the ethical
code, overriding convictions,
and the moral convictions of
the district
□
□ □
Vision somewhat represents
the personal values of those
vested in the organization
and is moderately understood
□
□ □
The district’s vision is not
articulated in the strategic plan.
It does not express the ethical
code, overriding convictions,
and moral convictions of the
district
□
□ □
Vision does not represent the
personal values of those vested
in the organization and is not
easily understood
Mission

□
□ □
The mission statement is a
clear and concise
expression of the district’s
identity, purpose, and
means
□
□ □
The mission statement is a
bold declaration of what
the district will be and is
known and understood by
most in the district
□
□ □
The mission statement is
somewhat an expression of
the district’s identity, purpose
and means
□
□ □
The mission statement
somewhat states what the
organization will be and is
known and understood by
some in the organization
□
□ □
The mission statement is a not
clear and lacks concise
expression of the district’s
identity, purpose and means
□
□ □
The mission statement, to a
limited extent, is declaration of
what the organization will be.
It understood by few people in
the organization
Objectives
(Goals)

□
□ □
Objectives clearly commit
to achieve specific,
measurable results
□
□ □
Objectives are very closely
aligned with the mission
statement and they are
district objectives that are
measurable and observable
□
□ □
Objectives moderately
commit to achieve specific,
measurable results
□
□ □
Some objectives are aligned
with the mission statement;
they are district objectives
moderately measurable and
observable
□
□ □
Limited commitment to
achieve specific, measurable
results
□
□ □
Few objectives are aligned
with the mission statement and
few are district objectives that
are measurable, demonstrated,
and observable
Strategies

□
□ □
Full commitment to deploy
any and all of the districts
resources-people, facilities,
equipment and funding- to
execute the strategies to
meet objectives is clearly
articulated
□
□ □
The strategies strongly
indicate the districts
priorities and standards
□
□ □
Some commitment to deploy
districts resources-people,
facilities, equipment and
funding- to execute the
strategies to meet objectives
□
□ □
The strategies indicate
moderate commitment to the
districts priorities and
standards
□
□ □
Limited commitment to deploy
districts resources-people,
facilities, equipment and
funding- to execute the
strategies to meet objectives
□
□ □
Few strategies indicates the
districts priorities and
standards
242
Quality Rubric - Strategic Plan (continued)

Components High (3) Medium (2) Low (1)
Action Plan □
□ □
Specific reference to the
strategy it supports
□
□ □
States the objective of the
action plan itself
□
□ □
Has a detailed description of
each step required to
complete the plan.
□
□ □
Indicates assignments and
responsibilities
□
□ □
Includes a timeline for plan
□
□ □
Some reference to the
strategy it supports
□
□ □
States some of the
objectives of the action
plan
□
□ □
Has some description of
steps required to complete
the plan.
□
□ □
Indicates some
assignments and
responsibilities
□
□ □
Includes some timeline
for plan
□
□ □
Limited reference to the
strategy it supports
□
□ □
Objective of the action
plan not clearly stated
□
□ □
Has a little description
steps required to
complete the plan
□
□ □
Indicates few
assignments and
responsibilities
□
□ □
Timeline for plan very
limited
Theory of
Action
□ Superintendent has a written
“theory of action” that
clearly articulates structure;
specifies what is tightly
managed and what decisions
should be left to school
leaders
□ It is aligned with district
context, capacity, & system
leader’s beliefs
□ Superintendent has a
“theory of action” that
loosely articulates what is
managed by district and
what decisions should be
left to school leaders
□ It is loosely aligned with
district context, capacity,
& system’s beliefs
□ Superintendent does not
have a “theory of
action.” What is
managed by district and
decisions school leaders
□ It is aligned with district
context, capacity, &
sups. belief system
Data
Dashboard
□ District has clearly
identified several key
indicators that give district’s
pulse
□ Indicators are aligned with
district’s strategic plan;
accountability plan assigns
responsibility for achieving
district goals to specific
people/depts.
□ District has some
indicators that give
district’s pulse
□ Indicators somewhat
aligned with strategic
plan; accountability plan
assigns some
responsibility for district
goals to specific
people/depts.
□ District has few
indicators that give
district’s pulse
□ Indicators not aligned
with district’s strategic
plan; accountability and
responsibility for
achieving district goals
not clearly defined
243
Quality Rubric – Assessment

Definition: Assessment activities enable districts to know whether students are
learning what they are supposed to learn (i.e., the standards). Common, regularly-
scheduled district-wide assessments should connect directly with standards,
curriculum, pacing guides, and professional development.

Components High (3) Medium (2) Low (1)
Summative Assessments

 Full district-wide
implementation of state
standardized
assessments.
 Full compliance to state
and federal (NCLB)
requirements.
 Moderate
implementation of
state standardized
assessments.
 Compliance to state
and federal (NCLB)
requirements.
 Low district-wide
implementation of
state standardized
assessments
 Low or no
compliance to state
and federal (NCLB)
requirements.
Formative Assessments

 District-wide use of
standards-based
common benchmark
and curriculum-
embedded assessments.
 Common rubrics to
review student work.
 Assessment schedule
and pacing guides
developed and utilized.
 Moderate district-
wide use of common
benchmark
assessments.
 Some common
rubrics to review
student work.
 Assessment
schedule and pacing
guides developed.
 Low or no district-
wide use of
formative
assessments.
 Low or no use of
common rubrics to
review student work.
 No or unclear
assessment schedule
and/or pacing
guides.
Data Management,
Information, and
Reporting
System/Technology
 District-wide (Internet-
based) infrastructure
system for assessment
data collection,
management, and
reporting.
 Data collection every 6-
8 weeks.
 Easy system for
entry/retrieval of
assessment data and
results/reports.
 User friendly data
reports.
 District/school staff
technology trained,
supported and
proficient.
 Moderate
infrastructure for
assessment data
collection,
management, and/or
reporting.
 Periodic data
collection.
 System for
entry/retrieval of
assessment data and
reports.
 District/school staff
technology trained.
 Low or no
infrastructure for
assessment data
collection,
management, or
reporting.
 Low or no periodic
data collection.
 Limited or no
district/school staff
technology trained,
supported or
proficient.
244
Quality Rubric – Assessment (continued)

Component High (3) Medium (2) Low (1)
Analysis,
Interpretation,
and Utilization
of Assessment
Data

 District-wide analysis,
interpretation, and
utilization of assessment
data to improve
instructional practices,
decision-making, and
support for learning.
 Meaningful feedback to
identify areas of focus and
needs for student mastery
of standards.
 District-wide schedule for
data analysis to plan and
improve curriculum,
instruction, and student
achievement.
 Moderate district-wide
analysis, interpretation
and/or utilization of
assessment data.
 Moderate feedback to
identify areas of focus
and student needs.
 Intermittent schedule
for data analysis.
 Low or no district-wide
analysis, interpretation
or utilization of
assessment data.
 Limited or no schedule
for data analysis.
Professional
Development
(PD)

 District-wide plan to
ensure all district/school
staff have knowledge and
receive support in:
 District-wide assessments
(summative and
formative)
 Effective utilization of data
management/reporting
system
 Analysis/interpretation of
assessment data, student
achievement and meeting
of standards
 Collaborative data teams to
analyze/interpret data and
design next steps improve
instruction and student
performance aligned to
proficiency of standards.
 Moderate district-wide
plan for district/school
staff to receive
training and support
in:
 District-wide
assessments
 Utilization of data
management/
reporting system
 Analysis/interpretation
of student assessment
data and student
achievement
 Limited or no district-
wide plan for
district/school staffs to
receive PD and support
on district-wide
assessments.
 Limited or no PD for
the utilization of data
management/reporting
system.
 Limited or no PD for
the
analysis/interpretation of
student assessment data.
Fiscal Support
and Resources

 District-wide fiscal policies
and resources support
systematic assessment
plan and implementation
aligned to state and federal
accountability measures
for student performance.
 Fiscal resource
allocation and policies
support district-wide
assessment plan.

 Limited or no district-
wide fiscal policies and
resources in support of
systematic assessment
plan and/or
implementation.
245
Quality Rubric – Curriculum

Definition: Curriculum refers to the materials used to teach. Classroom materials
(e.g., textbooks, worksheets, pacing guides, etc.) should address the scope and
sequence of the district’s learning standards.

Components High (3) Medium (2) Low (1)
Alignment to
Learning
Standards &
Assessments

□ The district has adopted
and implemented a
curriculum that is based
upon content standards
and frameworks, and is
aligned to required
assessments of student
learning
□ The district curriculum
contains all of the
essential knowledge and
skills students need master
the state and district
learning standards
□ The district provides
pacing plans in all content
areas that assist teachers
in delivering the required
content during the
academic year, aligned to
periodic assessments of
student learning
□ The district has an
adopted curriculum that
is based upon content
standards and
frameworks, and is
partially aligned to
required assessments of
student learning
□ The district curriculum
contains some of the
essential knowledge and
skills students need
master state and district
learning standards
□ The district provides
pacing plans in some
content areas that assist
teachers in delivering
the required content
during the academic
year
□ The district does not
have has an adopted
curriculum that is based
upon content standards
and frameworks, or
aligned to required
assessments of student
learning
□ The district curriculum
contains little of the
essential knowledge and
skills students need
master state and district
learning standards
□ The district does not
provide pacing plans
that assist teachers in
delivering the required
content during the
academic year

Equal Access to
Learning
Standards
□ The district curriculum
optimizes all students’
opportunities to access
content and learning
standards, including
under-performing
students, students with
disabilities, and ELs
□ The district curriculum
provides many students
with opportunities to
access content and
learning standards
□ The district curriculum
provides few students
with opportunities to
access content and
learning standards
Fidelity in
Implementation
□ The district communicates
the required curriculum
clearly and systematically
with all stakeholders,
especially site
administrators, teachers,
students, and parents
□ The district provides
adequate funding for
schools to support
professional development
and full implementation of
the curriculum
□ The district demonstrates
a systemic commitment to
long-term implementation
of the curriculum
□ The district
communicates the
required curriculum
with site administrators,
and teachers
□ The district provides
some funding for
schools to support
professional
development and
implementation of the
curriculum
□ The district
demonstrates some
commitment to long-
term implementation of
the curriculum
□ The district does not
fully communicate the
required curriculum to
site administrators,
teachers, or other
stakeholders
□ The district provides
little or inadequate
funding for schools to
support professional
development and
implementation of the
curriculum
□ The district
demonstrates little or no
commitment to long-
term implementation of
the curriculum
246
Quality Rubric – Curriculum (continued)

Components High (3) Medium (2) Low (1)
Sufficiency of and
Appropriateness of
Materials
□ The district provides
sufficient instructional
textbooks and curricular
materials (including
intervention materials) for
all students.
□ The district provides all
schools with abundant
supplemental materials to
support and enhance
implementation of the
curriculum in all subject
areas.
□ The district provides
curricular materials are
appropriate for and
culturally relevant to all
students
□ The district provides
instructional
textbooks and
curricular materials
for all students.
□ The district provides
schools with some
supplemental
materials to support
implementation of the
curriculum in some
subject areas.
□ The district provides
curricular materials
are appropriate for
and culturally
relevant to many
students
□ The district does not
provide sufficient
instructional textbooks
and curricular
materials for all
students.
□ The district provides
schools with few or no
supplemental materials
to support
implementation of the
curriculum.
□ The district provides
curricular materials are
appropriate for and
culturally relevant to
some students
Clear and regular
procedures to
review and update
the curriculum
□ There is a system in place
that provides for regular
review of the adopted
materials for core subjects
by district and site
administrators and teachers
to verify alignment and
universal access
□ There is a system in place
that provides for district and
site administrators and
teachers to adapt materials to
ensure alignment and access
□ There is a system in place
that provides for District and
site administrators and
teachers to use assessment
results to determine what
materials are needed to
supplement the adopted
curriculum to ensure that all
key standards are mastered.
□ Key staff members
periodically review
the adopted materials
for core subjects to
verify alignment
□ Key staff members
periodically adapt
materials to ensure
alignment and access
□ Key staff members
periodically use
assessment results to
determine what
materials are needed
to ensure that all key
standards are
mastered.
□ Some district staff
members may
occasionally review
the adopted materials
for core subjects to
verify alignment
□ Some district staff
members may
occasionally adapt
materials to ensure
alignment and access
□ Some district staff
members may
occasionally use
assessment results to
determine what
materials are needed to
ensure that key
standards are
mastered.
247
Quality Rubric – Professional Development

Definition: Professional development is any program or course intended to improve
teachers’ or principals’ effectiveness. It may center on content (e.g., teaching about force in
physics instructional techniques (e.g., Cornell note-taking), leadership (e.g., workshop for
principals and assist principals), or habits (e.g., collaboration among teachers in the same
grade-level/subject matter). In many districts, professional development topics are arbitrarily
chosen. Successful districts have an integrated professional development strategy that
centers on enabling teachers to detect when students aren’t meeting a certain standards and
to adjust their instruction accordingly, or enables principals and teachers to improve their
knowledge and skills in areas of district focus.

Component High (3) Medium (2) Low (1)
Designing
Professional
Development
 LEA includes budgeted,
coherent PD activities that
reflect the best available
research-based strategies
for improved student
achievement and focus on
standards-based content
knowledge.
 PD supports the district’s
long-term plan and
identified goals.
 Plan includes needs
assessment process and
goals of PD include the
following: improving all
students’ learning,
improving teacher
effectiveness, setting high
standards for teachers,
promoting continuous staff
learning, and enhancing
staff intellectual and
leadership capacity.
 Resources are designated
and available to support PD
plan and specific personnel
stay abreast of and
incorporate best practices
into teaching, learning, and
leadership.
 LEA includes PD activities
but they do not reflect the
best available research-based
strategies and may focus on
standards-based content
knowledge.
 PD minimally supports the
district’s long-term plan.
 Plan may include a needs
assessment process may
include two or less of the
following: improving all
students’ learning, improving
teacher effectiveness, setting
high standards for teachers,
promoting continuous staff
learning, and enhancing staff
intellectual and leadership
capacity.
 Resources are available to
support PD plan and few
personnel stay abreast of best
practices.
 The LEA has little or no
connection to PD activities
which do not necessarily
focus on standards-based
content knowledge.
 PD plan is not in alignment
with district’s long-term
plan.
 The plan does not include a
needs assessment process
and goals of PD include one
or none of the following:
improving all students’
learning, improving teacher
effectiveness, setting high
standards for teachers,
promoting continuous staff
learning, and enhancing staff
intellectual and leadership
capacity.
 Minimal resources are
available to support PD plan;
little or no effort has been
made to stay abreast of best
practices in teaching,
learning, and leadership.
Implementing
Professional
Development

 LEA’s organizational
structures and policies
support the implementation
of PD activities on the
individual, collegial, and
organizational levels.
 PD is integral to the district
culture and promotes
inquiry.
 PD plan includes “coaching
model” and all staff
receives coaching support.
 LEA ensures that resources
remain available to organize
and implement PD.
 Most LEA’s organizational
structures and policies
support the implementation
of PD.
 PD is inconsistent across the
district and may promote
inquiry and improvement.
 Plan includes the “coaching
model” and participation is
sporadic.
 Some resources available to
support PD.
□ Minimal number of the
organizational structures and
policies support the
implementation of PD.
□ PD is disconnected to
classroom practices and does
not support and promote
teacher effectiveness in the
classroom.
□ Plan does not include
“coaching model.”
□ Minimal resources are
available to support PD.
248
Quality Rubric – Professional Development (continued)

Component High (3) Medium (2) Low (1)
Evaluating and
Improving
Professional
Development

 LEA uses PD design
goals to determine
evaluation measures and
standards for success.
Personnel for collecting,
analyzing, and reporting
data and for facilitating
the “PD next steps”
decisions are clarified.
 Evaluation findings are
used to make
improvements in PD plan
and criteria include: 1)
improved teaching,
improved student
learning, 3) narrowing of
student achievement
gaps.
 LEA has a process for
monitoring and
documenting the
alignment of the school
improvement plan(s),
professional
development activities,
and teacher and student
outcomes.
 LEA has a plan to
determine PD evaluation
measures but lacks clarity
and specifics as to what
measures will be used as
standards for success.
Minimal personnel are
selected for collecting,
analyzing, and reporting
data and developing next
steps (lacks depth).
 Evaluation findings exist
but are not used to make
improvements in PD plan.
 Lack of alignment in the
school improvement plan(s),
PD activities, and teacher
and student outcomes.

□ Little or no connection
between PD design
goals and evaluation
process. Personnel
have not been
identified to collect
and analyze data.
□ Little or no connection
between evaluation
findings of make
improvements in PD
plan.
□ The process for
monitoring and
documentation of the
school improvement
plan(s) exists but lacks
alignment between PD
activities, and teacher
and student outcomes.
Sharing
Professional
Development
Learning

 LEA has a plan to
document professional
development learning
(challenges and
successes) changes in
order to sustain
excellence when major
changes in personnel
occur.
 Records are kept to guide
future PD decisions.
 Implementation materials
are organized and
available to serve as
models of effective
practice. This strategy is
essential for keeping
staff, administrators,
parents, students, and
community moving in
the same direction.
□ LEA has moderate
documentation of PD
learning (challenges and
successes).
□ Records are kept.
□ Some implementation
materials are organized and
available to others to serve
as models of effective
practices. Therefore, most
of the staff, administrators,
parents, students, and
community all moving in
the same direction.
□ LEA lacks
documentation of PD
challenges and
successes.
 Few or no records are
kept to guide future
PD decisions.
 Little or lack of
evidence to support
that implementation
materials are organized
and available to others
to serve as models of
effective practices.

249
Quality Rubric – HR System and Human Capital Management

Definition: Research indicates that teacher quality is perhaps the primary influence
on student achievement, yet many districts do a poor job of attracting, selecting, and
managing talent, whether at the teacher, principal, or central office level. Improving
the recruiting and hiring processes for teachers and principals, developing attractive
compensation packages, and processing applications and payments quickly—which a
good HR system should be able to do—can greatly improve the quality of instruction
in schools and classrooms across the district. Districts then need to develop clever
support and retention strategies to keep talent in the district. Most importantly,
districts can proactively improve their capacity for providing a quality education by
examining and refining their selection process.

Component High (3) Medium (2) Low (1)
Recruitment,
selection and
placement of new
administrators
□ Achievement data,
demographics, staffing,
and culture of the district
are used to define qualities
of new administrators
□ District program in place
to recruit outstanding
teachers as administrators
□ Achievement data,
demographics, staffing,
and culture of each school
are used to develop a
customized set of required
principal skills at all sites
□ Strongest principal leaders
are placed at the most
underperforming schools
□ Some criteria are used
when identifying
potential school leaders
during the administrator
hiring process
□ Informal referral process
is in place to encourage
in-house recruitment
□ Placement of principals
is determined by district
personnel
□ Strong principals are
encouraged to take on
underperforming schools
□ Hiring decisions have
little to no connection
to student achievement
□ In-house recruitment
program is nonexistent
or inconsequential
□ Placement is driven by
availability or other
criteria
□ Performance of school
is not considered in
placement
Recruitment of
highly qualified
teachers
□ Quarterly report to
community regarding the
percentage of classes with
HQTs
□ Compensation incentives
are used to recruit HQTs
□ District and employee
organizations work
collaboratively to recruit
HQTs from high-
performing schools to
teach in underperforming
schools within the district
□ Annual HQT reporting is
completed as required by
law
□ Incentives limited to few
curricular areas or
special circumstances
□ Strong effort made by
district, without union
support, to encourage
HQTs from high-
performing schools to
teach in underperforming
schools
□ No reporting policy in
place or inconsistent
reporting to community
□ No incentive policy in
place to support
recruitment of HQTs
□ No or inconsistent
efforts to recruit HQTs
from high performing
schools to teach in
underperforming
schools in the district
250
Quality Rubric – HR System and Human Capital Management (continued)

Component High (3) Medium (2) Low (1)
Teacher
support and
development
□ All teachers have access to
ongoing PD that is targeted
at district achievement goals
and delivery of standards-
aligned curriculum,
instruction, and assessment
□ District has established a new
teacher support system the
promotes high-quality
support and resources
□ PD activities are strongly tied
to board-adopted district
goals and objectives
□ District collects data to
measure the effectiveness of
PD as it related to improved
student achievement
□ Some teachers have
access to ongoing PD
that is targeted at
district goals and
delivery of a standards-
aligned curriculum and
instruction program
□ District provides some
site-level support for
new teachers through
formal and informal
processes
□ PD activities are
generally supportive of
district goals and
objectives
□ Teachers are
encouraged to measure
the effectiveness of PD
as related to student
achievement
□ There exists little
evidence that PD activities
are tied to district
achievement goals or
specific curriculum
objectives
□ New teachers receive the
majority of support
through university teacher
preparation programs
□ No evidence of ties
between PD and district
goals and objectives
□ No effort is made by the
district to measure the
effectiveness of PD or
impact on student
achievement
Salaries,
wages, and
benefits
□ District and employee
organizations work
collaboratively to ensure
salaries, wages, and benefits
are sufficiently competitive
to attract and retain HQTs
with an emphasis on math,
language arts, reading, and
teaching ELs
□ District conducts quarterly
analyses of recruitment and
retention data
□ The district has
negotiated competitive
salaries, wages, and
benefits as compared to
surrounding school
districts
□ District conducts annual
analyses of recruitment
and retention data
□ No evidence suggests a
collaborative effort on the
part of the district and
employee organizations to
attract and retain HQTs in
math, language arts,
reading, and teaching ELs
□ No evidence suggests
analysis plans exist in the
district
Use of
incentives
□ Compensation incentives are
used to recruit HQTs and
administrators to work in
hard-to-staff schools
□ Incentives include: extra
compensation, opportunities
for collaboration, reduced
class size, and recognition
programs
□ Compensation
incentives are used to
recruit HQTs in certain
content areas at hard to
staff and/or
underperforming
schools
□ Limited monetary and
non-monetary
incentives in use by the
district to attract and
retain HQTs and strong
administrators
□ Compensation incentives
are not used to attract
HQTs / administrators to
hard to staff and/or
underperforming schools
□ Incentives are not in place
or in use to attract and
retain HQTs and/or strong
administrators
251
Quality Rubric - Finance & Budget Rubric

Definition: While student achievement is the ultimate bottom line, more
superintendents are fired for poor financial management than for poor student
achievement results. In addition to ensuring that their budget is balanced and
sustainable, superintendents should closely align their budget with instructional
priorities. Some districts have adopted innovative budgeting approaches such as
“zero-based budgeting” and weighted student funding to bring their budgets into
closer alignment with their priorities.

Component High (3) Medium (2) Low (1)
Strategic
Budget
Planning
□
□ □
Strategic plan is linked to the
superintendent’s goals and
priorities, incorporates
measurable objectives and
outcomes, and is used as the
basis of budget planning.
□
□ □
The budget is closely aligned to
the district’s mission, goals, and
operational activities and
identifies who is accountable
organizationally for specified
outcomes.
□
□ □
School budget is explicitly tied
to the district’s instructional
goals and priorities.
□
□ □
Changes in district priorities are
reflected in the budget in a
timely fashion.
□
□ □
Fiscal team understands the
district’s past fiscal issues,
problems, challenges, and
accomplishments in order to
gain perspective on how to
guide the district in the future.
□
□ □
District goals and priorities,
outlined in the strategic plan,
are found in budget priorities,
but the links between the
strategic plan and the budget
process are not evident.
□
□ □
There is some evidence of the
district’s instructional goals and
priorities in the budget.
□
□ □
Changes in district priorities are
reflected in the budget, but not
in time to make meaningful
decisions.
□
□ □
The budget is somewhat aligned
to the district’s mission, goals,
and operational activities but
organizational accountability is
not clear.
□
□ □
The district’s past fiscal issues,
problems, challenges, and
accomplishments are not
considered in planning process.
□
□ □
Strategic plan is
not referenced
in budget
planning.
□
□ □
Changes in
district priorities
are not reflected
in the budget.
□
□ □
The budget is
not understood
by stakeholders.
□
□ □
Fiscal team has
no historical
perspective of
past fiscal
issues.
252
Quality Rubric - Finance & Budget Rubric (continued)

Components High (3) Medium (2) Low (1)
Organizational
Culture
□
□ □
Expands participation in
budget process to include
stakeholders and secure buy-
in by constituencies.
□
□ □
Presents audit findings &
corrective action plans to
Board.
□
□ □
Establish a clear process to
solicit input from Local
District personnel, principals,
and others on the annual
budget process and to pilot-
test ideas before they are
rolled out to the field.
□
□ □
Participation in budget
process limited to upper
and middle management.
□
□ □
Board is made aware of
audit findings.
□
□ □
Processes for input from
Local District personnel,
such as principals, is not
clearly established.
□
□ □
Little participation in
budget process
outside of fiscal.
□
□ □
Audit findings are not
sun-shined.
□
□ □
Input from Local
District personnel,
principals, and others
on the annual budget
process is not
solicited.
Operational
Procedures
□
□ □
Establishes effective controls
to ensure that the district’s
resources are managed
properly, including monthly
financial reports for fiscal
management & decision-
making.
□
□ □
Uses the district’s annual
external audit to improve
district operations,
including— the timely review
and follow-up of findings,
development of corrective
action plans, and
implementation of corrective
actions.
□
□ □
Establish uniform
comprehensive financial
procedural manuals for school
sites, Local Districts, and
central offices and conduct
appropriate training for users.
□
□ □
Controls to ensure that the
district’s resources are
managed properly,
including periodic
financial reports for fiscal
management & decision-
making, are restricted to
few district personnel.
□
□ □
District’s annual external
audit is discussed only
when produced and not
revisited in planning
process.
□
□ □
Financial policies are not
readily available to school
sites, Local Districts, and
central offices.
□
□ □
Financial reports for
fiscal management &
decision-making are
only produced, or
made available to
decision-makers, in
times of crisis.
□
□ □
District’s annual
external audit is not
used to inform
decisions or future
policy.
□
□ □
No formal
financial
procedural
manuals are
available.
253
Quality Rubric – Communications

Definition: Effective school districts need to showcase the great stories in their
district and to counteract misinformation or negative news. Developing a public
relations or communications office staffed with experts on dealing with the media
can enable the district to communicate its vision to the public or proactively build
support for an important initiative.

Component High (3)

Medium (2)

Low (1)

Communications
Plan
□ Communications plan is
aligned with district’s
strategic plan
□ Communications plan
actively supports district
mission and vision
□ Communications plan
tailored to reflect
diversity of district
schools
□ Communications plan
designed to seek
community input
□ Communications plan is
up to date
□ Communications plan is
understood by district
office and school staff
□ Communications plan
addresses needs of all
stakeholders
□ Communications plan is
out of date or missing
□ Schools are unaware of
district communications
plan
□ Schools contact district
office when
communications issues
arise
Communications
Office
□ Communications office
is integral part of district
decision making
□ Communications office
maintains close liaison
with community
□ Communications office
routinely consults with
district schools to ensure
reporting of “great
stories”
□ Communications office
is adequately staffed
□ Communications office
consulted for input in
decision making
□ Communications office
contacts schools and
community stakeholders
with news of events and
decisions
□ Communications office
is not functioning
□ Communications office
is inadequately staffed
□ Communications office
not routinely informed
of decisions affecting
community
stakeholders
Communication of
district vision to the
community
□ District meets with
community leaders to
discuss district vision
□ Multiple interactive
means are used to
disseminate district
vision
□ District employees take
a proactive approach to
telling honest district
message
□ District communicates
vision via periodic
releases in local
newspapers
□ District notifies
community organizations
of district vision
□ School leaders are
required to maintain
coherence of district
vision with school goals
□ District vision is not
communicated to the
community
□ Mission and vision are
displayed on district
home page
□ School bulletins and
newsletters relay
district vision to homes
254
Quality Rubric – Communications (continued)

Component High (3) Medium (2) Low (1)
Build support for
district initiatives
□ Family and community
members are engaged as
decision makers in
communicating district
initiatives
□ District initiatives are
communicated and
understood by community
□ District notifies
community
organizations of
initiatives
□ Key community leaders
are informed of district
initiatives
□ School leaders are
encouraged to
communicate
information regarding
district initiatives with
key personnel
□ Community is
unaware of district
initiatives
□ Schools are given
information
concerning district
initiatives to send
home in newsletters
Two way
communications
with community
□ District and community
feel involved and engaged
in their public schools
□ Focus groups and town hall
meetings inform
community of district
interests and activities
□ Staff members are involved
in community groups and
organizations
□ Information concerning
proposed legislation that
affects schools and
communities are tracked
and disseminated by
district
□ District publishes
calendar and
transportation schedules
in local newspapers
□ Community
organizations are
routinely notified of
district events
□ Key community leaders
are routinely notified of
district events
□ School leaders are
encouraged to
communicate school
activities via newsletters
and letters home
□ Community events and
activities are
disseminated through
schools
□ Community is
unaware of district
events
□ District communicates
to community
primarily through
schools
□ Community does not
communicate
activities with district
□ Parents receive letters
and newsletters from
their school
announcing special
district events
255
Quality Rubric – Governance/Board Relations

Definition: Most districts are governed by boards elected from the local population;
others answer to appointed boards. In either case, school boards are responsible for
setting the policy direction for the district; superintendents can take a supporting role
in developing policy but are mainly charged with executing it. Winning the support
of board members, especially elected ones, is a time-consuming but critical task for
most superintendents.

Component High (3)

Medium (2)

Low (1)

Setting the
Direction for the
Community’s
Schools
□ The District’s vision,
mission, value, and
priorities are focused on
achievement and the
needs of all students are
clearly known in the
school community.
□ The vision, mission,
values, and priorities are
described in the LEA
plan and visible at all
district sites and
described as measurable
goals.
□ The District’s goals are
measurable and
achievable being
evaluated annually to
improve instruction and
close the gap between
high and low achieving
students.
□ The District’s vision,
mission, value and
priorities may lack clear
focus and not necessarily
focused on student
achievement and the needs
of all students are not well
known at all district sites.
□ The District’s goals are
measurable and possibly
achievable but not
evaluated annually nor may
be part of the LEA plan.
□ The instruction is not
necessarily closing the gap
between high and low
achieving students.
□ The District’s vision,
mission, value, and
priorities lack focus or
are non-existent.
□ There is very little to
no information
available at any district
site or in the LEA plan.
□ The goals are not
measurable or non-
existent and are not
reviewed.
Establishing an
Effective and
Efficient
Structure for the
District
□ The Board has
established an
organizational structure
that fully supports the
district’s vision while
empowering the
superintendent and staff.
□ The Board approves
policies and sets the
direction for adopting
the curriculum.
□ The Board establishes
budgeting priorities on-
time and consistent with
the vision and goals.
□ The Board has established
an organizational structure
that partially supports the
District’s vision and may
not fully empower the
superintendent.
□ Board policies are not
adopted or approved in a
timely manner and there is
little input in the curriculum
adoption.
□ The budget may not fully
reflect the priorities and is
not consistent with the
vision and goals.
□ The board has
established an
organizational structure
that may not support
the district vision and
may not empower the
superintendent and
staff.
□ Board policies are not
adopted or approved
and there is little to no
input in the curriculum
adoption.
□ The budget does not
reflect the priorities
and is not consistent
with the vision and
goals.

256
Quality Rubric – Governance/Board Relations (continued)

Components High (3) Medium (2) Low (1)
Providing
Support and
Resources
□ The Board supports the
superintendent and staff and
acts in a professional
demeanor modeling the
District’s belief and vision.
□ The budget allocation aligns
resources based on
instructional priorities and
student needs and there is
concentrated evidence of
providing additional support to
reform efforts that directly
impact student achievement.
□ The Board may support the
superintendent and staff and
sometimes acts with
professional demeanor
modeling the District’s
beliefs and vision.
□ The budget partially aligns
resources to instructional
priorities and student needs
and there is some evidence
of additional support to
reform efforts that directly
impact student achievement.
□ The Board rarely supports the
superintendent and staff and
seldom models the District’s
belief and vision.
□ The budget allocation does
not align resources based on
instructional priorities or
student need and there is no
evidence of providing
additional support to reform
efforts that directly impact
student achievement.
Ensuring
Accountability
to the Public
□ The Board establishes systems
and processes to monitor
student achievement and
communicates the information
to the school community.
□ The Board evaluates the
superintendent and sets the
policy for the evaluation of all
personnel.
□ The Board monitors program
effectiveness through
assessments and requires
changes to protect scarce
resources and monitors
effectiveness through self-
evaluation.
□ The Board may have
established systems to
monitor student
achievement while
communication lacks
consistency to the
community.
□ The Board evaluates the
superintendent but may not
set policy for the evaluation
of all personnel.
□ The Board may monitor
program effectiveness
through assessments and
seldom requires changes to
protect resources and there
may be evidence of
monitoring through self-
assessment.
□ The Board has not established
systems to monitor student
achievement and rarely
communicates any
information to the community.
□ The Board marginally
evaluates the superintendent
and does not set policy for
personnel evaluations.
□ The Board rarely monitors
program effectiveness to
protect resources and there is
no evidence of its’
effectiveness through self-
evaluation.
Actions as
Community
Leaders
□ The Board has involved the
community in appropriate,
meaningful ways to allow for
feedback from stakeholders.
□ There is clear communication
to community members
regarding district policies,
district educational programs,
and the financial condition of
the district and progress of
local goals or bond
information.
□ The Board allows the
superintendent to share, as
appropriate, information with
local constituency groups.
□ The Board infrequently
involves the community in
meaningful ways allowing
for feedback from
stakeholders.
□ There may be clear
communication to the
community regarding
policies, programs and the
financial condition of the
district but it is not
consistent.
□ The Board sometimes
allows the superintendent to
share, as appropriate,
information with local
constituency groups.
□ The Board has generally not
involved the community in
any meaningful way and does
not readily accept feedback
from the community.
□ There is no clear
communication to the
community and generally,
district information can be
obtained only at district sites.
□ There is generally no sharing
of information with local
constituency groups.
257
Quality Rubric – Labor Relations/Negotiations

Definition: In addition to teachers unions, superintendents often need to build
relationships and negotiate with several other unions to which various district staff
belong. Success in working with unions requires an upfront investment in building
relationships and understanding the priorities of union leaders. The content of
contracts also requires close attention. Contract language can restrict or expand the
superintendent’s options for replacing and reassigning staff. This is particularly
crucial with teacher contracts, as teacher quality is one of the most significant
influences on student achievement.

Component High (3)

Medium (2)

Low (1)

Relationships,
Communications
and Trust
□ Both teams have solid
trusting relationships,
credibility, political savvy,
and model ethical behavior
by establishing core values
□ All bargaining members are
provided with a continuous
meaningful training on
traditional, interest-based
and core values bargaining
□ All key stakeholders
informed of planning,
updates, modifications to
proposals and strategies,
and tentative and final
agreements
□ Both teams have
moderate relationships,
credibility, political
savvy, and model
ethical behavior by
establishing core values
□ All bargaining members
are provided with some
training on interest-
based and traditional
bargaining
□ Some information is
disseminated regarding
planning, updates,
modifications to
proposals and strategies,
and tentative and final
agreements to some
stakeholders
□ Teams have limited
skeptical
relationships, lacking
credibility, political
savvy, and ethical
behavior need for core
values
□ There is a need for
meaningful training
on traditional, interest-
based and core values
bargaining
□ Only a few
stakeholders are
informed of
negotiation process
and limited
information is
distributed about
tentative and final
agreements
Negotiation
Principles
and Objectives
□ Both teams have secure,
established roles and
responsibilities
□ All teams use strategic
plans, mission statements,
major goals and core values
to develop objectives
□ Teams work together
collaboratively to review
existing contract language,
to identify problem areas,
articulate community
concerns, and discuss the
impact of current language
on student achievement and
district operations
□ Only one team has
secure, established roles
and responsibilities
□ The district and other
teams have limited
access to strategic plans,
mission statements,
major goals and core
values to develop
objectives
□ Each team works in
isolation to review
existing contract
language, and identify
problem areas, that
impact of current
language on student
achievement and district
operations
□ Both teams have
secure, established
roles and
responsibilities
□ All teams use strategic
plans, mission
statements, major
goals and core values
to develop objectives
□ Existing contract
language is not
considered or
discussed in reference
to the impact of
current language on
student achievement
and district operations
258
Quality Rubric – Labor Relations/Negotiations (continued)

Components High (3) Medium (2) Low (1)
Strategies for
Negotiations

□ Bargaining goals and
objectives are developed in
relation to the importance of
the district mission and
bargaining success, district
verifies the proposal against
district philosophy, core
values, financial resources,
community support and
impact of student
achievement
□ District and union work
together to determine an
overarching approach to
negotiations with
considerations for
distributive or integrative
bargaining or a combination
of the two
□ There is a solid plan for
impasse: meditation, fact
finding and post fact finding
negotiations
□ Bargaining goals and
objectives are
somewhat developed in
relation to the
importance of the
district mission and
possible bargaining
success
□ District determines an
overarching approach
to negotiations with
considerations for
distributive or
integrative bargaining
or a combination of the
two
□ Impasse results in
breakdown in
communication, the
district does not have a
plan for this process
□ Bargaining goals and
objectives are developed
in relation to the
importance of each parties
individual interest; the
district philosophy, core
values, financial resources,
community support and
impact of student
achievement are not the
main consideration
□ Each group determines an
overarching approach that
benefits self-interest in
negotiations
□ There is a solid plan for
impasse: meditation, fact
finding and post fact
finding negotiations
Fair and
Equitable
Outcomes
□ Equitable distribution of
rights in evaluations,
assignments, health plan,
calendars, staff development,
schedules, retirement etc.
□ A high value placed on all
employees and fully
recognizes their impact on
the successes of district
students
□ Within the context of core
values and fiscal ability,
settlement provides a fair
and equitable compensation
package

□ In many cases,
management rights
override the distribution
of rights in evaluations,
assignments, health
plan, calendars, staff
development,
schedules, retirement
etc.
□ Some value placed on
employees and there
are small attempts to
recognize their impact
on the success of
district
□ At times, different
groups consider core
values and fiscal
impacts when
negotiating settlements
and compensation
packages
□ Power struggles exist when
deciding the rights in
evaluations, assignments,
health plan, calendars, staff
development, schedules,
retirement etc.
□ Employees perceive that
they are not recognized for
their impact on the
successes of district
□ Regardless of core values
and fiscal impact, groups
demand unreasonable,
unaffordable compensation
packages
259
Quality Rubric – Family and Community Engagement

Definition: All residents of a school district’s jurisdiction can be considered its
stakeholders, so ensuring everyone’s satisfaction can be difficult. Districts should
offer several ways for the community and families to interact with the district, from
coordinating volunteer opportunities for parents to partnering with local
organizations in support of student success. It is also important to gather feedback
from the public on the district’s performance. Several districts take surveys of
parents of children and of the community in general to determine how they view the
district and what their priorities for improvement are. These surveys should be
closely linked to the district’s performance management system and data dashboard.
Increasing stakeholder satisfaction can lead to greater support for bond measures for
the district, significantly increasing its financial resources.

Component High (3) Medium (2) Low (1)
Parenting □ The district provides
coordinated trainings, at
all levels, based on
parent needs and local
context.
□ The district has a system
or process in place for
appropriate and quality
referrals.
□ The district ensures and
supports schools in
educating all staff in
working with parents as
equal partners,
coordinates parent
programs, and builds
ties between parents/
community and the
schools.
□ Schools organize trainings
for parents on a scheduled
basis.
□ Schools provide appropriate
referrals.
□ The district or school offers
staff trainings in how to
work with the
parents/community.
□ Schools plan trainings
upon request by parents.
□ Schools provide referrals.
□ Schools receive little
support from the district
in planning trainings for
staff with a focus on
working with
parents/community.
Communication □ Information is provided
in a language and format
that ensures
participation for those
parents who lack
literacy skills or whose
native language is not
English.
□ A district-wide
expectation of consistent
and effective two-way
communication between
the home and school
exists.
□ Schools provide key
information concerning the
school program and its
activities, as feasible, in a
language that ensures
participation for those
parents whose native
language is not English.
□ Schools encourage
consistent and effective
two-way communication
between the home and
school.
□ Schools are inconsistent
in providing translated
notifications. Few
resources or options are
available for schools that
need translation
assistance.
□ Schools do not regularly
emphasize the
importance of
communication between
the home and school.
260
Quality Rubric – Family and Community Engagement (continued)

Component High (3) Medium (2) Low (1)
Volunteerism □ The district and school
parent involvement
policy informs parents
about opportunities for
volunteers and the
rights for parents to be
involved in school and
classroom
activities/events.
□ The district delineates
specific measures that
are taken to increase
parental involvement
and addresses various
barriers.
□ The district and school
parent involvement policy
informs parents about
opportunities for volunteers
and the rights for parents to
be involved in school and
classroom activities/events.
□ The district and schools
address major barriers,
such as language,
transportation, and need for
childcare.
□ The district and school
parent involvement policy
informs parents about
opportunities for volunteers
and the rights for parents to
be involved in school and
classroom activities/events.
□ The district and schools do
little to address barriers to
parent/community
participation.

Learning at
Home
□ The district supports
schools in providing
techniques and
strategies that parents
may use to improve
their children’s
academic success and
help their children in
learning at home.
□ Schools provide techniques
and strategies that parents
may use to improve their
children’s academic
success and help their
children in learning at
home.
□ Schools rely on teachers to
work with individual
families on a as needed
basis.
Decision
Making
□ Parents are encouraged
and actively recruited to
participate in
undertaking governance
and advisory roles..
□ The district organizes
opportunities for
parents/ community to
be involved in the joint
development of the
LEA plan, parent
involvement policies,
parent needs
assessments, and
school-parent compacts.
□ Parents are encouraged to
participate in governance
and advisory roles.
□ Parents/community are
involved in some
components of the
development of LEA plan,
parent involvement
policies, parent needs
assessments, and school-
parent compacts.
□ Schools do not have active
parent committees, and are
provided little support for
taking corrective measures.
□ Parents/community are not
consulted in the
development of the LEA
plan, parent involvement
policies, parent needs
assessments, or school-
parent compacts.
Collaboration
with the
Community
□ Community
organizations and/or
institutions are highly
involved in district
and/or school activities,
working in
collaboration with the
district.
□ Community organizations
and/or institutions are
minimally involved in
district and/or school
activities.
□ Community organizations
and/or institutions are not
involved in district and/or
school activities.

261
APPENDIX E
IMPLEMENTATION RUBRIC (ALL LEVERS)
Dimension High
3
Medium
2
Low
1
Challenges &
Concerns
The external
challenges to full
implementation and the
concerns/ thoughts of
key players
□ No serious obstacle or
challenge.
□ Staff focused on
improving full use of
lever and its impact on
student performance
□ Common commitment
to approach
□ Some obstacles and/or
challenges to
implementation.
□ Staff focused on
thought and actions
needed to improving
lever
□ Majority of staff
showing commitment
to approach
□ Serious external
obstacles to
implementation
□ Staff focused on
whether approach to
lever is best design or
is feasible
□ Possible strong
disagreement about
best direction
Fully Implemented
in Practice
The extent that each
component of the
change lever is fully
implemented in
practice.
□ Full implementation of
all components of the
lever across the district
□ Best practices have
been established and
are communicated in
coordinated manner
□ Practice is reflected in
policy and procedures
□ Uneven and/or
inconsistent
implementation of the
lever across the district
□ Best practices are
being collected-with
plans for
communicating these
across the district
□ Possibly some good
ideas about
implementation of the
change lever
□ Little actual
implementation of the
lever beyond minimal
bureaucratic
requirements
Common Culture:
Data, Reflection, &
Continuous
Improvement
Shared understanding,
values, and desired
expectations, including
active use of data,
reflection and
continuous
improvement of the
change lever itself.
□ Extensive use of data
and reflection about
the change lever—its
design, implementation
and effectiveness in
supporting student
achievement.
□ Common and clear
expectations across
district
□ Extensive work on
continuous
improvement
□ Use of data and
reflection guides
decisions about the
change lever
□ Expectations
communicated across
the district
□ Moderately effective
continuous
improvement efforts
□ Little common
understanding of the
change lever
□ No/little data collection
regarding lever
□ No/little reflection
about how to improve
implementation of
change lever
Sustainable Use:
Resources, Staff,
Regularization
Ad hoc vs. stability of
staff and fiscal
resources and a fit with
the ongoing
organization.

□ Strong possibility of
sustainability
□ Strong and ongoing
staff and fiscal
resource commitment
□ Shared expertise and
capacity building
□ Inclusion in regular
way the district
operates
□ Moderate possibility of
sustainability
□ Moderate staff and
fiscal resource
commitment
□ District support and
expertise

□ Very tenuous approach
to implementation of
change lever
□ Little chance of
sustainability in terms
of staffing, resources,
or regularized patterns

Abstract (if available)

Abstract Superintendents are called to increase student performance and meet the high expectations of multiple accountability systems. This study evaluates the reform strategies selected by a Superintendent who was trained and placed by the Urban School Leadership Institute in a large urban public school system.

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Asset Metadata

Creator Blanco, Elizabeth J. (author)

Core Title A case study in reform: implementation strategies of one urban superintendent

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 04/07/2009

Defense Date 03/04/2009

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

Tag entry plan,OAI-PMH Harvest,reform strategies,strategic plan,superintendent,system coherence,urban school leadership

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Castruita, Rudy M. (committee chair), Marsh, David D. (committee chair), Robles, Darline P. (committee member)

Creator Email eblanco@rowland.k12.ca.us,ejblanco@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-m2062

Unique identifier UC1288240

Identifier etd-Blanco-2716 (filename),usctheses-m40 (legacy collection record id),usctheses-c127-210205 (legacy record id),usctheses-m2062 (legacy record id)

Legacy Identifier etd-Blanco-2716.pdf

Dmrecord 210205

Document Type Dissertation

Rights Blanco, Elizabeth J.

Type texts

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

Repository Name Libraries, University of Southern California

Repository Location Los Angeles, California

Repository Email cisadmin@lib.usc.edu