Klein Waiver Letter Mills 2002

8/8/2019 Klein Waiver Letter Mills 2002

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In the Matterof the

Applicat ion of the MAYOR OF THECITY OF NEW YORK fo r the i ssuanceto JOEL I . KLEIN of a ce r t i f i ca tefor serv ice as a school d i s t r i c tadminis t ra tor .

The Mayor of the City of New York, the Honorable Michael R.Bloomberg, has se lec ted Joe l I . Klein to serve as Chancel lor ofthe Schools of the City school Dis t r i c t of the City of New York(the "Chancellor") , and has asked the Commissioner of Education(the "Commissioner") to i s sue Mr. Klein a school d i s t r i c tadminis t ra tor c e r t i f i c a t e .The Law.

The individua l occupying the posi t ion of Chancellor of theNew York City Schools serves as the super intendent of schoolsand the ch ie f executive of f i ce r of the New York City SchoolDis t r i c t . See Chapter 91 of the Laws of 2002, 12. EducationLaw 3003(1) requi res tha t any person serving as super intendentof schools must be e l ig ib l e fo r a school d i s t r i c t adminis t ra torc e r t i f i c a t e . Section 3003 (1) se t s for th the e l ig ib i l i t yc r i t e r i a :

No person ... sha l l . . . be e l ig ib le to thepos i t ion of superintendent of schools . . . whoi s not e l ig ib le for a super in tendent ' sc e r t i f i c a t e i ssued by the commissioner inaccordance with the following requirements :

a. He sha l l be a graduate of acol lege or unive rs i ty approved by thecommissioner and in addi t ion sha l l havecompleted s ix ty semester hours in


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graduate courses approved by thecommissioner; andb. At the t ime of h is appointmenteach sha l l have completed three years

o f ' teaching experience sa t i s fac tory tothe commissioner in publ ic or nonpublic schools .

8 NYCRR Part 80-2.4(a) fur ther spec i f i es the nature of thepreparat ion and experience tha t a candidate for ce r t i f i ca t ionmust possess:

(1) Preparat ion. The candidate sha l lhold a baccalaureate degree, based upon afour-year program of col legiate preparat ion,from a regional ly accredi ted higherin s t i tu t ion or from an in s t i tu t ion approvedor regis tered by the department, and sha l lhave completed in addit ion 60 semester hoursof graduate study and an approvedadminis t ra t ive/supervisory internship underthe supervis ion of a pract ic ing schooladminis t ra tor and of a representative of thesponsoring in s t i tu t ion of higher educat ion.Within the t o t a l program of preparat ion, thecandidate sha l l have been awarded a master ' sdegree. These 60 semester hours sha l linclude 24 semester hours of graduate studyin the f ie ld of school administrat ion andsupervision. An in ternship experiencecarrying graduate cred i t may be includedwithin the 60-semester-hour program. Oneyear of sa t i s fac tory ful l - t ime experience ina - school administrat ive or supervisoryposi t ion may be subst i tuted fo r thein te rnship .(2) Experience. Three years of teachingand/or administrat ive and/or supervisoryand/or pupi l personnel service experience inthe schools (N-12).

Notwithstanding these requirements, the Legislaturecontemplated tha t there may be instances where a candidate ,because of h is or her except ional background, may be qual i f i ed

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to serve as a superintendent , even though the candidate lacksthe prec ise preparat ion and experience required by law.Accordingly, the Legislature empowered the Commissioner to grantan exception to the prepara t ion and/or exper ien t ia l requirementsi f he f inds tha t the candidate has "exceptional t ra ining andexperience" . which i s the "subs tant ia l equivalent of suchrequirements":

The commissioner . . . may provide fo r theissuance of a ce r t i f i ca te as super intendentof schools to exceptional ly qual i f iedpersons who do not meet a l l of the graduatecourse or teaching requirements ofsubdivis ion one of th is sect ion , but whoseexcept ional t ra ining and experience are thesubs tan t i a l equivalent of such requirementsand qual i fy such persons for the dut ies of asuper intendent of schools. Education Law3003 (3) .

8 NYCRR 80-2.4(a) (3) provides the process fo r ce r t i f i ca t ion forsuch candidates:Exception to s ta ted preparat ion . TheCommissioner of Education, a t the request ofa board of education or board of cooperat iveeducat ional services , may provide fo r theissuance of a ce r t i f i ca te as school d i s t r i c tadminis t ra tor (superintendent of schools) toexceptional ly qual i f ied persons who do notmeet a l l of the graduate course or schoolteaching requirements in paragraphs (1) and(2) of th i s subdivis ion, but whoseexcept ional t ra ining and experience are thesubs tan t i a l equivalent of such requirementsand qua l i fy such persons for the dut ies of asuperintendent of schools. Prior to theappointment of any such individual , theboard must obta in the approval of thecommissioner. In i t s formal request to thedepartment the board must submit i t sresolut ion not ing approval of the request ,the job descr ipt ion, i t s ra t ionale forrequest ing such ce r t i f i ca t ion of theindividual , a statement ident i fying theexcept ional qual i f i ca t ions of the candidate ,the ind iv idual ' s completed appl ica t ion fo r

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cer t i f ica t ion , vi tae and o f f i c i a lt ranscr ip t s of col legiate study. Thece r t i f i ca te , i f issued, wil l be va l id onlyfor service in the d i s t r i c t making therequest . The commissioner wil l re fe r themater ia ls submitted by the board to ascreening panel consis t ing ofrepresenta t ives of the department andappropria te educational organiza t ions forreview and advice. 1

The Process.On July 29, 2002, Mayor Bloomberg se lec ted Mr. Klein asChancellor, and on July 30, 2002, he requested a school d i s t r i c tadminis t ra tor ce r t i f i ca te fo r Mr. Klein. He also provided Mr.

Klein ' s appl ica t ion for ce r t i f i ca t ion , toge ther with h iseducat ional t ranscr ip t s , resume, and other biographicalinformation required by law.Upon rece ipt of the Mayor's request and supportingdocumentat ion, I appointed an advisory panel pursuant to 8 NYCRR80-2.4(a) (3) to review the mater ia ls and make a recommendation

to me on the appl ica t ion. The members of tha t panel were:Richard Berman, President , Manhattanville College; EdmundCortez, President and CEO, National Center for Disabi l i tyServices; C. Tod Eagle, Dis t r i c t Superintendent , Monroe 2Orleans BOCES; Shel ia Evans-Tranumn, Associate Commissioner forNew York City School and Community Services , New York Sta teEducation Department; Alan Friedman, Director , New York Hall ofScience; Judi th Johnson, Superintendent, Peekski l l City SchoolDis t r i c t ; William Johnson, Superintendent, Rockville CentreSchool Dis t r i c t ; Stephen Jones, Superintendent , Syracuse CitySchool Dis t r i c t ; James Kadamus, Deputy Commissioner forElementary, Middle, Secondary and Continuing Education, New YorkState Educatipn Department; Stanley Litow, Vice President , IBM;and Nicholas Michel l i , Universi ty Dean fo r Teacher Education,1 While Education Law 3003(3) and 8 NYCRR 80-2.4(a) (2) s t a t e tha t the "boardof education" sha l l make the reques t to the Commissioner fo r asuper in tendent ' s ce r t i f i c a te , th i s provis ion must be read in the context ofthe recent sweeping changes made by the Legis la ture in the governance of NewYork City schools. Chapter 91 of the Laws of 2002, enacted on JUne 14 , 2002,t r ansfer red from the Board of Education to the Mayor of the Ci ty of New Yorkthe au thor i ty to appoint the Chancellor of the New York City schools and alsomade the Chancel lor di rec t ly accountable to the Mayor, a t whose pleasure theChancellor serves . Chapter 91 of the Laws of 2002, 12. In l i gh t of theseprovis ions , it i s proper t ha t the appl ica t ion for waiver be made by theMayor.

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City Univers i ty of New York. I also appointed Kathy A. Ahearn,Counsel and Deputy Commissioner fo r Legal Affa i r s , New YorkState Education Department, as Counsel to the panel , and CharlesMackey, Executive Coordinator, Office of Teaching, New YorkState Education Department, as Secretary to the panel .

On July 31, 2002, I provided the panel members with copiesof the Mayor's request and Mr. Klein ' s appl ica t ion . On AugustI , 2002, I convened the panel in New York City to hear i t sadvice on Mr. Klein ' s appl ica t ion for ce r t i f i ca t ion . The paneldebated Mr. Klein ' s qua l i f i ca t ions in re la t ion to such i ssues asthe urban superintendency, t rans fe rab i l i ty of experience fromone se t t ing to another , the spec ia l chal lenges of t ransformingthe New York City publ ic schools , and the ingredients ofl eadersh ip . After consider ing Mr. Klein ' s qua l i f i ca t ions , andthe job descr ip t ion for Chancellor, the panel recommended, by avote of 8 to 3, tha t I grant Mr. Klein a school d i s t r i c tadminis t ra tor ce r t i f i ca te .Analysis of Qual i f i ca t ions .

As a threshold matter , the law requi res t ha t a candidatefo r super in tendent hold a baccalaureate degree based on a fouryear program of col leg ia te preparat ion from an accredi ted highereducat ion i n s t i t u t ion . This requirement cannot be met bysubs t i tu t ion of o ther t r a in ing or exper ience. Mr. Kleinsa t i s f i es t h i s requirement, having received a B.A. in Economicsfrom Columbia Univers i ty , magna cum laude.-

The law also requi res tha t the candidate possess a master ' sdegree. Mr. Klein holds a J.D. degree from Harvard Law School,magna cum laude, which i s the equivalent of a master ' s degree.See 8 NYCRR 3. 54 (c ) . He therefore sa t i s f i es the master ' sdegree requirement .

Mr. Klein does not meet a l l of the graduate coursework o rexperience requirements . Specif ica l ly , Mr. Klein does not have24 semester hours of graduate study in school administrat ion andsupervis ion , nor does he have th ree years of teaching,adminis t ra t ive , supervisory o r pupi l personnel experience in theschools . He has not served an adminis t ra t ive /supervisoryin ternship. Accordingly, the ques t ion before me i s whether Mr.Klein ' s other prepara t ion and experience qua l i f i e s him fo r aschool d i s t r i c t adminis t ra tor ce r t i f i ca te to serve as Chancellorof the New York City publ ic schools .

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My analysis begins with a review of the knowledge ands k i l l s tha t Mr. Klein would have acquired had he fol lowed thet r ad i t i ona l preparat ion route to cer t i f ica t ion . A candidate whohas the required educat ional background of 24 semester hours ofcoursework in school administrat ion or supervis ion can beexpected to have cer ta in knowledge and sk i l l s as a product oftha t education. These include: an understanding oforganizat ional behavior, including basic principles of thes t ruc ture of an organizat ion and i t s po l i t i c s ; ins ight in tohuman re la t ions and how they affect an organizat ion; anunderstanding of s ta te and federal law re la t ing to education;principles of budgeting and f i sca l accountabil i ty; an ab i l i t y toengage in pol icy analysis a t the national , s ta te and loca llevels ; the ab i l i t y to use data in decision making; st rongcommunication sk i l l s ; a grasp of the governance s t ruc ture inwhich schools operate; and an understanding of curriculum andins t ruc t ion .

The requirement for three years of experience builds on thei n i t i a l academic preparat ion. From th i s experience, teacherscan be expected to learn about: the system in which they work,par t icu la r ly i t s resources, needs and the diverse backgrounds ofthe children and famil ies they teach; teaching s t ra teg ies ; andhow to handle and manage these re la t ionships with stakeholdersin the system. Administrators learn how to : lead; supportteachers ; support students to achieve high learning standards;recognize teacher qual i ty; bui ld and strengthen the re la t ionshipbetween the schools and the community a t large , including thebusiness community, parents, ins t i tu t ions of higher educat ionand other in te res ted stakeholders .

My analys is must also be informed by the unique nature ofthe par t i cu la r posi t ion a t i ssue . While the regula toryrequirements se t for th above provide some general s tandards,evaluat ing Mr. Klein ' s qual i f icat ions to serve as Chancellor i snot a matter of applying a simple formula. By making thecer t i f i ca t e ef fec t ive only in the d i s t r i c t which appl ies fo r i t ,8 NYCRR 80-2.4(a) (3) contemplates tha t the evaluat ion of acandidate ' s qual i f i ca t ions and the weight accorded them dependupon the par t i cu la r posi t ion and the school d i s t r i c t . The NewYork City School Dis t r ic t i s unl ike any other in th i s S t a ~ e inscope, complexity, governance and challenges fac ing i t .Moreover, it i s the only d i s t r i c t where the superintendent ,i . e . , Chancellor, actual ly has other superintendents repor t ingto him or her . I t therefore requi res par t icu la r sk i l l s to leadin New York City. Thus, I must evaluate a cer t i f i ca t e requestfo r Chancellor di f fe ren t ly from tha t of a superintendent in

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other dis t r i c t s . Moreover, as educat ional leadership evolves,the qual i f i ca t ions tha t might have recommended a candidate forChancellor in pas t years would not be the same as those tha twarrant an exception in 2002. Final ly , my analysis mustrecognize tha t , by enacting Chapter 91 of the Laws of 2002, theLegislature "intended tha t the Mayor se lec t the Chancellor,subjec t to Education Law 3003 (1) and 8 NYCRR 80-2.4 (a) . Ihave also considered the job descr ipt ion provided by the Mayoras par t of the context fo r my dec is ion.

The record before me revea ls many s t rengths in Mr. Klein ' sbackground tha t would qual i fy him for cer t i f ica t ion . During hisdis t inguished law career , Mr. Klein has successful ly led complexorganiza t ions in both the publ ic and pr iva te sec tors (theAnt i t rus t Division of the United Sta tes Department of Jus t i ceand Bertelsmann, Inc. ) . During h is tenure as head of theAnt i t rus t Division, Mr. Klein in i t i a ted severa l controvers ia lan t i t ru s t cases against prominent corpora t ions . Mr. Klein ledh is organizat ion through th is period of high s t ress and publicscrut iny and achieved resu l t s .

Throughout h is publ ic service , Mr. Klein has demonstrated as k i l l c r i t i c a l to the job of Chancellor: the ab i l i t y to iden t i fyand assess complex problems, and then develop and implements t ra teg ies to resolve them. Indeed, as a l i t i ga tor , Mr. Kleinwas t ra ined to confront multi-dimensional problems in mattersof ten outside h is experience, gather data and information,rapidly master the subject matter , and apply h is analy t i ca ls k i l l s to achieve a desired re su l t . As Deputy White HouseCounsel, Mr. Klein faced complex pol icy and s t ra teg ic issues ona nat ional sca le .

Mr. Klein ' s background suggests tha t he i s an ef fec t ivecommunicator, and tha t he i s experienced in human re la t ions -ab i l i t i e s necessary for a schools chance l lor . Mr. Klein hasused his communication sk i l l s to compile a winning record infederal and s ta te cour t proceedings. In handling complexan t i t ru s t matters , Mr. Klein would have created not only l ega ls t ra tegy, but also communication s t ra tegy to bui ld pol i t i ca l andpubl ic support for h is ac t ions . Mr. Klein has also served on theboards of several organizat ions, where ef fec t ive communicationand human re la t ions s k i l l s are key to success.

Creating and managing the budget for the New York Cityschool d i s t r i c t i s a s ign i f i can t leadership and managementchallenge. Mr. Klein does not have experience with a budget ofth i s nature . However, h is education and experience indica te

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tha t he understands budget and finance matters and is able towork in a posi t ion tha t demands f i sca l prudence andaccountabi l i ty . Mr. Klein ' s pos i t ions a t the Jus t ice Departmentand Bertelsmann, Inc. required him to manage a budget andoperate within i t . Mr. Klein ' s undergraduate record alsore f lec ts c o u ~ s e w o r k in f i sca l and f inancia l i ssues .

The Mayor's request reveals tha t Mr. Klein also has someknowledge of the needs and backgrounds of children and famil ies,a lbe i t not in the education context . Early in his career , Mr.Klein worked as a s t a f f at torney with the Mental Health LawProject and helped es tab l i sh community-based programs formental ly ill pat i en t s . He has remained act ive in his work onbehalf of the mentally ill. As mental i l lness s t r ikesindividuals regardless of gender, race, or socio-economicbackground, Mr. Klein ' s work in th i s arena provides him withsome knowledge of the needs of chi ldren and famil ies fromd i f fe ren t backgrounds and circumstances.

While h is profess ional record i s obviously one ofextraordinary accomplishment, it i s not a perfec t match for aschool d i s t r i c t adminis t ra tor cer t i f i ca t e . Mr. Klein does nothave knowledge of curriculum and ins t ruc t ion or assessment, nordoes he appear to have d i rec t experience other than as as tudent in the system many years ago tha t might provideins ight in to ef fec t ive teaching or the New York City publ icschool system and i t s stakeholders . Mr. Klein has some teachingexperience - having br i e f ly taught jun ior high school in the NewYork City publ ic schools and served both as an adjunct andv is i t ing professor a t Georgetown Law School . But th isexperience, a t bes t , i s equivalent to approximately one year offu l l - t ime teaching.

The most important task of Chancellor i s to educate a l lchi ldren to high standards. I see in Mr. Klein ' s education andcareer a personal commitment to high standards. In h is recentpublic statements, I hear a commitment to the well-being andsuccess of a l l the chi ldren . These two qual i t i es are of primeimportance in reaching my decis ion.

Conclusion.Accordingly, af t e r review of the recommendation and recordbefore me, it i s my judgment tha t , when viewed in i t s ent i re ty ,Mr. Klein ' s education, t ra ining, background and experience are

subs tan t i a l ly equivalent to the ce r t i f i ca t ion requirements se tfor th in law. As s ta ted in Matter of the Applicat ion of the

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Board of Education and Levy (January 14, 2000): "subs tant ia lequivalence need not mean tha t , i tem fo r i tem, [the candidate ' s ]qual i f i ca t ions match prec ise ly each regula tory requirement.Rather, it means tha t , when taken as a whole, in the judgment ofthe Commissismer, [the candidate ' s ] qual i f i ca t ions have preparedhim to do the job of super intendent of the New York Cityschools . " Despite h is lack of d i rec t experience in educat ion,Mr. Klein i s a nat ional leader with a st rong record of successin the publ ic sec tor which warrants an except ion to thece r t i f i ca t ion requirements. In the decent ra l ized school systemt ha t ex i s t s in New York City, Mr. Klein w i l l have the support ofa team of experienced educators who wil l report di rec t ly to himand help crea te and implement pol icy to educate the chi ldren ofNew York City.

Based upon the record before me, I grant Mayor Bloomberg'sreques t and di rec t tha t a ce r t i f i ca te fo r school d i s t r i c tadminis t ra tor be i ssued to Joe l I . Klein for service asChancel lor in the City School Di s t r i c t of the City of New York.

Dated: / ~ - I - //

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Richard P. Mil lsCommissioner of Education

Documents

Klein Waiver Letter Mills 2002