CHAPTER 2

THE SUPERINTENDENT

 

THE KEY PERSON

            One of the most important activities that a board can perform is to hire a qualified and able superintendent to administer its schools on a day-to-day basis. The board’s efficiency is increased to the extent it is able to delegate authority and daily administrative functions to the superintendent and staff so the board can carry out its oversight functions of planning, policy making, interpreting and appraising. Because the superintendent holds the key administrative position in the school system, the board must employ the best person available.

 

SELECTION PROCESS

            KRS 160.352 requires a screening committee be established within 30 days of determination that a vacancy has occurred, or will occur, in the office of superintendent. The screening committee must be comprised of: two teachers, elected by the teachers; one board member, appointed by the board chairman; one principal, elected by the principals of the district; one parent, elected by the presidents of the parent-teacher organizations of the district; and one classified employee elected by the classified employees in the district. If a minority member is not elected or appointed to the screening committee in districts with a minority population of 8 percent or more, as determined by the enrollment on the preceding October 1, the committee membership shall be increased to include one minority parent. The minority parent member shall be elected by the minority parents in an election conducted by the school board. The attorney general’s office has stated that the screening committee may not deviate from this composition. Obviously missing from this configuration is representation from the community. Unless the additional minority parent is added, the screening committee is composed of three educators, a classified employee, and only two persons who are not employees of the district.

            Prior to appointing a superintendent, the board must consider the recommendations of the screening committee, but it is not bound by it. The use of the mandated screening committee does not preclude the use of other committees or consultants that would be of benefit to the board. The board might want to consider recommendations from other sources, such as university faculty members or an advisory group of business leaders. If the district has a strategic plan, the plan should provide guidance in the selection process. Regardless, the board should develop a carefully planned procedure that includes specific standards for selecting the superintendent.       

            The responsibility for hiring a superintendent rests by law with the board of education. The superintendent is answerable to the board of education and the board of education is answerable to the community for the quality of education in the district. If the search goes well and the district hires a competent superintendent, the credit may be shared between the board and the screening committee. However, if the search goes poorly and an incompetent superintendent is hired, the blame is entirely the board’s. The board is responsible for hiring the superintendent, and it is the board that the community holds accountable.

 

BOARD RESPONSIBILITIES IN THE SELECTION PROCESS

The board is responsible for:

1.       Providing timely notice to teachers, principals and parent-teacher organizations of an impending vacancy in the office of superintendent.

2.       Deciding whether to use professional search consultants or additional committees. (Attachment 2‑1)

3.       Establishing a timeline for all phases of the search process.

4.       Developing criteria for the superintendent position and instructing the screening committee regarding the same, including appropriate methods of screening, and legally permissible and impermissible screening criteria.

5.       Advertising the position.

6.       Establishing a procedure for receiving applications, corresponding with applicants, and ensuring the confidentiality of applications.

7.       Providing the screening committee with originals or a copy of all applicant materials on or before the closing date for application. If a large number of applications are anticipated, the screening committee may be given available applications one or two weeks before the closing date and be provided the remainder as they come in.

8.       Charging the committee on reasonable confidentiality of applicant materials.

9.       Establishing the date for the screening committee to report to the board. The screening committee should not require more than a month or less than 10 days for screening. Give the screening committee as much time as possible without doing harm to the overall search. The amount of time allowed is contingent upon several factors, but chief among them is the time remaining until June 30. The later in the search year that a board hires, the fewer the number of well qualified candidates on the market.

10.   Receiving, and giving consideration to, the report of the screening committee. The board is not required to hire from the recommendations of the screening committee. However, if the screening committee was responsible and did its work well, the committee's recommendations should receive serious consideration.

11.   Interviewing such candidates as the board sees fit.

12.  Hiring the superintendent and establishing the conditions of the contract.

            The board should not be expected to pay stipends to screening committee members for service on the committee.

 

SCREENING COMMITTEE RESPONSIBILITIES

            Screening may occur at three levels, and a committee may elect to do one, two, or all three processes: Paper screening, involving a review of resumes and other supporting materials; background checks, which include reference checks and employment histories; and interviewing, involving personal contact with the candidate.

The screening committee has the following responsibilities:

• Screen all candidates according to criteria established by the board. The committee may choose to establish its own criteria, but it must also observe the board’s general criteria.

• Employ any reasonable means it chooses to screen candidates. The committee cannot financially obligate the board without prior approval. For example, the committee may interview if it chooses, but the board must determine whether it will pay expenses incurred for committee interviews.
• Report its recommendations to the board on the date prescribed by the board.

            The board may assign additional responsibilities to the screening committee if it chooses and the committee may accept those responsibilities if it chooses. The above may seem like a formidable, time-consuming procedure to follow. It is, no doubt, time consuming, but the selection of a superintendent is one of the most important decisions that a board will ever make.

            KSBA provides comprehensive consultative services to boards and screening committees. The board, of course, must make the final selection.

 

TERM OF OFFICE

            With the exception noted in the following paragraph, Kentucky law requires the term of office for a school superintendent to begin on July 1 following his/her appointment. The appointment may be for a term of one, two, three, or four years. Most authorities recommend that the term should be longer than one year because many highly qualified candidates are unwilling to accept a one-year appointment. Another drawback to a one-year term is that it provides so little time for the superintendent to demonstrate his/her abilities and for the board to evaluate performance. After the completion of a superintendent’s first contract or after four years, whichever comes last, the board of education may, no later than June 30, extend the contract of the superintendent for one additional year beyond the current term of employment. Following employment, a superintendent must establish residency in Kentucky.

 

THE SUPERINTENDENT’S TWO MAIN ROLES

            The superintendent has two major roles ‑ executive officer of the school system and chief educational advisor to the board. As executive officer, the superintendent has a duty to carry out all policies and rules and regulations established by the board. The superintendent has day-to-day charge of the entire school system and coordinates the work of all system personnel. As educational advisor to the board, the superintendent should recommend policies to the board for its consideration and should advise and counsel the board on all educational matters. However, this does not mean that the board, usually comprised of lay citizens, should not seek information, guidance, and counsel from other sources.

 

FUNCTIONS OF THE SUPERINTENDENT

            A list of the duties of the superintendent would be endless. Kentucky law has specified some of the major duties of that office:

1. Meet with the board except when his/her own tenure, salary, or the administration of his/her office is under consideration.
2. See that the laws relating to the schools, the bylaws, rules and regulations of the Kentucky State Board of Education, and the regulations and policies of the district board of education are carried out.
3. Prepare, under the direction of the board, all rules, regulations, bylaws and statements of policy for approval and adoption by the board.
4. Have general supervision, subject to the control of the board of education of the general conduct of the schools, the course of instruction, the management of teachers, the discipline of pupils, and the management of business affairs.
5. Make all appointments, promotions, and transfers of principals, supervisors, teachers, and other public school employees. If a school has adopted school-based decision making, special rules and processes will apply to the selection and hiring of principals and other staff. See Chapter 10 for a detailed discussion on hiring personnel.

6. Exercise general supervision of the schools, examine their condition and progress, and keep himself/herself informed of the progress in other districts.
7. Prepare or have prepared all budgets, salary schedules, and reports required of the board by the state board of education.
8. Keep advised of the needs of the school system.
9. Receive and examine reports from teachers, school councils, and other school officers.
10. Make reports from time to time as directed by the board.
11. Be responsible to the board for the general condition of the schools

            In addition to these legal requirements, most authorities agree that the superintendent should continuously evaluate the schools and make recommendations for improvement, should  evaluate  the work of each staff member and make his/her findings available to the board, and should serve as the district’s representative to the public, keeping the community informed about the schools. In short, the superintendent should provide professional leadership for the school system.

 

POLICY MAKING vs. ADMINISTRATION

            The effective and efficient operation of a public school system depends on a harmonious and mutually satisfying working relationship between the board and the superintendent. Only when a spirit of good will and cooperation prevails in their relationship will the schools be administered optimally and the quality of education be maximized. It is frequently said that the board’s job is to make policies and the superintendent’s job is to administer the policies. While this is generally true, the separation of policy making from administration is not always clear-cut in practice. Although it is the board’s prerogative to make policy, this prerogative should not be exercised without first getting the professional advice and counsel of the superintendent. The board should give due consideration to the recommendations and proposals offered by the superintendent, evaluate them objectively, and accept or reject such proposals in a manner conducive to general harmony. Likewise, while the board should not involve itself in the details of administration, which it delegates to the superintendent, the board must insist that the superintendent keep it sufficiently informed so that the board can perform its oversight responsibility.

            The superintendent should expect and accept questions from the board regarding the operation of the schools. Demands and expectations of the board regarding operations should be made forthrightly and without apology and should be accepted by the superintendent in a manner conducive to general harmony. Only through understanding and acceptance of the separate roles can the district achieve its mission.

            Attachment 2-2 contains a list of parallel functions that should help clarify the division of effort between the board and superintendent. Keep in mind that the list is intended to be illustrative rather than exhaustive and that working in a spirit of cooperation and mutual respect is more important than adhering rigidly to the division of effort listed. For a similar list incorporating school council functions, please see Attachment 1 in Chapter 3.

 

EVALUATING THE SUPERINTENDENT

            One of the most important responsibilities of the board of education is evaluating the performance of the superintendent. Evaluation is not something that should occur once a year or when the superintendent's contract is up for renewal, but should be a continuous process. While there is no magic formula for making the evaluation easier, the board can make the process go more smoothly by following certain steps. For one thing, the superintendent should know in advance what he/she will be evaluated on and what process will be used; therefore, the superintendent and board should agree at the time of hiring on the major areas to be evaluated and the procedures to be used.

            Periodic evaluation conferences should be held during which a full and frank discussion of the superintendent's performance should take place. The board should inform the superintendent of the areas in which it believes he/she is doing an exemplary job and those where the board feels improvement is needed. Both parties should make suggestions for how to make improvements. Kentucky law requires that the superintendent be evaluated by a system developed by the local school board and approved by the state department of education. The guidelines for this evaluation are stated in KRS 156.101. Evaluation shall occur at least annually. The evaluation document is a public document and subject to the Open Records Act.

 

VACANCY PRIOR TO EXPIRATION OF CONTRACT

            If a vacancy occurs in the office of superintendent prior to the expiration of the term set by the board, the term expires on the date the vacancy occurs. The board may then appoint a superintendent for a new term that begins on the date of the new superintendent's appointment. A superintendent cannot resign his/her term and accept a new term from the same board of education prior to the expiration date of the present term. In the case of a vacancy in the office for an unexpired term, the board of education shall make the appointment so that the term will end on June 30. When a vacancy occurs during the period between a school board election and when the newly elected members take office, the position shall not be filled until the new members take office, but the board may appoint an acting superintendent to serve no more than six months. This appointment may be renewed once for a period not to exceed three months. A screening committee does not have to be established for the appointment of an acting superintendent.

 

REMOVAL OF A SUPERINTENDENT

            A superintendent may be removed for cause by a vote of four-fifths of the membership of a board of education and upon approval by the commissioner of education. If the board initiates the action, written notice setting out the charges for removal shall be made part of the board minutes and given to the superintendent. The board shall seek approval by the commissioner for removing the superintendent. The commissioner must investigate the accuracy of the charges made, evaluate the superintendent's overall performance during his/her appointment, and consider the educational performance of the students in the district. The commissioner must approve or deny the board’s request within 30 days of notification.

            The commissioner of education also may seek removal of a superintendent without the recommendation of a local board. In this avenue, the commissioner files written charges with the Kentucky Board of Education, stating that he/she has reason to believe a superintendent is guilty of immorality, misconduct in office, incompetence, willful neglect of duty or nonfeasance. Further, the state board, by a majority vote of its members, may bring charges without the recommendation of the commissioner. The superintendent involved must be provided with the written charges and notified of the date and place to appear before the state board to answer the charges. The superintendent may be represented by counsel and may subpoena witnesses. The decision of the state board may be appealed to the Circuit Court.

 

SUBORDINATE ADMINISTRATORS AND THE BOARD

            Subordinate administrators are responsible to their immediate supervisor and to the superintendent. Administrators have no direct administrative relations with the board and should be directly responsible to the superintendent or his/her designee. The board should give the superintendent the authority necessary to develop an efficient administrative organization and respect and observe his/her authority. This does not mean the board may not ever receive information or communicate with other district employees or administrators, but it does mean the board must be sensitive to the authority and position of the superintendent and not act in a way that undercuts, or gives the appearance of undercutting, the authority or position of superintendent.

 

Some controlling statutes and regulations in this chapter: KRS 160.352; KRS 156.101; KRS 160.290; KRS 160.350

 

 

ATTACHMENT 2‑1

ROLE OF PROFESSIONAL SEARCH CONSULTANT

 

            Listed below are services that can be provided by a professional search consultant. A board may have the consultant perform all of the listed services or only selected services. The consultant should only assist the board. The board makes all decisions in the selection process and ultimately hires the superintendent. Any action taken by a consultant should be at the direction and approval of the board, and the consultant should be given specific instructions regarding his/her role.

 

Establishing selection criteria

1. Conducts a workshop with the board on the search process.
2. Assists the board in identifying school and community needs.
3. Conducts interviews with staff and community members to gain their input and involvement.
4. Assists the board in translating educational needs into criteria for a superintendent.

 

Recruiting candidates

1. Prints and disseminates a recruitment brochure.
2. Advertises the position statewide or nationwide, as determined by the board.
3. Makes personal contact with qualified candidates.
4. Receives applicant materials and handles follow-up correspondence.

 

Screening candidates

1. Works with the local screening committee.
2. Paper screens all applicants.
3. Checks references of applicants.
4. Interviews applicants.
5. Turns over all applicant materials to the board.

 

Interviewing

1. Assists in developing an interview format.
2. Develops sample interview questions.
3. Recommends a system for evaluating interviews.

 

Superintendent's Contract

1. Provides relevant contract data regarding comparable salaries and benefits.
2. Advises on legal contract language.

 

Other

1. Recommends a process for handling press releases and public relations.
2. Writes follow-up letters to all applicants.

 

ATTACHMENT 2-2

 

Superintendent	Superintendent/Board Team	Board
●        Recommends policies to the board and executes those already established. ●        Holds others in the system responsible for execution of existing policies.	●        Regularly reviews existing policies (on board calendar) to determine any needs for change. ●        Discusses any new policies (agenda item), and their impact relative to district goals, as well as their meeting state and federal laws.	●        Approves policies after two readings (one, if emergency). ●        Holds superintendent responsible (through evaluation) for execution of all policies. ●        Leads district through establishment of appropriate policies.
●        Employs all school system employees, except board attorney, board secretary, board treasurer, who are officers of the board and are appointed by the board. ●        In filling vacancies in SBDM schools, the superintendent provides a list of candidates to the principal; the principal, in consultation with the council, selects the candidate to be employed by the superintendent; if the vacancy is for the principal position, the council selects the candidate to be employed by the superintendent.	●        Regularly reviews policies pertaining to employee hiring and employee evaluations (annual board calendar). ●        Holds discussions with school councils, which may include discussions relative to staffing needs to be considered by the superintendent/board team. ●        Reviews general job descriptions (annual board calendar) for positions in the district, to include support office positions. ●        In reviewing positions, job descriptions, team ensures that employees are evaluated against those position/job descriptions, relative to district goals.	●        Establishes all positions in the school district. ●        Determines the general qualifications for hiring of district personnel. ●        School councils determine the number of persons to be employed in each job classification, within the parameters of board budget; councils may not dismiss or transfer employees of the district. ●        Approves employee evaluation process. ●        Develops evaluation process for supt. (working with superintendent to do so); evaluates regularly; sets expectations for level of evaluations needed through this example. ●        Selects independent contractors for the district.
●        Proposes appropriate salary schedules.	●        Reviews data annually (board calendar) that compares district teachers' pay to other districts in the state, to neighboring states; if necessary, establishes priority for salary increases in budget planning.	●        Determines and adopts pay scales. ●        Initiates further review, research as needed on employee pay and compensation.
●        Assigns, directs, and supervises work of all employees (school councils assign staff time, but have no authority to direct or supervise personnel). ●        Ensures that employee evaluations throughout the system are timely, complete, well-documented, and in keeping with board policies.	●        Discusses general employee concerns and issues that may be addressed through board policy. ●        Regularly reviews (board calendar) policy covering employee evaluations to ensure that evaluations are effective and in keeping with district goals.	●        Determines principles for treatment of employees. ●        Approves policies regarding employee evaluations. ●        Leads district through example, relative to appropriate treatment of employees, through interactions with superintendents, others.
●        Secures approved textbooks and materials (school councils select textbooks and/or other appropriate materials necessary to support adopted school curriculum).	●        Annually review textbook funds available (board calendar - budget) to determine that school level needs are being met. ●        Through regular discussions with school councils, determines that all schools are teaching to state standards and objectives, and that curriculum is aligned appropriately.	●        Adopt textbooks to be used (school councils adopt textbooks and other materials to be used in their schools, from the adopted list approved by the board.) ●        Work with superintendent (through evaluation and other processes) to ensure that all schools are teaching appropriate content, and that all content is aligned to district and state standards.
●        Directs all district efforts toward student achievement goals as set at school, district, state, and federal level. ●        Keeps all employees (school and district) as well as board members updated on all changes that will direct efforts toward student achievement. ●        As chief executive of the district, is ultimately responsible for student learning success.	●        Holds regular discussions (regular board agenda) about student learning. ●        Holds regular discussions with school councils about student learning, and establishes new goals for the district as a result of these discussions (if necessary). ●        Keeps student learning at the forefront of all budget discussions, and adjusts the process accordingly, if needed. ●        Regularly reviews (board calendar) data related to student achievement (school, district, state, and federal levels); plans for necessary changes to reach levels of achievement for all students.	●        Leads district in setting expectations of high levels of achievement for every child in the district. ●        Holds superintendent responsible, through evaluation, for reaching school, district, state, and federal student achievement goals. ●        Advocates for changes at the state and federal level, as necessary to support higher achievement for all students. ●        Sets budget priorities, and approves final budget, based upon efforts that are necessary to bring all students to high levels of achievement.
●        Proposes an annual budget to the board.	●        Holds regular discussions about budget process (board calendar) that allows the process to be transparent and open to all in the community. ●        Sets priorities for spending of district dollars based upon regular review of data, discussions with school councils, progress reports brought before the board on district programs (board calendar), and other pertinent information.	●        Advocates for changes in budget dollars as needed at both state and federal level. ●        Leads the district in ensuring that the budget process is open and easily understood by all citizens. ●        Approves and adopts the annual budget.
●        Administers the budget after it is adopted and keeps expenditures within its limits. ●        Alerts board members to any issues that might negatively impact the budget in any way. ●        Ensures that all district staff, including principals, stay within budget spending; audits budget information regularly to ensure all staff is meeting district, state, and federal spending guidelines.	●        Regularly discusses student learning issues (board calendar and agenda items) that could or will impact approved budget or future budgets. ●        Keeps ongoing list of needs as they become available (and are confirmed as legitimate) that will impact budget, relative to student learning, facilities issues, other needs.	●        Approves budgeted expenditures. ●        Provides oversight of the budget on a monthly basis, and ensures that this information is easily understood and readily available to citizens for review. ●        Leads district in planning for big picture, outside of immediate budget needs (through community discussions, strategic planning and other means- these can be facilitated by KSBA).
●        Directs the accounting of all school funds and makes financial reports to the board. ●        Keeps focus on effective use of budgeted funds; holds staff responsible for same standards of efficient and effective spending.	●        Holds regular discussions (board calendar) about best use of district dollars. ●        Plans for regular process that will allow the district to benchmark against other districts in the state, as well as similar districts in the nation, to ensure that local district spending is in keeping with the rest of the state and country. ●        Readjusts budget as necessary, based upon that benchmarking of spending.	●        Adopts regulations for the accounting of school funds. ●        Leads the district in expectations that budget dollars will be spent effectively and efficiently; initiates actions as needed to ensure that this happens. ●        Holds superintendent accountable, through evaluation process, for proper and effective use of district funds.
●        Projects future financial needs of district.	●        Hears regular progress reports on district programs, facilities needs, and other items that could impact finances (e.g. - NCLB); these reports should be scheduled on the board calendar.	●        Decides upon tax levies and bond issue proposals as necessary to support valid district needs. ●        Advocates for critical budget needs at both state and federal level.
●        Initiates the process by which the facilities planning committee is selected and serves as interim chairperson is officially elected.	●        Can decide to ask for outside facilitation of LCP process.	●        Approves the facilities plan of the local planning committee, or reviews the plan, and returns it to the LPC for considerations of revisions.
●        Counsels the architect on general plans for each building constructed and/or renovated.	●        Receives regular updates (board calendar and/or agenda items) on new construction or renovations. ●        Holds all responsible for staying on budget for each project that is taking place in the district.	●        Selects and employs the architect. ●        Approves all necessary BG's required for each project taking place in the district after determining that that dollars are being used effectively, given budget that exists.
●        Assigns caretakers to all buildings and maintains general supervision over their work. The principal, from a list of applicants provided by the superintendent, selects persons to fill vacancies. ●        Holds all employees to high levels of expectations relative to proper building maintenance, use of funds spent on utilities, proactive maintenance, and safety awareness standards.	●        Discusses budget implications (board calendar or agenda item) of proactive maintenance, energy/ utility costs, safety concerns that may be costing the district extra dollars, and any other related school maintenance concerns; plans budget plans budget and other process accordingly. ●        Through regular discussions with school councils, determines that staffing positions are being used appropriately; determines that maintenance at school level is proactive and effective.	●        Decides the number of caretakers for buildings and general quality of care to be given, in keeping with high expectations for effective use of dollars and awareness of and adherence to safety standards. ●        School councils determine the number of persons to be employed in each job classification.
●        Responsible for administrative oversight of all schools and classes.	●        Holds regular discussions about overall effectiveness of all schools and classes (board calendar).	●        Establishes, through district graduation requirements, high level of expectations for all schools and classes.
●        Directs the classification, promotion, and graduation of pupils.	●        Receives regular reports (board calendar) about dropout rates, graduation rates, retention rates, and other pertinent student-related information; adjusts plans, programs, and budget as needed in recognition of pressing student needs.	●        Determines policies for school entrance and graduation requirements. ●        Initiates ways to regularly share student data and information with the community (community discussions, communications, etc.).
●        Directs the instruction, guidance, and discipline of all students.  School councils adopt policies on discipline and classroom management.	●        Through regular discussions with school councils, gains knowledge about effective school-level programs that are positively impacting student discipline.	●        Adopts district discipline code, which guides the district. ●        Has expulsion authority. ●        School councils have a role in determining pupil control, in keeping with district discipline code. ●        Directs superintendent regarding district-wide sharing of innovative discipline programs and other techniques.
●        Informs the community of the activities and progress of the schools.	●        Invites community groups, leaders, others to board meetings to hold discussions about student activities and progress in schools (board calendar).	●        Represents the community's attitude toward the kind of schools the community wants and needs. ●        Leads the district in setting expectations that all schools will serve all students well, and to the expectations of the community. ●        Holds superintendent accountable, through evaluation, for achieving expectations set by the board on behalf of the community.
●        Develops educational programs based upon the goals of the local board, the state board, and federal guidelines.	●        Through school council discussions, progress reports are made to the superintendent/board team, and discussions with the community establish goals that reflect the needs of students and community. ●        Hears regular implementation and impact reports (board calendar) relative to the district's improvement plan - which is in keeping with state and federal guidelines.	●        Sets educational goals for the district. ●        Holds superintendent accountable, through evaluation, for reaching those goals. ●        Adopts policies of the form and function of school improvement plans and their relationship to district planning and the district improvement plan. ●        Initiates the sharing of the district plan with the community on a regular basis.
●        Keeps the board fully informed of programs, problems, and progress.	●        Through regular discussions about all district issues and concerns, ensures that (within the control of superintendent and staff) there are no unexpected issues that arise to disrupt student progress.	●        Determines if programs are operating properly, if district dollars expended for those programs are well-spent, and if progress is being made toward reaching those goals. ●        Leads district expectations for open, honest discussion about progress towards goals, especially through superintendent evaluation.