Professional Standards For The Superintendency
American
Association of School Administrators
1993
PREFACE
The American Association of School Administrators is grateful
to the Commission on Standards for the Superintendency and its chairman, John
Hoyle, for developing this benchmark document. We also extend our thanks to a
special jury of 100 leaders in education, business, government, and other walks
of life who provided suggestions considered in shaping these standards.
These Professional Standards for the Superintendency are sure
to influence the ongoing efforts of practicing school administrators, the
content of university courses, the substance and accreditation of professional
development and university preparation programs, the certification of
superintendents, and the selection and evaluation of top school executives. They
may even be considered in developing a future national professional
certification program.
The standards are based on reviews of significant research and
in depth discussions with those who serve as superintendents, those who prepare
superintendents for their professional responsibilities, and those in society
who depend on an educated citizenry.
Over the years, these standards will surely be modified to
meet the needs of a changing society. They are dynamic, not static.
A sound system of education is essential to the very future of
our free and democratic society. School superintendents provide leadership and
inspiration for that institution in school districts across the nation. Our
children deserve no less than the most effective leadership. These standards are
designed to ensure excellence in the American school superintendency.
INTRODUCTION
To a great extent, the quality of America’s schools depends
on the effectiveness of school superintendents. These executives of our
nation’s schools have complex leadership responsibilities, and those who hold
the position must be among the brightest and best our society has to offer.
Their vision and performance must focus on creating schools that will inspire
our children to become successful, caring Americans, capable of becoming
contributing citizens of the world.
The superintendency requires bold, creative, energetic, and
visionary school leaders who can respond quickly to a myriad of issues ranging
from dealing with social changes, diverse student populations, and demands for
equity, to improving school quality for every child and making effective use of
new technologies.
The New School Leader
Recent research on the superintendency makes one point amply
clear—top-down bureaucratic management is being replaced by bottom-up
executive leadership that encourages shared decision making among school staff,
community, business, and other stakeholders. Superintendents must be skilled
collaborators who can rally all available resources to support better education
for all children living in our multicultural society.
The 1992 AASA Study of the American School Superintendency,
based on an extensive nationwide survey, found that superintendents in larger
school districts consider their jobs fairly similar to those held by CEOs in the
private sector.
Both executive offices require many of the same management and
executive skills to meet the complex issues of large budgets, personnel, product
accountability, and competition. However, most superintendents are not in urban
or suburban schools—far from it. Two-thirds of the current 13,800
superintendents reside and work in small or rural districts with fewer than
3,000 students. While many of the challenges and problems these small school
leaders face are similar to those faced by their big-city colleagues, many
others are different.
Personal traits
On the average, most of the 13,800 superintendents are white
males in their late forties to early fifties; an exception is a small but
growing number of women and minorities, usually found in urban or
high-minority-population school districts.
Preparation and training
In spite of variances in their leadership roles and
responsibilities, all superintendents are prepared and certified in similar
ways. To be eligible for a certificate from a state department of education,
they are required to hold a master’s degree in educational administration and
to have taken some additional courses. The course work of all aspiring
superintendents is strikingly similar. The internship experiences, however, vary
widely depending on the university and how convenient it is for the student to
complete the required clinical hours.
Corporate takeover?
A recent development is the entry of noncertified business
people into the superintendency who have been selected by boards of education
through alternative procedures that often reflect different standards of
preparation and experience. This tendency by a few to ignore candidates with
education backgrounds in favor of people from business raises serious questions
about the talent pool and the preparation of some who follow the traditional
career path toward the superintendency. The traditional path is well traveled
each year by more than 10,000 students in more than 300 higher education
graduate programs, who seek to become superintendents.
Window of opportunity
The opportunity to become a chief school executive will
increase during the 1990s and beyond. Surveys reveal that more than 50 percent
of the 13,800 superintendents plan to retire during the next ten years. These
retirements will mean a loss of talent and experience in districts across
America, but the openings will offer greater professional advancement
possibilities for young, eager, and sometimes better-trained people who aspire
to the job, including women and minorities.
Will these aspirants be better prepared for their jobs as
superintendents? Will preparation programs and related certification
requirements improve enough in time to produce the new type of school executive
needed to lead school districts into the 21st century?
These and other questions are being raised about how to
prepare these leaders for the complex challenges ahead. Traditional university
and state certification programs have been the target of criticism because of
their perceived lack of focus on the future roles, knowledge, and skill base
necessary for superintendents. This criticism comes from policymakers, corporate
leaders, the National Policy Board for Educational Administration, and
superintendents themselves who question the preparation they received.
New needs for the future
Much of the criticism directed toward superintendent
preparation is philosophical. Critics point out that traditional college and
university preparation programs are teaching outdated styles of leadership and
management that stress control, order, quality, and efficiency. While reform
efforts in superintendent preparation have led to greater emphasis on team
building, shared leadership, collaboration, and instructional improvement, the
older or outdated image persists in the eyes of many close observers. Critics
wonder why professors pay little attention to critical theory, chaos theory,
feminist critique, and other current scientific and social issues influencing
organizational and educational thought. Too much lecturing, at the expense of
problem-based and field-based learning, is another concern of superintendent
preparation critics.
The Commission believes it is important to teach emerging
ideas about values, choice, and collaboration in order to prepare and develop
superintendents. The responsibility for this teaching must be shared by a
consortium of all groups with a legitimate stake in the career development of
superintendents.
While 75 percent of superintendents surveyed by AASA in the
early ‘90s were generally satisfied with their preparation, the signs of
discontent were growing clearer. Younger superintendents complained about
overlapping, fragmented course work and the need for more extensive field-based
training and monitoring programs to help them prepare for the real world of the
superintendency.
Some superintendents appreciated the outstanding learning
experiences they gained from some professors. Some praised their mentor
superintendents who shared their world with them during an internship. Others
claimed that the course work was all outdated theory and excluded current
"hot topics" such as total quality management, strategic planning,
site-based management, new instructional strategies, or curriculum auditing and
assessment.
Another complaint was the inconsistent and random placement of
future superintendents in internships. Scholars and practicing school
superintendents concluded that preparation programs need to center on applied
knowledge and skill development as well as on relevant theory and emerging
research on school leadership and shared decision-making.
Development of Professional Standards
An important method for ensuring that talented people become
superintendents is the development and application of professional standards.
Professional standards, when coupled with professional development requirements
and a means of gauging quality performance, create a sense at all levels that
superintendents are responsible executives worthy of the public trust. An aura
of professionalism is essential to sound relationships with boards of education,
parents, and the general community. The American Association of School
Administrators, founded in 1865, has a responsibility to create these standards.
In 1982, AASA published Guidelines for the Preparation of
School Administrators, which summarized recommendations of two AASA working
committees composed of both superintendents and professors of educational
administration. The "Guidelines" suggested performance goals,
competencies, skills, and delivery systems for the preparation of school
administrators.
Since that time, AASA has cosponsored a number of research
studies exploring key performance areas of the superintendency, and has
validated the skills and competencies suggested in those 1982 guidelines. In
1985, AASA published Skills for Successful School Leaders by John R. Hoyle,
Fenwick English, and Betty Steffy. The second edition (1990) presents an account
of the impact of continuing work on certification and graduate programs in
colleges and universities.
The AASA Commission on Standards for the Superintendency has
concluded that the time is right to develop a set of performance standards for
the superintendency. The standards consolidate the knowledge base of educational
administration with recent research on performance goals, competencies, and
skills needed by effective superintendents. All superintendents should be held
accountable for the eight professional standards, which logically follow the
eight performance goals contained in Guidelines for the Preparation of School
Administrators. In addition, the performance standards should serve as the voice
of the superintendency to professors preparing and training aspiring
superintendents. State certification agencies, national and regional accrediting
organizations, professional associations, and other groups who have a legitimate
stake in the preparation and development of superintendents also should focus on
these standards.
Consulting the stakeholders
The Commission has developed these standards with input from
multiple stakeholders. The document was reviewed by a national "Jury of
100," composed of "Education Governors," business executives,
training officers for corporations, national and state educational agency
officials, superintendents, professors, principals, and classroom teachers.
Comment was sought from members of the National Council of Professors of
Educational Administration, The University Council for Educational
Administration, and finally, the AASA Executive Committee. These standards were
not developed by one or two individuals or even by several committees.
Standards for the superintendency should provide a foundation
for the formation and improvement of professional development programs,
including those of the National Academy for School Executives, state
administrator academies, and the 300 programs located in institutions of higher
education that prepare superintendents for state certification. These standards
will change as the realities of the world of public education affect the role of
the superintendent. However, they should be considered as an operational
benchmark for the preparation and appraisal of superintendents.
General
Professional Standards for the Superintendency
Effective superintendents should meet and be able to
demonstrate identified competencies and skills related to each of the eight
standards. These standards, grounded in the AASA guidelines, have been validated
through extensive research and collaboration with superintendent practitioners,
professors of educational administration, researchers, and other educational
professionals. The knowledge and skill areas of each standard lend themselves to
performance data that can be gathered from seminars, simulations, case studies,
and other classroom or field based learning methods.
Standard 1: Leadership and District Culture
Demonstrate executive leadership by developing a collective
district vision; shape school culture and climate; provide purpose and direction
for individuals and groups; demonstrate an understanding of international issues
affecting education; formulate strategic plans, goals, and change efforts with
staff and community; set priorities in the context of community, student and
staff needs; serve as an articulate spokesperson for the welfare of all students
in a multicultural context.
Indicators. A superintendent should know and be able
to:
·
Formulate a written vision statement of
future direction for the district.
·
Demonstrate an awareness of international
issues affecting schools and students.
·
Promote academic rigor and excellence for
staff and students.
·
Maintain personal, physical, and emotional
wellness.
·
Empower others to reach high levels of
performance.
·
Build self-esteem in staff and students.
·
Exhibit creative problem solving.
·
Promote and model risk taking.
·
Respect and encourage diversity among people
and programs.
·
Manage time effectively.
·
Facilitate comparative planning between
constituencies.
·
Conduct district school climate assessments.
·
Exhibit multicultural and ethnic
understanding.
·
Promote the value of understanding and
celebrating school/community cultures.
Standard 2: Policy and Governance
Develop procedures for working with the board of education
that define mutual expectations, working relationships and strategies for
formulating district policy for external and internal programs; adjust local
policy to state and federal requirements and constitutional provisions,
standards and regulatory applications; recognize and apply standards involving
civil and criminal liabilities
Indicators. A superintendent should know and be able
to:
·
Describe the system of public school
governance in our democracy.
·
Describe procedures for superintendent-board
of education interpersonal and working relationships.
·
Formulate a district policy for external and
internal programs.
·
Relate local policy to state and federal
regulations and requirements.
·
Describe procedures to avoid civil and
criminal liabilities.
Standard 3: Communications and Community Relations
Articulate district purpose and priorities to the community
and mass media; request and respond to community feedback; and demonstrate
consensus building and conflict mediation. Identify, track, and deal with
issues. Formulate and carry out plans for internal and external communications.
Exhibit an understanding of school districts as political systems by applying
communication skills to strengthen community support; align constituencies in
support of district priorities; build coalitions to gain financial and
programmatic support; formulate democratic strategies for referenda; relate
political initiatives to the welfare of children.
Indicators. A superintendent should know and be able
to:
·
Articulate district vision, mission, and
priorities to the community and mass media.
·
Demonstrate an understanding of political
theory and skills needed to build community support for district priorities.
·
Understand and be able to communicate with
all cultural groups in the community.
·
Demonstrate that good judgment and actions
communicate as well as words.
·
Develop formal and informal techniques to
gain external perception of a district by means of surveys, advisory groups, and
personal contact.
·
Communicate and project an articulate
position for education.
·
Write and speak clearly and forcefully.
·
Demonstrate formal and informal listening
skills.
·
Demonstrate group membership and leadership
skills.
·
Identify the political context of the
community environment.
·
Formulate strategies for passing referenda.
·
Persuade the community to adopt an
initiative for the welfare of students.
·
Demonstrate conflict mediation.
·
Demonstrate consensus building.
·
Demonstrate school/community relations,
school business partnerships, and related public service activities.
·
Identify, track, and deal with issues.
·
Develop and carry out internal and external
communication plans.
Standard 4: Organizational Management
Exhibit an understanding of the school district as a system by
defining processes for gathering, analyzing, and using data for decision making;
manage the data flow; frame and solve problems; frame, develop priorities, and
formulate solutions; assist others to form reasoned opinions; reach logical
conclusions and make quality decisions to meet internal and external customer
expectations; plan and schedule personal and organization work; establish
procedures to regulate activities and projects; delegate and empower at
appropriate organizational levels; secure and allocate human and material
resources; develop and manage the district budget; maintain accurate fiscal
records.
Indicators. A superintendent should know and be able
to:
·
Define processes for gathering, analyzing,
and using data for informed decision making.
·
Demonstrate a problem-framing process.
·
Define the major components of quality
management.
·
Develop, implement, and monitor change
processes to build capacities to serve clients.
·
Discuss legal concepts, regulations, and
codes for school operations.
·
Describe the process of delegating
responsibility for decision making.
·
Develop a process for maintaining accurate
fiscal reporting.
·
Acquire, allocate, and manage human,
material, and financial resources to effectively and accountably ensure
successful student learning.
·
Use technological applications to enhance
administration of business and support systems.
·
Demonstrate financial forecasting, planning,
and cash flow management.
·
Perform budget planning, management, account
auditing, and monitoring.
·
Demonstrate a grasp of practices in
administering auxiliary programs, such as maintenance, facilities, food
services, etc.
·
Demonstrate planning and scheduling of
personal time and organization work.
Standard 5: Curriculum Planning and Development
Design curriculum and a strategic plan that enhance teaching
and learning in multiple contexts; provide planning and future methods to
anticipate occupational trends and their educational implications; identify
taxonomies of instructional objectives and validation procedures for curricular
units, using theories of cognitive development; align and sequence curriculum;
use valid and reliable performance indicators and testing procedures to measure
performance outcomes; and describe the proper use of computers and other
learning and information technologies.
Indicators. A superintendent should know and be able
to:
·
Develop core curriculum design and delivery
systems for diverse school communities.
·
Describe curriculum planning/futures methods
to anticipate occupational trends and their educational implication for lifelong
learners.
·
Demonstrate an understanding of
instructional taxonomies, goals, objectives, and processes.
·
Describe cognitive development and learning
theories and their importance to the sequencing of instruction.
·
Demonstrate an understanding of child and
adolescent growth and development.
·
Describe a process to create developmentally
appropriate curriculum and instructional practices for all children and
adolescents.
·
Demonstrate the use of computers and other
technologies in educational programming.
·
Conduct assessments of present and future
student learning needs.
·
Develop a process for faculty input in
continued and systematic renewal of the curriculum to ensure appropriate scope,
sequence, and content.
·
Demonstrate an understanding of curricular
alignment to ensure improved student performance and higher order thinking.
Standard 6: Instructional Management
Exhibit knowledge of instructional management by implementing
a system that includes research findings on learning and instructional
strategies, instructional time, advanced electronic technologies, and resources
to maximize student outcomes; describe and apply research and best practice on
integrating curriculum and resources for multicultural sensitivity and
assessment strategies to help all students achieve at high levels.
Indicators. A superintendent should know and be able
to:
·
Develop, implement, and monitor change
processes to improve student learning, adult development, and climates for
learning.
·
Demonstrate an understanding of motivation
in the instructional process.
·
Describe classroom management theories and
techniques.
·
Demonstrate an understanding of the
development of the total student, including the physical, social, emotional,
cognitive, and linguistic needs.
·
Formulate a plan to assess appropriate
teaching methods and strategies for all learners.
·
Analyze available instructional resources
and assign them in the most cost-effective and equitable manner to enhance
student outcomes.
·
Describe instructional strategies that
include the role of multicultural sensitivity and learning styles.
·
Exhibit applications of computer technology
connected to instructional programs.
·
Describe alternative methods of monitoring
and evaluating student achievement based on objectives and learning outcomes.
·
Describe how to interpret and use
testing/assessment results to improve education.
·
Demonstrate knowledge of research findings
on the use of a variety of instructional strategies.
·
Describe a student achievement monitoring
and reporting system.
Standard 7: Human Resources Management
Develop a staff evaluation and development system to improve
the performance of all staff members; select appropriate models for supervision
based on adult motivation research; identify alternative employee benefits
packages; and describe and apply the legal requirements for personnel selection,
development, retention, and dismissal.
Indicators. A superintendent should know and be able
to:
Develop a plan to assess system and staff needs to identify
areas for concentrated staff development.
Demonstrate knowledge of adult learning theory and motivation.
Evaluate the effectiveness of comprehensive staff development
programming to determine its effect on processional performance.
Demonstrate use of system and staff evaluation data for
personnel policy and decision making.
Diagnose and improve organizational health/morale.
Demonstrate personnel management strategies.
Understand alternative benefit packages.
Assess individual and institutional sources of stress and
develop methods for reducing stress (e.g., counseling, exercise programs, and
diet).
Demonstrate knowledge of pupil personnel services and
categorical programs.
Standard 8: Values and Ethics of Leadership
Understand and model appropriate value systems, ethics and
moral leadership; know the role of education in a democratic society; exhibit
multicultural and ethnic understanding and related behavior; adapt educational
programming to the needs of diverse constituencies; balance complex community
demands in the best interest of the student; scan and monitor the environment
for opportunities for staff and students; respond in an ethical and skillful way
to the electronic and printed news media; and coordinate social agencies and
human services to help each student grow and develop as a caring, informed
citizen.
Indicators. A superintendent should know and be able
to:
Exhibit multicultural and ethnic understanding and
sensitivity.
Describe the role of schooling in a democratic society.
Demonstrate ethical and personal integrity.
Model accepted moral and ethical standards in all
interactions.
Describe a strategy to promote the value that moral and
ethical practices are established and practiced in each classroom and school.
Describe how education undergirds a free and democratic
society.
Describe a strategy to ensure that diversity of religion,
ethnicity, and way of life in the district are not violated.
Formulate a plan to coordinate social, health, and other
community agencies to support each child in the district.
Integrating, Implementing, and Measuring the Standards
The Commission realizes that few if any aspiring or practicing
superintendents will develop complete mastery of all eight of these standards.
In reality, the standards should be used as a guide for ongoing professional
development for anyone preparing for or currently holding a superintendency or
other central office position.
While each standard calls for specialized knowledge and
skills, some overlap naturally exists. Therefore, universities, state agencies,
local districts, professional associations, centers, academies, study councils,
and others who are engaged in the preparation and career development of
superintendents should encourage scholarly integration and application of the
concepts contained in each of the standards.
Putting them into Practice
Superintendents should be able to demonstrate a scholarly
grasp of the eight standards and the more specific competencies and skills that
accompany each of them.
The Commission recommends a two-step approach in putting
these standards in to operation:
First, these standards should influence preparation programs
at universities and professional/career development programs offered by other
groups.
Second, a Standard Board might be appointed to establish these
standards as a set of credentials practicing superintendents may elect to
acquire. Showing proof that the standards have been mastered could involve a
rigorous examination and presentation of a portfolio of performance materials.
Mark of excellence
If these two steps are taken, local school boards might
eventually require a candidate for the superintendency to have completed a
Standards Board examination. Local school boards also might use the standards as
a basis for appraisals and for providing professional development opportunities.
In short, these standards might even help remove some of the mystery that exists
about the evaluation and professional growth of school executives.
Granted, school district size, location, and philosophy must
be considered in determining the extent to which all eight standards are
stressed. However, the standards should serve as a valuable guide for the
preparation and professional development of superintendents rather than as a
checklist for terminating superintendents’ contracts.
AASA Board Approved status would serve as a hallmark of
excellence. Gaining this status would say to the world that a superintendent has
voluntarily participated in the program and has demonstrated his or her
professional competency in knowledge, skills, and actual performance in the
field.
Honoring Programs
Approved status also could be awarded to preparation programs
at institutions that demonstrate they provide effective learning experiences
connected to these standards. These institutions might be asked to submit
portfolios describing program content, delivery, and assessment. Descriptions
and external evaluations of clinical experiences, field-based problem solving,
cohort teaching, mentoring, and coaching could add further strength to the
process of granting approved status to preparation programs.
In addition to influencing preparation and career development
plans, these standards also are likely to affect state certification
requirements. What is most important is that they ultimately will lead to even
better leadership for our nation’s schools.
Conclusion
Superintendents are dream builders for America’s children.
That is just one reason why the superintendency is so important.
To build those dreams and help students realize them requires
outstanding school and community leadership. That leadership is only possible
with the very best preparation, career development, and certification programs
for top school executives. Those programs should be based on sound standards.
These standards, developed by the AASA Commission and reviewed
by the Jury of 100, are based on years of research. They help describe what
outstanding superintendents will need to know and be able to do as we move
toward and into a new millennium.
Demographics, family structure, technologies, and community
expectations continue to change. That means school superintendents will have to
be flexible, creative, and visionary risk takers who constantly keep the
interests of each child at the very top of the agenda.
The Commission believes a much stronger emphasis will be
needed in areas of executive leadership such as finance, technology,
communications, and other skills to help superintendents become change agents
for systemic improvement. A collaborative leadership style will be basic to
dealing with a growing trend toward school-based management and decision making
as school districts become increasingly decentralized and local schools become
more autonomous.
At the same time, superintendents must demonstrate an
understanding of international developments that affect schools and students.
Building on a firm foundation
All of these skills and bodies of knowledge must rest on a
firm ethical foundation. School executives teach students and communities
through their example. What they do and what they say influences the moral,
physical, and intellectual development of both students and the community at
large.
The Commission further believes these standards will become
benchmarks for the preparation and professional development of superintendents
and will help them in their monumental efforts to shape our nation’s schools
to meet America’s current and future needs. To create new generations of
schools, superintendents must be better prepared than ever before.
University superintendency preparation programs, state
certification offices, and other engaged in the preparation and professional
development of top school executives should adopt these standards. Doing so
will:
Improve the effectiveness of superintendents and enhance
public confidence in their ability to lead our schools.
Help attract needed resources for many preparation programs
that currently are underfunded and understaffed.
Assist universities, state education departments, and school
boards in monitoring the quality of those who enter university programs, seek
certification, and ultimately become school superintendents.
While these standards surely will be debated, and in time,
changed, their adoption is urgent. To prolong the establishment of these
standards is to threaten the possibility of even better schooling for all of our
children.
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AASA Commission on Standards for the Superintendency
Chairman
John R. Hoyle
Professor of Educational Administration
Texas A&M University
College Station, Texas
Members
William Anderson
Consultant
Educator Leadership Services
Des Moines, Iowa
Thomas E. Glass
Professor of Educational Administration
Northern Illinois University
DeKalb, Illinois
Eugene M. Karol
Superintendent
Calvert County Schools
Prince Frederick, Maryland
R. Joel McFadden
Superintendent
Eastland School District 308
Lenark, Illinois
Deborah M. McGriff
Superintendent
Detroit City Schools
Detroit, Michigan
Peter Mesa
Superintendent
Oakland Unified School District
Oakland, California
John Murphy
Superintendent
Charlotte-Mecklenburg Schools
Charlotte, North Carolina
Paula M. Short
Department of Educational Administration
The Penn State University
University Park, Pennsylvania
Scott D. Thomson
Executive Secretary
National Policy Board for Educational Administration
Fairfax, Virginia
Richard C. Wallace
Superintendent (Retired)
Pittsburgh Public Schools
Pittsburgh, Pennsylvania
Ex Officio
Richard Miller
Executive Director
American Association of School Administrators
Arlington, Virginia
Staff Project Director
Gary Marx
Senior Associate Executive Director
American Association of School Administrators
Arlington, Virginia
American Association of School Administrators
1801 North Moore Street • Arlington, VA 22209-1813
Phone 703.528.0700 • FAX 703.841.1543
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