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The preparation, recruitment, and retention of California schoool district superintendents
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The preparation, recruitment, and retention of California schoool district superintendents
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Content
Running head: SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 1
THE PREPARATION, RECRUITMENT, AND RETENTION OF CALIFORNIA
SCHOOL DISTRICT SUPERINTENDENTS
by
Malcohm X. Heron
A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION
May 2018
Copyright 2018 Malcohm X. Heron
EDUCATIONAL LEADERSHIP: SUPERINTENDENTS 2
Dedication
I would like to dedicate this body of work to the son of Lee and Teena Heron; the brother
of Jessica and Rafeal; the uncle of Isaiah, Jasmine, and Shayne; and the father of Hendrix Heron.
Without you, this accomplishment would not have been possible. You are one of one. Thank
you for being you!
EDUCATIONAL LEADERSHIP: SUPERINTENDENTS 3
Acknowledgments
I would like to acknowledge and thank all of the people who have encouraged, supported,
and believed in me throughout this doctoral program and throughout my dissertation experience
at the University of Southern California. I am particularly grateful to Dr. Michael Escalate, who
served as my chair, for his leadership and commitment to this study. I am grateful to Dr. Allan
Green and Dr. Charles Hinman, members of my dissertation committee, for their dedication and
support throughout this process.
I further want to acknowledge and thank everyone who supported me through this pro-
gram, especially my family and friends, who have walked with me through this journey and
helped me carry the weight of this program and this dissertation through to completion.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 4
Table of Contents
Dedication 2
Acknowledgments 3
List of Tables 7
List of Figures 8
Abstract 9
Chapter One: Overview of Study 10
Background of the Problem 10
Statement of the Problem 12
Purpose of the Study 13
Research Questions 13
Significance of the Study 13
Assumptions 14
Limitations 14
Delimitations 15
Definitions of Terms 15
Organization of the Study 17
Chapter Two: Review of the Literature 18
History of the Superintendency 18
Superintendent as a Teacher-Scholar 20
Superintendent as Business Manager 21
Superintendent as Statesman 21
Superintendent as Applied Social Scientist 21
Superintendent as a Communicator 22
Brief History of Education 22
Preparation Programs for Superintendents 23
Formal Preparation Programs 24
Informal Preparation Programs 26
Mentoring as Preparation for Superintendents 26
Nonmentoring as Preparation for Superintendents 28
Recruitment for the Position of Superintendent 28
Traditional Steps to Superintendency 29
Nontraditional Steps to Superintendency 30
Women in the Position of Superintendent 32
Minorities in the Position of Superintendent 33
Networking and the Position of Superintendent 35
Executive Search Firms for Superintendents 37
The Retention of the Superintendent 37
Successful Superintendents’ Skill Sets 38
The School Board 39
History of the School Board 41
Roles and Responsibilities of the School Board 42
The School Board–Superintendent Relationship 43
Leadership Theory and Frameworks 44
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 5
Reframing Organizations 46
Level 5 Leadership 47
District Leadership That Works 48
Chapter Summary 49
Chapter Three: Research Methodology 52
Restatement of Problem, Purpose, and Research Questions 52
Rationale for a Qualitative Study Design 53
Research Design 54
Participants and Setting 55
Instrumentation 55
Survey Protocols 55
Interview Protocols 56
Data Collection 58
Data Analysis 58
Validity and Reliability 59
Chapter Summary 59
Chapter Four: Findings of Study 60
Restatement of the Study’s Purpose 62
Findings 62
Data Demographic Profile 63
Research Question 1 66
Research Question 2 75
Research Question 3 81
Chapter Summary 87
Chapter Five: Summary, Discussion, and Conclusions 90
Background of Study 90
Statement of the Problem Reviewed 91
Purpose of Study Restated 92
Summary of Reviewed Literature 92
Summary of Methodology 95
Qualitative Data 95
Quantitative Data 96
Summary of Findings 96
Research Question 1 96
Research Question 2 97
Research Question 3 98
Limitations 98
Implications for Practice 99
Recommendations for Future Research 99
Conclusions 100
References 102
Appendices
A. Research Participants’ Invitation E-mail 112
B. Superintendent Survey 114
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 6
C. School Board Member Survey 121
D. Superintendent Interview Guide 124
E. School Board Member Interview Guide 125
F. Executive Search Firm Interview Guide 127
G. Question Alignment Matrix 129
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 7
List of Tables
Table 1: Gender of Participants and Pseudonyms Used to Identify Them 61
Table 2: Summary of Surveys Administered and Response Rate 64
Table 3: Criteria Data for Interviewed Superintendents 65
Table 4: Criteria Data for Interviewed Superintendents 65
Table 5: Summary of Superintendents’ Survey Responses for Research Question 1
(in Percentages) 73
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 8
List of Figures
Figure 1: Criteria data for interviewed search firm consultant (SFC) 66
Figure 2: Participants’ responses to why they or their current superintendent was
recruited 76
Figure 3: Responses of surveyed superintendents regarding influence of race, gender,
and ethnicity on being recruited for the position 82
Figure 4: Self-identified ethnicity of total surveyed population 82
Figure 5: Summary of responses by interviewed participants regarding retention of
superintendent 86
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 9
Abstract
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California school superintendents of schools. The efforts of this study focused on
obtaining information and insight from current superintendents, school board members, and
executive search firm consultants in order to obtain precise insight into the superintendent
position for aspiring superintendents. This study was guided by three research questions:
1. How have training programs and experience prepared superintendents for the com-
plexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards
regarding the strategies used to help the current superintendent to attain his or her position?
3. What are the perceived strategies that support the retention of superintendents?
The researcher utilized quantitative and qualitative data to answer the three research
questions. The quantitative data was collected through two surveyed groups; the qualitative data
was collected through six interviews that consisted of three current California superintendents of
school districts, two school board members, and an executive search firm consultant. Nine
themes emerged from the data. The findings suggested that the key components in preparing an
individual for the superintendency is for the candidate to experience various positions in educa-
tion.
This study serves to inform aspiring superintendents regarding the preparation, skills, and
relationships that will support their transition to the superintendency. Public education school
boards will be informed regarding the insights that help them to recruit better candidates into the
superintendency and to maintain a positive relationship with their superintendent. Executive
search firm consultants will be informed on strategies to recruit candidates into the position.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 10
CHAPTER ONE: OVERVIEW OF STUDY
The preparation, recruitment, and retention of California superintendents are essential
components in the development of aspiring superintendents. These pivotal components of the
superintendency have evolved over more than 100 years; and the contemporary practice is nega-
tively and positively affected by a range of issues such as, gender, race, ethnicity, finical compen-
sation, and other various complexities of the position (Kowalski, McCord, Petersen, Young, &
Ellerson, 2011). In order to prepare aspiring superintendents to be successful in being recruited,
retained, or prepared for the position, they must understand various components of the job such
as preparation programs, recruitment strategies, and the successful skill sets of superintendents
who have been retained. The superintendent position is a career path that is both difficult and
uncertain. Since 2010, most superintendents and principals have realized that the basic responsi-
bilities of the position have expanded. The position now requires someone to be responsible in
determining the needs of the students, the schools, and the community while deciding how
improvement initiatives would be carried out to improve student achievement.
Background of the Problem
Since its founding, the superintendent position has experienced many reforms, with each
reflecting the changes in society and public education. Historically, the superintendent position
has been a position of tradition. This tradition is evident in the path that is taken to obtain the
position; the race, gender, and ethnicity of the people in the position; the experiences of the
people in the position; and the preparation, recruitment and retention within the superintendency.
The superintendent position was designed after all children were granted an opportunity
to attend school at zero cost and the duties and responsibilities of the current leaders grew to a
point where the school board was unable to manage the school system as a whole. This issue
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 11
resulted in the separation of school duties from the operations of the cities or towns. If the super-
intendent position is unable to maintain its effectiveness in running public education, the results
could lead to the evolution of a new leadership system as it did in the late 1800s.
Preparation programs for superintendents have been inconsistent since the early 1900s.
The early history of preparation programs for educational leaders show inconsistences in the
areas of whom the programs would and should enroll, what the program would prepare educa-
tional leaders to be able to do, what they were going to teach, and what degrees would be offered;
however, through their inconsistences they have failed to prepare a diverse pool of candidates
that are able to obtain the position of superintendency (Levine 2005). According to Kowalski et
al. (2011), the criticisms toward academic preparation programs for superintendent preparation
include seven factors: (a) low academic admission and completion standards, (b) a general indif-
ference toward instructional leadership; (c) a disjunction between theory and practice, (d) inatten-
tion to practice-based research, (e) an inadequate knowledge base, (f) a proclivity to treat superin-
tendent preparation as an extension of principal preparation, and (g) considering a doctorate in
educational administration as the equivalent of superintendent preparation.
Adequate recruitment for the position of superintendency is an issue with which many
school districts are faced. There is a history of a declining pool of quality applicants for the
superintendent position. Graff (2001) stated that the massive retirement of the “baby boom”
generation is the cause of this shortage and that there will be a national shortage in the position.
In addition, the compensation for the position does not match the responsibilities or work load;
compensation for superintendents lags behind that for other school personnel positions (Hodg-
kinson & Montenegro, 1999).
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 12
The average California superintendent holds his or her position for a little more than 6
years, thus demonstrating a high turnover rate within the position. Factors that have contributed
to superintendents being released from their position or that lead to a current superintendent
leaving his or her position are stress, financial stability, stakeholder pressure, and the superinten-
dent’s relationship with school board members. The status of the relationship between the school
board and superintendent has been more likely to influence turnover in the superintendent
position than any other factor.
Statement of the Problem
The superintendency has become more complex and challenging since its beginnings. Its
roles, responsibilities, and expectations have continually evolved since the inception of the
position in the early 1800s (Kowalski et al., 2011; McLaughlin, 2005). Aspiring superintendents
must thoughtfully consider the proper preparation, recruitment strategies, and skillsets for
ongoing retention and success in the position. Preparation programs, such as universities and
nonuniversities, have made attempts to train prospective superintendents to be recruited and
successful in the position but may have fallen short in their efforts (Barnett, 2004; Björk, Kowal-
ski, & Browne-Ferrigno, 2005; Levine, 2005; Perry, 2012). Supports for current superintendents,
including networking, mentoring, and coaching, have also contributed to most superintendents’
ongoing success in the position; however, superintendent turnover still remains high (Kowalski et
al., 2011). Although many superintendents are successful, dismissal from the position ends their
career in education (Byrd, Drews, & Johnson, 2006; Kowalski et al., 2011). The fact that dispari-
ties in the recruitment and retention of female superintendents and superintendents of color also
exist magnifies the problem for these subgroups (Kowalski et al., 2011). These inadequacies
signify an overall problem in superintendent preparation, recruitment, and retention.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 13
Purpose of the Study
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California school superintendents of schools. Considering that the role of the
superintendent is critical to student achievement, it is important to identify the preparation,
supports, skills, and relationships that superintendents need to meet the challenges and complexi-
ties of the superintendency (Waters & Marzano, 2006). The efforts of this study will be focused
on obtaining information and insight from current superintendents, school board members, and
executive search firm members in order to obtain precise insight into the superintendent position
for aspiring superintendents. Based on previous and current research, effective and successful
superintendents are a future necessity in public education.
Research Questions
The following research questions guided this study:
1. How have training programs and experience prepared superintendents for the com-
plexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards
regarding the strategies used to help the current superintendent to attain his or her position?
3. What are the perceived strategies that support the retention of superintendents?
Significance of Study
Public education has been constantly changing since the early 1900s. With every change
in education, the school superintendency has changed as well, thus causing the position to
become more diverse and representative of the schools, districts, and students they lead. The
work in this research study should be important to all stakeholders in association with education.
This study serves to inform aspiring superintendents on the preparation, skills, and relationships
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 14
that will support their transition to the superintendency. School boards of education will be
informed regarding the insights that help them to recruit better candidates into the superinten-
dency and to help maintain a positive relationship with their superintendent. Executive search
firms will be informed on strategies to recruit candidates into the position while strategies on
superintendent retention will be provided. Universities and nonuniversity training programs will
be informed on the impact that their programs make on training superintendents. In addition, this
study will inform current superintendents about the perceptions regarding what is needed to
achieve success and longevity.
Assumptions
The following assumptions were made about the study:
1. That adequate preparation programs positively affect the recruitment and retention of
the superintendent position,
2. That the information that would be gathered from this research will lead aspiring
superintendents to being recruited,
3. That the survey responses would be beneficial for superintendents in being retained in
their positions, and
4. That the responses from superintendents, board members, and executive search firms
would be valid.
Limitations
Even though every measure is taken to ensure reliability and validity of the study, the
study will have the following limitations:
1. The results of the study were limited to the participants in the study. The participants
current superintendents, school board members, and an executive search firm member.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 15
2. The participants to be interviewed were all located in California due to the location
and time constraints of the research team.
3. The interview guide and interview questions were administered to participants who
met the inclusion criteria.
4. The study took place over a brief period of time.
5. The study was limited to participants who responded voluntarily to participate.
6. The validity of the study was dependent on the reliability of the survey instruments.
Delimitations
There were delimitations to the study as well. The researcher created specific criteria to
which superintendents, board members, and executive search firm consultants had to adhere in
order to be considered for interviewing. These criteria were that California superintendents had
to be those currently leading suburban school districts and superintendents who had held their
current position for more than 2 years, current California school board members, and executive
search firms based in California.
Definitions of Terms
For the purpose of this study, the following terms are defined:
American Association of School Administrators (AASA): An organization of school
leaders in the United Stated and across the world .
Association of California School Administrators (ACSA): An organization of school
leaders in California.
Entry plan: The goals and action plan that a new superintendent develops to enter or
transition successfully during the first 100 days in the role. A new superintendent’s entry plan
would be shared with stakeholders.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 16
Strategic plan: Organizational goals and action plans developed collaboratively by the
superintendent, the board, and/or stakeholders.
Executive search firms: Firms that provide customized services to school boards, school
districts, and candidates in the search and selection process for school superintendents.
Interstate School Leaders Licensure Consortium (ISLLC): A program of the Council of
Chief State School Officers that has crafted model standards for school leaders.
Nontraditional superintendents: Individuals who do not possess a typical background in
education. These individuals typically come from the field of law, business, and the military.
Preparation programs: Programs designed by universities or professional organizations
that provide educators, including superintendents, with a certification in the area of education
they choose.
School board: The body of governance for a local school district. As the governing body,
whether elected or appointed, the board members are responsible for all policy or regulations
within the local school district. They are tasked with the hiring and evaluating the district
superintendent.
School district: A local educational agency that operates schools in a local geographic
location.
Successful superintendents: Superintendents who are currently employed in their position
for more than 2 years and in good standing with their respective school boards.
Superintendency: The office, position, or jurisdiction of a superintendent.
Superintendent: An administrator or manager in charge of a number of public schools or a
school district, a local government body overseeing public schools.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 17
Superintendent preparation: The strategies that an aspiring superintendent used that
equipped him or her for the superintendent position.
Superintendent recruitment: The process or strategy that an aspiring superintendent used
to gain his or her first superintendent position.
Superintendent retention: The process or strategy that a superintendent uses to maintain
his or her current position.
Organization of the Study
The dissertation is organized into five chapters. Chapter One introduced the area of study
with the background and overview of the problem with the inclusion of the purpose of the study.
Chapter Two provides an in-depth review of current literature as it relates to the preparation,
recruitment, and retention of California superintendents. In addition, this chapter provides a
synthesis of current leadership, theory, and frameworks for superintendency. Also, the literature
review addresses the questions for problems in the research that support the need for this study.
Chapter Three contains the problem, purpose, research questions, the rationale for a qualitative
study, a description of the types of individuals who were asked to participate, the instrumenta-
tion, and the data collection process and analysis that were used by the researcher.
Chapter Four is centered on the findings of the study. This chapter presents the rationales
for the research questions, a description of the study, a review of the data analysis, the findings,
and a summary of all three research questions. The conclusion of the study is presented in
Chapter Five, along with a summary of the findings; implications; and recommendations for
aspiring superintendents for preparation, recruitment, and retention.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 18
CHAPTER TWO: REVIEW OF THE LITERATURE
The purpose of this study is to investigate three specific areas that pertain to the superin-
tendent position. The three concentrated areas of study are preparation, recruitment, and
retention. The position of the superintendency is a challenging position that has evolved since its
founding. This chapter provides a review of literature as it relates to the three concentrated areas.
The chapter looks to connect relevant literature with the practicality of the superintendent posi-
tion to inform valuable stakeholders, such as aspiring superintendents, regarding the preparation,
skills, and relationships that will support their transition into the position. School board members
will be advised regarding the knowledge and insight needed to hire effective candidates, and
executive search firms will be informed with respect to the strategies needed to recruit effective
superintendents who will be able to retain their position. This chapter also presents the historical
background of the superintendent position and education in order to build on the historical
foundation of the position while connecting the past, present, and future of the position. The
literature review identifies the various preparation programs utilized to educate aspiring superin-
tendents, traditional and nontraditional steps to the superintendent position, and the processes
that have led to the retention of effective superintendents.
History of the Superintendency
The history of the school superintendent starts in the early 1800s. The first school
superintendents were appointed in Buffalo, New York, and Louisville, Kentucky, in 1837
(Kowalski & Brunner, 2011). Shortly after the first superintendent was appointed, other states
saw the need of the position; and by 1850, 13 local school districts had appointed superinten-
dents. In 1952, California appointed its first superintendent in San Francisco; Los Angeles
appointed its first one in 1854 (Griffiths, 1966). The need for the superintendent position was
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 19
due to various historical conditions. Kowalski (2003) noted these conditions included the devel-
opment of large city school districts, the passing of compulsory attendance laws, the consolida-
tion of rural school districts, an expanded education curriculum, demands for increased
accountability, and school efficiency expectations. The position was designed after all children
were granted the opportunity to attend school at zero cost and the duties and responsibilities of
the current leaders grew to a point where they were unable to manage the school system as a
whole. This situation resulted in the separation of school duties from the operations of the cities
to the operations of the superintendent.
During this period in education, the superintendents were considered as schoolmasters or
lead teachers; they held this title because they were selected from the best teachers. The first
superintendents were hired to conduct administrative and managerial tasks for the board
members such as purchasing materials, coordinating the building maintenance, and keeping
financial records for the growing districts (Glass, Björk, & Brunner, 2000). The title of the
superintendent shifted from schoolmaster or lead teacher to superintendent in the early 1900s.
The superintendent title derives from the Latin meaning intendere, signifying “direct attention to”
(Townley, 1992, p. 110). The primary role of this position was to oversee the implementation of
the curriculum and to serve in a supervisory capacity of the classroom teachers. As trained
teachers, the leadership of the superintendent was perceived as pedagogical and relegated to
menial tasks assigned by influential community members or the school board (Kowalski et al.,
2011).
The superintendent position continued to evolve over three identifiable time periods. The
first period, sometimes referred to as “The Early Years” or as “The Common School” era (Glass
et al., 2000, p. 18), lasted roughly from the very first appointment in 1837 until slightly before the
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 20
turn of the last century—approximately 1890. The second era, “The Professional Superintendent
Period” (p. 19) lasted from roughly 1890 until the 1960s. “The Modern Superintendence” (p. 19)
period is still evolving.
During this evolution, historian Raymond Callahan (1962, 1966) stated that the superin-
tendent position emerged from teacher-scholar, to business manager, to statesman, and into
applied social scientist. Although each stage was important in history, the growth of newly
developed roles did not cause previous roles to be irrelevant. The position of the superintendent
kept getting more demanding and complex, thus causing the position to continue to evolve.
Superintendent as a Teacher-Scholar
During this period in education, the superintendent worked as a full-time supervising
classroom instruction and assuring uniformity of the curriculum. This position at the time was
subordinate to the board but held a superior position in reference to principals and teachers
(Kowalski et al., 2011). This position was mostly held by White males, who at the time were
recognized as scholars because of their participation in professional journals in relation to history
and pedagogy. The growth of the position at the local level promoted the opportunity for some of
the district superintendents to become state superintendents, professors, or college presidents
(Kowalski et al., 2011). The characterization of the superintendent as a teacher-scholar was
summarized in a report in 1890 as recognition of the duty of the superintendents to train and
inspire teachers with high ideals, to revise the course study, and to ensure that pupils and teachers
have the knowledge needed for the best possible work. Many local school boards were reluctant
to hire for this position due to the fear of the person gaining political power at their expense
(Kowalski et al., 2011); this period was dominant from approximately 1865 to 1910.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 21
Superintendent as Business Manager
During this era in education, the position of the superintendent was focused on the super-
intendent’s managerial skills. This theory was based on the idea that innovations applied in
burgeoning industries that produced technical efficiency would be equally effective in the posi-
tion of the superintendent. This period in education started after 1910 and lasted 3 decades. The
foundation of this era grew from Teachers College of Columbia University, where two groups of
educators created higher education courses that were separate from and superior to teaching
(Kowalski et al., 2011). These preparation courses were used as the foundation of educational
leadership of superintendents.
Superintendent as Statesman
This era started after the 1930s, due to the concerns about centralization and managerial
control (Kowalski et al., 2011). The business world was living in the Great Depression, and the
local people started to become reluctant to accept the superintendent as a business manager
having more power or control. The superintendent as a statesman obtained the position as a
spokesman for education. This position contracted more political ties than previous positions;
the statesman role was anchored in democratic administration (Kowalski et al., 2011). Being that
public administration had become extensive and complex, most citizens felt that their time was
too valuable and important to engage in policymaking; thus, the role of statesman and statesman-
ship became ascendant.
Superintendent as Applied Social Scientist
In the mid-1950s, the role of the superintendent transitioned into a position that possessed
an understanding of needs and sensitivity to large social problems through an interdisciplinary
approach involving social sciences (Kowalski et al., 2011). Superintendents were expected to be
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 22
able to provide solutions to complex social and economic problems. This new skill required
training and growth; consequently, the preparation of superintendents became more extensive,
less practice based, and more theoretical (Kowalski et al., 2011). This preparation continued into
the 1960s and 1970s and led to doctoral students in educational administration to seek out and
pursue training in a behavioral science such as psychology, economics, political science, or
sociology (Kowalski et al., 2011).
Superintendent as a Communicator
In the 20th century, the role of the superintendent transitioned into a position that required
a leader who was able to engage professional colleagues and various stakeholders. Historically,
schools have demonstrated a closed climate that has discouraged collaboration with community
members and school leaders (Kowalski et al., 2011). The superintendent as a communicator
opened the lines of communication between stakeholders and school leaders by collaborating
with school employees, students, parents, and community members. Superintendents who are
incompetent and inconsistent communicators incur penalties (Kowalski et al., 2011).
Brief History of Education
American education started during the 17th and 18th centuries as private and religious
local entities. Education was created as a local means to enable citizens to participate as equals
in the affairs of the government and to ensure the liberties of the Constitution. Thomas Jefferson
was one of the founding fathers of education due to his proposal to create a free public elemen-
tary education. His proposal was not adopted until the mid-1800s after he gained the support of
state superintendents of public schools. Public education started at the local level with a single
school and grew to the entity it is today as a result of the Old Deluder Satan Act of 1647 (Odden
& Picus, 2008). The Old Deluder Satan Act gave all towns the option of setting up a school or
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 23
pay a fee to a larger town to provide education. The requirement stated that all towns of at least
50 families must appoint a teacher of reading and writing. Towns of more than 100 families had
to establish a secondary school as well as a primary school. As cities grew, so did the importance
of education.
Preparation Programs for Superintendents
The need for preparation programs for superintendents started in the early 1900s at
Teachers College of Columbia University after two groups of educators institutionalized the
business management of education (Cubberley, 1916). The first college-level course in the field
of education was taught between 1879 and 1885 (Levine, 2005). Then in the early 1900s,
institutions in the United Stated decided that offering a systematic study in the area of educational
administration would be beneficial. James Earl Russell, Dean of Teachers College, felt that
educational leadership programs should have a model like those of law and medical schools; he
was an advocate for master programs with an academic curriculum that would provide training
for future leaders in education. The early history of preparation programs for educational leaders’
showed inconsistences in the areas of who the programs would and should enroll, what the
program would prepare their students to be able to do, what they were going to teach, and what
degrees would be offered (Levine, 2005). Preparation programs today have solved the early
issues by designing a curriculum that follows leadership models and has a focus on leadership in
the educational environment. The inconsistences that are relevant today in relation to preparation
programs include questions of whether preparation programs are irrelevant or ineffective and
whether they prevent incompetent educators from being superintendents. Researchers have
arguments that support both sides, but Kowalski (2004) stated that the various reasons presented
to the public for not having preparation programs for educational leaders were lacking empirical
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 24
evidence to support contentions of the idea that the prominent noneducators could serve effec-
tively as superintendents even if they did not have to complete a preservice preparation program
in a college of education.
The idea of formal training versus informal training for superintendents started in the
1900s and is still prevalent today. Petersen, Fusarelli, and Kowalski (2008) noted that the reason
why there are no national licensing criteria is due to the fact that there is no national curriculum
for superintendent preparation. This situation has led to each state being able to set licensing
policies independently, thus leaving a variation in standards, required degrees, credit hours, and
years of required experience in both teaching and school-level administration (Kowalski et al.,
2011). Forty-one of the 50 states do require preparation and certification to be qualified as
superintendents (Björk, Kowalski, & Young, 2006).
The national trend in the late 1900s and early 2000s focused on rescinding or removing
requirements for the superintendency (Kowalski & Glass, 2002). The rescinding or removing of
requirements for the superintendency can be connected to studies on formal preparation programs
dating back to 1923 (Glass et al., 2000). Data have indicated that in the 40 years preceding 2010,
less than 25% of superintendents rated their preparation program as fair, less than 50% rated their
preparation program as good, and less than 27% rated their program as excellent in preparing
them for the position.
Formal Preparation Programs
Formal preparation programs for superintendents consist of university training, also
known as academic preparation. Formal training for superintendents started in the early part of
the 20th century (Cooper, Fusarelli, Jackson & Poster, 2002). Superintendent training programs
started by focusing on courses in the field of school finance, law, management, and leadership.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 25
There are a number of formal preparation programs across the nation that support superinten-
dents. Kowalski et al. (2011) stated that the programs most frequently attended by current super-
intendents for preparation and training are offered by informal training entities such as the state
superintendent associations, the state government, and the AASA. The need for formal prepara-
tion programs is based on the idea that accreditation and professional licensure are two major
cornerstones of a recognized profession, due to the fact that society values standards and formal
preparation programs to validate standards of quality, integrity, and worthiness (Kowalski &
Brunner, 2005).
Contrary to the fact that most PhD and EdD programs offer educational administration
programs, historically there have been universities that have specific programs tailored for the
position of the superintendent (Cooper et al., 2002). The shortage of formal preparation pro-
grams has a strong connection to the historical professional relationship of superintendents and
principals. This relationship is connected by the historical tendency to lump principal and
superintendent preparation programs together or the failure to distinguish them in research
(Cooper et al., 2002). The connection of principal and superintendent preparation programs
started in 1981 with the Harvard Graduate School of Education. This school introduced the
Harvard Principal’s Center, which was designed to lead to leadership academies (Lloyd-Jones,
2009). The purpose of this center and similar centers that followed has been to provide principals
and future superintendents with an experimental laboratory that seeks to foster learning a visible
and available professional craft that encourages risk taking and develops a culture of collegiality
(Barth, 1987). Formal preparation programs for superintendents started in the early 20th century
and still exist today, but the licensing of formal preparation programs for superintendents has
become more complicated due to national organizations (Cooper et al., 2002). The complication
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 26
of licensing of superintendents is related to the setting of licensing standards, accreditation of
university degree programs, and the influence of the work of professors of educational adminis-
tration.
Informal Preparation Programs
Informal preparation programs for superintendents consist of training that is outside of
university training and is also known as academic training. Informal preparation programs offer
superintendents the opportunity of earning certification or licensing. Many states also allow
some districts to apply for a certification or licensing waiver for future or present superintendents
who have demonstrated the requisite management skills (Kowalski et al., 2011). This situation
alleviates the situation for superintendents to have to spend time with the process of formal or
informal preparation programs. Over the past 20 years, the idea to rescind or modifying state
licensing for superintendents has been suggested. Nine states have stopped issuing or have made
licensing for superintendents voluntary (Kowalski & Brunner, 2005). Informal preparation
programs have also endured the scrutiny of formal preparation programs. Cooper et al. (2002)
stated that all preparation programs of superintendents are incapable of reaching a consensus on
what examinations and reviews of performance should be mandated, what degrees are best
designed for the position, and what on-going training and support are need for superintendency.
Mentoring as Preparation for Superintendents
Mentoring is an ongoing process where individuals in an organization will provide
guidance and support to others to become effective contributors to an organization (Daresh,
2001). Erdem and Aytemur (2008) contended that the most important points overlooked in
studies on the subject of mentor and protégé are the prerequisites that both the protégé and the
mentor must respect each other and the protégé must identify the mentor as a trustworthy figure.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 27
The terms mentor and protégé refer to two individuals who have connected within a strong
structured relationship that has defined objectives and goals. Mentoring is a tool in leadership
that can be used to enhance, develop, and enrich a person’s ability to be an effective leader.
According to Alsbury and Hackman (2006), mentoring programs are studied widely and
are reported to be effective in enhancing career development in the private industry and in
graduate education. The idea of mentoring started in the late 1900s in research conducted by
Dalton, Thompson, and Price as they investigated the four stages of a professional career. The
need for mentoring programs was evident then and is still necessary today. Conyers (2004),
stated that formal mentoring not only addresses the hard skills or professional skills for a leader
to succeed in education but also addresses the soft skills, such as ethical decision making. These
skills together address the “whole person” or the “whole leader.”
The necessity of assisting superintendents had led to various points of research. Currently
many researchers strongly believe that mentoring is the best response in building or integrating
future leaders into an organization (Grogan & Crow, 2004). The opportunity to learn from others
who have first- or second-hand experience in one’s current or future leadership role can be
provided only through mentorship. This opportunity is so important to learning because it allows
all parties involved to obtain new knowledge through contact, communication, and experience
(Woolsey, 2013). Alsbury and Hackman (2006) showed that research related to administrator
mentoring programs, such as induction programs for 1st-year leaders, are beginning to flourish.
When principals and superintendents enter the profession, the development of effective mentor-
ing and induction programming provides an invaluable opportunity to socialize novices into the
changing landscape of the field and benefits protégés, mentees, and school districts at large. The
benefits of mentoring programs for future leaders are that mentors are able to build confidence
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 28
and competence while protégés are able to obtain reinforcement from their mentors that enable
them to take on future responsibilities. The experience provides all parties involved with an
opportunity to connect training with application in the field. Skills such as communication,
community building, and confidence are frequently improved due to the working relationship.
Mentees are often able to pick up a number of proven techniques and strategies that the mentor
may have used successfully in various settings, and a connection is built between both parties that
opens the door of trust and understanding in the field of education.
Nonmentoring as Preparation for Superintendents
The current mentoring systems for superintendents are inadequate due to their pattern of
preparing superintendents for centralized command, controlling managerial tasks, and not
emphasizing the collaborative skills that are needed in the currently more complex and connected
education environment (Houston, 2001). Many states have established mentoring programs for
newly appointed superintendents; the content of each program varies by state. Some of the nega-
tives of mentoring future superintendents include (a) the fact that the knowledge base on adminis-
tration is not clear enough to guide a mentoring program, (b) superintendents are the leaders of
their districts and it is difficult to design a proper support program, and (c) administrative peers
are not always true equals in influence. Woolsey (2013) also felt that this position of leadership
exists in isolation from others in the same position because the position perpetuates the image of
not needing additional assistance.
Recruitment for the Position of Superintendency
The position of the superintendent dates back to the early 1800s. During this time, the
position as well as education have experienced multiple reform periods that reflect evolving
needs, various values, and diverse political conditions (Kowalski et al., 2011). Some of the
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 29
issues that are having a positive and negative effect on the recruitment of superintendents are the
increasing number of retirements of current superintendents. According to Glass (2001), 30% of
superintendents will retire in the next 5 years. The declining pool of quality applicants started in
the early 2000s. Graff (2001) stated that the massive retirement of the “baby boom” generation is
the cause of this shortage and that there will be a national shortage of qualified superintendents in
the position. The compensation for the position does not match the responsibilities or work load.
Compensation for superintendents lags behind that for other school personnel; the national
average salary is $98,000. Research conducted in late 2009 and early 2010 by Kowalski et al.
(2011) revealed that the modal superintendent was a married White male between the ages of 56
and 60. The percentage of female superintendents has increased since the 1800s and has in-
creased substantially since 1992; on average, female superintendents are older and have more
teaching experience than their male peers. Most superintendents have followed the traditional
career path in route to the superintendency via teacher and building-level principal positions.
There is a distinct difference in elements of practice according to school system size, with small
school districts doing things differently from large school districts; minority group respondents in
the study by Kowalski et al. (2011) were considerably more likely to view community diversity
as an asset than were members of the nonminority group.
Fusarelli (2006) stated that superintendents who are unwilling or unable to accurately read
the organizational culture of the school system and surrounding community and unwilling to
invest time cultivating relationships with key stakeholders are unable to lead.
Traditional Steps to Superintendency
The position of school district superintendent has evolved since the first district superin-
tendent in the mid 1800s. This role was created to have a full-time worker to supervise
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 30
classroom instruction and develop uniformity in the curriculum (Kowalski et al., 2011). The
traditional steps to the superintendency have not evolved since the first superintendent. Accord-
ing to Hodgkinson and Montenegro (1999), there is only one path to the position of superinten-
dency and that is teacher to principal to central office administrator to superintendent. Glass
(2001) also described the natural order to the position of superintendency as a sequential order of
positions, such as teacher to principal to superintendent. The sequential order was based on the
idea that the superintendent career path was a sequence of positions and experiences that were in
35the order of progression of positions of increasing responsibility and complexity. These steps
to superintendency are still prevalent in education. Research shows that more than 45% of
superintendents began with a teacher position, then principal, then central office administrator,
and then became superintendent (Kowalski et al., 2011). Thirty-one percent of superintendents
their position by starting as a teacher, then moving to principal, and then obtaining the superin-
tendency (Kowalski et al., 2011). The commonality of the career paths that superintendents take
to become chief of schools shows the historical connection of superintendents starting off as
teachers and then becoming administrators or principals. In the field of education, high school
principals have hierarchy over elementary or middle school principals (Roberts & Hernandez,
2012). The position of secondary principal is considered to be more complex than the position of
primary principal due to the level of problems that occur and the inclusion of athletics,
interscholastic competitions, and specialized events (Roberts & Hernandez 2012).
Nontraditional Steps to Superintendency
The traditional steps to superintendency follow two similar models. The first model is to
begin as a teacher, then transition to administrator or principal, and then obtain the position of a
superintendent of schools. The second model is to start off as a teacher, then transition to an
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 31
administrator or principal, then to obtain a position in the central office, and then to be hired as
chief of schools or superintendent. Many people in education believe that the person running the
school should have experience in the school outside of receiving a K–12 education. Many would
agree that the main business of education is to teach and to learn; educators think that the super-
intendent should have a background in teaching and learning (Björk et al., 2005).
The common characteristic between traditional and nontraditional superintendents is that
both know how to lead. The main purpose of bringing in a nontraditional superintendent is for
him or her to solve problems that traditional superintendents are unable to solve. According to
Quinn (2007), nontraditional superintendents do not have a history in educational leadership;
therefore, they do not accept the traditional views of educational problem solving. Leaders
outside of education come from a world where the expectation is to solve problems and where
reasons or excuses are not accepted. Nontraditional superintendents are more comfortable with
external criticism and are more inclined to accept internal challenges; they are also better
equipped to deal with the various levels of pressure because they are more accustomed to inter-
organization interactions and competition (Hess, 2003). The foundation behind nontraditional
leadership is to use leadership models of the business world into the educational world. Educa-
tion is an enormous enterprise in the United States and constitutes the largest portion of most
state and local government budgets; education employs millions of individuals and has a total
expenditure of $686 billion for K–12 education (Odden, Picus, & Goetz, 2009). The major
model of business leadership is a voluntary exchange that takes place in a given economic
environment, also known as a free market. Nontraditional leaders are able to bring fresh thinking
into education that is supported by many school boards and districts. According to Kowalski et
al. (2011), serval stated are considering or have enacted alternative ways to certify administrators
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 32
whose backgrounds are in areas other than education. In fact, many stated allow districts to apply
for a certification or licensing waiver for any person to simply apply for a licensing waiver or
certification who have a requisite in management (Kowalski et al., 2011). The traditional steps of
obtaining the superintendent position has been stagnant since the early 1800s, but the nontradi-
tional steps of obtaining superintendency is constantly evolving due to levels of preparation
needed for the position.
Women in the Position of Superintendent
The percentage of women in the position of superintendency has increased throughout
time, but this subgroup is still underrepresented in relation to the reflection of diversity in the
national population and the student population in public schools (Kowalski et al., 2011). The
history of women in education shows that women have been educationally oppressed throughout
history. Women were believed to be less intelligent than men, not fit to be taught, and not
academically prepared to educate others (Lloyd-Jones, 2009). The idea of women being unable
to teach or lead has changed dramatically over time. Kowalski et al. (2011) stated that the
percentage of female superintendents has increased every decade and more recently increased
from 13.2% in 2000 to 24.1% in 2010. These data show a positive increase in the percentage of
women holding the superintendent position but does not show the discrepancy of the number of
female superintendents to the number of females in education. The number of full-time female
public school teachers was 72%; the percentage of female primary school principals, 56%; and
26% of secondary school principals are female (Kowalski et al., 2011). Moreover, anecdotal
information from school administration professors indicates that the majority of their students are
female (Kowalski et al., 2011).
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 33
According to the 2010 Decennial Study of the American School Superintendency
(Kowalski et al., 2011), female superintendents hold more doctoral degrees than male superinten-
dents but are older than their male counterparts and have more teaching experience when they go
into the position of superintendent. Women hold a majority of administrative positions except
for the superintendency; most of those positions are in the field of program specialists, director,
or manager (Stuckey, 2012). Research conducted by Youg-Lyun and Brunner (2009) found that
the normal pathway to the position of the superintendent also includes positions such as athletic
coach or club advisor, and women are not usually in those positions.
A survey of women superintendents showed that most women aspiring to the superin-
tendency position hold positions such as assistant or associate superintendent of curriculum and
instruction (Brunner & Grogan, 2005). The position of high school principal is the one that has
most often led to the position of superintendent, compared to other principal positions (Kowalski
et al., 2011). Women currently represent 16% of the high school principals in the United States
and 40% of principals at the elementary level. The number of female superintendents has
increased over the last 2 decades, but the current rate of change shows that it will take an addi-
tional 3 decades before the percentage of female superintendents is on parity with the percentage
of male superintendents (Kowalski et al., 2011).
Minorities in the Position of Superintendent
The percentage of minorities in the position of superintendency has increased throughout
time, but this subgroup is still underrepresented in relation to the reflection of diversity in the
national population and the student population in public schools (Kowalski et al., 2011). The
number of White students in K–12 education is decreasing, and the number of racial-ethnic
minorities is increasing. According to the study by Kowalski et al. (2011), the number of White
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 34
students declined from 78% to 57% from 1972 to 2006. The 21st-century K–12 education is
showing progress toward student subgroups; however, at the position of the superintendent
significant progress is not being made. Since the 1900s, White males have represented the
majority of superintendent positions (Kowalski et al., 2011). However, minorities and White
superintendents follow similar career paths with the exception of minorities going from teacher to
principal to central office and then to superintendent. Minority individuals who do follow the
traditional path to superintendency by obtaining certification or licensing do not secure a position
as a superintendent as quickly as their counterparts. According to Kowalski et al. (2011), 57.4%
of nonminorities secure a position as a superintendent in their 1st year of obtaining certification
or licensing, while only 38% of minorities secure a position in the same amount of time. The
percentage of minority individuals who secured the position after 5 years was 12.7% compared to
8.1% of nonminorities in the same amount of time. Race-related barriers to the position of the
superintendency have existed throughout history, but education professionals are constantly
searching for equitable ways to improve academic preparation and the selection process that has
discouraged minorities from pursuing and obtaining the position of the superintendent (Kowalski
et al., 2011). However, this process is an ongoing process, just like education reform. The
position of the superintendent is not what it was 10 years ago or 50 years ago, and it will not be
what it is today 10 years from now or 50 years from now. The first superintendent worked as a
full-time supervisor, overseeing classroom instruction and assuring uniformity of the curriculum.
The position today asks for superintendents to be visionary leaders (Kowalski, 2004). With the
change of secondary and primary school students’ demographics, the demographics of the
position of superintendent is expected to also change. The history of the position shows that the
position of the superintendent is constantly becoming more complex and demanding. The
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 35
emergence of new roles will not renounce previous roles, but the development of the position
will shape education (Kowalski et al., 2011).
Networking and the Position of Superintendent
According to Singh, Vinnicombe, and Kumra (2006), a network is defined as the banding
of a group of like-minded people for the sole purpose of contact, friendship, and support. Net-
working is more than an activity; it is a process that is needed to support superintendents. “The
technical and political demand placed on school superintendents encourages them to develop,
solidify, and use ties with other important actors in their environment” (Meier & O’Toole, 2003,
p. 690). Networking has been an important piece in education and the superintendent position
since the 1800s. The National Association of School Superintendents was started in the late
1800s and since then has held regular meetings to exchange ideas among superintendents since
1865 (Wilson, 1960). The purpose of these meetings was designed to unify and share informa-
tion among colleagues who have the same educational responsibilities. Mentoring and network-
ing are closely related in that they provide support and can help to develop the talents of individu-
als. Both men and women have indicated that they have benefitted from networking groups.
Networking has been found to provide current superintendents and future superintendents with
experience in meeting various stakeholder groups (Miller, Washington, & Fiene, 2006). Net-
working is also beneficial to the superintendent position because of the demands of the job.
The superintendency position today is more complex than it has ever been before. In The
America School Superintendent, Kowlaski et al. (2011) explained:
Public education in America is constantly changing and evolving, the most recent
tide of which emerged in the early 1980s and cemented its foothold with No Child Left
Behind in 2002, the most recent reauthorization of the Elementary and Secondary
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 36
Education Act of 1965. In the wake of this enduring attitude of change, innovation, and
reform —both in academic practices and the students and staff who populate America’s
public schools—school administrators have offered a steady hand in navigating this sea of
change. At the same time, the face of America’s school superintendence is changing, as
well, becoming more diverse and representative of the schools they lead.
Now, more than ever, the work portfolio of America’s school superintendent is
increasingly diverse: They are responsible for student progress and achievement while
balancing the diversification of their student and staff populations, the explosion of
technology and the digital divide, an expanded set of expectation and involvement from
the federal level, the media and board and community relations, all in the context of an
increasingly globalized education system. (p. 113)
Livingston (2007) stated that the demand of the superintendent position is very complex
and that those whom the position of superintendent would benefit from belonging to multiple
networks, such as the School Superintendent Association of the AASA and the National Associa-
tion of School Superintendents. Organizations such as these are premier associations for superin-
tendents, because they are national organizations, their governance and structure engages consid-
erable diverse talents, and they have affiliate relationships with state administrator associations
and Canadian associations of school administrators. Working with associations is considered
formal networking. Informal networking is the exchanging of information and the distribution of
favors that may take place within the position or leading up to the position of superintendency.
Stone-Johnson (2015) referred to networking as being able to adapt and change as a means of
survival, not by just getting the work done but by developing and sharing knowledge. The
evidence here indicates that public managers need to consider network management as an
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 37
important tool for administrative success, not merely a luxury to engage in if there is extra time.
“Networkers in our sample spent less time running internal operations than did others, but the
trade-off paid in results” (Meier & O’Toole, 2003, p. 697).
Executive Search Firms and Superintendents
One of the most utilized means of recruitment for superintendents is search consultants.
It is common for school boards and districts to use executive search firms (or headhunters) when
they are looking for a superintendent. Research conducted by Tallerico (2000b) found that there
was an increase in the use of search firms; those firms were comprised of 95% males, 97% of
whom were White. The purpose of the search firms is to match candidates with school districts.
The need for search firms is due to the aging superintendent workforce, which is a shrinking pool
of baby boomers who are nearing retirement age. The use and idea of search firms is relatively
new to the state of California. Prior to the 1970s, most searches for the position of the superin-
tendent were conducted independently by school boards. School boards also consulted with local
universities to help fill open positions. In the state of California, universities such as the Univer-
sity of Southern California (USC), Stanford University, and the University of California system
worked with school boards to fill superintendent vacancies throughout the state (Tallerico, 2000a,
2000b).
The Retention of the Superintendent
Longevity is a term that is used often to correlate with success, but success does not
automatically equal longevity (Ezarik 2001). In the 2000 study of the American superintendency
(Glass et al., 2000), superintendent respondents indicated that they had served in their present
position for an average 7.25 years and that they had served in their previous superintendent
position for an average of 6.43 years. This study offered a new perspective on superintendent
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 38
tenure. It showed that the mean number of current years in the superintendent position should not
be calculated to find the average number of tenure years in the position; rather, the total number
of years in the superintendency should be divided by the number of superintendents’ positions
held. This new perspective showed that the mean number of districts served in the position of
superintendency was less than 2 years over a mean period of 9 years and that the tenure of
superintendents was around 5 to 6 years per district served (Glass et al., 2000).
The most common reason why superintendents leave their position in their current district
is for an opportunity in a larger and better paying district (Björk & Kowalski, 2005). There are
numerous factors that can be the cause of a superintendent leaving his or her current position,
such as stress in the superintendency, issues with school boards, and stakeholder pressure. In the
2000 study of the American superintendency by Glass et al., 51% of superintendents indicated
that they felt “very great” or “considerable” stress in their position as a superintendent. The
status of the relationship between the school board and the superintendent has been more likely to
influence turnover in the superintendent position than any other factor; however, literature on the
relationships between superintendents and school boards has not generally been characterized in
a positive light (Mountford, 2004), and stakeholders such as political organizations attempt to
influence board decisions one way or another. Just like there are a number of factors that cause a
superintendent to leave or be dismissed from their position, there are a number of factors that
assist in a superintendent being retained, such as a superintendent’s skillsets and his or her rela-
tionship with the school board.
Successful Superintendents’ Skill Sets
The retention of a superintendent has a strong correlation with the superintendent’s skill
sets. The skill set needed to be a successful superintendent has evolved throughout time and has
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 39
led to five separate role conceptualizations of the superintendent’s position. The successful skill
set required for the position started with the superintendent as a teacher-scholar and then transi-
tioned to business manager, to statesman, to applied social scientist, and now as a communicator
(Kowalski et al., 2011). The 2010 study of the American school superintendent by Kowalski et
al. (2011) indicated five areas of skills that successful superintendents demonstrate:
1. They are lead educators; they are capable of giving advice to the school board, com-
plete written documentation, and they supervise employees effectively.
2. They are opportunists who are able to control the community and district culture as
authoritarians in task-oriented values and beliefs.
3. They are democratic leaders who are expected to galvanize support for education.
4. They are empathetic to large social problems. The superintendent is expected to solve
educational problems by using empiricism and scientific certainty.
5. They emphasize their power and dominance and issue instructions and command
down a chain of command.
The School Board
There are approximately 95,000 school board members in 15,000 local public school
boards in the United States (Thompson, 2014). Most of the school boards in the state of Califor-
nia are comprised of five to seven elected school board members. The majority of school board
members lived in small towns or suburbs, then rural towns, followed by urban areas (Thompson,
2014). According to Alsbury (2003), 80% of school districts have less than 3,000 students
enrolled, even though research tends to focus on school boards in large urban districts that
educate students who fall in the category of low socioeconomic status.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 40
School boards are considered legal extensions of the state government, and their legisla-
tive responsibility is to set policy and to ensure that the state laws and regulations are followed
(Kowalski, 2004). The position of school board has a special role in education as well as a
special relationship with superintendents. The school board was in existence before the first
superintendent was appointed. Public schools existed in the United States for over 200 years
before the position of superintendent was created, and the reason that the position of superinten-
dent came into being was to alleviate the minor educational responsibilities of the school board
(Kowalski & Brunner, 2011).
The role of the school board has evolved throughout education—shifting from being
viewed as apolitical to being focused primarily on the goal of setting policy in the school district.
One of the most essential decisions that a school board can make is the choice of the superinten-
dent. Once the superintendent is hired, the personal and working relationship that develops
between the school board and the superintendent begins and sets the tone for the operations of the
district (Ezarik, 2001). In order for the district to be successful a positive relationship between
the superintendent and the school board is imperative. When the relationship is dysfunctional it
can result in negative financial impact in the district, have a negative impact on school and staff
morale, effect student achievement, and oppose the support of community stakeholders (Talbert
& Beach, 2013). This relationship has a correlation with the high turnover rate of the superinten-
dent position. According to Beach and Talbert (2013), the price of superintendent turnover can
be great both financially and organizationally. In addition to the superintendent turnover being
costly, the superintendent’s longevity can also correlate with student and district achievement.
The role of the school board as well as the role of the superintendent are not easily defined.
Blumberg and Blumberg (1985) stated that the role of the school board member is the most ill
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 41
defined one in local government and that many school board members move in a sea of confusion
regarding their power. Literature pertaining to education, the superintendent, and the school
board has indicated that the model of policy versus implementation used in education is just a
separation of the function between the board and the superintendent (Fusarelli, 2006).
History of the School Board
The history of the school board started in 1642 with Massachusetts public education.
Chosen men were given power to take control of their children’s education, especially their
ability to read and understand the principles of religion and the unique laws of their country. As
school districts started to grow, there was a need for a professional advisor. This need created the
opportunity to hire a school superintendent, and in 1837 the first superintendent was appointed in
Buffalo, New York. Many districts followed the model of appointing a school superintendent.
As school districts expanded outside of small rural areas and one small school per district, the
need for more superintendents existed and more were appointed (Kowalski & Brunner, 2011).
Unlike the history of education and the history of the superintendent, there were two
significant periods in the history of the school board. The first period was the development of the
office of the superintendent of schools in the mid-1800s. The second period occurred in the late
1800s; the focus of this time period was trying to decide between the superintendent and the
school board on the issue of who should control the schools. This debate is still a topic of
discussion today. Superintendents started out in education with little authority and held the
position as support personnel for school boards and not as executives. This level of power existed
until the 20th century when superintendents were given the power to hire and fire personnel and
establish curriculum. The thought of giving the superintendent more power has existed since the
early 1900s. According to Cubberley (1916), the school board gives the superintendent more
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 42
power by reducing the size of the school board, electing school board members at large and
autonomously, disconnecting from the civic government, and giving the option of being abol-
ished or stripped of power.
Roles and Responsibilities of the School Board
The roles and responsibilities of the school board are entwined with the roles and respon-
sibilities of the school superintendent. Historically, superintendents have held the role of profes-
sional educators and administrators. Kowalski et al. (2011) noted that the normative responsibil-
ity of the superintendent is to make policy recommendations on matters that pertain to curricu-
lum, instruction, evaluation, and other aspects of the educational process. In relation to federal
and state policies, school board members have to depend on the superintendent to relay and help
the school board to understand state and federal laws, regulations, and goals. Traditionally, the
role of the school board was to support and govern education through simple functions such as
creating a budget, dealing with the public, and generating revenue. As the responsibilities of the
school board grew with the development of the public school, the role of the school board
changed. The role of the school board now is centered on student achievement and being in
charge of governing education and overseeing the implementation of local, state, and federal
mandates that affect student achievement (Kowalski, 2004). Educational research has indicated
that school boards’ major functions are their vision, structure, accountability, and advocacy (Iowa
Association of School Boards, 2002). The functions of the school board show the consistency
between all fundamental operations that relate to the role and responsibilities of an effective
school board. Student achievement has fluctuated throughout education, the need for school
board reforms based on the role and responsibilities of the school board and their operations have
existed since the 1900s (Grissmer, Flanagan, Kawata, & Williamson, 2000).
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 43
The School Board–Superintendent Relationship
The relationship between the superintendent and the school board is not always a positive
one. During the early part of the 20th century, the relationship between the superintendent and
the school board was problematic due to the definition of formal roles. The conflict was
observed in the policymaking roles of the school board and the administration roles of superin-
tendents (Kowalski & Brunner, 2005). The relationship between the superintendent and the
school board grew stronger in the early 1900s when school boards started to focus on the devel-
opment of policies and gave less attention to daily managerial tasks, which resulted in the school
superintendent accepting more responsibilities—thus evolving from the role of a professional
manger to the role of chief executive officer (Brunner, Grogan, & Björk, 2002).
Kowalski et al. (2011) stated that the relationship between the school board and the
superintendent is pivotal to the success of any school district. There has never been a clear
separation of policy and administration between the school board and the superintendent after
both positions began to evolve within education. The two critical elements that are constant in a
strong relationship between the school board and the superintendent are effective communication
and trust. Effective communication is a skill set that has been found to be a requisite skill for the
position, and trust is a facet of any strong relationship. According to Townley (1992), school
boards always recognize outstanding communication skills as a necessity for superintendents and
list effective communication as a job requirement in all position listings. Communication is
important for the role of the superintendents’ strategies and strengths; it creates many oppor-
tunities for the superintendent to grow. According to M. W. Smith (2012), when superintendents
focus on their communication skills and develop a trusting relationship with their local school
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 44
board members, they tend to be more successful than those who do not. The relationship be-
tween both has always been a working relationship that is built of communication and trust.
The impact of the relationship between the superintendent and the school board affects
the school district, the students, the community, and—most importantly—the position of the
superintendent. According to Byrd, Drews, and Johnson (2006), the relationship between the
school board and the superintendent was found to be a vital factor in superintendents’ tenure.
Mountford (2004) noted that 86.6% of board members who participated in the National School
Board Association’s study reported that the relationship between superintendents and school
boards was the most important factor in assessing and evaluating their superintendent. These
data are consistent with the topic of school boards’ relationships with their superintendents. The
quality of educational programs is affected; collaborative visioning and long-range planning are
reduced. All of these factors cause discontent, erode the effectiveness of the school vision, and
eventually result in an increase in a revolving door of districts leaders. However, educational
research has also indicated that a school board–superintendent relationship that embraces proac-
tive leadership, genuine collaboration, honest and open communication, and unwavering trust is
poised to embark on team building that fosters high-performing schools (Thompson, 2014).
Leadership Theory and Frameworks
Leadership is a term that encompasses many definitions, a variety of theoretical ap-
proaches, and presents a sophisticated and complex process. Northouse (2007) stated that some
researchers have been known to conceptualize leadership as a trait while others have been known
to conceptualize leadership as a behavior. Leadership is a product that has been identified as a
process that must be continuously studied to be understood or conceptualized. Researchers have
used qualitative and quantitative strategies to study leadership in all contexts of research. There
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 45
are a number of books in circulation that attempt to define and pigeonhole leadership. Northouse
conceptualized leadership by using leadership models such as the trait approach, the skill ap-
proach, the style approach, the situational approach, contingency theory, path goal theory, leader
member exchange theory, transformational leadership, team leadership, and the psychodynamic
approach. Leadership is the foundation for the position of the superintendent. History shows that
the position of the superintendent of schools was created to lead, and the evolution of the position
has demonstrated its true purpose.
Research conducted by Kouzes and Posner (2007) uncovered five practices that are
common to the successful skills sets of effective superintendents. Their research shows that when
getting extraordinary things done in organizations, leaders demonstrate five practices:
1. Model the Way: They effectively model the behavior they expect of others, they lead
with clear guiding principles, and they clarify their values.
2. Inspire a Shared Vision: They envision exciting and ennobling possibilities and have a
desire to make things happen, a desire to change the way things are, and to create what
no one has created.
3. Challenge the Process: Leaders venture out and are pioneers who are willing to step
out into the unknown.
4. Enable Others to Act: They foster collaboration and build trust.
5. Encourage the Heart: Leaders recognize contributions of all parties and celebrate
accomplishments. (p. 96)
Kouzes and Posner (2007) and Northouse (2007) are just a few authors of many who have
contributed to the research findings on leadership and have attempted to simplify the complex
topic of leadership for leaders and/or readers. Other popular frameworks used in preparation
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 46
programs, for recruitment, and for retention of superintendents are Bolman and Deal’s (2003)
four frames of leadership, and Marzano and Waters’s (2009 School District Leadership That
Works.
Reframing Organizations
Bolman and Deal (2003) identified four distinctive frames whereby people can view their
world; each frame came with a range of concepts and values that provide a unique experience
within the world. A frame is a set of ideas that leaders carry with them to help them to under-
stand a particular territory. A frame is also defined as a coherent set of ideas that enable one to
see and understand more clearly what goes on from day to day (Bolman & Deal, 2003). The four
frames of leadership identifies the frames as follows:
1. Structural. A metaphor for this frame is factory or machine. Its central concepts
focus on rules, roles, goals, policies, and technology. The image of leadership is
social architecture, and the basic leadership challenge is an attuned structure to task.
2. Human Resources. A metaphor for this frame is family. The central concepts include
needs, skills, and relationships. The image of leadership is empowerment, and the
basic leadership challenge is the alignment of organization and human needs.
3. Political. A metaphor for this organization is jungle. The central concepts are power,
conflict, and competition and organization politics. The image of leadership is advo-
cacy, and the basic leadership challenge is to develop an agenda that is power based.
4. Symbolic. A metaphor for this organization is carnival or theater. The central con-
cepts are culture, meaning, ritual and ceremony. The image of leadership is inspira-
tion, and the basic leadership challenge is to create faith, beauty, and meaning. (p.
324)
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 47
Level 5 Leadership
A Level 5 leader is a person who blends extreme personal humility with an intense profes-
sional will (Collins, 2001). Level 5 leadership is built on a hierarchy starting from Level 1 and
ending with Level 5. Level 1 is defined as a “highly capable individual (p. 68)”; Level 2 is
defined as a “contributing team member” (p. 39); Level 3, as a “competent manager” (p. 39);
Level 4, as an “effective leader” (p. 39); and Level 5 is defined as an executive. Collins (2001)
developed a model of transformational leadership by conducting a study of managers in private
and various organizations in the public sector for 30 years. The purpose of this study was to
identify the best leadership experiences. Through his research, Collins (2001) found that Level 5
leaders are able to channel their egos and needs away from themselves and to focus on the bigger
picture of building a great company. Collins (2001) also pointed out that Level 5 leaders can
have egos and self-interest; however, their ambition is first and foremost for the institution and
not for themselves. Fully developed Level 5 leaders embody the ability to make “productive
contributions through talent, knowledge, skills and good work habits” (Syal, 2011, p. 1); to
contribute “to the achievement of group objectives” and to work “effectively with others in a
group setting” (p. 1); to organize “people and resources toward the effective and efficient pursuit
of predetermined objectives” (p. 2); “catalyzes commitment to and vigorous pursuit of a clear and
compelling vision [that] stimulates the group to a high performance standards” (p. 2); and build
“enduring greatness through a paradoxical combination of personal humility and professional
will” (p. 2).
Collins (2011) used an analogy to describe leadership in his book, Good to Great, Why
some Companies Make the Leap . . . and Others Don’t: “Leadership is the answer to everything”
(p. 39), and perspective is the modern equivalent of “God is the answer to everything” (p. 39).
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 48
Through this analogy he explained how people historical use God to explain the unexplainable
and how people use leadership to explain what is wrong with an organization. Through his
research he demonstrated how people prevent themselves from obtaining a deeper and more
scientific understanding about what makes a great company. His research shows that all good-to-
great companies had Level 5 leadership during their time of transition from being good to being
great. Level 5 leadership is an empirical finding and not an ideological one, but it does help to
understand why some leaders are not great—that is because they are just good (Collins, 2001).
District Leadership That Works
The academic success of a student’s education is dependent upon whether the school
operates effectively. Marzano and Waters (2009) stated that students who take a test with a
typical 50% passing rate have a 44% difference in their expected passing rate on the same test if
they attend an ineffective school as opposed to attending an effective school. Leadership has a
significant effect on student achievement. The effectiveness of school leadership, as presented
Marzano and Waters, showed that principal leadership has a 0.25 correlation with average
student achievement in a school. These findings show that the actions of the principal have an
effect on student achievement even though the principal does not have direct contact with the
students every school day. Principals do have direct contact with teachers, and the actions of the
principal are part of the mix of activities that in the aggregate have a powerful causal effect on
student achievement. The study conducted by Marzano and Waters sought to understand whether
leadership at the district level has a similar relationship with student achievement. Their study
was designed to answer two questions:
1. What is the strength of relationship between district-level administrative actions and
average student achievement?
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 49
2. What is the specific district leadership behavior area that is associated with student
achievement?
Their findings revealed that when districts and schools are high functioning, they can
positively influence student achievement and that district leadership has a measurable effect on
student achievement. Their research also showed that ensuring collaborative goal setting, estab-
lishing nonnegotiable goals for achievement and instruction, creating board alignment with and
support of district goals, monitoring achievement and instruction goals, and allocating resources
to support the goals for achievement and instruction are district-level responsibilities that corre-
late with student achievement. The authors opposed the idea of district leadership not having a
relationship with student achievement or being an impediment for student achievement.
Chapter Summary
As presented by the literature, there is sufficient research to support that preparation,
recruitment, and retention are essential components in the effectiveness of aspiring superinten-
dents. The superintendent of schools has developed into an important figure in the foundation of
education. The role of the superintendent is essential in the growth and development of student
achievement. The role, responsibilities, and expectations of the school superintendent have
continually evolved and have not shown any signs of lessening (Björk & Kowalski, 2005).
The preparation of aspiring superintendents is essential to the foundational growth of the
position. There are a number of preparation options for aspiring and current educational leaders.
Formal preparation programs are designed to utilize a universal curriculum that follows leader-
ship models, is focused on leadership in the educational environment, and creates a collaborative
learning environment allows educators to actively interact by sharing experiences and taking on
the asymmetry role. Formal preparation programs have contributed to the validation and quality
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 50
standards as well as the integrity of the position of the superintendent (Kowalski & Brunner,
2005). Preparation is a tool that is valued throughout all professions; in the field of education,
this tool is used to enhance, develop, and enrich educational leaders ability to be effective leaders
(Erdem & Aytemur, 2008).
Recruitment for the position of superintendency is an immediate need due to the declining
pool of quality applicants, increasing number of retirements of current superintendents, and the
current compensation for the position (Graff, 2001; Kowalski et al., 2011). Given that the tradi-
tional steps to the superintendency have not changed over time, aspiring and current superinten-
dents are being led down a traditional path that excludes individuals from experiencing a full
continuum of educational experiences. While the percentages of female superintendents and
minority superintendents have increased, the position is still dominated by the traditional group
of people (Kowalski et al., 2011).
Retention and longevity are an asset that does not correlate well with the position of
superintendency. The factors that can contribute to the shortening or extension of a superinten-
dent’s career have a strong correlation with leadership skill sets, board and community relation-
ships, the role and responsibilities of the current position, and intrinsic motivation (M. W. Smith,
2012). The superintendency position is an at-will position that is dependent on the need of the
district and the vision of school board. At any moment if the current superintendent does not fit
into the vision or the district’s needs change, he or she can and will be released from duty.
In summary, the position of the superintendent of schools is a challenging one. The roles
and responsibilities have and will continue to change throughout time, and the need for effective
leadership is a present problem in today’s education environment. The future of the world is in
the hands of the students who are being led by today’s superintendents. There are limits to what
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 51
is understood about educational leadership, and this research study was designed to address those
limits by examining the preparation, recruitment, and retention of the superintendent of schools.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 52
CHAPTER THREE: RESEARCH METHODOLOGY
Restatement of Problem, Purpose, and Research Questions
The superintendency has become more complex and challenging since its beginnings,
with the roles, responsibilities, and expectations continually evolving since the inception of the
position in the early 1800s (Kowalski et al., 2011). Aspiring superintendents must thoughtfully
consider the proper preparation, recruitment strategies, and skill sets for ongoing retention and
success in the position. Preparation programs such as those at universities and nonuniversities,
have made attempts to train prospective superintendents to be recruited and successful in the
position but may have fallen short in their efforts (Barnett, 2004; Björk et al., 2005; Levine,
2005; Perry, 2012). Supports for current superintendents, including networking, mentoring, and
coaching, have also contributed to most superintendents’ ongoing success in the position; how-
ever, superintendent turnover still remains high (Kowalski et al., 2011). Although many superin-
tendents are successful, dismissal from the position ends their career in education (Kowalski et
al., 2011). The fact that disparities in the recruitment and retention of female superintendents and
superintendents of color also exist magnifies the problem for these subgroups (Kowalski et al.,
2011). These inadequacies signify an overall problem in superintendent preparation, recruitment,
and retention.
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California school superintendents. Considering that the role of the superintendent is
critical to student achievement, it is important to identify the preparation, supports, skills, and
relationships that superintendents need in order to meet the challenges and complexities of the
superintendency (Waters & Marzano, 2009).
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 53
To this end, the following research questions were developed:
1. How have training programs and experiences prepared superintendents for the com-
plexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards
regarding the strategies used to help the current superintendent to attain his or her position?
3. What are the perceived strategies that support the retention of superintendents?
This research study was designed to provide significant information on the topic of
preparation, recruitment, and retention of California superintendents. This chapter provides an
outline of the study procedures and the methodology. Specific areas included in the chapter are
the rationale for using a qualitative approach, the research design, sample and population, data
collection protocols, and the data analysis process that was used.
Rationale for a Qualitative Study Design
For the purpose of this study, a qualitative approach was utilized, which employed
triangulation through sequential data collection and data analysis (Maxwell, 2013). In conduct-
ing this study, the researcher based his inquiry on the assumption that the collection of diverse
types of data would provide the strongest understanding of the research problem. In order to
generalize results, the study began with a broad survey of school superintendents, school board
members, and executive search firms. The second step was conducting open-ended interviews
with school superintendents, school board members, and executive search firms. The purpose of
using open-ended interviews was to collect detailed views from participants to help explain the
initial quantitative survey (Maxwell, 2013).
In conducting a qualitative research study, Creswell (2014) stated that using an inquiry
approach that involves collecting and integrating both quantitative and qualitative data and using
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 54
distant designs that may involve philosophical assumptions and the use of a theoretical frame-
work is the best approach to provide a more complete understanding of the research problem.
This study sought to understand and provide relative data for various stakeholders through
interviews, surveys, and triangulation.
Research Design
Conducting research is initially outlined by three basic steps: (a) posing a question, (b)
collecting data to answer the question, and (c) using data to answer the question. The process of
conducting a research study was later identified through six explicit steps by Creswell (2014):
identifying the problem, reviewing current literature, having a specific purpose, collecting rele-
vant data, data analysis, and reporting and evaluating the research. These steps were followed in
the study.
A qualitative study design was used to identify the pipeline to the position of superinten-
dency through preparation, recruitment, and retention of the position. A quantitative Likert-type
scale survey was used to measure the attitudes of superintendents, school board members, and
executive search firms to ascertain their attitudes toward the pipeline to the position of superin-
tendency. Qualitative interviews were conducted with superintendents, school board members,
and an executive search firm. Each interview used open-ended questions to encourage full,
meaningful answers using the participants’ own knowledge. The design allowed participants to
provide a holistic view on the preparation for, recruitment, and retention of the superintendent
position. The design also provided a better understanding of a research problem than quantitative
qualitative data alone (Creswell, 2014).
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 55
Participants and Setting
This study utilized purposeful, criterion-based sampling to identify superintendents,
school board members, and an executive search firm for both quantitative and qualitative inquiry.
Criterion sampling allowed the researcher to select active school superintendents, school board
members, and executive search firms in California for qualitative sampling. The criteria were
active superintendents who (a) were in California school districts, (b) were in school districts
with an enrollment greater than 10,000, (c) were in positions involving public K–12 schools, and
(d) had held the position of superintendent for a year or longer. School board members had to be
in California school districts with an enrollment greater than 5,000 and must have completed
their first term. Executive search firms considered must be ones that placed California superin-
tendents. A quantitative survey was administered through the AASA to California superinten-
dents to ensure the generalizability of findings by minimizing the potential for bias in selection
and controlling for the potential influence of known and unknown confounders. This survey was
administered to all active California superintendents (see invitation email in Appendix A). The
California School Boards Association (CSBA) administered a quantitative survey to ensure the
generalizability of the findings.
Instrumentation
Survey Protocols
For this study surveys were developed for superintendents and school board members (see
Appendices B and C, respectively). Each survey was administered through Qualtrics
™
, an online
survey tool. A total of 36 questions on the ACSA survey and 24 questions on the CSBA survey
addressed all three research questions demographic questions. Each survey was presented with
instructions and demographic questions. The demographic section asked participants questions
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 56
referring to educational background, ethnicity, work history, and work environment. Both
surveys were piloted to respective subgroups. According to Creswell (2014), a survey instrument
requires a pilot study so that the effectiveness of the instrument and the value of the questions
validate the right information to answer the primary research questions.
The surveys were designed to measure the cognitive and affective components of attitudes
of superintendents and school board members by asking a series of questions relating to the
pipeline of the superintendent position. In creating an exceptional survey, a researcher must
include meaningful questions that include standard language and wording, the avoidance of
biased words and phrases, and then pilot to a subgroup of participants (Creswell, 2014). The
surveys took respondents approximately 15 minutes to complete. Each question was designed on
a 5-point Likert scale where 0 = Don’t Know, 1 = Strongly Disagree, 2 = Disagree, 3 = Agree,
and 4 = Strongly Agree. The purpose of the survey was to quantify the perception of preparation,
recruitment, and retention of California school superintendents of schools through the perception
of superintendents and school board members. The data collected from the surveys were cross-
sectional; they were collected at one point in time.
Interview Protocols
Qualitative research (QR) is designed to obtain a profound understanding of a specific
event or organization through the lens of a research problem. This method allows for an explicit
rendering of the structure, order, and patterns found in a group of participants. QR is also the
method of inquiry that seeks to understand social phenomena within the context of the partici-
pants’ perspectives and experiences. The research methods of QR are more flexible, responsive,
and open to contextual interpretation than in quantitative research, which uses inventory, ques-
tionnaires, or numerical data to draw conclusions (Merriam & Tisdell, 2016).
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 57
For the qualitative portion of the study, interviews were conducted with three superinten-
dents, three school board members, and an executive search firm. Maxwell (2013) argued that
there is strength when QR is utilized because it is grounded in process theory and connects
people, situations, and events and each connection can influence another. The interview protocol
was organized around each research question. All of the interviews were audiotaped with signed
permission granted by the interviewees. Each interview was conducted utilizing standardized,
open-ended interview questions, with room for probing. The team of eight researchers designed
an interview protocol for California superintendents (Appendix D), school board members
(Appendix E), and executive search firms (Appendix F).
Interviews allowed the researcher to explore the views, experiences, and perceptions of
superintendents, school board members, and the executive search firm regarding the position of
superintendent, with the understanding that this population could provide a deeper understanding
of the social phenomenon than would be obtained from purely quantitative methods, such as
questionnaires. According to Maxwell (2013), interviews are therefore the most appropriate
when little is already known about the study phenomenon or when detailed insights are required
from individual participants. They are also particularly appropriate for exploring sensitive topics,
where participants may not want to talk about such issues in a group environment.
The interview protocol developed by the research team consists of 13 open-ended
questions in a semistructured format that allowed the researcher to ask follow-up questions.
According to Merriam and Tisdell (2016), follow-up questions are a critical part of the interview
process. The interviews were designed to take approximately 30 minutes. The interviews were
held in person and in the office of each interviewee. Each interview was digitally recorded and
transcribed to Microsoft Word
®
documents.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 58
Data Collection
Data from the survey were collected using Qualtrics, an online statistical survey tool. An
initial email (see Appendix A) was sent out to 350 California superintendents and 300 school
board members, based on a convenience sampling. The email provided background on the
research being conducted and the researcher conducting the study. An initial email was also sent
to all participants explain how the findings would be used. Merriam (2009) noted that it is
equally important to inform participants how their findings will be used. A follow-up email will
be sent out 15 days after the initial email is sent to remind participants to complete the survey.
Participants will spend approximately 15 minutes completing the online survey.
According to Merriam (2009), the main purpose of an interview in a QR study is for the
researcher to make sense of the experiences from the respondent. To ensure the comfort of each
interviewee, interviews were conducted in the office of the participant. All interviews took place
in 2017. During the interview the participants will be given a copy of the 13 interview questions
and were advised that follow-up questions would be asked, depending on the their response. All
questions were verbally asked by the researcher, and the entire process was recorded. After the
completion of all interviews, each participant received an email thanking him or her for partici-
pating.
Data Analysis
According to Maxwell (2013) and Merriam and Tisdale (2016), researchers must make
every effort to start data analysis immediately after the collection of data. The qualitative and
quantitative data collected using the Question Alignment Matrix (Appendix G) was used to
address each research question. The qualitative and quantitative data collected using the survey
instruments and interview protocols were used to address each research question. The researcher
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 59
team collected surveys from 110 participants: 61 superintendents and 49 school board members.
The surveys were collected through Qualtrics, an online survey tool. Qualtrics was also used to
quantify the mean for each survey item and generate reports for each document’s findings.
Transcriptions of the interviews were analyzed through data management, category construction,
and theorized. Through the process of triangulation, qualitative and quantitative findings were
connected to current literature and social cognitive theory as a means of facilitating validation of
the data by cross verification.
Validity and Reliability
To ensure validity and credibility, the researcher utilized different ways of gathering
information to supplement each other and to boost the validity and dependability of the data. The
quantitative data were obtained through closed-ended questionnaires and the qualitative data,
through interviews and open-ended questions. Kurpius and Stafford (2006) stated that validity is
based on how well a test can measure what it is designed to measure. Possible threats to the
internal validity was that the survey given to superintendent and school board participants may
have captured extraneous variables such as emotional reactions and may have failed to capture all
important aspects being measured.
Chapter Summary
In summary, the contents of this chapter explained the purpose of this qualitative study
and discussed the methods used to conduct the study. The chapter presented the problem,
purpose, and research questions. It demonstrated the rationale for this study and the research
design used to conduct this study. The participants, setting, and instrumentation were explained,
in addition to the data collection and data analysis. Triangulation was utilized to ensure the
validity and reliability of the study.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 60
CHAPTER FOUR: FINDINGS OF THE STUDY
This chapter presents the findings from an analysis of the data collected through a qualita-
tive study design that was aimed to examine the preparation, recruitment, and retention of the
superintendent position. The findings from the data analysis provide a clear understanding of the
problems posed in Chapter One of this dissertation. The research questions drove the collection
of the data and the subsequent data analysis. Within this chapter the researcher presents in detail
the findings as well as describes the systematic application of the research methods utilized to
answer the three research questions. The primary purpose of this study was to examine the
preparation, recruitment, and retention of the superintendent position. The secondary purpose of
this study was to understand the perception of the superintendent position through the lens of
current California superintendents, school board members, and an executive search firm
consultant.
This chapter presents the findings from two surveys that were administered by the ACSA
and the CSBA. The chapter also presents the findings of interviews with three California super-
intendents who met the criteria of being currently employed as a California superintendent of a
K–12 school district, had held their current position for more than 2 years, and had held educa-
tional positions such as high school principal, director, and assistant superintendent. In addition
to the superintendents, two California school board members, and one executive search firm
consultant were interviewed. Both of the school board members met the criteria of being current
school board members of a K–12 school district, former board presidents, and having employed
superintendents who followed the traditional career path to the superintendency position. The
executive search firm consultant met the criteria of a being a former California superintendent of
a K–12 school district and having followed the traditional career path to the superintendency.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 61
The combination of the qualitative approach and quantitative data provided a detailed description
of the perceptions of the superintendent position in relation to the preparation, recruitment. and
retention. The approach allowed for triangulation by cross verification from the six interviews
conducted by the researcher, survey data, and current literature on superintendency and the
superintendent position. The findings of this study were based on three research questions:
1. How have training programs and experience prepared superintendents for the com-
plexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards
regarding the strategies used to help the current superintendent to attain his or her position?
3. What are the perceived strategies that support the retention of superintendents?
For qualitative research, maintaining respondent confidentiality while presenting detailed
accounts of experiences, perceptions, and real-life examples presents a unique challenge. Ac-
cording to Bogdan and Biklen (2007), pseudonyms are used to protect the identity of participants
in research studies. To ensure the protection and confidentiality of all participants, pseudonyms
were used for all participants (see Table 1).
Table 1
Gender of Participants and Pseudonyms Used to Identify Them
Participant Pseudonym Self-identification
Superintendent 1 Sup 1 Male
Superintendent 2 Sup 2 Male
Superintendent 3 Sup 3 Female
School Board Member 1 SBM 1 Male
School Board Member 2 SBM 2 Female
Search Firm Consultant 1 SFC 1 Male
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 62
Restatement of the Study’s Purpose
The purpose of this study was to examine the preparation, recruitment, and retention of
California school superintendents of schools. Considering that the role of the superintendent is
critical to student achievement, it is important to identify the preparation, supports, skills, and
relationships that superintendents need to meet the challenges and complexities of the superinten-
dency (Waters & Marzano, 2006). The efforts of this study were focused on obtaining informa-
tion and insight from current superintendents, school board members, and executive search firm
members to obtain precise insight into the superintendent position for aspiring superintendents.
Based on previous and current research, effective and successful superintendents are a future
necessity in public education.
Findings
The data for this qualitative study were derived from interviews and surveys. This study
explored the perceptions of superintendents, school board members, and an executive search firm
consultants on the preparation, recruitment, and retention of the superintendent position. All
interviews were recorded and transcribed in order to utilize participants’ quotes for direct evi-
dence. To assist in building a full database of information that allowed the researcher to further
identify methodologies and strategies, the participants selected for qualitative analysis followed a
traditional career path but varied in profile and demography. The researcher has made every
effort to represent the outcomes as completely and clearly as possible to substantiate and to
present the findings. Following best practices, the findings are presented in descriptive, narrative
form rather than as a scientific report (Creswell, 2014).
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 63
Data Demographic Profile
This study explored the preparation, recruitment, and retention of the Superintendent
position. Duke and Martin (2011) stated that research should be seen as an essential guide to
policy and practice, that research allows one into places and situations that one may never be able
to observe otherwise, and that research is the systematic collection and analysis of data to address
a question. It does not mean that the result is research tested or even research based. Different
kinds of research are good for different questions. It is extremely important to look at the quality
of the research, the ultimate purpose of which is to deepen understanding.
For the purpose of this study, surveys and personal interviews were utilized to collect
data. The survey instrument used was a Qualtrics online survey. Qualtrics is a web-based tool for
creating and conducting online surveys. Two surveys were used in this study: One survey was
sent to current California superintendents who met the purposeful sampling criteria; the second
was sent to current California school board members who met the purposeful sampling criteria.
The ACSA superintendents’ survey was emailed to 350 California superintendents. The total
number of completed responses obtained were 61 (17.42%). The school board survey was
emailed to 300 California school board members. Of these, two individuals opted out and four
emails did not reach the addressee. There were a total of 49 completed responses, generating a
response rate of 16.33%. The survey procedures were conducted to obtain a high response rate
from the participants in the study. According to Creswell (2014), a 50% response rate or higher is
considered high. Table 2 summarizes the number of surveys sent and the response rate.
There were six individual, semistructured interviews conducted for this study: three
superintendents, two school board members, and one executive search firm consultant. Semi-
structured interviews were described by Creswell (2014) as a powerful tool to understand human
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 64
Table 2
Summary of Surveys Administered and Response Rate
Survey Number administered Response rate
ACSA survey 350 17.42%
CSBA survey 300 9.7%
Note. ACSA = Association of California School Administrators; CSBA = Cali-
fornia School Boards Association.
beings. The interviews were face-to-face and occurred in the offices of each person being
interviewed. Each interview ranged ranged from 15 to 30 minutes in length and was audiotaped,
transcribed verbatim, and coded to facilitate subsequent data analysis. The interviewed partici-
pants were purposefully selected and met the purposeful sampling criteria for superintendents,
school board members, and executive search firm consultants.
The criteria for superintendents was for the participant to currently hold the position of a
California superintendent, to be currently employed as a superintendent of a K–12 school district
of 10,000 students or more, to have completed a doctoral program, to have been a former high
school principal, to be employed in a unified school district, and to have served at least 5 years in
the superintendent position. Table 3 details the superintendent criteria data.
The criteria for school board members was for the participants to have served on a school
board of at least 5 members, have at least 4 years of experience in the position, and for their
current superintendent to meet the purposeful sampling criterion for the superintendent’s crite-
rion sample. Table 4 details the school board member criteria data.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 65
Table 3
Criteria Data for Interviewed Superintendents
Approximate
School student School Doctoral Number of years
Interviewee district enrollment location program in position
Sup 1 967 11,000 urban EdD 5
Sup 2 160 12,000 urban EdD 8
Sup 3 3,000 11,000 urban EdD 6
Note. EdD = Doctor of Education; Sup = superintendent.
Table 4
Criteria Data for Interviewed Superintendents
Approximate
Years of Number of student School Doctoral program Years of super-
Interviewee experience board members enrollment location of superintendent in position
SBM 1 4 5 11,000 suburban EdD 10
SBM 2 5 5 23,000 urban EdD 12
Note. SBM = school board member.
The criteria for the executive search firm consultant was for the participant to have at
least 10 years in the field of education, at least 5 years as a search firm consultant, and to have
been a former superintendent of schools who met the purposeful sampling criteria for the superin-
tendent sample. Figure 1 details the school board member criteria data.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 66
Interviewee
Years as
Consultant
Approximate
Student
Enrollment in
Supt.’s District
School
Location
Superintendent’s
Doctoral
Program
Number of
Years as
Superintendent
SFC 2 12 25,000 urban EdD 24
Figure 1. Criteria data for interviewed search firm consultant (SFC).
Research Question 1
How have training programs and experience prepared superintendents for the complexi-
ties and challenges of the superintendency?
The superintendent position has experienced many reforms through its tenure in educa-
tion. The position is becoming more complex and challenging each educational year from public
and educational demands such as the No Child Left Behind Act of 2001 (2011) and more recently
the Common Core Standards Initiative (Simpson, 2013). As this leadership position has ex-
panded, the roles and responsibilities have expanded as well. The demands within the position
have created expectations that require someone to be responsible for determining the needs of the
students, the schools, and the community while deciding how improvement initiatives would be
carried out to improve student achievement. The preparation of aspiring superintendents is a key
factor in future leaders being able to meet those demands and expectations. Historically, there
has been dissatisfaction with the academic preparation of superintendents, this dissatisfaction is
with the content and effectiveness of university-based programs and their structure (Levine,
2005).
The data analysis of this research revealed three common themes that indicated how
training programs and experience have prepared superintendents for the complexities and chal-
lenges of the superintendency: (a) the importance of prior work experience, (b) mentorship within
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 67
the superintendency, and (c) the utilization of networking. Table 5 summarizes the response rate
of the ASCA survey protocol for the questions that correlated with Research Question 1.
The importance of prior work experience is significant in the preparation of superinten-
dents for the complexities and challenges of the superintendency. As illustrated in Table 6, 89%
of current California superintendents strongly agreed or agreed that their prior work experience
was more important than their university training experience in preparing them for their position
as superintendent. This finding was significant because 66% of current California superinten-
dents strongly agreed or agreed that university programs provided them with the training and
experience that were important in preparing them to become a superintendent. The survey data
from the CSBA group showed that over 90% believed that their prior work experience was more
important than their university training experience. These data revealed that prior work experi-
ence had a positive effect on superintendent preparation. In the education field, there are a
plethora of positions, from classified to certificated, for educators to obtain to gain experience.
Of all of the educational positions available, the most cited position that gave the interviewed
superintendents the most experience for the position when asked, “Where did you receive your
most effective training?” was as a high school principal. According to Sup 1, “Where did I
receive my most effective training? I would say it was on-the-job training. And so I think my
experience as a high school principal as well as, believe it or not, a head football coach” (inter-
view, October 5, 2017). Sup 2 noted:
I think at every level there was something in the classroom, from teacher to assistant
principal to principal, director, assistant superintendent. Each one of those situations
gave me greater insight of practicum, and then the personality that one has and wants to
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 68
move into leadership because leadership is not for everybody. (interview, October 26,
2017)
The interviews revealed that prior work experience was key to the success in preparing
aspiring superintendents for the position. Through the interview process, superintendents, school
board members, and executive search firm consultants detailed a clear picture that showed that
prior work experience is the most effective training for the superintendency position. Consistent
across all interviewees was that the most effective training was on-the-job training.
Sup 1 believed that the most effective training was on-the-job training and that the
position that prepared him the most was his experience as a high school principal and head
football coach. Sup 1 also believed that his experiences as an assistant superintendent and having
earned a doctoral degree from USC were also beneficial: “My experience working with a great
mentor when I was an assistant superintendent/deputy superintendent—that was the most worth-
while training. If you’re looking for formal training, I would definitely say it was the doctorate at
USC” (interview, October 5, 2017).
Sup 2 believed that the most effective training for him was his experience at each level in
education, even as a student teacher. Being that there were many people with whom he worked
and under whom he worked gave him various insights, techniques, and practices:
Again, I think it goes to each experience I had at every level, even as a student teaching.
There were people that I worked with and worked under that gave me different insight,
techniques, and practices. Obviously when you were a classroom teacher, you’re focused
on the instructional content. But you still have to manage, and part of moving into admin-
istration entails that management obligation as well as getting people to understand and
see a vision and buy into that vision. (interview, October 26, 2017)
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 69
Sup 3 agreed that her most effective training was every position she held in education.
She believed that every single position had had a positive influence on her ability to be an
effective superintendent:
I would say the training . . . The most effective training has been, every position I’ve held
in education has led me to this place. I can honestly say that I never thought I was gonna
be a superintendent, so it’s not like I patterned my career with this goal in mind. Every
single position I’ve held has been my favorite position, and I never thought I would do
anything else. (interview, November 2, 2017)
SBM 1 accredited experience, academic training, and earning a doctorate as his superin-
tendent’s most effective training:
Probably it’s a mix between the academic training that he got, getting his doctorate as
well as the experience being on the job. I think it’s gotta be a half, 50/50 mix. It’s not
like, sorta the nature or whatever—it’s like, “Where did you get it from?” So, there’s a
lot of technical stuff that you learn, but it’s the experience of being there, and I’m sure
he’s much better now than he was 10 years ago. (interview, October 13, 2017)
SBM 2 affirmed that on-the-job training was the most effective training for the superin-
tendency and emphasized that this was one of the traits that was visible in the last superintendent:
I really felt that he got his most effective training on the job just based on the stories that
he told me and the experiences that he had as past superintendent. I feel that he received
his most effective training on the job. (interview, October 10, 2017)
The executive SFC credited the principalship as the most effective training for the super-
intendency and the position that was held in the highest regard when recruiting and placing future
superintendents:
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 70
I think in the principalship is the most critical piece because you’re dealing with, not only
the political aspects of the community you’re serving—but you’re dealing with difficult
staff, you’re dealing with unions, you’re dealing with the athletic department, you’re
dealing with the coaching staff. (interview, October 10, 2017)
Mentorships affect career outcomes and can lead to higher income, higher job satisfac-
tion, and career promotions (Schipani, Dworkin, Kwolek-Folland, & Maurer, 2009). Mentoring
is a practice that address hard skills for a leader to succeed in education; it also addresses the soft
skills, such as ethical decision making. These skills together address the “whole person” or the
“whole leader”(Conyers, 2004). Mentorship in superintendency is a successful practice in
preparing superintendents for the complexities and challenges of the job. Data analysis from the
ACSA and the CSBA surveys revealed that having mentors was instrumental in the preparation
for the superintendent position. The data collected from the superintendent survey indicated that
85% of current California superintendents agreed that having a mentor was instrumental in their
preparation for the position. The data collected from the CSBA survey shows that 82% of the
superintendents believed that having a mentor was instrumental in their preparation. Knowing
that, having a mentor could lead to training in the political operation of education and create
opportunities through access (Schipani et al., 2009); having a mentor is a definite necessity in the
position of the superintendent.
Data collected from interviews also revealed that mentorship in superintendency is a
successful practice in preparing superintendents for the complexities and challenges of the
position. The superintendents interviewed discussed the most important professional relation-
ships that helped them to prepare for the superintendent position. All of the superintendents
stated the importance of having a mentor. Sup 1noted:
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 71
As we like to say, we have a board of directors, and so I would say I was fortunate enough
to have some great mentors that were sitting superintendents at the time. Mike Escalante,
it’s all the Mikes, okay–Mike Miller, Mike Castine, Rudy Castrida; Kep Beckler comes
into play. And so I was very fortunate enough to have some great mentors. (interview,
October 5, 2017)
Sup 2 commented:
So I think it just comes from that on-the-job experience and having people that are willing
to work with you, coach you, mentor you. And bring you up to if that’s what you wanna
do, to move into that chair. And so I think all along it’s just relationships that are built
and grabbing the skill set of the people you’re working with and see their strengths. And
then, how does that match into the strengths that you have, because you can read Marzano
and you can read all the other leadership books and so on and so forth, and maybe you
say, “Well, I think I have that trait,” and you probably do, but then are you able to practice
it? (interview, October 26, 2017)
Sup 3 stated:
I would say, my very first principal when I was in public school. . . . I was in private
schools prior to going to public schools. . . . And my very first public school principal is
the one who instilled in me the thought and belief that I could be an administrator, which
was something I had never even considered. I didn’t . . . I never thought I would aspire,
nor would I have the professional ability, to run a school. And I had a principal who sat
me down in his office and said, “I believe you’d be a really good administrator,” and
that’s pretty much all I needed to start the process of thinking about it. (interview,
November 2, 2017)
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 72
The utilization of networking is effective in preparing superintendents for the complexi-
ties and challenges of the superintendency. The data gathered from this study plainly demon-
strated the effectiveness of networking in superintendency. As stated in Chapter Two, there are
formal and informal networks for superintendents. Both networking systems serve several func-
tions such as friendship, promotion, providing information, and sharing knowledge; networking
benefits all parties involved, especially in the superintendent position. More than 77% of current
California superintendents felt that having a professional network of support was important in
their preparation for the superintendency (Table 5), and 93% of current California superinten-
dents noted that informal networks of support were important in their preparation for the superin-
tendency (Table 5). This quantitative data analysis was consistent with the qualitative data
collected for this study. Networking is a theme that was present throughout each interview. The
superintendent group of interviewees discussed how networking prepared them for the position
of superintendency. Sup 3 stated that
all the things that I did in my career that led to really benefitting me in getting the position
of superintendency was how much networking I did. Not on purpose networking, like
going to lunches or anything like that, but serving on a WASC [Western Association of
Schools] accreditation team for 12 years all over the region. (interview, November 2,
2017)
Sup 2 stated that he was not a person who sought out networking opportunities to spring-
board his career, nor was he a superintendent who had a networking group. Formal networking
was not something that Sup 3 focused on, but informal networking was a tool that he utilized. He
had a relationship with the local superintendents near his district, and he was a member of ACSA
and used the services of ACSA.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 73
Table 5
Summary of Superintendents’ Survey Responses for Research Question 1 (in Percentages)
DK or
Question SA A D SD N/A
University programs provided me with training and expe-
rience that were important in preparing to become a
superintendent. 14.75 50.82 26.23 8.20 0.00
My prior work experience was more important than my
university training experience to prepare me for my position
as a superintendent. 67.21 21.31 8.20 1.64 1.64
Holding a doctoral degree was important in preparation for
my position as a superintendent. 25.81 17.74 11.29 17.74 27.42
Nontraditional training programs (such as The Broad
Academy) are important in preparing me for my position
as superintendent. 4.84 14.52 17.74 4.84 58.06
Holding certification and/or licensure from organizations
(such as ISLLC, AASA/USC, ACSA) were important in
preparing me for my position as a superintendent. 9.68 40.32 24.19 11.29 14.52
Having mentors was instrumental in preparing me for the
superintendent position. 64.52 20.97 11.29 1.61 1.61
A professional network of support (such as AASA,
ACSA, or through a university) was important in preparing
me for my position as a superintendent. 30.65 46.77 16.13 1.16 4.84
Informal networks of support (such as professional col-
leagues) were important in preparing me for my position
as a superintendent. 54.10 39.34 4.92 1.64 0.00
Networks with university professors were important in
preparing me for my position as a superintendent. 9.68 27.42 38.71 20.97 3.23
Creating a “First 100-Day Entry Plan” was important
in preparing me for the interview/transition into the
position as a superintendent. 31.15 24.59 27.87 8.20 8.20
My university training program provided intentional
supports or resources to prepare females to enter into
the superintendent position. 6.67 15.00 30.00 21.67 26.67
(continued)
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 74
Table 5
DK or
Question SA A D SD N/A
My university training program provided intentional
supports or resources to prepare people of color to enter
into the superintendent position. 8.06 19.35 17.74 20.97 33.87
Having experience as a principal is a crucial element in
preparing me for the position of superintendent. 68.85 22.95 4.92 1.64 1.64
Note. DK = don’t know; NA = not applicable. ISLLC = Interstate School Leaders Licensure
Consortium; AASA = American Association of School Administrators; USC = University of
Southern California; ACSA = Association of California School Administrators.
The executive SFC interviewed believed that networking is absolutely critical in obtain-
ing the superintendent position:
I think that networking . . . I think the USC network is absolutely critical. You have
people like Dr. [name omitted for confidentiality and myself, Dr. [name omitted for
confidentiality) that are people that can help you. And I think those networks are really
important. I’m coaching about nine superintendents right now, and they’re people that
have had me in class or have known the network we have here at USC. I think most
superintendents that are successful will lean on people that they see as someone who can
help them. (interview, October 10, 2017)
Networking is a formal and informal tool that can be used to benefit aspiring superinten-
dents in attaining the superintendency. Networks have been used throughout time as the founda-
tion of interdependence that involves multiple organizations. Networking is the construction,
design, and use of a network that exhibits structural stability but that extends beyond formally
established linkages and policy legitimated ties (O’Toole, 1997).
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 75
Research Question 2
What are the perceptions of current successful superintendents and school boards regard-
ing the strategies used to help the current superintendent to attain his or her position?
Recruitment for the superintendent position is one of the most difficult administrative
challenges that board members face in filling superintendent vacancies (Glass, 2001). This
problem has been consistent throughout education without an inclination of improvement. There
has been a declining pool of quality applicants since the early 2000s, and the massive retirement
of the “baby boom” generation has created a national shortage of qualified superintendents in the
position (Glass, 2001). The selection of a superintendent is one of the most important decisions a
school board can make. The decision will have an affect on student performance, district expec-
tations, financial stability, and have political implications.
The data from this study revealed three emerging themes as factors in being recruited for
the superintendent position: (a) the effectiveness of having a mentor or professional network as
an aspiring or current superintendent; (b) proactive steps towards being recruited; and (c) the
effects of a person’s race, gender, and ethnicity in being recruited for the position. Figure 2
depicts the responses of current California superintendents, school board members, and executive
search firm consultants when asked why they or their current superintendent was recruited for the
position.
Survey data in this study revealed that more than 74% of the surveyed California superin-
tendents by the ACSA agreed or strongly agreed that having a mentor was an important process
or strategy for being recruited into their current position as a superintendent; 80% of the CSBA
survey group agreed or strongly agreed with the same statement. Mentorship was a consistent
theme throughout this study and showed the importance of a meaningful relationship. As an
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 76
Superintendent 1
I’m very humbled by the position, and one of the things I have always tried to do is to
work extremely hard and be successful in the current job that I have, and then the rest
has kind of taken care of itself. And so I think if you concentrate on the job at hand
and you do a good job, people take notice.
Superintendent 2
I think just because of how I displayed my skill set before. Disposition is very impor-
tant as a superintendent on how you respond to the demand of the position, the chal-
lenges of the position. Sometimes I hate to use the word stress; I like the word chal-
lenges better.
Superintendent 3
I think I was encouraged by my superintendent because he knows I’m gutsy and I’m
willing to take a risk and I stand for what’s best for kids, and I am not a status quo
person, and I’m not somebody that makes decisions that are politically correct just
because they’re politically correct—that I will stand apart and that I know that I’m not
liked by everyone, but I don’t make decisions based on what’s gonna make me liked—
I make decisions based on what’s best for kids
School Board
Member 1
He was actually promoted from within. So it was experiences on the site, dealing with
personnel, dealing with budget, dealing with finance, dealing with facilities. So he was
able to point to his experience and everything he had done.
School Board
Member 2
I was not part of that hiring process so I wouldn’t be able to let you know what that
school board members at the time were looking for; but if I was part of that group,
again, I would make sure that that superintendent was able to deal with a large, large
school district versus a little one.
Executive Search Firm
Consultant
Integrity, speaking with the truth, being transparent. And again, I go back to track
record. Nobody’s gonna change their style. They may have been a superintendent for
3 or 4 years or 5 years, and they’re coming into a new district—they’re not gonna
change overnight. So, I know exactly what they’re like, how they deal with people and
how they deal with the previous boards. And again, I come back to—I need to see
evidence that they were successful. If they were having a difficult time with the board,
it ain’t gonna change when they come to the new job. So that’s what I look for.
Figure 2. Participants’ responses to why they or their current superintendent was recruited.
aspiring superintendent or a superintendent looking for a change, one’s relationships will
have an influence on one’s decisions and career options. Meaningful relationships such
as mentorship or apprenticeship hold more value than networking relationships. Data
collected from the ACSA superintendent survey showed that 52% of current superinten-
dents believed that being a part of professional networks was important in being recruited
for their current position; 73% of the CSBA surveyed group believed that networking
with executive search firms was an important process or strategy in recruiting future
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 77
superintendents. The most successful strategy is to utilize both strategies. Mentoring
programs are studied widely and are reported to be effective in enhancing career develop-
ment in education (Alsbury & fdHackman, 2006). Mentoring is a tool in leadership that
can be used to enhance, develop, and enrich a person’s ability to be an effective leader.
Interview data from this study revealed that a person’s prior experiences are instrumental
in the recruitment process for the superintendent position (see Figure 2). The superintendents,
school board members, and executive SFC who were interviewed agreed that prior experiences in
education made them most favorable to hire. The process of being recruited for the superinten-
dent position is challenging because aspiring superintendents do not know what factors school
boards hold most favorable in hiring—thus leaving aspiring superintendents to wonder what
proactive steps they can take toward attaining the position.
The data analysis from this study showed that there are two proactive steps that aspiring
and current superintendents can take for being recruited for the position of superintendent: (a)
presenting an entry plan and (b) building relationships. In terms of presenting a plan, the survey
data indicated that 68% of the ASCA group and 77% of the CSBA group surveyed believed that
creating an entry plan was important in preparing them for the superintendent position. The
interviewed participants believed that it helped them during the recruitment process. For exam-
ple, Sup 1 said: “Yes. So I am big on 100-day plans. It just shows that you’re prepared, and
you’ve thought things through and are well organized—present a good picture to the people that
are prospectively gonna hire you” (interview, October 5, 2017). Sup 2’s response to the same
question was the following:
Yes and no. One, because I had such a rich history here. I kinda knew what I was walk-
ing back into. Working under Mr. [name omitted for confidentiality) was a very smooth
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 78
transition coming in at a time where we were just at the final point of the Great Recession,
so we had to stabilize. So the 1st year I basically had a chance to filter out what had been
reduced and why, and then start to reconsider what are we gonna bring back and how
we’re gonna bring it back. So the transition was more smoother on me because I knew
people here. My transition to my old district was probably more challenging ‘cause
obviously going to a district where I didn’t know anybody, but walking in and started to
ask the questions. What is working? Why is it working? And what are the next steps
look like for the path that we’re on? And seeking that information out from the other
assistant superintendents, the superintendent, principals, and key teachers in the district.
That then allowed me to create a plan of professional development and instructional
techniques and strategies to bring into my old district, to then help them move forward.
(interview, October 26, 2017)
Sup 3 stated:
My goal was to be in every single classroom and meet every single teacher and every
single employee in the first 30 days. And then in the first 100 days, I wanted to meet at
least 100 community members and have a conversation face to face about what they
believe would make the school district better. What do they hope to see? What would
they like me to achieve? Tell me about what you do, and tell me about the community.
Also, in the first 90 days, just knowing everyone in the district office, developing relation-
ships, having some informal time for chatting. But when I took the job, there was an
added challenge because we were 9 million dollars in debt and I had 4 months to reduce
that deficit; otherwise, the school district was gonna go into state receivership and I would
have lost my job. So I had to cut a lot. I did a lot of saying “no.” And I had sort of an
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 79
interesting challenge of trying to build relationships while cutting 9 million dollars.
(interview, November 2, 2017)
The school board members were asked, “How important is it for a prospective superinten-
dent to have an entry plan when being recruited?” SBM 2 was not part of the hiring process of
her current superintendent. However, SBM 1 was comfortable in responding:
I think it’s very important because it will differentiate you from anyone else who doesn’t.
If I’m looking for a superintendent and I have one of them that says, “Look at my experi-
ence—I’m really good.” And the other one walks in and says, “Okay, you got a good
school district but this is what I wanna change. I can make things better by doing this. I
think we can realign this. You need to hire in this department because you don’t have
enough people, or you have too many people over here.” All of a sudden it’s like, “This
guy knows what he’s doing. He can get in there and do the job.” And that would be if I
had one that did that and four others that didn’t. Unless there’s something really blaring
on the record, that’d be the guy that would easily get my vote. (interview, October 13,
2017)
SBM 2 commented:
I was not part of that hiring process, so I wouldn’t be able to let you know what that
school board members at the time were looking for; but if I was part of that group, again, I
would make sure that that superintendent was able to deal with a large, large school
district versus a little one. (interview, October 12, 2017)
The executive SFC was asked “Do superintendents you recommend present a data entry
plan when being recruited into the position?” He responded:
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 80
All superintendents that I recommend to the boards have a 60- or 90-day entry plan. They
don’t have an entry plan. And I give them a model, a template. You have that template.
They present to the board. They just can’t come in without how they’re going to operate
once they get the job. So, I think that’s absolutely critical. (interview, October 10, 2017)
The data showed that being prepared with a detailed plan on how a prospective superin-
tendent will move the district is a proactive step that is supported by current superintendents,
school board members and executive search firm consultants. The second proactive step that
aspiring and current superintendents can take in the recruitment process is building relationships.
Interview data indicate that professional relationships help aspiring superintendents to prepare for
the superintendent position. The relationships that were utilized by the interviewed participants
were collaboration with past and present colleagues, mentors, school board members, and other
local superintendents.
Recruitment within the superintendency is challenging due to the historical, social, and
political factors within communities and school districts. There is a belief that outside factors
create inherited social, emotional, moral, and intellectual characteristics that are biases toward
various subgroups (Tozer, Violas, & Senese, 2002).
Past and current research supports gender, race and ethnicity bias within the superinten-
dent position (Brunner & Grogan, 2007; Schipani et al., 2009). Gender bias has been evident in
education since the beginning, and it has been consistent throughout the history of the superinten-
dent position—demonstrating inequities in race and gender and aligns with critical race theory
(CRT). The history of women in education demonstrates a pattern that shows the oppression of a
specific subgroup of people. This pattern started with the idea that women were less intelligent
than men, not fit to be taught, and not academically prepared to educate others (Lloyd-Jones,
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 81
2009). Gender role conflicts and racial biases have manifested as a norm in educational leader-
ship. From the perspective of gender, women are underrepresented in educational leadership
(Kowalski et al., 2011). From the perspective of race or ethnicity, White males have a higher
representation in holding superintendent positions and reach the position of superintendency
faster than people of color and women (Kowalski et al., 2011). Data collected in this study did
not refute past research on this issue but did show growth in the area of race, gender, and ethnic-
ity. The data indicated that 80% of the ACSA surveyed group and 90% of the CSBA surveyed
group disagreed or strongly disagreed that gender is not an important factor for being recruited
into the superintendent position. Morever, 67% of the superintendent group and 80% of the
CSBA group disagreed or strongly disagreed that race and ethnicity are not important factors for
being recruited into the superintendent position (see Figure 3). Of the surveyed population from
the superintendent group, 6% identified as Black, 11% identified as Latino, and 63% identified as
White (see Figure 4).
The findings from the survey data regarding gender, race, and ethnicity in the superinten-
dency converged with the literature presented in Chapter Two. The literature and survey data
indicated that people of color and women are underrepresented in the superintendency position
but that the percentages of representation have been increasing over time (Kowalski et al., 2011).
Research Question 3
What are the perceived strategies that support the retention of superintendents?
According to Gardner (2008), there are five aspects that are necessary for a fast-paced and
unpredictable future: being disciplined, synthesizing, creating, respectful, and ethical minded.
With respect to these aspects, Gardner described this person as being able to deal with what is
expected as well as what cannot be anticipated. The superintendent position requires a person
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 82
Figure 3. Responses of surveyed superintendents regarding influence of
race, gender, and ethnicity on being recruited for the position. ACSA =
Association of California School Administrators; CSBA = California
School Boards Association.
Figure 4. Self-identified ethnicity of total surveyed population.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 83
who embodies these five aspects because the position is fast paced and the future is unpredict-
able. Retention in the superintendent position is not guaranteed even though there is a declining
pool of quality applicants and a discrepancy of female and minorities in the position. The
average years of service in the superintendent position is 7.25 years (Glass et al., 2000). The
superintendents who tend to be relieved from duty are usually older and have longer tenure and
experience. They are less likely to be people who were promoted within the district, have a
salary that is approximately $2,000 lower than those who are retained, and work in high turnover
counties such as rural districts (Grissom & Mitani, 2016).
Factors that have contributed to the shortening or extension of a superintendent’s career
correlate with their leadership skills sets, relationships with boards and community, role and
responsibilities, and intrinsic motivation (M. W. Smith, 2012). The data analysis from this study
presented three strategies that support the retention of superintendents: (a) board relationships,
(b) perceived skills, and (c) training. The data indicated that the relationship between the super-
intendent and the school board is significantly important in a superintendent being retained. The
survey data showed that more than 96% of ACSA superintendents believed that their relationship
with their board of education determined their success in retaining their position as superinten-
dent. The relationship between superintendents and school board members has a variety of
challenges and increased complexities that have had an impact on the retention of current super-
intendents and aspiring superintendents (Moody, 2007).
The interviewed superintendents were asked about relationships, specifically what rela-
tionships they believed supported their retention. Sup 1 responded: “The individual relationships
you have with each and every board member, as well as your cabinet. I think trust but verify,
open honest relationships, but you always have your political head on” (interview, October 5,
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 84
2017). Sup 2 answered: “Relationships, obviously, with your governing board are critical—
relationships with your cabinet, relationships with your other leadership team members, and then
a key certificated staff outside with some of your key teachers” (interview, October 26, 2017) .
Sup 3 noted: “Well first of all, the school board—I have five bosses. I would say the school
board, employees, the students, the parents, the community” (November 2, 2017).
The interviewed school board members and the executive search firm consultant re-
sponded to the question, “What relationship do you believe supports your superintendent’s
retention?” SBM 1 answered:
I’d say, in a way, all of them. He has to have a really good relationship with the board,
but at the same time he has to have a good relationship with the unions and there’s three
unions he’s gotta have good relations with. If one of those unions or two of those unions
all of a sudden have a really horrible relationship with him, that will affect everything and
that will affect ours. And also just the community in general—probably more parents
than anything else but . . . You don’t get complaints from anybody, then retention is a lot
easier. If you’re getting complaints from multiple groups, there’s definitely a problem. If
it’s one group, then it’s usually that one group. (interview, October 13, 2017)
SBM 2 responded:
I believe that he’s a very honest superintendent. He has a tendency of being very support-
ive with his cabinet as well and his staff, and he sets the tone by being very, very polite
and courteous and always, always very civil—even when people are just rude. (interview,
October 26, 2017 )
The SFC replied:
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 85
Well, the only way they’re gonna be retained is with the board, but they also have to
understand the community they’re working with. If the community doesn’t like what
they’re doing, he better have or she better have board support. So it’s a double-edged
sword that you have to be able to communicate with, not only the board, but the commu-
nity, the city—all those things will help you retain your position as a superintendent.
(interview, October 10, 2017)
The survey data indicated findings that supported the relationship between the two groups
by showing that more than 77% of the surveyed superintendents endorsed the fact that their
relationship with their board determined their desire to continue in their position as superinten-
dent. The relationship between the superintendent and the school board of education is impact-
ful; 52% of the surveyed participants indicated that their relationship with their board was more
important than their compensation.
The qualitative data for this study were consistent with the quantitative data, thus con-
firming the importance of board relationships, training programs, and the superintendent skill set.
The three interviewed superintendents, the two interviewed board members, and the interviewed
executive search firm consultant were asked three questions that related to retention of the
position of superintendent, important relationships for superintendents, superintendent training
programs, and skills that superintendents use in retaining their current position. Figure 5 depicts
the data gathered through interviews of all six participants interviewed for this study to support
the common themes stated as essential components to retaining the superintendency.
In addition to relationships with the school board and training programs, the interview
data revealed that the intrinsic skills of a superintendent constitute a major factor in their ability
to retain their position. The data analysis from the surveys shows that a low percentage of current
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 86
Interviewee
Relationships that support
retention?
Training programs that
support retention?
Superintendent skills that
support retention?
Superintendent 1
The individual relationships you have with
each and every board member, as well as
your cabinet. I think trust but verify, open
honest relationships, but you always have
your political head.
I think ongoing training is huge. So it just
takes on a different look. And so, picking
and choosing, and oftentimes it’s more about
being in professional organizations that pro-
vide the training, such as SoCal Sups.
The individual relationships you have with
each and every board member, as well as
your cabinet. I think trust but verify, open
honest relationships, but you always have
your political head
Superintendent 2
Relationships, obviously, with your gov-
erning board are critical, relationships
with your cabinet, relationships with your
other leadership team members, and then a
key certificated staff outside with some of
your key teachers.
Retention and ongoing training. I think your
ongoing training is limited. Again, through
California School Board Association and
workshops there, I'll use their references.
But other than that, it’s your obligation as
superintendent to make sure that you’re stay-
ing on top of what’s transforming from CDE
[California Department of Education] .
You've gotta be open. You have to be hon-
est. You have to be willing to take criti-
cism. You have to be willing to stand for
what you believe is philosophically correct.
And I think if you do those things, even
though board members might not agree
with you wholeheartedly, they can find
common ground.
Superintendent 3
Well first of all, the school board—I have
five bosses. I would say the school board,
employees, the students, the parents, the
community.
I attended a network of superintendents, got
together just to talk about key topics. And
so we were in a room together for 2 hours
over lunch, just brainstorming and shooting
ideas off of one another. I like being around
superintendents because we have . . ‘Cause
unless you’ve sat in the seat, it’s kind of
hard to explain what you do. And so I’d say
networks of superintendents in conver-
sations.
Hire only the best and don’t hire unless you
have found the best. Be willing to get the
right people on the bus and the wrong peo-
ple off the bus. Let's see . . . Be nice and
visible and accessible to the classified staff.
The bus drivers are just as important as the
teachers, and make sure that they know
that.
School Board
Member 1
Well, if I go to the one that we did the hir-
ing on, I don’t think he strategically used
professional relationships. In fact I think
that’s one of his weaknesses is he needs
more of that. He needs to really leverage
other people.
Well, I said on the job is the best training. It
doesn't mean that you don’t do anything else
because there are situations that you’re not
gonna learn about on the job that you wanna
be prepared for. And so, I think that con-
tinue education, seminars, all that kind of
stuff, is always required.
I don’t know about the long-term one, but
the other one, we interviewed him and he
did give us some sort of a plan. So I don’t
know exactly what an entry plan would be,
but he did present us his thoughts on hiring,
on schedule changes, things like that.
Yeah, I would say he did.
School Board
Member 2
Again, he’s been on the job for many,
many, many, many years so I wanna say
that there are younger superintendents that
are reaching out to him, only because he
has such amazing knowledge running
school districts.
I’m gonna say that you can never have
enough education, or you can never have
enough training.
[No valid response]
Search Firm
Consultant
Well, the only way they’re gonna be re-
tained is with the board, but they also have
to understand the community they're
working with.
I think training is professional development,
being engaged with ACSA. But I think,
more importantly is being involved with su-
perintendent groups
Well, it’s a road map. It’s a road map of
what we’re gonna do in the district. And
without any type of a road map, you don’t
know where in hell you’re going. So, I
think that’s really important that they estab-
lish a strategic plan with the board and criti-
cal stakeholders in the district.
Figure 5. Summary of responses by interviewed participants regarding retention of superin-
tendent
California superintendents and school board members felt that a superintendent’s race and
ethnicity may influence others’ expectations of the individual. However, the same surveyed
group believed that their skills or ability to develop a plan supported their success in retaining
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 87
their position as superintendent. Educational leadership is the use of professional knowledge and
skills that are used to create conditions in which each child can reach his or her full potential
when given an equal opportunity to be successful (W. F. Smith & Andrews, 1989). Leadership
skills and abilities in the superintendent position are important factors in the recruitment of the
position, due to the complexities of the position. The impact that leadership has on student
outcomes depends on the particular leadership practices leaders engage (Robinson, Lloyd, &
Rowe, 2008). Strong leadership practices affect the school and district process and mediate the
effects of leadership on student achievement (Sebastian & Allensworth, 2012). The data analysis
of the surveyed participants showed that 40% of current superintendents agreed that their univer-
sity training program provided them with processes or strategies that currently supported their
success in retaining their position as a superintendent. Other trainings such as professional devel-
opments were rated higher in providing support in retaining their current position. Of the sur-
veyed population, more than 80% of the ACSA group strongly agreed or agreed that receiving
on-the-job professional development training such as conference attendance was a process that
supported their success in retaining their position as superintendent (see Figure 5).
Chapter Summary
This chapter examined the results of interviews and survey data to identify the strategies
and practices being used by aspiring and current superintendents, current school board members,
and an executive search firm consultant in the preparation, recruitment, and retention process
within the superintendency position. Data analysis for the first research question revealed three
themes that described how training programs and experiences have prepared superintendents for
the complexities and challenges of the job. The first theme was the importance of prior work
experience. Superintendents who had varied experiences throughout the field education, such as
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 88
having experience as a high school principal, were seen as having proper preparation for the
position. The second theme was mentorship within the superintendency; responses revealed that
mentorship in superintendency is a successful practice in preparing superintendents for the
complexities and challenges of the position. The third theme was the utilization of networking, a
theme that indicates that understanding that both networking systems (formal and informal) serve
several functions such as friendship, promotion, providing information, and sharing knowledge.
Networking benefits all parties involved, especially in the superintendent position.
Data analysis for Research Question 2 revealed three factors that aligned the perceptions
of current successful superintendents and school boards regarding the strategies used to help
current superintendents attain their position. The first factor was the effectiveness of having a
mentor or professional network. Having a mentor or being a part of a professional network
enhances, helps to develop, and enriches a superintendent’s ability to be an effective leader. The
second factor is that preparation is an effective strategy in being recruited. The data showed that
being prepared with a strategic or entry plan for how a superintendent will move the district are
proactive steps that are supported in the superintendency. The third factor related to the effects
that race, gender, and ethnicity have on the recruitment process of aspiring superintendents.
Research shows that there are inequalities in race and gender within the position, but the percent-
age of women and minorities obtaining the superintendent position is increasing.
Data analysis for Research Question 3 revealed that the strategies that support the reten-
tion of superintendents are board relationships, the perceived skills of the superintendent, and the
training of the superintendent. Of the three perceived strategies, having a positive relationship
with the board of education is the most important strategy that supports the retention of the
superintendent. The leadership skill set is a common factor that contributes to the shortening or
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 89
extension of a superintendent’s career. Trainings that supported superintendent retention in-
cluded university training, professional developments, and collaboration with colleagues.
Chapter 5 will summarize the overview of the study, the literature review, methodology,
and the results of the study findings. The chapter will conclude with the limitations of the study
and implications for further research.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 90
CHAPTER FIVE: SUMMARY, DISCUSSION, AND CONCLUSIONS
The first four chapters of this dissertation provided an overview of the study, a purpose
and significance for the study, an in-depth review of current literature related to the study;
presented the methodology of the research; and provided an analysis of data. This chapter
provides a summary of the study, including the background of the study, statement of the
problem and purpose of the study restated, and a review of the literature and methodology used.
In addition, a summary of the significant findings, implications, and recommendations for future
study will be detailed to conclude the paper.
Background of Study
As noted in Chapter Two, the superintendency is an educational position that has evolved
over time. This position has experienced many reforms, with each reflecting the changes in
society and public education. In the areas of preparation, recruitment, and retention, the superin-
tendent position has demonstrated inconsistencies with respect to the development of aspiring
leaders and inequalities regarding people of color and women. The early history of preparation
programs for educational leaders showed inconsistencies in the areas of which programs
individuals should enroll in, what a program would prepare educational leaders to be able to do,
what they were going to teach, and what degrees would be offered. However, through their
inconsistencies, they have failed to prepare a diverse pool of candidates that are ready for the
position of superintendency (Levine 2005). The failure to prepare effective candidates for the
position of superintendent has led to a declining pool of qualified applicants for the position and
will lead to a national shortage within the position (Graff, 2001). According to Levine (2005),
most preparation programs for administrators consist of facility members who lack experience as
practitioners.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 91
The recruitment process and retention within the position have shown that the compensa-
tion for the superintendency does not correlate with the responsibilities or job expectations, being
that the average compensation for the position is below $100,000 a year. Moreover, there are
discrepancies with respect to people of color and women; the modal superintendent is a married
White male between the ages of 56 and 60 (Kowalski et al., 2011). There is a lack of training
that for the position, being that in most states superintendents can acquire a superintendent’s
license without having to complete a superintendent preparation program.
Statement of the Problem Reviewed
The superintendency has become more complex and challenging since its beginnings. Its
roles, responsibilities, and expectations have continually evolved since the inception of the
position in the early 1800s (Kowalski et al., 2011; McLaughlin, 2005). Aspiring superintendents
must thoughtfully consider the proper preparation, recruitment strategies, and skillsets for
ongoing retention and success in the position. Preparation programs, such as universities and
nonuniversities, have made attempts to train prospective superintendents to be recruited and
successful in the position but may have fallen short in their efforts (Barnett, 2004; Björk,
Kowalski, et al., 2005; Levine, 2005; Perry, 2012). Supports for current superintendents, includ-
ing networking, mentoring, and coaching, have also contributed to most superintendents’ ongo-
ing success in the position; however, superintendent turnover still remains high (Kowalski et al.,
2011). Although many superintendents are successful, dismissal from the position ends their
career in education (Byrd et al., 2006; Kowalski et al., 2011). The fact that disparities in the
recruitment and retention of female superintendents and superintendents of color also exist
magnifies the problem for these subgroups (Kowalski et al., 2011). These inadequacies signify
an overall problem in superintendent preparation, recruitment, and retention.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 92
Purpose of Study Restated
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California school superintendents of schools. Considering that the role of the super-
intendent is critical to student achievement, it is important to identify the preparation, supports,
skills, and relationships that superintendents need to meet the challenges and complexities of the
superintendency (Waters & Marzano, 2006). The efforts of this study focused on obtaining
information and insight from current superintendents, school board members, and executive
search firm members in order to gain precise insight into the superintendent position for aspiring
individuals. Based on previous and current research, effective and successful superintendents are
a future necessity in public education. The following research questions guided this study:
1. How have training programs and experience prepared superintendents for the com-
plexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards
regarding the strategies used to help the current superintendent attain his or her position?
3. What are the perceived strategies that support the retention of superintendents?
Summary of Reviewed Literature
The review of the literature sought to capture relevant knowledge as it related to the
preparation, recruitment, and retention of the superintendent position. The goal was to establish a
theoretical framework, build a solid foundation of the study through a synthesized overview of
current literature, identify the main methodology of the study, and support the three areas of focus
as they correlate with the superintendency position. As presented in the literature review in
Chapter Two, there is sufficient research to support the fact that preparation, recruitment, and
retention are essential components in the effectiveness of aspiring superintendents.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 93
The history of the school superintendent began in the early 1800s. The first school
superintendents were appointed in Buffalo, New York, and Louisville, Kentucky, in 1837
(Kowalski & Brunner, 2011). Since that time, the position undergone many reforms and has
forced the position and anyone in the position to evolve. The evolution of the position of super-
intendent is consistently getting more complex and demanding (Kowalski et al., 2011). Superin-
tendents today have an understanding that the responsibilities have expanded and the expecta-
tions of the position are to design and carry out student, school, and community changes. Under-
standing that education was created as a local means to enable citizens to participate as equals in
the affairs of the government and to ensure the liberties of the Constitution, the role of education
has changed and has created a need for a divergent educational leader.
Preparation for the position of superintendency can be formal or informal. Formal
preparation for the position started in the early 1900s (Cubberley, 1916). The early history of
preparation programs for educational leaders showed inconsistencies in the areas of who the
programs would and should enroll, what the program would prepare their students to be able to
do, what they were going to teach, and what degrees would be offered (Levine, 2005). Prepara-
tion programs today have solved some of the early issues of preparation programs by designing a
curriculum that follows leadership models and has a focus on leadership in the educational
environment. However, there is still skepticism about the efficacy of preservice academic
preparation (Kowalski et al., 2011). The history of doubt and skepticism has led to the support of
informal training for the superintendency. Formal training versus informal training for superin-
tendents started in the 1900s due to the lack of formal training programs. The national trend in
the late 1900s and into the early 2000s focused on rescinding or removing requirements for the
superintendency and allowing people to obtain the position with any formal training (Kowalski &
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 94
Glass, 2002). Petersen et al. (2008) noted that there are no national licensing criteria or curricu-
lum for the position, thus leaving states with the burden of preparing aspiring superintendents
independently.
The recruitment of qualified and effective leaders for the position of the superintendent is
a challenge of school boards and school districts. School districts have exercised diverse means
of recruiting aspiring and current superintendents to come to their district. One of the most
utilized recruitment strategies is the retained services of executive search firms. The use and idea
of search firms are relatively new to the state of California. Prior to the 1970s, most searches for
the position of the superintendent were conducted independently by school boards. School
boards required a new strategy of recruitment due to the declining pool of quality applicants, the
massive retirement of the “baby boom” generation that is causing a national shortage of qualified
superintendents, and the fact that compensation for the position is not a match for the complexi-
ties of the day-to-day responsibilities.
Retention within the superintendent position is at the fate of the school board in the
district. The average years of retention for a superintendent has declined since early 2000s. There
are many factors that lead to a superintendent leaving a district or a superintendent being relieved
of his or her duties. The most common reasons why superintendents leave their position in their
current district is dissatisfaction with the relationship with the governing school board, the stress
of the job, stakeholder pressure, or an opportunity in a larger and better paying district (Björk &
Kowalski, 2005). The reasons why a current superintendent would stay in his or her current role
include the relationship he or she has with the school board, the support of the community, and
intrinsic motivation.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 95
Summary of Methodology
This study utilized a qualitative approach to examine the preparation, recruitment, and
retention of the superintendent position. This approach was used to collect and analyze qualita-
tive data and support the findings with a quantitative analysis. The qualitative data collected for
this study allowed for the perspective of current practitioners to be heard and the interpretation of
interviews. Quantitative data included a series of diverse questions that were rooted in the
participants’ experiences, behavior, opinion, and perspectives. Considering that the role of the
superintendent is critical to student achievement, it was important to identify the preparation,
supports, skills, and relationships that superintendents need to meet the challenges and complexi-
ties of the superintendency (Marzano & Waters, 2009). Using an inquiry approach such as a
qualitative approach was the best way to provide a complete understanding of the research
problem. This study utilized purposeful, criterion-based sampling to identify superintendents,
school board members, and executive search firm consultants for both quantitative and qualita-
tive inquiry.
Qualitative Data
Qualitative interviews were conducted with superintendents, school board members, and
executive search firms. The researcher interviewed three California superintendents, two Califor-
nia school board members, and a single executive search firm consultant. The criteria were
active superintendents who (a) were in California school districts, (b) were in school districts
with an enrollment greater than 10,000, (c) were in positions involving public K–12 schools, and
(d) had held the position of superintendent for a year or longer. School board members must
have been in California school districts with an enrollment greater than 5,000 and had completed
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 96
their first term. Executive search firms must have been ones that placed California superinten-
dents.
The interviews ranged between 12 and 30 minutes, and each interview was recorded and
transcribed. Each interview used open-ended questions to encourage full, meaningful answers
using the participants’ own knowledge. This allowed participants to provide a holistic view on
the preparation for, recruitment for, and retention of the superintendent position.
Quantitative Data
A quantitative, Likert-type scale survey was used to measure the attitudes of superinten-
dents and school board members to ascertain their attitudes toward the pipeline to the position of
superintendency. The researcher utilized two surveys: a superintendent survey conducted by the
ACSA and a school board survey conducted by the CSBA. The superintendent survey was
administered by the ACSA to current California superintendents of schools. The school board
survey was administered by the CSBA to current California school board members. The re-
searcher used these methods to ensure the generalizability of findings by minimizing the potential
for bias in selection and controlling for the potential influence of known and unknown confound-
ers.
Summary of Findings
Through the data analysis of the three research questions, nine themes emerged from the
data collected from the surveys and interviews conducted and presented in Chapter Four of this
dissertation.
Research Question 1
How have training programs and experience prepared superintendents for the complexi-
ties and challenges of the superintendency?
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 97
The analysis of data collected from the surveys and interviews has shown that the impor-
tance of prior work experiences in education, having an effective mentor, and utilizing informal
and formal networkers are essential strategies in the preparation process for the superintendency.
Current and retired California superintendents, school board members, and executive search firm
consultants felt that holding various positions in education is a successful strategy for aspiring
superintendents in preparing them for the position. The educational position that was held by
most superintendents was the position of high school principal. In addition, having an effective
mentor and networking with colleagues, school board members, and search firm consultants were
considered strategies that benefitted aspiring and current superintendents.
Research Question 2
What are the perceptions of current successful superintendents and school boards regard-
ing the strategies used to help the current superintendent to attain his or her position?
The analysis of data collected from the surveys and interviews indicated three major
themes for the recruitment of the superintendent position: (a) the effectiveness of having a mentor
or professional network as an aspiring or current superintendent; (b) proactive steps toward being
recruited; and (c) the effects of a person’s race, gender, and ethnicity in being recruited for the
position. Both the interview data and the survey data were consistent and indicated findings that
showed that mentorship and networking are effective strategies for aspiring and current superin-
tendents to be prepared and recruited for the position of superintendent. The proactive steps for
being recruited were prior work experiences; creating an entry plan; and building professional
relationships with other superintendents, school board members, and educational professional
colleagues. The effects of a person’s race, gender, and ethnicity on being recruited for the
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 98
position were not a factor in their being recruited; rather, the major recruitment factor was a
person’s experiences in education.
Research Question 3
What are the perceived strategies that support the retention of superintendents?
The analysis of the data collected from the surveys and interviews has shown that the
relationship with the board of education, the perceived skills set, and the training of a current
superintendent were considered to be the major components for their retention. It was clear that
that the relationship between the superintendent and the school board is significantly important in
a superintendent being retained, because the school board votes on the decision to hire or retain a
superintendent. The data were also clear in showing that training such as university training or
attending professional developments supported retention for the superintendent position.
Limitations
There were two limitations to this study, the first being the methodology. The results of
this study clearly showed the limitations of qualitative methodology. The research took place
over a short period of time; the interview guide and questions were administered to a specific
subgroup of participants who met the inclusion criteria; and the research quality was dependent
on the individual skill set of the researcher and could have been influenced by the researcher’s
personal biases and idiosyncrasies. A qualitative research design for a study requires training and
experiences because it incorporates a range of techniques and epistemological assumptions and
appropriate methodology (Willig, 2001).
The second limitation was the study participants. The participants allowed for only a
small data result sample, resulting in a low survey response rate. The study was limited to
participants who responded voluntarily to the study; the validity of the study was dependent on
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 99
the reliability of the survey instruments, and there was only a small number of participants who
met the specific sampling criteria.
Implications for Practice
The findings from the analysis responded to the study’s research questions and achieved
the goal of examining the preparation, recruitment, and retention of California school superinten-
dents of schools. Three questions were answered: (a) how training programs and experience have
prepared superintendents for the complexities and challenges of the superintendency, (b) what the
perceptions were of current successful superintendents and school boards regarding the strategies
used to help the current superintendent to attain his or her position, and (c) what the perceived
strategies were that supported the retention of superintendents. The findings from this study
resulted in nine emergent themes. The strategies that were most beneficial for superintendents,
school board members, and executive search firm consultants during the preparation, recruitment,
and retention process are (a) having a mentor, (b) prior experience as a high school principal, and
(c) networking with colleagues.
Recommendations for Future Research.
The following recommendations for future research are based on the overall findings from
the study:
1. Use a mixed-method study design. This approach combines inductive and deductive
thinking and reasoning and allows researchers to use all tools available to them to collect more
comprehensive data.
2. Replicate the study with a larger sample of interview participants.
3. Allow for a longer period to conduct the study in order to provide the researcher with
adequate time to receive survey responses so as to present a stronger validation for the study.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 100
4. Employ other qualitative approaches such as focus groups or observations to collect a
wider range of data.
5. Condense the survey questions for all respondents. A lower number of questions
would shorten the time it takes to complete the study and allow for more responses.
6. Evaluate the process of using agencies to send out and collect data responses. It
would be beneficial for the researcher to control the process from start to finish.
7. Replicate the study within a group study. This process would allow for the collection
of more data and decrease the time that the researcher spends collecting and analyzing data.
Conclusions
The purpose of this study was to examine the preparation, recruitment, and retention of
California school superintendents of schools through the lens of three research questions:
1. How have training programs and experience prepared superintendents for the com-
plexities and challenges of the superintendency?
2. What are the perceptions of current successful superintendents and school boards
regarding the strategies used to help the current superintendent to attain his or her position?
3. What are the perceived strategies that support the retention of superintendents?
This study serves to inform aspiring superintendents on the preparation, skills, and
relationships that will support their transition to the superintendency. The findings suggested that
the key components in preparing an individual for the superintendency is for the candidate to
experience various positions in education at different levels, especially as a high school principal;
having a mentor to guide him or her through the experience as a leader and educator; and know-
ing how to utilize informal and formal networks that are authentic to him or her.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 101
The recruitment process is a difficult process for the candidate, the school board of
education, and executive search firm consultants. An effective strategy that was evident during
this process was when aspiring superintendents developed a written plan on how they were going
to move the district as the superintendent. Having a mentor or being apart of a professional
network is beneficial for all aspiring superintendents, school board members, and executive
search firms, as well as having the confidence to seek positions that are out of one’s comfort
zone, because race, ethnicity, and gender are not determining factors during the recruiting pro-
cess.
Being retained within the position was seen as the most important step in the process.
The findings suggested that the superintendent’s relationship with the school board determines
whether he or she is hired and retained within the district, and not being retained can have a
negative effect in obtaining future positions. Other findings that related to retention were the
perceived leadership skills of the superintendent by the school board of education, the staff, and
the community. Informal and formal training of the current superintendent was also an important
factor in retention.
In summary, this qualitative study examined the perceptions and experiences of California
superintendents who followed the traditional path into the superintendency. The research from
this study should supplement the existing literature available on the superintendency and the
preparation, recruitment, and retention factors important for the superintendent position. This
research combined with what is known about education and leadership, aspiring superintendents,
school board members, and executive search firms should better inform regarding the prepara-
tion, skills, and relationships that will support the transition to the superintendency.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 102
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APPENDIX A
RESEARCH PARTICIPANTS’ INVITATION E-MAIL
Dear___[stakeholder group role],
I am a doctoral candidate in the Rossier School of Education at the University of Southern Cali-
fornia and a ________ [role] in the ________________________ Unified School District. I
would like to invite you to participate in a research study that will investigate the preparation,
recruitment, and retention of successful superintendents.
You are asked to participate only if you are currently employed as a superintendent for at least 2
years. If you agree to participate, you will be asked to complete a survey; estimated time for
completion is approximately 20 minutes. University of Southern California’s Institutional
Review Board has approved this research study (IRB #APP-17-02065).
Your participation is completely voluntary. If you decide to participate after reading this
email, you can access the survey via the following link: ____________
I value your input and hope that you will consider participating in this study. Please email me at
___________________ if you have any questions. Thank you in advance for your time.
Sincerely,
USC Doctoral Candidate Researcher
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 113
Informed Consent
Date: _____________________
Dear ________________________,
My name is __________________ and I am a doctoral student at the USC Rossier School of
Education. I am conducting a research study under the guidance and direction of Dr. Michael F.
Escalante. The purpose of my mixed-methods study is to examine the preparation, recruitment,
and retention of school district superintendents in California. I will interview and survey superin-
tendents, board members, and executive search consultants.
You have been invited to participate in a graduate research study that will shed light on the
preparation, recruitment, and retention of superintendents. The results of this study will inform
multiple stakeholders, including aspiring superintendents, school boards, and executive search
firms. It is my hope that this study will serve as a valuable resource.
Your participation, although appreciated, is voluntary and you have the right to withdraw at any
time. The information collected will be kept confidential and anonymous by the researcher and
members of the dissertation committee. Data will be presented in a manner that will ensure that
no individual or district can be identified.
If you have any questions or concerns regarding your participation in this study, you may contact
me at _____________ or Dr. Michael F. Escalante at the University of Southern California.
Thank you, in advance, for your time and assistance.
Sincerely,
_______________, Researcher Dr. Michael F. Escalante, Dissertation Chair
[email address] mescalante@usc.edu
(xxx) xxx-xxxx (818) 802-4769
( ) I have read this form and have been given the opportunity to ask questions. I consent to my
participation in the research described above.
Participant’s Signature: __________________________________ Date: __________
Participant’s Printed Name: ______________________________
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 114
APPENDIX B
SUPERINTENDENT SURVEY
The purpose of this mixed-methods study is to examine the preparation, recruitment, and retention of
California superintendent of schools. Since this position is critical to student achievement, it is important
to identify the preparation, supports, skills, and relationships that superintendents need to be successful.
The goal of this brief, 15-minute survey is to quantify your perceptions on superintendent preparation,
recruitment, and retention. Your participation in this survey is anonymous. Thank you for your par-
ticipation.
Personal Background
1. Gender
N Male
N Female
2. Ethnicity (check all that apply)
N Asian
N Black
N Latina/o
N Native American
N Pacific Islander
N White
N Multiple
N Other
N Decline to state
3. Age range:
N 30-35
N 36-40
N 41-45
N 46-50
N 51-55
N 56-60
N 61-65
N 65+
4. Highest university degree earned:
N Ed.D.
N Ph.D.
N Master’s
N Other
• Please specify
5. What university do you identify with professionally?
•
6. How many years in the education profession?
N 1-10
N 11-20
N 21-30
N 30 or more
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 115
7. How many years as a superintendent?
N 1 year or less
N 1-5
N 6-10
N 11-15
N 16 or more
8. This is my _________ time serving as a superintendent.
N 1st
N 2nd
N 3rd
N 4th
9. Did you come from within the district or outside the district to the position?
N Within
N Outside
10. Past experiences (check all that apply):
• School site positions:
N Elementary school teacher
N Middle school teacher
N High school teacher
N Counselor (any level)
N College/university instructor
N Community college instructor
N Teacher on Special Assignment (TOSA)
N Other ______________________
• School site administrator positions:
N Elementary School Assistant Principal
N Middle School Assistant Principal
N High School Assistant Principal
N Elementary Principal
N Middle School Principal
N High School Principal
N Dean of Students
• District-level positions:
N Coordinator
N Specialist
N Director of Curriculum and Instruction
N Director of Research and Planning
N Director of Human Resources
N Director of Student Support Services
N Director: Other ____________________
N Assistant Superintendent of Curriculum and Instruction
N Assistant Superintendent of Human Resources
N Assistant Superintendent of Business/Chief Business Officer (CBO)
N Assistant Superintendent: Other _____________________
• Other than education
N Please specify: ______________
11. Base Salary Range (approximate):
N Less than $100,000
N $100,000-140,000
N $140,001-160,000
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 116
N $160,001-180,000
N $180,001-200,000
N $200,001-220,000
N $220,001-240,000
N $240,001-260,000
N $260,001-280,000
N $280,001-300,000
N $300,001-320,000
N $320,001-340,000
N $340,001-360,000
N $360,001+
12. Total Compensation Range (approximate):
N Less than $100,000
N $100,000-140,000
N $140,001-160,000
N $160,001-180,000
N $180,001-200,000
N $200,001-220,000
N $220,001-240,000
N $240,001-260,000
N $260,001-280,000
N $280,001-300,000
N $300,001-320,000
N $320,001-340,000
N $340,001-360,000
N $360,001+
School District
13. Type of district:
N Urban
N Urban/suburban
N Suburban
N Rural
14. District student enrollment :
N Less than 1,000
N 1,001-5,000
N 5,001-10,000
N 10,001-15,000
N 15,001-20,000
N 20,001-25,000
N 25,001-35,000
N 35,001-50,000
N 50,001-75,000
N 75,000-100,000
N More than 100,000
Based on your perception of your preparation experience to be a superintendent, rate the following
statements from Strongly Agree to Strongly Disagree.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 117
Statement
Strongly
Agree
(1)
Agree
(2)
Disagree
(3)
Strongly
Disagree
(4)
Don’t
Know or
NA (0)
For the next statements, please use the following definition for superintendent preparation:
Preparation is defined as the strategies and steps you took prior to taking on your first superin-
tendent position.
Preparation
1. University programs provided training and
experience that was important in preparing to
become a superintendent.
2. My prior work experience was more important
than my university training experience to pre-
pare me for my position as a superintendent.
3. Holding a doctoral degree was important in
preparation for my position as a superinten-
dent.
4. Nontraditional training programs (such as The
Broad Academy) were important in preparing
me for my position as a superintendent.
5. Holding certification and/or licensure from
organizations (such as ISLLC, AASA/USC,
ACSA) was important in preparing me for my
position as a superintendent.
6. Having mentors was instrumental in preparing
me for the superintendent position.
7. A professional network of support (such as
AASA, ACSA, or through a university) was
important in preparing me for my position as a
superintendent.
8. Informal networks of support (such as profes-
sional colleagues) were important in preparing
me for my position as a superintendent.
9. Networks with university professors were im-
portant in preparing me for my position as a
superintendent.
10. Planning my career was important in preparing
me for my position as a superintendent.
11. My university training program provided in-
tentional supports or resources to prepare fe-
males to enter the superintendent position.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 118
12. My university training program provided in-
tentional supports or resources to prepare
people of color to enter the superintendent po-
sition.
13. Having experience as a principal is a crucial
element in preparing me for the position as
superintendent.
For the next statements, please use the following definition for superintendent recruitment:
Recruitment is the process/strategy that your used to gain his/her first superintendent position.
Recruitment
14. Having a mentor(s) was an important process/
strategy for being recruited into my current
position as a superintendent.
15. My university experience was an important
process/strategy for helping me to be recruited
into my current position as a superintendent.
16. Being part of professional networks (such as
AASA, ACSA, university alumni associations)
was an important process/strategy for being
recruited into my current position as a superin-
tendent.
17. Networking with an executive search firm was
an important process/strategy for being
recruited into my current position as a superin-
tendent.
18. Holding a doctoral degree was an important
process/ strategy for being recruited into my
current position as a superintendent.
19. Presenting at conferences and/or publishing in
professional journals was an important
process/strategy for being recruited into my
current position as a superintendent.
20. Networking with board members was an im-
portant process/strategy for being recruited
into my current position as a superintendent.
21. My prior experience outside of education was
an important process/strategy for being
recruited into my current position as a superin-
tendent.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 119
22.
Creating a “First 100-Day Entry Plan” was im-
portant for being recruited into my current posi-
tion as a superintendent.
23. Gender is an important factor for being
recruited into the superintendent position.
24. Race and ethnicity are important factors for
being recruited into the superintendent posi-
tion.
25. The demographic composition of a board of
education (such as gender, race, and ethnicity)
is an important factor.
For the next statements, please use the following definition for superintendent retention: Reten-
tion is the process/strategy you used to maintain your current superintendent position.
Retention
26. My university training program provided me
with processes/strategies that currently support
my success in retaining my position as a super-
intendent.
27. Professional networks (such as AASA, ACSA,
university networks) provided me with pro-
cesses/strategies that currently support my suc-
cess in retaining my position as a superinten-
dent.
28. Having a mentor(s) provided me with
processes/strategies that support my success in
retaining my position as a superintendent.
29. Having a district-provided executive coach
currently supports my success in retaining my
position as a superintendent.
30. The relationship with my board of education
determines my success in retaining my posi-
tion as a superintendent.
31. The relationship with my board determines my
desire to continue in my position as superin-
tendent.
32. Board/superintendent protocol (relationship)
workshops have been an important process/
strategy for building our relationship.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 120
33. My relationship with my board is more impor-
tant than my compensation.
34. My compensation determines my desire to
continue in my position as a superintendent in
my district.
35. Negotiating additional compensation jeopar-
dizes my relationship with the board.
36. Having a formal, written strategic plan sup-
ports my success in retaining my position as a
superintendent.
37. Receiving on-the-job professional develop-
ment training (such as conference attendance)
is a process/strategy that supports my success
in retaining my position as a superintendent.
38. District stakeholders hold female superinten-
dents to different standards for their ongoing
job retention.
39. My race and ethnicity may influence the ex-
pectations that district stakeholders have of me
in my position as a superintendent.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 121
APPENDIX C
SCHOOL BOARD MEMBER SURVEY
Based on your perception of the preparation experience to be a superintendent, rate the following
statements from Strongly Agree to Strongly Disagree.
Statement
Strongly
Agree
(1)
Agree
(2)
Disagree
(3)
Strongly
Disagree
(4)
Don’t
Know or
NA (0)
For the next statements, please use the following definition for superintendent preparation:
Preparation is defined as the strategies and steps your superintendent took prior to taking on
his/her first superintendent position.
Preparation
1. My superintendent’s prior work experience
was more important than his/her university
training experience to prepare him/her for
his/her current position.
2. Holding a doctoral degree was important for
my superintendent’s preparation.
3. Nontraditional training programs (such as The
Broad Academy) were important in preparing
my superintendent for his/her current position.
4. Having mentors was instrumental in preparing
my superintendent for his/her current position.
5. A professional network of support (such as
AASA, ACSA, or through a university) was
important for preparing my superintendent for
his/her current position.
6. Informal networks (such as professional col-
leagues) were important in preparing my
superintendent for his/her current position.
7. I believe that university training programs pro-
vide intentional supports or resources to pre-
pare females to enter into the superintendent
position.
8. I believe university training programs provide
intentional supports or resources to prepare
people of color to enter into the superintendent
position.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 122
Based upon your perception of your superintendent’s recruitment experience to be a superintendent,
rate the following statements from Strongly Agree to Strongly Disagree:
For the next statements, please use the following definition for superintendent recruitment:
Recruitment is the process/strategy that your superintendent used to gain his/her first superin-
tendent position.
Recruitment
9. It was an important process/strategy for my
superintendent to have a mentor(s) to being
recruited into his/her current position.
10. Networking with an executive search firm was
an important process/strategy for my superin-
tendent to being recruited into his/ her current
position.
11. Networking with us, as board members, was an
important process/strategy for my superinten-
dent to being recruited into his/ her current
position.
12. My superintendent’s prior experience outside
of education was an important process/strategy
for him/her to being recruited into his/her cur-
rent position.
13. Gender is an important factor to being re-
cruited into the superintendent’s position.
14. Race and ethnicity are important factors to be-
ing recruited into the superintendent position.
15. The demographic composition of a board of
education (such as gender, race, and ethnicity)
is an important factor to being recruited into
the superintendent position.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 123
Based upon your perception of your superintendent’s current retention experience in being a superin-
tendent, rate the following statements from Strongly Agree to Strongly Disagree:
For the next statements, please use the following definition for superintendent retention: Retention is
the process/strategy that your superintendent used to maintain his/her current superintendent position.
Retention
16. The university training program provided my
superintendent with processes/strategies that
support his/her success in retaining his/her cur-
rent position.
17. Professional networks (such as AASA, ACSA,
university networks) provided my superinten-
dent with processes/strategies that support
his/her success in retaining his/her current po-
sition.
18. Having a mentor(s) provided my superinten-
dent with processes/strategies that support
his/h er success in retaining his/her current
position.
19. The relationship that my superintendent has
with our board determines his/her success in
retaining his/her current position.
20. Board/superintendent protocol (relationship)
workshops have been an important
process/strategy for my superintendent to
building our relationship.
21. My superintendent’s compensation determines
his/her desire to continue in his/her current
position.
22. Having a formal, written strategic plan sup-
ports my superintendent’s success in retaining
his/her position.
23. District stakeholders hold female superinten-
dents to different standards for their ongoing
job retention.
24. My superintendent’s race and ethnicity may
influence the expectations that district stake-
holders have of him/her in his/her current posi-
tion.
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 124
APPENDIX D
SUPERINTENDENT INTERVIEW GUIDE
Preparation Recruitment Retention
Research
Questions
How have training pro-
grams and experience
prepared superintendents
to manage the complexi-
ties and challenges of the
superintendency?
What are the perceptions of
current successful super-
intendents and school
boards regarding the strat-
egies used to help them to
attain their current posi-
tion?
What are the perceived
strategies that support the
retention of superin-
tendents?
Themes Interview Questions
Training
Programs
1. What type of training have
you attended that prepared
you for the superintendency?
• 1a. Where did you
receive your most effec-
tive training? Why?
5. Some superintendents have
not utilized training programs
because they believed that the
best training was on the job.
What is your opinion about
that?
9. How is ongoing training
supporting your retention as a
superintendent?
• 9a. What types of
training support your
retention?
• 9b. What strategies sup-
port your retention?
Experience
2. Describe your career path
to the superintendency.
• 2a. Which professional
experiences leading up to
becoming the superinten-
dent were the most bene-
ficial? Why?
6. What prior experiences did
you have that made you most
favorable to hire?
10. What strategies or skills
should a superintendent use to
be successful in his/her role?
Relational
Supports
3. Who were the most im-
portant professional relation-
ships that helped you to pre-
pare for the superintendent
position?
• 3a. How were they im-
portant?
7. Did you strategically use
professional relationships
(mentoring/networking) to
attain your current position? If
so, how?
11. What professional relation-
ships support your retention?
• 11a. What strategies do
you use with your board
to support your retention
as a superintendent?
Experience
4. When did you know that
you wanted to be a superin-
tendent?
• 4a. What proactive steps
did you take to get there?
8. Did you create an “Entry
Plan” when being recruited
into the position?
• 8a. If so, how did it help
you get recruited?
• 8b. If not, how could it
have helped you?
12. Do you utilize a formal,
written strategic plan outside of
the LCAP?
• 12a. If so, how does it
differ from the LCAP?
• 12b. If so, how does it
enhance your retention?
13. What factors have moti-
vated your ongoing retention in
the position?
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 125
APPENDIX E
SCHOOL BOARD MEMBER INTERVIEW GUIDE
Preparation Recruitment Retention
Research
Questions
How have training programs
and experience prepared su-
perintendents to manage the
complexities and challenges
of the superintendency?
What are the perceptions of
current successful superinten-
dents and school boards re-
garding the strategies used to
help them to attain their cur-
rent position?
What are the perceived
strategies that support the re-
tention of superintendents?
Themes Interview Questions
Training
Programs
1. What type of training did
your superintendent attend
that prepared him/her for the
superintendency?
• 1a. Where did he/she re-
ceive the most effective
training? Why?
5. Some superintendents have
not utilized training programs
because they believed that the
best training was on the job.
What is your opinion about
that?
9. How is ongoing training
supporting your super-
intendent’s retention in his/her
position?
• 9a. What types of train-
ing support your super-
intendent’s retention?
• 9b. What strategies did
your superintendent ac-
quire that support his/
her retention?
Experience
2. Describe your superinten-
dent’s career path to the
superintendency.
• 2a. Which experiences
that your superintendent
had leading up to becom-
ing the superintendent
were the most beneficial?
Why?
6. What prior experiences did
your superintendent have that
made him/her most favorable
to hire?
10. What strategies or skills
should a superintendent use to
be successful in his/her role?
Relational
Supports
3. Who were the most im-
portant professional relation-
ships that your superinten-
dent had that helped him/her
to prepare for the position?
• 3a. How were they im-
portant?
7. Did your superintendent
strategically use professional
relationships (mentoring/net-
working) to attain his/her cur-
rent position? If so, how?
11. What professional relation-
ships support your superinten-
dent’s retention?
• 11a. What strategies do
you value the most when
interacting with your
superintendent?
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 126
Career
Planning
4. What proactive steps did
your superintendent take to
get to his/her position?
8. Did your superintendent
create an “Entry Plan” when
being recruited for the posi-
tion?
• 8a. If so, how do you
believe that helped your
superintendent to be re-
cruited?
8.1. How important is it for a
prospective superintendent to
have an entry plan when being
recruited?
12. Do your superintendent
utilize a formal, written strate-
gic plan outside of the LCAP?
• 12a. If so, how does it
differ from the LCAP?
• 12b. If so, how does it
enhance retention?
13. What factors motivate your
superintendent’s ongoing reten-
tion in the position?
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 127
APPENDIX F
EXECUTIVE SEARCH FIRM INTERVIEW GUIDE
Preparation Recruitment Retention
Research
Questions
How have training programs
and experience prepared su-
perintendents to manage the
complexities and challenges
of the superintendency?
What are the perceptions of
current successful superinten-
dents and school boards re-
garding the strategies used to
help them to attain their cur-
rent position?
What are the perceived
strategies that support the re-
tention of superintendents?
Themes Interview Questions
Training
Programs
1. What type of training was
attended by superintendent(s)
whom you recommended that
prepared him/her for the
superintendency?
• 1a. Where did he/she re-
ceive the most effective
training? Why?
5. Some superintendents have
not utilized training programs
because they believed that the
best training was on the job.
What is your opinion about
that?
9. How does ongoing training
support the retention of super-
intendent(s) whom you have
recommended?
• 9a. What types of train-
ing support a superinten-
dent’s retention?
• 9b. What strategies did
superintendent(s) whom
you recommended
acquire that supported
his/her retention?
Experience
2. Describe the career path
to the position of superinten-
dent(s) whom you have
recommended.
• 2a. Which experiences
that your superintendent
had leading up to becom-
ing the superintendent
were the most beneficial?
Why?
6. What prior experiences did
the superintendent whom you
recommended have that made
him/her most favorable to
hire?
10. What strategies or skills
should a superintendent use to
be successful in his/her role?
Relational
Supports
3. Who were the most im-
portant professional relation-
ships that your superinten-
dent had that helped him/her
to prepare for the position?
• 3a. How were they im-
portant?
7. Did superintendents whom
you recommended strategi-
cally use professional relation-
ships (mentoring/networking)
to attain their current position?
If so, how?
11. What professional relation-
ships support a superin-
tendent’s retention?
• 11a. What strategies
should a superintendent
use when interacting
with the board?
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 128
Career
Planning
4. What proactive steps did a
superintendent whom you
placed take to get to the
superintendency prior to
coming to you?
8. Do superintendents whom
you recommend create an
“Entry Plan” when being re-
cruited for the position?
• 8a. If so, how does that
superintendent to be re-
cruited?
8.1. How important is it for a
prospective superintendent to
have an entry plan when being
recruited?
12. Do superintendents whom
you placed utilize a formal,
written strategic plan outside of
the LCAP?
• 12a. If so, how does it
differ from the LCAP?
• 12b. If so, how does it
enhance retention?
13. What factors motivate the
ongoing retention of superin-
tendents whom you rec-
ommended?
SUPERINTENDENTS: PREPARATION, RECRUITMENT, & RETENTION 129
APPENDIX G
QUESTION ALIGNMENT MATRIX
Instrument
RQ1
How have training pro-
grams and experience
prepared superinten-
dents to manage the
complexities and chal-
lenges of the superin-
tendency?
RQ2
What are the percep-
tions of current suc-
cessful superintendents
and school boards re-
garding the strategies
used to help them to
attain their current
position?
RQ3
What are the perceived
strategies that support
the retention of super-
intendents?
Superintendent Survey 1–13 14–25 25–39
Superintendent Inter-
view Guide
1–4 5–8 9–13
School Board Member
Survey
1–13 14–25 26–39
School Board Member
Interview Guide
1–4 5–8 9–13
Executive Search Firm
Survey
1–13 14–25 26–39
Executive Search Firm
Interview Guide
1–4 5–8 9–15
Abstract (if available)
Abstract
The purpose of this qualitative study was to examine the preparation, recruitment, and retention of California school superintendents of schools. The efforts of this study focused on obtaining information and insight from current superintendents, school board members, and executive search firm consultants in order to obtain precise insight into the superintendent position for aspiring superintendents. This study was guided by three research questions: ❧ 1. How have training programs and experience prepared superintendents for the complexities and challenges of the superintendency? ❧ 2. What are the perceptions of current successful superintendents and school boards regarding the strategies used to help the current superintendent to attain his or her position? ❧ 3. What are the perceived strategies that support the retention of superintendents? ❧ The researcher utilized quantitative and qualitative data to answer the three research questions. The quantitative data was collected through two surveyed groups
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Asset Metadata
Creator
Heron, Malcohm X.
(author)
Core Title
The preparation, recruitment, and retention of California schoool district superintendents
School
Rossier School of Education
Degree
Doctor of Education
Degree Program
Education (Leadership)
Publication Date
04/09/2018
Defense Date
03/01/2018
Publisher
University of Southern California
(original),
University of Southern California. Libraries
(digital)
Tag
aspiring superintendents,California superintendent,education,history of education,history of the superintendent,leadership,Malcohm Heron,mentorship,OAI-PMH Harvest,preparation,preparation programs for superintendents,qualitative study,recruitment,recruitment for the position of superintendent,recruitment for the position of superintendents,retention,superintendency,superintendent,superintendent of schools,the school board,Training
Language
English
Contributor
Electronically uploaded by the author
(provenance)
Advisor
Escalante, Michael (
committee chair
), Green, Allan (
committee member
), Hinman, Charles (
committee member
)
Creator Email
m.heron@yahoo.com,mheron@usc.edu
Permanent Link (DOI)
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Tags
aspiring superintendents
California superintendent
education
history of education
history of the superintendent
Malcohm Heron
mentorship
preparation programs for superintendents
qualitative study
recruitment for the position of superintendent
recruitment for the position of superintendents
retention
superintendency
superintendent of schools
the school board
Training