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The role of the superintendent in raising student achievement: a superintendent effecting change through the implementation of selected strategies

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The role of the superintendent in raising student achievement: a superintendent effecting change through the implementation of selected strategies

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THE ROLE OF THE SUPERINTENDENT IN RAISING STUDENT
ACHIEVEMENT: A SUPERINTENDENT EFFECTING CHANGE THROUGH
THE IMPLEMENTATION OF SELECTED STRATEGIES

by

Albert Vasquez

_____________________________________________________________

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 Albert Vasquez

ii
DEDICATION
This dissertation is dedicated to my family, especially my daughter Hannah,
and my son Eddie, who have been waiting patiently for their Daddy to complete his
doctoral program at USC so we can have some fun. I thank you for your patience
and now, we will have some fun! Daddy loves you both so much “more than puno”
and is so proud of both of you. To Sejla, of course, who was very supportive and
able to convince me that the time will pass anyway, so why not?
To my Dad, who taught me the value of hard work and persistence because it
always pays off in the long run. Finally, to my Mom, who is no longer here with us
(and I miss her terribly) but her dream of me attending USC was finally realized.
She always believed that I could do whatever I wanted and even made me believe it
myself. Thanks Mom. Though you may not be here with us to enjoy the occasion, I
know you are happy and probably smiling that I am finally a USC Trojan!

iii
ACKNOWLEDGMENTS
I would like to take this opportunity to acknowledge and thank the many
people who were helpful, encouraging, supportive, and provided invaluable
assistance over the last few years. Thank you to my committee Chair, Dr. David
Marsh, for your valuable insights, friendly help, and encouragement during this
process. Thank you to my committee members, Dr. Castruita and Dr. Escalante for
your guidance and patience.
A heartfelt thanks to Dr. Edward Lee Vargas who believed I could succeed in
this program and continued to follow my progress. The encouragement of Dr.
Richard Stedry, Dr. Sergio Flores, Dr. Alex Rojas, Dr. Tami Pearson, Dr. Bruce
Mims, Dr. Maria Ott, and Dr. Linda Del Giudice was especially helpful throughout
the different phases of the entire program and certainly appreciated. To Dr. Victoria
Wintering, thank you for your endless encouragement.
I could not have survived this process without the Orange County cohort
group, a big thanks to all of you as we managed to make it through. Our thematic
dissertation group, wow! We have made it and I thank each of you for all of your
help as we may not have always agreed, but we did make it through! There are
many friends and colleagues who assisted in many ways and I always appreciated the
kind words, the helpful gestures, and the supportive environment.
The lasting friendships that come by working together through the process of
a doctoral program are a treasure that will continue to grow and be cherished. Thank
you.

iv
TABLE OF CONTENTS
Dedication ………………………………………………………………… ii
Acknowledgments ………………………………………………………... iii
List of Tables ……………………………………………………………... v
Abstract ………………………………………………………………….. vii
Chapter One: Introduction ………………………………………………. 1
Chapter Two: Review of the Literature ………………………………… 23
Chapter Three: Research Methodology ………………………………… 61
Figure 1: The House Model ………………………….………………….. 72

Chapter Four: Findings and Discussion ………….…………………….. 91

Chapter Five: Summary, Conclusions, and Implications ……………… 173
References ………………………………………………………………. 201
Appendices ……………………………………………………………… 210

v
LIST OF TABLES
Table 3.1: Relationship of Research Questions to Data Collection
Instruments ……………………………………………………………………… 77

Table 3.2: Data Collection Overview …………………………………………… 84
Table 4.1: Strengths in Baywater Public School District Upon Arrival
of Dr. Arbed ……………………………………………………………………. 100

Table 4.2: Challenges in Baywater Public School District Upon Arrival
of Dr. Arbed ……………………………………………………………………. 104

Table 4.3: Reform Strategies Leveraged in Baywater Public School District …. 110
Table 4.4: Rubric Ratings of the House Model Reform Strategies for
Baywater USD …………………………………………………………………. 118

Table 4.5: Rubric Scoring of Strategic Plan …………………………………… 119
Table 4.6: Addressing Change in Strategic Planning …………………………. 120
Table 4.7: Strategic Planning by Rubric Component …………………………. 122
Table 4.8: Rubric Scoring of Assessment …………………………………….. 123
Table 4.9: Addressing Change in Assessment ………………………………... 125
Table 4.10: Assessment Rating by Rubric Component ………………………. 126
Table 4.11: Rubric Scoring of Curriculum …………………………………… 127
Table 4.12: Addressing Change in Curriculum ……………………………… 128
Table 4.13: Curriculum Rating by Rubric Component ……………………… 129
Table 4.14: Rubric Scoring of Professional Development ………………….. 130
Table 4.15: Addressing Change in Professional Development ……………… 132
Table 4.16: Professional Development Rating by Rubric Component ……… 133
Table 4.17: Rubric Scoring of HR System and Human Capital Management . 134

vi
Table 4.18: Addressing Change in HR System and Human Capital
Management ………………………………………………………………… 136

Table 4.19: HR System and Human Capital Management Rating by Rubric
Component ………………………………………………………………….. 137

Table 4.20: Rubric Scoring of Finance and Budget ………………………… 138
Table 4.21: Addressing Change in Finance and Budget ……………………. 139
Table 4.22: Finance and Budget Rating by Rubric Component ……………. 141
Table 4.23: Rubric Scoring of Communications …………………………… 142
Table 4.24: Addressing Change in Communications ………………………. 143
Table 4.25: Communications Rating by Rubric Component ………………. 144
Table 4.26: Rubric Scoring of Governance and Board Relations ………….. 145
Table 4.27: Addressing Change in Governance and Board Relations ……… 147
Table 4.28: Governance and Board Relations Rating by Rubric Component 148
Table 4.29: Rubric Scoring of Labor Relations and Contract Negotiations … 150
Table 4.30: Addressing Change in Labor Relations and Contract
Negotiations ………………………………………………………………… 151

Table 4.31: Labor Relations and Contract Negotiations Rating by
Rubric Component ………………………………………………………….. 153

Table 4.32: Rubric Scoring of Family and Community Engagement ……… 154
Table 4.33: Addressing Change in Family and Community Engagement ….. 155
Table 4.34: Family and Community Engagement Rating by Rubric
Component ………………………………………………………………….. 157

Table 4.35: Other House Elements - Reform Strategies ……………………. 158

vii
ABSTRACT
The purpose of this case study was to examine the reform strategies being
utilized by a school district superintendent of a large urban district in attempting to
close the achievement gap within her school district. However, this qualitative study
focused on the quality and level of implementation of ten specific reform strategies
implemented by the superintendent in order to facilitate positive change in student
achievement within her district.
The large urban school district presents multiple constituency groups, as well
as outside influences, through which a school district superintendent must maneuver
in order to affect positive change related to student achievement. While creating
purposeful organizational changes in a methodic and calculated approach can have
promising impact on the overall culture of the school district, a hap-hazard approach
can be detrimental. The choice and implementation of selected reform strategies
must be designed to meet the cultural context of the institution while also moving the
superintendent’s effort forward in driving student achievement.
The results and analysis from this case study indicated that several of the
selected reform strategies were implemented at various stages, and other non-
selected strategies, were also utilized to develop a clear vision, a clear mission, with
resolute goals and objectives for the district in order to raise achievement. An initial
entry plan, the listening and learning tours throughout the district, district-wide
constituent meetings, the “branding” of the district, and the completed strategic plan
were a few of the strategies instrumental in creating change throughout the district.

viii
The ability to work collaboratively with the elected school board members as a
governance team, along with the selection of key personnel, can assist the
superintendent tremendously in moving the district’s objectives forward.
As education is truly a “people” business, the findings from this study can
provide useful information for educators and non-educators in creating change
within a district by selecting reform strategies to improve student achievement
district-wide.

1
CHAPTER ONE
Introduction
Academic achievement for students in all grade levels remains an elusive
goal of many kindergarten through twelfth grade (K12) educational institutions in the
United States. The achievement gap between students of various ethnicities, low
socio-economic status (SES), and foreign-born students grows ever larger even with
the required emphasis being placed upon school districts to close the gap (CA
Department of Education, 2007). The Federal Department of Education under the
mandates provided by the No Child Left Behind Act (NCLB) of 2001, has added a
sense of urgency to the problem due to the possibility of sanctions for schools and
districts which fail to close the achievement gap among various student populations
and have all children “proficient” by the 2013/2014 school year (US Department of
Education, 2007).
This disparity in student achievement is prevalent throughout K12
educational institutions in the United States and is especially problematic in large,
urban school districts where high stakes testing and growth targets among sub-
groups of students are used as a measure of accountability. For nearly 40 years the
results from longitudinal studies of the National Assessment of Educational Progress
, the NAEP, a nationally administered exam given to students in grades 4, 8, and 12
in voluntary school districts, showed a narrowing of the achievement gap among
diverse groups of students in the 1970’s and 1980’s (Perie, Moran and Lutkus,
2005). However, the gap began to widen once again into the 1990’s and has

2
persisted through to the present among diverse groups of students (National Center
for Education Statistics, 2007; Johnson, 2002).
Although national exams such as the NAEP, which are given to school
districts volunteering to take the exam, may not be an exact way to measure student
achievement, the achievement trend among groups is important and must be
considered when implementing programs designed to close the achievement gap.
The California State Superintendent of Public Instruction, Jack O’Connell, in his
State of Education address said “our across-the-board success has still failed to close
the achievement gap that threatens the future of our diverse state. Groups of
California children who have traditionally struggled-in many instances the fastest
growing portion of our society-continue to trail behind their peers and the gap is not
closing” (California Department of Education, 2007). The elected Superintendent of
Public Instruction in California recognizes the importance of acknowledging a gap
however, addressing it is crucial for school systems and school districts in order for
our children to remain competitive as a nation in an ever changing world.
School districts, even in large systems, play an important role in driving
achievement among all students within the school environment (Waters and
Marzano, 2006). School systems will need to create the synergy necessary to
overcome local policy issues and district culture in order to achieve long term
success. The understanding of the way an educational institution or system functions
will be critical in developing a sense of the broader context of how things are done
within that institutional setting (Johnson, 2002). Although well intentioned, many

3
school cultural systems actually inhibit collaboration, as well as collegiality, which
result in an allegiance to institutionalization rather than to student achievement
(Johnson, 1996).
There are many instances of documented and well-defined cultural issues
within school systems, such as institutional racism and according to Cummins
(1989), where there are ideologies and structures used to legitimize the unequal
divisions of power and resources between groups. Further, “there is usually no intent
to discriminate on the part of the educators; however, their interactions with minority
students are mediated by a system of unquestioned assumptions that reflect the
values and priorities of the dominant middle class culture and it is in these
interactions that minority students are educationally disabled (Cummins, 1989-p.
52)”. In some instances there are cultural norms, which have been institutionalized,
where the expectations have been lowered for certain groups of students; however,
there are still many success stories of various school environments rising above the
low expectations of the staff by doing exceptionally well.
Over the last several decades, many researchers have concluded there are a
number of similarities within successful school systems and school districts which
actually promote student achievement among all students (Waters and Marzano,
2006; Elmore, 2000; Waters and Cameron, 2007). There are many excellent
examples of individual schools and clusters of schools within a larger educational
environment that have leaders who have implemented research based programs and

4
have made a difference among students of various ethnicities, low SES, and foreign-
born English Language Learners (ELL’s) (EdSource, 2007).
Many of these schools are among the 90/90/90 designation that denotes 90
percent of the students receive free or reduced lunch-a sign of lower socio-economic
status, 90 percent are from ethnic minorities, and 90 percent are achieving at high
academic levels (Reeves, 2000). As leaders of individual schools or a cluster of
schools are able to implement changes leading to increasing student achievement at
their individual sites, can the same be said of district leadership in helping raise
student achievement district-wide? The role of a system or district leader is
changing with renewed emphasis on the superintendency and how this leadership
position may actually increase student achievement through the implementation of
various reform strategies within that environment.
The role of the superintendent of a school system or school district has been
evolving for the last several decades. Where the superintendent was once considered
a systems leader or systems manager overseeing areas such as finance,
transportation, maintenance, and operational issues, today there is an increasing
demand that the superintendent play an active role in increasing student achievement
through instruction and curriculum programs as the instructional leader of a school
district (Byrd, Drews & Johnson, 2006). According to Waters and Marzano (2006),
there is a positive correlation between leadership qualities of the superintendent and
student achievement.

5
Waters and Marzano (2006), in their meta-analysis, noted five distinct
district-level responsibilities for raising achievement and include: collaborative goal
setting, non-negotiable goals for achievement and instruction, board alignment and
support of district goals, monitoring goals for achievement and instruction, and the
effective use of resources to support achievement and instructional goals. The
successful superintendent will be able to effectively communicate and champion
these five responsibilities throughout the district in order to bring about the support
that will be required to implement any changes within the school district and
especially, the culture of the district. The reform strategies a superintendent may
choose in order to attempt to improve student achievement and close the gap are not
limited to only five; but are also dependent upon the prevailing culture of the district
when the superintendent began their tenure. The inter-personal skill sets they
possess as well as the charge given to them by their Board of Education will also
factor into their decision making process about the selection of the reform strategies
to use.
A new superintendent will have a much better chance in the development of
new ideas and a vision for the school district. The superintendent, after arriving at
the new post, should develop their own plan for change after consulting the Board of
Education, the various district stakeholders, and the community about the
expectations for the success of the students. Although there are many common
mistakes and pitfalls a new superintendent should avoid (Kerrins and Cushing,
2001), the first several months are critical in the development of a strategic plan, a

6
new vision, and a new mission statement. The development of the goals and
objectives or the refining of the current goals and objectives for the district or school
system is often expected of the new system leader. The superintendent must clearly
articulate the vision for change, communicate it effectively to all stakeholders,
provide the leadership for the instructional path, monitor the progress, and create a
system of professional development through professional learning communities all
while setting high expectations and standards for students (Johnson, 2003).
This important task cannot be completed within a short time frame; but with
the understanding that there will be true long-term commitment so that the changes
can become institutionalized, and sustained, throughout the educational environment
while changing the culture of the district. Therefore, the first several months are
critical in order to implement any changes, as well as to have any meaningful
dialogue, which will need to occur with all stakeholders, staff, and other interested
community members to assure a sustained effort will continue beyond the initial
fanfare (Watkins, 2003; Demmon-Berger, 2003). In order to understand the
dynamics of those first several months as a superintendent coming into a new
position, the preparation for the position of superintendent is also changing with
some positive results.
Not only are there more expectations and responsibilities of being the
instructional leader placed upon the superintendent, many institutions of higher
learning are adding successful strategic planning to the core curricula of their
educational schools. The changes to the curricula of traditional schools of higher

7
education in a positive learning environment are allowing those wanting to ascend to
a superintendent position the information necessary to be able to navigate the
increasing role, responsibilities, and expectations of the superintendent (Dembo and
Marsh, 2007). It is not known if the changes to the core curricula will be enough to
allow a person in the superintendent’s position to be successful; however, the change
in teaching strategies at universities is already occurring and hopefully, is making for
better prepared leaders of school systems who can raise student achievement.
There are other programs and projects being implemented by private
foundations to develop potential leaders to become school district superintendents or
system leaders. Private foundations, such as the Broad Foundation, have developed
superintendent-in-training programs such as The Broad Superintendents Academy
(Fordham Institute, 2003; Broad Foundation, 2007). The training programs are
utilizing research based best practices and promising new practices to create
superintendent academies for those interested in becoming superintendents (Broad
Foundation, 2007; Stupski Foundation, 2007). The academies are dual focused and
are designed for the traditional and non-traditional superintendent candidates with a
first goal to develop traditional, educational based leaders who have “been promoted
through the ranks” of a traditional education career and are now aspiring to a
superintendent post (Broad Superintendents Academy, 2007).
The second focus is on training the non-traditional leaders from various other
public and private sector positions and developing their skills in order to successfully
navigate the school system. The non-traditional candidates must have proven

8
leadership skills and experience although not in educational leadership positions.
The selection process is often rigorous for these positions and it is extremely
important those chosen want to make a difference in helping students across the
board by closing the achievement gap (Broad Superintendent’s Academy, 2007).
The academies are still relatively new and they are promising to change the
way superintendents are trained for their position by implementing programs which
are created to further develop the leadership skills of leaders and promote the best
practices within the educational community. The superintendent’s background,
experiences, and training will determine the reform strategies that will be employed
to raise student achievement in their district. There are many reform strategies a new
superintendent can choose from in order to raise achievement in their district;
however, their choices will most likely be reduced by the specific problem they are
attempting to address or resolve. Regardless of the route a leader takes to become a
superintendent, the position is changing, becoming much more dynamic, and will
require those who step into the role to have a positive impact on student achievement
(Leithwood, Day, Sammons, Harris and Hopkins, 2006).
Statement of the Problem
Student achievement and closing the achievement gap among all students is
one of the stated goals of current Federal and state legislation. Therefore, it is
imperative to understand what reform strategies are being employed by traditionally
and non-traditionally trained superintendents in creating and sustaining a culture

9
where high student expectations as well as “best or promising practices” are engaged
to increase achievement among all students to close the achievement gap.
In order to try and develop a strategy for closing the gap, many traditional
educational schools in higher education have added course sections for aspiring
administrators and superintendents related to raising student achievement. The
additional coursework may or may not be having an impact on raising student
achievement or assisting new superintendents as intended, or enable one to
specifically pin-point those reform strategies which will actually help in closing the
gaps in student achievement among all student populations. Certainly, the additional
knowledge may be valuable, but depending on the school district’s culture and the
personal experiences of the superintendent, this may still not be enough. However, if
there is an improper match of these two critical components, the situation could
actually worsen, creating an even larger gap in student achievement than when the
superintendent began their tenure (Marzano, 2003).
The “proper” placement within an educational environment for an aspiring
superintendent and a school district should be considered a critical component of
achieving the desired results among student populations. The Urban School
Leadership Foundation, through the Urban School Leadership Institute, has
developed their own educational academy for aspiring superintendent’s and has
invested funding aimed at closing the achievement gap through the use of research
and data based promising practices based on research and data. There is not only
“promising or best practice” research that the institute utilizes, there are several

10
components designed into a model to develop the qualities and strategies needed to
implement change by selecting and implementing the proper reform strategies in
order to positively affect student achievement. There are presently twenty-five
change or reform strategies advocated by the Urban School Leadership Institute in
helping superintendents close the achievement gap. The reform strategy selected by
the superintendent will greatly depend upon the previous training and the personal
skills of a new superintendent, as well as the culture of the district when the
superintendent arrives.
Whether a traditional or non-traditional route was the path to a school district
superintendency, the non-traditional route via a superintendent’s academy such as
the Urban School Leadership Institute, for those in the military, government, private
sector, or other leadership role may use a different set of tools from their toolbox
which is based on the breadth and depth of their previous experience. Those who
have come up through the educational ranks may have yet another set of tools they
utilize based on their personal and professional expertise when confronting new
issues and challenges.
Each person selected for a position as superintendent requires a multitude of
tools which are available in their personal arsenal in order to satisfactorily navigate
the many obstacles associated with the position. Although some of the routes into a
superintendent’s position may seem to be at opposite ends of the spectrum,
concentrating on the similarities between all potential candidates such as personal
backgrounds, leadership styles, a district’s strength and weaknesses, and successful

11
implementation of reform strategies may allow for a more complete understanding of
the reform strategies implemented in order raise student achievement.
Purpose of the Study
The purpose of this study is to determine the reform strategies or changes that
are being utilized by superintendents who are graduates of the Urban School
Leadership Institute in successfully closing the achievement gap in their districts. In
attempting to raise student achievement across their respective school districts, are
there similarities or differences in the use of the various reform strategies among
superintendents from the Urban School Leadership Institute.
The reform strategies utilized by one superintendent graduating from a
superintendent’s academy, such as the Urban School Leadership Institute, will be the
focus of this analytical case study. A total of ten reform strategies will be
investigated to determine the actions taken by the superintendent and to determine
the level and quality of the implementation of the ten reform strategies to close the
achievement gap among all students in the district. This study builds upon an initial
study conducted by Takata, Marsh, and Castruita (2007) which compared strategies
and actions of the Urban School Leadership Institute graduates in raising student
achievement in their respective districts.
In order to maintain some consistency between the initial study and this
study, the “House Model” will be used as the conceptual framework to understand
how this unique model may influence the Urban School Leadership Institute’s

12
graduate as an educational leader as they embark on their new position as
superintendent.
The factors related to the changes or reform strategies utilized due to the
leader’s personal leadership style, the school districts institutionalized “culture”, the
strengths and challenges of the particular district, and the successful matching of a
superintendent and school district will also be investigated.
The research questions that guided this study are:
1. How are the ten key reform strategies being used by school
superintendents in large urban districts to improve student achievement in
their respective district?
a. How does the quality and degree of implementation of ten key
reform strategies correspond to the strengths and challenges of the
district when the superintendent took office?
b. What additional major 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?
The Importance of the Study
According to Waters and Marzano (2006), there is ample evidence of
sustained district led reforms that play an exceedingly important role in driving
achievement among all students in that environment. However, although there have

13
been some excellent examples of individual school achievement among schools
within districts, research indicates many schools districts are still not close to closing
the achievement gap among specified sub-groups of students (O’Connell-State of
Education Address, 2007). This is true especially in large urban school districts
where large sub-group populations of culturally diverse, lower SES and English
Language Learners are in the majority (Johnson, 2002).
Along with district accountability, the superintendent has seemingly become
the district’s instructional leader and is responsible for closing the achievement gap
among the sub-group populations within his/her district. The importance of the
position requires a new superintendent to master many skills and make
determinations of what changes are needed within the school district in a relatively
short period of time. The experience and personal skill sets required by the
superintendent are numerous and the need to make change within a district,
especially within the culture of the district, is necessary as well as proper. By
reviewing the reform strategies that have been utilized in order to create sustainable,
systemic change to improve student achievement, it is essential to seek out how
superintendents trained in the Urban School Leadership Institute are accomplishing
their goal of raising student achievement. Any previous training and experience of a
superintendent is also an important component in order to determine how an intense
training program such as the Urban School Leadership Institute, which is sponsored
by the Urban School Leadership Foundation (Broad Superintendent Academy, 2007)
will determine what reform strategies will be utilized by the superintendent.

14
This study anticipates that many commonalties will be found among
successful superintendents. Although this case study focuses on a single
superintendent, there were a total of ten superintendents from across the country
studied by the research team from the University of Southern California. This study
will also assist in beginning the essential dialogue to find out what reform strategies
or changes are being utilized among superintendents in order to close the
achievement gap among all student sub-groups and raise student achievement.
Assumptions
This study makes the assumption that increased student achievement is the
product of the superintendent’s district reform efforts, mediated by the choice,
implementation, and quality of the reform strategies which were selected. Any
improvement in student achievement results is assumed to be attributable to the
decisions made by the superintendent. This study also assumes that the
superintendent relied on their personal and professional background and experience
and that the preparation received in superintendent training programs was designed
to inform their decision-making processes upon entry into office. The literature used
to support the development of the conceptual framework and data collection
instruments for this study is assumed to be credible and valid. Finally, the study
assumes that the district provided accurate and truthful information and data that will
be triangulated.

15
Limitations
The data collection for this case study was completed within a time frame
limited by the schedule of the research team and deadlines as determined by the
Urban School Leadership Foundation and the University of Southern California.
Due to limited resources and time, this case study was limited to an urban
superintendent who met specific criteria as determined by the research team and the
Urban School Leadership Foundation. The superintendent selected for this study
may not be representative of other superintendents trained in the same programs
limiting the generalizability of the findings. Since qualitative data naturally leads to
increased subjectivity and researcher bias, efforts to provide data triangulation and
investigator triangulation were employed (Patton, 2002). Undetermined variables or
factors within the district context may have had an effect on the results of this study.
Delimitations
This current study is a qualitative, case study investigating the reform
strategy applications employed by a superintendent and the subsequent impact on
student achievement. The study seeks to understand the reform strategies used by an
Urban School Leadership Institute superintendent in their respective district to drive
student achievement. The criteria for selecting the district for this case study
included the following:
1. The district must be identified as a large, urban school system;
2. The superintendent must have been in office since 2006;
3. The superintendent must still be in office; and

16
4. The superintendent must be a graduate of the Urban School Leadership
Institute.
Definition of Terms
For the purpose of this study, the following terms are operationally defined as
specified below:
Academic Performance Index (API): The California comparative indicator
(rank) based on a numeric value of between 200 (low) and 1,000 (high) that
identifies student academic performance by school and district-based annual
statewide testing results (EdSource, 2007).
Accountability: Accountability refers to the obligation for schools to produce
improvements in student academic achievement. This is the system that holds
districts, schools, and/or students responsible for student performance.
Accountability systems typically consist of assessments, public reporting of results,
and rewards or sanctions based upon student performance over time.
Achievement gap: A term that refers to the observed difference in educational
performance measures between groups of students defined by race/ethnicity, gender,
and socioeconomic status.
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. The NCLB law requires districts to pay attention to
the performance levels of all students by sub group (e.g., grade, sex, special program

17
status, and ethnicity). Districts must make annual progress towards the goal of 100%
proficient by 2014 (EdSource, 2005).
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 (Broad Superintendent’s
Academy, 2008).
Broad Superintendents Academy (TBA): A rigorous 10-month executive
management program designed to prepare CEOs and senior executives from outside
and from within the educational environment to lead urban public school systems.
Communications: Communication of great stories in the district must be
shared. The development of 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 (Broad
Superintendent’s Academy, 2008).
Conceptual framework: A lens through which research literature, theories,
and other pertinent information forms the basis for the analysis of findings within the
study.
Curriculum: Curriculum refers to the materials used to teach. Classroom
materials, such as textbooks, worksheets, pacing guides, etc., should address the
scope and sequence of the district’s learning standards (Broad Superintendent’s
Academy, 2008).

18
Data Dashboard: A view of all of the student achievement data in
classrooms, school sites, and the district offices.
Entry plan: An entry plan provides the details of a new superintendent’s
priorities and focus for the first few months in the new position (Broad
Superintendent’s Academy, 2008).
Family and Community Engagement: Family and community engagement
offer the district multiple opportunities for all stakeholders to interact with the
district, from volunteering to partnering with local organizations in support of
student success. Many districts take surveys of parents and the community in
general to determine how they view the district and what priorities for improvement
are. Surveys should be closely linked to the district’s performance management
system and data dashboard. Increasing stakeholder satisfaction can lead to greater
support for funding measures, significantly increasing its financial resources (Broad
Superintendent’s Academy, 2008).
Finance and Budget: The finance and budget of a district should be in
alignment with instructional priorities as well as balanced and sustainable. Some
successful district’s have adopted innovative budgeting approached such as “zero-
based budgeting” and weighted student funding to bring their budgets into closer
alignment with their priorities (Broad Superintendent’s Academy, 2008).
Governance and Board Relations: The area of governance and board
relations is critical since most districts are governed by boards elected from the local
population; others answer to appointed boards. The school board is responsible for

19
setting policy direction for the district; superintendents can take a supporting role in
developing policy but are mainly charged with executing it. Winning support of the
board is time consuming but a critical task for superintendents (Broad
Superintendent’s Academy, 2008).
House Model: A conceptual framework developed by the Broad Academy
staff, providing a visual representation of the reform model that is used by The Broad
Superintendents Academy during its training sessions and curriculum. The House
Model incorporates four key components including, resource allocation, instructional
alignment, organizational effectiveness, and system governance.
Human Resource System and Human Capital Management: The human
resource (HR) system and human capital management research indicates that teacher
quality is a primary influence on student achievement. Effective districts do a good
job in attracting, selecting, and managing talent at the teacher, principal, or district
office level. Improving the recruiting and hiring processes for personnel, developing
attractive compensation packages, and streamlining the process of applications and
payments are evidence of a good HR system (Broad Superintendent’s Academy,
2008).
Instruction: Instruction refers to the delivery of curriculum and may
encompass a variety of teaching strategies.
Labor Relations and Contract Negotiations: The area of labor relations and
contract negotiations presents the superintendent the opportunity to build
relationships and negotiate with several unions to which various staff belongs.

20
Success in working with unions requires an upfront investment in building
relationships and understanding the priorities of union leaders. The content of the
contract also requires close attention. Contract language can restrict or expand the
superintendent’s options for replacing or re-assigning staff. This is particularly
crucial with teacher contracts, as teacher quality is one of the most significant
influences on student achievement (Broad Superintendent’s Academy, 2008).
Large urban: As defined by the Broad Foundation, a large urban school
district is defined by student enrollment. The top 125 largest school districts in the
United States are considered to belong to this category.
Non-traditional superintendent: A superintendent of a school district who is a
graduate of the Urban School Leadership Institute. He or she may have a
professional background outside of the educational environment.
Professional development: Professional development is any program or
course intended to improve teachers’ and administrators’ effectiveness. 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 accordingly, or enables principals and teachers to improve their knowledge
and skills in areas of district focus (Broad Superintendents Academy, 2008).
Program Improvement (PI): A designation to monitor a school that has not
made their AYP targets in successive years.

21
Sanctions: In accountability systems, the consequences imposed upon an
individual or system for not meeting identified performance outcomes (EdSource,
2005).
Stakeholder: A person or group of people with interest in actions and
outcomes of the school district. This could include administrators, teachers, parents,
students, and community members.
Standardized test: An assessment that is administered and scored with
uniform procedures to ensure consistency for all students. The test is designed to
measure specific skills and knowledge.
Standards: Standards describe the learning goals for a particular subject at a
particular grade level.
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
(Broad Superintendent’s Academy, 2008).
Subgroup: A homogeneous group as defined by race/ethnicity, language
proficiency, gender, socioeconomic status, or special program.
Sustainability: Sustainability refers to the goal of long-term district reform
that retains a permanent focus on student achievement beyond the success of initial
gains.
System leader: The term system leader refers to the superintendent of a
school district.

22
Title I: A program that provides federal funding for students with academic
difficulties who live in low socio-economic areas.
Traditional superintendent: A superintendent of a school district with a
background in the K-12 education system and has attended a traditional university-
based superintendent’s preparation program.
Organization of the Study
Chapter One provides an introduction to the study and summarizes the
purpose for examining reform strategies utilized by a superintendent to impact
student achievement. Chapter Two will review and discuss the relevant literature
around the status of student performance, the role of the district office, the role of the
superintendent, superintendent strategies for change, and superintendent preparation.
Chapter Three will present the research methodology and design, including the
instrumentation, data collection, and analysis of data. Chapter Four will present
findings and an analysis of data for the research question and sub-questions. Chapter
Five will summarize the study and present the conclusion and implications for
system leaders, particularly for superintendents in urban districts.

23
CHAPTER TWO
Review of the Literature
The educational system in the United States has been under scrutiny for many
years due to the achievement gap that persists among our children. The demand for
accountability, as well as improved student performance, has changed the way an
educational institution reviews and gauges its progress as related to achievement.
Although education has generally been left up to the states based on the Tenth
Amendment of the United States Constitution, the current Federal involvement in
education has a lineage that can be traced back over 90 years beginning with the
Smith-Hughes Act of 1917. The Federal government’s attempt to address issues
related to low levels of academic achievement within the states has continued
throughout the years with Congress passing the Elementary and Secondary
Education Act in 1965 and its’ subsequent re-authorizations, which most recently
includes the No Child Left Behind Act (NCLB, 2001).
The United States Congress, by passing this particular piece of legislation,
has taken the necessary steps to ensure that a quality education is accessible for all
students (EdSource, 2004). The Federal legislature, recognizing a disconnection
between what is needed and what has been achieved, has sought to remedy this lack
of achievement among student groups through NCLB. The traditional democracy,
which our founding fathers sought as leaders and citizens of the United States, was to
value education as a foundation of our democracy as well as a resource for economic

24
prosperity and as a means by which individual potential is realized (Perie, Moran,
and Lutkus, 2005).
However, without an educated workforce for the future of the country, the
implications are quite serious for our nation. In order to remain competitive in the
global environment, an appropriately educated citizenry is an absolute necessity. The
National Center on Education and the Economy (NCEE) released a report in 2007
entitled Tough Choices or Tough Times which confirmed the extant research tying
student achievement to the future of the national workforce as well as an individual’s
lifetime earning capacity (National Center on Education and the Economy, 2007). A
study by Karoly and Panis (2004) revealed that the future workforce of the United
States will require higher levels of educational attainment as well as specialized
skills in order to compete in a global economy and there is a growing concern that
our children’s future progress, relying heavily on educational improvement, will
need to keep pace with the global environment as it is vital to our nation’s status as a
global power (Friedman, 2005).
The development and implementation of the educational system in the United
States has been largely left up to the states; however, in today’s high stakes
accountability environment which is being pressed by the Federal government, much
more needs to be done in order to close the achievement gap that presently persists.
The states, feeling the pressure from the Federal government, are placing more
accountability onto the individual county offices of education, who in turn, are

25
pressing the individual school districts resulting in the need for a capable and well
rounded district leader.
In reviewing the research relevant to this study, five topic areas were
identified and developed. Presently, although we are doing a slightly better job of
raising achievement in standardized testing among other nations and within our
borders, significant disparities in academic achievement among all student groups
continues to persist with the problem being especially acute in large urban districts
attempting to close the achievement gap. Secondly, the role of the local school
system in driving reform strategies for improving achievement has been reviewed by
the scholarship in the field, and the research reveals that districts do make a
difference when reform strategies are implemented in a systemic pattern in order to
change the entire system. However, the importance of the role of a systems leader to
determine if leadership actually matters in large districts should not be discounted. A
superintendent can exert consequential leadership on a large scale when
implementing reforms across a district, especially when done in a systematic way
and all stakeholder groups are a part of the larger solution.
As there are change strategies a systems leader can utilize to drive and sustain
student achievement in the long term, the superintendent needs to be competent in
terms of their knowledge, skills, and the tools that are available to them in order to
successfully execute effective strategies. The final topic raises the question: do the
leadership preparation programs in the universities and private foundations provide

26
the knowledge and skills necessary to influence the success of the superintendent as
a systems leader?
The process of closing the achievement gap in our schools as a result of the
decisions made by a superintendent is the focus of this review. Additionally, by
examining the case study of a single superintendent, we also implicate the future of
the United States, as a global leader, if all student populations are not achieving at
high levels beginning with their elementary education. Consequently, that is the
aligned topic of this review.
Student Achievement
Test results have revealed that when our students compete globally against
students from other nations, the results are not as optimistic as we would like;
however, there may be a ray of hope on the horizon. The 2007 Trends in
International Mathematics and Science Study (TIMSS) showed that mathematics
achievement at both the fourth and eighth grade levels to be higher than the TIMSS
scale average. The US fourth graders scored an average of 529 which was higher
than the TIMSS scaled average of 500. The fourth graders scored lower than only 8
countries, all Asian or European, but higher than 27 other countries (National Center
for Education Statistics, 2007). While the US eighth graders scored an average of
508 on a TIMSS scaled average score of 500, the eighth graders scores were lower
than only 5 Asian countries out of a participating pool of 47 countries (National
Center for Education Statistics, 2007). Overall, higher percentages of US fourth and
eighth graders were performing at or above each of the four TIMSS international

27
benchmarks in mathematics than the international medians of the percentages
performing at each level (National Center for Education Statistics, 2007). Although
considered a good sign regarding international competitiveness in mathematics, more
must be done to close the achievement gap among all students in the United States.
The achievement gap between students of various ethnicities, low socio-
economic status (SES), and foreign-born students continues to grow even with the
required emphasis being placed upon school districts to close the gap (CA
Department of Education, 2007). The student performance outcomes in public
education continue to lead to concerns about the social and economic implications
for not only individuals, but also for society as a whole (EdSource, 2007). The No
Child Left Behind Act (NCLB) has added exigency to the continuing problem with
the possibility of sanctions for schools and districts which fail to close the gap and
have all children “proficient” by the 2013/2014 school year (US Department of
Education, 2007). As student achievement data has been reported nationally, a sense
of urgency to improve the academic performance of all students has emerged (Weiss,
2007).
The disparity in student achievement among specific student populations is
prevalent throughout K12 educational institutions in the United States and is
especially problematic in large, urban school districts where high stakes testing and
growth targets among sub-groups of students are used as a measure of accountability.
For nearly 40 years, the results from longitudinal studies of the National Assessment
of Educational Progress (NAEP) have been to measure student achievement

28
nationwide. The NAEP, a nationally administered exam to measure student
achievement in math and reading to students in grades 4, 8, and 12 in selected school
districts every four years, showed a narrowing of the achievement gap among diverse
groups of students in the 1970’s and 1980’s (Perie, Moran and Lutkus, 2005). The
gap began to widen once again into the 1990’s and has persisted among diverse
groups of students (National Center for Education Statistics, 2007b; Johnson, 2002).
As an example, between the 1971 and 2004 iterations of the exam, reading does
show improvement at grade 4 (age 9) but does not show any significant improvement
at grade 8 (age 13); and even less improvement at grade 12 (age 17) among all
students. However, the NAEP has provided a lens through which researchers and
practitioners are able to view data and draw comparisons between districts, student
groups, and their performance levels (National Center for Education Statistics,
2007b).
Although national exams such as the NAEP, which are given to school
districts volunteering to take the exam, may not be an exact way to measure student
achievement, the achievement trend among sub-groups is important and must be
considered when implementing programs designed to close the achievement gap.
The California State Superintendent of Public Instruction, Jack O’Connell, in his
State of Education address said “our across-the-board success has still failed to close
the achievement gap that threatens the future of our diverse state. Groups of
California children who have traditionally struggled-in many instances the fastest
growing portion of our society-continue to trail behind their peers and the gap is not

29
closing” (California Department of Education, 2007). The elected Superintendent of
Public Instruction in California recognizes the importance of acknowledging a gap
and it is crucial for school systems and school districts to close this gap in order for
our children to remain competitive as a nation in an ever changing world.
Role of the Local Districts
School systems and school districts can play an exceedingly important role in
driving achievement among all students in that environment (Waters and Marzano,
2006). However, even under the federal mandate of NCLB and state led reforms,
many educational institutions, especially those in large urban areas, are still failing to
close the gap between all students (Fuller, 2003). This trend is especially relevant
where the cultural and socio-economic realities have produced large, urban school
systems with high poverty rates and a minority enrollment are the norm (Elmore and
Fuhrman, 1990). Elmore (2003) states that under-performing schools can benefit
from district assistance related to scaffolding techniques especially related to both
professional development and instructional support. School systems will need to
create the synergy necessary to overcome local policy issues and district culture in
order to achieve long term success.
According to Childress, Elmore, and Grossman (2006), the sheer complexity
of the large school system does not make it simple to run; it cannot be considered a
business and should not be managed as one. Further, all districts, due to their own
institutionalized practices, will need to create the successful strategies in order to
become coherent and consequently raise student achievement district-wide. Johnson

30
(2002) states, that understanding the way an educational institution functions is
critical in developing a sense of the broader context of how things are done within
that institutional setting. Additionally, most school districts are hierarchical systems
with routines that date back to the early 20
th
century. Although well intentioned,
many of the routines actually inhibit collaboration as well as collegiality which result
in an allegiance to institutionalization rather than to student achievement (Johnson,
1996).
Researchers such as Cummins (1989) have also documented and defined
school system cultural issues such as institutional racism which are “ideologies and
structures which are used to legitimize unequal division of power and resources
between groups and defined on the basis of race (p.52).” However, even when there
are institutionalized cultural norms where the expectations have been lowered for
certain groups of students; there are still many success stories of student group
populations within schools rising above the low expectations of many of the staff by
doing exceptionally well in school.
Many researchers, over the last several decades, have found there are a
number of striking similarities among successful school systems and school districts
that have actually promoted student achievement among all students within those
systems (Waters and Marzano, 2006; Elmore, 2000; Waters and Cameron, 2007).
There are exceptional examples of schools from all the grade levels, within a school
district, that have had leaders who have been able to implement research based
programs that have made a difference among all students including those from a

31
lower SES, various ethnicities within that environment, foreign-born English
Language Learners (ELL’s) (EdSource, 2007). These successful schools hold the
90/90/90 designation that denotes 90 percent of the students receive free or reduced
lunch-a sign of lower socio-economic status, 90 percent are from ethnic minorities,
and 90 percent are achieving at high academic levels (Reeves, 2000).
The leaders of these individual schools are seemingly able to implement
sustained change by increasing student achievement at their individual sites;
however, is it possible that the leader of a school district can exert the necessary
leadership to create sustained change by raising student achievement district-wide?
According to Elmore (2006), a district, through quality programs and
implementation, does play an important role in shaping the entire education of the
student with standards based reforms that actually reach into the instructional core of
school classrooms, “by making what actually gets taught, a matter of public policy
and open political discourse (p. 9)”. The important message to be taken from the
educational learning process is that students should be able to receive and absorb
their instruction within certain subject areas and certain topics (Elmore, 2006).
Clearly, a superintendent must provide the leadership for the entire district in order
to drive student achievement and move that district forward. By providing effective
leadership and a coherent program, the leader is much better situated to implement a
system-wide plan of reform to improve student performance (Waters and Marzano,
2006; Childress, Elmore, and Grossman, 2006); and according to Waters and

32
Marzano (2006), there is a positive correlation between superintendent leadership
and student achievement.
Role of Systems Leaders-Leadership Matters
According to Yukl (2002), the most commonly used measure of leadership
effectiveness is the extent to which the leader’s organizational unit performs its tasks
successfully to attain its’ goals. For a systems leader in California, an objective
measure could be the district-wide Academic Performance Index (API) scores.
Hogan and Kaiser (2005) state systems leadership is one of the most important topics
in the human sciences and historically one of the most poorly understood. Leadership
is important for two reasons; first, leadership solves the problem of how to organize
collective efforts and is a key to organizational effectiveness. Secondly, and more
importantly, especially from a moral perspective, a bad leader will perpetuate misery
onto those who are subject to the leaders domain. Further, the research points out
that leadership matters as it is hugely consequential for the success of the
organization and the well-being of the staff and larger community (Hogan and
Kaiser, 2005).
In her study of new superintendents, Moore-Johnson (1996) examines the
several leadership roles a superintendent must utilize in order to deftly maneuver
through the mazes of a school district. As an educational leader, a superintendent
must be able to diagnose local educational needs by recommending strategies for
improvement of teaching and learning. As a political leader, a superintendent must
interact with elected officials such as the school board, city council, and union

33
leadership in order to develop relationships that will improve the local schools. The
superintendent as a manager must use the district’s organizational hierarchy in order
to make sure the district’s operational machine is running smoothly. According to
Moore-Johnson (1996), effective superintendents are versatile and utilize all three
leadership approaches when necessary to achieve their goals in the furtherance of the
district.
The role of a systems or district leader, such as a school district
superintendent, is changing with renewed emphasis being placed on the
superintendency and how this leadership position may actually increase student
achievement through the implementation of various reform strategies within that
environment. The position of superintendent of a school system or school district has
been evolving for the last several decades. Where the superintendent was once
considered a systems leader or systems manager overseeing areas such as budget,
health services, transportation, maintenance, and operational issues, today there is an
increasing demand the superintendent plays an active role in increasing student
achievement through instruction and curriculum programs as the instructional leader
of a school district (Byrd, Drews & Johnson, 2006).
How can the role be defined so there may be a successful superintendent if
“success in this case would be defined not as survival but as leading sustained and
effective strategies to improve student achievement, particularly for the most
disadvantaged children?” asks Fuller, Campbell, Celio, Harvey, Immerwahr, and
Winger (2003). In their research of the successful superintendent, there are a number

34
of conclusions at which they arrive and one such conclusion is that a superintendent
should first be a competent manager. However, while the stakes are being raised by
accountability standards and performance requirements, the overall expectations for
a superintendent are making the position extremely difficult (Fuller et al., 2003).
Although, there are superintendents of school districts who have managed to raise
the achievement levels in their elementary grades; the same types of gains in the
secondary schools have been elusive and not sustained over a long period of time.
However, that does not mean we should not try to find the keys to successfully
implementing the programs which have a positive effect on student achievement.
According to their meta-analysis, Waters and Marzano (2006) stated that
there are “five distinct district-level responsibilities related to setting and keeping
districts focused on teaching and learning goals (p. 3)”. The responsibilities listed by
Waters and Marzano (2006), include 1) Collaborative goal setting, 2) Non-negotiable
goals for achievement and instruction, 3) Board alignment and support of district
goals, 4) Monitoring goals for achievement and instruction, and 5) Use of resources
to support achievement and instructional goals. The superintendent must effectively
communicate these five responsibilities to the elected Board of Education, whose
support is crucial, the Executive Cabinet member, as well as the directors, principals,
teaching staff, and the larger school community in order to be able to bring about the
critical support that will be required in order to successfully implement any change
within the district and the culture within the school district.

35
The strategies a superintendent may choose to use in order to improve
achievement and close the gap are not limited to the over-arching five listed above
and are certainly dependent upon the culture of the district at the beginning of the
superintendent’s tenure, and the inter-personal skills possessed by the
superintendent, as well as the charge given to the superintendent by their Board of
Education.
Strategies Employed by Systems Leaders
A newly appointed superintendent has a much better chance of promoting
new ideas and a vision for the school district within the first several months after
arriving at the new post due to Board, district, and community expectations.
Although there are many common mistakes and pitfalls a new superintendent should
avoid (Kerrins and Cushing, 2001), the first several months are critical in the
development of a strategic plan, vision and mission statements, and goals for the
district or system and is often expected of the new systems leader. A new
superintendent must clearly articulate the vision of change, communicate it
effectively, provide leadership for the instructional path, monitor progress, and create
a system of professional development through professional learning communities all
while setting high expectations for students (Johnson, 2002).
Clearly, this cannot be completed within a shortened time frame but with the
realization of the long-term commitment necessary so the changes can become
institutionalized. Through a sustained effort within the educational environment, a
change of the culture of the district can take place. The strategies to make sustained

36
and systemic changes in a district will require a superintendent to possess critical
knowledge about change strategies. Through a comprehensive review of literature,
and research-based best or promising practices, twenty-five key strategic
actions/strategies or “reform strategies” have been revealed through which systemic
change is initiated and sustained by system leaders, specifically as it relates to
improving student achievement (Broad Foundation, 2007).
The House Model includes all twenty-five of the reform efforts and was
developed by the Urban School Leadership Foundation. The House Model is a side
view of a house which is based on a foundation with three large rooms, an attic, and
at the pinnacle of the roof, sustained student achievement. However, for this study,
only ten key reform strategies, as defined by the Broad Academy staff and USC
research staff, is part of this study and include the following:
The Ten Key Reform Strategies:
Strategic Plan: The Strategic Plan defines the district’s mission, goals, and
vision.
Assessment: Assessment activities enables the district to know whether
students are learning what they are supposed to learn (i.e., the standards).
Curriculum: Curriculum refers to the materials used to teach. Classroom
materials such as textbooks, worksheets, pacing guides, etc. They 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.

37
Human Resource System and Human Capital Management: The Human
Resource System (HR) and Human Capital Management research indicates that
teacher quality is a primary influence on student achievement.
Finance and Budget: The Finance and Budget of a district should be in
alignment with instructional priorities as well as balanced and sustainable.
Communications: Communication of great stories in the district must be
shared with all stakeholders.
Governance and Board Relations: The area of Governance/Board Relations
is critical since most districts are governed by boards elected from the local
population; others answer to appointed boards.
Labor Relations and Contract Negotiations: The area of Labor
Relations/Contract Negotiations presents the superintendent the opportunity to build
relationships and negotiate with several unions to which various the staff belong.
Family and Community Engagement: Family and Community Engagement
offers the district multiple opportunities for all stakeholders to interact with the
district, from volunteering to partnering with local organizations in support of
student success.
The definitions provided the initial information regarding each of the ten key
reform strategies; however, each of the individual reform strategies has been further
developed based on the current review of the literature and detailed as follows:

38
Strategic Plan:
As the guiding document for driving all district decisions, the strategic plan
includes the vision and the mission of the district, which is usually conceived from a
planning session between the district’s governance team in order to develop the
priorities for the district (California School Boards Association, 2007). The district’s
vision and mission should be well defined, articulated, and express the values of the
district. Although the plan may include specific objectives and goals, with specific
and measurable results, a series of steps or strategies from which to begin the work
of the superintendent and Board of Education in detailing the priorities of the district
will begin to take shape (National School Boards Association, 2007).
Among the series of steps within the plan, such as promoting yourself,
securing the early wins, and achieving alignment within the organization, there may
be a specific timeline attached, such as 90 or 100 days, in order to carry out the
action plan within the specified time period (Watkins, 2003; Neff and Citron, 2005).
The initial entry plan is a seemingly larger part of the strategic plan and will be
developed within the prevailing culture of the district until the superintendent has
had the opportunity to meet with the stakeholder groups and develop some
relationships within the school community (Demmon-Berger, 2003).
The strategic plan, once developed, will serve as the guiding document for
the districts decisions and will be regularly reviewed and assessed to continue to
meet the needs of the student population (Neff and Citrin, 2005). However, once a
plan is developed, priorities set, resources deployed, and collaboration with

39
constituent groups is moving forward, a clear communication plan must be in place
and disseminating the districts information.
The strategic plan if not properly discussed and communicated throughout
the larger school community, will become obsolete shortly after it is adopted due to a
lack of understanding and commitment to the vision, mission, goals, and objectives.
The plan must be clearly articulated and championed by the superintendent at every
possible venue in order to promote the vision and direction of the district (Neff and
Citrin, 2005).
Assessment:
Although defined as activities designed to know if students are learning what
they are being taught, there are multiple components within any given assessment
framework which help a superintendent determine if district-wide, students are
learning what they are being taught inside the classroom. According to Anderson
and Krathwolhm (2001), a summative assessment gathers information about what a
student has learned after the student has been taught over a period of time. The
summative assessment is usually for the purpose of measuring student achievement
at a given time of the school year. However, during the school year, a series of
formative assessments may take place at selected intervals and are designed to
monitor the level of proficiency of a particular skill or knowledge of a student over a
specific and set time (Chappius and Chappius, 2007).
In order to measure achievement, a data management system with consistent
reporting, through the use of technology, will drive the information back to the

40
teachers responsible for students in the classroom. The student data should inform
the district and site administrative staff of the student’s progress and the teacher’s
teaching and should be collected over a set period of time (Guskey, 2007). However,
just having the data is not enough. Through the interpretation and utilization of the
assessment data, an analysis can be conducted in order develop the “best practices”
which, according to Marzano (2007), is to gather, analyze, interpret, discuss,
publicize, and strategically utilize both the summative and formative as a tool for
decision making priorities. Similarly, the utilization of assessment data should be
used to improve instructional practices, drive decision making, and support the
learning process (Gregory and Kuzmich, 2004). The need for teachers’ professional
development is another critical component of assessment. Once training has
occurred, the data and information should guide teachers to improve the quality of
their instructional program and tailor the instructional practices to meet the needs of
the different students in the classroom (Chappius, Stiggins, Arter, and Chappius,
2005). Utilizing assessment as a tool to increase student achievement is necessary
for school districts. The allocation of district resources to support assessment
practices and advance accountability for student performance is a key component
(Elmore, 2006). The superintendent should view assessment as a necessity and a key
reform strategy in order to drive achievement.
Curriculum:
The reform strategy curriculum refers to the materials used to teach while the
classroom materials should address the scope and sequence of the district’s learning

41
standards. The district’s curriculum must have an alignment to the content learning
standards with an assessment component in order to measure student learning
outcomes. According to MacIver and Farley (2003), the current policy is dominated
by the themes of accountability and performance standards and educational leaders
are becoming increasingly aware of the need for a district-wide curriculum and
instruction which is linked to performance standards. Not only are the standards
applicable district-wide, the superintendent must ensure that all students have equal
access to learning standards. The concepts and skills based on the standards are
woven throughout all grade levels and programs in order to provide all students with
the same opportunities to develop increasing levels of sophistication and a clearer
understanding over a given period of time (Carr and Harris, 2001).
However, with a curriculum that has been adopted district-wide, a lack of
fidelity to the core curriculum implementation will not produce the desired results of
raising achievement. The district must ensure systematic and clear communication
with all district stakeholders including site administrators, teachers, students, and
parents in order to raise awareness of the expectations, achievement, and
accountability requirements of all students (Blueprint for District Assistance and
Intervention, 2006). The superintendent and Board must work together to prioritize
and provide the resources to supply sufficient and appropriate materials in order to
implement the curriculum as intended. The materials should support the
implementation of the curriculum and be culturally relevant and appropriate for all
district students (Carr and Harris, 2001). Districts must also continually update units

42
of study to include any new or revised information, current and culturally relevant
standards, and the appropriate instructional strategies. The district, while
implementing a district-wide curriculum, should simultaneously develop clear and
regular procedures in order to review and update the curriculum (McIver and Farley,
2003).
Professional Development:
Professional development is intended to improve the effectiveness of a
teacher or principal and centers on content, leadership, or habits. The design of the
professional development program within a district is a key to successful
implementation. Although there are four parts to a complete professional
development program and include the design, implementation, evaluation, and
sharing of the professional development learning, all of these components are
necessary to build the capacity of the staff (Guskey, 1995).
Joyce and Showers (2002) suggest that the design of the training needs to be
closely related to the intended outcomes and that districts and schools should look
carefully at the intended outcomes of development programs within the context of
their own goals, problems, and priorities. The implementation of the training must
reinforce the fact that professional development attempts to improve achievement
and requires on-going study of teaching and learning throughout the school year and
not just a “one-shot” session, or unconnected project. The professional development
plan must be focused and supportive of both the district and school practices
(Darling-Hammond, 1999).

43
However, another important component of professional development is the
evaluation of the entire professional development program. According to Worthen
and Sanders (1989), evaluations are designed to gather information and data in order
to inform district professional development decisions. The process would involve the
standards for judging the quality, determining if the standards are relative or
absolute, collecting relevant information, and applying the standards to determine the
value of the professional development program on developing the capacity of those
involved.
While the district may have a plan to share learning, records should be kept to
guide all future decisions regarding professional development. Guskey (1999)
suggests that multiple types of both quantitative and qualitative data be collected and
shared at all regular staff meetings and presented in a format that everyone
understands; the development of a process and practice of sharing new knowledge is
disseminated; and data is used to drive decisions and made to support the celebration
of progress and growth.
Human Resource System and Human Capital Development:
The latest research indicates teacher quality is a primary influence on student
achievement; however, districts generally do not do a very good job of attracting and
retaining quality teachers. The recruitment, selection, and placement of new teachers
and administrators is very important to a school district trying to raise student
performance. According to Elmore (2006), school districts should consider using
strong incentives such as higher pay, continuing education, and improved working

44
conditions when recruiting for especially hard to staff schools. Further, MacIver and
Farley (2003) state that a strong district focus must be the development of the
capacity of the site administrators as instructional leaders. The development of the
site administrative staff allows principals to model the behavior they are attempting
to recruit into their school sites. The recruitment of highly qualified teachers is still a
difficult task for many urban school districts. In order to attract, retain, and reward
experienced teachers, the district needs to review budgetary priorities and realign
fiscal resources to match the priorities of the district (Greenwald, Hedges, and Laine,
1996).
Although school district salaries, wages, and benefits are generally similar
throughout a given area, some additional incentives such as teacher support and
development can also be utilized as an incentive when aligned with the district goals
and priorities (Jacob, 2007). However, Jacob (2007) concludes that competitive
wages are still a key in attracting qualified teachers while targeting bonuses or higher
salaries for the hard to staff schools should be considered when making adjustments
to the Human Resource policies of a district. Another consideration of attracting and
retaining qualified personnel may be through the use of incentives. Brewer,
Hentschke, and Eide (2007) reviewed incentive programs and determined that
organizations should consider the ways individuals will respond to a district
incentive program. Further, Snipes, Doolittle, and Herlihy (2002) also support the
use of incentives provided to highly skilled administrators and teachers as an
inducement to motivate staff to take on assignments at lower performing district

45
schools. Further, these inducements could promote the assignments of the best
teachers and principals at the schools in the districts where the children would need
them the most.
Finance and Budget:
The finance and budget reform strategy must align the resources of the
district to the priorities of the district in order to ensure adequate and stable funding.
The strategic budget planning process is a key in the development of the budgetary
priorities for the district and come directly from the overall strategic plan. The
budget will be closely aligned to the district’s vision, mission, goals, and operational
activities and will identify accountability within the organization for budget
responsibility (Waters and Marzano, 2006; National School Boards Association,
2001).
The elected Board of Trustees, along with the superintendent, establish the
budget priorities for the district while also adopting a balanced budget in order to
maintain services to the larger school community (California School Boards
Association, 2007). While developing the district priorities, school boards and
superintendents are fiscally accountable to the community monitoring and adjusting
the district budget as well as ensuring the policies adhere to a strict fiscal discipline
(California School Boards Association, 2007). The operational procedures, and the
policies that guide them, should be above reproach and transparent in order to
develop community trust (National School Boards Association, 2001). However,
Moore-Johnson (1996) suggests that the influence of interest groups has expanded

46
over time “further constraining the power of formal authorities are individuals and
interest groups that actively petition leaders in an effort to influence their priorities
(p. 10)”. Although every attempt should be made to be as transparent as possible
with district funding, there are many competing groups that feel their cause is the
most worthy; and according to Moore-Johnson (1996), there are multiple
constituencies demanding attention and wanting their priority addressed.
Finally, a budget needs to address the needs of all students in a district, not
just the needs of the few who may be the loudest. If the budget is attached to a
strategic plan and implemented with the priorities clearly communicated throughout
the school community, the governance team will have accomplished their goal of
being stewards for all of the children of the district by attaching the necessary
resources with the developed priorities.
Communications:
School districts need to communicate effectively with their primary
stakeholder groups throughout the larger school community. According to Howlett
(1993), a communication plan galvanizes support, motivates people, and persuades
them to endorse or lobby against a particular issue. Shatkin and Gershberg (2007)
further state that parents and community members are critical to school
improvement; however, poor community relations can create obstacles. Many large
school organizations and districts have created their own “communications office” in
order to better serve the constituency groups and develop celebrations of the good
projects taking place inside the schools. Carlsmith and Railsback (2001) state that an

47
effective communications office should promote success as awards and honors are
not just for the recipient; they are a flag to wave to show-off student success and
staff accomplishments.
An important component of any communication plan or communication
office is driving the district vision to the entire school community. According to the
National School Public Relations Association (2002), policies encouraging interested
citizens to review a district’s mission, vision, goals, and objectives by allowing
citizens to become educated about these issues can have a great benefit in the future.
A multi-layered approach to reach all constituency groups of a school district
enhance the outreach effort by soliciting public opinion from even citizens not
directly involved with the schools (Carlsmith and Railsback (2001). Once a district
utilizes the communications office to reach even those citizens not having a direct
interest in schools, a solid foundation can develop in order to build support for
district initiatives.
Howlett (1993) states that it is important to get in on the ground floor of the
issues which will affect all schools and form groups in order to champion the issues
important to the schools. Important issues such as bond measures which generally
affect all members of the community but are vitally important to schools in order to
modernize and outright build new campuses can be successful by utilizing a well
defined communication plan and communication office. Through a successfully
implemented communication plan, the district, parents, and community feel involved
and engaged in the local schools while school or district administration may be

48
involved in civic affairs. The two-way communication allows for a sharing of
knowledge and allows each group to pass on any important information within the
community. Shatkin and Gershberg (2007) reveal that parent participation in schools
can be an effective tool by not only improving schools, but also by improving the
community’s perceptions of the schools. Successful two-way communication
between the school district and its’ stakeholders as well as a solid communication
plan that transcends the entire community is an important target of a good
communication office.
Governance and Board Relations:
While it is important for a superintendent to set a vision for a school district,
the governance team of the school district, usually the superintendent and the elected
board members, will work together collaboratively in order to set the direction for
the community’s schools. The school district’s vision, mission, goals, objectives, and
priorities should be focused on student achievement with information clearly
disseminated throughout the larger school community by the communications office
(California School Boards Association, 2007).
Waters and Marzano (2006) foster the collaborative goal setting between the
superintendent and the board by developing non-negotiable goals for both student
achievement and classroom instruction. Further, once the goals are set and in-place,
the board is supportive of the non-negotiable goals and remains committed to
allocating the necessary resources for the implementation.

49
The board must support the superintendent by establishing policies and
allowing the superintendent to implement the policies (National School Boards
Foundation, 2001). The policy development should establish an effective and
efficient structure for the district and allow for the superintendent to select the
“team” charged with carrying out the responsibilities of the implementation. The
roles and responsibilities must be clearly delineated through board or governance
training in order to develop the clearest lines of responsibility (Smolley, 1999).
Clearly, having a responsive and responsible governance team is a benefit for any
district; however, by providing the resources necessary for implementing the
district’s priorities, whether instructional or otherwise, is of great benefit to the
system. Marzano and Waters (2006) suggest the board ensures the prioritization and
use of resources support achievement and instruction by way of superintendent
reports to both the board and the community. The reporting of the success by the
superintendent to the board and community allows for accountability to the public
(California School Boards Association, 2007; National School Boards Foundation,
2001).
The board support of district goals and the monitoring of the achievement in
open meetings at selected times of the school year allows for a transparency which
ensures accountability to the public (Waters and Marzano, 2006). The board and
superintendent also ensure transparency by willingly engaging the public in
meaningful ways and allowing for feedback on district issues (California School
Boards Association, 2007). The board must also act responsibly as members of the

50
larger community in order to gain and keep the public’s trust. As board members are
the only locally elected officials chosen to represent the interest of school children,
they must be strong advocates for all children in the district (California School
Boards Association, 2007).
Labor Relations and Contract Negotiations:
Building the relationships, communication, and trust in a large organization
such as a school district is very important in order negotiate with the bargaining units
employed by the school district. Under this premise, much of the work involved in
contract negotiations will occur throughout the year as the employee team and the
district team work collaboratively together ensuring district operations run smoothly.
According to Ingram and Snider (2008), research supports that collaborative work is
essential to educational reform and those relationships, planning, and analysis for
negotiating contracts are essential and should be based on core values, regardless of
the approach selected to ensure fiscal accountability of public funds. Further, the
shape of the agreements will almost always be shaped by the characteristics of the
negotiations process.
The principles of negotiation and the objectives for both sides should be
designed to work collaboratively to review the contract language, identify problem
areas, and most importantly, define the impact on student achievement and district
operations. According to Ingram and Snider (2008), the bargaining objectives should
focus on enhancing student achievement, securing a sound fiscal condition for the
district, while maintaining or enhancing management rights to operate the district.

51
Hannaway and Rotherham (2006) highlight the need for focusing on the critical goal
of effective reform by keeping the labor unions and management committed to
improving student achievement.
However, the National Education Association (NEA), as well as other
professional teacher organizations, do not generally subscribe to contract language
impacting student achievement (Moe, 2001). Ingram (2008) asserts that with the
expansion of the scope of bargaining in a rigid rules-based system, school districts
are limited from meeting the needs of all students to a significant degree. In order to
achieve the goals of raising student achievement by drilling down instruction and
instructional methods in the classroom, a strategy for negotiations should be in-place
to ensure district success while labor unions, especially the teachers unions, are able
to retain their previously hard fought agreements.
Kaboolian and Sutherland (2005), state that their research provides an array
of both labor and management strategies and practices which are presently utilized in
public education. Any strategy to be employed by a district needs to have as the
positive outcome, student achievement and there should be no wavering on that
issue. The bargaining process exists for a fair and equitable outcome and hopefully,
a “win-win” situation for both the district and the labor unions (Kaboolian and
Sutherland, 2005).
According to Hess and West (2006), in order to have a win for both sides, the
work of the school reformers should be to collaborate with labor unions to increase

52
flexibility, accountability, and decrease the adult self interests in order to provide all
children with a quality education.
Family and Community Engagement:
All school districts need to offer several ways for parents, families, and the
community to become involved with the school district. Warner (2002) suggests that
assisting families with parenting and child-rearing skills will develop their (parents)
knowledge of a child’s and adolescents development while setting home conditions
will greatly support children as students at each grade level. Further, Henderson and
Mapp (2002), state that it is important to design programs that will support families
in order to guide their children’s learning from pre-school through high school.
Having a parenting component within a school district is important and should be
communicated throughout the district so all parents can participate in the program.
Regarding communication to parents, Warner (2002) refers to
communication as an important element in order to communicate with parents about
school programs as well as student progress through effective school-to-home
communications. Henderson and Mapp (2002) found that students made greater and
more consistent gains when teachers were especially active in outreach to parents.
They defined outreach as having face-to-face meetings with parents, sending
appropriate materials and information on ways to help their children at home, and
routinely telephoning parents when the child is having problems in school. Although
volunteering at school is not a new phenomenon, many districts are providing more
opportunities for parents to volunteer. Parents participating as volunteers in school

53
activities influence a student’s academic achievement (Lunenburg and Irby, 2007).
As important as a parenting component to assist parents in child-rearing skills, the
need for a learning at home program should be a district priority.
A district program for learning at home provides teachers with ample
opportunities to provide techniques and strategies that parents can utilize to improve
their children’s academic achievement. The families of all ethnic and cultural
backgrounds as well as from all income levels and educational backgrounds are
involved in learning at home (Warner, 2002). A key finding of Henderson and Mapp
(2002) finds that programs and interventions that engage families in supporting their
children’s learning at home are linked to higher student achievement overall. As
parents volunteer and take advantage of programs the district offers, they are
provided with an opportunity to develop appropriate decision making skills for their
own children. Presently, many schools and districts offer families the ability to
participate in school programs such as PTA/PTO, School Site Councils (SSC),
school committees, and some governance of school sites (Warner, 2002).
Legislation at both the Federal and state levels of government encourage greater
parent participation in schooling with a goal of parent involvement in district policies
for improving student achievement (Ingram, Wolfe, and Lieberman, 2007). School
districts can also act as resources for community information by working
collaboratively with community service providers.
Schools and districts are in a unique position to be able to provide a wealth of
community information to all community stakeholders as schools are located in most

54
neighborhoods. While collaborating with the community, many projects have been
completed for local schools such as upgraded school facilities, higher quality
learning programs for students, new resources for programs, new funding for after-
school programs, and family support initiatives (Henderson, and Mapp, 2002). With
a pool of ever shrinking resources throughout most communities, it is imperative
schools and districts align themselves with community partners in order to help
parents, families, and the larger school communities.
Implementation of the Strategies-The Entry Plan
The ten key reform strategies listed above have the potential to raise student
achievement throughout a school district. Therefore, the first several months are
critical in order to implement any changes as well as to have any meaningful
dialogue which will need to occur with staff and prominent stakeholders to assure a
sustained effort will continue beyond the initial fanfare (Watkins, 2003; Demmon-
Berger, 2003). Therefore, the first 90 days are critical to lay the foundation and
begin the development of the superintendent’s vision for the district. Although Jentz
and Murphy (2005) do not discuss a fixed amount of time, they do lay out the
strategy of developing an “entry plan” so a superintendent is not immediately
overwhelmed with the new job. In their analysis, they describe the need for the entry
plan that enables three kinds of learning that will be taking place for the new
superintendent that include: 1) learning about your new place; 2) learning about
yourself; and 3) collective learning about the organization as a whole (Jentz and
Murphy, 2005). The detailed description of the steps a superintendent should utilize

55
when developing the entry plan are well thought out and articulated so a
superintendent “slows down” to understand the new position while developing
collaborative relationships throughout the larger school community.
Although not specifically designed for the educational environment, Watkins
(2003) also discusses the relationships that are necessary in those first 90 days in
order to successfully transition into a new position. The 8 Point Plan, as espoused by
Neff and Citrin (2005), is designed as a plan that should be executed within the first
100 days on the job. However, Demmon-Berger (2003) not only discusses the need
for an entry plan, but the need to have an “insider” with an understanding of the
“politics of the community that no one talks out loud about (p.21)” “because no
matter how much you study a district from the outside, there will always be surprises
and the hidden politics of a particular community (p. 21)”.
Understanding the dynamics of those first several months as a superintendent
in a new position within a school district are critical, the preparation programs for the
position of superintendent are also undergoing important changes to better prepare
those seeking the position for the future.
Leadership Preparation Programs
Not only are there new expectations and responsibilities of being the
instructional leader placed upon the superintendent, many institutions of higher
learning are adding successful strategic planning to the core curricula of their
educational schools. The changes to the curricula of traditional schools of education
in a higher learning environment are allowing those wanting to ascend to a

56
superintendent position the information necessary to be able to navigate the new role
and expectations of the superintendent (Dembo and Marsh, 2007). It is not known if
the changes to the core curricula will be enough to allow a person in the
superintendent’s position to be successful; however, the change in teaching strategies
at universities is already occurring and hopefully, is making for better prepared
leaders of school systems who can raise student achievement within their districts.
The Carnegie Foundation launched a three year initiative designed to
strengthen the educational doctorate degree. Although the initial Carnegie
Foundation on the Doctorate was designed as an action and research project for
specified Ph.D. disciplines and ran from 2001-2005, the Carnegie Project on the
Education Doctorate had as a specific goal the “reclaiming the education doctorate
and to transform it into the degree of choice for the next generation of school and
college leaders (p. 2)”. According to Shulman, Golde, Conklin-Bueschel, and
Garabedian (2006), the need to re-focus on the educational doctorate degree is due to
the confusion in preparing both the practitioners and researchers through the present
Ph.D. and Ed.D. programs. Shulman et. al. (2006) argue that the Ed.D. should be
distinct; much as the M.D. and the Ph.D. in Bio-Medical studies which serve
completely different functions. The authors frequently discuss the Rossier School of
Education (RSOE) at the University of Southern California (USC) as a leader in the
field making the changes necessary for distinct programs to “develop equally
valuable, but distinct, degrees” for researchers as well as practitioners (p. 25). Other

57
university based programs are seeking to apply the knowledge with paid fellowships
or internships while working with educational leaders at the district or state level.
The University of Texas at Austin provides doctoral students with paid
fellowships at the Texas Education Agency in a program called the Cooperative
Superintendency Program. The Cooperative Superintendency Program is designed
to give doctoral students “hands-on” training at the state level while obtaining their
doctoral degrees. Another university based program is the Harvard Urban
Superintendency Program which requires a six-month internship with a
superintendent of a large urban school district. Unlike other programs, the Harvard
Urban Superintendency program provides for a fellowship for the first twelve
months and a stipend for the second year of executive internship (Cooper, Fusarelli,
Jackson, and Poster, 2002). Both of these programs have been highlighted nationally
for their innovative approach to training superintendents.
Although there are many reasons for the changes in the “traditional”
preparation programs for a superintendent at the university level, according to
Cooper et al. (2002), “the knowledge of classrooms and kids makes little difference
when political battles are being fought in federal, state, and local arenas and the
process in mostly strategic and political, not pedagogical or educational (p.247)”.
There are many school districts that have chosen non-traditional superintendents for
their open positions selecting, in the case of the Los Angeles Unified School District,
Roy Romer, the former Governor of Colorado, was selected to lead the second

58
largest school district in the United States and he was followed by another non-
traditional superintendent, David Brewer, a retired Navy Admiral.
There are other programs which are not sponsored by a university, such as
the program Superintendents Prepared, which is sponsored by the Institute for
Educational Leadership, Joint Center for Political and Economic Studies, and the
McKenzie Group. The program is designed for those who feel ready to begin a
superintendency and all who apply (self-select), are required to have a record of
senior level service, have exhibited a capacity for leadership, and presently employed
in a senior position of responsibility (Cooper et al, 2002). Upon entry into the
program after a rigorous selection process, candidates take a year off from their
current positions to spend full-time on an internship to afford “the opportunity to
develop a career-development plan, sharing it with similar colleagues, all of whom
are free from the pressures of a regular job (p. 249)”.
There are other initiatives, programs, and projects being implemented by
other foundations and private philanthropists to assist those identified through others,
or by self-selection, to lead a school district as a superintendent or systems leader.
Many private foundations, such as the Broad Foundation, have taken a leading role
and developed superintendent-in-training programs such as the Broad
Superintendents Academy (Fordham Institute, 2003; Broad Foundation, 2007). A
rather new phenomenon, these foundations are utilizing research based best practices
and promising new practices to create superintendent academies for those interested

59
in ascending to the superintendent rank of a K12 institution (Broad Foundation,
2007; Stupski Foundation, 2007).
There are two distinct tracks of focus within the Broad Superintendents
Academy for the traditional and non-traditional superintendent candidates. A goal of
the Broad Foundation is to develop traditional, educational based leaders who have
“climbed up through the ranks” by having been promoted throughout their
educational career and are aspiring to a superintendent post (Broad Superintendents
Academy, 2007).
While the second focus is on training and developing non-traditional leaders
from various segments of society such as business, military, government, and other
public and private sector positions to be school superintendents. The non-traditional
superintendent candidates are selected, recruited, and must have proven leadership
skills and experience from their previous leadership positions although not in
educational leadership. Those selected for the highly coveted training positions
within the Broad Superintendents Academy want to become superintendents to make
a difference in helping students across the board by closing the achievement gap
(Broad Superintendent’s Academy, 2007).
The superintendent academies are relatively new and filled with much
promise for those wanting to become school district or systems leaders. Whether the
traditional route to the superintendency, or as leaders from various environments
outside of education, their experiences and training will determine what reform
strategies they will employ to raise student achievement in their new positions.

60
Although there are a multitude of reform strategies a new superintendent can choose
from in mitigating a district situation, much of their choice will be dictated by the
situation, the skills of the person, and the prevailing culture of the district.
The traditional position of the superintendent has changed from an overall
manager into a much more focused leader on instructional practices. The
accountability factors from the Federal and state governments have also made the
position more dynamic requiring those who wish to take on the responsibility of
being a superintendent to have a positive impact on student achievement (Leithwood,
Day, Sammons, Harris and Hopkins, 2006).

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CHAPTER THREE
Research Methodology
Introduction
This chapter will describe the research design, samples, instrumentation, data
collection, and data analysis used for this study. The purpose of this study is to
evaluate the evidence of ten key reform strategies identified by the Urban School
Leadership Institute staff in the preparation of urban school superintendents at the
Urban School Leadership Institute. The list of key reform strategies is not
exhaustive but has been identified as those most likely to positively impact student
achievement in urban school districts.
The preparation of urban school superintendents in programs like the Urban
School Leadership Institute will fundamentally enhance and support the newly
appointed superintendent’s in their first several months to their early years in their
leadership position. This analytical case study will investigate an urban school
district leader to better understand the reform strategies implemented by the
superintendent and the potential impact on student achievement in their district. The
superintendent’s selection of the reform strategies may be based in part on their
leadership, previous skills, and the culture of the district when they began their
tenure.
The data from student achievement, tenure in position, observations, and
interviews were used to answer the following main research question, and the
attending related questions:

62
1. How are the ten key reform strategies being used by school
superintendents in large urban districts to improve student achievement in
their respective districts?
a. How does the quality and implementation of the ten key reform
strategies correspond to the strengths and challenges of the district
when the USLI 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?
For the purpose of this study, qualitative methods have been used within an
analytical case study format designed to provide the grounded explanations and
descriptors in a thoughtful manner that well represents the findings of this study.
Case study methodology offers explicit experiences of participants and organizes the
information in order to identify the most relevant themes and patterns which
emerged from the data (Creswell, 2003; Merriam, 1998). According to Patton
(2002), qualitative research allows the researcher to study and describe issues in
depth and detail while Huberman and Miles (1994) are concerned with providing an
explanation for the processes taking place within a localized environment.

63
The specific findings of this case study analysis will provide detailed
qualitative data which will delineate the effectiveness of the ten key reform strategies
utilized by the superintendent in their district for improving student achievement.
Attempting to determine the reform strategies contributing most significantly to
improving student achievement is a daunting task; however, the use of the case study
methodology allows researchers to logically explore the findings and report out the
information (Patton, 2002).
The main data gathering tool will be the semi-structured interview with
selected “key” participants. Although there will be interviews with the Urban School
Leadership Institute superintendent and their identified key staff members, other
selected participants will provide the necessary background knowledge and share
their perceptions regarding the use of the ten reform strategies within the larger
context of the school district for the Urban School Leadership Institute
superintendent in raising student achievement. The findings will provide qualitative
data to determine the effectiveness of the reform strategies utilized by the Urban
School Leadership Institute superintendent. The findings will also be used to verify
the correlation between student achievement and superintendent utilization of the
reform strategies. The unit of analysis for the study is a large, urban school district,
the Urban School Leadership Institute superintendent, and other identified key
players determined by the superintendent.

64
The current case study hopes to build on Phase-One of the initial study which
was completed in 2007 (Takata, Marsh, and Castruita, 2007). The initial study by
Dr. Jennifer Takata, Dr. David Marsh, and Dr. Rudy Castruita identified the
strengths, challenges, and strategies employed by the Urban School Leadership
Institute graduates related to raising student achievement in large, urban school
districts (Takata, Marsh, and Castruita, 2007). The Urban School Laedership
Foundation has established a reputation for sponsoring innovative and research based
best and promising practices for the educational arena opening up the possibility of
discussion among professionals (Urban School Leadership Foundation, 2007).
The findings of Phase-One became a part of the Urban School Leadership
Institute’s strategies regarding the successful implementation of the reform strategies
utilized by the most successful superintendents. Building upon the success of the
Phase-One study, the Phase-Two study expands to ten, the number of school districts
and superintendent graduates of the Urban School Leadership Institute. The Phase-
Two study seeks to understand how the ten listed reform strategies were utilized by
large, urban school superintendents within their school districts to raise student
achievement district-wide.
Sampling Criteria and Population
This study focused on an urban school superintendent who was purposefully
selected to provide an analysis of a Urban School Leadership Institute trained
superintendent and the identified ten key reform strategies used during their present
tenure within their district. In order to allow for the rich descriptors needed in this

65
case study, purposeful sampling was selected to provide the insight into the use of
reform strategies utilized to raise student achievement by the superintendent. All
information and data relating to the particular school district, the Urban School
Leadership Institute graduate, and support staff are completely factual; however,
fictitious (pseudonyms) names have been created to protect confidentiality. District
statistics and student achievement data were cross referenced with United States
Department of Education and the State Department of Education records in order to
ensure the accuracy of the information.
The urban school district met specific set criteria as determined by the Urban
School Leadership Institute staff and the USC research team. The criterion for
selecting the Urban School Leadership Institute case study was as follows:
1) The district must be classified as a large urban district A-the top 100
districts in terms of student numbers, or B-the next 30 districts in terms of
student numbers.
2) The superintendent must have been in office since 2006; and
3) The superintendent must still be in office.
4) The superintendent must be a graduate of the Urban School Leadership
Institute.

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Case Study: Urban School Leadership Institute Graduate
Overview of Urban School Leadership Institute’s School District
The Baywater Public School District (PSD) presently serves a student
population of approximately 20,500 students at 24 school sites. There are 14
elementary schools, 4 middle schools, 2 comprehensive high schools, 1 alternative
high school, 2 continuation high schools, and a community day school. There is also
a charter school in the district with plans for two specialized high schools in the arts
and medical field.
The Baywater PSD has a very diverse population with 21% of the student
population listed as African-American, 1% American Indian or Alaskan Native, 5%
Asian, 5% Filipino, 46% Hispanic or Latino, 1% Pacific Islander and 18% White and
about 3% declining to state. The English Language Learner population is
approximately 15% with a reported 55 languages spoken outside of the school.
Presently, 46% of the student population participates in the Federal Free or
Reduced-Price Lunch Program, 11% are classified as Students with Disabilities, and
4% qualify as Gifted and Talented Education students. The class sizes average 19 in
grades K-3 through the Class Size Reduction categorical fund; and 29 in grades 4-6,
and 29 in the core academic courses.
The district’s programs include a comprehensive curriculum, Gifted and
Talented Education, Advanced Placement Programs, Comprehensive Special
Education, Alternative Education, Guidance and Counseling, Title I Program, and a
complete sports and athletics program. In order to successfully run the listed

67
programs and maximize student achievement, the Baywater PSD employs 60
administrative staff, 35 Pupil Personnel Services staff, and 1008 certificated teachers.
There are also 533 classified support staff in paraprofessional positions,
office/clerical staff and other positions to support the classroom environment.
The 2006-2007 budget from all government sources was nearly $180 million
with over $153 million coming into the Baywater PSD general fund. The Average
Daily Attendance (ADA) for the Baywater PSD is 19,285 and the per-pupil
expenditure is $7,956 or approximately 89% of the state average for all unified
school districts.
Superintendent: The Superintendent, Dr. Harriett Arbed, has been employed
in the current position for nearly two years, she previously came from a much larger
urban school district west of Baywater in August, 2006. She has spent the vast
majority of her career in a large urban school district as an elementary teacher,
elementary school principal, assistant superintendent, chief of K-12 school
operations, and associate superintendent. Dr. Arbed is a graduate of the Class of
2005 of the Urban School Leadership Institute.
Key Player #1:Dr. Maureen Nakaoka, Chief Academic Officer. Dr. Arbed
selected Dr. Nakaoka due to their previous professional working relationship at
Westwater USD and feels she has the intimate knowledge of where they want to take
Baywater PSD.

68
Key Player #2: Susan Pepper, Chief Human Resources Officer. Dr. Arbed
selected Susan as a district official who would be able to discuss the “before” and
“after” of Dr. Arbed’s arrival into Baywater PSD.
Reform Strategy Specific Key Players:
The additional key players were purposefully selected by the superintendent
in order to provide specific information regarding each of the noted ten reform
strategies utilized in the district. The superintendent was asked to provide access to
those key players having the most intimate knowledge of how each of the reform
strategies was utilized during their tenure within the larger context of the school
district. In all cases, each key player would have the knowledge of how the
superintendent used the reform strategies to make a sustained change in order to
improve student achievement.
The semi-structured interviews related to each key player’s area of expertise
within the following areas and included the following district employees as chosen
by the superintendent:
Strategic Plan: Dr. Maureen Nakaoka, Chief Academic Officer; Susan
Pepper, Chief Human Resources Officer; and Dr. Chuck Martin, Assistant
Superintendent.
Assessment: Dr. Maureen Nakaoka, Chief Academic Officer; Susan Mello,
Middle School Principal; and Misty McConnell, Director of Assessment.

69
Curriculum: Dr. Maureen Nakaoka, Chief Academic Officer; Dr. Chuck
Martin, Assistant Superintendent; Janet Martin, Director of Curriculum; and Misty
McConnell, Director of Assessment.
Professional Development: Dr. Maureeen Nakaoka, Chief Academic
Officer; Janet Martin, Director of Curriculum; and Susan Mello, Middle School
Principal.
Human Resource Systems and Human Capital Management: Susan Pepper,
Chief Human Resources Officer; and Richard Morris, Director of Human Resources.
Finance and Budget: Diane Jansen, Chief Business Officer; Dr. Chuck
martin, Assistant Superintendent; and Robert Smith, Director of State and Federal
Programs.
Communications: Angie Inriquez, Esq., Public Information Officer; and Dr.
Maureen Nakaoka, Chief Academic Officer.
Governance/Board Relations: Wilson Rawlings, President of the Board of
Education; and Cheryl Jones, Vice-President of the Board of Education.
Labor Relations/Contract Negotiations: Susan Pepper, Chief Human
Resources Officer; Richard Morris, Director of Human Resources; and Robert
Santos, Middle School Principal.
Family and Community Engagement: Dr. Maureen Nakaoka, Chief
Academic Officer; and Robert Smith, Director of State and Federal Programs.

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Instrumentation
The conceptual framework selected for this study, the “House Model”, was
developed as a component of the Urban School Leadership Institute and is part of the
Framework for District Success. The House Model is a visual diagram of a house
with listed reform strategies inside of each “room” or area of the house. Each of the
listed strategies are considered effective and advocated by the Urban School
Leadership Foundation in closing the achievement gap and used as the basis for
training of prospective new superintendents within the Urban School Leadership
Institute. The House Model is divided into many levels, which are represented by
two foundational levels across the bottom, three rooms in the middle, an attic, and a
roof area.
There are several reform strategies that have been identified and incorporated
into each area of the house which are designed to be used in concert with one another
depending on the district and the superintendent candidate. The actual use of each of
the identified reform strategies rests with the personal leadership ability of the
superintendent and the school district culture in which they are employed. Although
there are several reform strategies or changes, this study will focus only on the ten
which are underlined and bolded in Figure 1 listed below. These reform strategies
were selected by the research team with the assistance of the Urban School
Leadership Institute staff.
The foundational elements of the house are followed by the systemic
improvement rooms which lead to sustainability within a district with the ultimate

71
goal of increasing student achievement throughout a school district. The foundational
level or “base” of the house is the Superintendent Plan of Entry and above the base is
another foundational level with Organizational Audit and Assessment,
Organizational Management and Structure, and the Strategic Plan. The next three
rooms are organized under the main headings of Instructional Alignment,
Operational Excellence, and Stakeholder Management and contain multiple reform
strategies listed under each of the main headings. The attic area incorporates the
target of Sustainability; while in the roof, Closing the Achievement Gaps, and the
Improvement of College and Workplace Readiness for all district students is listed.
However, the ultimate goal of Increasing Student Achievement is the pinnacle of the
roof after implementation of the reform strategies.
The Urban School Leadership Institutes staff established the House Model
through a comprehensive review of literature, research-based best or promising
practices, and discussions with former Urban School Leadership Institute graduates.
Their work has revealed 25 key strategic actions/strategies or “reform strategies”
through which systemic change is initiated and sustained by system leaders,
specifically as it relates to improving student achievement.

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Figure 1: The House Model

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

Operational Excellence
• HR 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 Plan of Entry
Sustainability
Increasing Student Achievement
Closing Achievement Gaps
Improving College and
Workplace 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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However, for this study only ten key reform strategies, as defined by the
Urban School Leadership Institute staff and research staff, are listed and included as
the following:
1. 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 the district’s decisions and priorities.
2. Assessment: Assessment activities enables the district 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.
3. Curriculum: Curriculum refers to the materials used to teach. Classroom
materials such as textbooks, worksheets, pacing guides, etc. They should
address the scope and sequence of the district’s learning standards.
4. Professional Development: Professional Development is any program or
course intended to improve teachers’ and principals’ effectiveness.
Successful districts have an integrated professional development strategy
that centers on enabling teachers to detect when students aren’t meeting
certain standards and to adjust their instruction accordingly, or enables
principals and teachers to improve their knowledge and skills in areas of
district focus.

74
5. Human Resource System and Human Capital Management: The Human
Resource System (HR) and Human Capital Management research
indicates that teacher quality is a primary influence on student
achievement. Effective districts do a good job in attracting, selecting, and
managing talent at the teacher, principal or district office level.
Improving the recruiting and hiring processes for personnel, developing
attractive compensation packages, and streamlining the process of
applications and payments are evidence of a good HR system.
6. Finance and Budget: The Finance and Budget of a district should be in
alignment with instructional priorities as well as balanced and
sustainable. Some successful district’s have adopted innovative
budgeting approaches such as “zero-based budgeting” and weighted
students funding to bring their budgets into closer alignment with their
priorities.
7. Communications: Communication of great stories in the district must be
shared. The development of 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.
8. Governance and Board Relations: The area of Governance/Board
Relations is critical since most districts are governed by boards elected
from the local population; others answer to appointed boards. The school

75
board is responsible for setting 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 the board is
time consuming but a critical task for superintendents.
9. Labor Relations and Contract Negotiations: The area of Labor
Relations/Contract Negotiations presents the superintendent the
opportunity to build relationships and negotiate with several unions to
which various staff belong. Success in working with unions requires an
upfront investment in building relationships and understanding the
priorities of union leaders. The content of the contract 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.
10. Family and Community Engagement: Family and Community
Engagement offers the district multiple opportunities for all stakeholders
to interact with the district, from volunteering to partnering with local
organizations in support of student success. Many districts take surveys
of parents, students, and the community in general to determine how they
view the district and what the priorities for improvement are. Surveys
should be closely linked to the district’s performance management system
and data dashboard. Increasing stakeholder satisfaction can lead to

76
greater support for funding measures, significantly increasing its financial
resources.
With regards to each of these reform strategies, two factors were shown to
have great influence over the desired outcomes:
1. The level of implementation
2. The quality of implementation
The instruments for this study were developed collaboratively by the ten
members of the research team of Doctor of Education candidates at the University of
Southern California’s Rossier School of Education. The research team met during
the winter of 2007, the spring of 2008, and the summer of 2008 in seminars led by
Professor David Marsh, Ph.D. and Professor Rudy Castruita, Ed.D. The research
team initially conducted an extensive review of the literature involving five key areas
for the study. The key areas included: 1) Student Achievement and School
Accountability; 2) The Role of the District in Raising Student Achievement; 3) How
Systems Leaders Influence Academic Performance; 4) Strategies Implemented by
Systems Leaders to Improve Student Learning; and 5) How Urban School
Superintendents are Trained.
At the completion of the review, the research team mutually determined the
purpose of the study, the research question and sub-questions to be addressed, and
framework for the creation of the data collection instruments. During the initial
Phase-One study, the focus was to understand what reform strategies were being
utilized by the superintendents in their respective districts in order to drive student

77
achievement. The focus was on the strengths, challenges, and strategies being
utilized by the Urban School Leadership Institute graduates in order to better
understand the reform strategies needed to be successful in their particular district.
By reviewing the previous interviews and data analysis tools used in Phase-One,
research team members were able to refine and produce data analysis tools in an
attempt to capture the relationships between the research questions and the reform
strategies used by each superintendent in their respective districts.
A matrix demonstrates the relationship between the research questions and
each of the data collection instruments.

Table 3.1: Relationship of Research Questions to Data Collection Instruments

RQ1: Ten
Strategies
RQa:
Factors
Context
RQb:
Additional
Levers
RQc:
Background/
Experiences
RQd: Quality and
Implementation
Superintendent
Interview Guide
X X X X X
Key Player
Interview Guide
X X X X
Lever-specific
Interview Guide
X X X

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Data Collection Instruments
The data collection instruments were developed in correspondence with the
conceptual frameworks in an attempt to establish any ties between gains made in
student achievement and the use of reform strategies selected by the superintendent.
During the spring of 2008, the research team met with the Urban School Leadership
Institute staff in order to be briefed about the House Model. During the briefing, the
research team also gained a more complete understanding of the philosophy of the
Urban School Leadership Institute the importance of the reform strategies taught at
the Urban School Leadership Institute to prospective superintendent candidates
during their training at the Institute. In order to provide some depth and
understanding to the data analysis, each team member was responsible for one of the
ten reform strategies identified in the study by the Urban School Leadership Institute
staff and developed the research base and rubrics for the data analysis. There were
several regularly scheduled meetings between team members and each member was
responsible for researching and mastering their assigned rubric topic based on the
reform strategies.
The researchers collaboratively refined and field-tested the instruments in
spring, 2008 prior to the actual data collection in order to assure an alignment
between the conceptual frameworks and the research questions. In measuring the
quality of implementation and the level of implementation within a given rubric, a 5
point scale was developed with 5 points for high quality and full implementation to 1

79
point for a lack of quality and little to no implementation noted within the given
district.
These rubrics served as the basis for developing the interview guides that
provided the foundation for the data collection in this study. The final instruments
included a Superintendent Interview Guide (Appendix A), a Key Player Interview
Guide (Appendix B), and a Reform Strategy Specific Interview Guide (Appendix C).
The interview guides relate each interview question to the related research question.
As outlined in the superintendent interview process, a procedure was established for
coding interview data and a system was outlined for identifying documents that were
collected from each district during the data collection.
The Key Player Interview Guide relates each interview question to the related
research question as outlined in the key player selection and interview process. A
procedure was also established for coding interview data and creating linkages to
documents collected from each district. The Reform Strategy Specific Interview
Guide relates each interview question to the related research question and outlines
the participant selection and interview guide as well as establishing a procedure for
coding interview data.
The interview tools provided critical support to the process of organizing
complex qualitative data in a systematic way in order to inform the research
questions. The interview process, interview guides, and questioning techniques were
developed and based on the semi-structured interview protocol developed by
Creswell (1998). The questions were aligned with the conceptual frameworks and

80
utilized open-ended questioning to allow the research team to tailor probing
questions from each participant. Each interviewee was asked to identify appropriate
documents that would support their perceptions and were included as a part of the
document retrieval process. In each case, access to documentation was facilitated by
district personnel being interviewed upon the request of the researcher and the prior
approval of the district superintendent.
Instrument 1: The Superintendent Interview Guide
The Superintendent Interview Guide from the Phase I study was reviewed
and revised collaboratively by the research team to facilitate collection of data
relevant to the research questions developed for this study. The interview guide
incorporated a script for the interviewer that outlined several lead questions and
included relevant probing questions to provide the necessary depth to the needed
information. The Superintendent Interview Guide was developed for an initial
interview time of approximately 1 hour and included a set of open-ended questions.
There were also relevant probing questions to allow the researcher to expand and
explore issues raised during the process in greater detail.
The questions focused on answering the research questions while developing
a clear understanding of the background and experiences of the superintendent,
outlining the actions taken by the superintendent since their arrival, and the impact of
those actions. A follow-up interview of approximately 1 hour was scheduled with the
superintendent at the end of the visit in order to facilitate emergent themes that arose

81
during the subsequent key player and reform strategy specific interviews. The
Superintendents Interview Guide is incorporated as Appendix A.
Instrument 2: The Key Player Interview Guide
The Key Player Interview Guide was based on a data collection instrument
utilized during Phase I of the study. The research team collaboratively made
modifications to the instrument in order to assure there was alignment with the
conceptual framework and to provide meaningful data related to each research
question. The Key player Interview Guide was developed for interviews of
approximately 60 minutes and included several lead questions, with relevant probing
questions allowing the researcher to fully explore answers during the process. The
questions were developed to gain an understanding of the context of the school
district prior to the arrival of the superintendent, and how the actions taken since the
superintendent’s arrival have impacted student achievement. The questions were
designed to provide a data set that addressed the relevant research questions and to
inform the study. The Key Player Interview Guide is incorporated as Appendix B.
Instrument 3: The Reform Strategy Specific Interview Guide
The Reform Strategy Specific Interview Guide was developed through the
collaborative work of the research team in order to collect data relevant to the
research questions as they relate to the ten key reform strategies being studied as
well as any other implementation strategies the superintendent may have utilized
which are not a part of this study. Each member of the team conducted
comprehensive research into the theoretical and practical background of one of the

82
ten reform strategies proposed by the Broad Academy staff. The research yielded 10
rubrics related to the quality of implementation and one rubric related to the level of
implementation of each reform strategy. The rubrics were developed by the team
and identified the components of a high-quality, fully implemented reform strategy
when aligned with the superintendent and district efforts to raise academic
achievement.
The lead and probing questions for each Reform Strategy Specific Interview
Guide was developed by the research team, based on the related rubric. The Reform
Strategy Specific Interview Guide is designed to support semi-structured group
interviews of those key players having been identified by the superintendent as
having specific and intimate knowledge relating to each of the ten key reform
strategies. Each reform strategy specific group was interviewed for approximately 60
minutes and presented with open-ended questions and relevant probes designed to
provide a picture of the context of the district prior to the arrival of the
superintendent, and describing how the actions taken by the superintendent may have
impacted student achievement. The Reform Strategy Specific Interview Guide is
incorporated as Appendix C.
Data Collection
The Urban School Leadership staff assisted the research team by providing
information relating to matches between sampling criteria and the Urban School
Leadership Institute graduates. Access to the administrative teams in these districts
was facilitated through collaboration between Urban School Leadership’s staff and

83
the University of Southern California’s Rossier School of Education. Ensuring
systems leaders that the process and reporting of findings would be managed
professionally, Professors David Marsh, Ph.D., and Rudy Castruita, Ed.D., were
active members of the research team and participated in the site interviews of the
superintendents and key players. This team approach assured the integrity of the
data collection process and would be appropriate and sufficient to complete the
interviews as well as the document retrieval process.
The ten member research team initiated the Institutional Review Board (IRB)
requirements in spring, 2008 at the University of Southern California (USC). The
USC IRB committee determines the necessary ethical oversight of research projects
conducted by USC students and staff. The committee reviews research proposals in
an attempt to guarantee that participant rights are protected and that studies adhere to
ethical standards, producing results that are beneficial to society as a whole. The
USC IRB review secured these goals by requiring submission of detailed
descriptions of the scope, the specific population, and the methodology to be used in
the study.
For this study, the research team submitted one IRB proposal for the ten
related studies conducted by the cohort members. Although limiting the freedom of
the individual researchers in the cohort to varying degrees, the process resulted in an
increased consistency of the larger research project. The use of common data
collection instruments and methodologies enhanced the team’s ability to speak to the
transferability of the findings. Once IRB approval was granted and there would be no

84
further need to contact the IRB for the rest of the process, the research team began
the process of establishing contact with the sites and preparing for the initial site
visits.

Table 3.2: Data Collection Overview

Day One Day Two
Morning • Superintendent Interview (1 hr.)
• Key Player Interview (1 hr.)
• Key Player Interview (1 hr.)
(all these interviews done by the
two data collectors together to build
common understanding)
• The remaining 5 Reform
Strategy-Specific Small
Group Interviews (60
minutes each)
(done by one or the other of the
data collectors)
Afternoon • 5 Reform Strategy-Specific
Small Group Interviews
• (60 minutes each)
(done by one or the other of the data
collectors)
• Superintendent Interview
• (60 minutes)—Purpose:
background/experience and
obtain missing information/
perspective
Evening Debrief by the two data collectors –
make initial ratings, identify
missing information for day two,
etc.
Data collection team continues
to make initial ratings

The data for the study was collected from each district during two-day site
visits in the two-month period of summer, 2008. Prior to the starting of the actual
site visits, phone conferences with the Urban School Leadership Institute
superintendents were conducted by Dr. David Marsh and Dr. Rudy Castruita and the
Urban School Leadership Institute superintendents were informed of the purpose and
structure of the study as well as the upcoming site visits. Each superintendent

85
received information related to the site visits, prior to the arrival of the research
team. For the purposes of this study, the superintendent was asked to identify the
other study participants, including the key leaders, who were present in the district
when the superintendent’s tenure began and were familiar with the changes
implemented by the superintendent.
The superintendent was also asked to provide the names of the other leaders
in the district and to provide access to them in order to fully understand who held the
positions relevant to implementing the policies related to the ten key reform
strategies. These individuals may have included cabinet members, district-level staff,
site principals, board members, and local community and/or parent group leaders or
others as determined by the superintendent.
The site visits were conducted over a two day period and on-site data
collection was facilitated by the research teams of two members, including Dr.
Marsh or Dr. Castruita and a research team member. The first morning began with a
structured interview conducted with the district superintendent and was based upon
the Superintendent Interview Guide. The superintendent interview took place at the
district office or another location convenient to the superintendent; with each
superintendent interview lasting approximately 60 minutes. Following the
superintendent interview, the research team interviewed two key players, who were
identified by the superintendent, following the guidelines established in the Key
Player Interview Guide. These interviews were conducted at the district office or
where convenient to the individual Key Player and lasted approximately 60 minutes.

86
In the afternoon, the strategy specific interviews were held for 60 minutes each. All
of the interviews were tape-recorded and detailed notes were taken by the researcher
after permission had been obtained. At the conclusion of the day, the research team
met together to discuss the impressions and consider issues that needed clarification
during the next round of interviews on the following day.
On the morning of the second day, the team members continued to meet with
the strategy specific key players or small group panels to conduct 60 minute semi-
structured interviews of the individual(s) identified by the superintendent as having
the knowledge specific to the ten key reform strategies identified by the Urban
School Leadership Institute staff. The research team used the Reform Strategy
Specific Interview Guide to direct this process. All of the interviews were tape-
recorded and detailed notes were taken by the researcher after permission had been
obtained. A final 60 minute follow-up interview was conducted by the research team
with the superintendent at the end of the second day. The final meeting with the
superintendent was designed to ensure opportunities for clarifying questions that
may have not been fully answered previously. In all instances, the recorded
interviews were coded to keep the anonymity and confidentiality of the interviews.
Due to the possibility of political issues arising as a result of any breach in
confidentiality and/or anonymity, procedures were put into place to provide
participants ample security and options to withdraw at their discretion at any time
during the interview and data collection process. The participants were assured of
their confidentiality and voluntarily participated after signing an informed consent

87
release specifying the right to refuse or withdraw from the interview process at
anytime. In all instances, the procedures were put into place to code the interviews
and mask all possible identifiers so participants could freely share information while
maintaining their anonymity and confidentiality throughout the process. The process
of maintaining anonymity and confidentiality provided reasonable assurance to the
district superintendent regarding what information would be collected, how it would
be processed, reported, and ultimately disseminated.
Multiple data sources were utilized during the site visits in order to provide
depth and clarification for all data sets. The collected data, including documents and
other articles related to specific reform strategies, were cross-referenced against the
interview data as well as the longitudinal student achievement data from the State
Board of Education or the Federal Department of Education. The credibility of the
findings was enhanced through the triangulation of findings and methods, including
a thorough review of all relevant documents, transcribed interviews, and the district
student achievement data from each district.
Data Analysis
The purpose of this study was to describe and analyze the strengths,
challenges and strategies utilized by an urban superintendent to improve student
achievement. The results would generate a useful set of ideas, findings, and
implications that fundamentally enhance the preparation of all urban school
superintendents in specialized academies and support the early work of
superintendents. Specifically, this study explored ten key reform strategies identified

88
by the Urban School Leadership Institute staff as those likely to positively impact
student achievement. The research question and sub-questions were developed by
the research team to focus the study and assisted in the development of the data
collection instruments. The alignment between the research questions, the
conceptual frameworks, and the data collection instruments has increased the
reliability of the findings which were made following a comprehensive assessment of
the data.
The process for the data-analysis was developed during the spring of 2008
and incorporates Creswell’s (2003) six steps for data processing: 1) Organizing and
preparing the data; 2) Establishing meaning through a review of the data; 3)
Beginning the coding process; 4) Generating a description of themes or categories;
5) determining how data will be represented in the narrative; and 6) Developing
interpretations.
The collection of the data began as the first site visit commenced in June of
2008. The research team met at the end of the first day in order to debrief the
interviews and discuss the findings, and to record the overall impressions of the first
day. Any issues requiring clarification were determined and discussed and the
process for presenting follow-up questions was integrated into the second day of the
site-visit.
At the conclusion of the site-visits, the entire set of interview tapes and the
interview information was coded for anonymity and to preserve confidentiality. A
spreadsheet was developed and used to record the relevant rubric scores for both the

89
quality of implementation and the level of implementation related to each of the 10
key reform strategies. The spreadsheet allowed the data to be sorted effectively,
allowing patterns to be revealed and discussed by research team members. The
spreadsheet is included in the study as Appendix D.
During the months of July and August, 2008, the entire research team met to
review the transcripts and to summarize the initial findings of the site visits to the ten
districts led by Urban School Leadership Institutes graduates. The rubrics created by
the research team were used to determine the quality of implementation and the level
of implementation of each key reform strategy in the Urban School Leadership
Institute districts.
The resulting process yielded a comprehensive comparative analysis of how
ten Urban School Leadership Institute superintendents had selected and implemented
specific reform strategies in an effort to improve student academic achievement in
large urban school districts. The summary document was presented to the Urban
School Leadership Institute staff by Dr. David Marsh and Dr. Rudy Castruita in
November of 2008. The results for the Urban School Leadership Institutes District
Superintendent are contained within this study and will be discussed at length as the
focus of Chapter Four.
Validity and Reliability
Construct validity was enhanced through the collection of the data using
multiple evidence sources and establishing data patterns. The triangulating of data
sources, a process through which the researcher makes connections between

90
evidence from multiple sources, minimizes the internal threats to the validity of the
findings. The generalizability of the findings is limited to the school district under
the present study. However, the findings may serve to inform readers of practices
that have proven successful in these contexts and may be transferrable to other
settings. The information will also be useful to the Urban School Leadership staff to
make a determination which reform strategies will assist the Urban School
Leadership Institutes graduates to raise academic achievement among all students in
their respective districts as superintendents.
Summary
This chapter contained the specific research methodology applied in this
study and included details relating to design, sample, instrumentation, data
collection, and data analysis. The procedures and instruments used in the study were
collaboratively developed by the team members of the cohort and were approved by
the Institutional Review Board of the University of Southern California. Permission
to access district documents and personnel was granted by the district superintendent
and no documents or actions were taken without their consent. All of the processes
for the data collection were transparent to the superintendent and had been disclosed
prior to the site visit. The results and findings from the data analysis will be
presented in Chapter Four.

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CHAPTER FOUR
Findings and Discussion
This chapter presents the findings from a case study of a district
superintendent, of a large urban school district, in their combined effort to leverage
change in order to raise student achievement. In order to learn more about how
reform strategies are implemented by school superintendents to improve student
achievement in large urban school systems, one district was selected as the unit of
analysis. Focuses of this case study were the factors relating to the conditions within
the district as well as the professional background of the superintendent.
Additionally, each reform strategy selected for implementation was measured to
determine the quality, as well as the level of implementation, of the reform effort
prior to and after the arrival of the superintendent. Case study methodology was
utilized to support the data collection process.
This chapter presents and discusses the findings of the study in reference to
the following research question and the three related sub-questions:
1. How are the 10 key reform strategies being used by school
superintendents in large urban districts to improve student achievement in
their respective district?
1a. How does the quality and implementation of 10 key reform strategies
correspond to the strengths and challenges of the district when the
superintendent took office?

92
1b. What additional reform strategies (if any) were used? How do they
correspond to the elements of the House model?
1c. How does the choice and implementation of the 10 key reform
strategies correspond to the previous background/experiences of the
superintendent?
To investigate the aims of this study, a total of five instruments, as previously
described in Chapter 3, were used in the collection of data: (1) The Superintendent
Interview Guide (Appendix A); (2) The Key Player Interview Guide (Appendix B);
(3) The Specific Dimensions of Reform Interview Guide (Appendix C); (4) The
Quality Rubric (Appendix D); and, (5) The Implementation Rubric (Appendix E).
The data collected in the study consisted of interviews with fifteen school district
leaders, a review of district related documents, and artifacts, and the quantitative
reports from the State Department of Education and District web sites.
The collected data was interpreted and analyzed using a process of
triangulation which utilized multiple sources of information to support the findings.
This methodology supported the reliability and validity of the findings.
Additionally, through during collaborative work sessions, further interpretation of
the data was conducted by cohort members who utilized the same tools and
processes to study nine additional districts. The findings from the research, as well as
a detailed analysis and discussion of the data, are presented and organized according
to the research questions. This chapter focuses on the strengths and challenges of the
district at the time of arrival of the superintendent, how the background and

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experience of the superintendent assisted in the selection of reform efforts, and how
the quality and level of implementation of the reform strategies was utilized in order
to improve academic achievement.
District Background
The Baywater Public School District in Northern California presently serves
a student population of approximately 20,500 students at 24 district school sites with
additional sites being planned for specialized high schools in the arts and medical
field. The Baywater Public School District enjoyed tremendous growth from
approximately 9,000 students in the 1998/1999 school year to over 22,000 in the
2005/2006 school year. Correspondingly, the City of Baywater itself also had a very
large increase from a population of approximately 30,000 to over 100,000 in less
than a decade. The growth of the Baywater area was a result of property values
which had become quite expensive in the nearby urban center of Westwater. As the
population center expanded eastward, Baywater was a recipient of the growth and
influx of the population. Within the East Bay area where the City of Baywater, as
well as the Baywater Public School District are situated, there are 14 elementary
schools, 4 middle schools, 2 comprehensive high schools, 1 alternative high school,
2 continuation high schools, and a community day school. There is also a new
charter school in the district and plans for two new small specialized high schools in
the arts and medical field.
The Baywater Public School District has a very diverse population with 21%
of the student population listed as African-American, 1% American Indian or

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Alaskan Native, 5% Asian, 5% Filipino, 46% Hispanic or Latino, 1% Pacific
Islander and 18% White and approximately 3% declining to state. The English
Learner population is approximately 15% with a reported 55 languages spoken
outside of the school. However, it should be noted that the racial make-up of the
certificated staff does not reflect the diversity of the local populace.
Presently, 46% of the student population participates in the Federal Free or
Reduced-Price Lunch Program, 11% are classified as Students with Disabilities, and
4% qualify as Gifted and Talented Education students. The class sizes average 19 in
grades K-3 through the Class Size Reduction categorical fund; and 29 in grades 4-6,
and 29 in the core academic courses in the upper grades. Overall, the average class
size district-wide is 20.9. However, like many large urban school districts in
California, the drop-out rate is nearly 30%. According to the State Department of
Education statistics, the adjusted drop-out rate from grades 9 through 12 among all
groups of students is 29.2% compared to the statewide average of over 21% among
all groups.
The Baywater Public School District’s programs include a comprehensive
curriculum, Gifted and Talented Education, Advanced Placement Programs,
Comprehensive Special Education, Alternative Education, Guidance and Counseling,
Title I Program, and a complete sports and athletics program. In order to successfully
run the listed programs and maximize student achievement, the Baywater Public
School District employs 60 administrative staff, 35 Student Support Services staff,
and 1008 certificated teachers. There are also 533 classified support staff in

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paraprofessional positions, office and clerical staff, as well as other positions which
support the classroom environment.
The 2006-2007 budget from all government sources was nearly $180 million
with over $153 million coming into the Baywater Public School Districts general
fund. The Average Daily Attendance (ADA) for the Baywater Public School District
is 19,285 and the per-pupil expenditure is $7,956 or approximately 89% of the state
average for all unified school districts. The State Department of Education reports
that average teacher salaries are $59,720 in Baywater Public School District, while
the state average is $59,934. The difference in the average salaries is negligible;
however, the percentage of the overall district budget for teacher salaries is 46.6%,
while statewide it is 41.9%, which is nearly 5% above the state average. The
administrator salaries represent 5.1% of the overall district budget, while statewide;
they generally represent 5.2% of a district’s budget.
The Baywater Public School District mission statement, according to the
2007 Report to the Community, was developed jointly with the Board of Trustees
after Dr. Arbed, the new Superintendent, arrived in August, 2006. During one of
several Governance retreats sponsored by an educational philanthropic foundation,
the mission statement of the Baywater Public School District simply became
“Excellence, Equity, Accountability”. These three short words represented the
changes Dr. Arbed wanted to provide for the public school system which were not
in-place prior to her arrival.

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Secondly, with a supportive Board of Trustees, the governance team also
created a new vision statement for the Baywater Public School District which, in
part, states “…every student achieves excellence. Rigor, relevance, and relationships
are the foundation on which knowledge and skills are built to prepare students for
success…” This new vision statement was crafted so as to distinguish every
student’s success within the public school system and to try and live up to the goals
of the vision statement. The reiteration of simple phrases, such as “excellence,
equity and accountability” which are a part of the mission statement and the core
beliefs, set the overall tone of the district in which the stated goal is that no child will
be left behind.
Background of the Superintendent
Dr. Harriett Arbed began her employment as Superintendent with the
Baywater Public School District in August, 2006. The Superintendent spent the vast
majority of her career with the Westwater Unified School District, a much larger
urban school district, west of Baywater Public School District. Dr. Arbed is a
traditionally trained superintendent with an extensive educational background and
began her career as an elementary school teacher holding that position for 11 years.
Throughout her career, Dr. Arbed received successive promotions to include
elementary school principal for 13 years, Assistant Superintendent of K-8 Schools,
and finally, Chief of K-12 School Operations. As the Chief of K-12 School
Operations, Dr. Arbed’s position was developed to oversee a total of 112 schools
including the elementary, middle and high schools. Dr. Arbed was also responsible

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for the supervision of the Assistant Superintendents in the areas of the elementary,
middle, and high schools. Dr. Arbed held all of these leadership positions within the
Westwater Unified School District prior to her present appointment as
Superintendent of Schools for the Baywater Public School District.
Dr. Arbed obtained her Bachelor’s Degree and a Master’s Degree in
education from the University of San Francisco. She then obtained her Doctorate of
Education in Organization and Leadership from the University of San Francisco and
she follows a family tradition of educators as Dr. Arbed’s mother was also a
principal within the Westwater USD. Dr. Arbed was a founding board member of
the Westwater USD’s Principal’s Academy, which was modeled after another highly
successful principals academy.
Throughout her tenure in the Westwater USD, Dr. Arbed had multiple
opportunities to be trained as a leader; first, a teacher leader as a content research
teacher for 12 schools focused on English Language Arts and Science; secondly, as a
principal leader working with a local philanthropic foundation in issues related to
expectations and equity; and thirdly, as an administrative leader serving terms with
both the Harvard Principal Center, and the National Principal Center all while
working for the Westwater USD. In addition to her formal education and extensive
leadership capabilities, Dr. Arbed was nominated for a prestigious leadership
opportunity for aspiring superintendents with her selection to the Urban School
Leadership Institute. Dr. Arbed is a graduate of the Class of 2005 and is considered a
Fellow of the Urban School Leadership Institute. While attending the Urban School

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Leadership Institute, which spanned nearly a year, Dr. Arbed spent several weekends
in various venues throughout the United States in order to learn about the best and
promising practices within her chosen field, educational leadership. Her successful
participation in the Institute, along with her extensive educational knowledge base
and skill set, allowed her to compete for a local superintendent position with the
Baywater Public School District.
Dr. Arbed was successful in her first attempt at obtaining the position of
superintendent; she is also the first woman and African American woman to hold the
position in the Baywater Public School District. Her selection as superintendent by
the Board of Trustees was the impetus for the vision, mission, and change of
direction the district was seeking in a new systems leader.
Conditions of Baywater Public School District at the time of Dr. Arbed’s Arrival:
Dr. Arbed’s appointment as Superintendent of Schools of the Baywater
Public School District was at the end of a several year run in tremendous growth for
Baywater PSD as stated above. Due to the rapid growth of the district and the new
school buildings being constructed throughout the district, prior to Dr. Arbed’s
appointment, a team had been appointed from the Fiscal Crisis Management and
Assessment Team (FCMAT) to review the spending within the Baywater PSD. The
FCMAT team had arrived in Baywater PSD for a second time in several years to
monitor and assist the district with its finances. Although at the time of Dr. Arbed’s
appointment as superintendent, the general fund held a reserve and allowed Dr.
Arbed to begin her tenure with a slight surplus.

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The Baywater public school district had worked in isolation for a number of
years and had not been an inclusive member of the community. Although there had
been many opportunities for collaboration with many local bay area consortium
groups, the Baywater Public School District had not “stepped up” and taken an
active role with other community groups. These issues, as well as many others,
contributed to general distrust of the central administration staff on the part of school
site personnel, especially teachers, and many community members who felt
disenfranchised by the school system. The teachers union did not have any trust in
the administration of the school district and had come to assume significant influence
when it came to the issue of bargaining. Although there had been budget issues, the
union had seemed to prosper in both good and bad times. There was a feeling of
superiority due to the success of the previous contracts, which union leaders and the
National Education Association (NEA), publicized as the process for obtaining an
excellent bargaining agreement. Those groups held the Baywater Public School
District contract as the “model” for other teacher associations to use when
bargaining. These were just some of the immediate issues facing Dr. Arbed when
entering the Baywater PSD.
Although the school district faced significant challenges when Dr. Arbed was
appointed and took office in August 2006, those same challenges presented multiple
opportunities to utilize the hidden strengths of the district and community, as well as
to collaborate, and begin the system-wide changes necessary for addressing student
achievement.

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Table 4.1: Strengths in Baywater Public School District Upon Arrival of Dr. Arbed

Strengths: Baywater Public School District
• Outstanding pockets of highly skilled, student centered employees working
successfully “in spite of the system”.
• Funding issues had stabilized and there were many new facilities.
• Willingness of the elected Board of Education to allow Dr. Arbed to develop a
strategic plan, participate in roles of governance training, and have an outside
group perform audits.
• Implementation of three district-wide initiatives prior to appointment of
Superintendent to ensure high levels of achievement for all students in the
district.
• A community ready to address raising the bar and closing the achievement gap
for all students in the district.
• A newness among community leaders

Upon her entry, Dr. Arbed found a school community, including the elected
Board of Trustees that was looking for change in the way the Baywater Public
School District had been doing business. Student achievement had not been a
priority, but there were many principals, teachers, and schools that were still
succeeding and raising student achievement despite a system that generally had not
been student centered. According to Dr. Arbed “We were hiring a lot of teachers,
and an administrator from a neighboring district told me that there were pockets of
excellence and teachers in the district where innovation was taking place.
Achievement was taking place, in spite of the system.” This was a key issue for Dr.
Arbed as she would be able to utilize the strengths of those staff members to the
advantage of her priorities in raising achievement among all student groups.

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The funding issues had stabilized with FCMAT’s guidance and the FCMAT
business official remained in the Baywater PSD through the 2006/2007 school year
until the district was financially stable and there was a surplus within the general
fund of the school system. As stated earlier, several new buildings and sites had been
planned and constructed in the district due to the significant growth in the student
population. Consequently, there was a difference between the “old” Baywater where
school facilities were very old and in severe need of repair; and the “new” Baywater
where school facilities were brand new. Although new facilities were abundant in
the newer areas of the city and district, student achievement and the Academic
Performance Index (API) scores lacked significant differences between schools in
newer (higher) and older (lower) SES areas of the Baywater district. According to
Dr. Arbed, no single school had reached an API score of 800 and she found this
inexcusable. She stated, “Our API’s, there are a number of schools-and not even one
school has reached 800. Although we have a number of schools in the 700’s, there’s
no excuse for not having a single school at 800. There’s no excuse for it.” The
district did have some initiatives under way to change this situation, which appeared
to have some promise.
There were already three initiatives in-place at Baywater Public School
District just prior to the arrival of Dr. Arbed that could have a positive impact on
student achievement. The first initiative was the Data-Wise student data collection
information system used to track student achievement that was definitely more “user
(teacher) friendly”. The Data-Wise system was a new district-wide system for

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driving data conversations among teachers and allowed a teacher to view real-time
testing information for their students along with the site administrators-principals.
Although the Data-Wise system was already in-place, the discussions about student
performance between the teaching staff and administrators were just beginning and
had not taken hold yet.
The second initiative was the hiring of school based Literacy Coaches who
had been hired to assist teachers in developing the “best or promising” teaching
practices within their classrooms in order to address individual student needs. Many
of the coaches were also trained in the Data-Wise system but teachers had not fully
utilized the coaches to address student progress as there had been very little in the
way of a district-wide staff development when implementing the Data-Wise system.
The school sites did not begin the data conversations between the teachers and site
administrators as the principals had not been fully trained in the use of the Data-Wise
system nor had the necessary professional development taken place to fully utilize
the coaches’ capacity.
The final initiative was Character Counts and was being used as a program to
teach all students the “pillars” of having a good character. The “character”
conversations were woven into the daily coursework of the students and were
discussed inside the classrooms while being presented. For many of the site
administrators and teachers, this was a departure from previous practice as many
students, when cited as “disciplinary issues”, were simply transferred between school
sites through the District’s Child Welfare and Attendance (CWA) office. The CWA

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office of the district had been viewed as the office that could most assist a school site
when needing to remove students with behavioral issues. Many students were not
“helped” with their issue but simply passed along from school site to school site with
the assistance of the CWA office. The districts Character Counts initiative was just
the beginning of the changes necessary in the CWA office and would be welcomed
by parents.
These three initiatives were just the beginning of the changes needed in order
to drive student achievement throughout the district. Since they were already in-
place at the time of Dr. Arbed’s arrival, she simply developed them further by
drilling down into the core of each to make the adjustments she felt were necessary
and to meet her expectations.
There was a parent community willing to engage with the district in order to
develop plans for helping their children in raising student achievement but they had
generally felt disenfranchised. A business community had long been willing to
partner with the district and develop long-term plans for collaboration; however, the
district had not worked collaboratively and been isolated from the larger school
community. The city of Baywater, where there were newly appointed officials, were
interested in developing a collaborative partnership to share scarce resources. All of
these stakeholders were interested in becoming partners with Baywater PSD to
prepare students for life after high school graduation. Dr. Arbed stated during an
initial meeting with the stakeholder groups, “One of my core statements, my mission,
is that when a student leaves our system, a 12
th
grader leaves our system, they are

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prepared to take on the options that they choose, whether it’s college, whether it’s
career they need to have the skills that are needed for college or career.” This was
the message Dr. Arbed would repeat throughout the district during her initial
meetings with stakeholder groups.
There was just a sense of freshness to the leadership of many local
institutions in and around Baywater, as well as the school district, there were several
new appointments such as a new Chief of Police, and members of the City Council
of Baywater also selected a new City Manager; accordingly, collaboration between
the school district and the city seemed “natural” as there were hopes that these
relationships would blossom.

Table 4.2: Challenges in Baywater Public School District Upon Arrival of Dr. Arbed

Challenges: Baywater Public School District
• The district was actually referred to as 23 “small” districts including the central
office.
• The central office was not seen as supportive of the schools.
• The quick growth had not allowed infrastructure to keep up and change from a
small district to a mid-size/large district.
• The district is in declining enrollment.
• Human resource department was ineffective at recruiting teachers.
• The instructional program was ineffective and different across the district.
• Data not being used to drive student achievement decisions.

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Although there were many interesting challenges district-wide at the time Dr.
Arbed arrived in Baywater, one of the most interesting points noted by Dr. Arbed
was that many school site teachers and administrators were directly contacting board
members for various issues. Many of the issues should have rested at the
superintendent’s office or with central office staff member but the sites would not
contact them, instead favoring to contact a board member directly. Apparently,
when Dr. Arbed made inquiry about the practice, she was advised that the schools
sites were in the habit of acting autonomously and made contact with board members
in order to facilitate an initiative on the individual schools behalf. This was also how
the previous Board of Trustees enjoyed working and micro-managing the district in
the day to day operational activities which squarely should have rested with the
central office staff. It appeared as if each school was autonomous and there were
really “24 mini-districts” within the larger public school system. The Assistant
Superintendents responsible for the schools also had responsibility for the many
central office departments. The dual functions did not allow the Assistant
Superintendents to have responsible supervision of the school sites. Apparently, this
caused sites to directly contact board members for assistance since “their” Assistant
Superintendent was not available to help them.
The rapid student increase did not allow for a balanced approach to
developing the infrastructure necessary for the district, which grew substantially in a
short period of time. The new buildings represented the influx of students and their
parents moving into the newer areas of the city of Baywater; however, the older

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areas of Baywater held school sites that were in severe need of repair, and very little
attention was being directed to the older facilities of the school district. There was
distinct difference between the nice, new, and modern school buildings and the older
facilities on the school sites throughout the district. Although there was no
significant student achievement differences between the new and old areas based on
API scores, there was a difference in the facilities where the students were learning.
The district office had not been upgraded during the increase in enrollment
and the central office had several trailers in the rear of the main central office
complex. The additional trailers were devoted to the addition of the central office
staff hired to try and keep up with the numbers of students added during the same
time period. The additional infrastructure for a large school district was not set, nor
in-place, especially at the central office; While during the rapid increase in student
enrollment a more measured approach to building and reviewing long-range
planning should have taken place; however, it did not. Throughout the state, many of
the urban/suburban areas that had seen large increases in population began to note a
slow population shift away from those same areas. The realities of an economic
downturn were also playing heavily on the populations that could no longer afford
the housing in many newly “built-up” areas and unfortunately, Baywater was no
exception. Although many years of increasing enrollment had allowed for untamed
growth and the problems associated with it, a slowly emerging pattern of declining
enrollment was taking shape. The decline in enrollment caused many other
problems, especially in funding. The district was not only facing declining

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enrollment, but also a state budget crisis that was mushrooming into the billions of
dollars. The forecast from the state indicated that educational funding would
possibly be taking a significant reduction in revenue.
However, during the boom time of increasing student enrollment, the Human
Resources office was generally slow to recruit and retain highly qualified teachers.
Although the present Chief HR officer was not the Chief HR Officer at that point in
time, she noted that anyone who could come in with their degree and fill out the
application were hired because many of the surrounding districts also needed
teachers. Many of the newly hired teachers were not highly skilled or culturally
sensitive and were certainly not prepared to deal with the level of cultural diversity at
Baywater PSD.
Dr. Arbed herself noted:
“During this period of time there was tremendous growth and with that
growth came tremendous diversity. The diverse growth really brought challenges to
a school system that, since its’ existence, really had one student that looked like all
the other students”. Not having the skills to effectively teach a student within the
classroom due to the diversity of the student population was a challenge for the
district and the students.
Another immediate challenge was that many of the schools were following
their own “curriculum” programs, as there was no clear district instructional program
or curriculum. There was no set curriculum district-wide and there had been no
managed instruction from the district. The pacing guides, calendars, nor assessments

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were a part of the institutionalization of the district and this caused many other
problems. Further, if a student transferred between schools during the school year,
the student would generally not have the same text nor was there a district-wide
pacing calendar in order to keep the students on-task between schools. This was
especially true at the elementary grades where students apparently went from one
part of the district to another and were not disciplinary transfers. It could take weeks
for a student to either “catch-up or slow down” based on which school they were
coming from or which school they were now attending.
However, the problem was especially acute in the high schools. In the high
schools, there was a “Curriculum Committee” charged with the responsibility to
select the curriculum each high school would utilize. The curriculum committee
scheduled dates with textbook publishers and vendors in order to purchase the
curriculum on behalf of the school site. The membership of the curriculum
committee included an elected board member as a part of the committee. The
decisions made by the local Curriculum Committee were generally carried through
the approval process of the Board of Trustees by the Board Member who had been a
part of the committee. Dr. Arbed would need to develop a support base and have a
district-wide strategy for curriculum implementation in order to have all the school
sites on pacing calendars with the same curriculum, which would be driven from the
central office.
The central office was not looked upon by the sites as supportive of the
schools and there was very little cooperation or collaboration between the central

109
office and the school sites. The level of dissatisfaction among principals was evident
as they generally used central office staff in obtaining assistance with moving
student “problems” or when wanting to transfer a student from one school site to
another school site. In attempting to address this particular issue, a Character Counts
program was implemented throughout the district in order to change the practice of
“shuffling” students from one school to another.
Overall Reform Strategies
Dr. Arbed used a multi-reform strategy approach when entering the Baywater
Public School District to improve student achievement among all student groups.
The table below depicts the overall reform strategies utilized by Dr. Arbed and
delineates where each of the reform strategies is listed within the rooms of the House
Model. The reform strategies utilized by Dr. Arbed not only included the ten reform
strategies focused on within this case study, they also represent the larger group of
twenty-five reform strategies, some of which may or may not have been utilized.

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Table 4.3: Reform Strategies Leveraged in Baywater Public School District

Area of Reform Specific Reform Strategies
Strategic
Planning
• The Entry Plan focused on the Superintendent’s activities for the first 90 days on the
job.
• Utilized “listening and learning tour” to gain deeper understanding of the entire
school community.
• Governance training provided by Broad Foundation focused on development of
mission, vision, core values, and the strategic plan.
• Set a clear district mission, vision; core values to focus district activity on student
achievement.
• Widespread ownership of strategic plan initiatives.
• Use of the data dashboard to measure progress of the strategic plan.
Organizational
Audits
• Human Resource, Educational Services, and Special Education audits conducted by
outside firms sponsored by the Broad Foundation.
Organizational
and Management
Structure
• A new Executive staff created with a mix of internal and external candidates who
were mostly traditionally trained and experienced in educational initiatives.
• Actively recruited a Chief Academic Officer known by the Superintendent
• Required executive staff to be in classrooms on a “focus walks”.
• Several governance team retreats keep the governance team focused on strategic
plan and clear about their roles in initiatives.
• Restructured central office and tasked staff to support work of the schools.
Instructional
Alignment
• Redefined role of principal as instructional leader and provided multiple
opportunities for principals professional development..
• Developed data driven discussions with staff
• Data analysis coaches placed at several schools to support teachers and
administrators in developing capacity with data-driven decision making.
• Professional development activities not tied to the developing capacity of staff to
implement strategies identified in the strategic plan were eliminated.
Operational
Excellence
• Established a data-driven culture to emphasize the meaning of accountability at all
levels, using the Data-Wise system
• Developed initiatives to address challenges of staffing at low performing schools,
and low-performing students at all sites.
• Used resources to support initiatives and realignment of funds to support the
objectives of the strategic plan.
• Prioritized work of HR department towards meeting needs of low performing
schools.
Stakeholder
Management
• Regained community trust and confidence through increased transparency and
reporting progress on district-wide initiatives using the media.
• High visibility of the superintendent in the community, which was focused on
promoting the district’s vision, mission, core values, strategic plan, and goals.
• Effective use of media to promote district objectives and initiatives.
• Developed a branding of the district with the creation of the Office of Public
Information and Community Engagement

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Dr. Arbed felt confident in her ability to work collaboratively with the elected
Board of Trustees and the larger school community for the Baywater Public School
District in order to drive student achievement. The board provided Dr. Arbed with
their full support and allowed her to hold community, school, and citywide meetings
to develop her strategic plan. The Board of Trustees did not want to re-visit the
previous superintendent’s plan as it did not necessarily “link” any district goals with
student achievement. The Board of Trustees asked Dr. Arbed during the first
Governance team retreat to develop a new strategic plan based on her extensive
leadership knowledge within an educational environment. The strategic plan would
establish her goals for the school district after she had conducted a concerted
listening and learning tour throughout the district during her first 90 days as
superintendent. Although the strategic plan would be forthcoming, Dr. Arbed’s
initial 90 Day Plan of Entry had been developed in order to address the following
five key areas:
1. Articulate a sense of urgency with a coherent vision for school
improvement;
2. Engage stakeholders from across the district and community in the
process for school improvement, shared decision-making, and
accountability;
3. Engage senior staff in a comprehensive plan of actions steps based on
community input;

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4. Convey a positive image of the district; and
5. Serve as the district’s most vocal promoter and supporter.
The governance team spent numerous hours in training developing the
priorities at a retreat which was sponsored by the Urban School Leadership
Foundation. The training was designed to help each member of the governance team
distinguish their roles as board member’s and as a governance team for the school
district. Dr. Arbed also believed the importance of the core values, the mission, and
the vision for Baywater PSD was critical in the development of the strategic plan and
discussed the urgency needed at her first governance retreat a mere three weeks into
her tenure. The mission statement of the district became “Excellence, Equity,
Accountability” and these words became the motto for the district. The vision
statement that was consequently developed was as follows:
The Baywater Public School District is a place where every student achieves
excellence. Rigor, relevance, and relationships are the foundation on which
knowledge and skills are built to prepare students for success. Critical thinking,
problem solving, life-long learning, and character development enable students to
become contributing members in an ever-changing world.
Dr. Arbed’s 90 Day Plan of Entry ultimately had five goals and a significant
number of objectives which she wanted to achieve:
• Goal 1: Ensure Effective District Governance Through Positive Board-
Superintendent Relations;
• Goal 2: Increase Student Achievement;

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• Goal 3: Improve Public Trust and Confidence through Open, Honest
Communication & Positive Relationships;
• Goal 4: Increase Organizational Effectiveness and Efficiency; and
• Goal 5: Establish a Supportive, Positive District Climate & Culture.
Under each of the listed goals were a number of objectives she would target
in order to have a complete strategic plan. As each of the objectives was achieved, it
was crossed off the list as completed and the next objective was tackled. During her
first 90 days, the listening and learning tours became a focal point for the
community.
Dr. Arbed developed a scheduled “listening and learning” tour focusing on
the needs of the larger school community. The listening and learning tours produced
several suggestions from the entire school community and the meetings were held
with such diverse groups as the Baywater City Council, Citizens Advisory
Committee, Baywater Rotary Club, School Site Councils, Town Hall meetings at
Douglas Farm Middle School and Baywater High School, and business roundtables.
The suggestions included increasing rigor in the districts academic program,
focusing on math and science education, developing the arts program, improving
student attendance, providing more staff and professional development, and
increasing parent involvement. By working with the goals listed in the 90 Day Plan
of Entry and being inclusive of many previously disenfranchised community groups,
Dr. Arbed was able to create the “Blueprint for Excellence”, the strategic plan for the
Baywater Public School District after the first nine months into her tenure. The

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strategic plan would become the basis for all changes made in the Baywater Public
School District and included the following five core beliefs:
1. Academic achievement for students is the priority of the district, it’s
children first;
2. A great school district is an inclusive school district…parents and
community are our partners;
3. All district structures, systems, and practices are focused on supporting
students and schools;
4. Strong leadership occurs at every level;
5. Excellence, equity and accountability are the keys to success.
The listening and learning tours allowed the school community to have a
sense of ownership within the Baywater Public School District. Under the leadership
of Dr. Arbed, all school community groups were permitted to take part in the
development of the strategic plan and the entire planning process allowing for the
reform strategies to be implemented. Dr. Arbed focused on raising the bar
throughout the entire district by developing a plan to increase student achievement
among all student groups while attempting to close the gap.
Another astute aspect of Dr. Arbed’s effort was in asking the Board of
Trustees to allow having the Urban School Leadership Foundation conduct
performance audits in the Human Resources, Special Education, and Educational
Services departments. Dr. Arbed, although not surprised by the audit outcomes,
would leverage the information to develop, plan, and execute her strategic reform

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initiatives in raising student achievement district-wide. Also, at a time when
resources were scarce, this opportunity was presented as a no cost to the district
“alternative”.
Utilizing the audit results, Dr. Arbed was able to create a stronger central
office staff that was focused on achievement by working collaboratively with the
Board of Trustees in order to put the right personnel into the right positions within
Baywater PSD. In one case, she actually had to place a long-term contracted
employee into another area in order to move the reform strategies forward. It was
suggested to the employee that they may want to look for employment elsewhere as
the employee was not very effective in the position they were occupying. By being
able to work collaboratively with the Board of Trustees and moving the employee,
Dr. Arbed was able to create a position of Chief Academic Officer (CAO) and hire a
trusted colleague from Westwater USD into the position. With a new CAO aboard,
Dr. Arbed, was able to focus central staff on assisting the school sites with their
instructional techniques. The assistance to the sites included “focus walks” which
allowed central office staff to visit school sites and focus on specific issues the site
principals may have wanted to focus on during the walks. The walks were not
designed to ferret out problems; rather, they were a tool utilized by site
administrators to have a “fresh” set of eyes review the teaching and learning taking
place in the classrooms.
Dr. Arbed, as previously mentioned, leveraged the performance audits to
create the Chief Academic Officer position, and the Chief Human Resources Officer

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position. Within the Human Resources audit findings, Dr. Arbed was able to
collapse two administrator positions into a single, unifying position and move
forward with developing a professional Human Resources department for the
Baywater PSD.
The issue of staff development and professional development had been a
concern during the listening and learning tours and was noted by Dr. Arbed in a
report to the Board of Trustees. As the development of the strategic plan came into
focus, it was clear there needed to be a sequenced order in the professional
development for the site administrators. In order to increase the capacity of the
principals, a new focus was implemented to develop the principals as true
instructional leaders at their school sites.
By utilizing previously under-utilized professional development funding, Dr.
Arbed was able to send a very large cadre of principals to professional development
without encroaching on the general fund. The principals, in turn, were able to better
interpret data and discuss the information with their teaching staff. By re-defining
the role of principal from site administrator to instructional leader, a multitude of
additional opportunities became apparent. The data driven conversations taking place
with staff also increased the knowledge of teachers, who were also receiving staff
development in trainings related to professional learning communities.
Consequently, any staff or professional development not aligned to the strategic plan
or raising student achievement was not considered. By utilizing staff development
and data to drive decisions, resources could be properly identified to support

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initiatives which were needed at several under-performing schools. The re-alignment
of funds tied to student achievement would support the overall objectives of the
strategic plan.
Throughout this period, Dr. Arbed continued to focus on the constituency
groups in the Baywater PSD. In order to win back the trust of the large school
community, Dr. Arbed increased communication and transparency through the use of
district-wide media campaigns designed to inspire the trust of the community. She
continued to be a “high visibility” leader throughout the community and developed
many collaborative relationships with various stakeholder groups and promoted the
objectives of the district by putting children first.
The House Model: Ten Key Reform Strategies
The research question “How are the 10 key reform strategies being used by
school superintendents of large urban districts to improve student achievement in
their respective District?” was the basis for the collection of the evidence used in this
study. The 10 key reform strategies identified by the USC research team were: 1)
Strategic Planning, 2) Assessment, 3) Curriculum, 4) Professional Development, 5)
Human Resource System and Human Capital Management, 6) Finance and Budget,
7) Communications, 8) Governance and Board Relations, 9) Labor Relations and
Contract Negotiations, and 10) Family and Community Engagement.
By utilizing the rubrics developed for this case study, a numerical value was
given to each area of the ten key reform strategies with 5 being highest value and a
value of 1 being the lowest. The following section provides information obtained

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through interview and evidence review for the 10 key reform strategies within
Baywater Public School District. Rubric scores, where referenced, are based on
Quality Rubrics (Appendix D) and Level of Implementation Rubric (Appendix E).

Table 4.4: Rubric Ratings of the House Model Reform Strategies for Baywater USD

House Elements Quality
Pre
Quality
Post
Implementation
Level
Strategic Planning 2 5 4
Assessment 1 3 3
Curriculum 1 3 3
Professional Development 1 3 3
HR System and Human Capital Management 1 3 3
Finance and Budget 1 3 3
Communication 1 3 4
Governance and Board Relations 3 5 4
Labor Relations and Contract Negotiations 1 3 3
Family and Community Engagement 1 3 3

The above listed table references the quality of each of the reform strategies
prior (quality-pre) to the superintendent’s arrival into the district; and the quality of
the reform strategy after (quality-post) the arrival of the superintendent. In all cases
related to the ten key reform strategies, the “quality-post” was higher than in the
“quality-pre” and speaks well of Dr. Arbed and the reform startegies implemented.
The implementation level is based on the current effort within the Baywater Public
School District to implement each of the reform strategies in the district as put forth

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by Dr. Arbed in her quest to raise achievement district-wide. The findings for each of
the ten reform strategies are listed as follows:
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 the district’s decisions and priorities.

Table 4.5: 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
2 5 A “plan” in place but it had little to
do with student achievement and
more to do with Department goals
and objectives on a year by year
basis.
Developed a long-term plan to link
goals with student achievement
• Community meetings included
members from all stakeholder
groups, including union groups
• Identified five core values and
shared district data and information
about increasing rigor in academic
program
• Clear goals and objectives
identified in Superintendent’s 90
day plan
• Development of indicators of
success and what schools should
operationalize to raise student
achievement.

The previous plan in the Baywater Public School District was not referred to
as a strategic plan but rather a yearly timeline of goals and objectives of individual
departments within the central office. According to the Chief Human Resources
Officer Susan Pepper reflecting on her thoughts about the former superintendent:
“Every year we would go in and talk to the superintendent and in cabinet we would

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say what we were going to be doing in the upcoming year; but I noticed most of the
goals were the same as in previous years and they just moved from year to year and
there was no follow-up. And it was really a farce because it was something we had to
do and we all had these goals but we had no priorities or how we would actually be
supportive of the district”.
Dr. Arbed stated that when she asked to see the previous plan, she saw that it
had no connection to achievement and although it said “five year plan”, she could
not categorize the “plan” as being related to student achievement, since there were
no links with elements of the plan to achievement. The schools did not have long-
term plans and were not required to develop them.

Table 4.6: Addressing Change in Strategic Planning

Strengths Challenges
• There was a “five year” plan in
place
• No relation between plan and achievement
• The goals and objectives did not align to overall goals of
achievement
• No real alignment between the schools and the District
plan
Strategies
• Identify five core beliefs upon which to frame development of the Blueprint for Excellence-the
Strategic Plan
• Very strong connections between board goals, District actions, and addressing achievement
• District departments focused on service to school sites with measurable performance objectives
• Clearly delineated benchmark targets tied to board goals with key action steps

In order to address the lack of a true strategic plan, Dr. Arbed, in her 90 Day
Entry Plan, set out the strategies that would focus on aligning district goals and

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objectives with raising student achievement. She met with all stakeholder groups
requesting community input in order to develop the priorities for the plan to present
to Board of Trustees. The plan was based on the five core beliefs that had begun to
“shape” the discussions of where the Baywater Public School District’s future would
lead and how those core beliefs would raise achievement. The five core beliefs are
listed as follows:
1. Academic achievement for students is the priority of the district. It’s
children first.
2. A great school district is an inclusive school district…parents are our
community partners.
3. All district structures, systems, and practices are focused on supporting
students and schools.
4. Strong leadership occurs at every level.
5. Excellence, equity, and accountability are the keys to success.
With full Board support, she continued to hold meetings throughout the
district over a period of several months in order to fully understand the perceptions
of all stakeholder groups. Once this part of the strategic plan was completed, it was
presented as “Phase 1”-a living document-to the Board of Trustees in June 2007,
approximately ten months after her arrival.
In the first page of Dr. Arbed’s “Blueprint for Excellence” is the reflection of
her belief as a superintendent and states: “An educational system that educates all of
its children to high levels of knowledge and reasoning calls for a fundamental

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transformation of both the ‘instructional core’-the content and pedagogy of the
classroom-and the way schools and districts do business.”

Table 4.7: Strategic Planning by Rubric Component

Rubric Components
Previous Quality
1.3
Current Quality
4.1
Level of
Implementation
Vision 2 5
Mission 2 5
Objectives (goals) 1 5
Strategies 1 3
Action Plan 1 5
Theory of Action 1 3
Data Dashboard 1 3
4

While evaluating the current reform effort being applied to the Strategic
Plan, an overall score of 4.1 was determined based on the rubric scoring. While a
score of 4 was provided for the level of overall implementation related to the
Strategic Plan, there is still some work to be completed. Dr. Maureen Nakaoka, the
Chief Academic Officer, stated that although the level of implementation is still not
where she would like it to be, it is still significantly higher than when she arrived and
there is a viable strategic plan in-place and Board approved. The Blueprint for
Excellence presently meets the higher end of the rubric scale and full implementation
is expected once the budget situation is fully addressed by the state.

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Assessment
Assessment activities enable the district 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.

Table 4.8: 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 Data on student achievement
involves a system to collect data;
District provided state standards
versus school provided standards;
Pacing guides utilized in
instruction;
Teachers having data discussions
• Data Wise data collection system
implemented to track student
progress
• District aligning standards and
frameworks to Federal and state
standards
• District provides pacing guides
in Math and ELA to school sites
• District supportive of time for
teachers to have data discussions

Prior to the arrival of Dr. Arbed, there was very little in the way of central
office assistance to the school sites regarding assessment issues. While discussing
the curriculum issues at the high schools, Dr. Arbed stated there was actually a
“curriculum committee” that contacted textbook publishers directly and had a
member of the Board of Trustees as a part of the committee. The high schools had
no district contact regarding the curriculum committee and only utilized the services
of the district to actually issue purchase orders to buy the textbooks and have the
textbook purchase adopted and agenized at a regular Board of Trustees meeting.

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While addressing the curriculum issue of the elementary grades, there were
no district-wide pacing calendars, no benchmark assessments, no collection of useful
data, no essential standards, and no central office direction to the school sites. This
became an issue as many students, not necessarily students who were discipline
problems, moved between schools in the Baywater Public School District and when
they arrived at their new schools, they had to either “catch-up” to the curriculum
being taught, or “slow down” in order to be doing the same grade level work.
According to Susan Mello, a site principal at a middle school, she said “I would say
about two years ago, I think they (schools) were doing their own thing and there was
no real accountability or data except for the STAR testing and then everyone would
do their autopsies”. Although there were a few district-wide writing prompts at three
grade levels which began in 2002, this was about the extent of the assessment
assistance available to the schools. In 2006, just prior to the arrival of Dr. Arbed, the
district purchased the Data-Wise data management system in order to begin the
meaningful data driven conversations between the teacher-leaders involved in Data-
Wise and classroom teachers.
Dr. Arbed was intimately involved in changing the issue of assessment
through the adoption of district-wide curricula with district pacing calendars, six
week benchmark assessments, data driven conversations, and summative
assessments. The high school “curriculum committee” did not survive the new
central office push for a standardized curriculum. Shortly after Dr. Arbed was told
about the process, she required that the high schools employ the same teaching

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strategies and curriculum and because a board member was a part of the committee,
this had to be done with the approval of all of the Board members.

Table 4.9: Addressing Change in Assessment

Strengths Challenges
• Benchmark exams in place and aligned to
mandated curriculum
• Data is disaggregated at the site level and
disseminated to the classrooms
• Assessment process is compliance oriented
• Central Office staff assists school site staff
with the meaning of the data and trends
• Data discussions are limited / not common at
all sites
• Few teachers trained in data-driven teaching
decisions
Strategies
• Strategic Plan incorporates data targets and performance measures for sites
• District-wide focus on student achievement included in program evaluation
• Central office set tone for district wide curriculum to support data-driven decision making and
program evaluation at the site level
• Student achievement data reviewed by grade and site

By requiring a central focus on a district-wide curriculum at all grade levels,
Dr. Arbed was setting into place a system of accountability where all teachers would
be focusing on the same goals and objectives regardless of which school a student
was attending within the district and this was quite a change in the previous way of
teaching in the classroom.

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Table 4.10: Assessment Rating by Rubric Component

Rubric Components
Previous
Quality
1.3
Current
Quality
3.0
Level of
Implementation
Summative Assessments 1 3
Formative Assessments 1 3
Data Management, Information, and
Reporting System
3 3
Analysis, Interpretation, and Utilization of
Assessment Data
1 3
Professional Development 1 3
Fiscal Support and Resources 1 3
3

While evaluating the current reform effort being applied to Assessment, an
overall score of 3.0 was determined based on the rubric scoring of what is presently
in-place and expected of the site personnel. While a score of 3 was provided for the
level of overall level of the implementation related to Assessment, it will continue to
move to a higher level as the data discussions take place among school staff.
Curriculum
Curriculum refers to the materials used to teach. Classroom materials such as
textbooks, worksheets, pacing guides, etc are a part of the curriculum. They should
address the scope and sequence of the district’s learning standards.
In order to begin the accountability standards within Baywater Public School
District, Dr. Arbed realized a district-wide curriculum was needed in order to control
the school sites from implementing their own “standards”. The school sites
generally acted autonomously when it came to curriculum and within the high

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schools, there was even a “curriculum committee” which had a board member as a
part of the committee, and decided what each high school would be teaching. As
there was no set curriculum in-place district-wide, Dr. Arbed worked closely with
staff in order to develop the essential standards for fidelity to the core curriculum.

Table 4.11: 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 Adopted district-wide
curriculum for high schools;
Standards aligned to
assessment of learning;
All students have access to
content/learning standards;
District communicating
curriculum issues to sites.
• District abolished high school
“curriculum committee”
• Content standards and frameworks
aligned to assessment of student
learning
• More equity for all district students in
accessing district-wide curriculum
• District is communicating to site
administrators/teachers on classroom
standards

The California state standards were adopted in the selection process in order
to implement standardization throughout the district. The teachers were trained to
use the curriculum and included some professional development, pacing guides, and
monitoring by the central office.

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Table 4.12: Addressing Change in Curriculum

Strengths Challenges
• The district is beginning to use pacing
guides and lesson plans that are
distributed to all school sites
• A few school sites beginning to use data
to drive the instructional decisions
• New program is not monitored from a
central location
• Classroom teaching and fidelity to
curriculum
• Teachers and principals need
professional development in order to
utilize curriculum
Strategies
• A high quality curriculum implemented to align to state standards
• The site principal through professional development is focused on becoming the
instructional leader
• The central office was tasked with supporting the school sites and developing “focus
walks”
• Coaches are hired in order to assist building teacher capacity
• Pacing guide development for the middle and high schools

When Dr. Arbed arrived in the district, she made educational services a
priority in order to drive achievement. A high quality curriculum matching state
standards was implemented at all grade levels. She also placed a heavy burden on
the site administrators by demanding attendance at seminars and courses in order to
develop their personal and professional capacity as instructional leaders.
The central office also assisted the site administrators with “focus walks” and
collaboratively developed a target with the site administrators to review during the
focus walk. The district also hired coaches for the site administrators and teachers in
English Language Arts and Math in order to build the capacity of the staff in relation
to teaching the curriculum. As a result of a district-wide curriculum implementation,
the district was able to develop and distribute pacing guides, and six week

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assessments for students in order to benchmark their progress as the school year
progressed.

Table 4.13: Curriculum Rating by Rubric Component

Rubric Components
Previous
Quality
1.4
Current
Quality
3.4
Level of
Implementation
Alignment to Learning Standards and
Assessments
1 3
Equal Access to Learning Standards 1 3
Fidelity in Implementation 1 3
Sufficiency and Appropriateness of Material 3 3
Clear and Regular Procedures to Review and
Update the Curriculum
1 5
3

While evaluating the current reform effort being applied to Curriculum, an
overall score of 3.4 was determined based on the rubric scoring. A score of 3 was
provided for the level of overall implementation related to Curriculum as the work is
still in-process and the resources will need to be aligned with the priorities.
Professional Development
Professional Development is any program or course intended to improve
teachers’ and principals’ effectiveness. Successful districts have an integrated
professional development strategy that centers on enabling teachers to detect when
students aren’t meeting certain standards and to adjust their instruction accordingly,

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or enables principals and teachers to improve their knowledge and skills in areas of
district focus.

Table 4.14: 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
1 3 District is supportive of
implementing a PD plan;
The PD plan is becoming integral
in order to drive student
achievement district-wide;
The PD resources are a priority
and presently available;
The PD program is changing the
district “culture” in order to raise
achievement.
• District is supporting district-
wide PD programs with
follow-up assistance
• Through PD, teachers and
administrators collaborate to
drive achievement
• PD has become a district
priority with necessary
funding and resources
• PD has changed the way
teachers teach and students
are learning

Prior to Dr. Arbed’s arrival, professional development was not a district
priority and there were generally not sufficient resources allocated to professional
development, and when there was funding, it was not professional development
directed at raising student achievement. Dr. Arbed wanted to use professional
development in order to have fidelity to the curriculum and a growth of professional
learning communities. The central office sent out staff development surveys in order
to develop a needs assessment for each school site which was tabulated to develop a
list of the needed priorities. Janet Martin, the Director of Curriculum, stated: “I think
the message that came from the superintendent that was strong and loud that we all

131
heard was fidelity to the curriculum….fidelity to the core curriculum. And the first
thing we did was to get really good training on the core and so that happened”.
The professional development component was shaped by Dr. Arbed and
utilized to develop the capacity of the staff and many schools adopted a Wednesday
professional development day since it did not interfere with the contractual issues of
the teachers union. The central office focus walks also assisted the site
administrators with extra sets of eyes to view the classrooms to determine the level
of collaboration and articulation taking place inside the classrooms. Susan Mello, a
middle school principal, stated: “Before Dr. Arbed, we weren’t held to any real
accountability standards and when they began the focus walks, we really had no idea
what to expect because the clipboard police were coming to the site. I was
pleasantly surprised to find out the central office staff wanted to know what we, as
site principals, wanted them to notice”.
According to Dr. Nakaoka, the Chief Academic Officer, if the site principals
were not willing to utilize the districts offers and develop a professional development
program at their site, they were to be placed on a principal improvement program
that would assist them in being held accountable and working directly with the
Assistant Superintendent of Educational Services.

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Table 4.15: Addressing Change in Professional Development

Strengths Challenges
• Through the Data-Wise data
system, the need professional
development is beginning to be
discussed
• Some sites not fully implementing a
professional development program
• Some “pushback” from certain school
sites with entrenched site administrators
• No previous curriculum to standardize the
professional development throughout the
district
Strategies
• Made a commitment to building staff capacity one of five top priorities
• Professional development aligned to development measurable goals from the Blueprint for
Excellence
• Central staff assigned to school sites to conduct focus walks
• Aligned district resources to support the Blueprint for Excellence goals and objectives
• Invested heavily in professional development for site administrators in order to develop
instructional leaders

Although the Data-Wise system had been purchased and was being
implemented into the Baywater Public School District, Dr. Arbed, through the
Blueprint for Excellence, really accelerated the professional development focus
throughout the district. The Blueprint for Excellence listed the building of staff
capacity as one of five goals in order to drive student achievement. This was true
especially with the site principals who were given multiple opportunities to develop
their capacity and become instructional leaders at their school sites.
The focus on principals, according to Dr. Arbed: “was to focus on developing
our site leaders, principals, as true instructional leaders. Last summer, we were able
to carve out money that had not been spent since 2004 and send several of our
principals to the Principals Leadership Institute, which is back east. It was

133
unconscionable to me that we had that kind of money just sitting around and not
being used, especially since it was a lot of money”.
A concerted effort by the central office administration was not only to
develop the leadership potential of the site administrators; it would also hold them
accountable for their schools achievement. Susan Mello stated: “Before Dr. Arbed
arrived, we would go to management meetings and discuss policy….after our
training last summer, and with professional learning communities, we actually have
had the opportunity to discuss real issues about what was working and what wasn’t.
Our conversations began to have some real meaning and we knew a new day was
here; and it was exciting”. Susan Mello stated she now enjoyed attending meetings at
the central office and other school sites and discussing with other principals what
might be working at their school sites that she may not be doing at her site. She
mentioned she was not the only administrator to feel this way since most of the
principals were “relieved to be talking about achievement instead of policies”.

Table 4.16: Professional Development Rating by Rubric Component

Rubric Components
Previous
Quality
1.5
Current
Quality
4.0
Level of
Implementation
Designing Professional Development 3 5
Implementing Professional Development 1 5
Evaluating and Improving Professional
Development
1 3
Sharing Professional Development Learning 1 3
3

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While evaluating the current quality reform effort being applied to
Professional Development, an overall score of 4.0 was determined based on the
rubric scoring for the current effort. While a score of 3 was provided for the level of
overall implementation of Professional Development for the district.
Human Resource (HR) System and Human Capital Management
The Human Resource System (HR) and Human Capital Management
research indicates that teacher quality is a primary influence on student achievement.
Effective districts do a good job in attracting, selecting, and managing talent at the
teacher, principal or district office level. Improving the recruiting and hiring
processes for personnel, developing attractive compensation packages, and
streamlining the process of applications and payments are evidence of a good HR
system.

Table 4.17: Rubric Scoring of HR 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 and
Human Capital
Management
1 3 District has a professional HR
Chief;
HR is viewed as site support;
Extended employment
contract practices have
stopped;
District working through
contract employment issues
• District promoted classified HR
professional to oversee
certificated staffing
• Sites now view HR as a support
and not “dumping ground”
• There are no long term, multi-
year contracts available to
district administrators
• District at “impasse” re:
teachers union contract for
professional support

135
Previously, the Human Resources department had not been viewed as overly
“helpful” to the school sites and was not considered a support service of the school
district. According to the Chief Human Resources Officer, Susan Pepper, “the whole
idea is that you want to make sure you are hiring the right people with the right skills
and not just hiring people because you know them”. Apparently, many people were
hired based not on qualifications but other political dynamics surrounding their
employment.
In a foundational area of the House Model-Organizational Assessment and
Audits, Dr. Arbed requested a Broad Foundation Audit for the Human Resources
area. At the conclusion of the audit, Dr. Arbed reviewed the findings of the audit and
appointed Susan Pepper to the newly developed Chief Human Resources Officer
position. Dr. Arbed, knowing the outcome of the audit, was able to use the results in
order to create a single Human Resources department instead of the previous
classified Personnel Commission, headed by Susan Pepper, and a certificated HR
department, headed by an Assistant Superintendent of Human Resources. Each of
the previous areas, the Personnel Commission and the HR department generally
worked in silos and were not very cooperative when dealing with each other causing
confusion among the district staff.
Apparently, in earlier administrations within the Baywater Public School
District, there was a larger problem of having the central office viewed as the area
where school administrators who could not “cut-it” at a site were sent and thus,

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perpetuating the idea that the central office was not effective at helping the school
sites.

Table 4.18: Addressing Change in HR System and Human Capital Management

Strengths Challenges
• Competitive (median) salaries and
benefits for district employees
• High quality teachers is reported as
mandated
• The district lacked a tracking system for
employees
• No personnel management experts in HR office
• Central district administrators tenured with long
term contracts without accountability for work
Strategies
• Established position of Chief Human Resources Officer
• Restructured Human Resources department after a Broad audit
• Human Resources aligned to strategic plan and district’s core beliefs
• Developed a structure for movement of central district and school site administrators

The salaries had been set at about the median according to a benchmark
survey conducted for the HR department and the benefits package was similar to that
of surrounding and comparable districts. A definite challenge to Dr. Arbed’s ability
to make wholesale changes within her administrative team, were the long-term
contracts given to senior level administrators prior to her arrival. In one case, an
ineffective Assistant Superintendent in a critical position was given a multi-year
contract guaranteeing employment through the 2010/2011 school year. Dr. Arbed
had to “slow down” her process in order to try and put a team in-place that she felt
comfortable with and would be able to carry out her vision for the Baywater Public
School District.

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Among other pressing issues facing Dr. Arbed was the fast growth of the
district in the preceding years causing the previous HR department to hire many staff
without keeping adequate records on hire dates, seniority, or background information
necessary for vetting during a time of lay-off or reduction in force (RIF). The
Baywater Public School District needed to develop a valid seniority list in order to
process a reduction in force of teachers due to the lower number of students. The
information took months to develop due to the poor record keeping in the HR
department prior to the arrival of Susan Pepper. The information was not only slow
in arriving; it was challenged as not being accurate and the HR staff would request
copies from employees in order to try and resolve outstanding issues related to
seniority.

Table 4.19: HR System and Human Capital Management Rating by Rubric
Component

Rubric Components
Previous
Quality
1.0
Current
Quality
3.0
Level of
Implementation
Recruitment, Selection and Placement of New
Administrators
1 3
Recruitment of Highly Qualified Teachers 1 3
Teacher Support and Development 1 5
Salaries, Wages and Benefits 1 3
3
Use of Incentives 1 1

While evaluating the current quality of reform effort being applied to HR
System and Human Capital Management, an overall score of 3.0 was determined

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based on the rubric scoring. While a score of 3 was provided for the overall level of
implementation related to HR System and Human Capital Management with many
issues that needed to be completed that had been started, such as teachers’ contracts
and negotiations.
Finance and Budget
The Finance and Budget of a district should be in alignment with
instructional priorities as well as balanced and sustainable. Some successful
district’s have adopted innovative budgeting approaches such as “zero-based
budgeting” and weighted students funding to bring their budgets into closer
alignment with their priorities.

Table 4.20: 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
and Budget
1 3 District had financial issues and
were coming “out of” them and
employing strategies to monitor
spending;
School Site Councils trained to
understand school budgets;
Schools reviewing finances on-
line;
Central office monitoring
expenditures
• Developed a central
office “checks and
balances” system to
monitor site expenses
• Developed a transparency
about funding issues
throughout the district
• Worked closely with
other departments
regarding funding

The Baywater Public School District had previously had financial
irregularities in the preceding decade and required a business official from FCMAT
to oversee the business operation of the district for a period of two years. Again, for

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a second time, a couple of years prior to the arrival of Dr. Arbed, another FCMAT
business official had been appointed and had served for nearly two years in her
capacity upon the arrival of Dr. Arbed. Dr. Arbed wanted to employ the FCMAT
business official in the Baywater Public School District as a permanent employee.
However, once the district was on solid financial footing, the latter official decided
to leave for another school district in crisis. Dr. Arbed began the search for a new
chief business officer while trying to develop a change in the district by attaching
resources to the district priorities such as instruction, curriculum, and professional
development, while making the budgeting process as transparent as possible. Dr.
Arbed approved School Site Councils to attend a training session in order to better
understand the complexities of budget development and the uses of both the general
fund and categorical fund within the budget and this made the transparency much
clearer for parents.

Table 4.21: Addressing Change in Finance and Budget

Strengths Challenges
• District was coming out of a period of
financial problems
• Budget practices went from central office to
individual school-sites
• No systematic budget development linking
resources with priorities
Strategies
• Finance/budget practices and resources aligned to strategic plan in support of teaching and
learning
• School Site Council approach to designing and reviewing budgets and expenditures at
individual school sites
• Superintendent wanted transparency in the budget development process

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As the district was coming out of a period of near financial irregularities for
the second time in a decade, Dr. Arbed wanted a more transparent budgeting process
developed in order to follow the third core belief that all district structures, systems,
and practices are to be focused on supporting students and schools. Through each of
the school sites, Dr. Arbed developed training sessions for local School Site Councils
in budgeting priorities with both general and categorical funding in order to develop
the capacity of the parent members of the School Site Councils. The purpose of the
School Site Council at each school site understood the role of the budget within the
schools was to empower parents and not to be a “rubber stamp” for the principals at
the school sites. This was quite important for the Baywater Public School District
and was a first step toward a transparent budgeting process Dr. Arbed championed
with the funding priorities for the school sites recommended with the input of many
school site stakeholders.
The next several years will be extremely important for the Baywater Public
School District as the budget process is developed during an era of declining
enrollment for the district and a state budget of shrinking resources. As a part of the
ongoing process of fiscal management, the district had to stop all spending and
monitor expenditures in order to develop an action plan to deal with an impending
budget shortfall. Although all expenditures required district approval, some
expenditures of as little as $60.00 were scrutinized and approved by the central
office for all school sites and departments, without exception. No distinction was
made as to whether a school site had been functioning within guidelines or had been

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operating in their own “silo”, all sites and departments were required to have
approval before moving forward with an expenditure and this was problematic for
many of the sites. It was, however, a savings generator for the school district as
there was an overall savings of more than one million dollars while the policy was
“in-place”.

Table 4.22: Finance and Budget Rating by Rubric Component

Rubric Components
Previous Quality
1.0
Current Quality
3.0
Level of Implementation
Strategic Budget Planning 1 3
Organizational Culture 1 3
3
Operational Procedures 1 3

While evaluating the current quality of the reform effort being applied to
Finance and Budget an overall score of 3.0 was determined based on the rubric
scoring. While a score of 3 was provided for the overall level of implementation
related to Finance and Budget and as the state’s budget crisis looms large over all
educational spending in the state.
Communications
In short, the Communication strategies of the new administration could be
succinctly stated as the intent that all success stories in the district must be shared
with all stakeholders. The development of a public relations or communications
office staffed with experts on dealing with the media can enable the district to

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communicate its vision to the public or proactively build support for an important
initiative.

Table 4.23: Rubric Scoring of Communications

House
Elements
Quality
Pre
Quality
Post
Essence of the Difference
Between Pre and Post
Implementation
Strategies / Action Steps
Communication 1 3 The District created a
communications plan;
The District hired a
professional Communications
Director;
The Superintendent is able to
communicate to a variety of
stakeholder groups;
Web-site updated and
“branded” to spread message
• The District created and
implemented a communications
plan for stakeholder groups
throughout the community
• A professional communications
executive was hired for the district
and tasked with developing policy
• The superintendent successfully
targets parent, community,
business, and other government
groups and meetings
• Web-site completely overhauled
and “branded” in dual languages to
spread good messages

Prior to Dr. Arbed’s arrival, only information that was mandated by the state
and Federal government was sent out to the larger school community. The Baywater
Public School District did not have any professionally produced communications
materials distributed to the school community prior to the arrival of Dr. Arbed. As
she developed her Blueprint for Excellence, and during the listening and learning
tours, communication, or lack thereof, was a recurring theme among all constituent
groups and stakeholders in the community.
The community was “hungry” for information about the Baywater Public
School District and Dr. Arbed set out to develop a professional communications

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office for the school district. In order to “start” a communications office, a funding
window of only three years was proposed in order to assess the effectiveness of the
separate communications office. However, almost immediately after the
implementation, the office was quite successful and the Office of Communications
and Community Engagement developed a user friendly website in dual languages
staffed by a professional communications director with extensive experience in
school reform efforts, although not an educator.
A successful “branding” of the district on the new website and a collaborative
effort on the part of the Director of Communications-Public Information Officer has
made all stakeholders, including the media; promote the positive stories about the
Baywater PSD. The Director also created the necessary policies for compliance with
the law and how to best handle media incidents on the school campuses. The policies
are in-line with the general practices of other educational environments and provide
a site administrator with options for dealing with the press, especially during
noteworthy events.

Table 4.24: Addressing Change in Communications

Strengths Challenges
• All district stakeholders wanting
communications about the school district and
to work with the superintendent
• No communications between district except for
those mandated.
• Very limited or zero lines of communication
between community, stakeholders, and district
Strategies
• Established position of Director of Communications at the Central Office
• Developed various forms of communication media, including Interned-based
• Utilized open town-hall meetings, roundtable discussions, and forums to communicate with all
stakeholders

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Although there had not been an office specifically dedicated to
communications, it was a high priority for the school community and especially for
Dr. Arbed. There was a willingness to collaborate among the newly appointed
leadership in the city, a police chief and city manager, and the school district. This
would not have been possible without the successful branding of the district and the
collaborative efforts put into place by the Communications Director, Angie Inriquez,
Esq., who, as a lifelong resident of Baywater, was in a wonderful position to have
Dr. Arbed “meet and greet” the local populace. Inriquez developed extensive
contacts for Dr. Arbed and soon had her sitting on many boards and councils in order
to promote the successes of the Baywater Public School District.

Table 4.25: Communications Rating by Rubric Component

Rubric Components
Previous
Quality
1
Current
Quality
3.8
Level of
Implementation
Communications Plan 1 3
Communications Office 1 5
Communication of District Vision to the
Community
1 5
Build Support for District Initiatives 1 3
4
Two-way Communications with
Community
1 3

While evaluating the current reform effort being applied to Communications
an overall score of 3.8 was determined based on the rubric scoring. While a score of
4 was provided for the level of overall implementation related to Communications as

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much of the development of the relationships and collaboration has been completed
and is in process. The only potential issue is that of sustainability since the Office of
Communications and Community Engagement was initially funded for a promised
trial period of three years. The original Director of Communication, Mrs. Iniquez,
has moved on since she was hired with a promise to “start” the office and be with
Baywater Unified School District for only a year.
Governance and Board Relations
The area of Governance/Board Relations is critical since most districts are
governed by boards elected from the local population; others answer to appointed
boards. The school board is responsible for setting 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 the board is time consuming but a
critical task for superintendents.

Table 4.26: 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 and
Board Relations
3 5 Board supports the
superintendents initiatives;
District is more transparent
with community;
The board has allowed
superintendent to select own
team;
Board watches “the
superintendents back”
• Overall, the retreats allowed the
Board to support the
Superintendent
• The district has focused on
programs to promote
transparency with stakeholders
• Within reason, there has been
several changes to the
Superintendents Cabinet
• A quote by a Board Member
regarding new view of role as a
board member

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The Board changed approximately two years prior to the appointment of Dr.
Arbed and according to the current Board President, a “progressive” slate of
candidates was elected and wanted to bring about change within the Baywater Public
School District. The Board wanted to develop policies and procedures with a focus
on students and curriculum as opposed to “building facilities”. The previous
superintendent was very good at developing properties as school sites and quite a
knowledgeable person in getting the district through a serious financial period;
however, he lacked the skills needed to take the Baywater PSD to a higher level
related to student achievement district-wide. The previous superintendent, upon
announcing his retirement, inappropriately tried to control the selection of the next
Baywater superintendent and presented some rather poor candidates to the Board of
Trustees for their selection. After some discussion in closed session, the previous
superintendent was asked to leave the room and the Board, on their own, decided to
hire a search firm in order to select a superintendent the Board felt would be a good
fit for Baywater Public School District.
The Board was presented with a much better slate of candidates from the
search firm and among them was Dr. Arbed. The Board felt that without the win of
the progressive candidates in the previous election, Dr. Arbed would never have
been presented as a superintendent candidate for the Baywater Public School
District.

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Table 4.27: Addressing Change in Governance and Board Relations

Strengths Challenges
• The Board and the community wanted
educational reform in district
• The Board and the Superintendent are
committed to student achievement
• Board had been working as
“interventionists” in the district
• Previously utilized a strategy of power
politics
• Board previously directly involved in day to
day operations of the district
Strategies
• The Board relationship with the Superintendent was to develop a trusting working relationship
• Board and Superintendent governance by policy – clearly defined roles of Board and
superintendent
• Established accountability for site principals to improve student performance
• District administrators seen as a support for the school sites

A key strength in the Baywater Public School District was the election of a
progressive slate of Board members prior to the arrival of Dr. Arbed. The election
provided the new Board with an opportunity to set their own vision and then select
their own superintendent from a highly qualified pool of superintendent candidates.
This is the pool from which the Board selected Dr. Arbed and created the vision,
mission and the core beliefs for the Baywater Public School District in order to drive
educational reform.
Dr. Arbed’s vision for the children in the Baywater Public School District
was fully supported by the Board of Trustees who attended a Governance Retreat
sponsored by the Urban School Leadership Foundation three weeks after Dr. Arbed
arrived. The retreat proved a turning point for the governance team in discussing the
roles and responsibilities of each member and learning that a Board Members role
was to “cover the superintendent’s back” and deal with policy issues. The Board

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was also instrumental in developing vision and mission statements as well as
developing core beliefs. The Board as well as the community wanted change, and in
a particular exchange with a parent, Dr. Arbed recalled:
I was at a town hall meeting and there was a gentleman who kept asking
many pertinent questions as a concerned parent. I would ask if anyone had
questions and he would just raise his hand and ask another question.
Although I was kind of joking I said “OK, I think you’re out of questions”
and he said “that’s OK, my wife can ask the questions now.” At the end of
the meeting, he raised his hand again and I reluctantly called on him and said
“OK, this is the last one” in a more serious manner and he said, “Well, I just
want to say you are a breath of fresh air and we are happy to have you. I was
floored since I didn’t know what he was going to say but I felt the depth of
concern among the community and the changes they wanted for their
children.

Dr. Arbed continued to be happily surprised with the level of engagement
from the stakeholders from various parts of the community who have really stepped
out and want to be part of the larger solution for raising achievement for all student
groups within Baywater USD.

Table 4.28: Governance and Board Relations Rating by Rubric Component

Rubric Components
Previous
Quality
2.2
Current
Quality
4.6
Level of
Implementation
Setting the Direction for the Community’s
Schools
1 5
Establishing an Effective and Efficient
Structure for the District
1 5
Providing Support and Resources 3 5
Ensuring Accountability to the Public 3 3
Actions as Community Leaders 3 5
4

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While evaluating the current reform effort being applied to Governance and
Board Relations an overall score of 4.6 was determined based on the rubric scoring.
While a score of 4 was provided for the level of overall implementation related to
Governance and Board Relations as much of the development of the relationships
and collaboration between the Superintendent and Board has been completed while
the Board of Trustees continues to improve an already good system of understanding
their roles and responsibilities.
Labor Relations and Contract Negotiations
The area of Labor Relations/Contract Negotiations presents the
superintendent the opportunity to build relationships and negotiate with several
unions to which various staff belong. Success in working with unions requires an
upfront investment in building relationships and understanding the priorities of union
leaders. The content of the contract 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.

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Table 4.29: 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
and Contract
Negotiations
1 3 District decided to “go to mat” with
union on priorities; District not
allowing infringement of
management rights;
Teachers union extremely strong;
Classified staff not as much of an
issue
• Superintendent, Board,
and Cabinet worked on
district priorities for
achievement
• Previously, many
management issues
addressed by contract
• Teachers were generally
given latitude to decide
their issues and concerns
• The classified union has
not had the same issues as
the certificated union

The area of labor relations and contract negotiations had never really been
much of a contentious issue with the previous administration in the Baywater USD.
As a matter of fact, the contract negotiated with the teachers union was held up as the
model contract by the National Education Association (NEA) and the California
Teachers Association (CTA) as an example of how to negotiate the best bargaining
agreement on behalf of the teachers. There were a multitude of issues precluding the
advancement of any meaningful changes due to language in the contract that
severely limited the amount of professional development time the teachers were able
to participate in without earning additional stipends. There was a sense that the
district had been “sold-out” to the union during the previous administration when
deals were cut in the back room and contracts would get settled without any of the
members of the districts bargaining unit team knowing the settlements had occurred.

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With a new Board of Trustees and Superintendent, there was a serious issue
of distrust by the teachers union whenever issues arose involving any of their
members. No longer was there a feeling of mutual trust and cooperation as had been
seen previously when the teachers union was getting nearly all it had wanted from
the negotiations process. The Governance team, the Executive Cabinet, central
office, and site administrators developed a list of priorities for the negotiations team
in order to send the message to the teachers union that previously held precedents
would not be tolerated any longer. The list of priorities became the issues the district
was willing to “go to the mat” on while moving toward resolving impasses in
negotiations and holding firm in their beliefs that students needed to be placed as the
first priority and not the adults in the unions.

Table 4.30: Addressing Change in Labor Relations and Contract Negotiations

Strengths Challenges
• There was an experienced
negotiation team in place
• The district contract focused on the needs of the
adults, and not students
• Final contract used as a source of pride for the
teachers union
• Negotiating goals not linked to student achievement
Strategies
• All negotiations conducted through district negotiations team and the Chief HR Officer
• Superintendent /governance team met with all team members to determine priorities for
negotiations
• Training provided to all members of negotiation team
• The contract negotiation goals were tied to Strategic Plan goals and objectives

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The Baywater Public School District was intent on developing the priorities
for student success and with the carefully developed negotiations plan and many
returning contract negotiations team members, the district felt confident in its’ role of
putting students first. The team members were fully briefed and kept apprised as the
negotiations developed and as the negotiations went on for months, the teachers
union understood the district was serious about several issues and was willing to go
to impasse in order to remove some particularly limiting contract language.
In a particularly telling statement about the negotiations process by Dr.
Chuck Martin, the Assistant Superintendent stated: “The teachers union knows we
are not making the back room deals as we always used to and team members would
find out there had been a deal cut and the teachers would walk away with their prize.
This time, we are holding firm and it seems almost as if the teachers are losing the
power they once had over the district”.
Dr. Martin said there was a feeling among several administrative team
members from the central office staff that the previous contracts had language that
was completely contrary to the mission of educating children and truly represented
the interests of the adults. If the district was to move forward with the needed
educational reform efforts, the contract had to be changed in a way that made the
children the priority through teaching and learning.

153
Table 4.31: Labor Relations and Contract Negotiations Rating by Rubric Component

Rubric Components
Previous
Quality
1.0
Current
Quality
4.0
Level of
Implementation
Relationships, Communications and
Trust
1 3
Negotiation Principles and Objectives 1 5
Strategies for Negotiation 1 5
Fair and Equitable Outcomes 1 3
3

In evaluating the current reform effort being applied to Labor Relations and
Contract Negotiations an overall score of 4.0 was determined based on the rubric
scoring. While a score of 3 was provided for the level of overall implementation
related to Labor Relations and Contract Negotiations as much of the development of
the relationships and collaboration has been completed and is in process.
Family and Community Engagement
Family and Community Engagement offers the district multiple opportunities
for all stakeholders to interact with the district, from volunteering to partnering with
local organizations in support of student success. Many districts take surveys of
parents, students, and the community in general to determine how they view the
district and what the priorities for improvement are. Surveys should be closely linked
to the district’s performance management system and data dashboard. The data
dashboard holds all of the pertinent data related to the district and students in order to
drive the decision making process. Increasing stakeholder satisfaction can lead to
greater support for funding measures, significantly increasing its financial resources.

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Table 4.32: 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 and
Community
Engagement
1 3 District has provided outreach to
all stakeholders;
District is working in
collaboration with city on grants
for youth;
School Site Council parent
training has been provided
improving achievement
• There have been
opportunities for parents,
community, and business
involvement
• A grant was recently funded
in a partnership with the city
and police department
• Training for parents in SSC
initiatives while giving a
voice to parents
• Other collaborative
partnerships developed to
improve student achievement

According to Robert Smith, Director of State and Federal Programs, “unless
it was mandated, we didn’t send out any information for parents or the community
and even then, only those schools needing translation would receive the translated
documents.” There was really very little in the way of engagement with any of the
stakeholder groups and it was not a priority of the previous Board of Trustees or the
Superintendent.
However, one of the first priorities that needed to be addressed, according to
Dr. Arbed was the need to be more inclusive of all the Baywater Public School
District’s various communities. She utilized her 90 Day Plan of Entry in order to
conduct the listening and learning tours throughout all of Baywater’s communities
and added a component to her Blueprint for Excellence, which was the second Core
Belief: “A great school district is an inclusive district; parents and community are
our partners”. The need for collaboration was most evident within the City of

155
Baywater itself, where there had been a new Chief of Police and a new City Manager
appointed nearly at the same time as Dr. Arbed.
The large population explosion and the shifting demographics of the city
were causing some issues related to youth violence within the community. As a
result of the violence, many meetings with all officials were held including the
locally elected city council, school board, and the appointed heads of the city and
school district as well as the local community members. The meetings were
extremely productive and yielded a partnership and grant opportunity to combat the
rising level of youth violence. The Youth Intervention Network grant became a
reality and created an obligation for networking with many social and public service
agencies with a shared lead between the Baywater police department and the
Baywater Public School District. The information about the Youth Intervention
Network was placed on the Baywater USD website through the Communications
Office allowing for a translated version of the program allowing to reach to the entire
community and not just the English speakers.

Table 4.33: Addressing Change in Family and Community Engagement

Strengths Challenges
• Community involved in the development of
district’s new policies
• Limited communication or engagement with the
large school-community
• Relationship between district and community is
nearly non-existent
Strategies
• Created the position of Public Information Officer to reach the families and school community
• Enhanced the School Site Council at every school through the parent training institute
• Established lines of communication with community and support for school needs
• Superintendent held ongoing public forums and town hall meetings
• District built alliances with city departments and community organizations

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Through the work of Dr. Arbed, the district was building a coalition of many
partners and developing collaborative relationships throughout the larger school
community. Dr. Arbed was able to turn the challenge of the lack of inclusion of the
previous school district administration into a strength by being open and wanting
transparency throughout the district. She developed a parent institute and held a
training session where all parents elected to a School Site Council (SSC) were
trained to understand the budgeting process of a school site. They also learned the
functions of the various categorical and general fund expenditures and how to
develop school site priorities. The SSC parents not only were able to determine
funding priorities at each school site but had a true investment in the teaching and
learning at the sites. The site administrators were not only being held accountable by
the central office administration, parents were also taking a greater role in their
children’s educational outcomes.
In another area, the Office of Public Information and Community
Engagement was created in order to become more involved with the school
community. The new office developed policy regarding newsworthy events at
school sites but also initiated the “branding” of the district and uses the Internet as a
tool to reach parents and other important stakeholders. The new website not only
offers parents and guardians a chance to review the grade information of their
children, it is presently in multiple languages in order to reach the diverse parent
community of the Baywater Public School District.

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Table 4.34: Family and Community Engagement Rating by Rubric Component

Rubric Components
Previous
Quality
1.3
Current
Quality
4.0
Level of
Implementation
Parenting 1 5
Communication 1 5
Volunteerism 1 3
Learning at Home 3 3
Decision Making 1 3
Collaboration with the
Community
1 5
3

In evaluating the current reform effort being applied to Family and
Community Engagement an overall score of 4.0 was determined based on the rubric
scoring. While a score of 3 was provided for the level of overall implementation
related to Family and Community Engagement as much of the relationships and
collaboration is still in the process of development.
Other “House” Elements
The other elements which appeared to be a larger part of Dr. Arbed’s strategy
were Leadership Team Effectiveness, Instruction, Resource Alignment, Political
Relationships, Program Effectiveness, Student Support Services, and Performance
Management Systems/Accountability Plan.
For the element of Leadership Team Effectiveness, Dr. Arbed reviewed
several case studies about “District’s making a difference” with the members of the
Executive Cabinet and many of the Directors in order to continue the learning
process from the Broad Superintendents Academy. She wanted to share her

158
knowledge about ”other” districts making gains which all had similar characteristics
to the Baywater Public School District. By reviewing the literature, Dr. Arbed was
striving to enhance the knowledge base and the leadership skills of her
administrative team in order to drive achievement. An additional part of this reform
strategy, Dr. Arbed also made several changes within her administrative team in
order to move her agenda forward and drive achievement.

Table 4.35: Other House Elements - Reform Strategies

Other Reform Strategies Strategies / Action Steps
Leadership Team
Effectiveness
• Professional readings and Urban School Leadership Institute
case study analysis completed by administrative staff.
Instruction
• Instructional practices aligned to the curriculum implementation
and guided by professional development. Instruction is
supported by literacy coaches and monitored by trained site
administrators.
Resource Alignment
• District is beginning to align resources and to the Blueprint for
Excellence focusing on student achievement.
Political Relationships
• The District has become a member of the larger community and
working collaboratively with many governmental constituencies
Program Effectiveness
• District’s priority is to develop instructional, curricular,
professional development, and leadership programs which are
all focused on student achievement.
Student Support Services
• District-wide implementation of assistance to students with the
focus on character building and away from a more punitive
definition as in the past..
Performance Management
Systems / Accountability
Plan
• Established high expectations for all teachers and administrators
driven by data and student achievement. Staff are supported
through professional development and held accountable for
student progress.

Dr. Arbed utilized the reform strategy of Instruction to develop the capacity
of the teachers and administrators at the site level through professional development.

159
By aligning the curriculum district-wide and providing literacy coaches, the “best
practices” were being taught to improve teaching at the school sites. Also, by
utilizing the categorical funding for hiring of literacy coaches and for professional
development, the resources were being aligned to the priorities as developed by Dr.
Arbed. The Resource Alignment was taking place as a larger part of the Instruction
reform strategy.
With an influx of new leadership throughout Baywater, it was imperative that
Dr. Arbed forge relationships with other leaders, both appointed and elected. She
utilized the Political Relationships reform strategy in order to further the vision of
the district with other elected officials, such as the City Council. By developing the
collaborative relationships, she was able to move forward on a grant opportunity
while sharing the “lead” with the City of Baywater Police Department. Without
strategically reaching out to the political establishment in and around Baywater, such
a relationship would not have been possible.
The Chief Academic Officer was tasked with the review of programs in order
to measure the effectiveness. This reform strategy of Program Effectiveness was
most visible with the complete overhaul of the former Child Welfare and Attendance
(CWA) Office in the Baywater PSD after a review by the CAO, Dr. Nakaoka. The
office essentially existed as the disciplinary area of the district to send the “problem
students” and a fair amount of trading among principals through the CWA office was
common. After the review, the name was changed to Student Support Services, with
a focus on trying to assist students, and even their families, when dealing with the

160
larger community outside of the school sites. Although the office still functioned to
a degree as a discipline office, the main goal was to assist students and sometimes,
their parents, by linking them with social or community agencies having other
resources.
Dr. Arbed truly developed the reform strategy of Performance Management
Systems/ Accountability Plan with the Baywater Public School District through her
commitment to creating transparency throughout the district. She went about
building solid relationships with the community and established high expectations of
her administrative, teaching, and classified staffs. Dr. Arbed utilized communication
and the Internet as tools to reach her audience in order to promote the district.
However, during this time, she built the capacity within her administrative ranks
through professional development to be able to hold them accountable for their staff
at the sites, and in turn, she could also hold them accountable for conveying district
policies and procedures.
Additionally, there were some areas not in the reform strategies that are
worth mentioning. There were many “Governance Team Building” retreats that
were sponsored in whole or part, by the Urban School Leadership Foundation, the
parent group of the Urban School Leadership Institute. It was during the retreats that
many of the important governance issues were discussed and explained, especially
when related to the roles of each member of the team. During the sessions, the
Vision statement and Mission statement, and Core Beliefs were “developed” by the
governance team. The Vision and Mission statements, as well as the Core Beliefs,

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were further developed and put into the “Blueprint for Excellence”, the overall
strategic plan for Baywater Public School District.
The “Listening and Learning” tours Dr. Arbed engaged in throughout the
district during the first 90 days of her tenure had a significant impact on her work
during her first year as superintendent. The tours provided her with an opportunity
to listen and to learn about the problems facing the school district and to develop the
strategies necessary to combat some of the issues being presented by the various
stakeholder groups. A key to this tactic is that by listening to the constituency
groups involved in the school district, she was able to select the strategy which
would work best to address the issue and immediately have the necessary buy-in of
her plan by many constituent groups. The listening and learning tours provided not
only the venue to listen to all stakeholder and constituent groups, it also gave Dr.
Arbed a forum to champion her ideas and those of the governance team.
Dr. Arbed, through her previous experience, had a multitude of different
strategies to utilize if any one strategy did not seem to be delivering the messages she
want transmitted. She only had to review the strategy and select another from her
vast experiences in K-12 education.
Discussion
The findings presented in this study were developed and presented by
reviewing the data collected in the context of the conceptual framework of the House
Model. The purpose of this section was to make sense of the findings in ways that
provide purpose and meaning to the actions under study.

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Systems Leaders
According to Elmore (2000), a superintendent can create change in a district
by designing strategies which include overall improvement strategies and providing
professional development that is consistent with those improvement strategies and
allocating the resources to carry them out. Dr. Arbed utilized several initial
strategies in Baywater Public School District to begin the implementation of her
overall reform efforts in the district. The focus on the professional development of
the principals, as instructional leaders, is just one example of implementing a
district-wide change. This change strategy, coupled with the funding which she
“located” in the categorical budgets, advanced the strategy. Prior to her arrival, this
funding source had not been properly identified or utilized for professional
development and did not allow a critical reform to take root and be promoted
throughout the district.
In her study of new superintendents, Moore-Johnson (1996) examined the
several leadership roles a superintendent must utilize in order to maneuver through
the mazes of a school district and these include multi-faceted leadership in the areas
of education, politics, and systems managing. Clearly, Dr. Arbed was well aware of
the many “hats” she would need in order to be able to create the synergy necessary,
district-wide, in order to move the reform efforts forward. As an educational leader,
a superintendent must be able to diagnose local educational needs by recommending
strategies for improvement of teaching and learning (Moore-Johnson, 1996). Dr.
Arbed, relying on the development and implementation of a professional

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development program for the principals as instructional leaders, and teacher/staff
development in professional learning communities, a district-wide curriculum
focusing on all learners, and her keen knowledge of educational initiatives, allowed
her to clearly reflect on the strategies needed for reform for the Baywater Public
School District.
As a political leader, a superintendent must interact with elected officials
such as the school board, city council, and union leadership in order to develop
relationships that will improve the local schools (Moore-Johnson, 1996). During her
initial 90 days as superintendent, Dr. Arbed articulated strategies throughout the
large school community in order to not only develop relationships with all
stakeholder groups, but to listen and understand what the community concerns for
Baywater Public School District. She utilized the listening and learning tours to
advance her priorities and concerns, but to also implement the community’s
priorities and concerns into her strategic plan.
The superintendent as a manager must use the district’s organizational
hierarchy in order to make sure the district’s operational machine is running
smoothly. Dr. Arbed, through the selected performance audits in educational
services, human resources, and special education, was able to develop a rather
clearer picture of the entire district and the need for change in a short amount of
time. She utilized the audits to create senior level positions, but also to remove
positions that were a barrier to the successful reform strategy implementation. The
business services area had been a focus through the work of FCMAT and Dr. Arbed

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was fortunate to have had the area purged of many of the poor policies plaguing it
prior to her arrival.
According to Moore-Johnson (1996), effective superintendents are versatile
and utilize all three leadership approaches when necessary to achieve their goals in
the furtherance of the district. These three techniques were evident within the
Baywater Public School District and utilized by Dr. Arbed as she went about
diagnosing the educational problems faced by the district. She noted many barriers
within the organization, such as a constrictive bargaining unit agreement, and outside
forces affecting the teaching and learning facing the entire organization, especially
inside the classroom. Dr. Arbed also created the political leadership within the
district and collaborated outside of the district with other leaders, both elected and
appointed. She also utilized the role of manager in order to make the determination
of what was working and what was not working within Baywater Public School
District. She then used the performance audits to create the impetus for the needed
change within the district. As a manager, she relied on the traditional role of a
superintendent by reviewing the structures, and systems, within the Baywater Public
School District.
However, the position of superintendent of a school district has been
evolving for the last several decades and today there is an increasing demand the
superintendent plays an active role in increasing student achievement through
instruction and curriculum programs as the instructional leader of a school district
(Byrd, Drews & Johnson, 2006). Clearly, Dr. Arbed was aware of her position as she

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had been evolving into it for several years through the various roles as a teacher,
teacher leader, principal, principal leader, and administrative positions she had held
previously. Dr. Arbed was responsive to the changing environment and needs of the
position of superintendent and had prepared herself, through education and training,
to succeed in the multi-faceted role of the environment in which the superintendent
must operate today. However, by developing the principals and teaching staff, she
was also cognizant of the necessity of developing their capacity as the educational
leaders of the future and the need to be a true instructional leader.
Districts are Important
According to Childress, Elmore, and Grossman (2006), the sheer complexity
of the large school system does not make it simple to run; it cannot be considered a
business and should not be managed as one. Further, all districts, due to their own
institutionalized practices will need to create the successful strategies in order to
become coherent and successful in raising student achievement district-wide. As
previously noted by Dr. Arbed, the Baywater Public School District had been a mid-
size district of approximately 9000 students to a large district of over 22,000
students. The rapidity with which the growth occurred along with the diversity
changed the “face of the district where previously, all students looked the same”. The
development of a coherent policy and the institutionalization of a new thought for the
institution where all children can succeed were now absolutely necessary. There
must be a focus on what actually matters and with Dr. Arbed, student achievement

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and putting children first was of utmost importance in order to develop a
comprehensive plan.
Childress et.al. (2006) espouse the Public Education Leadership Project
(PELP), a management model developed by faculty of the Harvard Business School
and the Harvard Graduate School of Education for educational leaders. The PELP
Coherence Framework is an adapted model which has at its’ center the “instructional
core-student, teacher, and content” surrounded by strategy. Dr. Arbed instituted a
district-wide curriculum focusing on managed instruction for the various grade levels
of the entire district. By implementing the calendars, pacing guides, summative, and
formative assessments, she was clearly placing the instructional core at the center of
her work. The five areas which surround the strategy are listed as culture, structure,
systems, resources, and stakeholders.
Dr. Arbed clearly understood the five areas around the instructional core and
was able to implement a change to the culture by making students the priority while
giving the site administrators and teaching staff the resources to succeed. The
internal structures had to be changed and Dr. Arbed was able to make those
structural changes, especially in personnel, after the performance audits were
conducted. During the listening and learning tours, Dr. Arbed successfully engaged
many of the stakeholder groups, but especially the parents in order to move the
district forward. Surrounding the five areas are the environment and are listed as
regulations and statutes, contracts, funding, and politics. Throughout Dr. Arbed’s
initial tenure, issues addressing funding and contracts were largely reviewed with the

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framework left in-place by the FCMAT administrator. The political issues were
generally solved through the changes taking place within the city, and the school
district. Dr. Arbed developed close working relationships with appointed and elected
officials in order to put the Baywater Public School District on the map. All of the
work Dr. Arbed was championing was in order to meet the requirements of No Child
Left Behind, the act designed to have all students proficient in English and math by
the 2013/2014 school year.
The design of the Coherence Framework focuses attention on the center,
which is increasing student achievement, and making sure all parts of the district are
working in concert (Childress et al., 2006). By utilizing many of the reform
strategies, Dr. Arbed was focusing her attention on the center core of instruction
while working within the entire district and the larger school community in order to
raise achievement. By building professional capacity for the present as well as the
future, sustainability could become a possibility.
To build professional capacity, Dr. Arbed developed district protocols to
provide support to staff for developing strong curriculum and instructional practices
through a managed instructional process. She also developed the training processes,
through professional and staff development, for principals and teachers, and
provided the resources for building the capacity of the staff in the understanding of
data-based decision making. Dr. Arbed, through focus walks and other classroom
review techniques, developed the structures to support the classroom teacher in
assessing student data (MacIver & Farley, 2003).

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A central focus for Dr. Arbed was the development of the practices for the
Baywater Public School District of the Professional Learning Communities (PLC) by
DuFour and Eaker (1994). To become an effective PLC, the following best practices
must characterize the school community: 1) The creation and articulation of a shared
vision, mission, and values for the educational process; 2) The collective inquiry to
refine, re-focus, and re-allocate the human, intellectual, and financial resources
toward continuous and progressive improvement; 3) That collaborative teams work
on supporting each other to accomplish the goals for learning, teaching, and student
achievement; 4) The action orientation in which PLC members not only think, but
try and do, to problem solve together and have the courage to act on innovative
practices for advancement; 5) To have continuous improvement in which there is an
unconditional commitment to improving the educational experiences for all, which
include change; 6) And be results orientated where all dialogue, decisions, and
movement are based on assessment data and are performance-driven (DuFour &
Eaker, 1998). While reviewing the concepts for a PLC, it is interesting to note Dr.
Arbed was able to utilize several of the same techniques except on a scale
approaching the entire district especially in the areas of the shared vision, mission,
and core values statements for the educational process.
Dr. Arbed, who was implementing several of the same PLC techniques
district-wide, was insistent that site administrators develop their personal capacity as
instructional leaders with professional development and by having supplementary
training in PLC concepts. Additionally, there were several teachers who were also

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trained in PLC standards enabling them to develop their capacity in order to have the
important data driven conversations, not only with grade level teaching colleagues,
but also vertically through articulation. However, sustained improvement consists of
not only time, but also a coherent action to build professional capacity across the
entire organization (Shannon and Blysma, 2004; Elmore, 2003). Much of the work
Dr. Arbed was instituting was for the development of long-term change and
sustainability in order to raise achievement.
Accountability
Dr. Arbed, through professional development, placed accountability squarely
on the shoulders of the site administrators as instructional leaders. The process of
managed instruction district-wide and having pacing guides, calendars, and
formative and summative assessments clearly demonstrated the district should not
only use student testing as the sole measure, but to have a continuous improvement
process that could be developed and changed as circumstances dictated. A
Springboard Schools (2006) study, made a strong case for the systematic changes
necessary in a school district order to become a higher performing school district.
There are characteristics which all successful high performing school districts share
(Springboard Schools, 2006). The teaching staffs at the school sites were also held
accountable for student achievement; and there was a concerted effort to have the
necessary dialogue involving data and using the data in order to drive student
performance. The premium placed on developing professional capacity was

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continually updated in order to provide the tools necessary to raise student
achievement.
However, Dr. Arbed held herself personally accountable through her own
employment contract with the Board of Trustees. She utilized a performance
assessment process for her yearly evaluation. The process would “enhance the
superintendent’s effectiveness, assure the Board that their policies are being
implemented properly, clarify the expected responsibilities and competencies,
establish the goals and direction for the superintendent, and strengthen the
relationship between the board and the superintendent”. The development of the
evaluation process as a tool for the superintendent was key for Dr. Arbed as she
could develop the standards necessary for reform while working under the guidance
of the Board of Trustees.
The performance appraisal process within Dr. Arbed’s evaluation consisted
of “Management Skills” and included Financial Management, Human Resources
Management, Organizational Effectiveness, and Communication and Collaboration.
These areas covered the majority of the work Dr. Arbed hoped to implement within
the evaluation period and in order to raise achievement. This area was listed as 75%
of the performance appraisal with the additional 25% listed as the “Performance
Results”.
The Performance Results included sections for Student Achievement at the
local, state and national level. The Student attendance section included the drop-out
rate, suspension data, and student attendance. Once again, Dr. Arbed was taking

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personal responsibility and was also willing to be held accountable for the success,
as well as any failures, attributed to her during her tenure as superintendent. The
School Environment section included School Safety and School Safety Audits, and
Crisis Planning. As an excellent example of safety initiatives, Dr. Arbed could point
to the development of the partnership with the Baywater Police Department and the
grant co-authored to fund the Youth Intervention Network. This was only one of
many successful partnerships developed to look into school safety and after school
safety concerns. There was also a section listed as “District Initiatives” and was
made to fill-in with an initiative of the superintendent for the school district.
The responsibility, as well as the accountability, for student performance by
not only the teachers and principals, but also the superintendent, creates an
atmosphere within the district of a shared understanding and the collective direction
in which to move the district. However, only time will tell if the reform strategies
can raise student achievement, change the culture of the district, and remain
sustainable in the environment of high stakes accountability.
Summary
This chapter reviewed the findings based on the data collected in the case
study and was followed by a detailed analysis and discussion of how those findings
relate to the research questions and their roots in the relevant research presented in
Chapter 2. The chapter considered the level and quality of implementation of the
reform strategies selected by the superintendent to improve student achievement and
made connections between those levels and student achievement gains. The findings

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presented in this study were based on multiple data sources, which served to
strengthen their validity. The summary, conclusions, and implications of this study
are presented in the next chapter.

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CHAPTER FIVE
Summary, Conclusions, and Implications
The position of superintendent within a school district is still evolving as
more demands are being placed upon the district leader due to accountability factors.
Under the guidance of No Child Left Behind (NCLB), accountability has been
considered for several years now. However, a systems leader such as a
superintendent of schools can make a positive impact on student achievement from
the district level through various change strategies. Although there are a myriad of
factors to consider when a new superintendent is attempting change within a school
district, especially at a large urban school district, the reform strategies should be
balanced and appropriately implemented in order to create the change needed in a
high-stakes accountability environment. There may be several reform strategies not
utilized due to the complexity of the district, the personal experiences and
background of a superintendent, or the professional training attended by the
superintendent prior to accepting the position. The complexity of the job requires
that a new superintendent leverage the strengths, as perceived, against the
challenges, to forge ahead and create a plan by selecting specific change strategies in
order to raise student achievement in the district.
The Purpose of the Study
The purpose of this study was to determine the reform strategies or change
levers that are being utilized by superintendents who are graduates of a
superintendent’s institute in successfully closing the achievement gap in their

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respective districts. In attempting to raise student achievement across their school
districts, are there similarities or differences in the use of the various reform
strategies among superintendents who are graduates of the superintendent’s institute.
The reform strategies utilized by one superintendent graduating from a
superintendent’s academy, such as the Urban School Leadership Institute, was the
focus of this analytical case study. A total of ten reform strategies were investigated
to determine the actions taken by the superintendent and to determine the level of the
implementation of the ten key reform strategies to close the achievement gap among
all students in the district. This study builds upon an initial study conducted by
Takata, Marsh, and Castruita (2007) which compared strategies and actions of the
Institute graduates in raising student achievement in their respective districts.
In order to maintain some consistency between the initial study and this
study, the Superintendents Academy “House Model” was used as the conceptual
framework. The purpose of utilizing the House Model was to understand how this
unique model may have influenced the Superintendent, as an educational leader,
embarking on their new position as superintendent of schools.
The factors related to the changes or reform strategies utilized due to the
leader’s personal leadership style, the school districts institutionalized “culture”, the
strengths and challenges of the particular district, and the successful matching of a
superintendent and school district were also investigated.

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The research questions which guided this study were:
1. How are the ten key reform strategies being used by school
superintendents of large urban districts to improve student achievement in
their 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 major 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
For the purpose of this study, qualitative methods have been used within an
analytical case study format designed to provide the grounded explanations and
descriptors in a thoughtful and well represented examination of this study. Case
study methodology offers explicit experiences of participants and organizes the
information seeking the most relevant themes and patterns from the data (Creswell,
2003; Merriam, 1998). According to Patton (2002), qualitative research allows the
researcher to study and describe issues in depth and very detailed while Huberman
and Miles (1994) suggest an explanation for the processes taking place within a
localized environment. The specific findings of this case study analysis provided

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detailed qualitative data which delineated the effectiveness of the ten key reform
strategies utilized by the superintendent in their district for improving student
achievement. Attempting to determine the reform strategies contributing most
significantly to improving student achievement is a daunting task; however, the use
of case study methodology allowed researchers to logically explore the findings and
report out the information (Patton, 2002).
The main data gathering tool was the semi-structured interview with selected
“key” participants within the selected school district. Although there were
interviews with the Urban School Leadership Institute (USLI) superintendent and
their identified key staff members, other selected participants provided the necessary
background knowledge and shared their perceptions regarding the use of the ten
reform strategies within the larger context of the school district for the USLI
superintendent in raising student achievement. The findings provided the qualitative
data to determine the effectiveness of the reform strategies utilized by the USLI
superintendent. The findings were used to verify the correlation between student
achievement and superintendent utilization of the reform strategies. The unit of
analysis for the study is a large, urban school district, the USLI superintendent, and
other identified key players determined by the superintendent.
Study Sample
This study focused on a school superintendent from a large urban district who
was purposefully selected to provide an analysis of the USLI trained superintendent
and the identified ten key reform strategies used during their present tenure within

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their district. In order to allow for the rich descriptors needed in this case study,
purposeful sampling was selected to provide the insight into the use of reform
strategies utilized to raise student achievement by the superintendent. All
information and data relating to the particular school district, the USLI graduate, and
support staff are completely factual; however, fictitious (pseudonyms) names were
created to protect confidentiality. The school district statistics and student
achievement data were cross referenced with United States Department of Education
and the State Department of Education records in order to ensure the accuracy of the
information.
Data Collection and Analysis
The data used for the study was collected during June of 2008. The
conceptual framework selected as the basis of the study was the House Model. The
House Model is a component of the Urban School Leadership Foundation’s (USLF)
program and taught as a portion of the districts Framework for Success. The House
Model is a visual model of twenty-five (25) reform strategies which are advocated by
the USLF in order to raise student achievement in large urban school districts. The
foundational elements of the house are followed by the systemic improvement rooms
which lead to sustainability within a district with the ultimate goal of increasing
student achievement throughout a school district. The foundational level or “base” of
the house is the Superintendent Plan of Entry and above the base is another
foundational level with Organizational Audit and Assessment, Organizational
Management and Structure, and the Strategic Plan. The next three rooms are

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organized under the main headings of Instructional Alignment, Operational
Excellence, and Stakeholder Management and contain multiple change levers listed
under each of the main headings. The attic area incorporates the target of
Sustainability; while in the roof, Closing the Achievement Gaps, and the
Improvement of College and Workplace Readiness for all district students with the
ultimate goal of Increasing Student Achievement as the pinnacle after implementing
the reform strategies.
While USLF advocates a total of twenty-five (25) reform strategies within the
House Model, for the purpose of this study, only ten strategies were selected and
include: the Strategic Plan, Assessment, Curriculum, Professional Development,
Human Resource System and Human Capital Management, Finance and Budget,
Communications, Governance and Board Relations, Labor Relations and Contract
Negotiations, and Family and Community Engagement.
A total of five instruments were developed and provided the foundation for
the data collection and analysis:
Instrument 1: The Superintendent Interview Guide
The Superintendent Interview Guide was developed collaboratively by the
research team to facilitate collection of data relevant to the research questions
developed for this study. The interview guide incorporated a script for the
interviewer that outlined several lead questions and included relevant probing
questions to provide the necessary depth to the needed information. The questions
focused on answering the research questions while developing a clear understanding

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of the background and experiences of the superintendent, outlining the actions taken
by the superintendent since their arrival, and the impact of those actions. The
Superintendents Interview Guide is incorporated as Appendix A.
Instrument 2: The Key Player Interview Guide
The research team collaboratively made modifications to the Key Player
Interview Guide in order to assure there was alignment with the conceptual
framework and to provide meaningful data related to each research question with
relevant probing questions allowing the researcher to fully explore answers during
the process. The questions were developed to gain an understanding of the context of
the school district prior to the arrival of the superintendent, and how the actions
taken since the superintendent’s arrival have impacted student achievement. The
questions were designed to provide a data set that addressed the relevant research
questions and to inform the study. The Key Player Interview Guide is incorporated
as Appendix B.
Instrument 3: The Reform Strategy Specific Interview Guide
The Reform Strategy Specific Interview Guide was developed through the
collaborative work of the research team in order to collect data relevant to the
research questions as they relate to the ten key reform strategies being studied as
well as any other implementation strategies the superintendent may have utilized
which were not a part of this study. The lead and probing questions for each Reform
Strategy Specific Interview Guide was developed by the research team, based on the
related rubric. The Reform Strategy Specific Interview Guide is designed to support

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semi-structured group interviews of those key players identified by the
superintendent as having specific and intimate knowledge relating to each of the ten
key reform strategies. The Reform Strategy Specific Interview Guide is incorporated
as Appendix C.
Instrument 4: The Quality Rubric
The Quality Rubric was designed to measure the quality of the relevant
actions taken by the superintendent for each of the ten key reform strategies. Each of
the ten Quality Rubrics utilized a five point Likert scale which indicated a 5 (high), 3
(moderate), and 1(low) quality level. As an example, the Governance and Board
Relations Quality Rubric included the components of 1) Setting the Direction for the
Community’s Schools; 2) Establishing an Effective and Efficient Structure for the
District; 3) Providing Support and Resources; 4) Ensuring Accountability to the
Public; and 5) Actions as Community Leaders. The ten Quality Rubrics are
incorporated and listed as Appendix D.
Instrument 5: The Implementation Rubric
The Implementation Rubric was designed to measure how the reform
strategies were implemented and utilized by the superintendent. Each of the ten
Implementation Rubrics utilized a five point Likert scale which indicated a 5 (high),
3 (moderate), and 1(low) implementation level in each of the following four areas: 1)
Any external challenges to full implementation; 2) The extent to which each
component of the ten reform strategies was fully implemented into district practice;
3) The level of understanding of the shared goals, values, and expectations

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throughout the district; and 4) The sustainability of fiscal resources and staffing
levels. The ten Implementation Rubrics are incorporated and listed as Appendix E.
For the purposes of validity of each of the findings, a variety of data
collection tools were utilized including a diverse group of study participants,
methodological processes, and data triangulation from multiple sources.
Selected Findings
The data collection process relating to the research questions produced
several key findings based on the instrumentation and the primary sources of data
that was collected during June of 2008. This section summarizes the findings related
to each of the ten key reform strategies with interviews and documentation as the
primary sources of the collected data for analysis. The process was supported by the
interview guides developed for the Superintendent, Key Players, and the Strategy
Specific interviews.
Research Question 1: Reform Strategies
How are the ten key reform strategies being used by school superintendents
of large urban districts to improve student achievement in their respective district?
The Baywater Public School District did not have a Strategic Plan in place
prior to the arrival of Dr. Arbed who, when asking to see the previous plan, was
given a “five year” plan that had no connection to student achievement. Dr. Arbed
set out to produce a strategic plan with the input of all of the relevant stakeholders
within the larger school community; and during her 90 day entry plan, conducted a
“learning and listening” tour throughout the school district designed to solicit input

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from stakeholder groups on ideas for raising student achievement. The development
of the strategic plan, The Blueprint for Excellence, lead to the development of five
core beliefs from which all decisions within the district would emanate from and all
discussions would be centered. Although the Blueprint for Excellence shaped the
core beliefs, as well as the vision and mission statements, Dr. Arbed, sought the
counsel and advice of the elected Board of Trustees in order to move forward on the
development and implementation of the strategic plan.
The Governance and Board Relations component was enhanced with several
board retreats and planning sessions designed to develop a united front in raising
student achievement district-wide. Dr. Arbed, who had previously seen how a
fractured board of trustees could derail the forward movement of raising student
achievement, did not want to have a divided board. She spent many hours
developing solid board relations in order to avoid the appearance of a fractured or
divided board and had a retreat within her first three weeks after her appointment as
the Baywater Public School District superintendent. The retreats provided a venue to
discuss the future goals, objectives, and aspirations of the governance team and
provided an opportunity to solidify the relationships and create the vision, mission,
and core beliefs for the district. The retreats also provided a venue to review the
priorities of the school district. One of Dr. Arbed’s first priorities was to assess the
Curriculum of the district.
Dr. Arbed found the curriculum to be dependent on the schools and what the
school site had selected as its’ core curriculum. The problem was especially acute at

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the high school level, where a “curriculum committee” decided what curriculum
would be taught at each of the high schools. There was no single curriculum district-
wide causing many issues, especially when a student moved from one school in the
district to another school in the district. Dr. Arbed moved toward the development of
a curriculum strategy of managed instruction that aligned not only the district’s
curriculum, but also the district pacing calendar along with consistent monitoring,
and a focus on the results of the students. The assessment strategy was a part of the
curriculum strategy outlined above.
The Assessment strategy, as a part of the larger overall reform strategies, was
developed to use student data to drive decisions throughout the district in order to
achieve better student results. The assessments were both formative and summative
and designed to keep pace district-wide so if a student transferred between schools
during the school year, there would be no disruption of the learning capacity of the
student. The teachers were “coached” and mentored by site principals but also by the
coaches who had been specifically trained to show teachers how to use the data and
create instructional programs for all students in their classes. The role of the
principals was changing with the focus on developing the site administrators as true
instructional leaders through professional development.
The focus on site administrators through Professional Development was
significant under the leadership of Dr. Arbed. Prior to her arrival in the Baywater
Public School District, professional development was not seen as much more than a
trip out of the district where time was spent learning about programs that would not

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be implemented within the district. There had been no focus on district-wide
standardization and certainly not on the site administrators as true educational and
instructional leaders. The teaching staff was also represented in the professional
learning by attending staff development programs in areas such as Professional
Learning Communities where information could be shared with other teachers in
both vertical articulation and collaboratively across a grade level. However, in order
to prioritize professional development as a necessity, the district’s finance and
budget process had to be developed in order to allow the resources for professional
development.
The Finance and Budget component as a reform strategy needed to be
developed in order to attach the resources to the priorities as listed by the governance
team. Dr. Arbed, inherited a fairly stable financial situation as prior to her arrival, a
FCMAT business official had been assigned to the Baywater Public School District
for two school years in order to monitor the expenditures of the district. In order to
achieve the goal of providing professional development for the site administrators,
Dr. Arbed was able to re-allocate tens of thousands of dollars in previously unspent
funds in order to channel the money into professional development. However, due to
a decrease in student attendance, funding sources also needed to be monitored and
prioritized and spending at all school sites was scrutinized for adherence to the
overall district-wide strategies employed to raise achievement. While funding was
becoming a future problem, a current issue of contention was the teachers bargaining
unit contract and employee hire dates based on possible future lay-offs.

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The district had to contend with a very lengthy and restrictive contract that
had been approved prior to the arrival of Dr. Arbed. Within the HR Systems and
Human Capital Management and Labor Relations and Contract Negotiations
components, these two issues had to be discussed and dealt with in order to allow
teachers to provide the quality of instruction within the classrooms that was needed
to drive student achievement. Although the district, in the most current round of
negotiations, had taken a stance of “non-negotiable” items, there had been a
giveaway of management rights in previously negotiated contracts with an especially
powerful bargaining unit and an HR department that seemed intent on satisfying the
union. Dr. Arbed, seizing an opportunity to review the work of the HR department
through an audit, was able to change the HR department after the audit was
conducted.
Dr. Arbed saw that an HR department with an HR professional at the helm
could help, as opposed to hinder the district, and provided the means to appoint the
previous Director of Classified Personnel to Chief Human Resources Officer in order
to process both certificated and classified personnel in a unified structure. The Chief
Human Resources Officer immediately began to clean-up the department and cross-
train the employees so there was an overlap in the areas of both certificated and
classified personnel and both would work together, as opposed to previously
working within their own silo’s. As these were some of the more pressing issues
related to the ten key reform strategies, the most visible components for raising

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student achievement were in the outreach to the families and community through a
professional communications department.
The Communications department was developed under the guidance of Dr.
Arbed and she hired a local professional communications director to head the office.
Although the initial development of the communications office and department was
for a three year period, this is an area that needed major assistance in order to send
out positive messages about the district to the community. Prior to Dr. Arbed’s
arrival, the only information sent out from the school sites or the district was
mandated by the state or Federal government and only in the languages necessary, in
this case, Spanish.
The communications director immediately began a “branding” of the district,
created a user friendly web-site in multiple languages, and developed a district-wide
media policy. The communications director set-up multiple community meetings for
Dr. Arbed and was able to introduce Dr. Arbed to the local leaders from throughout
the area in order to put “Baywater Public School District on the map” and seen as a
collaborative entity. The communications director developed a comprehensive media
campaign in order to reach the families and communities of Baywater.
The Family and Community Engagement strategy allowed many previously
disenfranchised family and community members to take an active part in their local
school. An example of inclusiveness was a summer institute for parents serving on
local School Site Councils. The information received from the summer program
allowed parents to understand the complexities of school budgeting, but more

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importantly, to ask questions about school site expenditures and how those
expenditures related to increasing student achievement. The School Site Councils
were no longer the “rubber stamps” for the site administrators and all site
expenditures had to be related to performance. Not only were parents engaged in the
process, through community outreach efforts of the communications director and
department, all of the good programs and projects coming out of Baywater Public
Schools were being covered and aired and in the local community. A local bond
measure was successful due to the community outreach which was achieved through
the district’s communications office. The district has become a partner with the
parents, and community, and through the vision of Dr. Arbed, is collaborating with
all stakeholder groups throughout the much larger school community.
Research Question 1a: Strengths and Challenges of the District
How does the quality and implementation of the ten key reform strategies
correspond to the strengths and challenges of the district when the superintendent
took office?
The strategies implemented by Dr. Arbed to improve student achievement are
all closely aligned to the strategic plan, the Blueprint for Excellence. The plan
focused on the strengths of the district while attempting to minimize the challenges
posed by the district at the time of her arrival. Dr. Arbed was fortunate to have
inherited a district where the funding was stabilized and the district had many new
facilities which were built to keep up with the tremendous growth of both the school
district and city. The school board wanted a change from the past and with the

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selection of Dr. Arbed into the leadership role, the board was able to impart their
philosophy and work in a collaborative manner with the superintendent as a true
governance team.
There were also pockets of highly skilled, student centered employees
working in spite of the system that did not appreciate their hard work and effort. The
most positive strength, in addition to a Board of Trustees willing to work in a
collaborative manner, was a community ready to address raising the bar and closing
the achievement gap for all students in the district. Dr. Arbed leveraged these
strengths and utilized the ten key reform strategies in order to address student
achievement. The strengths were being utilized to drive student achievement;
however, there were serious challenges to be addressed at the time of Dr. Arbed’s
arrival into the district.
The district’s central office staff had not been a supporter of the school sites
in previous administrations and consequently, there was a perception of a series of
24 smaller districts, actually school sites, which included the central office within the
Baywater Public School District. Each of these independent “districts” utilized their
own curriculum and instructional strategies. There had been no centralized
curriculum from the district or assessment tools, although there had been a start with
the Data-Wise system, and these pieces needed to be put into place in order for
decisions to be made using data. The data-driven decision making was a first step
and had to be rolled out with site administrators who had been through professional

189
development courses and familiar with using data and creating professional learning
communities.
Although listed initially as a strength with the building of new schools, which
had been on-going for several years with new buildings constructed in the newer
areas, other infrastructure needs had failed to keep pace with the growth and were in
very poor shape, especially within the lower socio-economic areas of Baywater.
These issues also needed to be addressed and with the successful approval of the first
ever bond measure, the Baywater Public School District will be better able to serve
all students and in all communities throughout the City of Baywater.
The interviews and district documentation were the primary sources of data
collected for analysis; however, the process was supported by the Superintendent
Interview Guide, The Key Player Interview Guide, and the Strategy Specific
Interview Guides, as well as the various strategy specific Quality and Level of
Implementation rubrics.
Research Question 1b: Other Reform Strategies
What additional major reform strategies (if any) were used? How do they
correspond to the elements of the House model?
The additional reform strategies initiated by Dr. Arbed included the
Organizational Assessment and Audits component, which is located in a foundational
level of the House Model. Dr. Arbed utilized the audits in three areas of the school
district including Educational Services, Human Resources, and Special Education.
Each of the audits produced the results that Dr. Arbed needed in order to move

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forward with the plans of the governance team and put into place the needed reform
strategies. Dr. Arbed also reviewed the Organizational Chart, which is located as a
foundational level of the House Model, in order to avoid duplicity and correctly
place those responsible for carrying out the important tasks of the district’s work.
She also utilized Student Support Services, which is located as a room within
Instructional Alignment, in order to assist students and their families and had
changed the focus and the name of the previous Child Welfare and Attendance
office.
Under the Operational Excellence room of the House Model, Dr. Arbed
focused on a few of the areas such as Facilities, Business Systems, and Resource
Alignment. The district, under the direction of Dr. Arbed, successfully passed a local
bond measure in order to have all of the school district’s facilities at the same
standards. Through prioritization, Dr. Arbed reviewed the entire funding of the
district in order to attach the resources to the priorities while developing a strategy to
review all district expenditures through a fresh look in business systems. By hiring a
new Chief Business Officer, Dr. Arbed was slowly beginning to develop a weighted
student formula which would distribute resources more equitably throughout the
district. While reviewing the Stakeholder Management room of the House Model,
there are components Dr. Arbed also utilized upon entering the Baywater Public
School District.
Dr. Arbed, with the assistance of the communications director, set out to
develop not only the Political Relationships, but also Institutional Partnerships with

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several different groups within the sphere of Baywater’s influence. Since there was a
“newness” to many of the staff at City Hall and within the school district, Dr. Arbed
took the opportunity to develop the key collaborative relationships and worked
closely with the City Manager, Mayor, and Police Chief. She carefully selected
institutional partnerships to assist with school related issues. An example of a
successful partnership is the Youth Intervention Network, which was co-developed
with the Baywater Police Department and the Baywater Public School District, and
designed to acquaint students and families with available resources outside of the
school district.
Although not directly listed within the House Model, Dr. Arbed developed a
Learning and Listening tour for the first 90 days in office. She also held multiple
executive retreats with the elected board of trustees as the governance team; and also
with the Executive Cabinet members. The retreats were quite beneficial in order to
develop the strategy for the district as well as the priorities. The interviews and
district documentation were the primary sources of data collected for analysis;
however, the process was supported by the Superintendent Interview Guide, The Key
Player Interview Guide, and the Strategy Specific Interview Guides, as well as the
various strategy specific Quality and Level of Implementation rubrics.
Research Question 1c: Relationship of previous Background/Experience of the
Superintendent
How does the choice and implementation of the ten key reform strategies
correspond to the previous background/experiences of the superintendent?

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Dr. Harriett Arbed spent the vast majority of her career with the Westwater
Unified School District, a much larger urban school district, and is a traditionally
trained superintendent with an extensive educational background. Dr. Arbed began
her career as an elementary school teacher and held that position for 11 years seeing
successive promotions to elementary school principal for 13 years, Assistant
Superintendent of K-8 Schools, and Chief of K-12 School Operations. As the Chief
of K-12 School Operations, Dr. Arbed was responsible for 112 schools, as well as
the supervision component of the Assistant Superintendents in the areas of
elementary, middle, and high schools. Dr. Arbed holds a Bachelor’s Degree, a
Master’s Degree, and a Doctorate of Education in Organization and Leadership from
the University of San Francisco. Dr. Arbed was also a founding board member of
the Westwater USD’s Principal’s Academy.
Due to Dr. Arbed’s multiple and successful roles in Westwater USD, she had
many opportunities to be a leader; first, as a teacher leader focused on English
Language Arts and Science; second, as a principal leader working collaboratively in
issues related to expectations and equity; and as an administrative leader serving
with both the Harvard Principal Center, and the National Principal Center. These
leadership positions allowed Dr. Arbed to flourish and develop her own leadership
skills in order to lead the Baywater Public School District when chosen as the
Superintendent.
As the first woman to hold the position of Superintendent in the Baywater
Public School District, and first African-American woman to head the Baywater

193
Public School District, her selection to the position was seen by many as the change
needed to increase student achievement within the district. Her vast background as a
traditional educator, along with her willingness to develop new programs as
evidenced by the many positions previously held at Westwater USD, allowed her to
enter with a large arsenal of tools ready to be utilized as necessary in order to drive
achievement.
Dr. Arbed utilized her personal strengths in the areas of professional
development, assessment, curriculum, family and community engagement, and
governance and board relations to move forward in the other areas of reform
strategies where she might not have been as familiar. Although Dr. Arbed listed
both human resource systems and human capital management, and communications
as areas of which she was not as familiar, she capitalized on using an audit for
human resources, and developing an office of communications with an outside
expert. These components were then developed into areas which could actually help
in driving the achievement of the district through collaborative efforts.
The interviews and district documentation were the primary sources of data
collected for analysis; however, the process was supported by the Superintendent
Interview Guide, The Key Player Interview Guide, and the Strategy Specific
Interview Guides, as well as the various strategy specific Quality and Level of
Implementation rubrics.

194
Conclusions
After a review of the data collected and the methodologies utilized, this study
has resulted in the following conclusions related to the superintendent and the
strategies which have been implemented to improve student academic performance.
The data established the improved quality of the instructional program for all
students in the district by utilizing the initial five key areas:
1. Articulate a sense of urgency with a coherent vision for school
improvement;
2. Engage stakeholders from across the district and community in the
process for school improvement, shared decision-making, and
accountability;
3. Engage senior staff in a comprehensive plan of actions steps based on
community input;
4. Convey a positive image of the district; and.
5. Serve as the district’s most vocal promoter and supporter.
Dr. Arbed clearly articulated the sense of urgency and the need for all
stakeholders of the Baywater Public School District to join her and the elected board
members in order to instill the need to raise achievement among all students. By
capitalizing on the reform strategies, she was able to develop the need for change
among the prominent stakeholder groups of the district. Although the culture of the
district upon the arrival of Dr. Arbed was seen as “adult centered”, strides are being
made to move forward so all children in the Baywater Public School District have

195
the opportunity of a meaningful and lasting public school education. Dr Arbed’s
initial goals were also spelled out in her first 90 days during the learning and
listening tours and included:
• Goal 1: Ensure Effective District Governance Through Positive Board-
Superintendent Relations;
• Goal 2: Increase Student Achievement;
• Goal 3: Improve Public Trust and Confidence through Open, Honest
Communication & Positive Relationships;
• Goal 4: Increase Organizational Effectiveness and Efficiency; and
• Goal 5: Establish a Supportive, Positive District Climate & Culture
These goals shaped the discussions with the community and larger school
community partners and stakeholders and addressed many of the concerns, as well as
priorities of the governance team. However, it was not until the development of the
strategic plan that the pieces began to fall into place.
With the development of the strategic plan, the Blueprint for Excellence, the
five core beliefs of the district were spelled out and listed as follows:
1. Academic achievement for students is the priority of the district. It’s
children first.
2. A great school district is an inclusive school district…parents are our
community partners.
3. All district structures, systems, and practices are focused on supporting
students and schools.

196
4. Strong leadership occurs at every level.
5. Excellence, equity, and accountability are the keys to success.
The core beliefs shaped the discussions of the district and all of the programs
and partnerships had to address the beliefs in order to move forward. In attempting
to change from an adult centered district to a “children first” district, students had to
be listed as the first core belief. The fact the district was willing to have “non-
negotiable” items with the union and was willing to move to impasse with the
teachers union during negotiations showed stakeholders the district was not engaging
in “business as usual”.
The changes made related to staff were considered important in order to
create the necessary environment in which the reform strategies could thrive. The
ability to make the personnel changes were significant due to previous
administrations willingness to appoint less than qualified personnel into jobs based
on friendships and favoritism. Dr. Arbed provided the impetus for significant
changes to the district with her ability to work collaboratively with all stakeholder
groups in order for all constituents to feel they had a voice in district operations.
From day one, Dr. Arbed had a vision for excellence within the Baywater
Public School District and utilized her vast knowledge in order to provide change to
a district that had been entrenched in a “business as usual” mode and not looking out
for the welfare of those needing an education. Through a systematic plan for
professional development and professional learning communities, a district-wide
curriculum with assessments to gauge student progress, a change in the

197
institutionalization of business processes of the Baywater Public School District, all
students, regardless of their background, are going to benefit from the reform
strategies implemented by Dr. Harriett Arbed.
Implications for Practice
The role of the superintendent is changing and evolving into a multi-faceted
and dynamic position requiring greater knowledge, strategies, and skills. From
previous generations of superintendents who were managers able to handle finances
and business operations, the role is moving into the requirement of becoming a true
instructional leader. The superintendent today must be prepared to move a district
forward by increasing student achievement in this era of accountability. The
findings and conclusions of this study can be utilized to provide guidance to those
most responsible for student achievement in large urban districts. The implications
listed are for the specific stakeholder groups with an interest in public education.
District and School Administrators:
To develop a strategic plan which is focused on student achievement results.
The plan should be a guiding document from which decisions are based, and a
“living” document that establishes the expectations for all student in the district. The
plan should be tailored to the present situation as goals and objectives are achieved.
The plan should align the resources of the district with the priorities and goals of the
district.
To identify those staff members to place into leadership roles within the
district and develop their capacity for future leadership positions within the district.

198
The leaders have a common goal of providing exceptional educational experiences
for all students in the district.
To use student achievement data as the basis for the decision-making process
in order to meet the goals and priorities of the district. The data gives a clearer
picture of performance and can be used for change, and ultimately allow for natural
progression of student achievement.
To align the components of curriculum, assessment, and professional
development to support student achievement by developing the capacity of principals
and teachers with a focus on continuous student improvement.
School Board Members and Local Community Stakeholders:
Through professional training and retreats, board members can support
district leaders to improve the educational experiences of all students.
To develop a quality relationship between the superintendent and the board of
trustees in order to move the agenda of improving student achievement forward.
Through the development of ongoing communication between the
community and district, all school community stakeholders can benefit from honest
and open communication.
The development of a collaborative effort between all stakeholder groups
focused on the student achievement can develop the trust and support for the district.
Policy Makers and Superintendent Preparation Programs
The creation of superintendent preparation programs with an emphasis on
research based “best” and “promising practices” which are supported by

199
superintendent’s professional organizational standards, much like principal’s
professional standards.
The creation of a peer-support group for superintendent’s from throughout
the country and creating a professional network of educational system leaders who
can help each other with counsel on various issues.
The expansion of programs such as the Urban School Leadership Institute
(USLI) which allows selected superintendents an opportunity to network and support
each other after their graduation from the USLI for a specified period such as 24-36
months.
Recommendations for Future Research
The indications for future research emerged after the data collection and data
analysis process. The recommendations for future research include:
This study focused on ten key reform strategies; however, future research
should be continued on other reform strategies utilized by superintendents to create
change positively affecting student achievement in large urban school districts.
Further research should continue on the ten key reform strategies in this study
in order to revise the Quality of Implementation and Level of Implementation
Rubrics utilized in the study. These measurement tools could be utilized in other
school districts to understand best or promising practices.
To review the findings of the thematic dissertation group as a meta-analysis
and create a quantitative study in order to better understand the qualitative aspects of
this study in understanding the common themes of the selected ten districts.

200
To review the student achievement data from each district as a part of the
meta-analysis in order to better understand the relationships between specific reform
strategies implemented by the superintendents and the relationship to student
achievement.
To review the sustainability of all programs developed within the school
district and verify the reform strategies and changes were institutionalized, thus
changing the “culture” of the school district.

201
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210
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
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: TBA experience, non-TBA 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 5 = 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

211
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

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
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

212
APPENDIX C
Specific Dimensions of Reform Interview Guide
(This interview guide will be augmented using several sub-questions for each of
the 10 selected dimensions)

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 Probing Questions
Q# Question

1
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?

213

 
How does your district ensure that assessment policies and
practices are carried out throughout the district?

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?

Human Resource 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?

214

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?
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?
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?

215


 
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?

216
APPENDIX D
Quality Rubric
Quality Rubric - Strategic Plan
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.

Components High (5) Medium (3) 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

217
Components High (5) Medium (3) 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

218
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 (5) Medium (3) 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.
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.

219
Components High (5) Medium (3) Low (1)
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.

220
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 (5) Medium (3) 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

221
Components High (5) Medium (3) 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.

222
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 (5) Medium (3) 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
and little or not effort has
been made to identify
personnel stay abreast of
best practices in teaching,
learning, and leadership.

223
Component High (5) Medium (3) Low (1)
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 are 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.
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.

224
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 (5) Medium (3) 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

225
Component High (5) Medium (3) 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
□
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
□
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
□

226
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 (5) Medium (3) 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.
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.

227
Component High (5) Medium (3) Low (1)
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.

228
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 (5) Medium (3) 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
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

229
Component High (5) Medium (3) Low (1)
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

230
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 (5) Medium (3) 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.

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.

231
Component High (5) Medium (3) Low (1)
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.

232
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 (5) Medium (3) 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

233
Component High (5) Medium (3) 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

234
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 (5) Medium (3) 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.
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.

235
Component High (5) Medium (3) Low (1)
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.

236
APPENDIX E
Implementation Rubric (All Levers)
Dimension High
5
Medium
3
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 The purpose of this case study was to examine the reform strategies being utilized by a school district superintendent of a large urban district in attempting to close the achievement gap within her school district. However, this qualitative study focused on the quality and level of implementation of ten specific reform strategies implemented by the superintendent in order to facilitate positive change in student achievement within her district.

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Asset Metadata

Creator Vasquez, Albert (author)

Core Title The role of the superintendent in raising student achievement: a superintendent effecting change through the implementation of selected strategies

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Degree Conferral Date 2009-05

Publication Date 03/30/2009

Defense Date 03/04/2009

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

Tag change levers utilized by school superintendents,OAI-PMH Harvest,reform strategies for raising student achievement,student achievement,superintendent leadership

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Marsh, David D. (committee chair), Castruita, Rudy M. (committee member), Escalante, Michael F. (committee member)

Creator Email albert_vasquez@hotmail.com,albertva@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-m2039

Unique identifier UC1161034

Identifier etd-Vasquez-2751 (filename),usctheses-m40 (legacy collection record id),usctheses-c127-216355 (legacy record id),usctheses-m2039 (legacy record id)

Legacy Identifier etd-Vasquez-2751.pdf

Dmrecord 216355

Document Type Dissertation

Rights Vasquez, Albert

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