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IBRARJES
MICHIGAN STATE UN
IVERS
EAST LANSING MICH 48824 51;):8

This is to certify that the
dissertation entitled

Making Sense of Three Superintendent’s Leadership Practice

presented by

Tina Ann Kerr

has been accepted towards fulfillment
of the requirements for the

Ph.D. degree in Education Administration

 

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Date

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PLACE IN REI'URN BOX to remove this checkout from your record.
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2/05 cJClFtC/DumeJndd—pds

 

MAKING SENSE OF THREE SCHOOL SUPERINTENDENT’S
LEADERSHIP PRACTICE

By

Tina Ann Kerr

A DISSERTATION
Submitted to
Michigan State University
in partial fulfillment of the requirements
for the degree of
DOCTOR OF PHILOSOPHY
Deparnnent of Educational Administration

2005

ABSTRACT

MAKING SENSE OF THREE SCHOOL SUPERINTENDENT’S
LEADERSHIP PRACTICE

By

Tina Ann Kerr

My primary purpose in this study was to investigate how three superintendents
made sense of their role and how that personal theory defined their leadership practice.
By examining selected superintendents’ roles and practices, I intended to discover
whether the increasing challenges facing today’s superintendents had induced changes in
their leadership roles. The overarching question in this exploratory study was: How do
school superintendents make sense of their role, and how does that personal theory define
their practice? Several subsidiary questions were posed to address this overarching
question as well as to guide the collection of data for this study.

This comparative case-based study incorporated specific elements of
biographical, phenomenological, and case study approaches of qualitative research. I
used three districts in this comparative case study because it allowed me to make
comparisons across environments to determine whether superintendents’ environments
induced changes in their leadership roles. I also explored how the superintendents reacted
to their environment and what changes, if any, had emerged in their theory and practice
of school leadership. The case studies were developed fi'om observations, interviews, and
documents. Through this process, I was able to compose a detailed description or

narration of each.

As is true with most qualitative studies, emerging themes were drawn from the
research and empirical findings to help me respond to the research questions. These
themes focused on fit, or how the superintendent gains organizational fit; situated
leadership and how leadership defines the practice of the superintendent; and
relationships and how the superintendent engages the stakeholders when building trusting
relationships. These themes were defined and conceptual, theoretical, and empirical
support are provided to demonstrate how the superintendent thinks about his work and
translates that thinking into practice.

By examining the raw data, framing that information into cogent case stories of
practice, and drawing on emergent themes, 1 generated a new model of the
superintendent’s practice of leadership. Several unanticipated implications and findings
also surfaced during the course of this study. The research questions provided direction
for the study, but the magic of qualitative research was not unveiled until a thorough data
analysis was completed. The primary purpose of this study was achieved, and the field of
research has been enhanced due to its completion. In this study I also put forward an

emergent theory that promotes future research in the practice of leadership.

Copyright by
TINA ANN KERR
2005

To my family, Wiley, Jerri, Shell, Edith, and John P.; and to my friend, Trina

ACKNOWLEDGMENTS

This has not been an easy journey and I would like to acknowledge those that
helped me along the way. First, I would like to thank my advisor, Dr. Maenette Benharn
for challenging me to flex my scholarly muscle. I know I challenged your patience, but
your high expectations forced me to dig deep inside myself. I also appreciate the
assistance I received from my committee members: Phil Cusick, Steve Kaagan, and John
Beck.

There are times in this process where you come across special people who help
make the journey a pleasant experience. So, I would like to acknowledge the efforts of
the “Dissertation Brothers”, Dr. Amsterburg and Dr. Marshall. My journey may have
been cut short without your patience and dedication to helping me succeed. Our monthly
meetings were a life raft that I desperately needed. I also need to acknowledge the extra
help I received from “D”. It was helpful to have a second pair of eyes and I really
appreciate you not using a red pen.

Lastly, I am certain I wouldn’t have begun the program at Michigan State without
the support and encouragement of my family. You always taught me that the sky was the
limit and it definitely paid off for me this time. Thank you for always believing in me

even when I didn’t believe in myself.

vi

TABLE OF CONTENTS

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

LIST OF TABLES .................................................................. . -- - - . ..... -- x
LIST OF FIGURES ........................................................................................................... xi
CHAPTER I
INTRODUCTION TO THE STUDY--- . -- . - - -_ - - - - - ................ 1
Introduction and Purpose.... . -- . . - - - -- -- - . . ---.1
Problem Statement .................................................................................................. 2
Figure 1.1 Centripetal force of the superintendency-- -- -- - - . - 4
Need for and Importance of the Study ..................................................................... 5
Exploratory Questions -_ -- - -- - - - - - - --6
Overview - - 7
CHAPTER [1
REVIEW OF LITERATURE
Introduction-.- - _ - - - - - - - _- - - 8
The Superintendency ............................................................................................... 8
The Superintendent as Advocate for Change -- - -- 11
Leadership and Leadership Roles ......... -- ----15
Table 2.1 Metaphors of Leadership - -- - - - - - - _ - -21
Table 2. 2 Frameworks of Leadership .................................................................... 23
Table 2. 3 Matrix of Orgamzatronal Fit - ....... ........ - 24
Table 2. 4 The Seven Commonplaces of Leadership ............................................. 26
Organizational Theory..- .......... _ -- - -- - - 28
Table 2.5 Morgan’s Metaphors of an Orgamzatron ................................... 30
Table 2. 6 Acting Out One’ 3 Metaphor - -- A- 31
Conclusions.-- - ..... - -- 36
Chapter III
RESEARCH AND METHODOLOGY ............................................................................. 38
Introduction“ ...... _ - -- 38
Methodological Approach ..................................................................................... 38
Sample Selection - - ....... _- - - - -40
Table 3.1 Characteristics of Sample ..... - . 42
Data Collection ...................................................................................................... 43
On-Site Interviews -- ------43
Observations - . _ - - - - --45
Document Analysis .................................................................................... 46
Data Analysis Techniques - -- 46
Table 3. 2 Data Analysis and Representation by Inquiry Method .............. 47
Confidentiality and Ethical Concerns _- - ............ - 48
Limitations of the Study ......................................................................................... 48
Summary ................................................................................................................ 49

vii

CHAPTER IV

 

 

 

PRESENTATION OF DATA ........................................................................................... 50
The Project and the Players .................................................................................... 50
The Arborville School District: A Case of Power and Politics ............................. 51

The Superintendent and His Cabinet.-- ...... . ------- 51
Table 4.1 Description of the Arborville Superintendent and
His Cabinet ..................................................................................... 52
The Commrmity and the District ................................................................ 55
The Superintendent’s Perspective on Leadership ...................................... 56
Case of Power and Politics ........................................................................ 61
The Bakersville School District: A Case of Communication and Commitment ...65
The Superintendent and His Cabinet ......................................................... 66
Table 4. 2 Characteristics of the Bakersville Superintendent and
His Cabinet-" - - -- -66
The Community and the District ................................................................ 69
The Superintendent’ s Perspective on Leadership ...................................... 70
A Case of Communication and Commitment ............................................ 72
The Collinsville School District: A Case of Rebuilding ........................................ 76
The Superintendent and His Cabinet - - - .......... ...... 76
Table 4.3 Characteristics of the Collinsville Superintendent and
His Cabinet ..................................................................................... 77
The Community and the District ................................................................ 80
A Superintendent’s Perspective on Leadership ......................................... 81
A Case of Rebuilding ................................................................................. 84

CHAPTER V

AN ANALYTICAL DISCUSSION .................................................................................. 88
Introduction ............................................................................................................ 88
Thematic Analysis ................................................................................................. 90
Theme 1: Gaining Organizational Fit ..................................................................... 90

Three Superintendent’s Stories of Organizational Fit ............................... 91
Mr. Goldfinch: Trapped in a political structure ............................. 91

Dr. Kingfisher: The coach in a symbolic fiamework .................... 93

Dr. Owl: Learning to use all leadership frameworks ..................... 95

Was organizational fit achieved? ............................................................... 97
Conceptual Summary ................................................................................. 97
Figure 5.1 Gaining Organizational Fit ........................................... 98
Theme H: Situated Leadership ............................................................................... 99
Mr. Goldfinch: Pulling the wrong plants in the garden ............................. 99
Dr. Kingfisher: Developing Shared Meaning .......................................... 100
Dr. Owl: Listening to community can create forward-moving action ..... 102
Summary .................................................................................................. 103
Figure 5.2 Situated Leadership .................................................... 103

viii

Theme III: The Importance of Relationships in Shaping the Organization ......... 104
How do relationships help define the practice of the

school superintendent? ............................................................................. 104
Dr. Kingfisher: Building community relationships ..................... 107
Dr. Owl: Building relationships with the board ........................... 108
Mr. Goldfinch: Relationship-building shortfalls .......................... 109
Chapter Summary ................................................................................................ 110
Figure 5.3 The Practice of a Superintendent ............................................ 111

CHAPTER VI
THE PRACTICE OF LEADERSHIP .............................................................................. 112
Introduction .......................................................................................................... 1 12
Illumination of Results ......................................................................................... 1 13
The Revised Conceptual Model Revealed ........................................................... 115
Figure 6.1 The Centripetal Force of the Superintendency ....................... 116
Implications and Contribution of This Study ....................................................... 117
Suggestions for Further Study ............................................................................. 119
Conclusions .......................................................................................................... 120
Reflection ............................................................................................................. 121
APPENDICES ................................................................................................................. 124
BIBLIOGRAPHY ............................................................................................................ 147

ix

LIST OF TABLES

Table 2.1 Metaphors of Leadership

Table 2.2 Frameworks of Leadership

Table 2.3 Matrix of Organizational Fit

Table 2.4 The Seven Commonplaces of Leadership

Table 2.5 Morgan’s Metaphors of an Organization

Table 2.6 Acting Out One’s Metaphor

Table 3.1 Characteristics of Sample

Table 3.2 Data Analysis and Representation by Inquiry Method

Table 4.1 Description of the Arborville Superintendent and His Cabinet
Table 4.2 Description of the Bakersville Superintendent and His Cabinet

Table 4.2 Description of the Collinsville Superintendent and His Cabinet

LIST OF FIGURES

Figure 1.1 Centripetal force of the superintendency
Figure 5.1 Gaining Organizational Fit

Figure 5.2 Situated Leadership

Figure 5.3 The Practice of a Superintendent

Figure 6.1 The Centripetal Force of the Superintendency

xi

CHAPTER I

INTRODUCTION TO THE STUDY

Introduction and Egg-mm

Within the life of a school there are moments of quiescence, when things get done
and problems get solved. There are also moments of turbulence created by either an
external or internal pressm'e, during which the superintendent’s ability to lead can result
in a successful or unsuccessful outcome. Today’s superintendents deal with forces and
incidents that are much more complex than in years past, and the call for massive reform
in education continues to increase. More than ever before in the history of education,
external stakeholders are demanding that schools improve students’ achievement levels.
This demand can have a significant influence on the organization, as well as on the
leadership role of superintendents.

Historically, superintendents have been the fulcrum of school management and
leadership, charged with guiding school districts through both quiescent and turbulent
times. Because of the continued external and internal pressure being applied to school
districts across the nation, I have become interested in the changes that have occurred in
the roles and responsibilities of superintendents. Superintendents appear to be redefining
their roles and responsibilities dtning these turbulent times. Hence, my purpose in this
study was to investigate how superintendents made sense of their role and how that
personal theory defined their practice. By examining selected superintendents’ leadership
roles, I intended to tmcover the influence that organizational sensemaking (W eick, 1995)

has on leaders’ ability to lead. Researchers have noted that there has been a significant

shift in the role of superintendents from education spokespersons and managers
(Goldharnmer, 1977) to negotiators and conflict managers (F ullan, 1991). So how do
superintendents navigate this shift in roles and responsibilities to lead their organizations
through periods of uncertainty and despair?

Superintendents must have a deep understanding of their organizations in order to
guide the school districts through turbulent times. It is unlikely that today’s
superintendents are as immersed in organizational theory as Philip Selznick, Chester
Barnard, or even Talcott Parsons said leaders should be. However, they must be able to
draw from the ideas of these and other theorists to provide a quick analysis or make sense
of the organization within which they find themselves. There is a definite need to rethink
the role(s) and responsibilities of school superintendents both by the organizations that
they serve and by the superintendents themselves. Gaining insight into these role changes
can help in determining how superintendents are or are not effective in leading the

organization through these turbulent times.

Problem Statement

In this time of inevitable change due to numerous pressures from diverse points
and places within the school institution, as well as from outside forces such as new
government legislation, superintendents have been placed in the position of defining the
system, articulating this definition to the school community, and building the school’s
capacity to adjust to and proceed with these changes. Yet through it all they must
continue to address the needs of students and teachers. In light of the pressures on today’s

superintendents, I was interested in gaining insight into how superintendents make sense

of their role and how that sensemaking defines their practice. As I think about
superintendents who operate in this chaotic school environment, I am reminded of the
barrel ride at an amusement park, which spins its riders arormd at high speeds until the
floor suddenly drops. Newton’s law of centripetal force explains why the barrel riders do
not fly out or fall into the dark abyss. I have applied this law to the superintendency
because today’s organizations often parallel the barrel ride; that is, they no longer remain
static, but are fluid in nature.

As Newton’s theory suggests, a force is required to keep an object moving; in like
manner, superintendents must keep their organizations moving. In this exploratory
fiarnework, I proposed that superintendents’ leadership roles are what keep their
organizations in motion. As the challenges facing organizations continue to increase, the
centripetal force of superintendents’ leadership role appears to be the driving force that
moves the organization forward (see conceptual map, Figure 1.1).

Creswell (1998) defined qualitative research as “an inquiry process of
understanding based on distinct methodological traditions of inquiry that explore a social
or human problem. The researcher builds a complex, holistic picture, analyzes words,
reports detailed views of informants, and conducts the study in a natural setting” (p. 15).
Denzin and Lincoln (2000) contributed to this definition when they stated, “Qualitative
research involves the studied use and collection of a variety of empirical materials” (p. 2).
These definitions suggest that researchers must immerse themselves in the data, while
continuing to collect a variety of empirical materials. This study followed the typical
definitions of a qualitative study as my inquiry took me to new research materials. This

addition of new research allowed me to look at the data through new metaphorical lenses.

Leadership, organizational learning, and power and politics in schools were introduced

through this new research. A thorough interpretation of the ties between the conceptual

  
   
 
 
 
 
  
  
 
 
 

Superintendent Organization is
pulls organization constantly moving
iinward

' . . — is required to
Object in motion object moving

stays in motion

 
  

Organizational
Effectiveness

Organizational
Effectiveness

  
 
 
  
 
 
 
 
 
  

An equal

When 5' E E j ’s. and opposite

constant, force IS force an

directed at cente occur

Superintendent acts as ,

a driving force Superintendent
combats forces

Figure 1.1 Centripetal force of the superintendency.

framework of this study, centripetal force, and the new empirical research will be ofl‘ered
in Chapter V.

In this study, I explored the shifis that superintendents made in their leadership
practice to meet the challenges facing their organizations. Some of these challenges came
in the form of federal legislation, which required the superintendents to shift from being
an executive, a leader who was focused on both tasks and relationships (Reddin, 1970), to

a benevolent autocrat, a leader who was focused solely on tasks and not on relationships.

It has become apparent that the only way to comply with state and federal mandates is to
maintain the organization’s forward momentum. This could create new problems for
superintendents, and they may have to shift once again fiom being managers to acting as
leaders. Superintendents must continue to pull their organizations inward, as the law of
centripetal force implies, or keep them from flying out of control while maintaining a
constant speed to comply with state and federal mandates. As an aspiring superintendent,
I hoped that understanding the new roles involved in the superintendency and the

challenges superintendents face will ease my fears and allow me to get on the ride.

Need for a_nd Importance of the Study

A number of studies have been conducted on the superintendency (Carter &
Cunningham, 1997; Cuban, 1989; Glass, 1992; Hirsch & Sparks, 1991) and the role
superintendents play in the success of their educational organizations. Researchers have
addressed the importance of leadership in today’s schools; however, they have not
examined the theory and practice that today’s superintendents are using to succeed in an
environment of changing expectations. Although studies have been done on the types of
leadership superintendents use, minimal research has been conducted on the influence
various theories of school leadership might have on the school environment.

This study will make a significant contribution to the field of educational research
because it will define the superintendent’s role and provide superintendents with possible
strategies to meet the challenges of the newly defined or redefined position. The findings
from this study will expand on existing research by providing information on the theory

and practice used by today’s superintendents, how superintendents frame their

understanding of their organizations, and the influence reciprocal relationships and
distributive practices have on the school environment. This study can potentially serve as
a resource guide for aspiring superintendents, helping them maneuver through the
requirements of this complex position. It also can help current superintendents lengthen
their longevity in the superintendency.
Exploratory Questions

My primary purpose in this study was to investigate how three superintendents
made sense of their role and how that personal theory defined their leadership practice.
The overarching question in this exploratory study was: How school superintendents
make sense of their role, and how that personal theory defined their practice?

The following subsidiary questions were posed to address this overarching
question and guide the collection of data for this study.

1. How do superintendents think about their role, and to what extent does this

personal theory affect their practice?

a. What external organizational pressures (e.g., state and national
policies, economics, shift in local governance, etc.) shape how
superintendents define their role and practice?

b. What internal organizational pressures (e. g., shift in demographics,
unexpected crises, teacher contracts, etc.) shape how superintendents
define their role and practice?

2. To what degree do alternative leadership theories (e. g., transformational
leadership, change theories, distributive theories, etc.) explain how

superintendents define their role and carry out their work?

3. What implications does an understanding of a superintendents’ theory and

practice have for the preparation of school superintendents?

Overview

Chapter I contained information to serve as a blueprint for this study. I presented
the problem statement and how this study was conceptualized through Newton’s law of
centripetal force. I also explained the purpose and significance of the study, as well as the
research questions that guided this investigation.

Chapter II is a review of literature on topics of concern in this study. Included are
research and literature in three distinct areas: the superintendent, leadership and
leadership roles, and organizational theory. Included is a summary of research on the
superintendent and his or her changing leadership roles and how superintendents’ theory
and practice are influenced by the school organization.

The methodological approach and research design are explained in Chapter III. I
discuss the data-collection process that was used in this study, as well as the triangulation
of data-collection techniques. Last, I discuss possible ethical concerns and limitations of
this study.

Chapter IV contains the stories of the superintendents who were the subject of the
study. This chapter includes data that were collected in the field. An analytical discussion
of the findings is presented in Chapter V along with conclusions drawn from the findings.
The newly designed conceptual map is included in Chapter VI, as are implications for

practice and recommendations for further research.

CHAPTER H

REVIEW OF LITERATURE

LEM—119mg
Numerous studies have been done on the superintendency (Carter & Cunningham,

1997; Cuban, 1989; Glass, 1992; Hirsch & Sparks, 1991) and the role superintendents
play in the success of their educational organizations. Although many researchers have
addressed how superintendents lead their organizations, minimal consideration has been
given to the influence that superintendents’ theory and practice of leadership have on
their environments and/or organizations. Today’s superintendents need to find balance
between and across diverse needs and expectations.

My primary purpose in this study was to investigate how three superintendents made
sense of their role and how that personal theory defined their leadership practice. The
extent to which superintendents adjust their practice to meet the needs of this changing
system is also a concern of aspiring and practicing superintendents. In particular, being
aware of certain reciprocal relationships and distributive practices of the position will
help superintendents meet the needs of a changing system. To help in this endeavor, I
reviewed research and literature in three distinct areas: the superintendency, leadership
and leadership roles, and organizational theory. This chapter contains a smnmary of
research on superintendents and their changing role, theories of leadership, and how
superintendents’ theory and practice are influenced by the school organization or

environment.

The Sgperintendency

The role of the superintendent in American education has undergone significant
changes throughout the last decade. These changes are a result of schools’ transformation
and the public’s perception that education must be improved for all students. Historically,
education was considered the path to a better society, and those who led the school
system were revered. However, as Tyack and Cuban (1995) noted, public perception
changed in the 1960s and reform reports such as A Nation at Risk were an attempt to
demonstrate that schools were regressing, not progressing. This backlash of public
scrutiny created new demands on the superintendent and the school organization as a
whole. The superintendent was targeted as the locus, as the leader to change the system.

Dming this period of public disarray, superintendents tried to take a business
approach to reconfiguring public education. Schools began to be more “businesslike,”
and the governance of education resembled the management of business (T yack &
Cuban, 1995). This business approach to education was beneficial in a financial sense,
but it created a perception that schools were unfriendly, cold, and nonempathetic.
Superintendents were desperate to change public perceptions and revive the “old” school
structure, in which schools could be fiscally sound and still provide a warm, caring
learning environment for students. It did not take long for superintendents to realize that
they needed to change their leadership roles and reframe their thinking about leading and
managing schools.

Today, the need to reframe the position of superintendent is more obvious than ever
before due to several systemic changes in the school organization as well as changing

state and federal mandates. Federal legislation such as the No Child Left Behind Act has

mandated more changes in schools. Small districts do not have the resources needed to
comply with this new legislation, so they have had to consolidate with larger districts.

This consolidation of schools has created a whole different set of issues for
superintendents. Overcrowding, lack of resources and materials, busing, and lack of
student services are just a few of the issues facing superintendents in consolidated school
districts. In addition, there are new issues related to state and federal legislation, in terms
of demonstrating that each student has shown a year of growth for a year of instruction.
These rigorous mandates have resulted in policies that can be a superintendent’s
nightmare.

Further, changing socioeconomic circumstances of children and families have
created a different set of issues for today’s superintendents. Economic shortcomings have
created several new concerns for students. In most communities, the divorce rate has
risen along with poverty. The challenge of making adequate yearly progress (AYP)
seems ever more datmting as differences in school subgroups (i.e., based on race,
economic status, mobility, and limited English) become more evident. Superintendents
must develop strategies to link teaching and learning to state and federal standards and
benchmarks to meet the needs of this diverse population.

There has been a definite change in the position of superintendent because there
has been an increase in the number of female superintendents. Leadership roles,
philosophies, and various other characteristics differ significantly between male and
female superintendents (Carter & Cunningham, 1997). Research on this topic has been
ongoing. Similarities and differences that have emerged from research with respect to

male and female superintendents are enlightening. Many researchers have argued that

10

women have a tendency to match their leadership role to the unique needs of a situation,
and to do so more quickly than their male cormterparts (McEwan, 2003). Others have
contended that gender is not the issue, but rather a deeper understanding of what makes a
quality leader is more important.

In this section I have indicated how the role of the superintendent has changed. In
the next section I examine the challenges and dilemmas that the superintendent must face.
Today’s superintendent must be a change agent, one who must make reform happen. The
superintendent must understand change and the effect it may or may not have on the
growth of the organization. Understanding what is involved in making reform happen is

the first step in the superintendent’s becoming a change agent.

The Superintendentgs Advocate for Me

Evaluation is the first step in becoming a change agent, and it is important for the
educational leader or chief executive officer (CEO) of an organization to understand that
change for the sake of changing can be disastrous. For change truly to occur, there must
be a need for the change, as determined through an organizational assessment. Change is
most effective when it meets the needs of the individuals and supports the goals of the
organization (Rogers, 1983). Evaluation is critical to successful change occm'ring because
it establishes that there is a need for change to occur.

An example of this evaluation phase can be found in the areas of teaching and
learning. The superintendent must demonstrate to staff why changes are needed in the
strategies used in classroom instruction, in order for teachers to change their current

practices. State and federal mandates may convey the urgency to change,

11

but, until the staff see that need for change exists, it is unlikely that classroom instruction
will change.

Once the need for change has been established, the next step is to identify the problem.
More often than not, the problem can be found in the stakeholders or individuals within
the organization. It is human beings’ frmdamental nature to resist change, even though
humans are the most adaptable of all living creatures. Learning takes place through this
resistance to change, and it is people’s willingness to adapt that makes them more likely
to embrace or accept change. Human beings learn to adapt to change by having a sense of
purpose, a certainty of knowledge, and an understanding of the power of empathy
(Marris, 1974). Through the identification of a problem, an individual and an
organization can begin to create a plan for change that will allow for individual and
organizational growth.

The next step in the change process is implementation. Many organizations, as
well as individuals, are fearful of change and unwilling to take the risk. A critical
component of successful implementation of change is determining whether the active
stakeholders in the organization have a strong commitment to the organization’s success.
Each invested stakeholder in the organization must be an active participant throughout
the implementation process. Change can be difficult; therefore, staff and community buy-
in is essential throughout the process.

Several stakeholders are responsible for the implementation of change in an
educational organization. The superintendent is a critical participant, but the teachers are
the primary change agents. F ullan (1991) said that how teachers think and what they do
are crucial in the educational change process. The superintendent must recognize this and
work to create organizational buy-in at all levels. The superintendent must empower all
of the organization’s stakeholders so that the organization can move forward and meet
the demands of a changing system.

Once a commitment has been established, a strong plan of action must be in place

for reform to occur. An innovation or reform is communicated through certain channels

12

over time among members of a social system or organization (Rogers, 1983). Because
change is complex, it takes time for true organizational and professional change to occur.
It is vital that participants share information through all the channels and subgroups in the
organization so time is not wasted. The rate at which an innovation travels depends on
successful communication through the various channels. This rate may fluctuate, but if
the innovation meets the needs of the individuals and the organization, it may travel more
efficiently (Rogers, 1983). Tyack and Cuban (1995) noted that not all schools could
change at the same rate. Change is an inside-out reform; a dynamic system will naturally
transform, whereas a stagnant system will die.

If a system is to survive and thrive, the superintendent and organization
participants must be knowledgeable about the reform or change initiative. Knowledge
enables us to frame our understanding around a particular pedagogy, context, or content.
This flaming of knowledge will allow the superintendent the opporttmity to understand a
particular reform, such as teaching and learning, technology, or other change initiatives.
This will, in turn, give power to the superintendent and other change agents of the
organization.

Reflection is the last step in the change process; it is important to reflect on what
has occurred so that the organization can continue to grow. In any organization, it is
inevitable that change will come. It is important to anticipate and monitor the change so
that change can occur repeatedly (Johnson, 1996). The superintendent, a school leader,
must understand these basic assumptions because they provide the framework for the
change process. Once he or she understands the change process, the superintendent can

make decisions that will support the organization.

13

Change takes time, and it is an on-going, cyclical process. Through careful
evaluation of the organization, the superintendent can determine whether a need for
change exists. Once this need is established, the identification process begins. Through
this process, problems that may arise from the change may be addressed, and the
organization can determine what particular change initiative would be most effective.
Once this has been accomplished, implementation of the initiative begins. The last step is
to reflect on and rejoice in the success of the process. If the superintendent or CEO
understands how to apply this concept of change, “true” organizational change can occur.

It is apparent that making reform happen, changing teaching and learning
practices, understanding change initiatives such as technology, and bringing about
systemic change can be difficult for today’s superintendent. Other outside forces such as
a poor economy or state and federal mandates add to this difficulty. The superintendent
must possess various leadership characteristics and skills to move the organization
forward.

In light of the challenges and dilemmas facing them, superintendents must possess
a variety of skills such as strong leadership, strong financial management, good public
relations, solid pedagogy, and staff development, to name a few. Superintendents are
generalists in a highly specific field, and individual superintendents may approach their
organizations differently. The school environment more often than not will dictate the
’ pace of the organization. The superintendent must use effective leadership skills, as well

; as manage the organization, in order to overcome challenges and dilemmas.
If superintendents are going to move their educational organizations forward and

give direction to meet the challenges facing today’s educators, they must create a culture

14

of change within their districts. Through forward-thinking leadership, superintendents

can guide their school districts through quiescent and turbulent times alike.

Leadership and Leadership Roles

For years, theorists have hypothesized as to what makes an effective leader and
what leadership means. Sergiovanni (1987, 1992) proposed one of the earliest models of
leadership, and he took many generic models to the next level. His five leadership forces
were not unique to schools; be believed they would be present wherever strong leadership
existed. Bennis and Nanus (1985) had their own version of leadership. They suggested
that superintendents are more than just managers who do things right; they are also
leaders who work to do the right thing. Current researchers have classified leadership into
several categories that have similar characteristics.

Johnson (1996) defined leaders as individuals who use educational leadership
where they create a vision, lead reform, and engage the stakeholders; or political
leadership where they know and understand the political levels, tensions, and networks
that make up the system; or managerial leadership where they manage the organization
versus leading the organization. Each of these roles can be used in various situations, and
an effective leader will refiame a particular role to meet the needs of the organization.

There have been numerous classical studies and contingency theories cf
leadership, and they all have direct implications for how a superintendent leads the
organization and its stakeholders. Fiedler (1967) spent two decades developing his
contingency theory. He noted that effective leadership is contingent on the leader’s

ability to control and influence a situation. This is different from Tannenbaum and

15

Schmidt’s (1973) boss-centered versus subordinate-centered leadership or Blake and
Mouton's (1985) managerial grid. Recently, research in leadership has continued to
evolve into instructional leadership (McEwan, 2003) and engaged leadership (Benham,
2002), in which emphasis is placed on capacity building and engagement.

So how do we make sense of these leadership roles in the context of the
organization? The first step is to understand the role the superintendent plays in the
organization, as well as the challenges that he or she may face in the position.

Today, explicit external forces are demanding specific student outcomes. Clearly,
many of the pressures the superintendent confronts are a result of these external forces.
These forces come in the form of specific policies from outside interest groups,
increasing state and federal mandates, and social and economic concerns, to name a few.
Finding a way to manage these forces and align the efforts between the school and
community can be one of the superintendent’s greatest challenges.

Amid the plethora of pressures, the school executive must empower all of the
organization’s stakeholders (Carter & Cunningham, 1997). Ifthe educational
organization is to be successful, the stakeholders must be active participants in the
decision-making process. The superintendent’s ability to lead and empower the
stakeholders is critical to the overall process. Mutual trust must exist among all interested
parties for true change to be achieved (Carter & Cunningham, 1997).

Although the superintendent must face many challenges and obstacles in the quest
for better schools, it is important to remember that the superintendent also must be an
active political leader in the community. Politics is the backbone of today’s

superintendent, and to be successful he or she must understand the importance of the

16

political scenario surrounding the superintendency (Johnson, 1996). Success in politics
requires that the superintendent understand the existing network, the culture of the school
and community, and the political powerhouses that are evident. The superintendent must
negotiate these interest groups and work to build collegiality and consensus. A school’s
executive leader will be unable to pass any change initiatives if he or she does not have
control of the political community (Bolman & Deal, 2002). If the political community is
ignored or cast aside, the superintendent will more than likely be disregarded as a school
leader as well.

Now the question becomes how does the superintendent overcome these obstacles
and what leadership characteristics are more prevalent? The first step to a deeper
understanding, as discussed in the preceding section, is defining the superintendent’s role
as well as the obstacles that exist. The next step is learning fiom leaders in similar
positions to draw fiom their success and what elements are present in an effective leader.
Being the CEO of a multi-million-dollar company and being a school superintendent
have many similarities. The same key elements that make someone successful in business
can also make a person a successful superintendent.

Like the superintendent, today’s CEO is leading a workforce that has been
compelled to deal with both rapid change and heightened expectations. Global
competition, a changing economy, and a shortage of qualified employees are just a few of
the obstacles facing today’s business executive. In many instances, the CEO has little or
no control of these obstacles, and he or she must work to overcome them in order to
survive. Both the CEO and the superintendent can overcome such obstacles by

possessing strong leadership skills.

l7

The primary role of the CEO of any company, school, or organization is to lead.
An executive has to lead by managing and manage by leading, which in essence means
that leadership is good management (Johnson, 1996). Therefore, leadership is “an
influence relationship among leaders and followers who intend real changes that reflect
their mutual pm'poses” (Rost, 1991 , p. 102). According to this definition, four elements
must be in place for effective leadership to exist: There must be a relationship based on
influence, the relationship must consist of both leaders and followers, the leaders and
followers intend for real change to occur, and the leaders and followers have developed a
mutual purpose (Rost, 1991). The CEO and the superintendent must recognize and
understand these elements to be effective leaders.

Scholars and researchers are able to determine whether leadership is extant, based
on whether these four elements are present. Understanding these elements of leadership is
essential when attempting to gain insight into the superintendent as an educational leader.
Like the CEO, the superintendent will use influence to be a successful leader. A leader
must have the power to persuade other individuals in an organization. This influential
relationship of leadership can be multidirectional in that it involves interactions that are
vertical, horizontal, diagonal, and circular within the organization (Rost, 1991). The
superintendent may have built a relationship among staff, support staff, board members,
community, and professional colleagues. This may or may not be typical in a multi-
million-dollar business or in a large urban school district. How the CEO and the
superintendent use their influence to build relationships will depend on the setting.

Typically, the influential relationship should be noncoercive in nature. If the

behaviors are coercive, the relationship becomes authoritative and dictatorial. Many

18

superintendents and CEOs operate in such a way, but this usually leads to lack of
ownership and dissension within the organization. Superintendents and CEOs who
engender multidirectional and noncoercive relationships create a positive environment in
which change initiatives or other innovations can be implemented.

As Rost’s definition suggests, leaders and followers intend for real changes to
take place. This implies that a type of transformational leadership exists, in which the
leader must use various practices of leadership in order for real change to occur. Real
change in the organization can be accomplished when the superintendent or CEO works
through the challenge or dilemma and moves individuals and the organization to a new
level. Researchers continue to argue about whether real change is ever achieved because
its definition is so vague. The general consensus is that real change can occur only when
the leader and the stakeholders seriously intend for change to occur and their efforts are
aligned with this intention.

The last trait that is present in effective leaders is the ability to develop mutual
pm'poses with the organization’s stakeholders. Pin-pose is broad, holistic, and integrated;
it is what people generally term a vision or mission. Without a strong purpose,
organizations and leaders may find themselves drifting aimlessly. The leader, in
conjunction with the stakeholders, must create a pm'pose or vision of the organization.
This purpose or vision will allow the CEO or superintendent to sift through various
initiatives and make informed, purposeful decisions for the organization and its intended
goals.

The CEOs in today’s organizations are facing new challenges. If they are to

survive in this chaotic environment, they must possess the tools to lead effectively,

19

regardless of how fast the world around them is changing. By attending to a broader
moral purpose, cultivating collegial relationships, sharing knowledge, and setting a vision
and context for creating coherence in organizations, leaders will be able to deal with
complex change (F ullan, 2001). They will be exceptional leaders who consistently
empower their followers to work while adjusting to an environment of constant change.
The leader’s ability to lead the organization in responding to changes, without a knee-j erk
reaction to those changes, will be critical to the success of any organization.

The success of the educational organization may very well depend as much on the
survival of the superintendent as it does on his or her ability to be an effective educational
leader (Carter & Cunningham, 1997). For decades, researchers have been attempting to
define leadership, but what is more difficult is discovering how to create or produce
leaders. What makes individuals highly effective as leaders in some settings, whereas in
other settings they are less successful? Contemporary researchers have suggested that it is
more constructive to study what leaders do, rather than to focus on specific leadership
traits (McEwan, 2003).

Much like contemporary researchers, McCabe et a1. (2005) focused on how a
superintendent begins to adjust and fit into the organization, where organizational fit can
be achieved by gaining a deeper understanding of leadership and organizational behavior.
These authors proposed that a leader could be defined metaphorically as a prophet, a
poet, a coach, or a therapist. They then divided these metaphors into four quadrants that
firrther define the leadership of a superintendent. Table 2.1 illustrates how
superintendents are defined and how they are categorized by their ability to adjust

leadership to meet a changing organization.

20

Table 2.1 Metaphors of Leadership

 

Metaphor

Level of Change Needed in
the Organization

Definition

 

Prophet

Major change is needed in
the organization.

A prophet is a leader who is
confident in how to bring
about major change. He has
a plan, and a superintendent
who leads as a prophet must
know and understand the
organization so he can
adjust the existing
perceptions to meet the
challenges presented.

 

Therapist

Major change is needed in
the organization.

The therapist has no idea
how to accomplish the task
at hand. The therapist
knows there is a problem
listens to it, and then tries to
say encouraging words to
help those involved.

 

Coach

Minor change is needed in
the organization.

A superintendent is
considered a coach when
minimal changes are
required and he knows what
must be done to achieve
success. In this type of
single-loop work, the
superintendent can coach
his people through what
needs to be accomplished.

 

 

Poet

 

Minor change is needed in
the organization.

The poet is a type of leader
who finds himself in a
situation where minimal
changes must occur, and yet
he is unsure how to make
those changes. The poet
sings the song of the
organization.

 

 

The metaphors shown in Table 2.1 help explain how a superintendent may be

perceived in the organization and how he may act out a metaphor for leadership, but they

are not all encompassing. McCabe et al.’s definition of leadership through the use of

21

 

metaphors and quadrants, makes it seem (gives the appearance) that leadership is very
structured, either black or white. This type of thinking contradicts that of other theorists
who have hypothesized for years that leaders can be classified into several categories
having similar characteristics. One concept that bridges the gap between new research
and classical studies is that the superintendent should be able to adjust to each particular
challenge, forcing leadership alignment to meet the needs of the organization and the
various stakeholders.

As previously suggested, organizational fit can be achieved by gaining a deeper
understanding of leadership and organizational behavior. By expanding on leadership and
developing an organizational framework, the superintendent may better understand the
notion of organizational fit. Bolman and Deal (1991) suggested that there are four
frameworks of leadership: the structural, the political, the human resource, and the
symbolic frameworks. The circumstances in which the superintendent is situated will
dictate what approach(es) is appropriate. In many cases, “effective leaders may use a
number ofthese approaches at the same time” (Bolman & Deal, 1991, p. 1). Each of

these organizational frameworks is defined in Table 2.2.

22

Table. 2.2 Frameworks of Leadership

 

Structural Framework
The manager of this framework tries to implement a
process that is appropriate for the circumstance.
They work to clarify goals of the organization,
manage the internal and external environment, and
clarify lines of authority. This type of fiamework is
used when there is minimal conflict, low ambiguity,
and a stable legitimate authority in the organization.

Human Resource Framework
This leader views people as the most important
aspect of the organization. The human resource
leader will work to gain commitment and loyalty
item the stakeholders and he works to empower
people to be active participants in the organization.
This framework is appropriate when employee
moral is low or high and there is relatively low
conflict.

 

Political Framework
This leader understands the politics of the
organization and he has a plan to deal with it. He
understands the interest groups, as well as their
separate agendas and he works to build ties to these
groups. Conflict is managed as the leader builds
power and he works to find commonalities among

__groups.

 

 

Symbolic Framework
This leader view vision and inspiration critical;
people need something to believe in. Symbolism is
important when communicating the mission. The
focus is on the common vision and culture of the

organization.

 

Source: Bolman and Deal (1991).

There are commonalities between the four metaphors and the four frameworks of

leadership. It is obvious that many of the characteristics that define a prophet, a poet, a

coach, and a therapist can also be linked to these fiarneworks. Although they are not

exclusive of one another, they do provide another perspective on the complicated issues

of leadership and organizational behavior. I created the matrix shown in Table 2.3 to

show that how the superintendent positions himself within the framework can enhance or

hinder his efforts to achieve organizational fit.

23

 

Table 2.3 Matrix of Organizational Fit

 

 

 

 

 

Structural Human Political Symbolic
Framework Resource Framework Framework
Prophet “FIT” “FIT” “FIT” “FIT”
A prophet can fit The prophet is able The prophet is The prophet is able
inthis framework tofitinthis very similartothe tofitinthis
because both have fiamework political leader framework
3 plan or process because both View because each because this type
that is appropriate people as an understands the of leader is
for the important aspect of politics of the energetic, highly
circumstance. the organimtion. organization and visible, and
Both have stable The prophet and has a plan to deal believes people
legitimate the human with it. Conflict is need something to
authority. resource leader managed as the believe in. The
Unlike the work to empower leader builds prophet, much like
structural leader, people to be active power. Major the symbolic
the PPOPth is participants. change is usually leader, views
usually associated Unlike the HR needed, which is vision and
with organimtions leader, the prophet what makes these inspiration as
where major is usually two so similar. critical; as well as
change is needed. associated with the culture of the
organizations organimtion.
where major
chang is needed.

Therapist “NON-FIT” “FIT” “N ON-FIT” “N ON-FIT”
The therapist A therapist could The therapist The therapist
would not function function in the HR would not function would not fit in
in this fiamework. framework in the political this framework as
Unlike the because he views fiamework he lacks vision and
structural leader, people as an because he has no inspiration. He can
the therapist does important aspect. plan to deal with listen to the
not have a plan or The therapist will conflict. While stakeholders, but
process. also encourage both leaders find he would not

people to be active themselves in a develop a common
participants, but he situation where vision or nurtrn'e
will offer no major change is the existing culture
direction. needed, the to move the

therapist does not organimtion

have any clear forward.

direction.

Coach “FIT” “FIT” “NON-FIT” “FIT”
The coach would The coach would It is unlikely that The coach would
fit in this thrive in the HR the coach would fit be most successful
framework and he fiamework as in this fiamework. in this framework
has a plan of action people are the He has a plan and as he views vision
that is appropriate heart of the direction to deal and inspiration as
for the situation. organization. Since with conflict. critical
There is minimal the coach is a However, he is components. Like
conflict, which the motivator, he ' most successful the symbolic
coach prefers, and would work to when there is leader, the coach is
he has established empower people to minimal change energetic, highly
legitimate be active needed, lmlike the visible, and they
authority in the participants, much political leader. rely on traditions.
organization. like the HR leader.

 

 

 

 

 

24

 

Table 2.3 Matrix of Organizational Fit

 

 

 

Structural Human Political Symbolic
Framework Resource Framework Framework
Poet “NON-FIT” “FIT” “NON-FIT” “NON-FIT”
The poet would The poet could fit The poet would The poet could not
not fit in this in this fiamework not survive in this fit within this
framework because people are type of framework framework. While
because he lacks a priority. The poet as he does not we think of poetry
structure and sings the song of handle conflict. He as being symbolic,
direction. The poet the organimtion, also does not have the poet has no
Poet does not have a much like the HR the skills to build vision for people
“NON-FIT” “FIT” “NON-FIT” “NON-FIT”
plan of action. The leader. However, power within the to believe in. It is
only similarity the poet lacks organization. The unlikely that be
between the poet direction and be political leader would be able to
and the structural does not work to would dominate use poetry to
leader is that both empower people to the poet in this communicate the
function where be active type of setting. vision of the
minimal change is participants. organization.
needed.

 

 

 

 

 

McCabe et al. (2005) also proposed several metaphors of leadership, called the

“commonplaces of leadership” (p.13). They believed that a superintendent must possess

particular skills in order to be successful and ultimately establish his position as the

superintendent. These commonplaces of leadership grew out of a major study the authors

carried out over 10 years, encompassing various leaders from around the world. McCabe

et al. (2005) learned that “there are seven issues rapidly becoming the ‘commonplaces’ of

the world of the modern school superintendent” (p. 14). They are as follows: the

superintendent must lead, he must lead within a governance structure, he must understand

standards and assessment, he must understand race and class, he must develop school

principals, he must learn to collaborate, and he must engage the commrmity.

Developing and understanding these commonplaces of leadership gives shape and

meaning to the superintendent’s practice of leadership. The superintendent may need to

25

 

learntoprioritizethesecommonplacestomeethisneedsaswellastheneedsofthe

organization. The seven commonplaces of leadership are described in Table 2.4:

Table 2.4 The Seven Commonplaces of Leadership

 

TheSuperintendentMustLead Leadinainthiswficulnrinstance.meansthatflle
superintendent understands the existing governance
system. How the superintendent is able to maneuver
within this system, which may include union and
boardismmayormaynotaddtohissuccessasa
leader.

 

Lead Within A Governance Structure Thesnpefinnendenthnsmnny Wmflifiesnnd
serves in many roles. In these roles, he is subject to

second-guessing by internal and external sources.
Thesuperintendentmustfindawaytoworkwith
the board and unions.

 

Understand Standards and Assessment The Wintendent must have an expat grasp 01'
whatisrequiredfiomfederalandstateofficialsin

termsofstandardsandassessments. Hemust
constantly look for ways to boost student
achievement.

 

Understand Race and Class The superintendent must set 0m to close the
achievement gap. It is challenging, therefore it is
important to elicit conversations and advice from
others

 

Develop School Principals With the dawn of site-based management, many
superintendents developed die ability to shifi some
power to the school principals. The superintendent
will succeedorfailbasedonthequalityofleaders
in schools.

 

Learn to Collaborate Collaboration implies that superintendents must
work with other agencies to ensure that children

receivetheservicestheyneed. Thiscaninclude
collaboration among school personnel, board
members, community members, other
superintendents, and outside agencies.

 

 

Engage Your Community The superintendent must develop a shared vision
between the school and the community to achieve

thedesired results.Thesuperintendent mustereate
andfosterrelationshipswiththeboardand
community.

 

 

Source: McCabe et al. (2005).
Thelastcomponemfocusesonpowerandarrthofityandhowthesrrperimendent
can use this to gain organizational fit. The classic definition of power (Webster, 2002) is

theabilitytogetotherstodowhatonewantsthemtodo.Therefore,asuperintendentmay

26

 

use his leadership tactics to employ power and authority in the school organization. The
superintendent may work to build a formal authority relationship with the organization,
but this exercise of authority should not be mistaken for coercion. “Authority exists when
a common set of beliefs in a school legitimizes the use of power as “right and proper”
(Hoy & Miskel, 2004, p. 204). Researchers have since built on this concept to define
types of authority. Because a superintendent is the leader in a formal organization, it
seems appropriate to use Weber’s (193 8) research on three types of authority:
charismatic, traditional, and legal.

A superintendent who is an exceptional leader with exemplary qualities can be
said to have charismatic authority. Trust is the foundation for charismatic authority, and a
charismatic leader has strong personal qualities and characteristics that appeal to the
stakeholders of the organization. There is a deep commitment on the part of the
organization to follow the directives of a charismatic leader. Charismatic authority
suggests that an organization follows the superintendent because he has a personal
“mystique” about him. This type of authority is very different fi'om traditional and legal
authority.

Traditional authority suggests that there is an established belief in authority
carrying over fiom the past. For instance, the position of superintendent carries a certain
authority from the past. The person who occupies this position will inherit the obedience
and loyalty of the stakeholders. How long that inherited power lasts will depend on the
stakeholders of the organization and will vary from one place to the next. The
superintendent will use this position of power to gain organizational fit, and it is

imperative that he does not abuse the power entrusted to him by the organization.

27

Legal authority is an integral part of the school organization. A superintendent
uses this form of authority when dealing with compliance issues, special education laws,
and so on. In legal authority, power is gained through the laws governing the
organization. Obedience is not owed, but rather the laws specify to whom and how the
organization must comply. In schools, legal authority helps govern the organization, and
the superintendent must ensure that the organization adheres to all laws and compliance
issues.

“Organizations are created and controlled by legitimate authorities, who set goals,
design structures, hire and manage employees, and monitor activities to ensure behavior
is consistent with the goals and objectives of the organization” (Hoy & Miskel, 2005, p.
202). The superintendent can use his positional power to gain legitimate authority in the
organization. This positioning will ultimately assist the superintendent in gaining
organizational fit, as it will help define the superintendent’s practice of leadership.

To understand the superintendent’s changing role and responsibilities, we should
not only discuss his or her leadership disposition, but we must also look at the context of
the school organization. Through this exploration, we will gain a better understanding of

whether the superintendent’s leadership disposition is dependent on the environment.

Organizational Theory

For superintendents to make sense of leadership, not only must they possess the
necessary tools, but they must also have a clear understanding of their organizations.
Organizations have been defined as distinctive social units that consist of a set of

understandings for organizing action, languages, and other symbolic methods for

28

expressing common understandings (Louis, 1992). There is a phenomenon that surrounds
organizations, as they are implementing programs of action that involve a substantial
amount of planning. Organizations are considered formal or informal, so they may be
distinguished from other forms of social units (Bittner, 1965).

A formal organization is one in which patterns of conduct and relations are
accormted for and defined. Ifan organization does not support the growth of new patterns
and relations, it would be considered an informal structure (Bittner, 1965). Schools would
be considered formal organizations because the process by which they function and relate
has a significant influence on their growth.

Most superintendents create images about the nature of the organization in which
they are situated. As with leadership, metaphors and images help us view the same
situation or organization through different lenses. Morgan (1998) proposed several
metaphors that may help a superintendent to understand his organization. The images of
the organization that we create are not mutually exclusive. In fact, an organization may
have a dominant metaphor, but there may also be secondary metaphors that describe the
organization. The metaphors reflect the organization a superintendent leads; therefore,
they may be very complex.

Morgan (1998) suggested that an organization operates in the following ways: as
a machine, an organism, a brain, a culture, a political entity, a psychic prison, flux and
transformation, and an instrument of domination. These metaphors are described in Table

2.5.

29

Table 2.5: Morgan’s Metaphors of an Organization

 

 

Machine The organization is made up of
interlocking parts that must work together
smoothly.

Organism The needs of the organization are

emphasized with considerations of how
organizations grow, develop, and adapt.

 

Brain The organization emphasizes information
processing, intelligence, learning, and the
develognent of learning organizations.

 

 

Cultures The organization emphasizes values,
beliefs, norms, rituals, and patterns of
shared meaning.

Political Entities The organization is considered a system of

governance where politics, power
relationships, and conflict tell the story.

 

Psychic Prisons The organization consists of people who
are trapped in theory own beliefs and the
nature and shape of their organization.

 

 

 

Flux and Transformation In this organization, order can emerge fiom
disorder in complex and chaotic systems.
Instruments of Domination This emphasizes the exploitative aspects of

 

some elements in organizational life.

 

Source: Morgan (1998).

In light of what we know about leadership and the types of organizations that
exist, we can make some assumptions as to how the superintendent thinks about his role
and the effect this personal theory has on his practice of leadership. For instance, if a
superintendent were acting as a prophet when major change needed to occur in the
organization, he would need to know whether the organization was acting as a machine.
The proposed change would be met with resistance because it would upset how the
machine operated. In contrast, if the superintendent knew the organization was a
machine, he would focus his attention on refrarning how the organization members
thought about themselves before he implemented a change or restructuring initiative. A

superintendent will act in different ways, depending on his metaphor of leadership and

30

 

his organization. McCabe ct al. (2005) illustrated how a superintendent may act out his,

as shown in Table 2.6.

Table 2.6: Acting Out One’s Metaphor

 

 

 

 

 

 

 

 

 

 

The Image What It Looks Like in Your How You Act
District
Machine Detailed rules and regulations You are either a mechanic or an
govern school operation and organimtion man or woman. You
curriculum; hierarchical reporting supervise, monitor, oversee, and
structures; emphasis on control, enforce rules; you see individuals
accountability, and uniform as replaceable; you subordinate
outcomes; separation of planning individual interests to
and design of teaching fiom organizational goals; you focus
classroom delivery. on uniform “products.”
Political System Competing interests in school and You are a politician. You build
community dominant decision- coalitions among stakeholders to
making; interests, conflicts, and support schools; you use formal
power continuously assessed; power of position to structure
power relationships always under agenda; you think that knowledge
consideration. is power and use information.
Psychic Prison District is flawed in old ways of You bully people. You use rules
thinking; blind spots obscure new to reinforce the status quo; to
ideas and pedagogies; district you, boundaries are a big deal.
unabletothinkpastcurrent You encourage“ ' ” so
schoolstructures. thatthedisuictfailstoseeother
options.

Instrument of Domination Inequality in educational You dominate people. You
opportunities and resources believe in managerially rational
among schools and students is decisions without concern for
taken for granted. School sites are unintended consequences; you
“battlegrounds” rather than teams reproduce privilege and
or collaboratives. Labor- advantage of certain groups; and
management strife is rampant, you emphasize organimtional
and educators’ work is efficiency and effectiveness at
“deskilled” or made teacher expense of individual needs of
proof. students and teachers.

Culture Schools may be defined by social You are the superintendent as
processes, images, and symbols, bard. You lead by developing
and rituals. Or evidence of the shared meaning. You shape
competitive spirit of American stories legends, and myths to
society may be reflected in create culture. You encourage
schools, which are encouraged to organizational change through
be different or to compete with cultural change, and you tend to
each other for resources. worry about symbolic

significance of every aspect of
schools.
Organism Schools and their environment You are a gardener. You scan the
are viewed mutually dependent environment for changing
and interactive. The disuict seeks conditions. You worry about the
aligEent of interrelated “fit” between the schools you

 

31

 

Table 2.6: Acti_ng0ut One’s Metaphor

 

 

 

 

 

The Image What It Looks Like in Your How You Act
District
Organism subsystems and collaboration lead and your community.
with other community interests.
Brain Intelligence and control are You are a teacher, learner, and
distributed throughout the system. problem solver. Through inquiry,
Flexible, resilient, and inventive you encourage a “learning to
systems valued. An integrated learn” orientation in schools. You
information web exists across engage in double-loop leaming-
schools so that leadership can be questioning assumptions and
difl'used; schoolsareguidedby appropriateness ofexisting
core values that shape behaviors. norms. You imagine and
anticipate new futures, and you
uncover forces/structures beneath
recurring problems.
Flux and Transformation Educational chaos dreary is at You organize anarchy. You shape
work. Schools self-create and and create new contexts to
self-renew fiorn chaos. Small encourage self-organization. You

 

changes can lead to massive
system change; meaning and

 

use minimum specifications to
create contexts. You nurture

purpose serve as primary points emerging context for change

of reference; the key role of rather man controlling change,

relationships and participation in and you direct attention to

creatingtherealityofschoolsis attractorsthatpullsystemsinto

emphasized. new forms rather than directing
attention to how to resist change.
You highlight the tensions

 

Source: McCabe et al. 2005, p. 24.

Max Weber and Philip Selznick expanded on this organizational theory,

contending that the organimtion is constantly influenced by outside variables and that the

system must be adaptive in nature. The organization is a bureaucracy that continues to

expand when outside influences compound. As government, special-interest groups, and

unions influence educational organizations, they must adapt and expand their

bureaucracy in order to accommodate these outside influences (Scott, 1992).

Although educational organizations are susceptible to increased bureaucracy, they

arestillviewedasopensysterns.Inanopensystem,thcorganizationnotonlyengagesin

conversations with outside influences, but it also considers these influences to be a viable

aspect ofits growth. The organization is also a system ofintcracting components that

32

 

have relationships with each other. How these parts are composed will vary, but in terms
of an educational organization, the parts are loosely coupled (Scott, 1992). This means
the components within the organization are less constrained, so more flexibility can
occur, which in turn can lead to greater productivity.

Educational organizations are also considered hierarchical systems due to the
various levels and departrnentalization within the organizational structure. This,
combined with the philosophy of loosely coupled systems, demonstrates that the
connections and interdependencies among the components of the organization are likely
to be tighter than those between individual components (Scott, 1992). The superintendent
must understand these systems as well as the subsystems that exist in order to meet the
needs of the organization.

It is the superintendent’s and CEO’s responsibility to recognize and assess the
power structure of the community and any other outside influences. According to Lutz
and Merz (1992), there are basically three types of communities that the superintendent
must be able to assess and identify. The first is a traditional community, in which there
are several powerfirl people who are relatively invisible. Ifthe superintendent is to have
the community’s support, he or she must locate and determine who these powerful
individuals are and open the lines of communication with them. The superintendent can
accomplish this task by embedding himself or herself in the community through
affiliations with service clubs, churches, and other civic organizations (Lutz & Merz,
1992). Visibility within the community and the organization will help the superintendent
build credibility. Credibility, in turn, will help alleviate any stereotypes associated with

the superintendency.

33

The second type of community with which a superintendent may be associated is
the changing community. This community is in a transitional period, in which many new
families and members are entering the community. The superintendent must serve as the
welcoming committee and build a relationship with these families early on. The
superintendent can develop long-lasting relationships if he or she takes the initiative at
the beginning. These relationships will be instrumental in the success of the
superintendent and any change initiatives that may be implemented.

The last type of community is composed of special-interest groups. Such a
community may be difficult for the superintendent to identify. The special-interest groups
are political in nature and give little thought to the needs of other groups within the
commrmity. This can put increased pressure on schools and administrators as they sift
through the demands and proposals fiom these outside groups. The superintendent will
need training in conflict-management techniques to reduce the political tensions and
ensure that his or her school agenda is implemented.

Once the superintendent understands the organization and the commrmity in
which it resides, the next step is to gain insight into the culture of the organization. The
leader must be able to identify the culture and the relationships that exist within the
organization. It is important to understand these relationships due to increased turnover
rates in education. Many superintendents, principals, and teachers have short-term careers
in education as a result of increased pressures. Understanding the culture of the
environment will determine whether the organization is able to handle change and other

innovations.

34

The culture of the organization is characterized by the relationships that exist
within the organization. In general, people want to be stakeholders in the organization
because they need to be a part ofthe larger whole. As Perrow (1979) suggested with self-
efficacy, people want a connection to the organization so they can feel like valued
memberswithagreaterpurposeinmind.Thisholdstrueinbusinessaswellasin
education. The challenge is ensuring that each member is connected and identifying and
reconnecting those who are disconnected. Ifthe organization works as a cultural unit, it is
more likely to be able to withstand outside influences.

As the organizational leader, the superintendent or CEO must be interconnected to
these relationships as the organizational leader. This connection will allow the
superintendent to determine what initiatives may affect the rmderlying concerns of the
community and meet the needs of the organization. The superintendent should not
provide solutions to every issue, but rather should serve as a facilitator when conflicting
points of views are addressed in the best interest of the school and the community (Carter
& Crmningham, 1997). Conflicting viewpoints and differences do not disappear; rather,
they become embedded in the culture. If these viewpoints are not addressed properly,
they may erupt. This eruption could send the organization into a tailspin, disrupting
leadership and all other functions within the organization.

Last, many researchers have cautioned superintendents and the CEOs against
believing that relationships are ends in themselves. Relationships are powerful, but they
can also be powerfully wrong (Fullan, 2001). Any group within the organization can have
a relationship with the superintendent, but how this relationship is used to enhance and

implement the vision or pin-pose of the organization is critical to the sustainability of the

35

organization. People in these relationships must work together to establish greater

program continuity within the organization while serving as facilitators for change.

Conclusions

Researchers in the field of educational leadership have characterized the school
superintendent as a public leader. Although this characterization may be warranted, the
role the superintendent plays in today’s schools is much more complex than that. The
superintendent must learn to survive in a politicized and conflictive job. The success and
prosperity of American education may well depend as much on the superintendent’s
ability to make decisions as it does on his or her ability to lead effectively.

Researchers in organizational leadership have not provided an outline to
demonstrate what leadership practice may be best suited for the challenges facing today’s
superintendent. The superintendency has been transformed throughout the last decade,
and this transformation has had a significant influence on how today’s educational
leaders guide their organizations through the 21’n century. Before superintendents can
lead their organizations, they need to understand the roles they are expected to perform,
the leadership role most suited to addressing internal and external pressures, and the
condition of the organization. Superintendents have the power to make significant
contributions to the prosperity of the organization. To do so, they must be skilled change
agents and leaders who are proficient in the dynamics of the organization. The
superintendent’s leadership role should unite the public and all levels of the educational

organization so tlmt students and the community can prosper. The superintendent’s ability

36

to create this united fiont will have a significant influence on his or her ability to meet
and exceed the challenges of the superintendency.

Researchers have noted that there has been a significant shift in role of
superintendents from education spokespersons and managers (Goldharnmer, 1967) to
negotiators and conflict managers (F ullan, 1991). The literature does not indicate how
superintendents have been redefining their roles and responsibilities during turbulent
times. Hence, my purpose in this study was to investigate how superintendents made
sense of their role and how that personal theory defined their practice. By examining
selected superintendents’ leadership roles and practices, I intended to uncover the
influence that organizational sensemaking (W eick, 1995) has on leaders’ ability to lead.
Are a superintendent’s theory and practice of leadership influenced by internal and

external organizational pressures?

37

CHAPTER III

RESEARCH DESIGN AND METHODOLOGY

Introduction
My primary purpose in this study was to investigate how three superintendents
made sense of their role and how that personal theory defined their leadership practice.
Through an examination of superintendents’ leadership roles, I sought to discover how
the increasing challenges facing today’s superintendents induced changes in their
practice. In this chapter I describe the methodology that was used in studying
superintendents’ leadership roles. I also describe the participants, the data-collection

tools, the data-analysis method, and limitations of the study.

Maggological Amh

This study was undertaken to gain an understanding of superintendents’
leadership through a research design that was interpretive, evolving, and holistic in
nature. Marshall and Rossman (1999) suggested that qualitative research is a “broad
approach to the study of social phenomena” (p. 2). This type of approach corresponds
with the purpose of this study; therefore, a qualitative methodology was appropriate. I
hoped to learn from the leadership experiences of school superintendents and to provide a
narrative analysis of those experiences. Although I used theories of school leadership,
change, and organizations to provide a fiamework for this study, I also used an inductive

process in analyzing and presenting the stories of the superintendents.

38

This study blends specific elements of biographical, phenomenological, and case
study approaches of qualitative research. Narration was the main component of the
biographical approach that was used in this study. The elucidation of the participants’
stories helped reveal common themes and messages. The phenomenological approach
was used to describe “the meaning of lived experiences for several individuals about a
concept or phenomenon” (Creswell, 1998, p. 51). In this study I used several elements
associated with phenomenological studies as I explored the experiences of three school
superintendents and the influence the environment had on their leadership roles
(phenomena). These experiences are presented in a narrative that will tell the story of
each superintendent. I also explored how the superintendents reacted to the environment
and what changes, if any, had emerged in their practice. I proposed a visual picture or
conceptual map; however, because qualitative research is not static, this picture evolved
throughout the course of the study.

In this study I relied heavily on the case study approach to qualitative research, in
particular a comparative case study analysis. Case studies incorporate a variety of
disciplines such as anthropology, sociology, psychology, and educational psychology
(Merriam, 1988). I used a comparative case study format in this research because it
allowed me to make comparisons across environments in order to determine whether
superintendents’ environments induced changes in their practice.

Because the focus of this study was to investigate how superintendents made
sense of their role and how that personal theory defined their practice, this type of
approach enabled me to understand leadership roles of superintendents with varying

organizational demographics. A case study allows the researcher to explore a

39

phenomenon bounded by time and then to collect detailed data involving multiple somoes
of information (Creswell, 1998). In keeping with a comparative case study approach, this
study involved three superintendents and multiple sources of information such as
interviews, observations, and documents. I also conducted interviews with each
superintendent’s professional community.

The three school districts I selected provided different perspectives on leadership.
The literatrue review indicated that environmental variations can influence the challenges
and issues facing superintendents. Because I was interested in how these challenges or
changes in the environment influenced the theory and practice of superintendents, it was
important to recognize these variances in the sample population.

The case studies were drawn fiom observations, interviews, documents, and
reports. Once I collected the data, I used a holistic analysis to view the entire case.
Through this data-collection process, I was able to develop a detailed description or
narration of each case; this is considered a within-case analysis. Within-case analysis was
followed by a cross-case analysis of the three cases (Creswell, 1998). Once these
analyses were complete, “lessons learned” (Lincoln & Guba, 1985) emerged fiom the

study.

Sample Selection

I used purposeful sampling to obtain three districts that had limited environmental
variances. Sample selection also hinged on district location and proximity to me, or what

Rudestarn and Newton (2001) designated a sample of convenience. Because I was

40

employed full time at the time of the study, the districts needed to be close to my work
and home so that I could complete a thorough investigation.

I began the process of sample selection with an informal conversation with my
current superintendent. I outlined the purpose of my study, and he suggested two
superintendents located in Hummingbird Cormty (a pseudonym), where I was employed.
The third superintendent was chosen because the district was close to my home. Each of
these superintendents’ districts had environmental variances, and there were variances
between the individual superintendents. I believe that each organization is a bureaucracy,
in which various internal and external pressmes can have a negative or positive influence
on the superintendent’s theory and practice of leadership. Once I determined which
superintendents were best suited for the study and this sample of convenience, I phoned
each ofthem to ascertain their willingness to participate in the study. Because I already
hadaconncctionwitheachofthechosendistricts,Iwasabletogainaccessandbuild
relationships with the superintendents, which enhanced the quality of the data as well as
the credibility ofthe study (Marshall & Rossman, 1999). I had extensive opportrmities to
observe the superintendents in their leadership roles.

I also wanted to interview various professional community members around the
superintendent, so I also obtained permission to use this group fiom the superintendent
and the individual professional commrmity members. I interviewed three to five of the
following professional community members: board oflicer, board trustee, school
administrator, local union president, parent teacher organization member, secretary,

department head, or community leader.

41

Once I determined which professional community members were to be

interviewed, I sent them a letter of consent (see Appendix A). Because the

superintendents had already agreed to participate in this study, I also sent a letter of

consent (see Appendix A) to each of them. To maintain the anonymity of all participants,

1 assigned pseudonyms to each of the three superintendents and professional commrmity

participants. Participants were assured that their identities and those of their districts

would not be revealed. I also used pseudonyms also when referring to other stakeholders

in the superintendents’ districts. Table 3.1 provides a description of the superintendents

and their districts.

Table 3.1 Characteristics of Sample

 

 

 

 

 

 

 

 

 

 

Characteristics of Mr. Goldfinch Dr. Kingfisher Dr. Owl
Superintendent
and District Arborville Bakersville Collinsville
Community Schools Community Schools Public Schools
District size 817 students, 40 2,240 students, 120 2,029 students, 140
staff members, and staff members, and staff members, and
2 buildings 4 buildings 6 buildings
Operatingblgget $5 million $15 million $18 million
Per pupil spending $6,781 $6,945 $7,361
% of students 65% 40% 65%
transmorted
Years of service Seven years Thirty-two years Twenty-three years
Educational level MA + 20 Ph.D. in educational Ph.D. in educational
of superintendent administration administration
Superintendent $73,000 $120,000 $117,000
salary
Community Small, rural Fringe of urban city; Major railway
demographics agricultural bedroom system, located on
community community fiinge of urban
community; most
citizens commute

 

 

 

 

42

 

Data Collection

I used three methods to collect the data for this study: on-site interviews,
observations, and document analysis. In the following paragraphs, I describe each method
and provide a rational for choosing of each one.

On-Site Interviews

The interview technique is an effective method of data collection in qualitative
studies. It allows the researcher to create probing questions to answer the research
questions posed in the study. I conducted three on-site, one-on-one interviews with each
superintendent in this study. I also conducted one on-site, one-on-one interview with
three to five professional community members. Patton (1990) stated, “The quality of the
information obtained during an interview is largely dependent on the interviewer” (p.
279). The quality of the information gleaned from the interview also will depend on
whether the interviewee is articulate or shy (Creswell, 1998); therefore it is important to
determine whether a one-on-one interview is the most appropriate for a particular study.

Another issue I needed to consider when deciding whether to use this technique
was the accessibility of the superintendents and professional community members. The
superintendents were obviously in positions of control and power within the organization,
so time constraints had to be considered (Odendahl & Shaw, 1997). The environment in
which the interviews would take place had to be considered; because it was likely these
interviews would take place in the school environment. Such an environment might
present distractions, in that the superintendent or professional commrmity members might

have needed to address any problems that arose.

43

It is important to devise submntive questions for the interview, and the
interviewer must maintain a certain level of detachment to ensure that personal biases are
kept to a minimum. The interview protocol (see Appendix B) consisted of questions from
a previous study I had conducted, as well as fiom two other protocols. I received
permission to use questions fiom the other protocols through written correspondence.

Each superintendent participated in three interviews. The first interview lasted
aboutanhourand ahalf. This interviewconsisted ofquestionsthatprobedthe
superintendent’s thinking about his own theory and practice of leadership. Before the first
interview, I sent each superintendent a Professional Critical Incident Map (see Appendix
B) and asked them to identify three to five ideas in response to the question: As a school
superintendent, what are the right things to do? They provided examples that supported
how they were doing the right thing. I also asked the superintendents to talk about each of
their critical points. I probed their stories for elements of thinking, action, and outcome.

The second interview was approximately 45 minutes long. I asked
supefintendentsmbdngthmearfifactsthatexempfifywhatitmeanstobeagood
superintendent. I asked questions that expanded on their description of the artifacts, so I
could gain an understanding of their perception of the position, how they worked with
individuals and groups both internal and external to the organization, and how their
thinking was or was not enacted (from the superintendents’ own points of view).

The final interview took place after I spent a day of shadowing the
superintendents. This interview gave the superintendents an opportunity to reflect on the
day of observation. Before our interviews, I typed up the notes fiorn my protocol and

slurred them with the superintendents. Then I asked the superintendents whether they

were seeing links between how they thought about what was the right thing to do and
what they did in the role of superintendent. If there was a gap, we explored it together.
This gave the superintendents an opportunity to identify whether their personal theories
were being practiced. The superintendents also had an opportunity to draw a visual
representation and explain what it meant to be a school superintendent. This was a more
reflexive interview. It offered the most growth opportunity for the superintendents and it
provided me with interesting information that was helpful in rmderstanding the
superintendents’ learning processes as well as implications for superintendents’
preparation.

The interview that took place with the professional community members lasted
approximately 30 to 45 minutes. The protocol (see Appendix B) for this interview
allowed me to determine what they thought the superintendents were doing right. The
protocol also probed the interviewees as to their expectations of the superintendent’s role,
as well as how their superintendent matched up to these expectations. The professional
community members were asked to give examples of how their current superintendent

had or had not met their expectations.

Observations

Observations as a type of data collection method are consistent with the case
study and narrative approaches. I observed the superintendents in leadership roles on one
day when they had several meetings with parents, staff, administrators, and the board of
education. Through a day of shadowing, I hoped to gain a better understanding of the
social/cultural environment in which the superintendents worked and lived. My field

notes were critical in documenting the shadowing experience.

45

The protocol (see Appendix B) I used during the observations was descriptive and
reflective in nature. I used a field book during the observations, in which I recorded
information concerning the superintendents’ interactions, duties of the position, the
physical setting, particular events, and my own personal thoughts and reactions. Once the
observations were complete, I thanked the participants, withdrew fi'om the site, and
informed them how the data would be used and their accessibility to the study (Creswell,
1998). I typed up my observation notes and shared them with the superintendents before

the third interview.

Document Analysis

The third source of data was document analysis. Documents pertinent to this
study included smnmaries from administrative and certified staff meetings; memoranda
from the superintendent to parents, staff, and board of education members; and other
communication materials distributed by the superintendents to the stakeholders of the
organization. Analyzing pertinent documents helped me determine the climate of the
organization and how the superintendents performed their assigned duties. I kept a
journal during the research to record thoughts, themes, and ideas that were generated
when looking at the various documents of the organization. Through this document-
analysis process, I was able to discover the superintendents’ theory and practice of school

leadership.

Data-Analysis Techniques
Creswell (1998) provided a fiamework of the five traditions of inquiry and the

specific data-analysis techniques used in each method. I used portions of his table to

46

outline the data-analysis techniques associated with the phenomenological and case study

approaches (see Table 3.2). Because this study includes a narration of the

superintendents’ stories, some of die characteristics associated with the biographical

approach to inquiry are included. Particular attention was given to classification,

interpretation, representation, and visualization in the biographical approach.

Table 3.2 Data Analysis and Representation by Inquiry Method

 

 

 

 

 

 

 

 

 

 

Data Analysis Biography Phenomenology Case Study
Datamanaging Createandorganize Createandorganizc Createandorganize
data data data
Reading Read through text and Read through text and Read through text and
make margin notes make margin notes make margin notes
Describing Describe experiences Describe the meaning Describe the case and
of superintendent of the experiences its context
Classifying Identify experiences List statements of Use categorical
meaning for each aggregation and
supt. and group establish patterns
statements into within the categories
meaning units
Interpreting Theorize toward Develop the “what Interpret case and
developing patterns of happened,” the “how” develop naturalistic
meaning of the leadership generalizations
phenomenon, and
describe the
experience
Representing, Present narration Present narration of Present narrative
Visualizing the “essence” of the through the use of
experience and use tables or visual
tables or visual presentations
presentations

 

 

Source: Adapted fiom Creswell, 1998. pp. 148-149.

Therewasatriangulationofthedataaslwasabletoseehowthesuperintendents

perceived themselves (interviews 1 and 2); my perception of the superintendents

(observation) and the professional community members’ perceptions. The reflexive

47

 

interview (Interview 3) brought me back to the core of my study—that is, “This is what I

think I should do, this is what I do, and this is what others think I do.”

Confidentiality agl Ethitgl Concem_s

Mentioned earlier, pseudonyms were used in referring to each district and all
personnel involved in the study. Confidentiality was of the utmost importance, and I took
every step possible to ensure that this was maintained. All data collected were kept in a
locked, secure area; none of this material was disseminated. The superintendents had
access to the final reports, and they were asked to review the reports to ensure that the
information was accurate.

Each superintendent signed a letter of participation, which was kept on file for
each superintendent as outlined in the human subjects agreement. A draft of the

agreement to participate and interview protocols can be found in the Appendix B.

Limitations of the Study

One limitation of the study is the fact that I am a public school administrator and
have certain preconceived notions as to what leadership role is more effective than others.
I perceive myself as being a quality leader, but it was not appropriate to expect these
superintendents to exhibit the characteristics I do. Hence, I had to learn to leave my
perceptions and knowledge behind so that the study could evolve and themes could
emerge.

The sample itself also may be a limitation of this study. Because of constraints on
time, resources, and convenience, no comparisons were made between leaders of

different genders or ethnicities. However, even though certain compromises were made

48

for purposes of convenience, this study is still important and the knowledge gained will

be valuable to future researchers.

Summary

In this study I used a blended approach of qualitative inquiry that mingles
components of the biography, phenomenology, and case study approaches of qualitative
research. This method of data collection and analysis allowed me to explore thoroughly
the driving questions of this study. Through this exploration, the influence of the school

environment on the superintendents’ theory and practice emerged.

49

CHAPTER IV

PRESENTATION OF DATA

The Project and the Players
We are at a peculiar moment in history when people feel mobilized and

empowered, and somehow leadership is paralyzed (Carter & Cunningham, 1997). There
is a new outpouring of political activism, and superintendents must work with different
groups of citizens, parents, and staff who display an adversarial stance. Superintendents
mustereate areal senseofcommunity, inwhich trustisnotascarcity. Thiscasestudyof
superintendents’ theory and practice demonstrates how the increasing challenges facing
today’s superintendents can induce changes in their leadership roles. My purpose in this
case studywasto investigate howthree superintendentsmade senseoftheirrole andhow
that personal theory defined their leadership practice.

Each case begins with a brief description of the project and the people; this is
followed by a detailed look at the superintendent and his cabinet. Because each
superintendent selected the cabinet members to be interviewed, I describe them in detail
so the reader can understand why these individuals were key players. Each of the districts
had one or more issues that were the focal point ofthe case; thus a historical background
of the issue, as well as the events and happenings surrounding the issue, is provided. An
analysis of power, politics, and authority is included in each case, as is a description of
how the superintendents worked to mobilize and empower their organizations amid the

politics and controversy of their communities.

50

The Arborville School Dierict: A Ca_se of Power and Politics

The Arborville School District had not passed a bond issue since 1996, which
appeared to reflect a growing distrust between the community and the schools. Angry
citizens filled the boardroom each month to voice their concerns and displeasure with the
district. The elements of power and politics suggest that coercion was ineffective in this
district. To defirse the community’s negative perceptions of the schools, Arborville
needed to address these tensions. The school organization needed to present a clear
definition of the sources of authority and power in the Arborville district, so that the
community could gain a better understanding of the organization. The case presented in
this section highlights the tensions that existed in this small community and the key
players who worked to bridge the gap between the school organization and the

community at large.

The Superintendentgd His Cabinet
The following table provides details of the Bakersville superintendent and his
cabinet members.

Table 4.1 Description of the Arborville Superintendent and His Cabinet

 

 

 

 

 

 

 

 

 

 

Name Position Education Years of
Experience
Mr. Superintendent Masters + 6 Years as
Goldfinch 20 hours Superintendent
Mrs. Robin Superintendent’s Bachelor’s 6 Years as
Secretary Degree Superintendent’s
Secretary
Mr. Sparrow Board of Master’s in 4 Years as
Education Media Board Trustee
Trustee Specialty
Mrs. Oriole Elementary Master’s in 3 Years as
Principal Administration Principal

 

51

When Superintendent Goldfinch was in college, he didn’t aspire to be an
educator. Rather, he pursued a business degree and entered the corporate world.

I wasn’t going to pursue a career in education. I had a business degree and that

was my intent, to pursue a career in business and I actually started working in

business and realized that in that world it is not really conducive to what I call
quality family life, and the demands are such that you are gone a lot and your first
commitment is to the company and not to your family. That was not really
consistent with what I wanted so I decided to go back and get a teaching degree.

(Personal interview, May 2004)

Although he had planned to teach for the next 30 years, something happened
along the way. Superintendent Goldfinch suspected it was a little boredom, as he prided
himself on being the type of person who needed challenges. Nevertheless, he was not
being challenged after three short years in the classroom, so he decided to entertain the
idea of becoming a building principal.

Superintendent Goldfinch obtained his first position as a school administrator in a
small junior/senior high school. He was surprised to discover that being a building
principal was nothing like what he had anticipated. “Interestingly enough, the first year I
absolutely hated it. I couldn’t stand being a building principal. It wasn’t anything like I
thought it was going to be; it was totally negative” (personal interview, May 2004).
Nevertheless, he served as a principal in the same building for three and a half years until
he decided the job had become very easy. Although Superintendent Goldfinch had
thought he would be a building principal for the remainder of his career, he soon
determined he needed a different kind of challenge. At that point, he decided to consider
the possibility being a superintendent.

I saw some of the superintendents out there and I thought I could do as good a job

as they were doing. So at that point I knew that I probably could get my, at least
an Ed Specialist, so I applied at CMU and started the specialists degree and about

52

halfwaythmughthatpmgrmldecidedtostanapplyingtodisuictsandlhad

applied to a couple and actually had some jobs offered, but I decided they weren’t

in districts I wanted to be in. (Personal interview, May 2004)

Superintendent Goldfinch looked for a small district in which he could grow as a
superintendent. He also needed to consider whether the district was a good “fit” for him.
It did not take long for Mr. Goldfinch to find the district he was looking for, and he soon
became the new superintendent of the Arborville School District. He spent his first year
getting to know the key players and personnel associated with the district as well as the
inner workings of the school organization.

Superintendent Goldfinch believed Mrs. Robin was a key player in the inner
workings of the Arborville School District because she was the central office secretary.
Superintendent Goldfinch hired her to be his secretary, and she described her working
relationship with him as a “very close working relationship” (personal interview, May
2004). Although this was Mrs. Robin’s first central oflice position, she came to
Arborville with clerical experience in the realm of education (counseling, athletics, and
building principal offices). Although Superintendent Goldfinch was the only
superintendent Mrs. Robin had worked for, she seemed to have a clear understanding of
how a superintendent should function. For instance, she described her superintendent as
“a good communicator, which I think he is with both public, board, stafi'...Hc is not going
to go into confidentiality, but he definitely tries to keep everyone aware of what’s going
onanduptospeedonanythingtheyneedtoknow”(personal interview, May2004).

Superintendent Goldfinch thought that Mr. Sparrow, a first-term trustee on the
Arborville Board of Education, was also a key player in the district. Superintendent

Goldfinch thought a board member would bring a difl‘crent perspective to the

53

superintendent’s cabinet, and Mr. Sparrow was a good choice because he obtained his
education in the Arborville District. Mr. Sparrow’s mother was a prominent figure in the
Arborville community, and she encouraged her son to take an active role in the
community and the district. This led Mr. Sparrow to run for the Arborville Board of
Education. He worked in a neighboring district as a media specialist, so he brought a
different perspective to the Arborville School District.

Mr. Sparrow described his relationship with Superintendent Goldfinch as amicable. He
believed that the superintendent was very approachable, but he had a slightly different
viewpoint from Mrs. Robin on what a superintendent should do.

Basically, I feel they should be the main person in the district. They should be the,
how do I say, I guess I would say the standard there in each individual district;
they should be visible more than any administrators, and I feel that. Second, they
are really in charge of making sure all the board policies and curriculum policies
set forth by the board are taken. And number three, they are in charge of making
sure communication is ongoing between all members of the district. (Personal

interview, May 2004)

The last member of Superintendent Goldfinch’s cabinet was Mrs. Oriole, an
elementary school principal. Because there were only two principals in the district,
Superintendent Goldfinch thought a building principal would bring another perspective to
the team. Mrs. Oriole began her first principalship with the Arborville District three years
ago. Superintendent Goldfinch hired her three years after he had been hired as the
superintendent. The previous principal had taken a new position across the state. Mrs.
Oriole thought she had a strong working relationship with Superintendent Goldfinch and

that he was a

. . . .nice person. I have learned a lot from him since I have been here. You know,
I think he has a lot to offer and I think this situation, it’s not a normal situation
that we are in. I think being the tecnsy, tiny town that sits back in the 50s makes it
tough.Ithinkheistiredofit. Heisagoodpersonandhewantstobeagood

54

superintendent. I think he had a lot of ideas and got shot down and he didn’t get
the support he needed. (Personal interview, June 2004)

The Communig and District
The Arborville School District had 40 staff members who served 817 students at

the time of this study. The K-6 principal, the 7-12 principal, and the superintendent made
up Arborville’s administrative team. The district was situated in a small, rural agricultural
community with approximately 4,624 residents, most of whom were predominant,
middle-income Caucasians who were born and raised in the district. There were no major
industries in this one-stoplight town, so many of the residents commuted to jobs in
surrounding towns. The town was founded in 1868 by a Baptist minister, which might
help explain how this small town supported four large churches of various
denominations, such as Catholic, Methodist, and Baptist.

The school district covered 100 square miles and operated two schools, one Ke6
building and one 7-12 building. The elementary school was very old; in fact, it was the
first school in Arborville. The school served grades K-12, but over the years, as the
district grew, it became the K-6 building. The high school was more modern, as it was
just 15 years old. It currently housed the 7'h through 12"I grades. The district had a new
bus garage to hold the fleet of buses that transported 65% of the students. The Arborville
School District was once viewed as a top-notch school system that had high academic
standards and outstanding athletic teams. About 15 years ago, the district experienced a
growth spurt, and the town of Arborville and the school district prospered. However,
times have changed, and Arborville schools have been consistently losing students to

neighboring districts. These changing times in the Arborville District can be directly

55

linked to the lack of trust and positive relationships between internal and external forces

in the organization. As Mr. Sparrow noted, “In a town like Arborville, things can get

volatile real quick” (personal interview, May 2004). This was demonstrated when the

townspeople voiced their displeasure at board meetings.

The Suggan' tendent’s ngtjve on Leadership

Superintendent Goldfinch described his own leadership as ‘fi/isionary” (personal

interview, 2004); and he believed that everybody has a certain leadership style.

leader.

Thewayllookatitisthatlrealizethatlcan’tdo cverything.Norshouldeant
to do everything. I think that people who cannot delegate in any way are people
who are going to be ineffective. Because again, either you are going to wear
yourself into the grotmd or you’re going to not get the job done. You just simply
can’t do everything in the district, so you need to be willing to delegate it and
support those people and give them the help, encouragement, and resources that
they need to be successful. . . .That’s the key issue; you surround yourself with
good people, and then when you do, let them do their jobs. This, as opposed to
being a dominating, authoritative type figure that has to control everything. I think
that leadership style is more doomed to failure. The other thing that I think you
have to be is, I think you have to be somewhat easy going. I think if you are the
type of person that overreacts, you can have some major problems. Again, people
are looking to you to provide leadership, stability, and a sense of direction.
(Personal interview, May 2004)

Superintendent Goldfinch believed that one is either a good leader or a poor

I think that if you are a good leader, you would be a good leader whether you
were president of the United States or the manager of a small office. It’s your
personality; it’s everything about you. I don’t think it is anything that you learn in
the classroom; I think it’s your life experiences that either make you a good or a
bad leader. It’s your temperament, everything about youuyour diplomacy, your
tactfulness and how you deal with people. I don’t think it is something you can
learn; I think there is something that is ingrained in you since the day you were
born. Some people are born to be leaders, and some people it is just not in their

56

chemistry and their make-up, and they just can’t cope and deal. (Personal
interview, May 2004)

In reflecting on the superintendency and his leadership, Superintendent Goldfinch
provided five examples of leadership ideas that denote the position of superintendent.
First, he believed the superintendent must look to staff when making decisions. He
believed one can use staff input when determining professional development
opportunities. The following exemplifies his thinking:

A few years ago we negotiated into the contract some professional development
days. At that point our teachers were kind of going out there on their own. They
were going to pick up the hours they needed for professional development. We
thought that was not really in the best interest of the district you know. It didn’t
seem like we had a lot of control over that, also it was very costly to do that, so
we thought that there has to be a better way. What we did was negotiate in that
contract, five professional development days, so that we made the state mandate.
Oncewedidthatwewere successfiflingetfinginthatconfiactthenbecamethe
responsibility, now that you have the days, what were you going to do during
those days. . . . I asked for at least two teachers fiom each building, and we gave
them release time, we brought subs in and we meet a couple of times a year. We
do itinthe fall andthe springandhalfadayeachtimeandsitdownasateamand
everybody is of equal value at that meeting. It is not dominated by myself or the
principals; the teachers have as much say, even more as to what’s going to be
offered to teachers on their P.D. days. We have been doing that now for about
threeyears, ortwo years, becauselikelsaidthefirstyearwediditas
administrators and the reaction fi'om the staff has been overwhelming and positive
about the professional development activities. . . . Obviously you can’t have the
teachers running everything, but when it comes down to activities like this that
have a direct impact on them; like I tell them, these are their days. (Personal
interview, May 2004)

Superintendent Goldfinch’s goal was to provide a safe and comfortable learning
environment. He stated,

Since Columbine, obviously school safety is a big issue and it is one we all take
seriously. We have been working hard on that, trying to provide a safe
environment. Even though we are a small district, we do feel a little bit isolated
from the rest of the world and probably don’t feel threatened as maybe we would
if we were a more metropolitan area. We do take it seriously because anything
can happen anywhere, so over the years we started by developing a crisis plan and

57

worked on that and had it ready to go and still have it. (Personal interview, May
2004)

Mr. Goldfinch believed a superintendent should work to ensure that students and
staff have technology available to them to support the curriculum. He thought the
Arborville District had made huge strides in this area.

We recently wired every classroom in the high school building with fibers so
every classroom had Internet access, and we put a computer in every classroom
with that money. At the elementary we did a similar thing; we put in a computer
labandwe alsowiredeveryroom. . . . The otherthingwe did forthefirsttime is
put phones in every classroom. We upgraded the phone system here, and we joke
that the phone system we had before was one step up fiom the tin can with a
string going through it. . . . so you can see we have made some great strides.
(Personal interview, May 2004).

Further, Superintendent Goldfinch believed that staff and students must be
provided a quality curriculum. When he first came to Arborville, there was no set

curriculum.

Every teacher was doing whatever they wanted to do, and based on their years of
experience, they were deciding what they thought should be taught in third grade
and fifth grade and not necessarily what anybody else thought should be taught
and I found that there wasn’t even consistency amongst third grade. (Personal
interview, May 2004)

Superintendent Goldfinch went to the board of education and encouraged them to
purchase a particular curriculum. After the curriculum was purchased, Mr. Goldfinch
went back to the board and said,

Just buying that curriculum, in itself, won’t make us successful. I have seen

districts where they have the curriculum, they buy it and it sits on the shelf

collecting dust because there is not buy in or no leadership to implement it. . . . In
just a matter of a few years we have gone from no curriculum to where all our

buildings are all meeting the benchmarks and standards, and our staff now has
bought into it, which was a big hurdle. (Personal interview, May 2004)

58

Because of the financial constraints being placed on districts, Mr. Goldfinch
believed that a superintendent must be fiscally responsible. “It’s no different than being a
CEO of a company; ultimately you are responsible for keeping that company in
operation,” he explained (personal interview, May 2004). The superintendent believed

that being a strong fiscal manager went along with his leadership style, “I empower them —

-\4

to maintain the budget; they keep me aware of issues that come up, questions, because

/
Lufl-I- '—

ultimately I have to make the decisions when it comes to budget issues” (personal
interview, May 2004). He thought he had been successful because the district had
maintaineditseurrentprogrammingandalsohadbeenabletoaddmoneytothefimd
equity.

According to Superintendent Goldfinch, a successful leader must take the
initiative to understand the politics of the organization. He stated:

Ithinkoneofthehardestthingsyouhavetobeprepared foris,likeIsaid,the
politics that goes on within the school, within the community; a lot of the other
thingswill workout, likethetrustandrespect. Youearnthatonaday-to-day
basis with what you do; that’s something either you have it or you don’t. I’m not
sure you can fake that or do something with that. Like I said, the politics because
your school board is going to change. If you are going to be there for a while, you
are going to deal with different people. The school board that hired you, in a few
years might be gone and you are going to be dealing with a whole new board of
education~ seven different people that have different values, different wish lists,
or whatever their agenda might be. You have to be able to deal with that and keep
them happy and keep them focused. Then the politics within the community and
different groups you have to work with. I think that is a big part of it, being
prepared for that, because that is something you can’t always control and you
have to be flexible and be able to deal with it and pull things together. (Personal
interview, May 2004)

According to Superintendent Goldfinch the best way to deal with political
agendas was to keep the board informed on a regular basis; this is why he made weekly,

even daily, contacts with board members to maintain open lines of communication. He

59

 

did this by mailing weekly board briefs, making telephone calls, and sending emails.
Despite his efforts, Superintendent Goldfinch was often criticized, especially by Mr.
Sparrow, as not promoting dialogue between board members and staff. Mr. Sparrow
stated that he would like more “follow-up on a daily basis” (personal interview, May
2004). The weekly updates were beneficial, but he would prefer that Superintendent
Goldfinch give him a quick five-minute phone call to keep him updated as to possible
concerns or activities in the district. Mr. Sparrow did not want to be caught off guard
when a parent or concerned citizen approached him.
Mr. Sparrow also believed that in Arborville the superintendent must walk a thin
line due to the politics of the district. He asserted:
I think working in a school there are a lot of politics that go on behind the scene
that people in the community never see, which is a good thing because a lot of it
is totally off-the-wall stuff that really doesn’t affect how teachers and
administrators and the board do their job. There is a lot of special agendas and it’s
hard to be, like I said, be objective and step back and say, well while this might
not be the popular thing, it is something that is going to benefit our district; maybe

not today, but in the long run it is definitely going to be baneficial for everybody.
(Personal interview, 2004)

Some people had accused Superintendent Goldfinch of being a “pleaser” or

possessing a laiSSCZiaimrsgchp Which he liked to gather; allfithejactsfibefore making 9"”

mmMF—Mw—u—P" W

N‘hm

a decision. If he did not agree with a policy or an issue, he might ignore it in hopes it

would dime: ItWfié,9i§i;31f9r.tb§,almtinegésatit’fiskimsllms913,?“
agree with the board, but the professional community believed he was tmwilling to take a
stand and fight for his or their beliefs (personal interview, May 2004). It appeared that he
was more concerned with keeping harmony between the board and the school

community.

Case of Power and Politics

The Arborville Board of Education hired Superintendent Goldfinch in 1998, and
he had led the district for the past six years. At the time he was hired, the board believed
rebuilding the community-school relationship should be the new superintendent’s
primary focus. Mr. Goldfinch enjoyed the board’s laissez-faire approach and was able to
build a strong tie between himself and the board members who seldom questioned his
decisions. The board, much like the superintendent, believed the school was a reflection
of the community, and it should be held in high regard.

In the first years of his tenure, Superintendent Goldfinch believed the overall
operation and day-to-day activities of the district progressed commendably. There was a
strong working relationship between the administration and the board of education, which
had been missing in previous years. The biggest challenge facing Superintendent
Goldfinch was the fact that the district had not passed a bond issue in several years. The
board wanted to try again, so they decided to move forward with a bond proposal in
2002, although odds were against its passage. In fact, in the last five years, other such
attempts had failed, two of them during Superintendent Goldfinch’s tenure. However,
Mr. Goldfinch appeared to need another challenge, so he began to investigate the voting
pattern that existed in the community and to look at the previous bond proposals. He
organized town meetings, to be held every Monday night, and he circulated literature
describing the scope of the project.

The number of people that came varied, but typically we would have about 30

people at the meeting like that, and that became our workers. They became the

backbone of our committee to ultimately pass the bond issue. This was one of the

things I learned through some failing proposals to the public; the superintendent
and the school board cannot pass bond issues. No matter how hard you try, it’s

61

more than you can personally do, so you need to reach out to the commtmity and

it needs to become a community package. If you can get key people within the

community to work on it, and to really support it, they can influence a lot of other
folks. And not only that, they can have some great ideas and they bring those to
thetable. . . .Myroleinthatwastomakesmewhatwasintherewasaccurateand
that we didn’t put anything out that could be misconstrued, because ultimately
when you are done with the project, people could come back with the flyer and
say, “You said this was going to be done and you didn’t do it,” so you have to

make sure that’s right. (Personal interview, May 2004)

Through this process, Mr. Goldfinch folmd that there still was tension in the
community fiom the previous high school building project. The former administration
had convinced the community to build a new high school and due to financial constraints,
the building sat empty for a year. Superintendent Goldfinch considered this information
and presented a bond proposal that did not include a new building. Instead, the new
proposal focused on developing a shared commitment and sense of commrmity pride with
minimal flmding. Repairs and renovations would be made to both the high school and the
elementary school; several technology upgrades also would be made, and a 5,000-square-
foot addition would be built on the elementary school to house a new library and
computer lab. In addition, several renovations would be made to the high school science
lab and the athletic complex.

Despite defeating bond issues over the past five years, the Arborville community
gave their support to the school and passed the $6.87 million dollar bond issue in 2002
with a 722 to 523 vote. This bond project provided the new technology and upgrades the
district needed. It was a small victory for the school community; however, the celebration
was short- lived.

As in many small communities, Arborville fans rallied together every Friday night

to support the local football team. However, these fans did not have a lot to celebrate, as

62

their football team had not won a game in four years. Given this record, the board
believed the head football coach had more than an ample opportunity to prove himself.
Therefore, the board and superintendent decided to terminate his contract. Community
members, however, disagreed, and the decision to terminate the football coach’s contract
resulted in the recall of three board members. This dramatic change in the makeup of the
board presented a whole new set of issues for Superintendent Goldfinch to address.

The new members of the Arborville Board of Education brought new agendas and
plans to the board and superintendent. These agendas included the purchase of new
language arts materials to appease a fifth-grade teacher, who was a close personal fiiend
of a newly elected board member, a push to terminate the elementary principal’s contract,
and a push to replace Superintendent Goldfinch. These agendas created tension between
Superintendent Goldfinch and the board, and he worked diligently to restore the
relationship that had been severed between the board, the school, and the community.
Superintendent Goldfinch wanted to move this new board in a positive direction, but the
existing lack of communication and trust hampered his ability to reestablish the
relationship.

Much of the controversy between the board and the school organization centered
on the elementary principal, Mrs. Oriole. She brought several years of teaching
experience to the district, and because this was her first principalship, she worked hard to
demonstrate her talents to the Arborville community. Mrs. Oriole was very innovative
and wanted to help transform the predominantly archaic teaching methods in the
elementary school. However, she was met with resistance fiom a predominantly

experienced staff, whose “old school” methods were embedded in the school and

63

community. When Mrs. Oriole wanted to adjust the current teaching practices or the
curriculum, teachers began to question her tactics, bypassed her position as principal, and
went to the superintendent and board members to voice their concerns.

Mrs. Oriole believed there was a lack of administrative support as well as a lack
of educational focus at Arborville.

I think Superintendent Goldfinch and I have a good relationship, I always have. I

think there has been a lot of pressure that has undermined a lot of things,

unfortunately, and put him in a precarious situation. I think for the most part he
has done the right thing. The part that I feel I could use more support is the

relationship as far as the staff, and moving toward best practices now; not what’s
best for the teachers, but what’s best for the kids. That focus I don’t think is there

any longer. (Personal interview, June 2004)

Mrs. Oriole thought Superintendent Goldfinch “wants everyone to be happy, so I
think he tells you what he thinks might make you happy at the time. I think decisions are
made on who puts more pressure on him” (personal interview, June 2004). She described
what was occurring: “The books, the language arts textbooks that we didn’t need. We had
meetings and we brought in our curriculum chairpeople and they explained it, yet a
teacher who wanted them at the time, a personal fiiend of the board members, we ended
up getting books which cost $2,000 that I didn’t have. It kind of undermined the whole
process of curriculum development” (personal interview, June 2004). Mrs. Oriole would
soon discover that the conflicts she was having with the board went well beyond the
decision to pmehase textbooks.

According to board policy, administrative contracts had to be taken to the board
of education for review and renewal every year. Because of the tensions surrounding the
elementary principal, the board president refused to put her contract on the meeting

agenda; therefore, the contract was not going to be reviewed and ultimately not renewed.

64

Mrs. Oriole turned to her superintendent for support, but he had decided to support the
board’s position and suggested she look for a new position.
Superintendent Goldfinch believed that he had done everything he could to
support his elementary principal; however, supporting the board was his top priority.
I have always told my board members when they come on that we all have the
rights to our opinions, that’s a natural phenomenon. As a board and as a
governing body of the school district, we can all express our opinions, but when
wewalkoutthedoor,wewalkarminarm,sotospeak; supportingwhateveritis
that we decided on. Even if the vote is 4 to 3, we still walk out supporting that
initiative (Personal interview, May 2004)
ThesupefintendembelievedhisfimeinArborviflehadbeensuccessfiflandthe
Arborville School District had made huge strides in passing the bond issue. Yet, at times,
there was a definite breakdown in commrmication between the superintendent and the
board, the superintendent and the staff, and the superintendent and the community. These
breakdowns created tension and a definite lack of trust existed in the school organization
and the community. Whereas Superintendent Goldfinch saw himselfas the power figure
of the organization, the professional commrmity viewed the board as holding the power.
This difference of opinion created tensions in the Arborville organization, and these

tensions appear to remain an on-going issue for the district.

The Bakersville School Di 'ct: A Case of mmuni '0 an 'tment
Commrmication and vision were integral parts of the Bakersville School District
and commtmity. In 2002, the district passed a bond and sold the building that housed its
alternative high school. In some districts this action might have caused chaos, but in
Bakersville the transition went smoothly. Much of this success was due to the

relationships that Dr. Kingfisher, the superintendent, had created with the school and the

65

community. He had forged a strong bond that was based on trust and honesty, which

went a long way with the staff and community of Bakersville.

The Superintendent a_n_d His Cabinet

The following table provides details of the Bakersville superintendent and his

cabinet members.

Table 4.2 Characteristics of the Bakersville Superintendent and His Cabinet

 

 

 

 

 

 

 

Name Position Education Years of
Experience
Dr. Superintendent Ph.D. in 32 Years of
Kingfisher Educational experience
Administration 10 Years as
superintendent
Mrs. Tern Transportation High School 11 years
supervisor diploma
Mr. Finch Assistant Ed. Specialist 8 years
superintendent
Mrs. Head High school 20 years
Chickadee custodian diploma
Mrs. Title I aide Associate’s 6 years
Hummingbird and union degree
president for
support staff

 

 

 

 

 

Dr. Kingfisher has been in the business of education for 32 years. He was a
teacher and then an elementary principal for 10 years. During Dr. Kingfisher’s tentue as a
principal, his superintendent called him into the office and asked him what he wanted to
be when he grew up. After reflecting on this question, Dr. Kingfisher realized he wanted
to eventually become a superintendent. “I think if you’re in this business long enough, at
some point in your career, you think you can do it better than the person that’s sitting as
superintendent, so at some point I decided that if he could do it, I could do it, and I could

probably do it better” (personal interview, May 2004). With that being said, he began to

66

prepare for the superintendency by taking on additional duties in finance and federal
programming (personal interview, May 2004).

Because Dr. Kingfisher had a strong mentor, he also served as a mentor in his
organization. He explained:

I hope I spend time mentoring my staff and mentoring the other administrators

and providing them with information based on my experiences. I think that there

is something; part of my personality is to help others, to work with others and to
give back. So I think there is a part of my personality that is there, and then
having that strong mentor nurtured that personality trait. (Personal interview, May

2004)

Dr. Kingfisher translated this role as a nurturer into how be operated in the
organization:

Ithinkithasalottodo withushavingasharedvisionwithintheorganization.l

think it has a lot to do with working with the commrmity and how we form

partnerships with the community and how we form partnerships with one another,
whether we’re teachers or administrators. We as an administrative staff look at
ourselves as lifelong learners; at least I look at myself as a lifelong learner. All of
ouradministratorsare. . . . inorworkingonadvanceddegrees. . . .orhavejust
finished, so I think that’s all part of the importance of taking my experiences and

helping. (Personal interview, May 2004)

Mrs. Tern, a member of the superintendent’s cabinet, had been with the
Bakersville School District for 11 years; the last six years she had served as the
transportation supervisor. Mrs. Tern believed Dr. Kingfisher was supportive of her and
the decisions she made in regards to transportation. She has worked with him for the past
10 years and said there had never been a time when he failed to meet her expectations of
did not follow through with a decision.

Mr. Finch served as the assistant superintendent of the Bakersville School

District; he had been in the district for eight years. He began his career in Bakersville as

67

the high school principal before advancing to the position of assistant superintendent. Mr.
Finch appreciated the way that Dr. Kingfisher “gives his administrators latitude and he
doesn’t micromanage, but he does set general guidelines. He counts on the positive
human nature of his administrators and people to get the job done. He’s outstanding!”
(personal interview, May 2004). Mr. Finch admitted that he enjoyed his positive working
relationship with Dr. Kingfisher, and although he had aspirations of becoming a
superintendent one day, he wanted to continue working for Dr. Kingfisher as long as
possible.

Mrs. Chickadee had not always had a positive experience with the Bakersville
administration. Having been the head custodian in the district for the past 20 years, she
had seen the devastating effects that poor administration could have on a program.

I think we are so fortunate to have Dr. Kingfisher. We have had other

administrators here. I have been here for 20 years, and I have been lied to; I have,

everything. You don’t know the whole truth. Dr. Kingfisher is the most honest,
straightforward. When we meet a problem, it is not swept under the rug. He meets
it head on; he never sweeps it under the rug. You can go to him with a problem
and he can see further ahead, things you haven’t even thought of, and help you

work it out and do the right thing. (Personal interview, May 2004)

Mrs. Hummingbird had been with Bakersville for the past six years, serving as the
Title I aide and union president for support staff. She thought that communication was
one of Dr. Kingfisher’s strongest attributes. During contract negotiations, he listened to
the concerns of the rmion and worked to resolve them. “Any issues that come up in the
union, he is always very willing to look at all sides and possible solutions, and together
we try and do what’s best for the overall lmion. He has gone out of his way to
accommodate special requests fi'om my union members” (personal interview, 2004). Mrs.

Hummingbird believed Dr. Kingfisher cared about her concerns and worked diligently to

68

meet the needs of support staff. He had created strong organizational ties between the

staff and administration, and this had gone a long way in creating a unified organization.

The Community and District
The Bakersville School District was located in the city of Bakersville; 12, 247

people resided within the district boundaries. Bakersville was a quaint, middle-income
community that had a 7.7% tmemployment rate. The town of Bakersville had three large
automobile dealerships and several small businesses to support employment. The adult
population in the city of Bakersville averaged about 35 years of age, so the district was
consistently growing with over 2,000 students.

The Bakersville School District had 257 employees, 129 of whom were teachers;
they serviced the 2,240 students. There are nine administrators and three supervisors who
oversaw transportation, food services, and business services. The school district had five
buildings: a high school, an alternative high school, a middle school and two elementary
schools. The district also housed the Special Education Consortium for Exceptional
Children. The district had a $6,700 per pupil foundation allowance and transported
approximately 40% of its students.

In 2002, the Bakersville School District passed a bond issue to make major
renovations and upgrades to their high school, central offices, and middle school. This
bond passed with a resounding affirmative vote and many would say this was a result of

the leadership of their superintendent, Dr. Kingfisher.

69

The Sum' tendent’s Perspective on Leade hip

Dr. Kingfisher had developed strong, loyal ties to Bakersville’s educational
community and the community-at-large. He realized that schools cannot be successful
unless everyone is involved. The superintendent believed that school members must form
partnerships with the community and with one another, whether one is a teacher or an
administrator. He believed that the school district does not operate in isolation, but rather
is an active part of the community. According to Dr. Kingfisher, in order to have a
vibrant, growing community, there must be a vibrant, growing school. He believed the
school district must also have a broad base of support in the community and therefore
worked to develop relationships within the community.

Dr. Kingfisher believed he was able to build these partnerships and be suecessfirl
through his leadership, which entailed being a role model and leading by example. He
said all leadership starts with a set of core values:

I tell people often that at the end of the day the only thing I have left is my

reputation and my ethics, so I think that leadership starts with being a role model

and living day to day ethically and honestly. I think that leadership fiom there is
taking quality people, good people, talented people, and kind of being a catalyst
for change-having people think outside the box and take chances and create

something better than what we had when we started. (Personal interview, 2004)

Dr. Kingfisher translated these definitions of leadership into the school
superintendency by maintaining a clear picture of what the district was about, which was
to help all children learn.

I think that the superintendent has to have a clear picture of what they are all

about and what is most important to them. I have always said, since I have been a

superintendent, and I guess I repeat it a lot, so that must be one of my core values,

that we are here to help all children learn, we are here to promote the success of

all kids, all students. The most important thing that happens in a school district
happens inside a classroom, so the most important people here in my mind are the

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teachers. So my leadership, my core values, are to provide all the tools necessary

for teachers to do their jobs, principals to do their jobs, and so I guess that’s where

it begins, with those core values. (Personal interview, 2004)

Promoting student success was a top priority for Dr. Kingfisher, and he cited a
variety of ways in which he accomplished this goal. First of all, he believed that the
school district, including the board, the administrators, and the teachers, needed to have a
shared vision of learning, and a culture that promoted learning. Second, there had to be
management, whereby the superintendent took care of the basic needs of the district, for
example, dealing with hostile parents, making sure paychecks were sent out on time, and
ensuring that there was an organization plan, fiom maintenance to finance.

Dr. Kingfisher believed the superintendent must work in collaboration with
families and the community. Further it was the superintendent’s responsibility to be
aware of trends that were going on within the community. “IfI develop those
relationships within the community and we have a difl'rcult problem at school that is
going to be controversial, often times there are leaders within the community that would
say, ‘that’s probably not the way it is, Dr. Kingfisher would have a reason for doing that’.
So it’s building a trust and building that relationship” (personal interview, May 2004).
Dr. Kingfisher also believed that a superintendent needs to be able to respond to state
laws, national laws, the legal issues, the economy, and politics (personal interview, May
2004).

Dr. Kingfisher admitted he was a big idea person, but he also learned early in his
carecrthatifhehadallthe ideasandwenttopeopleanddeclared, “This iswhatweare

going to do,” that approach usually was not successful.

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The one incident that comes to mind was when I was a middle school principal,
and we wanted to do some teaming I wanted to do some teaming, and I didn’t
have staff buy-in; I had a staff that was made up of high school teachers who got
stuck in the middle school, so I wanted to do some teaming or team teaching. So I
set that up and really what it became was a science teacher who taught 60 kids,
while the other two teachers disappeared; then the math teacher came in and
taught 60 kids while the other two teachers disappeared. So they really didn’t do
any planning together, they didn’t do any teaming, anything that I thought was
important. And that wasn’t their fault, it was just the way I set up the schedule;
nor did they have buy-in, so it failed miserably. (Personal interview, May 2004)
He had learned that if he followed his core values as a leader and worked with the

community and staff, it was possible to bring about change in his district.

A Case of Communication and Commitment

In the summer of 2002, the Bakersville School District sold the building that
housed their alternative high school. The district had three months-fiom the time school
closed in June to the time it opened again in the fall- to find a place to house the
alternative high school. School board members were tense because the district did not
have a place to put these students, and the tension brought intense pressure, concerns, and
anxiety. The staff and the administrator of the building also were feeling troubled; they
feared the district would eliminate their jobs because the building had been sold. The
simplest solution was to forget that the alternative high school ever existed, but this was
not an option for Dr. Kingfisher.

Several possibilities were investigated to determine the best placement for the
alternative high school during this transitional period. The fix was to be only temporary,
because the bond project would add additional classrooms to the high school, there by
providing alternative high school with a new home. It was determined that the best place

to house the students in the meantime would be a local church, but the idea of renting the

72

church for this purpose then created tension and apprehension on the part of church
members. They were concerned that these alternative students were difficult and that they
would destroy the church. Church members sent letters voicing their concerns to their
minister and to the Bakersville Board of Education. Dr. Kingfisher had to deal with these
tensions and stress immediately so the situation would not escalate.

Dr. Kingfisher knew he could not eliminate the administrators’ and the teachers’
stress because their concern had shifted fiom not having a place for the alternative high
school to not knowing how their things would fit in the church. During this stressful time,
Dr. Kingfisher worked to reduce the stress by meeting regularly with the staff of the
alternative high school fiom August to September. He frequently visited the building to
reassure them that he cared about their plight. He clearly communicated to the staff that
any problems that arose would be handled (personal interview, 2004).

The superintendent also worked to reduce the strain the Bakersville Board of
Education was experiencing through the use of weekly updates, telephone calls, and
frequent committee meetings. Dr. Kingfisher did not want the board to be surprised by
local community members who belonged to the church. He kept the board informed at all
points-- fiom the sale of the building, to the rental of the church, and throughout the
construction project. Again, communication appeared to be the key ingredient for
reducing stress among board members. Dr. Kingfisher consistently tried to answer all
questions honestly and forthrightly, without avoiding difficult ones (personal interview,
May 2004). This honesty enabled the Bakersville School District to work through the

issues surrounding the move of the alternative high school with minimal discontent. At

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the time of this study, the alternative high school had been successfully relocated to its
permanent home at Bakersville High School.

Dr. Kingfisher believed that issues such as these would continue to be resolved if
there was a strong vision and commitment by the school community and the community-
at-large. He believed the school is a direct reflection of what the community is and that
the school district is there to serve the community. He also believed that “the school
district has a responsibility to be a leader in the commrmity” and that “the school district
is an institution that can change the community and can make the community a better
place to live, to work, and to play” (personal interview, 2004). In an effort to support
these beliefs, Dr. Kingfisher conducted community surveys because the school board, the
administration, and the teachers need to know what the commrmity wants. The surveys
gave the Bakersville District an opportunity to find ways they could lead the community
to a better place. Since Dr. Kingfisher had implemented the commrmity surveys, there
had been no real surprises in regard to needs of the community.

As stated before, Dr. Kingfisher believed he needed to ensure that all the
stakeholders in the organization and community-at-large were working toward achieving
the same vision.

I think of the most important things that I do is making sure that everybody is

workinginthesamedirectiononthe same goals, workingtowardthcsame

mission, the same vision. I want to make sure all the arrows are going to the same
target, so that’s why I feel it is important to have performance indicators. That is
probably one of the most important documents I have in terms of what I do is that

I have goals, the administrators have goals, the administrators set goals for their

buildings, so the board sets my goals, I set the principals’ goals, so we are all

focused on the same thing. (Personal interview, May 2004)

This superintendent believed that commrmication was the key to building bridges

between the school and the community, as well as establishing relationships within the

74

organization. He sent the board weekly updates in the form of memos. “I have always
done updates to the board because it’s important to keep the board informed, and as long
as you have a well-informed board, good intelligent people with the right information,
they will, make good decisions. You have to make sure board members have as much
information as possible” (personal interview, May 2004).

Dr. Kingfisher believed a successful superintendent should possess certain
characteristics or skills. First among them were integrity and honesty. He stated, “No
matter what you do, your integrity, your honesty, and your reputation are all you’re going
to have left when you get done, so it’s important to always deal with people in an open
and honest way” (personal interview, May 2004). He also believed that the
superintendent should strive to “leave the district in better shape than when you came to
it, you should leave a mar ” (personal interview, 2004).

Further, Dr. Kingfisher said that in this day and age with all the problems with
state funding, “a superintendent needs to know finance. Unfortunately it has become
more important to the superintendent than curriculum” (personal interview, May 2004).
Last, Dr. Kingfisher believed that a superintendent nwds to have a plan to make sure the
curriculum is being reviewed and evaluated.

Curriculum needs to be taken care of, and somebody needs to take care of that. In

our district, it might be difficult for the superintendent to be up on everything.

They can’t do everything, they can’t do curriculum and do it justice, and finance,

and personnel, or those things; so the superintendent needs people working for

them. (Personal interview, May 2004)

Dr. Kingfisher’s did not just verbalize his definition and characteristics of a

successful superintendent. According to the professional community, he practiced what

he preached about school leadership (personal interview, May 2004). This quality was

75

evident as student enrollment in the district was rising and Bakersville continued to
attract several school-of-choice applicants. The Bakersville School District and the

Bakersville community were continuing to prosper and grow.

The Collinsville School District: A Cfie of Rebuilding

The Collinsville School District was an organization in turmoil prior to the arrival
of its new superintendent, Dr. Owl. The previous administration didn’t work to build
relationships with the staff or the community; they focused on the needs of the Board of
Education. This created tension within the organization and the community and this
tension escalated to a point where the board terminated the superintendent. Dr. Owl was
hired by the district to repair the damage done to the budget and to the morale of the staff
and community. This was going to be a daunting task, but Dr. Owl had a vision for the
organization and the necessary tools to bring harmony back to the community and the

school organization.

The 8mg tendent and Hiflabinet

 

The following table provides details of the Bakersville superintendent and his

cabinet members.

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Table 4.3 Characteristics of the Collinsville Superintendent and His Cabinet

 

 

 

 

 

 

 

 

Name Position Education Years of Experience
Dr. Owl Superintendent Ph. D in 23 Years/4 years as
Educational Supt in Collinsville
Administration
Mrs. Quail Secretary to B.A. 15 Years
Superintendent
Mr. Pelican Curriculum Director M.A. in Educational 12 Years
and Elementary Administration
Principal
Mrs. Goose Teacher/Union Pres. B.A. in Education 22 Years

 

 

Dr. Owl began his administrative career working as a community education
director for a small district near Collinsville. He had held that position since 1978, and
decided it was time to consider other administrative positions. As luck would have it, the
high school principal took another job, which left the position open. Dr. Owl decided he
would try his luck at being a high school principal. Although the job was somewhat
difficult at times, Dr. Owl found it very exciting, and new doors began to open for him.
He found another administration challenge when the superintendent of his district left for
a new position. “I was asked ifI could assume the superintendency. It was pretty short
notice, itwasaboutnineweekslgottoassistintheprocessofhiringanew
superintendent, and as a result I got to be in about 13 different interviews. It was
fascinating, and I did enjoy it and the dye was cast” (personal interview, 2004). Those
nine weeks were enough to give Dr. Owl the impetus he needed to pursue a career
change.

Once again, an opportrmity arose for Dr. Owl to move into a superintendency, but
this time it was in a remote location. He served as the superintendent of that small district

for four years before again deciding he needed a new challenge. “I don’t know if wander

77

 

is the right word, administrative challenges may be on the horizon, and I needed to
enhance my position” (personal interview, May 2004). Dr. Owl wanted to get back to the
Collinsville area, and fortunately they were looking for a superintendent. Dr. Owl was
appointed superintendent of the Collinsville School District in 2000, and he embarked on
a new journey in his career.

Dr. Owl found an entrenched group of professional community members when he
moved to Collinsville, but he had worked to build strong relationships with these (now)
valuable members of his cabinet. For instance, whereas Mrs. Quail had been Dr. Owl’s
secretary for the four years he had been superintendent, she had served in that position for
the past 15 years. Mrs. Quail was loyal to the previous administrator and Dr. Owl had
worked assiduously to build a positive working relationship with her.

Mrs. Quail believed a good leader stays in touch with the staff and community;
communication is a priority. She thought she was very competent at her job and that it
was the superintendent’s responsibility to support her decisions so she could continue to
be successful. Mrs. Quail stated, “It’s kind of funny the way we work. I only go to him if
I am absolutely stuck. I do my job, it is always done, so I don’t go to him with a lot of
things as far as actual job duties that are mine. He just knows that I will always have it
done; he never has to come to me and ask if I have something done” (personal interview,
May 2004).

Mr. Pelican had been with the Collinsville District for the past 12 years and wore
several hats there. He was the elementary principal of the town’s elementary school and
he also served as the K-12 curriculum director. Mr. Pelican believed Dr. Owl was

successful because he understood the organization and the people in it. He said, “I think

78

the superintendent is very aware of community values. He has very good people skills
and interacts well with others. He is a good listener. He listens carefully to all factions,
the board, the administrators, the teachers, the community as a whole, service
organizations” (personal interview, May 2004).

According to Mr. Pelican, Dr. Owl had a good vision for the organization, and
everything he did worked toward that vision. “I almost see his role like a matador with a
bull. He is directing and kinda keeping things flowing, as opposed to confronting it head
on and making his vision the most important and impressing or forcing it on others”
(personal interview, May 2004). Mr. Pelican said that Dr. Owl was also highly successful
at rebuilding relationships, which was evident fi'om the first board meeting, and would
continue to build positive relationships with the community and the school organization
in the future.

Mrs. Goose had been a teacher in the Collinsville School District for the past 22
years. She had served as the union president for the past 10 years and admitted the union
had been in complete disarray before Dr. Owl arrived. The previous administration had
made promises to the union that were never kept, and there was a huge rift between the
school organization and the administration. Mrs. Goose admired the way Dr. Owl
swooped in and immediately gained control of the situation. “When he first came here,
there was a great deal of animosity between the teachers and the administration. He
certainly has been able to smooth that over and make the teachers trust him. We didn’t
have that trust with the former administration” (personal interview, May 2004). As a

result, Mrs. Goose and the union had begun to trust Dr. Owl and support his decisions.

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“He is fair, and I believe he is concerned about the education for all kids. He makes a

good impression, and I think it is a genuine impression” (personal interview, May 2004).

The Community and the District

The Collinsville School District comprised four townships, and approximately 11,
575 people resided within the district boundaries. The city of Collinsville was once a hub
for the Grand Trunk Railway system and a clock tower in the center of town depicted the
railroad way of life. Although the Collinsville school district was not growing rapidly, it
was a solid district that supported the 2,029 students who attended school there.

The district had 260 employees, 119 of whom were teachers; this stafi‘ serviced
2,029 students. The school district was spread out over four townships where its four
elementary schools, a middle school, and a high school were located. The community of
Collinsville housed a majority of these buildings as it had two of the four elementary
schools, the middle school, and the high school. The Collinsville School District had a
$6,700 per pupil formdation allowance and transported approximately 50% of their
students.

The district itself had undergone some dramatic changes before their new
superintendent, Dr. Owl, washired. Therewasadefinite lackoftrustbetweenthe
administration and the organization, as well as between the community and the
organization, due to previous reports of the misappropriation of school funds. Dr. Owl
began his superintendency at a time when the Collinsville School District was in
complete disarray and more than $800,000 in the red. He definitely had his work cut out

for him, and the task at hand was not going to be an easy one.

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A Sm’ tendent’s Perspective on Leadership

Dr. Owl could not remember a time when he was “skipping and singing on the
way to work” (personal interview, 2004) as a school superintendent. He did however,
recall many times when he “came out of a difficult board meeting or having negotiated
not only contracts, but mediated is a better word, tense situations either among
employees, parents, or whatever, and came out with what I would call fair and equitable
agreements and you feel satisfied in that; you feel successful that you brought success to
others” (personal interview, 2004).

Dr. Owl described leadership in two ways:

Leadership to me is a couple of things. It has to be first and foremost a shared

vision of inspiration to people; I think they have to believe in you and believe in

what you believe in. Then number two, leadership is also defined in knowing that

during a sometimes-precarious moment, you have to act authoritatively in a

solitary manner. Occasionally we don’t make that right choice, but hopefully you

have built a shared vision and a sense of community. (Personal interview, May

2004).

Dr. Owl believed that if the superintendent has built a shared vision and a sense of
community, he or she will make the right decisions for the organization.

According to Dr. Owl, vision and a sense of community were built in a variety of
ways. First of all, he maintained, there is no substitute for visibility. Dr. Owl worked to
ensure that he was visible in the classroom, where he might be seen playing his guitar, or
at local clubs and organizations. He worked to have the community members view him

not only as a superintendent, but also as a person who was willing to make a commitment

to both the school organization and the community.

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Dr. Owl outlined several ways to fulfill the responsibilities of the superintendency
and create a sense of community. The previous administration had not developed a shared
vision in the organization, so when Dr. Owl first arrived at Collinsville he realized that
this would be a tension within the organization.

There was a huge rift between the union, which here it is called the (CEA), and

the administration and board. Things were of such a nature that there were over

100 members of the (CEA) in green shirts at each board meeting because they did

not have a contract. Happily, the board settled the contract just prior to my

arriving on the job, so the first thing I did was meet with the (CEA) officers and
we established a contract maintenance group where we had to meet every other

month. (Personal interview, May 2004)

He bought pizza for the group members, and they would sit and discuss troubling
issues. It was a very painful process at the beginning, as there were many issues to bash
out. However, Dr. Owl had not needed to continue the group because the issues were
addressed successfully and harmony in the organization was restored.

Because the previous administration still was mildly visible in the organization,
Dr. Owl realized that he had to build community support. “I felt it was important, if the
school was to move forward to garner any support for future bond issues as well as just
for people taking more of an interest in our school, I would need to become more
involved in the community” (personal interview, May 2004). With that in mind, he joined
the Rotary Club, the Chamber of Commerce, and the Methodist Chmch. He took every
available moment to work with community members and this effort had begun to pay off
as Dr. Owl gradually garnered community support.

Dr. Owl believed that in addition to other responsibilities, a superintendent must
lay a strong financial foundation for the district. Thus, he began building community and

organizational relationships and took an open-book approach to budgeting with the

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organization. Dr. Owl gained new respect when he sought input fiom the staff when
making tough budget decisions. The staff offered valuable suggestions and the
relationship between them and the superintendent grew even stronger; their support
would be beneficial during difficult times.

The one area in which Dr. owl wanted to be more successful was superintendent-
board relations. Dr. Owl criticized himself for not working to foster a closer working
relationship with the board.

There are seven board members; we had two board members not in attendance at
the last meeting, and my contract was renewed 4 to 1. One person voted against
that, and there were two that gave me scathing evaluations, and the other five
were very supportive. So there are obviously some bridges that need to be built
there. I don’t think I even put up a single strand of rope. It was a two way street,
of course, too, but I feel I could have spent more time doing that and it needed
that. LikeIsaid,Ihadtoprioritizetheotherareasfirst;theyallprovedtobevery
fruitful,andlthinktheyaresuccessful. Thisareawasnotassuccessfirl, andIam
turning my efforts more toward it. (Personal interview, May 2004)

Building superintendent-board relations continued to be a concern for Dr. Owl.
He explained the challenge:

Ithinktheboardatfirstwas looking foramoretraditional leaderaswellasa
collaborative, cooperative type of leader. And I don’t think I did a good enough
job fiom that standpoint in explaining that the nuances of my particular leadership
style would get the job done. Maybe not outwardly as fast as a more authoritative
or dictatorial leadership style, but when it was built, when the bridge was built, it
would remain standing and be very solid. I did not sell that nor make an effort to
convey that, and as a result I think I pulled back, especially fiom those two more
distant board members. I did not go out of my way to initiate a whole lot of
commrmication, and again it was a two-way street. Rumors were circulated about
me, and I would hear stories back fiom people that weren’t very nice about my
level of competence, other things that were all untrue. One board member was
called out on it and caught directly lying, but it still continued on. It’s a precarious
position, but that’s just part of that. You can’t look for a winner or loser, you just
have to fix that particular situation and foster that relationship. I think I need to
reach out and be proactive in demonstrating my leadership style, even though not
what they were particularly looking for or considered to be a successful

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management style, was going to be equally successful. (Personal interview, May
2004)

The last thing that Dr. Owl believed was necessary for success in the
superintendency was balancing the job with continuing educational challenges and fun. “I
still like to be challenged in some different areas, and I still like to share some of the
knowledge I have gained in this position and also through all my 28 years with younger
administrators or adnrinistrators-to-be, as well as Ph.D. students” (personal interview,
May 2004). This is all part of the balance needed in the position of superintendent and

each component must be valued and addressed.

A Ca_se of Rebuilding

When I arrived here in November of 2000, the budget was already set and that
was the year we had received an additional $400 a student, and on 2,000 students,
that was an additional $800,000. Previous administration had miscalculated the
budget by $800,000 so in effect they had made a small miscalculation of about
$1.6 million and we were $825,000 in the hole at the end of that year and that was
after we had received $800,000 in state aide. As one of the local superintendents
said, if you can’t make ends met on an additional $400 per kid, you got real
problems. Well, we had real problems and ever since then we have had to make
drastic budget cuts. Basically, that previous administration spent the entire flmd
equity we had in one year. (Personal interview, May 2004)

Although Dr. Owl had made significant progress in recovering the almost
$800,000 spent by the previous administration in 2000, the district was still losing
money because state funding was not being increased and students were leaving
the district. The superintendent told me,

Whenever there is financial challenges, it just shoots right through your whole
staff like the plague. People are always looking over their shoulders; every time
we have had to make reductions, we have not had to lay people off.
Unfortunately, that will not be the case this coming year. We have been able to do
that through attrition. So far, I think we are at nine teachers, two administrators,

and a maintenance supervisor. We are going to lose five more teachers this year.
Parapros are probably going to be laid off and probably some other support

84

personnel. So, externally, I think, you hope that you have been visible enough in

the community and your own district so people believe that these are not

malicious-type reductions; this strictly is the answer to a financial challenge.

(Personal interview, May 2004)

During the 2003-04 school year, once again Dr. Owl had to make some tough
decisions to combat the projected $537,000 budget deficit for the following school year.
These decisions included a budget-cutting proposal to lay off 26 employees and
outsource the district’s custodial services. The proposal created tremendous dissent in the
district, and the relationships that Dr. Owl had worked so diligently to repair were on the
verge of disintegrating. Dr. Owl’s proposal recommended cutting 20 paraprofessional
positions, six custodial jobs, and five teaching positions that could be eliminated through
attrition. “We realized this does affect people, their lives, and their plans. That’s why it
took us so much time to arrive at this decision” (personal interview, 2004). The
community became polarized, and to make matters worse, the proposed budget passed 5-
2.

The two board members who voted against the proposal voiced their disapproval
to local newspapers, thereby adding to the tension that already existed in the community.
They pointed out that the athletic budget was increased by $10,000 and that flmds slated
for North Central Accreditation were reduced. The board members thought these items
were pushed through, and they publicly announced that they wondered what else was
going on behind their backs. The local papers labeled the budget-cutting process as a
“slash-and-bum operation” (personal interview, May 2004).

According to Dr. Owl, things had never been more dismal.

For the first time in my career, at the board meeting, I had to signal my secretary
to call 911 when one of the local citizens became irate that we were outsourcing the

85

custodiansandthenthespouseofoneofthecustodiansthatweoutsourcedbecameirate
and would not stop talking. They were making threatening gestures to the board, so I
signaled my secretary to call 911, which she did; it took the police 15 minutes to get
there. They did talk to the individuals in the parking lot, and that was a tension. I knew, in
the 29 years 1 had been doing this, that was a real significant moment because if it was
handled poorly, or the press had gotten hold of it, we probably would have got a lot of
negative publicity about having to do that. But again, I felt the police presence was
necessarybecauselwasunsurcabouttheactionsofthesetwo gentlemenandwhere it
was going to lead; it was very emotional, and they said and made very threatening
comments and gestures to the board. It turned out fine though; they both got very
aggravated and got up and left, which was beneficial for us all. (Personal interview, May
2004)

Dr. Owl and the board of education also decided to contract out nearly halfof the
district’s maintenance jobs paying a firm in order to save money. The district went from
spending $550,000 in wages and benefits to $168,696 to provide custodial services. Dr.
Owl worked with the community in an attempt to soften the blow, and he experienced a
much success in this otherwise grim situation. The superintendent continued to build
relationships with his staff and community by opening the school’s books to prove to
staff members that the organization was in a desolate financial situation. Stafi and
community members appreciated his honesty and despite negative publicity, Dr. Owl and
the organization worked through this formidable issue.

At the time of this study, the Collinsville School District still bad financial
problems, but Dr. Owl’s vision and leadership had helped move the organization through
its financial difficulties. He prided himself on the fact that the students continued to be a
top priority and those programs that directly affected student achievement still prospered
in the Collinsville School District. Dr. Owl did not pretend to have all the answers, but he
believed that communication and strong bonds with the community and school

organization were essential in weathering difficult times (personal interview, 2004). Dr.

86

Owl planned to continue using these techniques in coming months and years to combat

the challenges facing the Collinsville School District.

87

CHAPTER V

AN ANALYTICAL DISCUSSION

Introduction

My primary purpose in this study was to investigate how three superintendents
made sense of their role and how that personal theory defined their leadership practice.
During the course of this study I hoped to uncover whether the increasing challenges
facing today’s superintendents induced changes in their leadership roles. The initial
research question posed was: How do school superintendents make sense of their role and
how does that personal theory define their practice? The focus of this study was enhanced
through the development of the following subquestions:

- How do superintendents think about their role, and to what extent does
this personal theory affect their practice?
0 To what degree do alternative leadership theories explain how
superintendents define their role and carry out their work?
0 What implications does an tmderstanding of superintendents’ theory and
practice have for the preparation of school superintendents?
These research questions supported my original assumption that the superintendent is the
key driver, the centripetal force, of organizational change.

Examining the data, flaming cogent case stories of practice, and using my initial,
proposed lenses led me to seek alternative ways of understanding the superintendents’
practice, which included the thinking of McCabe, Cunningham, Harvey, and Kofl‘ (2005);
Bolman and Deal (2002); and Morgan (1998)(see chapter II for a discussion of each of

the theoretical constructs developed by these authors). These scholars have enriched my

88

thinking in the areas of school leadership, organizational structure, and administrative
behavior. In brief, McCabe et al. (2005) expanded my understanding of the nature of
school leadership by using metaphors to describe the leadership behavior and practices of
the school superintendent. Bolman and Deal (2002) provided me the framework to
approach the superintendent’s leadership by understanding it within the context of
organizational structures, politics, and culture. Similarly, Morgan’s (1998) work provided
me with further insight into how a superintendent behaves within particular
organizational cultures (e.g. a machine, brain, organism, psychic prison).

As is true with most qualitative studies, overarching themes that described the
practices of the school superintendent emerged and helped me respond to the research
questions. The first theme is that of “fit”. This notion of “fit” explains how the
superintendent’s leadership and management approach aligns with (or not) the needs and
culture of the school organization. The second theme centers on situated leadership,
which serves to illustrate the superintendent’s leadership. The third theme describes how
the superintendent engages (or not) school stakeholders, thereby building trusting
relationships. Each theme is integral to understanding each superintendent’s practice.
That is, recognizing how the superintendents define each of these themes (his personal
theory) and how he translates these themes to practice will help to better address the

overall query of this dissertation.

89

Themptic Analysis

 

Theme 1: Gaining Organizational Fit

What does it mean for superintendents to fit within the school organization? And,
why is fit an important element of the superintendent ’s work?

Fit is defined in the dictionary as “adapted to the environment so as to be capable
of surviving” (Webster, 1993, p. 440). According to McCabe et al. (2005), as a
superintendent begins to gain fit in the organization he may act out a metaphor of
leadership such as a prophet, a therapist, a coach, and a poet. Thus, if the superintendent
has the insight to understand the complexities of the organization and can find the
appropriate leadership approach to move the organization forward then there is successful
fit. Conversely, if he misreads or inappropriately approaches the organization there is no
fit. Therefore, organizational fit is an important element of the superintendent’s work
because it helps him to know his school organization, define his practice of leadership,
which would (hopefully) result in moving the organization forward.

If the superintendent has achieved organizational fit, he is likely to be seen as a
leader who has the capacity to increase the coherency of an organization. However, if the
superintendent is unable to achieve organizational fit, it is likely he will not be able to
function as the leader or fulfill the duties of the superintendency. As Webster’s (1993)
definition suggests, if the superintendent has not adapted to the environment, he may not
be capable of surviving. Without survival, the goals and objectives of the organization
will be unattained, creating a sense of imbalance within the organization.

The data that were collected throughout the course of this study and presented in

the case studies support the importance of understanding “fit”, leadership and

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organizational behavior. Indeed, it is the superintendent’s task to determine the needs of
the organization (its organizational framework, Bolman and Deal, 1992) and define
leadership strategies that fit his particular situation within this organizational milieu.
What was found in this study was that each of the superintendents adjusted his leadership
strategies, both appropriately and inappropriately, to fit the school’s organizational
fiamework.

flee Superintendent ’s Stories of Organizational Fit

As previously suggested, organizational fit can be achieved by gaining a deeper
understanding of leadership and organizational behavior. A way to view organization fit
is by understanding how the superintendent defined the culture of his organization and
his role within that defined fiamework (See: Carter & Cunningham 1997; Glass 1992;
Cuban 1989; Fullan 1991; and McCabe et al. 2005). In the cases, the superintendent’s
ability (or inability) to read the organimtion determined whether they were effective.

M. Goldfinch: Trmd in a mlitical structure. Mr. Goldfinch was not a typical
superintendent who served as a prophet of an organization in which he used positional
power to move the organization forward. Rather, he appeared to be a songbird trapped in
a cage called the school organization. Major changes needed to occur in the organization,
but Mr. Goldfinch did not have the knowledge or power to make those changes occur.
For example, Mr. Goldfinch needed to make a change in the football program at
Arborville. Having been winless for the last four years, Mr. Goldfinch felt the head
football coach had more than an ample opportunity to prove himself. Therefore, Mr.
Goldfinch, with the support of the board, made the recommendation to terminate the

football coach’s contract. However, the community and various stakeholders of the

91

organization disagreed with this decision. This time, the Arborville fans did not rally
together for the football game, they rallied against the superintendent and the board.
Three board members were recalled and the new members brought even more tension to
the school organization.

Mr. Goldfinch didn’t understand the needs of the community or the organization
and he didn’t process the possible consequences of his decision. Mr. Goldfinch may have
been able to prevent this community uproar if he had worked to gain organizational fit.
Mr. Goldfinch needed to understand the culture of the organization and the community so
he could bring about change without major controversy.

Another example of Mr. Goldfinch’s inability to gain organizational fit can be
drawn fiom the Arborville case. Arborville had not passed a bond in several years and the
board charged their superintendent to move forward with yet another bond proposal. Mr.
Goldfinch and the board drafted another proposal that would build a new elementary
school, but they didn’t solicit input from the community or the stakeholders of the
organization. Mr. Goldfinch’s inability to understand the culture of the community and
the needs of the organization resulted in yet another failed bond proposal.

In 2002, the Arborville community voted to accept the bond proposal, which
resulted in repairs and renovations to current buildings. Mr. Goldfinch showed signs of
organizational fit as he began to understand the needs of the organization and the
community. He adjusted his leadership practice and began to seek community and staff
input. Mr. Goldfinch organized town meetings and it was at that point, he began to

understand that the community would not pass a bond proposal that included a new

92

building. Therefore, he organized a proposal that would meet the needs of the
organization and fulfill the expectations of the community.

As the Arborville case suggests, a highly controlling and politicized board and
volatile community, plagued Mr. Goldfinch. While he claimed that he understood the
political tensions within the school and community at large, he did not appear to have a
plan for dealing with these obstacles. Mr. Goldfinch didn’t understand the needs of the
organization as was illustrated in the turmoil surrounding the football coach and the
inability to pass a bond in several years. It appeared that Mr. Goldfinch tried to
understand the various interest groups, as well as their separate agendas; however, he did
not employ the appropriate leadership approach to move the organization and community
forward.

Since Mr. Goldfinch was unable to read the culture of the organization correctly
and since he did not define his role and responsibilities in the organization appropriately,
he had to rely on a small degree of legal or positional authority to make things happen
within the district. This small degree of authority allowed him to keep the organization in
compliance with all state and federal mandates. However, over the years the continued
absence of trust and organizational fit, led to the creation of a powerful board. This shift
in power ultimately contributed to Arborville’s plight and their present state of being a
ship without a captain. If Mr. Goldfinch had been able to adjust his leadership tactics to a
more prophet-like approach, he might have regained legitimacy within the organization.

Dr. Kingflher: The coach in a symbolic fi'aLmework. Dr. Kingfisher was an
example of a coach who employed charismatic authority in a symbolic framework.

Within a symbolic framework, an organizational leader must understand how a

93

commtmity defines and enacts their relational protocols. For instance, when the school
needed a place to house the alternative education program, Dr. Kingfisher saw an
opportunity to network with the local church. Because the community church has strong
historical meaning for the residents, placing the alternative school in this setting would
send a message that this was an important program. In addition, this presented Dr.
Kingfisher with an opportlmity to begin networking with church officials so that they felt
included (and hopefillly supportive of) in the work of the school. As would be expected,
many of the church elders were against housing the alternative school at the church,
however, Dr. Kingfisher worked to educate them about the students who would be
attending, in an effort to redefine the stereotypes that many held about alternative
students. These conversations helped reduced the tensions between the school
organization and the church. Dr. Kingfisher’s ability to read his school commrmity,
coupled with his leadership approach created an optimal situation for the transition of the
alternative education students and staff.

AnultimatewaythatDr. Kingfisherwasacoachwithintheorganizationwashow
he used positional power to empower the teachers and other educational stakeholders to
make decisions. Dr. Kingfisher rmderstood and respected the importance of building a
respectful teacher culture. During the transition of the alternative high school, Dr.
Kingfisher collaborated with teachers to reassure them that he cared about their plight. He
empowered teachers to make decisions that supported the organization’s culture for
learning and student success. Since, Dr. Kingfisher had a clear plan of action for the
transition of the alternative education program to a new site prior to the sale of the

existing facility, minor conflict arose within the organization and commrmity. His ability

94

to plan, rethink, evaluate, and analyze each situation helped him create balance within the
organization.

Unlike Mr. Goldfinch, Dr. Kingfisher had the capacity to examine his school
organization as well as the organizations/groups in the community that his school served
and employed these lessons to define his leadership strategies in ways that overcame
obstacles and benefited the school. Because Dr. Kingfisher found a “fit” that worked, he
appeared to be energetic and passionate, which enabled him to focus his leadership on
developing a common vision that enhanced the culture of the organization. In the end, Dr.
Kingfisher was a model and mentor to others in the school organization.

Dr. Owl: Learning to u_sc all leadership figmeworkp; The Collinsville District and
Dr. Owl found themselves in a volatile situation with the possible outsourcing of
custodial personnel and the layoffs of paraprofessionals. Because of the financial strain
on the district, Dr. Owl and the board had to make some very difficult decisions, ones
that were not well received by the community. The Collinsville District needed to make
major changes, they needed an educational leader that would have the expertise to
address the financial crises (in a transparent way) created by the previous administration
as well as construct an environment that would rebuild trusting relationships focused on
learning and teaching. Dr. Owl had a plan to address this daunting task and all he needed
to do was to commrmicate, and keep communicating by making all decisions transparent
to the school community and broader community, a clear direction for the organization.

Unlike Mr. Goldfinch and Dr. Kingfisher, Dr. Owl found himself making
decisions that could employ all four of Bolman and Deal’s (1991) frameworks of

leadership. Due to impending personnel lay—offs, Dr. Owl tmderstood that he needed to

95

work with people, the human relationships fiamework, helping them to become a part of
the solution. In many cases, helping them “heal” from the neglect and disrespect they had
encountered prior to his arrival. From the political fiame, Dr. Owl worked to negotiate
conflicts between people and the organization (e.g., teachers and school board, teacher’s
union and school board, community members/parents and teachers, to name a few). As
soon as it was suggested that personnel be laid off and positions be outsourced, Dr. Owl
found himself in a politicized situation in which he needed to maintain a focus on
teaching and learning and not on what personnel platform was better than the other.

In this situation, he held open forum meetings with the board, the staff, and the
community to discuss the financial situation of the district. The human relational
connections that Dr. Owl built supported his ideal of transparency and empowerment.
The political frame teaches us that power is information, when Dr. Owl made the
financial information transparent; the community stakeholders (in and out of school)
were empowered to become a part of the solution. Indeed, various stakeholders had the
opportunity to voice concerns and make suggestions, and in the end when the lay—offs
were announced the community understood why the decision had been made.

As we learn, Dr. Owl believes that people are the heart of the organization.
Hence, he works hard to maintain open lines of communication within the organization.
Dr. Owl read the culture of the organization as needing healing and he acted
appropriately. Thus began the tradition of building structures and pathways of trust
building and healing within the organization. This process of trust building, transparency
in decision-making, and listening to the stakeholders guided the organization through the

conflicts related to outsourcing and personnel layoffs. Because he was able to adapt to the

96

environment and survive this challenging time in the district, he strengthened his
legitimacy as an educational leader. More importantly, Dr. Owl reminded us that it is
important to keep our focus on the needs of the teaching and learning organization.

Was organizational fit achieved; Mr. Goldfinch was unable to gain organizational
fit, and this may have contributed to his decision to retire. Mr. Goldfinch perceived
himself as having positional power and legitimate authority within the organization.
However, the professional community perceived the board as having more power within
the organization, so when problems arose Mr. Goldfinch was unable to resolve the
tensions. As the leader, he should have adjusted his leadership tactics and gained control
of the organization; instead, his inability to read the culture of the organization and adapt
to a changing environment, caused him to be lmsuccessful in Arborville.

Dr. Kingfisher and Dr. Owl were able to achieve organizational fit, as they were
able to navigate a particular situation, understanding the culture of the organization and
framing leadership strategies to meet the needs of the organization. They were also able
to build trusting relationships, which in the end would help them to move the
organization forward (please see my final theme). Ultimately, the ability to gain
leadership approach and organization “fit” became a key construct of how they defined
their practice as a superintendent.

Conceptual Sammy. Organizational fit is accomplished by gaining a clearer
tmderstanding of leadership, organizational behavior, and the employment of power and
authority. By achieving this understanding, a superintendent can likely bring new
meaning and definition to his work as an educational leader. This can then support his

practice of leadership, which can have a positive effect on the growth of the organization.

97

The Venn diagram in Figure 5.1 illustrates how these three concepts support this notion
of organizational fit. It is unlikely that organizational fit will be achieved unless the

superintendent understands all three of these lenses.

   

    
 
     
  

Leadership Organization

Organizational
Fit

 
   

Power and
Authority

Figure 5.1 Gaining Organizational Fit

As Webster’s (1993) definition suggests, if the superintendent has not
adapted to the environment, he may not be capable of surviving. Without survival, the
goals and objectives of the organization will be unattained, creating a sense of imbalance
within the organization. Gaining organizational fit appears to be a key element in the
successfirl practice of a superintendent because it enables the superintendent to fulfill the
duties ascribed to the position. Through leadership frameworks in the organization, and
power and authority, the superintendent can make decisions that enhance the

organization. The superintendent can serve as a navigator, steering the organization

98

through difficult or turbulent times. If he has achieved organizational fit, it is likely he
can have more organizational control, which will ultimately help him move the

organization forward.

Theme 11: Situated Leadership

What does it mean for a superintendent to “locate and practice leadership in an
ethical and forward-looking manner ”? And, why is this an important element of
the superintendent ’s work?

The challenge for a superintendent is to enact leadership in an ethical and
forward-looking manner within a particular school and school community context. As we
learned in the first theme of “fit”, the effective superintendent gains an understanding of
how the organization, board, and community fimctions, which enables him to make
appropriate decisions that benefit the organization. So how do these three superintendents
appear to lead? The emergent them can be called situated leadership, that is, the leaders
practice is defined by their school context/community, school community history, and
place (environmental characteristics), A superintendent needs to understand the existing

pf,"
governance» system and maneuver within that system. So when he is second-guessed by

_.+___—~v-r

internal and external sources, he is prepared to successfully lead the organization. The
may experience asheworks to define his practice of leadership.

Mr. Goldfinch: Filling the wrong plants in the gajden. Mr. Goldfinch’s
leadership practices did not align with the needs of his school district or his commrmity.
Mr. Goldfinch experienced difficulties in adjusting his leadership strategies to meet the

needs of the school organization. An example of this was when two elementary teachers

99

went straight to the board for the purchase of language arts materials. The elementary
principal followed board procedures and organized a curriculum review committee,
which made the determination that new language arts materials were not needed. Mr.
Goldfinch ignored the recommendation and supported the board president’s decision to
ptu'chase the language arts materials. Hernade and enacted a decision that ethically—“l

l
harmed the school organization. His support of the board in this issue confirmed to the i

l

thldttt that the 99E?_Yith.in the district lay, With thc boardand not with the j

/

w’

teachers.

Although Mr. Goldfinch perceived his actions were creating a positive, fruitful
forward-looking pathway, he failed (miserably). For these stakeholders is was yet another
instance when Mr. Goldfinch did not make the right decisions to increase teaching and
learning in Arborville. They remembered that when Mr. Goldfinch arrived at Arborville,
he lmd an opportrmity to demonstrate situated leadership and work with stafl‘ to develop
an aligned curriculum that would meet the needs of the students. However, he chose to
meet with the board and encourage them to purchase a “canned” curriculum program.
The board agreed and the program was pushed down to teachers. Mr. Goldfinch’s
decision not to involve teachers in curriculum development created tension and the
teachers distanced themselves from their new superintendent.

Dr. Kingfisgr: Developing shared meaning. As we learned through the case, the
school district needed “healing” due to its long history of abuse and lies. Dr. Kingfisher’s
leadership practice was defined by this important need, hence, situated within the context
and place of this particular school community. He served as a coach to individuals,

groups, school buildings, and communities by encouraging participation in the

100

development of shared decision-making. For example, Dr. Kingfisher holds monthly
strategic planning meetings with teachers, support staff, and community members to
develop and foster a shared vision for the district. While the vision may not change from
one year to the next, the goals and strategies to support the vision may need to be
adjusted. This promotes a shared vision that supports the culture of teaching and learning
in Bakersville.

Another way in which Dr. Kingfisher employed situated leadership was in his
efforts to assure the teachers, administrators, and community stakeholders that he was
listening to them, he was willing and open to change and consider new ways of thinking,
and had his eye on the prize, that is, to ensure the right things are done for the learners
and the stakeholders of the organization. As an example, Bakersville was one of the first
districts to implement full—day kindergarten for all incoming kindergarten students. The
curriculum committee researched the pros and cons of full-day kindergarten and collected
data fi'om districts currently utilizing the program. They made a recommendation that
was supported with theoretical and empirical data to Dr. Kingfisher. Dr. Kingfisher then
met with teachers, support staff, and community members to gain insight as to their views
on the program. Once he was convinced it was the right thing to do for the students, he
made a recommendation to the board. The board approved the program, which helped to
create balance in the organization.

Once a new program or a change initiative is implemented in the Bakersville
organization, Dr. Kingfisher reflects on his leadership practice. “I tell people often that at
the end of the day the only thing I have left is my reputation and my ethics, so I think that

leadership starts with being a role model and living day to day ethically and honestly. I

101

think that leadership from there is taking quality people, good people, talented people and
kinda being a catalyst for change. Having people think outside the box and take chances
and create something better than what we had when we started” (personal interview,
2004).

Dr. Owl: Listeningo commynity can create forward-moving action. Much like
Dr. Kingfisher, Dr. Owl found himself in an organization that was functioning as an
organism and a brain (Morgan, 1998). Different than Dr. Kingfisher, Dr. Owl found
himself on a collision come that pitted the school with the teacher’s union. A decision
needed to be made. Would Dr. Owl side with the school board? Would he side with the
teachers? Or, was there another pathway that would help him to create a win-win
situation for the players, but more importantly to ensure that the learning environment
was not harmed. Dr. Owl had to work closely with the community, the various unions,
and the board to overcome the fiscal challenges facing the district.

The decisions that Dr. Owl and the board made were viewed as ethical and as
necessary for the survival of the district. They sought community input during board
meetings and citizen meetings, which gave the stakeholders an opportunity to voice their
concerns. While these meetings were extremely beneficial, there were still citizens who
were outraged by the decision to outsource. Dr. Owl situated his leadership on his deep
understanding of the tensions that enveloped this messy situation and especially the
hostility in the environment that it had created. Skillfully including multiple voices in the
problem-solving process is a leadership practice that was most appropriate and resulted in
the organization developing the capacity to move past this particular situation forward

through turbulent times.

102

Dr. Owl continuestoreflect onhispractice asaleaderinordertobecomeabetter
leader in Collinsville. He strives to be proactive in communicating his leadership;
however there have been instances when he wasn’t as successful. “I don’t think I did a
good enough job fiom that standpoint in explaining that the nuances of my particular
leadership style would get the job done. Maybe not outwardly as fast as a more
authoritative or dictatorial leadership style but when it was built, when the bridge was
built it would remain standing and be very solid. I did not sell that nor make an effort to
convey that and as a result I think I pulled back” (personal interview, May 2004).

SW The three components outlined in the Venn diagram in Figure 5.2
illustrate how the three lenses of commonplaces (McCabe et al., 2005), organizational
understanding (Morgan, 1998), and reflective action (Johnson, 1996) support the ethical

and forward-looking dynamic of situated leadership.

    
 

Type of
Organization

 

Commonplaces

     
 
  
 

 

Situated
Leadership

  
  
 

  

Translated
Into Action

  

Figure 5.2: Situated Leadership

103

The superintendent can work to develop situated leadership where decisions are

made in a forward-looking manner so that no harm comes to the organization. His ability

to do this will help foster school-community partnerships and develop a high level of

cohesiveness within the school. Effective superintendents will recognize the value of, and

are equipped with the necessary tools to strengthen the organization. It is no longer

sufficient for the superintendent to understand leadership; he must translate that

leadership into action and adjust his leadership tactics to meet the nwds of his particular

organization; situated leadership.

Theme III: The Importance of Relationships in Shaping the Organization

How do relationships help define the practice of the school superintendent?
“Establishing positive and supportive relationships is like putting money in the bank”
(Carter & Cunningham, 1997, p. 139). The three superintendents identified that school
and school-community relationships are an essential element of their practice. This
included facilitating and participating in multi-direction communication within and
across the organization and between the school and external communities and
institutions; encouraging active participation by many stakeholders in school-related
activities, and supporting a philosophy of shared and situated leadership. While all three
superintendents identified this as a key leadership practice, their ability to actualize this
varied. It is in this variability that we learn the importance of today’s superintendent

moving beyond the idea of public relations, that is being the “front man” for the

104

organization to public engagement where he is authentically involved in the work of the
school as well as the broader community.

Public engagement is a method of involving the public in designing system
change and it can involve all sectors of the community and school organization (McCabe
et a1, 2005). These strategies create dialogue and build relationships among stakeholders
to support the direction of the school organization. Such collaboration supports school
reform and creates a balanced organization.

An example of how effective public engagement can transform the organization
through dialogue can be found in the Collinsville case. Dr. Owl utilized community
forums as an avenue to disseminate information and receive feedback from the
commrmity in regards to outsourcing. He was able to strengthen and transform his
relationships by building capacity and sustainability in the school and commrmity. By
promoting ongoing dialogue about the perplexing and highly volatile issue of outsourcing
while at the same time respecting the public’s opinions, Dr. Owl was able to effectively
address these otherwise unanticipated changes in the force field around the school
(McCabe et a1, 2005). As we learned in the case, this practice of respectful dialogue and
inclusion resulted in many affirmative allies for the school.

Another example of the importance of building relationships is visible in Dr.
Kingfisher’s courageous and transparent work with the community church. He
recognized the importance the support of the church elders as well as church members
were to the school. This influential group needed to become school partners. His action to
reach-out and engage in conversation with the chm'ch elders reveals his respect for their

opinions and contributions to the school community. This symbolic move healed many

105

rifts and created opportunities for solutions to happen. In the end, we see in Dr.
Kingfisher’s case how hard he worked to engage the community around the “can do’s” of
solutions, not the “can’t” of oppressive needs. This example illuminates an important
dimension of building relationships that support public engagement, that is, when done in
an inclusive and respectful manner the superintendent can create pathways and processes
that build the capacity of people within the school system to create and sustain change.

Creating capacity within the organization to build and sustain change can provide
the superintendent with important allies and “windows” that might allow the
superintendent to see where both internal school functions and external opportunities can
be bridged. Having a finger on the pulse of the organization is essential. For instance,
because the teachers had been working for three years without a contract in Collinsville,
Dr. Owl knew that creating bridges between the school and the union, the teachers and
the administration, and the teachers and administrators with the broader school
commrmity would lead to a win-win outcome. As we learned in his case, his tireless and
effective “talking with” and linking partner who “talked with” and then “talking with”
again, always involving the stakeholders, gave the groups involved the relationship edge
they needed to settle the contract dispute. This activity produced a model of dialogue that
resulted in effective communication across the school community, the school board, and
the teachers 1mion. Because the stakeholders became partners (and not adversaries) they
were able to “see” all parts of the organization, which ultimately resulted in the contract
resolution.

If we think of public engagement in Morgan’s (1998) terms, we know that

differences of opinion are to be expected on any given occasion and hence the importance

106

of building relationships. We learned from the examples of Dr. Kingfisher and Dr. Owl
the power of trusting and respectful relationships. Equipped with this knowledge the
superintendent can help administrators, teachers, students, and families to build bridges
and create partnerships that serve to improve learning programs. As Carter and
Crmningham (1997) suggest, the school superintendent can create opportunities for
school members to participate in providing new direction through strengthening and
supporting relationships. The health of the organization depends on how the
superintendent uses differing points of view to build collaborative and cohesive
relationships that help “shape” a well-balanced organization.

Dr. Kingfisher: Bailing communifl relationship. Dr. Kingfisher showed how
important building relationships with the community was when a thorny situation arose.
In this case, the closing of the alternative high school could have created chaos and
tension within the community and the school organization. However, because Dr.
Kingfisher had taken the time to build strong community relationships with individuals
within and external to the school community, he was able to locate a win-win solution for
the school and the community it serves.

The stafi‘ of the alternative high school were fearful that the program would be
discontinued when the building was sold, however, Dr. Kingfisher quickly eased the
tensions within the school community by meeting with key stakeholders. Since Dr.
Kingfisher had developed trusting relationships, the stakeholders had no reason to doubt
him and they moved to their new location with little incident. In the end, Dr. Kingfisher
stated,

If I develop those relationships within the community and we have a difficult
problem at school that is going to be controversial, often times there are leaders

107

within the community or the school that would say, that’s probably not the way it

is, our superintendent would have a reason for doing that. So it’s building trust

and building that relationship internal and external to the school. (Personal

interview, May 2004)

Dr. Owl: Byilding relationships with the board In contrast to Dr. Kingfisher’s
emphasis on external community relations, Dr. Owl appeared to focus much of his
relationship building activity with school board members. Early on in his
superintendency, Dr. Owl knew that two board members were not pleased with his
leadership. At the time, he explained there were many more relationships (e.g., teachers,
building level administrators, parents) that he needed to attend to, however after a couple
of years into the job, he turned his attention to the school board. He understood, the
importance of strong and effective board and superintendent relationships. He stated:

I did not sell or make an effort to convey to those board members my
leadership style, and as a result I think I pulled back, especially from those two
more distant board members. I did not go out of my way to initiate a whole lot of
communication, and again it was a two-way street. . . . You can’t look for a
winner or loser, you just have to fix that particular situation and foster that
relationship. I think I need to reach out and be proactive in demonstrating my
leadership style. (Personal interview, May 2004).

Dr. Owl began to e-mail the two board members to ask for their opinions and
suggestions in regards to various situations that arose in the district. He worked to create
a sense of community within the board by holding smaller committee meetings and
luncheons. Dr. Owl also talked highly of the board during newspaper interviews and
other public venues such as chamber of commerce meetings. Dr. Owl made a conscious
effort not to be defensive when the board members criticized his tactics and he worked to
foster two-way communication. His efforts helped bridge the gap between himself and
the board and those relationships that he built helped minimize tension within the

organization during difficult times.

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Mr. Goldfinch: Relationshigzbuilding shortialls. Both Kingfisher and Owl

identified the value of relationships as an efl‘ective element that engaged them in

authentic ways with their school board, school community, and public communities. In

contrast, Mr. Goldfinch acknowledged the importance of supportive relationships, but

through his interviews we learned that building and fostering these relationships was not

a priority. He stated:

Your fiiends come and go, your enemies gather in the administrative
world. That truly happens, so the longer you stay in the district, unfortunately, the
more people you may turn off as a leader. . . . That’s probably the biggest issue,
you’re going to have an element out there that, if you are honest with yourself, is
not necessarily in your camp; you know if they had their way you would be gone.
On the other hand, you’re going to have a group that really supports you and are
behind the actions that you have taken over the years and are committed to your
leadership, and you hope that group is a lot larger than the other group. Being
realistic, you are going to have both groups out there. (Personal interview, May
2004)

Mr. Goldfinch knew that he nwded support to implement his vision for the

organization, but it appears that he had not yet grasped the importance of building

efi’ective relationships. He stated:

You start with the board of education and you get them to agree that they
share those values and goals with you because then you know you have a mandate
to proceed. . . . You also get, hopefully, the community to buy in; you try to share
with them what’s going on as much as you can, so that you can ultimately be
successful. Because if you can’t implement your visions, your dreams, or goals
for the district, you’re going nowhere. (Personal interview, May 2004).

As previously stated, public engagement is a method of involving the public in

designing system change and it can involve all sectors of the community and school

organization (McCabe et a1, 2005). This will help create dialogue and build relationships

among stakeholders to support the direction of the school organization. Mr. Goldfinch

wanted to get the community to buy in, but he did not have the collaboration needed to

109

support the values and goals of the organization. His inability to build the school-
community alliance has resulted in a fiagmented Arborville community and school

organization.

Ch_apter Summa_ry

My primary purpose in this study was to investigate how three superintendents
made sense of their role and how that personal theory defined their leadership practice.
An analysis of the case stories revealed the importance of three dimensions of the
superintendent’s work: a) leadership approach and organizational fit; b) situated
leadership that ensures ethical and insightful action; and c) relationship building that
engages the superintendent in the real work of the school (see Figure 5.3). It is important
to mention here that while I defined each of these elements separately in this analysis,
they are not disconnected fiom one another. That is, each of these important elements
must be seen as integrally liked in the practice of the school superintendent.

As I used the conceptual lenses to analyze the leadership practice of the
superintendent, the third theme seemed to crosscut through the other themes. In order for
there to be fit and situated leadership, trusting relationships need to exist. Recently,
research has indicated how important trusting relationships are to educational leaders.
Building these trusting relationships helps the superintendent understand the organization
so that he may build pathways for the organization. The relationship-building process is
key to moving the organization forward, and a close analysis of the data led me to
recognize that building relationships is essential to supporting the practice of the school

superintendent.

110

Indeed, it became clear that a superintendent must understand his leadership
practice (use and balance of all three elements) in order to be successful in creating a
dynamic learning organization. In addition, we have learned from their stories that the
school superintendent must also understand the fluidity of the organization and prepare
himself to alter or shift his leadership tactics to meet any changes that occur within the

organization.

   

RELATIONSHIPS

     
   
 
  
   
 
    

ORGANIZATIONAL
FIT

 

Practice of
Superintendent

  

SITUATED
LEADERSHIP

Figure 5.3 The Practice of a Superintendent

lll

CHAPTER VI

THE PRACTICE OF LEADERSHIP

Introduction
My main purpose in this study was to investigate how three superintendents made

sense of their role and how that personal theory defined their leadership practice. By
examining the raw data, framing that information into cogent case stories of practice, and
drawing on emergent themes, I generated a new model of the superintendent’s practice of
leadership. The conceptual model (Figure 1.1) that was introduced at the beginning of
this study suggestedthatmesupefintendentactsasthefomethatkeepsflreorganizafion
in motion. This conceptual model incorporated the superintendent’s roles and
responsibilities, leadership, relationships, and environment into what was deemed the
centripetal force of the superintendent. However, through the course of this study, I
discovered new research and empirical findings, which caused me to refocus the study
and develop a new model.

The new model of centripetal force moves beyond roles and responsibilities,
leadership, relationships, and the environment to the superintendent’s practice of leading.
Although each of these original factors plays an important role in the superintendent’s
practice of leadership, it was necessary to revise and readjust the model to correspond to
the refocusing ofthe study. The writings ofvarious researchers (Bolman & Deal, 1991,
2002; Carter & Cunningham, 1997; McCabe et al., 2005; Morgan, 1998; and
Sergiovanni, 1987, 1992) challenged me to view the superintendent’s work through

different theoretical lenses. This new way of viewing the superintendent’s work helped

112

me answer the research questions posed in this study. The revised model will be
described in detail as this chapter unfolds and the research questions are answered.
fllgmflfion of Results

By examining the superintendents’ theory and practice, I intended to discover
whether the increasing challenges facing today’s superintendents induced changes in their
leadership roles. While answering the research questions posed in this study, it became
evident that the superintendent’s practice of leadership was also a major component of
this study. The overarching question in this exploratory study was: How do school
superintendents make sense of their role, and how does that personal theory define their
leadership practice? The themes outlined in Chapter V laid the foundation for answering
this overarching question.

The superintendent is able to make sense of his role through a deeper
understanding of organizational fit, situated leadership, and relationship building. How
the superintendent applies this knowledge and understanding affects how he will handle
each dilemma or situation that arises in his organization. The superintendent’s practice of
leadership can then be defined because the superintendent must adjust his leadership
tactics to meet these changing situations. In essence, each situation that arises puts the
superintendent’s practice of leadership in motion. The superintendent is likely to be
successful if he draws fiom his knowledge of the organization, applies a particular
leadership tactic, and utilizes the relationships he has established when making decisions.

Making sense of his role helps the superintendent define himself as an educational
leader. The first research question-- how do superintendents think about their role and to

what extent does this personal theory affect their practice? Superintendents, whether

113

intentionally or rmintentionally, define themselves as leaders. This definition of
leadership influences their role as a superintendent, which in turn affects their practice.
The superintendent’s understanding of himself and how he applies his leadership in a
particular situation will ultimately define his practice as an educational leader. It is the
superintendent’s application of leadership tactics that creates balance within the
organization and allows him to navigate through difficult times.

In this study, two subquestions were posed to further define the practice of the
superintendent. These questions pertain to the external and internal organizational
pressures that shape how the superintendent defines his role and practice. From the data
analysis, it was evident that the superintendent cannot pick and choose the internal and
external pressures facing the organization. The superintendent, therefore, should rely on
his leadership abilities to sift through these pressures. In this study, it appeared that the
superintendents pulled external pressures into the organization and internalized these
pressures. As the superintendent pulls these pressures inward, the external pressures
quickly become internal to the organization, and through this internalization process, the
superintendent is able to draw on his practice of leadership within the comfort zone of the
organization.

The second research question posed in this study was: To what degree do
alternative leadership theories (transformational leadership, change theories, distributive
theories, etc.) explain how superintendents define their role and carry out and their work?
The three themes discussed in Chapter V describe how organizational, leadership, and
change theories can be used to define the practice of the superintendent. Theorists such as

McCabe et al. (2005), Bohnan and Deal (1991), and Morgan (1998) enriched this study

114

by providing insight into school leadership, and organizational structure and behavior.
These theories help explain how the superintendent defines and does his work.

The third research question posed in this study was: What implications does an
understanding of superintendents’ theory and practice have for the preparation of school
superintendents? The most obvious implication of understanding the superintendent’s
theory and practice is tint if the superintendent is able to gain organizational fit, build
relationships, and apply situated leadership, he is likely to be more successful and
ultimately better prepared to lead the organization. If the superintendent is successful,
then teachers, students, and the community are benefited. Superintendents who are well

prepared for the challenges of the job are likely to create balanced organizations.

The Revised Conceptual Model Revealg
The conceptual model of the centripetal force of the superintendent evolved

 

during this study as the research questions were answered. The model illustrates the
practice of the superintendent and how a balanced organization is created fi'om a
combination of the three themes: organizational fit, situated leadership, and relationship-
building. Much like Newton’s Law suggests, the superintendent should balance internal
and external forces to maintain a cohesive, free-flowing organization. The organimtion
will stay in motion with or without a leader, but the path or direction of the organization
will be influenced either positively or negatively, based on the superintendent’s
leadership. If the superintendent applies the components that define the practice of
leadership, he will be able to create a harmonious and balanced organization.

These components that define the practice of leadership emerged fiom the

empiricalfindingsandwereexplainedinChapterV. Thesethemessupporttheideathat

115

the centripetal force is the superintendent’s practice of leadership. Organizational fit,
situated leadership, and relationship building all contribute to creating a balanced
organization. The effective superintendent should understand and apply these themes to
create a fluid, yet balanced organization. The redesigned conceptual model (Figure 6.1)
shows how a balanced organization would appear if the superintendent has a clear
understanding of the practice of leadership. This model provides a way to view the

practice of the superintendent conceptually.

the win. .

 

Figure 6.1 The Centripetal Force of the Superintendency

116

Wand Contribution of This Study

McCabe et al. (2005) used metaphors to demonstrate how a superintendent may
fimction in the organization, but they did not provide insight into how a prophet, a poet, a
therapist, and a coach may function in a particular type of organization. They defined
how a leader may “act out” a particular metaphor, but in gaining insight into the practice
of the superintendent, there must be a clear understanding of how the superintendent’s
particular leadership style meshes with the organization as a whole. If the superintendent
exhibits characteristics of a coach who is functioning in a psychic prison, there is a strong
possibility that he will be unsuccessfirl. On the other hand, a coach could be very
successful in an organization that acts as an organism, a brain, or even a cultme system.
There are no defined boundary lines, which means the superintendent must be flexible
and continue to adjust his leadership approach.

This study indicated that it would also be beneficial for a board of education to
understand the practice of a superintendent, as well as their own method of governance.
For instance, the Arborville Board of Education acted as a pOlitical, psychic prison. What
was needed in that district was a superintendent who could transform the perceptions of
the board, so that power and leadership could be reestablished within the organization.
Mr. Goldfinch may have operated as a mechanic, but he was unable to succeed because
Arborville needed a referee or even a prison warden. A new superintendent will quickly
learn the history of the Arborville District, and it will take a prophet to lead that
organization in the future.

The findings from this study support the idea that a board of education should

think about the type of organization they are governing and make decisions based on that

117

knowledge. They should hire a superintendents who fits their organization’s type and
style, to ensrue long-range success. They will also want a superintendent who can apply
situated leadership and build relationships so that he can lead the organization through
difficult times. Bringing awareness of the practice of leadership to the board of education
may ultimately reduce their costs dming superintendent searches and reduce the
possibility of an incompatible match. This could increase longevity in the
superintendency, which can have a positive effect on the organization.

This study also demonstrated the benefit of a superintendent’s having a clear
understanding of internal and external pressmes because such knowledge will enable him
to adjust his practice of leadership. If the superintendent has. established proper
organizational fit, it is likely he will be successful when confionted with external and
internal pressmes, especially those that are politically charged. This supports the idea that
the conceptual model can be a predictor ofsuccess for the superintendent.

The model, centripetal force of the superintendency, is a tool that can be shared
with superintendent-search companies. As previously stated, this can be a predictor of
success for the superintendent himself and for the organization. Not only will the
superintendent be able to reflect on his practice and predict his own success, but the
board of education or superintendent-search companies also can predict the likelihood of
a particular applicant fitting into the organization. Gaining the optimal fit can enhance the
success of the entire organization.

One of the most important implications of this study is that the centripetal-force
model can be applied to any leadership position, across multiple contexts. Whether one is

a principal of a building, the board president of a school organization, the department

118

head of a university, or the CEO of a company, he can put himself in the center of this
model and apply the principles of leadership, thereby experiencing the same level of
success as a superintendent of an educational organization.

Through the course of this study, I attempted to define the superintendent’s role
and to provide superintendents with possible strategies for meeting the challenges of a
newly defined or redefined position in changing times. The findings fiom this study will
support the work of the superintendent and may help current superintendents increase
their longevity in the superintendency. This study expanded on current research by
providing information on the theory and practice used by today’s superintendents, how
superintendents fiame their rmderstanding of their organizations, and the influence that
superintendents’ reciprocal relationships and distributive practices have on their school
environment. Ultimately, this study may serve as a resource guide for superintendents

that can help them maneuver through the requirements of this complex position.

Suggestions for Further Studv
This study can be enhanced by testing the tenets of the conceptual model on a

larger group of superintendents. This study was limited by the small sample of
superintendents studied; therefore, further study with a larger and more diverse sample is
needed. In this study, no comparisons were made between leaders of different genders
and ethnicities. However, this study is still important, and the knowledge gained from it
will be of value to future researchers.

As previously suggested, this model could be replicated across disciplines in
various organizations. In particular it would be beneficial to study the practice of

leadership by the board of education. The findings fiom such study could help avoid

119

potential problems, if for instance, both the district’s board president and superintendent
were prophets. A clash between prophets could have long-term ramifications for the
organization. The model could be used as an internal criterion for selecting the board
president, so potential conflict can be avoided.

Each of the themes outlined in Chapter V could be expanded on independently of
one another. A multidisciplinary study could be done on organizational fit, situated
leadership, and building trusting relationships. Numerous studies have been completed on
the importance of building trusting relationships. This research could be expanded
through the investigation of superintendent and board relationships, superintendent and
principal or staff relationships, and as superintendent and community relationships.
Research could also be conducted on the effect that trusting relationships have in

business, higher education, and other types of organizations.

arm—mm
This study was undertaken to gain an understanding of superintendents’

leadership through a research design that was interpretive, evolving, and holistic in
nature. I used theories of school leadership, change, and organizations to provide a
fiamework for this study. The comparative case study format allowed me to make
comparisons across environments to determine whether the superintendents’
environments induced changes in their practice of leadership. Because the focus of this
study was on investigating how the superintendents made sense of their role and how that
personal theory defined their leadership practice, this type of approach enabled me to

understand the leadership roles of superintendents in varying organizations.

120

Inthisstudy,lusedaninductiveprocessinanalyzingandpresentingthestoriesof
the superintendents. The elucidation of the participants’ stories helped reveal common
themes, which allowed me to tmderstand superintendents’ practice of leadership. The
themes that emerged supported the study findings. I created Venn diagrams to provide a
visual representation of the themes, which included organizational fit, situated leadership,
and building trusting relationships. These themes all support superintendents’ practice of
leadership, ifall three are applied. Last, a visual picture or conceptual map was proposed
to illuminate the themes and findings; because qualitative research is not static, this
picture evolved throughout the course of the study.

Several unanticipated implications and findings surfaced dining the course of this
study. The research questions provided direction for the study, but the magic of
qualitative research was not unveiled until a thorough data analysis was completed. The
primary purpose of this study was achieved, and the field of research has been enhanced
due to its completion. In this study I also put forward an emergent theory that promotes
future research in the practice of leadership. Through the comse of this study, I
discovered that the practice of leadership is not associated with one discipline versus

another; it is merely an application of the tenets of leadership.

Reflection
Although this study focused on only three superintendents, it has enhanced my

thinking about the practice of leadership within the superintendency. As an aspiring
superintendent, I know I need to work to understand the images that stakeholders hold
about the organization. As a superintendent it would be beneficial to determine the

dominant story line in the district and determine what images would support the

121

organization. It is always difficult to find time for reflection, but it is critical to a
superintendent’s success to make time to think about leadership and the organization.

There will be times when the superintendent must exercise leadership in a
different way, depending on his level of knowledge and the complexity of the challenge.
He may act as a prophet or a therapist, depending on the situation and the type of
organization. As a potential superintendent, I understand the importance of gaining
organizational fit, developing deep connections, and applying leadership tactics to
enhance my power base. I also have learned that it is important to have a positive exit
strategy when there is disharmony within the organization. Mr. Goldfinch showed that
retirement can lead to new opportunities, without bringing along the skeletons in the
closet.

Through this study, I have grown tremendously as a scholar and as an
administrator. I have been able to reflect on my own practice as a leader, in order to
reduce the anxieties of moving to a new position. I see the benefit of gaining
organizational fit, utilizing situated leadership, and building trusting relationships to
develop a balanced organization. Whether I am a superintendent or a building principal,
effective practice of leadership is what fosters growth within the organization.

This study has shown me that I must be open minded to new research and
literature as I explore any topic. My discomfort at not finding the information I was
seeking led me to further research, which enhanced my study. If I had not been open
minded, I would not have been able to develop this study fully. The journey that I have
taken has been filled with many sharp turns, steep grades, and unexpected potholes, but I

have grown as a scholar as a result of my study.

122

APPENDIX A
Interview Protocols
Observation Protocols
Professional Critical Incident Map
Interview One, Two, and Three Scripts
Professional Community Interview Protocol

Professional Community Interview Script

123

Appendix A
Interview One Protocol
Critical Incident Map

Letters Represent Probes Under the Questions

The purpose of this first interview is to learn more about how the superintendent thinks
about the role and tasks of the superintendency and to learn more about how he perceived
that he enacts those roles and tasks. We will be using the Critical Incident Map during
this interview.

“Thank you for taking the time to map-out your experiences as a school superintendent.
We will be using that today to help fiame our conversation.”

Question One: “Tell me stories, life experiences both personal and professional that
brought you to the superintendency.”

Probe: Here I will probe his stories to find out what he “values” as a school leaders,
where these values originate, and how he perceives he translates these values into what
he does.

Question Two: “In light of these experiences, if a “new superintendent” turned to you for
advice, what would you say to them about this job?”

Probe: Here I will probe his mentoring advice to better understand how he defines
“leadership”, “school leadership”, and the “school superintendency.” I will try to
understand how his values are mirrored (or not) in his advice.

Question Three: “Now, let’s turn to your critical incident map. Please detail each item in
your critical incident map.

Probes: Here I will probe for specific examples of how he “thinks” about the
superintendency and how he perceives he translates this to his practice. I will also ask,
when appropriate the following probing queries:
Probe 1:What leadership and/or management approaches didn’t work?

a. What might you have done differently?

b. What, in the particular incident were the internal/extemal challenges?

c. How did you handle different points of view held by stakeholders?
Probe 2: In light of the challenges that you described, how did you adjust your practice
as a superintendent? Did that change the way you defined your role as a superintendent?
Probe 3: Can you fiuther explain, describe your relationships with members of that
professional community (e.g., PTSA, community leaders, parents, etc)?
Probe 4: It appears that you work hard to develop mutually supportive relationships with
yom' team. Why? Can you give me other examples that reveal why this is important to
you?

124

Final Question: “Do you have anything that you would like to add?

125

Appendix A
Interview Two Protocol
Artifacts of the Position

Letters Represent Probes Under the Questions

The purpose of this second interview is to learn more about how the superintendent
thinks about the role and tasks of the superintendency, and to learn more about how he
perceives that he enacts those roles and tasks. We will use the artifacts for this activity.

“Thank you for taking the time to meet with me again and sharing your artifacts that
illuminate your experiences as a school superintendent. We will be using these artifacts
today to help fiame our conversations.”

I will ask this first question and follow-up with appropriate probes.

Question One: Please share with me your three artifacts.

a. What makes this artifact significant to how you view the role of the school
superintendent?

b. This (insert the name of the artifact) reveals that you had to deal with a
number of (insert the tension point, e.g., structural, policy, union,
personnel, fiscal, etc.) challenges. Can you talk about how you dealt with
them? How did they change the way that you “do” your work?

c. This (insert the name of the artifact) illuminates the way that you think
about the role of the superintendent (insert information from the last
interview). Can you talk more about this element of leadership?

d. There appears to be a number of challenges that you had to face, both
internal and external to the organization, how do you motivate yomself to
keep going? How do you rejuvenate?

Question Two: Were there any additional artifacts that you wished you could have

brought?
a. Please tell me a little about each one.

“I have a final question for you that will help me to better understand how you think
about the role of the superintendent and how you do your work.”

Question Three: “You’re packing a briefcase for your successor. What three items,
abstract or concrete, would you include to assist the new superintendent in his/her role?
a. How does (insert item from briefcase) define your role as school
superintendent?
b. How will this (insert item from briefcase) support the work of a new
superintendent?

126

c. Are there any additional items that need to be included in the briefcase? Ifso,
why should they be included?

127

Appendix A
Interview Three Protocol
Follow-Up to the Observation

Letters Represent Probes Under the Questions

The purpose of this third interview is to learn more about how the superintendent thinks
about the role and tasks of the superintendency, and to learn more about how be
perceived that he enacts those roles and tasks. This is a reflection on my observation of
him-“A Day in the Life of the School Superintendent”.

The superintendent will receive a copy of my observation notes. I will ask him to review
the notes before our meeting.

“Thank you for taking the time to let me shadow you the other day and to meet with me
again. We will be using my observation notes today to help fiame our conversation.”

Question One: “Now that you have reviewed the observation notes, can you point out to
me activities that you were engaged that best reflect what you value as the role of the
school superintendent?”
a. It is obvious that you value (insert value) as the role of the school
superintendent. Can you talk more about this value?
b. Are there any activities that I didn’t observe during the day, that may
occur frequently and that may reflect what you value as a school
superintendent?

Question Two: “Can you point out activities that were occasions where you believe you
may not have been coming from those core values?

a. Why do you believe (insert activity) your actions in this activity were
outside your core values?

b. How would you change your actions to align (insert activity) with your
core values?

Question Three: “Looking at your day, I noticed that you (insert an activity that caught
the superintendent dealing with a complex internal issue). How did you feel? What were
you thinking? Why did you do (insert activity)?”

Question Four: “Looking at your day, I noticed that you (insert an activity that caught
the superintendent dealing with a complex external issue). How did you feel? What were
you thinking? Why did you do (insert activity)?

Question Five: “The school appears to be an integral part of the community. Looking at

your day, what actions did you take to strengthen the bond between the school and
community?”

128

a. Were there occasions when your actions did not strengthen this mutually
supportive relationship?
b. How might you change yom' actions to strengthen these relationships?

Question Six: “Looking at yom' day, I noticed that you worked to build mutually
supportive relationships within the organization. Were there specific incidents where you
believe you strengthened the bond between yourself and members of the organization?

a. What steps do you take to ensure the bond remains strong?
b. What measures do you take if you perceive that bond to be weakening?

“I have a final activity.”

Question Seven: What would be your analogy for the role of the “School
Superintendent”?

Question Eight: In what ways do you believe your actions fit (or not) this analogy?

Question Nine: In what ways do you continue to challenge yourselfas a practicing
superintendent?

129

AppendixA

Observation Protocol

 

Exploratory
Questions

Trme

Activities

Observations

 

How does a school
superintendent make
sense of his role and
how does that define his

practice?

 

From the
superintendents’
perspective, how does
he drink about his role
and to what extent does
it impact practice?

 

To what degree do
alternative leadership
theories (e.g.,
transformational
leadership, change
theories, distrrhutive
theories, etc.) explain
how the superintendent
defines and does his
work?

 

Wlmt implications does
an understanding of a
superintendents’ theory
and practice have for the

preparation of school
superintendents?

 

 

 

 

 

 

 

 

130

 

Appendix A

Professional Critical Incident Map
Please identify 3-5 ideas that respond to the question: As a school superintendent what

are the right things to do? Put your 3-5 ideas in the boxes provided and please provide an
example(s) that show how you are doing the right thing in the ovals provided.

131

Appendix A
Interview One: The Journey of the Superintendent

Interviewer: Thank you for agreeing to participate in this interview. The W of this
first interview is to learn more about how you think about the role and
tasks of the superintendency and to learn more about how you perceived
the you enact those roles and tasks.

As a reminder, this interview will take approximately 90 minutes. I will be
tape recording our conversation and taking notes. Please know that at any
time you can request to have the tape recorder turned off. You also have
the right not to answer any particular questions. The tape recording will be
kept in a safe place and your identity will not be disclosed.

I will be transcribing our conversation and I will send you a printed copy
of the transcribed conversation. I will also return all documents you have
shared with me or destroy them at the conclusion of this study.

Our interview will center your theory and practice of leadership and in
what ways both internal and external school pressures influence how you
“think” about and “do” the superintendency. We will focus on the
Professional Critical Incident Map that you have been asked to create
before this interview. Thank you for taking the time to map-out yoru'
experiences as a school superintendent. We will be using that today to
help fiame our conversation. As we go, please share any additional
information that may shed light on your role as an educational leader.

Do you have any questions?
Okay, let’s begin.
Question One: Tell me stories, life experiences both personal and professional that
brought you to the superintendency.
a. Based on (insert story or experience) what does that tell us about what you
value as a school leader?
b. Where do you believe this value originates?
c. How do you translate this value into what you do?

Question Two: In light of these experiences, if a “new superintendent” turned to you for
advice, what would you say to them about this job?

a. How do you define leadership?
b. Does this definition difi‘er fiom your definition of “school leadership”?

132

C.

With that being said, then how do you translate those definitions into the
school superintendency?

Question Three: Now, let’s turn to your critical incident map. Please detail each item in

your map.

a.

Conclusion

What leadership and/or management approaches didn’t work?

1. What might you have done differently?

2. What in the particular incident were the internal/external challenges?
3. How did you handle different points of view held by stakeholders?
In light of the challenges that you described, how did you adjust your
practice as a superintendent? Did that change the way you defined yorn'
role as a superintendent?

Can you further explain, describe your relationship with members of that
professional community (e.g., PTSA, community leaders, parents, etc.)?
It appears that you work hard to develop mutual relationships with your
team. Why? Can you give me other examples that reveal why this is
immrtant to you?

Is there anything else you would like to add?
Do you have any questions you would like to ask me?

Thank you for your time!

133

Appendix A

Interview Two: Investigation of the Superintendent

Interviewer: Thank you for agreeing to participate in this second interview. The

purpose of this interview is to better understand the extent to which a
superintendent’s theory and practice of leadership are influenced by
internal and external pressures.

This interview will take approximately 60 minutes. I will be tape
recording our conversation and taking notes. Please know that at any time
you can request to have the tape recorder turned off. You also have the
right not to answer any particular questions. The tape recording will be
kept in a safe place and your identity will not be disclosed.

I will be transcribing our conversation and I will send you a printed copy
of the transcribed conversation. I will also return all documents you have
shared with me or destroy them at the conclusion of this study.

Our interview will center on how you think about the role and tasks of the
superintendency, and how you perceive that you enact those roles and
tasks.Thankyoufortakingthetimetomeetwithmeagainandsharing
your artifacts that illuminate your experiences as a school superintendent.
We will be using these artifacts today to help fiame our conversation. As
we go, please share any additional information that may shed light on your
role as an educational leader.

Do you have any questions?

Okay, let’s begin.

Question One: Please share with me your three artifacts.
a. What makes this artifact significant to how you view the role of the school

b.

superintendent?

This (insert the name of the artifact) reveals that you had to deal with a
number of (insert the tension point, e.g., structural, policy, union, personnel,
fiscal, etc.) challenges. Can you talk about how you dealt with them? How did
they change the way that you “do” your work?

This (insert the name of the artifact) illuminates the way that you think about
the role of the superintendent (insert information fiom the last interview). Can
you talk more about this element of leadership?

There appears to be a number of challenges that you had to face, both internal
and external to the organization, how do you motivate yourself to keep going?
How do you rejuvenate?

Question Two: Were there any additional artifacts that you wished you could have

brought?

134

a. Please tell me a little about each one.

“I have a final question for you that will help me to better understand how you think
about the role of the superintendent and how you do your work.”

Question Three: “You’re packing a briefcase for your successor. What three items,
abstract or concrete, would you include to assist the new superintendent in his/her role?
a. How does (insert item from briefcase) define your role as school

superintendent?
b. How will this (insert item fi'om briefcase) support the work of a new
superintendent?
c. Are there any additional items that need to be included in the briefcase? If so,
why should they be included?
Conclusion

Is there anything else you would like to add?
Do you have any questions you would like to ask me?

Thank you for your time!

135

Appendix A
Interview Three: Observation Follow-Up

Interviewer: Thank you for agreeing to participate in this final interview. The purpose
of this interview is a follow up to the day of observations.

This interview will take approximately 60 minutes. I will be tape
recording our conversation and taking notes. Please know that at any time
you can request to have the tape recorder tinned ofl‘. You also have the
right not to answer any particular questions. The tape recording will be
kept in a safe place and your identity will not be disclosed.

I will be transcribing our conversation and I will send you a printed copy
of the transcribed conversation. I will also return all documents you have
shared with me or destroy them at the conclusion of this study.

Thankyoufortakingthetimetoletmeshadowyoutheotherdayandto
meet with you again. We will be using my observations notes today to
help fiame our conversation. As we go, please share any additional
information that may shed light on your role as an educational leader.

Do you have any questions?
Okay, let’s begin.

Question One: Now that you have reviewed the observation notes, can you point out to
me activities that you were engaged that best reflect what you value as the role of the
school superintendent?
a. It is obvious that you value (insert value) as the role of the school
superintendent. Can you talk more about this value?
b. Are there any activities that I didn’t observe during the day, that may occur
fiequently and that may reflect what you value as a school superintendent?

Question Two: Can you point out activities that were occasions where you believe you
may not have been coming fiom those core values?
a. Why do you believe (insert activity) your actions in this activity were outside
your core values?
b. How would you change your actions to align (insert activity) with your core
values?

Question Three: Looking at your day, I noticed that you (insert an activity that caught

the superintendent dealing with a complex internal issue). How did you feel? What were
you thinking? Why did you do (insert activity)?

136

Question Four: Looking at your day, I noticed that you (insert an activity that caught the
superintendent dealing with a complex external issue). How did you feel? What were you
thinking? Why did you do (insert activity)?

Question Five: The school appears to be an integral part of the community. Looking at
yorn‘ day, what actions did you take to strengthen the bond between the school and
community?
a. Were there occasions when your actions did not strengthen this mutually
supportive relationship?
b. How might you change your actions to strengthen these relationships?

Question Six: Looking at your day, I noticed that you worked to build mutually
supportive relationships within the organization. Were there specific incidents where you
believe you strengthened the bond between yourself and members of the organization?

a. Whatstepsdoyoutaketoensurethebondremainsstrong?

b. What measures do you take if you perceive that bond to be weakening?

Conclusion:
Is there anything else you would like to add?

Do you have any questions you would like to ask me?

Thank you for your time!

137

Appendix A

Professional Community Interview Protocol

 

 

 

 

 

Exploratory Questions Sub Questions Interview Questions
How does a school Give 3-5 examples of the
superintendent make sense right firings for a
of his role and how does superintendent to do.
that define his practice?

How does a school Give examples of how your

superintendent think about current superintendent has

his role and to what extent met these expectations?

does it impact his practice?
When has your
superintendent not met
these expectations?

To what degree do How would you define your

alternative leadership relationship with the

theories (e.g., superintendent?

transformational leadership,

change theories, distributive Does the superintendent do

theories, etc.) explain how the right things when

the superintendent defines building a relationship with

and does his work? you? If not, how could he
improve the mutual
relationship with you and
other members of the
community?

 

 

 

138

 

Interview One: The Professional Community’s Perspective

Interviewer: Thank you for agreeing to participate in this interview. The purpose of this
interview is to better understand the changes in the superintendency and
how these changes influence the superintendents’ theory and practice of
leadership.

As a reminder, this interview will take approximately 30-45 minutes. I
will be tape recording our conversation and taking notes. Please know that
at any time you can request to have the tape recorder turned off. You also
have the right not to answer any particular questions. The tape recording
will be kept in a safe place and your identity will not be disclosed.

I will be transcribing our conversation and I will send you a printed copy
of the transcribed conversation. I will also return all documents you have
shared with me or destroy them at the conclusion of this study.

Our interview will center your perspective of how you think the
superintendent does his job. As we go, please share any additional
information that may shed light on your role as an educational leader.

Do you have any questions?

Okay, let’s begin.

Question One:
A. What is your name?

B. What is your position?
C. What is your relationship to the superintendent?

Question Two:
A. Give 3-5 examples of the right things for a superintendent to do.

Question Three:
A. Give examples of how your current superintendent has met these
expectations?
B. When has your superintendent not met these expectations?

Question Four:
A. How would you define your relationship with the superintendent?

139

Conclusion:

Does the superintendent do the right things when building a relationship
with you? If not, how could he improve the mutual relationship with you
and other members of the community?

Is there anything else you would like to add?
Do you have any questions you would like to ask me?

Thank you for your time!

140

Appendix B
Letter of Participation

Consent Letter

Letter to Interviewees

141

AppendixB

. Invitation to Participate to Potential Superintendent Interview Participants
April 1, 2004

Dear (Participant’s Name),

You are invited to participate in a qualitative research case study. The purpose of this
case study is to investigate how the superintendent makes sense of his role and how that
personal theory defines his practice. The sessions will be informal, and the questions will
be focused on the area of leadership, change, and organizations.

Data collection will involve one observation, three interviews (to be approximately 45-90
minutes in length and transcripts of interviews between you and me), and collection of
documents (reports, meeting summaries). The information that is collected will, of
course, be confidential. You will be assigned a pseudonym to further ensure
confidentiality. The comments you make and the material collected may show up as a
written record, but not in such a way that you will be identified specifically. Do not
hesitatetoaskanyquestionsaboutthestudyifyouchoosetoparticipate.Iwillbehappy
to share my findings with you after the research is completed.

There are no known risks and/or discomforts associated with this study. The expected
benefits associated with your participation are an analysis of your own leadership role
and an opportunity to participate in a qualitative research study. If submitted for
publication, this study will provide a byline that will indicate the participation of all
members (with assigned pseudonym) of the study.

Attached is a confirmation form that indicates your interest in participating in this study.
Please complete this confirmation and return it to me by April 15, 2004. Thank you for
your consideration!

Sincerely,

Tina Kerr

9232 S. Vernon Rd.
Bancroft, MI 48414
flerr9927 1 @yahoo.com
989-634-9303

142

AppendixB

Invitation to Participate to Potential
Professional Community Member Interview Participants
April 1, 2004

Dear (Participant’s Name),

You are invited to participate in a qualitative research case study. The pmpose of this
case study is to investigate how the superintendent makes sense of his role and how that
personal theory defines his practice. The sessions will be informal, and the questions will
be focused on the area of leadership, change, and organizations.

Data collection will involve one interview (to be approximately 30-45 minutes in length
and transcripts of interviews between you and me). The information that is collected will,
of comse, be confidential. You will be assigned a pseudonym to further ensure
confidentiality. The comments you make and the material collected may show up as a
written record, but not in such a way that you will be identified specifically. Do not
hesitate to ask any questions about the study if you choose to participate. I will be happy
to share my findings with you after the research is completed.

There are no known risks and/or discomforts associated with this study. The expected
benefits associated with your participation is an analysis of your superintendent. If
submitted for publication, this study will provide a byline that will indicate the
participation of all members (with assigned pseudonym) of the study.

Attached is a confirmation form that indicates your interest in participating in this study.
Please complete this confirmation and return it to me by April 15, 2004. Thank you for
your consideration!

Sincerely,

Tina Kerr

9232 S. Vernon Rd.
Bancroft, MI 48414
Tkerr99271 @yahoo.com
989—634—9303

143

Appendix B Consent Form

You agree to participate in a study that investigates how the superintendent makes sense
of his role and how that personal theory defines his practice. This consent acknowledges
your participation in the study entitled, Making Sense of Three School Superintendent’s
Leadership Practice. developed by Tina Kerr, Doctoral Candidate in K-12 Educational
Administration at Michigan State University. You have also read the letter from Tina
Kerr dated April 1, 2004, which briefly describes the purposes and procedures of the
research. The letter includes her name, address, and methods of communication in case
you have any questions or concerns regarding the study.

 

You tmderstand that your participation in this study requires you to participate in three
face-to-face interviews that may be 60-90 minutes in length. You are aware of and
understand that all interview data will be held in the strictest confidence and that your
identify will not be disclosed in any form during the completion of this study. You also
understandthedatawillbeusedinareportaboutthepmjectmaybeusedinpublished
articles, in presentations at conferences, and in a dissertation. You are also aware that
Tina Kerr will do one day of job shadowing, during which time she will serve as an
observer only. While completing the interviews and observations, you are also aware that
various documents will be collected.

You understand that your participation in this study is completely voluntary and that you
may withdraw fiom this study at any time with no repercussions. You also understand
that all the information gathered during this study that could identify me as a participant
will be destroyed at the conclusion of the study.

Should you have any questions or concerns regarding the rights of subjects and duties of
investigators, or you are dissatisfied with any aspect of the study, you may contact
anonymously, if you wish, Dr. Peter Vasilenko, Ph.D., Chair of the University
Committee on Research involving Human Subjects (UCRIHS) by phone: (517) 355-
2180, fax (517) 432-4503, email: urhris@msu.edu or regular mail: 202 Olds Hall,
Michigan State University, East Lansing, MI 48824. Should you have any questions
about the interviews or the study, you can also contact the student’s advisor, Dr.
Maenette Benham, professor at the department of K—12 Educational Administration, 419
A Erickson Hall, Michigan State University, East Lansing, MI 48824, or email:
mbenham@msu.edu

 

Your signatme below indicates your voluntary agreement to participate in this study. You
will be given a copy of the consent form.

Print Name: Date:

 

 

Signature: Email:

 

 

144

Appendix B Consent Form

You agree to participate in a study that investigates how the superintendent makes sense
of his role and how that personal theory defines his practice. This consent acknowledges
your participation in the study entitled, Making Sense of Three School Superintendent’s
Leadership Practice, developed by Tina Kerr, Doctoral Candidate in K-12 Educational
Administration at Michigan State University. You have also read the letter fi'om Tina
Kerr dated April 1, 2004, which briefly describes the purposes and procedures of the
research. The letter includes her name, address, and methods of communication in case
you have any questions or concerns regarding the study.

You understand that yoru' participation in this study requires you to participate in one
face-to-face interview that may be 30-45 nrinutes in length. You are aware of and
understand that all interview data will be held in the strictest confidence and ma your
identify will not be disclosed in any form during the completion of this study. You also
understandthedmawinbeusedmareponabomfllepmjectmaybeusedmpubfishcd
articles, in presentations at conferences, and in a dissertation.

You understand that your participation in this study is completely voluntary and that you
may withdraw from this study at any time with no repercussions. You also understand
that all the information gathered druing this study that could identify me as a participant
will be destroyed at the conclusion of the study.

Should you have any questions or concerns regarding the rights of subjects and duties of
investigators, or you are dissatisfied with any aspect of the study, you may contact
anonymously, if you wish, Dr. Peter Vasilenko, Ph.D., Chair of the University
Committee on Research involving Human Subjects (UCRIHS) by phone: (517) 355-
2180, fax (517) 432-4503, email: urhris@msu.edu or regular mail: 202 Olds Hall,
Michigan State University, East Lansing, MI 48824. Should you have any questions
about the interviews or the study, you can also contact the student’s advisor, Dr.
Maenette Benham, professor at the department of K-12 Educational Administration, 419
A Erickson Hall, Michigan State University, East Lansing, MI 48824, or email:
mbenham@msu.edu

Your signature below indicates yom' voluntary agreement to participate in this study. You
will be given a copy of the consent form.

Print Name: Date:

 

 

Signature: Email:

 

145

Appendix B
Letter to Interviewees

I am Tina Kerr, Principal and K-12 Curriculum Director with Almont Community
Schools and I am also a doctoral student at Michigan State University. I am currently
studying the leadership role of school superintendents and the impact the environment
may or may not have on the superintendent’s theory and practice. Your district was
chosen for this study due to its location, demographics, and convenience. I have long-
range aspirations of being a school superintendent, which accounts for my interest in how
practicing superintendents lead the organization within which they are situated. I realize
the roles and responsibilities of the superintendency are constantly changing and my
dissertation is centered on what impact these changes have had on the superintendents’
theory and practice.

Before I conduct the initial interview, please find attached a blank Professional
Critical Incident Map that I would like you to fill out prior to our first interview on (date,
time, place). Look back at your (experience) years as a school superintendent of
(district). First in 3-5 of the boxes, list ideas that respond to the question: As a school
superintendent, what are the right things to do? Below each box you will find a connected
oval. Please provide an example(s) that show how you’re doing the right things. The first
interview will primarily consist of an in-depth discussion of your Professional Critical
Incident Map. Thank you so much for your time. If you have any questions, please feel
free to contact me.

Sincerely,

Tina Kerr

9232 S. Vernon Rd.
Bancroft, MI 48414
Tkerr99271 @vahoo.com
989-634-9303

146

 

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