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Presidential leadership in education

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Title:
Presidential leadership in education rhetoric or reality
Creator:
Carpenter, Dick M ( Dick Michael )
Place of Publication:
Denver, CO
Publisher:
University of Colorado Denver
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English
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404 leaves : ; 28 cm

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Subjects / Keywords:
Presidents -- United States ( lcsh )
Educational leadership -- United States ( lcsh )
Education -- Political aspects -- United States ( lcsh )
Education and state -- United States ( lcsh )
Education and state ( fast )
Education -- Political aspects ( fast )
Educational leadership ( fast )
Presidents ( fast )
United States ( fast )
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bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )

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Bibliography:
Includes bibliographical references (leaves 371-404).
Thesis:
Educational leadership and innovation
General Note:
School of Education and Human Development
Statement of Responsibility:
by Dick Michael Carpenter.

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|University of Colorado Denver
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|Auraria Library
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All applicable rights reserved by the source institution and holding location.
Resource Identifier:
47826529 ( OCLC )
ocm47826529
Classification:
LD1190.E3 2001d .C37 ( lcc )

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Full Text
PRESIDENTIAL LEADERSHIP IN EDUCATION: RHETORIC OR REALITY
by
Dick Michael Carpenter II
BME, University of Colorado, Boulder, 1991
MA, University of Colorado, Colorado Springs, 1997
A thesis submitted to the
University of Colorado at Denver
in partial fulfillment
of the requirements for the degree of
Doctor of Philosophy
Educational Leadership and Innovation
2001
C


This thesis for the Doctor of Philosophy
degree by
Dick Michael Carpenter II
has been approved
by
John C. Pierce
Date
Rodney Muth


Carpenter, Dick Michael II (Ph.D., Educational Leadership and Innovation)
Presidential Leadership in Education: Rhetoric or Reality
Dissertation directed by Vice Chancellor John C. Pierce
ABSTRACT
Throughout the modem presidency, education has gained much attention in
Congress, the presidency, and the public. Unfortunately, the role of the president in
promoting educational change and in providing national leadership for American
education has been given scant attention in literature. In such a context, this study
focuses on (1) testing a rhetorical leadership hypothesis about presidential leadership
in education, which in turn would (2) enable presidential observers in education
circles and beyond to forecast the role and success of presidential leadership in
education and the consequent implications. The education rhetoric of Kennedy
through Clinton were collected and compared to actual presidential achievements in
education as measured through enacted legislation, executive orders, and vetoes.
Through this comparison, a "success ratio" for each president was calculated. The
ratios were then aggregated and conclusions drawn about the hypothesis related to
the modem presidency. With an aggregate ratio of 26.1%, this research confirms
scholarly opinions in substantiating the study's hypothesis: In the education policy
arena, modern presidents lead primarily through rhetoric. Presidential use of vetoes
and executive orders proved to be insignificant. The study also examined possible
influences on presidential leadership in education, including leadership models,
congressional skill, unified or divided government, and agreement between the
president and the public. Of the latter three variables, only congressional skill and
unified and divided governments provided the strongest explanations for presidential
rhetorical leadership in education. Transformationally, most presidents in this study
struggled to lead, and transactionally, results were mixed. Moreover, it seems to be
the rare leader who combines them effectively. The dissertation closes by revisiting
the rhetorical hypothesis and concludes that presidents lead rhetorically in education
because they choose to lead rhetorically. Defining successful presidential leadership
as the one with the most policies requires skillfully combining transformational
and transactional leadership through congressional and rhetorical skill in a unified
government. As this study illustrates, the last eight presidents appeared unable or
unwilling to do so in education and were left only with their rhetoric. However,
I
I
111


leading primarily through rhetoric may be the defining role for the education
president.
This abstract accurately represents the content of the candidate's thesis. I recommend
its publication. ^
Signed /oCut ~C s oc^cr____________________
John C. Pierce
IV


DEDICATION
To Mary, who sacrificed much.


ACKNOWLEDGEMENTS
My appreciation to Drs. Pierce and Guzman for their counsel, wisdom, and time.
And of course to Elohim, for grace.


CONTENTS
Tables....................................................... xv
CHAPTER
1. INTRODUCTION................................................. 1
2. LITERATURE REVIEW........................................... 17
The Presidency.......................................... 17
Presidential Responsibilities........................... 21
Structure of the Presidency............................. 23
Limitations of Presidential Leadership.................. 26
American Presidents and Education....................... 33
Tools for Presidential Leadership in Education........ 35
A Brief History of Presidential Leadership............ 42
3. METHODOLOGY................................................ 55
Hypothesis.............................................. 58
Methodological Framework................................ 59
Leadership............................................ 69
Subjects................................................ 82
Procedures.............................................. 82
Rhetoric.............................................. 85
Action................................................ 86
Vll


Aggregation............................................. 86
Data Sources............................................ 86
Analysis and Discussion................................. 87
The Process................................................ 88
4. JOHN KENNEDY.................................................. 93
1961 ..................................................... 95
1962 ..................................................... 97
1963 ..................................................... 97
Congressional Leadership................................... 99
Presidential and Public Agreement......................... 105
Divided or Unified Government............................. 107
Presidential Leadership................................... 109
Transactional.......................................... 109
T ransformational...................................... 110
Transformational and Transactional................... 112
5. LYNDON JOHNSON............................................... 114
1964 .................................................... 121
1965 .................................................... 123
1966 .................................................... 125
1967 .................................................... 125
vm


1968 ..................................................... 127
Congressional Leadership................................... 129
Presidential and Public Agreement.......................... 134
Divided or Unified Government.............................. 138
Presidential Leadership.................................... 140
Transformational........................................ 140
Transactional........................................... 141
Transformational and Transactional...................... 142
6. RICHARD NIXON.................................................. 144
1969 ..................................................... 150
1970 ..................................................... 151
1971 ..................................................... 153
1972 ..................................................... 154
1973 ..................................................... 156
1974 ..................................................... 157
Congressional Leadership................................... 159
Presidential and Public Agreement.......................... 162
Divided or Unified Government.............................. 164
Presidential Leadership.................................... 165
Transformational........................................ 166
IX


Transactional
167
7. GERALD FORD................................................... 168
1974 .................................................... 173
1975 .................................................... 173
1976 .................................................... 175
Congressional Leadership.................................. 177
Presidential and Public Agreement......................... 179
Divided or Unified........................................ 181
Presidential Leadership................................... 181
Transactional........................................... 181
T ransformational....................................... 182
Transactional and Transformational...................... 183
8. JIMMY CARTER.................................................. 185
1977 .................................................... 192
1978 .................................................... 192
1979 .................................................... 194
1980 .................................................... 195
Congressional Leadership.................................. 196
Presidential and Public Agreement......................... 203
Divided or Unified Government............................. 205
x


Presidential Leadership..................................... 207
Transformational.......................................... 208
Transactional............................................. 209
Transformational and Transactional........................ 210
9. RONALD REAGAN................................................... 211
1981 ...................................................... 219
1982 ...................................................... 220
1983 ...................................................... 222
1984 ...................................................... 224
1985 ...................................................... 225
1986 ...................................................... 226
1987 ...................................................... 227
1988 ...................................................... 228
Congressional Leadership.................................... 230
Presidential and Public Agreement........................... 235
Divided or Unified Government............................... 239
Presidential Leadership..................................... 240
Transformational.......................................... 241
Transactional............................................. 242
Transformational and Transactional........................ 243
xi


10. GEORGE BUSH................................................. 246
1989 .................................................... 251
1990 .................................................... 252
1991 .................................................... 254
1992 .................................................... 255
Congressional Leadership.................................. 257
Presidential and Public Agreement......................... 260
Divided or Unified Government............................. 262
Presidential Leadership................................... 263
Transformational....................................... 264
Transactional.......................................... 264
Transformational and Transactional..................... 265
11. BILL CLINTON................................................ 267
1993 .................................................... 274
1994 .................................................... 277
1995 .................................................... 277
1996 .................................................... 278
1997 .................................................... 280
1998 .................................................... 281
Congressional Leadership.................................. 283
Xll


Presidential and Public Agreement........................... 289
Divided or Unified Government............................. 291
Presidential Leadership..................................... 294
Transformational......................................... 295
Transactional............................................ 296
Transformational and Transactional....................... 297
12. CONCLUSION.................................................... 299
Education Success Ratios.................................... 302
Vetoes................................................... 304
Executive Orders......................................... 308
Congressional Leadership.................................... 312
Presidential and Public Agreement........................... 316
Divided or Unified Government............................... 318
Party Affiliation........................................... 324
Presidential Leadership..................................... 327
Transformational......................................... 328
Transactional............................................ 330
Transformational and Transactional....................... 332
Rhetoric and Reality........................................ 335
Rhetorical by Choice........................................ 338
xiu


Rhetorical Power
340
Recommendations for Further Study............. 343
Coda.......................................... 346
APPENDIX
A. PRESIDENTIAL RHETORIC......................... 351
REFERENCES............................................... 371


TABLES
Table
3.1 Legislative Success Rate by President, Eisenhower through Clinton... 84
4.1 Kennedys Education Success Ratio................................... 96
5.1 Johnson's Education Success Ratio................................... 123
6.1 Nixon's Education Success Ratio..................................... 152
7.1 Ford's Education Success Ratio...................................... 174
8.1 Carter's Education Success Ratio.................................... 193
9.1 Ronald Reagans Education Success Ratio............................. 221
10.1 Bush's Education Success Ratio....................................... 253
11.1 Clintons Education Success Ratio.................................... 276
12.1 Aggregate Education Success Ratio of Kennedy through Clinton........ 303
12.2 Aggregate Veto Use, Kennedy through Clinton.......................... 305
12.3 Presidential Goals and Vetoes, Kennedy through Clinton............... 308
12.4 Total Number of Goals compared to Total
Number of Executive Orders......................................... 309
12.5 Aggregate Executive Orders, Kennedy through Clinton.................. 310
12.6 Education Success Ratios and Congressional Leadership Summaries.... 313
12.7 Vetoes, Executive Orders, and Congressional Leadership.............. 315
12.8 Presidential-Public Agreement, Congressional Leadership,
Vetoes, Executive Orders, and Education Success Ratios............. 317
xv


12.9 Divided or Unified, Success Ratios, Agreement, vetoes,
Executive Orders, Congressional Leadership.......................... 320
12.10 Total Presidential Vetoes, Education Vetoes, and
DividedAJnified...................................................... 322
12.11 Aggregate Education Success Ratios and Party
Affiliation.......................................................... 324
12.12 Success Ratios, Agreement, Congressional Leadership,
Divided/Unified, Vetoes, Executive Orders, Party
Affiliation.......................................................... 325
12.13 Transformational Leadership by President............................. 329
12.14 Transactional Leadership by President................................ 331
12.15 Transformational and Transactional by President...................... 333
12.16 Presidential Leadership, Divided or Unified, Congressional Leadership,
and Education Success Ratios......................................... 336


CHAPTER 1
INTRODUCTION
I have been through it all. Rain don't always follow the thunder. Uncle Joe
Cannon
"When you ask people what's the most important issue heading into the 2000
presidential elections, education is at the top of the list" (Walsh, 1999b, p. 1). Indeed,
opinion polls show that Americans view education as the most pressing issue
confronting the nation (Broad, 2000). Three of the eleven modem presidents have
labeled themselves as education presidents (Anonymous, 1997b; Berube, 1991;
Donahue, 1994), and today even a cursory glance through education and non-
education newspapers, periodicals, and journals seems to point toward the
importance of education in the contemporary presidency. U. S. News and World
Report (Walsh, 1999b), ASEE Prism (Walsh, 1999a), Education Week (Johnston,
1999a), Phi Delta Kappan (Doyle, 1996b), Economist (Anonymous, 1997b),
America (Anonymous, 1996; Donahue, 1994), the Washington Post (Balz & Morin,
2000), The Insider (Fitzpatrick, 2000), and even People Magazine (Anonymous,
1999b) highlight the centrality of education in presidential and possible presidential
agendas for the new century.
Unfortunately, in spite of the importance of education, the role of the
president in promoting educational change and in providing national leadership for
1


American education has been given scant attention in the scholarly literature
(Keppel, 1995). This ignoring of presidential leadership in education is not without
its costs. The news media widely infers the impact of presidential leadership, calls
for presidents and potential presidents to outline their education vision, and
excoriates them when their plans failall based on little or no systematic evidence
that presidents can actually achieve their educational agendas in the contemporary
political context. Unfortunately, many scholars, presidential observers, and the
public at large fall into the same routine (Edwards, 1989).
Are these statements about the centrality of education too dogmatic
particularly when some scholars and presidents contend that foreign affairs is all that
really matters in the presidency (Matthews, 1996)? The answer seems to be a
resounding "No!" Light (1999) demonstrates that the majority of legislation sent to
Congress is domestic rather than foreign policy. Further, domestic issues provide the
cutting edge in presidential defeats; indeed, the White House devotes most of its
resources toward domestic affairs (Light). Among those domestic affairs receiving
presidential attention, education has increasingly gained in prominence.
One reason for the increasing prominence of education is the growing public
attention paid to it. Yet, as Fishel (1985) notes, presidents have also realized that
education is a fertile area for breakthrough policymaking. Some scholars, such as
Lewis (1992), welcome the increased role of presidents in education. Lewis posits
2


that only presidential leadership can galvanize the country to respect the talents of
all, the interdependence of all, and the rights of all through the education vehicle. In
doing so, the president must involve everyone in searching for more equitable ways
of financing education and in committing to the long-term investment of education.
The rise of education on the national agenda and the corresponding centrality
of the president in educational leadership would undoubtedly surprise 19lh century
Americans. Further, 19th century Americans would wonder at the centrality of
presidents in the governing of our country. Berman (1987) labels the contemporary
American idea of expecting the president to provide strong leadership as a distinctly
20th century phenomenon. Throughout most of the 18th and 19th centuries, balance
among the branches of government prevailed, and Congress dominated the policy
milieu (Rockman, 1984). However, by the turn of the century, the winds were
beginning to shift. As early as 1908, President Wilson recognized the growth of the
presidency, calling it the unifying force in a complex system (Bums, 1984). By 1990,
Neustadt (1990) labeled the transformation of exceptional actions into routine
practice a striking feature in presidential leadership. With Franklin Roosevelts four
terms, the president became the focus of American politics, leadership, and
government (Lemer, 1996; Neustadt, 1990). Today, the modem president stands
apart from his governmental partners due to the scope of his concerns, the
3


complexity of domestic and international issues, and the size of the executive
institutional apparatus (Skowronek, 1984).
The consequences of the growth of the presidency in American government
and society are profound (Neustadt, 1990). Presidents since Franklin Roosevelt have
dramatically influenced the lives of American citizens (Shogan, 1991), and
iL
throughout the latter half of the 20 century we have perpetuated this influence
(Cantor, 1995). Neustadt (1990) contends that, put simply, everyone expects the
president to do something about everything.
Despite such assertions, some observers continue to posit that presidential
leadership in education remains largely rhetorical (Berube, 1991; Finn, 1977),
meaning that presidents speak more about education than they actually accomplish.
Recognizing that the terms "rhetoric" and "rhetorical" carry various meanings, here
"rhetoric" is defined as communication or discourse (Woolf, 1981), as opposed to
action. Further, "rhetorical" in this study indicates presidential communication
without action or effect (Woolf, 1981).
An historical examination of presidents before Kennedy certainly shows
presidents to be rhetorical education leaders (Berube, 1991; Kaplan, 1984). For many
years, educational policies remained low-level issues on presidential agendas
(Berube, 1991; Finn, 1977; Halperin & Clark, 1990; Kaplan, 1984; Keppel, 1995;
Osborne, 1990). Presidents ignored education in favor of more glamorous issues,
4


such as foreign policy, national security, or the latest domestic hot issues or because
of the perceived lack of constitutional authority (Berube, 1991; Finn, 1977; Halperin
& Clark, 1990; Kaplan, 1984; Keppel, 1995; Osborne, 1990).
The first six presidents strongly supported education for nation building,
including a strong federal role and a national university (Berube, 1991; Keppel,
1995; Osborne, 1990). Jefferson in particular was the most educationally minded of
all of the founding fathers (Kaplan, 1984). However, much of his advocacy in
education occurred after his presidency (Berube, 1991).
Consistent with his egalitarian ideology but not quite aligned with his self-
made man persona, Jackson believed in greater access to education (Damron, 1990).
However, Pierce and Buchanan both vetoed education legislation claiming that
education was a states' rights issue (Osborne, 1990).
Perhaps reflecting his self-educated background, Lincoln opposed
government involvement in education while in the legislature and showed
indifference and opposition to education policy while president (Berube, 1991).
Grant, on the other hand, showed comparatively more interest in education while in
the White House with a special 1870 message to Congress, support for free public
schools (McAndrews, 1990), emphasis on education for blacks, calls for continued
land grants for schools, proposals for a national university, and support for a
5


constitutional amendment for equal educational opportunities (Thomas, 1967). In
addition, Grant created the Bureau of Education (Thomas).
Continuing Grants education direction, Hayes included education in his
inaugural address, and all four State of the Union speeches called for federal
education aid, national leadership in education since the local and state leaders were
not, and a strong education system for a strong nation (Thomas).
Garfield showed great interest in education (Berube, 1991). He advocated the
establishment of the Office of Education while still a legislator and in higher
education supported the liberal arts over agricultural education in colleges and
universities (Berube, 1991). The remainder of the 19th century presidents, Arthur,
Cleveland, Harrison, and McKinley paid only minor attention to education at best
with occasional references to federal aid to education in speeches (Thomas, 1967).
Consistent with party ideology, most of the Republican presidents at the
beginning of the 20th centuryRoosevelt, Taft, Harding, and Coolidgebelieved that
education was not a federal responsibility and exerted little leadership in educational
policy (Osborne, 1990). More surprising was Woodrow Wilson's only minor interest
in education despite his career as a scholar and university president (Berube, 1991;
Kaplan, 1984). Inconsistent with his party's beliefs, but perhaps more consistent with
his background, Herbert Hoover expressed a keen interest in education and favored
6


more of a federal role (Berube, 1991). As a Stanford graduate, Hoover saw and
articulated the value of education, both for the individual and for the nation.
Scholars seem divided on Franklin Roosevelt's record on and beliefs about
education. Berube (1991) and Kaplan (1984) purport that Roosevelt was not
particularly education minded, and Halperin (1990) contends that Roosevelt largely
ignored education. However, others posit that Roosevelt distinctively influenced
education through economic recovery programs, equal opportunity for education,
and the GI Bill (Appell, 1947; Boren, 1946). Moreover, beyond any doubt, Roosevelt
saw education as a vital tool in economic recovery (Appell, 1947; Boren, 1946;
Wallfisch, 1982).
While not typically considered a strong education president (Kaplan, 1984),
Truman left his mark in education in several ways, including the development of the
community college. Truman saw the growing role of education in the economy,
education's positive impact on social mobility, and began to pressure the federal
government to increase support for higher education (Berube, 1991; Kaplan, 1984).
Eisenhower saw little value in providing leadership in education and until the
Sputnik launch (Berube, 1991) sought to restrain the federal role in education (Kerr,
1983). Caught in the wave of attention on education in national security, Eisenhower
responded with the National Defense Act of 1958 (Berube, 1991; Kaplan, 1984;
7


Tener, 1987; Thomas, 1975a) and two other smaller pieces of education related
legislation (Berube, 1991; Thomas, 1983).
Most of the presidents examined in this studyKennedy, Johnson, Nixon,
Ford, Carter, Reagan, Bush, and Clintonalso received the same judgment as the
presidents before 1960; they led rhetorically. While on face value describing modern
presidential leadership in education as merely rhetorical may seem to ring true, little
systematic research examines the presidential role in education across multiple
presidencies (Keppel, 1995). At the same time that many such as Lewis (1992) call
for significant presidential leadership in education, others contend that presidential
leadership in education is largely rhetorical-all of this in an under-researched
context (Keppel, 1995) in which the public judges presidential performance and
success based on the achievement of the goals he himself sets (Brody, 1991).
To be sure, the convoluted structure of the presidency and the complex nature
of the American governmental system make it quite difficult to clearly define a
president's role in or even an opinion about a particular issue (Brendon, 1986). Of the
research in this area, much of it falls into one of two categories: case-studies of a
single president (DeLoughry, 1990; Finn, 1977; Hawley & Radin, 1984; Miles &
McIntyre, 1977; Osborne, 1990; Ponder, 1996; Ponder, 1999) or research into one
policy across multiple presidents (Broad, 2000; Chavez, 1975; Damron, 1990;
8


Davenport, 1982; Finn, 1981; Haydock, 1996Keppel, 1995 #592; Kerr, 1983;
Wilson, 1983).
In the context of the rise of education on the presidential and national
agendas, the great expectations for educational presidential leadership, and the
relative dearth of systematic, comprehensive research on presidential leadership in
education, this study focuses on (I) testing the rhetorical leadership hypothesis about
presidential leadership in education, which in turn would (2) enable presidential
observers in education circles and beyond to forecast the role and success of
presidential leadership in education and the consequent implications.
In this study, the education rhetoric of presidents Kennedy through Clinton is
compared to actual presidential achievements in education as measured through
enacted legislation, executive orders, and vetoes. Through this comparison, a
"success ratio" for each president is calculated to test the rhetoric hypothesis for each
president. The ratios are then aggregated and conclusions drawn about the hypothesis
related to the modem presidency.
Among scholars who have written on the presidency and education, the
general consensus seems to indicate that of the modem presidents, only two deserve
credit for providing substantive leadership, Johnson and Reagan (Berube, 1991;
Kaplan, 1984; Krause & Cohen, 1997). Krause goes on to grant "honorable mention"
to Kennedy, Nixon, and Carter.
9


However, the present study's methodology, findings, and conclusions diverge
from those scholars listed above, questioning whether any of the last eight presidents
achieved much at all in education. Instead, this research confirms the opinions held
by Finn (1977) and others in substantiating the study's hypothesis: In the education
policy arena, modern presidents lead primarily through rhetoric. Indeed, the
education success ratio of the last eight presidents, 26.1%, overwhelmingly supports
the study's hypothesis.
Moreover, when the two highest scores are removed and three-fourths of the
presidents since Kennedy are considered, the education success ratio plummets to
14.4%. When the aggregate score of 26.1% is compared to the overall legislative
success ratio of presidents, the educational ratio is even more indicting. For the same
period, the overall presidential success ratio is 71%. Thus, although presidents since
Kennedy have been able to realize nearly three-fourths of their articulated goals
overall, they could not achieve even a third of their education proposals.
In terms of executive leadership approaches in education, presidential use of
vetoes and executive orders proves to be quite insignificant. Education vetoes
represent a mere 3% of the vetoes cast, and over a 40-year period, presidents issued
only 18 education-related executive orders. Moreover, the executive orders issued
rarely extend beyond the confines of the executive branch and are largely
incremental in nature.
10


The study also examines possible influences on successes or shortcomings
(the difference between rhetoric and action) of presidential leadership in education.
This discussion includes Burns's (1978; 1984) and Hargrove's (1998) models of
leadership and several factors in the presidential leadership context, including
congressional skill, unified or divided government, and agreement between the
president and the public about education policy.
Of the latter three variables, congressional skill and unified and divided
governments provide the strongest explanations for presidential rhetorical leadership
in education. In the relationship between congressional leadership and education
success ratios, nearly every president who struggles to lead Congress achieves little
in education. In addition, while difficulty in leading Congress does not appear to
propel presidents toward issuing more executive orders in order to achieve, veto use
is highest among presidents with the lowest congressional leadership. Such a
phenomenon questions presidential scholarship that portrays modem presidents as
legislative leaders. Certainly presidents prepare and deliver legislative agendas and
push to realize those agendas, but the connection between veto use and congressional
leadership seems to indicate that Congress does at times take the lead in education
policymaking, leaving presidents with the defensive veto posture.
Even stronger than congressional skill is the connection between divided or
unified government and education success ratios. In every case, unified government
11


contributes to higher success ratios while divided government results in the lowest
ratios. Such findings affirm assertions by Edwards (1989) and others (Krause &
Cohen, 1997) that divided or unified government is a critical factor in presidential
leadership. However, the ratios in light of the status of government seem to indicate
that unified/divided is not the critical factor in presidential success. Rather, other
variables working with the status of government effect presidential leadership. In this
study, congressional leadership plays a notable role in mediating the status of
government.
When unified/divided government is compared to executive order issuance
and presidential/public agreement, little to no relationship seems evident. However,
as would be expected, presidents in divided governments tend to veto more
education legislation than those in unified.
An examination of the tools and machinations of presidential policymaking
inevitably, perhaps inherently, arrives at a discussion of the overarching domain of
leadership. Using Bumss (1978) model of transformational and transactional
leadership, the study considers the leadership of each president and then aggregates
the leadership to draw conclusions about the role of transformational, transactional,
and their combination.
Transformationally, most of the presidents in this study struggled to lead.
Most fundamentally, few seemed to hold and therefore could not articulate a vision
12


for education. Instead, their education rhetoric looked like incoherent lists of desired
policies and programs unconnected to a central ideology. Moreover, the lists
frequently contained education policy requests inconsistent with their overall policy
direction. Not surprisingly, without a central values base, it was not uncommon to
see these presidents waver on issues, sometimes widely. Finally, the goals and
strategies of these presidents represented little that could be considered transforming.
With both incremental policies and strategies, substantive, transformational-type
change would hardly have resulted.
Transactionally, the results are mixed. Only one president, Johnson,
substantively displayed the transactional leadership skills critical to achieving
success in Washington. Two presidents, Reagan and Clinton, displayed mixed
transactional leadership over their two terms, meaning that they successfully led
transactionally at times, but at others they did not or would not. The remaining five
presidents remain the standards of low transactional leadership. Either by neglecting
or attacking Congress, refusing to compromise or bargain, or displaying the inability
to persuade, these five presidents could or would not lead transactionally, thereby
essentially guaranteeing they would not achieve their educational goals.
If presidents struggle to lead either transformationally or transactionally, it
seems to be the rare leader who combines them by penetrating the system and
manipulating the government in politically effective ways and giving those
13


manipulations national meaning and constructive purpose (Skowronek, 1993).
Indeed, only one president combined both, Johnson, although this period of
combination eroded with the specter of the Vietnam War. When he did combine
these skills, his achievements in education were historic. For Reagan, who combined
transactional and transformational on a limited basis, the results were also limited.
Reagans successful focus of transactional and transformational leadership was on
the economy not social policies such as education. By the time education showed up
on his agenda, he was neglecting his transactional skills, relying primarily on his
transformational capacity.
Thus in the rhetorical leadership provided by presidents in education
policymaking, congressional skill, unified or divided governments, and presidential
leadership appear to explain differences among presidents and their educational
achievement. However, the reader must remember that these differences still exist
among presidents all with decidedly low success ratios.
If these examinations of congressional skill, divided or unified governments,
and presidential leadership explain anything, they reveal reasons behind the overall
rhetorical nature of presidential leadership in education. As this research illustrates,
most presidents throughout the last 40 years have combined low transformational
and transactional leadership with divided governments and poor congressional
14


leadership overall resulting in low success ratios and rhetorical educational
leadership only.
The dissertation closes by revisiting Finns (1977) assertion that largely
prompted this study. In doing so, that concluding discussion begins with a question:
Does the rhetorical nature of presidential leadership in education truly reflect
leadership or structural limitations, as examined in this study, or above all could the
26.1% success ratios indicate general presidential disinterest in education? If so, as
the closing discussion considers, the reason may be because of presidential priorities
and thus educations low priority status (Finn, 1977; Kaplan, 1984).
Yet, while Finn and Kaplans assertions may be true to some extent, the
rhetoric, energy, resources, and capital expended by presidents over the last 40 years
seem to demonstrate something other than simple negligence or low prioritizing.
Instead, it seems that presidents lead rhetorically in education because they choose to
lead rhetorically.
As such, this research may, in fact, support not one but two definitions of the
hypothesis. The new definition of rhetorical leadership introduced in the conclusion
interprets it as the explicit use of rhetoric to influence or sway people, decisions,
policies, or movements. As such, the presidents most effective role is not as policy
initiator or as policy implementor, but as policy preacher.
15


All presidents share the same potential ability to use the rhetorical powers of
their office to substantively sway and influence policy (Crockett, 2000). As Senske
(1996) and Skalka (1994) show, the bully pulpit can substantively influence state
and local policymaking. However, simply talking about an issue does not harness the
power of rhetorical leadership. Instead, rhetorical leadership gains its power from its
connection to the leaders vision, which grows out of the populations common
ethos, and also maintains consistency with overall presidential ideology and
direction. Presidents who use rhetorical leadership most powerfully must recognize
the inherent long-term nature of such leadership, as some presidents have
acknowledged (Davis, 1973; Noonan, 1995, p. 217).
Defining successful presidential leadership as the one with the most
policies requires skillfully combining transformational and transactional leadership
through congressional and rhetorical skill in a unified government. As this study
illustrates, the last eight presidents appeared unable or unwilling to exercise that
leadership in education and were left only with their rhetoric. However, in a country
of 127,000 separate educational institutions (National Center for Educational
Statistics, 1998) leading primarily through rhetoric may, in fact, be the defining role
for the education president.
16


CHAPTER 2
LITERATURE REVIEW
The Presidency
When I was a boy I was told that anybody could become President: Im
beginning to believe it. -Clarence Darrow
[In the presidency] the demand for greatness far exceeds the supply. Marc
Landy and Sidney M. Miklis
In the Machiavellian vein of the leader as the absolute key to the strength of
the state (Hargrove, 1998), for many Americans the presidency constitutes the most
important and fundamental point of identification with the political system (Berman,
1987; Chavez, 1975; DiClerico, 1995; Hirschfield, 1964a; Hogan, 1990; Lowi, 1981;
Neustadt, 1990; Polsby, 1973; Price, 1996). Greenstein (2000) believes the president
is of critical domestic importance, and Hirschfield (1966) even characterizes the
president as the leader of the entire free world.
However, Berman (1987) labels the contemporary American idea of
expecting the president to provide strong leadership as a distinctly 20th century
phenomenon. Throughout most of the 18th and 19th centuries, balance among the
branches of government prevailed, and Congress dominated the governmental milieu
(Greenstein, 2000; Rockman, 1984), but by the turn of the century, the winds were
beginning to shift. As early as 1908, President Wilson recognized the growth of the
17


presidency calling it the unifying force in a complex system (Bums, 1984). By 1990,
Neustadt (1990) called it a striking feature in presidential leadership, the
transformation into routine practice the actions once treated as exceptional. With the
modem presidency marked by Franklin Roosevelt's four terms (Greenstein, 2000;
Hogan, 1990), the president became the focus of American politics, leadership, and
government (Greenstein, 2000; Lemer, 1996; Neustadt, 1990).
Surrounded by the New Deal, World War Two, the entrepreneurial leadership
of FDR, and the United States ascension to a world and nuclear power there was a
quantum increase in the scope and influence of the chief executive, who became the
principal source of policy initiative. In addition, presidents began to make increasing
amounts of policy independent of the legislature, drawing on their sweeping
administrative powers and the executive office of the president, which provides the
president with the organizational support needed to carry out their expanded
obligations (Greenstein, 2000).
Several societal and technological changes perpetuated presidential
centrality. Advances in transportation, particularly transcontinental transportation
allowed presidents to stay in closer contact and remain more visible to the public
(Rockman, 1997; 1984). The growth and advances in communication technology
contributed to presidential power, centrality, and visibility (Rockman, 1997; 1984).
As communication technology advanced, the American media increasingly pointed
18


to the president as the source of political and moral leadership (DiClerico, 1995).
The rise of media attention contributed to a society of inveterate presidential
observers (Neustadt, 1990).
The general growth of the federal government also contributed to the rise of
presidential power (Light, 2000). Ragsdale (1997) notes that as the government
grew, so, too, did the presidency. In addition, with governmental growth came an
increase in congressional activity, which, in turn, created more autonomous
presidents seeking to ensure executive success (Ragsdale & Theis, 1997; Skowronek,
1993). Further, Berman (1987) and Lowi (1981) identify other related congressional
actions contributing to presidential growth. Both scholars contend that Congress
knowingly and unknowingly delegated responsibilities to the executive branch not
originally intended for the president, including legislative initiation and foreign
policy.
This does not deny that presidents themselves played a part in the growth of
the presidency. Indeed, the literature seems to indicate that presidents contributed
more than anything to the growth of presidential leadership. While it may be true that
most 18th and 19th century presidents, except for Lincoln and Jackson (Twohig,
1993), did little to expand presidential power, presidents since FDR greatly increased
the role of presidential leadership in American government (Davis, 1973; Neustadt,
1990; Polsby, 1973; Ragsdale & Theis, 1997). Even Nixon, who sought to make
19


government more efficient through program and agency consolidation, presided over
an expanded presidency (Osborne, 1990).
The growth of the presidency can best be seen in the dramatic expanse of the
Executive Office of the President (Ragsdale & Theis, 1997). Before Franklin
Roosevelt's administration, the president's staff often numbered less than thirty
(Ragsdale & Theis, 1997). However, beginning with the expansion of the executive
office in 1939, administrations have increased in size, scope, and autonomy
(Ragsdale & Theis, 1997).
In addition to expansion of the executive office, presidents have enjoyed
greater leadership roles in legislation, foreign policy, and war powers (Chavez, 1975;
DiClerico, 1995). Unlike 18th ad 19th century office-holders, contemporary presidents
now develop complete, integrated legislative proposals and packages at the
beginning of each congressional session and Congress works with that package
(Berman, 1987; Chavez, 1975; DiClerico, 1995). Such a role leads Neustadt (1990)
to label the president as "the great initiator" (p. 6) of legislation and policy.
Traditionally, presidents have always exerted more leadership in foreign
policy than in other policy areas, as Congress was logistically unable to do so.
However, through the avenue of executive agreements with other nations and
American involvement in the United Nations, presidents have dramatically increased
independence and power even in foreign policy. In war powers, presidents gradually
20


took greater power and leadership away from Congress in deliberate and sometimes
questionable ways (DiClerico, 1995). Most often, presidents exerted war power by
claiming a threat to national security, a situation not requiring congressional action.
Although Congress passed the War Powers Act to curb executive "abuses," the
resolution did little to change presidential behavior (DiClerico, 1995).
While these examples serve to illustrate remarkable growth in modem
presidential leadership responsibilities, a more comprehensive look reveals a list of
responsibilities of almost Herculean proportion. Such an examination has led some
scholars to question the ability of any individual to provide effective and successful
leadership (Cooper, 1996; Lowi, 1981; 1997; Rockman, 1984).
Presidential Responsibilities
While some characterize the central demands of the presidency as "not that
great" (Lowi, 1981, p. 24), others write that presidents address inordinate numbers of
responsibilities (Hirschfield, 1964b). Neustadt (1990) contends that, put simply,
everyone expects the president to do something about everything. If a conflict empts
anywhere on the planet, many interpret it as the personal fault of one man in
Washington. If the economy fueled by and involving hundreds of millions of citizens
happens into a downturn, one man can be held responsible. Several years ago when a
young mother drowned her children, Newt Gingrich blamed Bill Clinton (Cantor,
21


1995). In the aftermath of the 1992 Los Angeles riots, following the acquittal of the
police officers who beat Rodney King, some Americans blamed George Bush while
he blamed Johnson's Great Society policies. Indeed, Americans in some way have
come to expect the president to represent and take responsibility for a broad and
diverse spectrum of our public and sometimes our private lives (Cantor, 1995).
Basically, the president acts as two leaders, foreign and domestic (DiClerico,
1995). Further, he faces demands for leadership from numerous sources, including
executive officeholders, Congress, partisans, citizens, and foreign leaders of all
stripes (Neustadt, 1990). This means that at any given time, the president acts as
commander-in-chief, principal administrative officer, ceremonial head, keeper of
public conscience, party leader, and legislative architect (Reston, 1973).
In doing so, the president is expected to articulate goals that reflect his
philosophies, as well those of his party and the greater democracy (Bums, 1984;
Chavez, 1975). This requires that he must understand, cope with, and ultimately
master the political environment in order to propel the country toward desired ends
(Burns, 1984; Chavez, 1975) by devising and submitting budgets, managing the
executive branch, maintaining a healthy economy and national security, and
providing policy direction both independently and to Congress (Berman, 1987;
Ragsdale & Theis, 1997; Schurin, 1998).
22


While the scope of presidential policy direction gains much attention through
congressional debate, few realize that presidents routinely provide independent
policy leadership through executive orders and implementation in areas such as
banking, civil rights, abortion, education, foreign policy, military policy, and the
environment (Ragsdale & Theis, 1997). However, initiation represents only a portion
of the president's leadership role in policy. Of the three branches of government, the
executive branch remains the branch principally vested with implementation
responsibilities, a task of immense proportions (Chavez, 1975).
Structure of the Presidency
In order to provide leadership in so many areas, the president utilizes an
enormous executive branch. Under the auspices of the president, the executive
branch works as a tangled phalanx of departments, offices, and people ostensibly
organized in a structured hierarchy. Since Franklin Roosevelt founded the Executive
Office of the President in 1939 (Reston, 1973), the executive branch has exploded
into the largest and most complex federal entity, including 14 departments, 140
agencies, and 3 million civilian employees administering 1400 federal programs
(DiClerico, 1995; Light, 2000). While this bureaucracy implements policy, it also
plans most legislation sent to Congress by the president (DiClerico, 1995).
23


Over time, the workings of such a vast organization required presidents to
adopt a corporate style of leadership (Berube, 1991). Typically, a president provides
leadership to his various constituencies using the cabinet, central staff members,
executive offices, and outside advisors (DiClerico, 1995) through centralization or
delegation (Ponder, 1996). Some presidents, such as Franklin Roosevelt and
Kennedy, centralized much of the decision making in the White House (Neustadt,
1990; Schlesinger, 1973), while others, such as Eisenhower and Reagan, delegated
more freely (Murphy, 1973; Strock, 1998).
Outside advisors normally act on special committees or blue ribbon panels
appointed by the president to study a specific issue and provide decisions or policy
alternatives. While debate surrounds the actual part such committees really play in a
president's leadership, Kerr (1983) contends that the creation of a White House task
force tends to indicate presidential proclivity to act on a given issue. Further, in her
study on presidential committees, Kerr demonstrated that such advisory groups
greatly influence presidential decision-making. Despite the possible influence of
special committees, the "hired gun" nature of these advisory groups limits significant
contributions to presidential leadership.
More often, presidents utilize those players who operate in the executive
hierarchy, cabinet members, White House staff, and executive offices. How a
president structures and utilizes this staff dictates the level of leadership success he
24


enjoys (Neustadt, 1990). Ironically, the most visible and seemingly powerful of the
presidential staff, the cabinet, plays a remarkably limited role in presidential
leadership, a phenomenon common to all administrations since Washington.
Schlesinger (1973) writes that most presidents up to and including Franklin
Roosevelt paid little attention to the cabinet, and the practice varied little with the
modem presidents (Berman, 1987). If a president does use the cabinet for anything,
it tends to be as an advisory board (Berman, 1987), but because of "turfism"
practiced by cabinet members (Berman, 1987), and the tendency of cabinet
secretaries to "marry the natives" (Bums, 1984, p. 178), most presidents routinely
disregard cabinet use (Benze, 1985b; Berman, 1987; Polsby, 1973; Schlesinger,
1973).
Moreover, due to an inability to control the executive bureaucracy, which
often develops an ideology hostile to presidential ideology, or the highly politicized
nature of a particular policy, presidents centralize decision making in the central
White House staff (1985a; Benze, 1985b; Lowi, 1981; 1985; Ponder, 1996). This
central staff usually includes a chief of staff, any number of special advisors and
counselors, usually the secretary of state, and perhaps the secretary of defense
(Berman, 1987). While this can be an efficient way of achieving desired ends, such a
structure ignores the strength of diverse ideas, as demonstrated in the Bay of Pigs
25


incident, and can also lead to disastrous consequences, such as Watergate (Berman,
1987; DiClerico, 1995; Ponder, 1996).
Central clearance represents a mixture of delegation and centralization
(Ponder, 1996). Beginning with Nixon, the practice of central clearance as a
leadership practice grew in use. Presidents use central clearance as another
alternative to advisory panels, cabinets, or White House staffs. In practice, central
clearance requires all proposed policy and legislation to be approved by a central
agency, usually the Office of Management and Budget (DiClerico, 1995). Under
Nixon and Reagan, the Office of Management and Budget (OMB) acted as the
central clearance agency (Bell, 1988; U.S. News and World Report, 1973), while
Carter used the practice less, preferring to work out the details himself (Hertzberg,
1995).
Limitations on Presidential Leadership
Unfortunately, as many scholars contend, the structure of various offices,
departments, and agencies within the executive branch may, in fact, accomplish little
in helping the president exert significant leadership in American government. These
scholars point to inherent systemic limitations, contemporary roadblocks, and
inconsistent expectations that practically guarantee presidential mediocrity, if not
failure, and ineffective, unproductive governmental stalemate. Moreover, as noted
26


earlier, the immense executive structure may actually impede meaningful
presidential leadership.
In discussing presidential limitations, one ought to bear in mind that political
scientists and presidential scholars perpetually emphasize presidential limitations and
de-emphasize the strengths of the office (Alsfeld, 1995; Sanchez, 1996). However,
presidents themselves frequently articulate the points raised by these scholars
(Twohig, 1993). Further, far from a modem presidential phenomenon, such
presidential protestations have come from office holders since the nation's genesis
(Twohig, 1993).
Generally, limitations on the presidency include Congress, structures outside
of the federal government, party politics, foreign governments, executive
bureaucracy, geographic diversity, ethnic diversity, growth of independence in
politics and politicians, lack of party dependence, decline of party power,
fragmentation in government, and separation of powers between federal branches
(Neustadt, 1990; 1997; Rockman, 1984). This rather imposing list can be categorized
conceptually into 4 groups of limitations: constitutional/structural,
executive/bureaucratic, party politics, and public opinion.
In public opinion, the president faces a number of remarkable
inconsistencies. Regularly, Americans at once talk one way and expect to be
governed in a completely different way (Will, 1984). Hargrove (1998) represents
27


American attitudes toward government as philosophical conservatism and
operational liberalism, a phenomenon illustrated by a general desire for smaller
government philosophically and a larger government operationally for social
programs. Moreover, Americans tend to express a desire for a strong government in
foreign policy and a weak one for domestic affairs (Will, 1984). For presidents, such
inconsistencies significantly limit the ability to sense direction, build consensus, and
provide meaningful leadership around central values.
While party politics plays a central role in American government, a
significant discussion of the evolution of parties is beyond the scope of this paper.
However, several aspects of party politics deserve attention in a discussion of
presidential limitations. At one time, strong parties provided the president invaluable
support in the form of clear ideology, seemingly limitless resources, a loyal voter
base, and certainty in congressional roles and roll calls (Burns, 1984). With the
growth of independence in politics and politicians, lack of party dependence, and
party fragmentation, presidents find themselves no longer able to effectively exert
leadership through this arena (Bums, 1984; Neustadt, 1990; Shogan, 1991).
As discussed earlier, the executive bureaucracy represents one of the most
frustrating limitations for presidents (Bums, 1984). Truman once said, "I thought I
was the president, but when it comes to these bureaucrats, I can't do a damn thing"
(Berman, 1987, p. 99), and shortly after taking office, Kennedy exclaimed, "I agree
28


with you, but I don't know if the government will" (Berman, 1987, p. 99). Benze
(1985a; 1985b) specifies the sheer size and complexity of the bureaucracy and
bureaucratic resistance as the principal bureaucratic barriers to effective presidential
leadership.
Benze goes on to state that bureaucratic resistance stems from civil service
entrenchment and regulations. The average length of civil service in the executive
branch is 17 to 25 years. In such a span, civil servants can survive as many as 6
different administrations. Consequently, bureaucrats come to regard presidents as
temporary and often develop anti-president ideologies (Benze, 1985a; 1985b; Lowi,
1981). Likewise, Shull and Garland (1995) state that executive agencies possess
considerable discretion apart from presidential influence. However, Shull and
Garland also blame poorly defined presidential directives and a lack of presidential
interest in policy implementation for bureaucratic intransigence.
In 1807, Jefferson penned a letter to John Dickinson of Pennsylvania
complaining of the limitations of the office. Two months after he penned the letter,
the frustration produced a severe reoccurrence of a migraine headache, forcing him
to remain confined in a dark room for several weeks (Twohig, 1993). Much of
Jefferson's frustration resulted from his inability to overcome constitutionally
imposed structural limitations (Twohig, 1993), and those same frustrations plague
modem presidents. At the heart of the matter lies the divided government. Although
29


commonly defined as separation of powers, the three branches of the American
government, and in particular the legislative and executive, actually share power
(Berman, 1987; Bums, 1984; DiClerico, 1995; Neustadt, 1990). While the distinction
may seem rather fine, the pragmatic implications are quite messy.
The legislative/executive relationship tends to be characterized by stalemate,
paralysis, and fragmentation (Bums, 1984), such that no single branch dominates
(Berman, 1987). While the founding fathers intended this, the implication for
presidents means that generating the kind of leadership, policy coherence, and
direction demanded of modem presidents is an awesome task (Rockman, 1997;
1984). Under the system of divided government, modem presidents must bring
together a highly decentralized and unwieldy executive branch with a loose
collection of "guerilla militias" (Burns, 1984, p. 188) in Congress in an environment
dominated by individuals consumed by politics, perceptions, ambitions, rewards,
deprivations, and other questionable behaviors (Bums, 1984). The American public
compounds this with the tendency to elect a Congress controlled by the party
opposite that of the president, thereby hamstringing presidential leadership (Berman,
1987; Price, 1996).
The two-term limit also represents a significant structural limitation. As Will
(1984) notes, the two-term limitation makes the second term an immediate lame
duck term and takes away presidential power and influence. Term cycles only add to
30


and emphasize the lame duck syndrome. DiClerico (1995) and Schlesinger (1973)
articulate the widely recognized cycle of influence in which presidents succeed in
exerting more power and leadership during the first term (usually in the first year)
than during the second. Rockman (1984; 1997) and Shurin (1998) add to the term
cycle syndrome the observation that a president suffers from decreasing influence,
usually during the second term, when he gains most in leadership experience and
effectiveness.
In response to these structural limitations created by a divided government,
scholars have debated various solutions to alleviating the perpetual government
logjam. The most often discussed ideas include removing the two term amendment,
limiting the president to a single 6 year term, and restructuring the government to
resemble a parliamentary structure (Berman, 1987; Bums, 1984; DiClerico, 1995;
Will, 1984). While these ideas remain fodder for political scientists and presidential
scholars, in 1980 the House of Representatives held hearings on a constitutional
amendment giving Congress the power to designate up to 50 offices in the executive
branch while retaining power in each branch. In other words, a congressman or
congresswoman would serve in the executive branch while retaining his or her seat
in Congress (Berman, 1987). This amendment sought to aid in cooperation and in the
more efficient and effective development and execution of policy. While it made for
31


an interesting discussion, this naive notion died under "separation of powers"
scrutiny (Berman, 1987).
Above all, the preceding illustrates that the presidency is too big and too
complex for amateurs (Neustadt, 1990). The incumbent should be an experienced
and extraordinary politician and leader (Neustadt, 1990), as Grant admitted (Twohig,
1993) and Carter demonstrated (Hertzberg, 1995). However, even the most
experienced and regarded presidents performed like amateurs. Many forget the low
lights of Franklin Roosevelt's presidency: the Supreme Court packing scheme, labor
related violence, severe recession, unsuccessful attempts to purge foes in his own
party, and a significant conservative comeback in 1938 (Cooper, 1996).
Truman's accomplishments stand as some of the greatest in history, but his
domestic policy legislative record was decidedly unimpressive (Davis, 1973).
Eisenhower may have served at an unprecedented time of peace and prosperity, but
domestic and foreign policy in 1960 looked very much the same as it did in 1952
(Shannon, 1973). In Kennedy's Bay of Pigs and summits with Kruschev, Johnson
and Vietnam, Nixon and Watergate, Carter and practically everything, Reagan and
the deficit, Bush and "the vision thing," and Clinton and healthcare (among many
things), history demonstrates that even the "professionals" fail in presidential
leadership (Lerner, 1996). Perhaps Truman was correct when he said, "The president
32


should not worry about what people think of him in history. He must make the best
decisions possible and let history take care of itself' (Ostar, 1991a, p. 21).
Nevertheless, despite the limitations and failures, presidential leadership in
American government and society is profound (Neustadt, 1990). Presidents since
Franklin Roosevelt have dramatically influenced the lives of American citizens
(Shogan, 1991), and throughout the latter half of the 20th century Americans have
perpetuated this influence (Cantor, 1995). Presidents and presidential candidates
continue to promise and seek to implement broad programs, Congress demands more
from the president and the executive branch, and citizens look to the president for
leadership in policy areas ranging from national security to internet pornography. In
the modem presidency, one of those policy areas that has gained increasing attention
is education.
American Presidents and Education
If you think education is expensive, try ignorance. Derek Bok
I think the world is run by C students. A1 McGuire
The rise of education on the national agenda and the corresponding centrality
of the president in educational leadership would undoubtedly surprise 19th century
33


Americans. Historically, few presidents exercised distinctive and wide-ranging
educational leadership (Berube, 1991). For much of the nation's history, educational
policies remained low-level issues on presidential agendas for various reasons
(Berube, 1991; Finn, 1977; Halperin & Clark, 1990; Keppel, 1995; Osborne, 1990).
Presidents ignored education in favor of more glamorous issues, such as foreign
policy, national security, or the latest domestic hot issues or because of the lack of
constitutional authority (Berube, 1991; Finn, 1977; Halperin & Clark, 1990; Keppel,
1995; Osborne, 1990). Instead, Congress tended to provide more leadership in the
federal role in education (Halperin & Clark, 1990).
However, since Franklin Roosevelt, presidential interest in education has
grown steadily in intensity. Over the last 50 years, presidents gradually became more
aware of national and international pressures to shape educational policies (Berube,
1991) and that they were tactically well situated to exert influence over education
(Thomas, 1983). More than many political actors presidents can shape education
policy, but along the way they face various roadblocks to effective educational
leadership.
As discussed earlier, presidents face many limitations to effective leadership,
and the arena of education is no different. While many call for strong presidential
leadership in education, Americans overwhelming express a desire for local control
over schools (Berube, 1991). In education legislation planning and implementation,
34


the president and his executive agencies frequently disagree on everything from
purpose to implementation (Bell, 1988; Tener, 1987). Further, presidents face
formidable difficulties in establishing policy coordination and accountability when as
many as 13 departments and 20 agencies administer education programs (DiClerico,
1995). Consequently, not only is education policy unplanned and inconsistent,
America has the habit of fighting the same policy wars repeatedly. Hardly a decade
passes without a proclamation of crisis in education followed by pronouncements,
media hype, press conferences, commissions, and presidential speeches all followed
by a quiet subsiding of concern (Bums, 1984).
Tools for Presidential Leadership in Education
In such a context, presidents typically lead in education in three ways:
through rhetoric, action, or both (Berube, 1991).
Rhetorical Leadership. In American democracy, the president must unite
himself with the confidence of the people in order to lead effectively (Light, 1999),
for it is this relationship between the president and the people that has given the
office its power and importance (Cornwell, 1965; Edwards, 1989; 2000; Ragsdale &
Rusk, 1999). Central to this relationship is the president's skill as a rhetorical leader.
Through rhetorical leadership, presidents define, refine, and articulate national
values and goals (Cantor, 1995; Denton & Hahn, 1986). From this perspective,
35


rhetorical leadership is viewed as an activity of communication between the
president and the people, the adjusting of ideas to people and people to ideas; for
human ideas, issues, and interests are always in conflict and in need of definition,
compromise, and negotiation (Denton & Hahn, 1986).
Such communication relies on interaction between leader and followers.
Presidents operate within a pluralistic society of organized and competing interests.
As a result, they exercise leadership by building governing coalitions from discrete
groups and interests (Edwards, 2000; Seligman & Covington, 1996). Presidents
develop proposals around which coalitions can form and then induce others to join.
Potential coalition partners accept or reject the presidents offers, thereby deciding
whether to follow the president. That gives them influence over what the president
proposes and what the president offers in inducements to join (Seligman &
Covington, 1996).
Rhetorical leadership entails communication, both verbal and written (1985a;
Smith & Smith, 1985b), that seeks to (1) articulate the chosen direction, goals, and
values, and (2) mobilize support for the chosen direction. In the first purpose,
presidents outline the proposed course of action. Often, this is conveyed through
speeches (Reagan, 1989; Sickels, 1974), such as State of the Union addresses, or
through written agenda documents, such as platform statements and letters to
Congress (Denton & Hahn, 1986; Marshall, 1985). While some discount the power
36


of such communication, Schattschneider (1960) characterizes such leadership as
supremely important.
In the second purpose, presidential communication is primarily a persuasion
tool, usually aimed at mobilizing the public to persuade Congress to support a
presidential proposal (Denton & Hahn, 1986; Edwards, 2000; Smith & Smith,
1985a). Recognizing that public support represents the underpinnings of presidential
leadership of Congress, as Congress finds it difficult to deny the legitimate demands
of a president with popular support (Edwards, 1989), a president constantly
endeavors to obtain the public's support for himself and for his policies (Davidson,
1984; Edwards, 1989; Kernell, 1984; Sickels, 1974).
Discerning public opinion around an issue plays a significant part in
successful rhetorical leadership. Presidents do not suddenly open the eyes of the
public and move them in directions they oppose. Presidents must sense the prevailing
opinions and craft policies within that ethos (Seligman & Covington, 1996).
Action. Separate from communication, presidents effect change primarily
through legislation, executive orders, or vetoes (Quirk, 1984).
Legislation. With the emergence of the modem Rooseveltian presidency
(Hogan, 1990), presidents assumed the role of legislative leader and began to invest
heavily in ways of improving their ability to win Congressional approval for desired
legislation (Foley & Owens, 1996). Pre-modem presidents took an interest in
37


Congress--as the Constitution and political realities requiredbut they were not
expected to act as legislative leaders of Congress. Thus, Congress paid only marginal
attention to the president's legislative proposals (Foley & Owens, 1996). Not
surprisingly, the annual presidential message to Congress was little more than a shot
in the air without practical result.
Beginning in 1921 when Congress gave the president broad legislative
powers, presidential efforts aimed at Congress increased in order to win approval for
major legislative proposals formulated by the president (Foley & Owens, 1996).
After 1932, legislative leadership became more serious business as it became
accepted by the president and Congress that the president would submit detailed
legislative proposals with which Congress would work (Foley & Owens, 1996).
In the contemporary presidency, collaboration with congressional leaders and
regular contact between the White House and members of Congress is routine
(Davidson, 1984; Sickels, 1974). Presidents invest vast resources in an effort to lead
Congress, recognizing that their overall success is closely tied to their success as a
leader in Congress (Light, 1999). For their part, the modem Congress watches the
president closely, looking for signs of his interest and leadership on legislation
(Light, 1999). A majority of Americans (55%), too, approve of a stronger presidency
over Congress (Cantril & Cantril, 1999). Even some presidential scholars, a group
not commonly known for their optimism regarding the potential for effective
38


presidential leadership, acknowledge that presidential leadership of Congress meets a
need Congress rarely has been able to fulfill on its own (Davidson, 1984; Edwards,
1989; Jones, 2000). It is little wonder, then, that political scientists have long called
the president the chief legislator (Davidson, 1984). Nevertheless, the legislative route
can be politically expensive for presidents by depleting their limited amount of
capital, leading some to pursue more executive-type options, such as executive
orders (Krause & Cohen, 1997).
Executive Orders. One of the most seemingly invisible but ubiquitous policy
activities of the president is the executive order (Ragsdale & Theis, 1997). An
executive order is a presidential directive that requires or authorizes some action
within the executive branch but still contains a strong policy component (Mayer,
1999). Executive orders are equivalent to law and although they are not addressed
explicitly by the constitution, it is generally recognized that they are legitimate
presidential prerogative (Krause & Cohen, 1997).
Executive orders provide presidents with a vehicle to bypass Congress in the
event that they are unsuccessful in achieving their legislative goals (Krause &
Cohen, 1997). Presidents have used executive orders to establish policy, reorganize
the executive branch, alter administrative and regulatory processes, affect how
legislation is interpreted and implemented, and take whatever action is permitted
within the constitutional or statutory boundaries (Mayer, 1999). Executive orders
39


afford the president the ability to make quick and efficient policy decisions without
consultation from Congress or from the public, allowing presidents to exert
bargaining pressure on Congress to enact legislation more favorable to the White
House (Krause & Cohen, 1997).
With the autonomy to act unilaterally on key policy matters without the
consent of Congress, executive orders give the president a freer leadership hand
(Mayer, 1999; Ragsdale & Theis, 1997). Throughout history, presidents have
established agendas and promulgated policies of all kinds through the signing of
executive orders (Light, 1999; Ragsdale & Theis, 1997). Presidents use executive
orders to implement many of their most important policy initiatives. Examples of
orders with sweeping effect include the establishment of the Executive Office of the
President, the internment of Japanese Americans, integration of the armed forces,
and affirmative actions regulations (Mayer, 1999).
While presidents issue executive orders throughout their presidencies for
various reasons, they are more likely to issue them if they face overwhelming
opposition in Congress (Foley & Owens, 1996; Krause & Cohen, 1997; Light, 1999)
or if they face low levels of public approval (Mayer, 1999). Scholars describe this
use of executive order as the primary policy tool as inherently short-sighted because
of its development within the White House confines and its autocratic nature (Foley
& Owens, 1996; Krause & Cohen, 1997; Light, 1999; Ragsdale & Rusk, 1999).
40


However, several presidents have used executive orders to contribute to significant
educational change, such as school desegregation.
Veto. The president's third leadership tool is veto power (Davidson, 1984;
Light, 1999). The veto looms large as an institutional advantage that powerfully
affects policy and policy agendas of all participants (Bond, Fleisher, & Krutz, 1996;
Crockett, 2000; Denton & Hahn, 1986; Kingdon, 1976; 1984; Thurber, 1996). The
Constitution gives the president a veto upon acts of Congress, and the veto's use or
threatened use remains a favorite presidential tool (Bond et al., 1996; Jones, 1983;
Sickels, 1974; Thurber, 1996).
While some characterize the veto as a negative tool (Bond et al., 1996; Burns,
1978; Edwards, 2000; Sickels, 1974), others contend that the veto is not merely a
negative tool (Davidson, 1984). By using the veto consistently with articulated goals,
the president can deny poor or undesirable legislation (Bond et al., 1996; Crockett,
2000). However, Bond, Fleisher, and Krutz (1996) assert that scant evidence exists
that vetoes or threats of vetoes can be used positively.
Presidents veto legislation for various reasons, but modern presidents most
often veto legislation on policy grounds and when the Congress is controlled by the
president's opposing party (Bond et al., 1996). Because presidents in such a context
are unable to dissuade the opposition majority from passing legislation they oppose,
presidents must resort to the veto (Bond, et al.). For example, Reagan pocket vetoed
41


the Education Consolidation and Improvement Act because he did not like certain
amendments, such as those dealing with indian and migratory children, the
unwarranted intrusion on executive authority, and regulations on state and local
education agencies (Congressional Quarterly Almanac, 1984). Related to public
opinion, presidents who enjoy greater agreement with the public on major issues,
veto less (Bond, et al., 1996). Presumably, such a phenomenon stems from
Congress's reluctance to oppose a president who is in agreement with the public
(Bond, et al.).
Like most of his other resources, the president must consider carefully the use
of the veto. As Neustadt (1990) asserts, every decision the president makes effects
later attempts at leadership. Thus, presidents who tend to use the veto liberally tend
to endure difficult relations with Congress and poor legislative success (Bond et al.,
1996).
A Brief History of Presidential Leadership
Historically, presidents have exercised these leadership tools in education
sporadically. Unlike popular presidential policy areas such as foreign affairs, by and
large, most presidents viewed education as a means of achieving some other goal and
saw little value beyond the specific goal(s). The founding fathers stressed education
as a tool for strengthening democracy and perpetuating citizenship (Berube, 1991;
42


Keppel, 1995). Presidents during the Reconstruction saw education as a vehicle for
absorbing and assimilating immigrants (Keppel, 1995) but failed to connect
education to economic growth (Berube, 1991). However, as America evolved from
an agricultural, to an industrial, to a technological society, presidents came to see the
economic and sociological implications of education (Berube, 1991; Keppel, 1995),
periodic though the interest was. With the technological advances beginning during
World War II, presidents clearly recognized and supported the link between
education and the work force (Berube, 1991). At times, presidents viewed education
as right in and of itself (Keppel, 1995), but this view sat on shaky ground. Indeed, 35
years after Franklin Roosevelt proposed education as a right, the Supreme Court
ruled it a privilege rather than a right (Berube, 1991).
As a result of these various limitations and presidential opinions of education,
modem presidents varied in their support of education. Roosevelt, Eisenhower, and
Reagan generally opposed a federal role in education, while Truman, Kennedy,
Johnson, Nixon, Carter, Bush, and Clinton supported a federal role (Berube, 1991).
As noted earlier, due to the convoluted structure of the presidency and the
complex nature of the American governmental system, clearly defining a president's
role in or even an opinion about a particular issue can be difficult. However, closer
examination of presidential behavior and rhetoric often reveals sentiments and
desires quite different from policy outcomes (Brendon, 1986). The following
43


discussion examines various presidents and their roles in and beliefs about education,
as well as their leadership in education. In addition, the discussion lays an historical
foundation for an examination of presidential leadership in education since 1960.
Founding Fathers. As Keppel (1995) and Landy and Miklis (2000) reveal,
Washington (1789-1797) strongly supported education for nation building. In
addition to advocating for a national system of education, a national university, and
West Point (Osborne, 1990; Thomas, 1967), the first president left money in his will
to build a college (Keppel, 1995; Thomas, 1967) and devoted two lines of his
farewell speech to the importance of education (Thomas, 1967). Like Washington,
Madison (1809-1817), Monroe (1817-1825), and John Quincy Adams (1825-1829)
all advocated for a national university and a stronger federal role in education,
including a Constitutional amendment devoted to education (Berube, 1991; Landy &
Miklis, 2000; Thomas, 1967).
Jefferson (1801-1809) was the most educationally minded of all of the
founding fathers (Kaplan, 1984). However, much of his advocacy in education
occurred after his presidency (Berube, 1991). Jefferson saw education as a tool for
strengthening democracy and submitted an amendment for a national education
system. In addition, in his eighth message to Congress he proposed using the
Treasury surplus to improve education (Thomas, 1967). Nevertheless, while arguing
44


for a stronger federal role in pre-collegiate education, his efforts remained half-
hearted due to a belief in constitutional limitations (Berube, 1991; Thomas, 1967).
In higher education, Jefferson provided significant leadership, but in this too
he accomplished more after his presidency. While in office he weakly advocated for
a national university and signed bills to establish West Point and to appropriate land
for colleges (Berube, 1991). Following his presidency, Jefferson established an
educational plan for the state of Virginia that became a model for many states who
sought to establish a system of public schools (Berube, 1991). As the founder of the
University of Virginia, Jefferson did much to further higher education (Berube,
1991; Keppel, 1995; Osborne, 1990), although he tended to believe in higher
education for only a select few (Damron, 1990).
While the first six presidents believed in education for the success of the
United States, the issue of Constitutionality always plagued them, and none provided
strong educational leadership while in office (Thomas, 1967). The Constitutional
questions were not lost on Congress either, who repeatedly rebuffed any attempts by
the presidents to create a federal education presence (Thomas).
Antebellum. Civil War, and Reconstruction. With the push for westward
expansion that dominated the national landscape during the early 1800s came the
rise of anti-government sentiments. As a result, the idea of national control of
education waned, and few presidents following the first six provided educational
45


leadership or paid attention to the issue (Thomas, 1967). One exception came in the
unlikely source of Andrew Jackson.
Consistent with his egalitarian ideology but not quite aligned with his self-
made man persona, Jackson (1829-1837) believed in greater access to education
(Damron, 1990). Jackson's ideology also created a movement to make education
more practical, particularly higher education. Led by Justin Morrill, Jackson's
supporters crafted multiple pieces of legislation to involve the federal government in
support of higher education institutions of this kind. However, Pierce and Buchanan
both vetoed the Morrill Acts claiming that education was a states' rights issue
(Osborne, 1990; Thomas, 1967).
In Lincoln (1861-1865), Morrill finally found a president willing to sign the
land grant legislation (Osborne, 1990), but Lincoln's involvement in this legislation
did not extend past signing the bill with no comments (Berube, 1991; Kaplan, 1984;
Thomas, 1967). Indeed, perhaps reflecting his self-educated background (Berube,
1991), Lincoln opposed government involvement in education while in the
legislature and showed indifference and opposition to education policy while
president (Berube, 1991).
Grant (1869-1877), on the other hand, showed comparatively more interest in
education while in the White House. In a special 1870 message to Congress and
various other speeches, Grant expressed support for education as a national issue. He
46


supported free public schools (McAndrews, 1990), emphasized education for blacks,
urged continued land grants for schools, called for a national university, and stumped
for a constitutional amendment for equal educational opportunities (Thomas, 1967).
In addition, Grant created the Bureau of Education (Thomas).
Continuing Grants education direction, Hayes (1877-1881) included
education in his inaugural address and all four State of the Union speeches (Thomas,
1967). In these speeches Hayes called for federal education aid, national leadership
in education since the local and state leaders were not providing it, and emphasized a
strong education system for a strong nation (Thomas, 1967).
Garfield (1881), too, showed great interest in education (Berube, 1991). A
former teacher himself, Garfield advocated the establishment of the Bureau of
Education while still a legislator (Berube, 1991) and called for federal aid to
education in his inauguration speech (Thomas, 1967). In higher education,
undoubtedly reflecting his own education, Garfield supported the liberal arts and saw
little value in agricultural education in colleges and universities (Berube, 1991).
The Office of Education, which Garfield advocated, was quickly forgotten,
the victim of a profound lack of interest (Kaplan, 1984). Its downgraded successors
became backwater agencies responsible for collecting statistics and generating
credible but largely ignored reports on the condition of education (Kaplan).
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The remainder of the 19th century presidents, Arthur (1881-1885), Cleveland
(1885-1889, 1893-1897), Harrison (1889-1893), and McKinley (1897-1901) paid
only minor attention to education at best with occasional references to federal aid to
education in speeches (Thomas, 1967).
1900-1932. Consistent with party ideology, most of the Republican
presidents during this period- Roosevelt (1901-1909), Taft (1909-1913), Harding
(1921-1923), and Coolidge (1923-1929)believed that education was not a federal
role and exerted little leadership in educational policy (Osborne, 1990; Thomas,
1967). In higher education specifically, Keppel (1995) notes that Theodore
Roosevelt saw little value in a liberal education.
More surprising was Woodrow Wilson's (1913-1921) only minor interest in
education, despite his career as a scholar and university president (Berube, 1991;
Kaplan, 1984). As president of the United States, Wilson gave only one education-
related address (Keppel, 1995) and expressed skepticism about the federal role in
education (Osborne, 1990). Also surprising, although he played only a small part,
Wilson supported two vocational bills related to higher education, Smith-Lever of
1914 and Smith-Hughes of 1917 (Berube, 1991).
Inconsistent with his party's beliefs, but perhaps more consistent with his
background, Herbert Hoover (1929-1933) expressed a keen interest in education and
favored more of a federal role (Berube, 1991). As a Stanford graduate, Hoover saw
48


and articulated the value of education, both for the individual and for the nation.
Before the all-consuming affairs of the Great Depression, Hoover appointed a
national advisory commission on education to consider a national education policy
(Berube, 1991). This commission recommended a stronger federal role in education,
and Hoover eagerly concurred. To structure this increased role, Hoover prepared to
elevate the Office of Education to cabinet rank before the onset of the Great
Depression and the decline of his influence and eventually his presidency (Berube,
1991).
1932-1960. Scholars seem divided on Franklin Roosevelt's (1933-1945)
record on and beliefs about education. Berube (1991) and Kaplan (1984) purport that
Roosevelt was not particularly education minded, and Halperin (1990) contends that
Roosevelt largely ignored education. Others posit that Roosevelt distinctively
influenced education through economic recovery programs, equal opportunity for
education, and the GI Bill (Appell, 1947; Boren, 1946). Wallfisch (1982) states that
Roosevelt believed in equal opportunity for education, going so far as to call it a
right. Indeed, in his last State of the Union address, Roosevelt called education a
right and at the end of the message said he would send a special education message
to Congress. However, he died before doing so (Thomas, 1967).
The opinion that Roosevelt was interested in education may have stemmed
more from Eleanor Roosevelt's influence than from a firmly held personal belief
49


(Goodwin, 1995), but Roosevelt's rhetoric and actions seem to indicate support for
educational ideas (Appell, 1947; Boren, 1946). Beyond any doubt, Roosevelt saw
education as a vital tool in economic recovery (Appell, 1947; Boren, 1946; Thomas,
1967; Wallfisch, 1982). Numerous recovery programs included education
components, such as the CCC, NYA, and WPA, and some targeted education and
educators directly (Appell, 1947; Boren, 1946; Thomas, 1967; Wallfisch, 1982).
Higher education specifically drew attention in Roosevelt's programs. The
National Youth Administration provided the first student aid funds to higher
education on a national scale (Brubacher & Rudy, 1976; Osborne, 1990). This
program aided students from 1935 to 1943, finally eclipsed by the GI Bill (Blair,
1999; Clark, 1998; Haydock, 1996; Kiester, 1994; VanEyck, 1983). In the GI Bill,
Roosevelt saw another tool to meet social ends. To increase access to higher
education, protect and fuel the economy, and repatriate thousands of soldiers and
sailors, Roosevelt strongly supported the Servicemen's Readjustment Act, or GI Bill
(Blair, 1999; Clark, 1998; Haydock, 1996; Kiester, 1994; Osborne, 1990; Wallfisch,
1982). This bill was so significant, many scholars identify it as an historical
landmark in higher education history (Blair, 1999; Brubacher & Rudy, 1976; Clark,
1998; Haydock, 1996; Keppel, 1995; Kiester, 1994; Lucas, 1994).
While not typically considered a strong education president (Kaplan, 1984),
Harry Truman (1945-1953) left his mark in education in several ways, including the
50


development of the community college. As the only modem president not to attend
college, Truman seemed an unlikely candidate to express interest in education, but
throughout his life Truman greatly respected education and the educated individual
(Brubacher & Rudy, 1976; Keppel, 1995; Lucas, 1994; 1991a; Ostar, 1989; 1991b).
Like Lincoln, Truman was largely a self-educated man, a description stemming from
having read all 3000 books in the Independence public library (Gradus, 1995).
Continuing Roosevelt's idea of education as a right, Truman also saw the growing
role of education in the economy, education's positive impact on social mobility, the
role of education in reversing discrimination, and began to pressure the federal
government to increase support for higher education and school buildings (Berube,
1991; Kaplan, 1984; Thomas, 1967).
While early in his presidency Truman paid more attention to teacher and
classroom shortages (Tener, 1987), higher education gradually drew more of his
notice. Truman began his focus on higher education by appointing a commission to
explore the country's higher education needs (Berube, 1991; Ostar, 1991a; 1991b), a
commission that developed a report closely aligned with Truman's own beliefs. The
commission called for increased access to higher education, expansion of federal
involvement, greater diversity, community college development, and student aid for
the poor (Ostar, 1991a; 1991b).
51


Shortly after the commission submitted its report, Truman sought to provide
higher education experiences for women, minorities, the poor, and other
underrepresented groups (Thomas, 1967; Vaughan, 1983). Although he remained
lukewarm on the idea of student aid generally (Tener, 1987), Truman saw this as a
valuable vehicle for helping underrepresented groups attend colleges or universities
(Osborne, 1990). Truman's belief in greater access and more practicality in higher
education also led to his idea of and support for the community college (Ostar,
1991a; 1991b; VanEyck, 1983).
For Dwight Eisenhower (1953-1961) personally, education provided him
with the opportunity to involve himself in one of his favorite activities, football
(Ambrose, 1983; 1995; Brendon, 1986). Even his education at West Point left much
to be desired, other than sports (Ambrose, 1983; Brendon, 1986). Some speculate
that his own education shaped his lack of enthusiasm for it, a lack of enthusiasm
displayed even while president of Columbia University (Ambrose, 1983; Brendon,
1986). As president of the United States, Eisenhower saw little value in providing
leadership in education (Thomas, 1967) and until the Sputnik launch (Berube, 1991)
sought to restrain the federal role (Kerr, 1983).
Caught in the wave of attention on education in national security, Eisenhower
responded with the National Defense Act of 1958 (Berube, 1991; Kaplan, 1984;
Tener, 1987; Thomas, 1967; Thomas, 1975a) and two other smaller pieces of
52


education-related legislation (Berube, 1991; Thomas, 1983). In keeping with his
conservative leaning, Eisenhower expressed support for these bills while also stating
a desire for the federal legislation to be temporary (Berube, 1991).
Reflecting his moderate views, Eisenhower was not a hard and fast ideologue
on education matters (Tener, 1987). The proposals he endorsed were actually
progressive, but they were offered in response to public interest not partisanship
(Tener). If Eisenhower portrayed conservatism in education, such as restraining
federal involvement in education, it grew out of a loyalty to fiscal and budgetary
discipline more than anything else (Tener), although he did spend significantly more
on education in 1955 than Roosevelt did in 1940 (Brendon, 1986; Thomas, 1983).
Like Truman, Eisenhower dealt with higher education issues by establishing
a special commission (Rivlin, 1961). However, unlike Truman, and in keeping with
his own hidden-hand techniques (Ambrose, 1983; 1995; Brendon, 1986; Greenstein,
1982), Eisenhower controlled the members of the committee so as to get the results
he wanted (Kerr, 1983). Mysteriously, Eisenhower did little with the commission's
results beyond making general recommendations (Kerr, 1983; Rivlin, 1961). In fact,
Eisenhower's involvement in higher education was mixed at best and limited to the
higher education provision within the National Defense Education Act (Davenport,
1982; Osborne, 1990; Tener, 1987; Thomas, 1967; Wilson, 1983).
53


As this history illustrates, presidential leadership in education prior to
Kennedy was sporadic at best and generally inconsequential, aside from the GI Bill,
the Morrill Act, and NDEA 1958. However, as Chapter 4 indicates, Kennedy began a
trend in which education grew to become a national issue, eventually acting as a
defining issue in presidential elections.
54


CHAPTER 3
METHODOLOGY
There are three kinds of lies. Lies, damned lies, and statistics. Benjamin
Disraeli
We must use all available weapons of attack, face our problems realistically
and not retreat to the land of the fashionable sterility, learn to sweat over our
data with an admixture if judgment and intuitive rumination, and accept the
usefulness of particular data even when the level of analysis available for
them is markedly below that available for other data in the empirical area. --
A. Binder
The convoluted structure of the presidency and the complex nature of the
American governmental system make clearly defining a president's role in or even an
opinion about a particular issue quite difficult (Brendon, 1986). In education
specifically, understanding presidential leadership is further confounded by little
systematic research that examines the presidential role across multiple presidencies
(Keppel, 1995).
Of the research in this area, much of it falls into one of two categories: case-
studies of a single president (DeLoughry, 1990; Finn, 1977; Hawley & Radin, 1984;
Miles & McIntyre, 1977; Osborne, 1990; Ponder, 1996; 1999) or research into one
policy across multiple presidents (Broad, 2000; Chavez, 1975; Damron, 1990;
Davenport, 1982; Finn, 1981; Haydock, 1996; Keppel, 1995; Kerr, 1983; Wilson,
1983).
55


Further, research on the presidency tends to be less quantitative than research
on other political institutions. Because the personality and character of each
individual occupying the oval office and each presidents governing strategy play
such a large part in understanding the politics of the presidency, many presidential
scholars tend to concentrate on questions about the personalities, power, and
leadership of specific presidents (Mayer, 1999) through in-depth case studies, which
they view as the most appropriate method of analysis (Bond et al., 1996). The small
sample of presidents and a lack of quantitative measures of some key variables also
hinder statistical analysis of the presidency (Bond et al.).
The study of presidential-congressional relations is the exception to the
qualitatively dominated presidential literature as it is easier to quantify the study of
that relationship than others (Bond et al.). Over 50 years ago, Congressional
Quarterly, Inc. began quantitatively measuring various aspects of the presidential-
congressional relationship, including presidential support by parties and coalitions,
policy area scorecards, and legislative success ratios. Likewise, armed with the
concise data provided by Congressional Quarterly and other similar sources and
services, political scientists and presidential scholars began using quantitative
research methods to examine the presidential-congressional relationship and other
aspects of the presidency, including communications, management, and major public
policy areas.
56


In the connection between education, leadership, and the presidency, the vast
majority of the research has been qualitative in nature. From policy process to
education funding, scholars have predominantly relied on case studies, meta-
analysis, and historiography to draw conclusions usually about a single presidency.
While these studies have contributed greatly to the understanding of process or of
single presidencies, making generalizations, predictions, or conclusions about
presidential leadership in education from single cases, no matter how rigorous the
studies, is clearly inappropriate. More generally, the consequence of such trends in
presidential scholarship is a literature that minimizes the connections between the
president's formal powers and broader explanations of presidential activity (Mayer,
1999).
Moreover, many observers such as Lewis (1992) call for significant
presidential leadership in education while others contend that presidential leadership
in education is largely rhetorical-all of this in an under-researched context (Keppel,
1995) in which the public judges presidential performance and success based on the
achievement of the goals he himself sets (Brody, 1991; Clark & Amiot, 1983).
In the context of educations rise on the presidential and national agendas,
great expectations for educational presidential leadership, and the relative dearth of
systematic, comprehensive research on presidential leadership in education, this
study focuses on (1) testing a rhetorical leadership hypothesis about presidential
57


leadership in education, which in turn would (2) enable presidential observers in
education circles and beyond to forecast the role and success of presidential
leadership in education and the consequent implications.
Hypothesis
This study examines presidential leadership in education by testing a
commonly held hypothesis articulated by Finn (1977) and others (Berube, 1991)
about presidential leadership in education. This study systematically examines the
presidential role in education by testing the common assertion that presidential
leadership in education is largely rhetorical. Some scholars contend that due to
structural, political, and Constitutional limitations, presidents provide limited
domestic leadership and once in office find that foreign affairs provides an attractive
and viable venue for demonstrating and practicing leadership (Ambrose, 1987; Finn,
1977; Matthews, 1996). Further, Finn (1977; 1981) concludes that among domestic
policy choices, education remains a low priority. Consequently, presidents practice
only rhetorical leadership, achieving little they espouse, either by choice or by
circumstance. This largely accepted but untested observation provides the hypothesis
for this study. Specifically, the hypothesis to be tested in this study is: In the
education policy arena, modem presidents lead primarily through rhetoric.
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Methodological Frame
Unlike much research in this area, the methodology, and consequently the
procedures, tools, and sources of this study, travel beyond the strict confines of
traditional social science research definitions and applications; it draws on and
combines characteristics, tools, and advantages of multiple perspectives. At the
epistemological level, this research recognizes and draws from both the logical
empiricist/positivist and the hermeneutics/rationalist/postempiricist ends of the
continuum (Schwandt, 1997; Wimsatt, 1981). The following several paragraphs
describe these various perspectives.
At the left end, logical empiricists draw a sharp distinction between the
process involved in creating theory and the process required for testing that theory
(Schwandt, 1997). Such a perspective assumes that what defines an undertaking as
truly scientific relies on strict rules of procedure and method (Schwandt). So
conceived, method remains essential to the characterization of an inquiry as
scientific and to the validation of its knowledge claims (Schwandt). Related, but to
the right of the logical empiricists on the continuum, positivists believe that the
senses guarantee the truth of knowledge claims (Schwandt).
At the other end of the methodology continuum sit the hermeneutics/
rationalist/postempiricist supporters. Those closer to the center of the continuum
believe that since one cannot be certain that population samples and theoretical
59


models are truly representational a logical truth is not guaranteed. This leaves only
heuristic (fallible but perhaps effective) tools for discovering empirical truths
(Wimsatt, 1981). Moving away from the center, the rationalists view data as neither
the primary source of knowledge nor the final arbiter of legitimate knowledge
claims. Rather, reason, that is the power of the intellect by which mankind attains to
truth or knowledge (Woolf, 1981), is the primary method of knowledge acquisition
(Schwandt, 1997). Likewise, the defenders of philosophical hermeneutics model
knowledge on reason, dialogue, and interpretation as fundamental to the human
condition (Schwandt).
At the furthest end of the continuum from logical empiricists, postempiricists
claim that data are not detachable from theory, the language of science is irreducibly
metaphorical and inexact, meanings are not separate from facts but determine facts,
scientific theory can never be either conclusively verified or conclusively refuted by
data alone, and science consists of research projects structured by presuppositions
and the nature of reality (Schwandt, 1997).
At the method level, these differing philosophies are typically discussed
using the terms quantitative and qualitative, where empiricism derives quantitative
methods and postempiricist derives qualitative. By definition, quantitative is an
adjective indicating that something is expressible in terms of numbers (Schwandt,
1997). From the logical empiricist perspective, quantitative social science research
60


attempts to utilize natural science methods with an emphasis on inferential statistics,
hypothesis testing, deductive analysis, and careful attention to questions of validity
and reliability (Cronbach, 1975).
Qualitative denotes a more inductive phenomenological or characteristic
approach to research based on a model of scientific analysis most evident in physics
or chemistry where the whole is broken down into component parts and then
reassembled to understand the integrity of the whole (Schwandt, 1997). In doing so,
qualitative research examines the attributes of a social phenomenon to discover it
inductively and describe it naturalistically through the use of language rather than
number (Merriam, 1998). Kirk (1986) defines qualitative research as
an empirical, socially located phenomenon, defined by its own history, not
simply a residual grab bag comprising all things that are not quantitative. Its
diverse expressions include analytic induction, content analysis, semiotics,
hermeneutics, elite interviewing, life histories, and archival, computer, and
statistical manipulations, (p. 10)
As these definitions indicate, no one method or series of methods characterizes
qualitative research (Ragin, 1987; Schwandt, 1997).
Traditionally, theorists have distinguished between the two types or
methodology by characterizing qualitative as a means of discovering or generating
theories and quantitative as a means of verifying or confirming theories (Deshpande,
1983). However, others see scant differences between qualitative and quantitative in
the social sciences since one can seldom control the variables (Kidder, 1981).
61


Instead, both methods merely observe (Kidder, 1981). As Nobel prize winning
physicist P. W. Bridgeman stated it: "There is no scientific method as such ... the
most vital feature of the scientist's procedure has been merely to do his utmost with
his mind, no holds barred" (Bogdan & Biklen, 1998, p. 38).
While most researchers continue to draw distinctions between quantitative
and qualitative, social scientists increasingly downplay a clash and advocate the use
of both perspectives in conducting research (Bogdan & Biklen, 1998; Cook &
Reichardt, 1979; Cronbach, 1975) while still recognizing the important roles of
theory generating and theory verifying of qualitative and quantitative respectively
(Deshpande, 1983). Believing a middle-ground blending of qualitative and
quantitative to be optimal (Filstead, 1970; Ragin, 1987; Thomas, 1998), some
scholars posit that researchers would be wise to use whatever methods best suit their
needs, particularly a combination of qualitative and quantitative type methods (Cook
& Reichardt, 1979; Deshpande, 1983; Thomas, 1998). Indeed, Popkewitz (2000)
even contends that statistical research originally involved both qualitative and
quantitative data.
When used together, the types of methods complement each other to offer
insights that neither alone provide (Cook & Reichardt, 1979; Deshpande, 1983;
Thomas, 1998). Statistical data can suggest trends within qualitatively produced
settings and serve as a check on ideas developed during the research (Bogdan &
62


Biklen, 1998; Deshpande, 1983). Conversely, qualitative methods can provide a
basis for understanding the substantive significance of statistical associations
(Deshpande, 1983; Filstead, 1970; Merriam, 1998). In applying this to the presidency
specifically, Bond (1996) writes that
While quantitative research sacrifices many of the nuances of politics,
qualitative studies allow research to build toward a broader theoretical
understanding of relations between the president and congress. Because
different methodologies illuminate different parts of the puzzle,
methodological pluralism is the best way to build a comprehensive
understanding of the presidency, (pp. 103-104)
Moreover, because all methods and perspectives have biases, that is an
inclination toward types of outcomes or answers over other types (Woolf, 1981), the
use of multiple research techniques triangulates on the outcome or answer by
correcting for the inevitable biases (Cook & Reichardt, 1979). Webb et al. (1966)
state that the biases remain unaddressed as long as the researcher holds to the
erroneous notion of a single critical experiment. Wimsatt (1981) asserts that the best
means available for guarding against such errors is to have multiple sources and/or
perspectives. Indeed, when a hypothesis can survive the confrontation of a series of
complementary methods of examination, it contains a degree of validity and
reliability unattainable by one tested within the more constricted framework of a
single method (Webb et al., 1966).
63


This examination of a problem from multiple differing perspectives and
means of determination is called triangulation (Ianni & Orr, 1979; Schwandt, 1997;
Webb et al., 1966; Wimsatt, 1981). With a long tradition and wide adoption as a
fundamental social science research methodology, triangulation is a central
methodological orientation that seeks to establish a more sophisticated and
comprehensive research design by using different procedures, methods, and/or
sources to verify a relationship or phenomenon (Crano, 1981; Wimsatt, 1981).
Triangulation can involve the use of multiple data sources, multiple investigators,
multiple theoretical perspectives, multiple methods, or all of these (Schwandt, 1997;
Webb et al., 1966). Stemming from an acceptance that no single indicator is, or can
be, perfectly valid or reliable, advocates assert that the use of triangulation makes the
overall structure of a study more reliable (Crano, 1981; Wimsatt, 1981).
As stated earlier, questions of reliability historically have been central to
social scientists. Simply stated, an account is judged to be reliable if it is capable of
being replicated either by another inquirer or by the same inquirer over repeated
measurements (Schwandt, 1997). Reliability is an epistemic criterion thought to be
necessary but not sufficient for accurately measuring an account or an interpretation
of a social phenomenon (Schwandt). Increasingly, researchers are divided over
whether this criterion has any meaning whatsoever (Kirk & Miller, 1986; Schwandt,
1997; Wimsatt, 1981). As Wimsatt (1981) states,
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Traditionally, the attempt to secure high reliability is to focus on the total
elimination of error. However, it does not follow that this is the best structure
for dealing with errors. In fact, it is not. (p. 131)
Likewise, Kirk and Miller (1986) label the traditional view of and insistence
on reliability as "trivial and misleading" (p. 41), and Bogdan and Biklen (1998) state
that
Many eminent physicists, chemists, and mathematicians question whether
there is a reproducible method that all investigators could or should follow,
and they have shown in their research that they take diverse and often
unascertainable steps in discovering and solving problems, (p. 38)
Such opinions grow out of an acceptance of the inevitability of error and the
recognition of the unreliability of social science research (Crano, 1981; Kirk &
Miller, 1986; Perreault & Leigh, 1989) based on the highly mutable nature of society
and the subjectivity of meaning (Crano, 1981; Cronbach, 1975; Kirk & Miller, 1986;
Schwandt, 1997). As Cronbach (1975, p. 121) states," A laboratory generalization,
once achieved, may not be a good first approximation to real-world relationships."
Therefore, many contemporary social scientists stress validity and do not necessarily
share the same expectation related to reliability as their predecessors, fully expecting
other observers might reach different judgments (Babbie, 1992; Bogdan & Biklen,
1998).
However, this does not mean that social scientists completely ignore
reliability issues. Indeed, researchers continue to express concern over the accuracy
65


and comprehensiveness of their data (Bogdan & Biklen, 1998). What it does mean is
that, rather than pursuing traditional means of reliability, many seek to "prove"
reliability through other means. Triangulation represents one such means.
Researchers build reliability through the use of multiple instances of a given
construct, such as multiple items or multiple similar measurements (Kidder, 1981).
For some research purposes, the standardization of procedure and questions is a
sufficient step in reliability (Kirk & Miller, 1986). Standardization comes from the
use of recognized, often-used methods and tools in researching and measuring a
given phenomenon.
Still another method of building reliability comes in the form of meticulous
procedural documentation. Most agree that readers need to know exactly how the
researcher prepared for and implemented the study (Kirk & Miller), but some
contend that careful and explicit documentation of procedure and analysis answers
reliability questions (Kirk & Miller). Some even claim that this model of science is
the only defense a researcher needs (Kirk & Miller). This method of reliability has
been variously labeled with the terms "auditing" (Perreault & Leigh, 1989;
Schwandt, 1997) or "dependability" (Guba & Lincoln, 1985), both of which are
considered parallel to reliability and considered analogous to the conventional
criteria (Schwandt, 1997).
66


In the present study, this discussion has several implications. First, this
dissertation avoids the polemics of philosophy and method by combining
characteristics and advantages of both the qualitative and quantitative traditions.
Such a practice is consistent with Webb et al.'s (1966) recommendations based on
the nature and level of this study's theoretical precision. Second, as Cronbach (1975)
defines it, this study will be more historical than scientific due to the blending of the
quantitative and qualitative and the chosen measures and analysis.
Unlike strict empirical research, this study does not seek to identify causes in
hopes of determining solutions, although they will be discussed. Rather, this research
seeks to contribute to understanding and highlight "happenings" as consistent with
Stake's concept of qualitative-type research (Stake, 1995). However, the study does
quantify presidential leadership in order to test a hypothesis and reach a generalized
conclusion, hence the blending of quantitative and qualitative.
Third, the sources come from both traditions and seek to complement each
other in testing and analyzing the hypothesis. Finally, this study builds reliability
through triangulation (Kidder, 1981; Kirk & Miller, 1986; Schwandt, 1997),
standardization (Kirk & Miller, 1986), and auditing (Guba & Lincoln, 1985;
Schwandt, 1997). As this discussion elaborates, triangulation comes in the form of
multiple sources and perspectives. For example, to ensure that the applicable public
rhetoric is reliably culled, this study examines all of the Public Papers of the
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Presidents. Congressional Quarterly Almanac (which covers presidential legislation
and action in detail), Congress and the Nation (which includes data on presidential
achievement in Congress), and journal articles listed in the Education Index that
examine the presidency in education.
Standardization comes in the form of adopting and adapting a recognized
methodology procedure (Fishel, 1985). Because of the sheer size of the study, a
comprehensive audit trail would be untenable. The procedures are thoroughly
documented; however, only a representative sample of the actual documents, coding,
and other items are included in the appendix. Specifically, samples of presidential
rhetoric and the method of achievement (where applicable) are recorded in the
appendix. However, copies of actual legislation, executive orders, or vetoes are not
included, only cited.
This studys specific standardized methodology procedure is one proposed or
practiced by numerous presidential scholars and pundits, including Fishel (1985),
Noonan (1995), Bond (1996), Bums (1984), Finn (1995), Conley (2000), Krause
(1997), Zook (1994b), OKeefe (1984), and Webb et al. (1966). The education
rhetoric of presidents Kennedy through Clinton were collected and compared to
actual presidential achievements in education as measured through enacted
legislation, executive orders, and vetoes. Through this comparison, a "success ratio"
for each president was calculated to test the rhetoric hypothesis for each president.
68


The ratios were then aggregated to draw a conclusion about the hypothesis related to
the modem presidency.
The study examines possible influences on successes or shortcomings (the
difference between rhetoric and action) of presidential leadership in education. This
discussion includes Burns's (1978; 1984) and Hargrove's (1998) models of leadership
and several factors in the presidential leadership context, including Congressional
skill, unified or divided government, and agreement between the president and the
public about education policy.
Leadership
In 1965, Cornwell posited that the study of democratic theory needed to make
more room than it traditionally had for the ingredient of leadership in the political
process. Since that time, the study of presidential leadership has seen greater
attention in depth and breadth, and two of the leading scholars in presidential
scholarship include Bums (1978; 1984) and Hargrove (1988; 1998). Bums
conceptualized leadership as transformational, which relates to rhetorical leadership,
and transactional, which in this study relates to action. Also related to the findings in
this study, Hargrove applied Bumss definition of leadership to the presidency and
concluded that to be successful, presidents must lead both transformationally and
69


transactionally, in other words, practice rhetorical leadership and successfully
achieve that rhetoric.
The following briefly defines transactional and transformational leadership,
applies it to the presidency according to Hargrove, and then draws connections
between the Hargrove conceptualization and this studys findings.
Transactional leadership. "In transactional leadership, the object is not a joint
effort for persons with common aims acting for the collective interests of followers
but a bargain to aid the individual interests of persons or groups going their separate
ways" (Bums, 1978, p. 425). Moreover, "transactional leadership thrives on
bargaining, accommodating, manipulating, and compromising" (Bums, 1984, p.
153). As Wills (1994) defines it, participants agree to others' demands for their own
advantage.
Hargrove (1998) portrays American politics as transactional much of the time
and properly so. Too much talk about the transformational aspect of leadership
results in taking attention away from consideration of the transactional necessities in
the presidency (Cantor, 1995), as without transactional skill, presidents accomplish
little (Hargrove, 1998; Neustadt, 1990). Edwards (1999) echoes this when he states
that presidents fail to achieve goals because they fail to identify and pursue the
contextual possibilities for accomplishing their goals.
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A successful transactional president must be an operator in the system,
operator defined as one who knows how to bring about a desired effect within the
given context (Rosenman & Rosenman, 1976). In practicing transactional leadership,
the president utilizes various tools including personal attention, legislative assistance,
favors, vetoes, executive orders, campaign assistance, and appeals to the public
(DiClerico, 1995; Kerr, 1983). Most often, presidents utilize these tools on and direct
their power toward Congress. As Abshire (1999) and Price (1996) contend, if the
president fails to lead Congress, he fails to lead.
However, in using only these transactional tools, Presidents limit their
leadership (Bums). Transactional presidents lack the option of changing the rules
and assumptions of the game, of shifting the plane of contest from one set of issues
to a wholly new set of issues, or of broadening the stakes by lifting the struggle out
of the trading arena to the level of compelling national issue, broad popular choice,
and great public conflict (Bums). Further, transactional presidents limit their
influence on policy to what they can squeeze out of their negotiations (Bums; Light,
1999). According to Bums (1984), this leadership seeks only the self-serving end.
While transactional leadership may be necessary and positive in some ways, the
transactional presidency is limited and, according to some, ultimately ineffectual.
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Transformational leadership. In the presidency, transactional leadership
without an accompanying transformational component reduces the president to the
role of manager. As Thompson (1981, p. 2) portrays it, political leadership devoid of
purpose descends to the level of "political streetfighting." Eisenhower (Twohig,
1993) and Bums (1984) define transformational leadership as an empowering and
inspiring form of leadership that asks leaders and followers to rise above self-interest
for the good of the group, organization, or society; to consider long-term needs over
needs of the moment; and to become aware of that which is truly important.
Moreover, transformational leadership responds to fundamental human needs, and
transcends or seeks to reconstruct the political system rather than simply operating
within it (Burns, 1984, p. 153).
In a presidential application, Eisenhower (Twohig, 1993, p. 22) opined that
presidents must find a way to bring men and nations to a point where they will give
long term promise the same value that they give to immediate and individual gains.
For the president, this type of leadership requires him to be a unifying figure,
mobilizing others toward a common purpose (Dallek, 1995; Strock, 1998). As a
unifying figure, the president discerns emerging dilemmas for which remedies must
be found and assembles and motivates coalitions toward the goal (Bums, 1978;
Cantor, 1995; Edwards, 1999; Hargrove, 1998); democracies depend on unity around
72


collective leadership, a credible and coordinated government, and a common purpose
(Bums, 1984).
Vision plays a vital role in mobilization toward a common purpose (Dallek,
1995; Hargrove, 1998; Rockman, 1984). The essential job of the president and the
classic test of greatness is to mobilize support within government behind a program
that would realize the broader purposes and principles, or vision, on which the
president campaigned for his office (Bums, 1984). In doing so, the president moves
diverse political leaders behind policy, which embodies vision. In this way, policy
becomes the vehicle for vision (Rockman, 1984). The absence of such vision by
which to shape future policy can be more than disappointing, it can be deeply
disquieting (Anonymous, 1992).
Poor presidents are unable to set and articulate clear vision and priorities.
They become immersed in minutia and elevate technical mastery over statesmanship.
Effective presidents hold deep, abiding principles and articulate clear compelling,
visions (Henderson, 1997b). They set the tone, help shape moods and expectations,
and provide a framework for public understanding (Thompson, 1981). Some
observers state that if presidents fail to articulate vision and policy, Congress will
pursue its own agenda (DiClerico, 1995), a role for which it is ill-suited (Rockman,
1984). The consensual nature of vision, a central tenet of transformational
leadership, comes from a president's awareness of the nation's ethos and values.
73


Presidents articulate, sell, and defend their programs through their perceptions of
American public values and by appealing to these commonly held values (Smith &
Smith, 1985b).
By and large, most presidents do enter office with a vision for America and
the requisite policies, but skill in articulating and implementing the vision separates
the effective from the non-effective leaders. Those effective in articulating vision
understand and successfully master the use of rhetoric. Articulating vision in
practicing transformational leadership requires that a president must use his rhetoric
to move the country and Congress (Will, 1984). Presidents must recognize the
presidency as a bully pulpit and espouse vision in rhetoric (Lowi, 1985; Smith &
Smith, 1985b). Through the use of inaugural addresses, state of the union speeches,
the media, and various other communication, presidents describe the world and their
vision for its future (Hargrove, 1998; Rockman, 1984; Skowronek, 1993).
Transformational and Transactional. Just as transactional leadership falters
with out transformational, purely transformational presidents accomplish little more
than rhetoric without being accompanied by transactional skill (Hargrove, 1998).
Therefore, as Hargrove (1998), Campbell (1986), Edwards (1989), and Light (1999)
postulate and this study illustrates, presidents must skillfully practice transactional
leadership in tandem with transformational leadership to enjoy genuine, lasting
success. With skill in both leadership roles, the president discerns context and wisely
74


chooses when to be transactional and when to be transformational (Dallek, 1995;
Hargrove, 1998; Wicker, 1995). As Cantor (1995) states, transactional leaders focus
on the actual and transformational on the potential, both of which are the necessary
domains of presidents.
Congressional Leadership. As discussed earlier, in the contemporary
presidency, presidential collaboration with congressional leaders is routine
(Davidson, 1984; Sickels, 1974). Presidents expend great effort to lead Congress,
recognizing that their overall success is closely tied to their success in Congress
(Light, 1999). For their part, Congress watches the president closely, looking for
signs of his interest in legislation (Light, 1999).
This is not to infer that presidential leadership over Congress is a given.
Historically, Congress has responded coolly to requests for new domestic legislation
from the White House (Sickels, 1974). In addition, the president's relationship with
Congress is limited by the growth of independence in politics and politicians, lack of
party dependence, decline of party power, growth of individual rationality, and
fragmentation in government, (Neustadt, 1990; 1997; Rockman, 1984).
Despite all of the limitations, Congress still remains vulnerable to
manipulation by a president who understands its traits (Davidson, 1984). In fact,
Denton (1986) and King (1983) believe that the nature of the interaction between the
president and Congress favors the executive. Moe and Howell (1999) ascribe this
75


presidential advantage to the fragmented nature of Congress, which makes the
president's policy proposals the focal points for congressional action.
Nonetheless, successful policy leadership requires hard work (Light, 1999),
skill (King, 1983), and competence in policy promotion (Quirk, 1984). Leadership
over Congress demands political expertise comprised of several related elements: a
solid knowledge of the main coalitions, influence relations, and rivalries among
groups and individuals in Washington; personal acquaintances with a considerable
number of important or well-informed individuals; a fine grained, practical
understanding of how the political system works (Quirk, 1984); a sense of timing
(Denton & Hahn, 1986; Foley & Owens, 1996); and knowledge of and skill in
guiding the policy process (Light, 1999).
In addition to these skills of manipulating the legislative context and
exploiting leadership opportunities (Foley & Owens, 1996), at various times
presidents need to retail their position by going directly to individual members of
Congress, making phone calls, meeting with members, asking for votes, and
providing incentives for support (Davidson, 1984; Light, 1999; Quirk, 1984). In
other words, presidents must be skilled in communicating, persuading, bargaining,
exhorting, coercing, coaxing, threatening, compelling, and on some occasions,
bribing (Brody, 1991; Cornwell, 1965; Denton & Hahn, 1986).
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To succeed in these transactions, presidents hold a host of tools, weapons,
and resources. These include patronage appointments, construction projects,
government installations, campaign support, rides on Air Force One, White House
meetings, signed photographs, threats of retribution, state dinner invitations, and
tough talk in Oval Office confrontations (Davidson, 1984; Denton & Hahn, 1986;
Light, 1999; Sickels, 1974). Moreover, presidents strategically apply these resources
by knowing the needs and wants of members of Congress, what legislators'
constituents demand of them, and how best to manipulate in this context (Foley &
Owens, 1996; Pierpoint, 1981).
Obviously, this type of leadership in a more independently minded Congress
requires more than one person can accomplish. Therefore, it is incumbent upon the
president to have a politically skilled legislative staff, and over the latter half of the
century, the institution of legislative liaison staff has grown to provide the president
with the assistance he needs in the area of Congressional relations (Davis, 1983;
Quirk, 1984). Indeed, as Holtzman (1975) and Light (1999) state, the Office of
Congressional Relations (OCR) plays a vital part in the president's congressional
leadership success. It is also important to look beyond the president in examining his
leadership as the presidency is now a corporate structure rather than an individual,
and the OCR can be a critical part of that corporate leadership (Seligman &
Covington, 1996).
77


The operating responsibilities of the OCR include presenting the
administration's position on legislation to individual members of Congress,
coordinating and directing the administration's legislation on the Hill, gathering
information, collecting congressional sentiment, analyzing legislative issues,
assessing the potential impact of presidential statements and actions, and performing
auxiliary services for members of Congress (Davidson, 1984; Thomas, 1975b). In
essence, the OCR staff serves as the president's eyes, ears, and mouth, functioning as
liaisons between the executive branch and Congress (Denton & Hahn, 1986).
Members of the OCR spend most of their time on the Hill regularly talking to
members of Congress and their staffs, protecting and enhancing White House power
stakes in the legislative struggle (Davis, 1983). While the OCR places emphasis on
maintaining reputations for power in a city where one's reputation is often as
important as one's actual accomplishments (Davis, 1983), they are not above
institutional bribery to accomplish their ends, including offering legislators pens
from bill signings, tickets to the presidential box at the Kennedy Center, White
House tours, and invitations to social events (Davidson, 1984; Davis, 1983).
Despite the conventional wisdom about the importance of the OCR in
assisting the president in congressional leadership, presidents have been known to
misjudge the OCR's role. Under various presidents, the legislative staff devolved to
become a crew of messenger or errand runners with no function other than to receive
78


and direct communication and to perform special chores, such as organizing
meetings and checking out presidential appointments (Bimbaum, 1996; Thomas,
1975b). Presidents can underestimate the impact of their legislative staff
appointments, when in fact it is a crucial appointment (Light, 1999).
Such occurrences only highlight the role of individual personalities,
preferences, and skills of the presidents in their congressional leadership. While
some writers discount the importance of the president in congressional leadership
success, others contend that legislative skill and success directly reflect the
president's personal ability and choices (Edwards, 1989). As Ragsdale and Rusk
(1999) and Foley and Owens (1996) assert, variations in congressional leadership
success exist across presidents based on the president's degree of political
experiences, skill, ideologies, temperaments, and knowledge in handling Capitol Hill
and become relevant variables in examining the congressional-presidential
relationship.
Divided or Unified Government. Divided or unified government refers to the
condition of party control in the White House and in Congress. Unified is when one
party controls both the White House and Congress, and divided when one party
controls the White House while the other controls Congress (Thurber, 1996). A
variation on the divided theme is when the two Houses of Congress are split between
the two parties (Thurber), such as when Reagan entered office (Berman, 1987).
79


Historically, divided government has been the norm in modem U. S. politics
(Thurber, 1996). Between 1953 and 1996, a divided government occurred 28 years,
with Republicans dominating the White House and Democrats the Congress
(Thurber). At face value, such a phenomenon leads to the conclusion that rhetorical
leadership in education may be due more to the condition of divided government
than any other factor, and there are those who support such a supposition in general
terms (Edwards, 1989) while others continue to advocate that it does not seem to
make much difference whether party control of the American government happens to
be unified or divided (Aberbach & Rockman, 1999; Mayhew, 1991), presidential
skill in leading Congress is paramount.
Those who advocate that the unified or divided condition determines
presidential success attempt to do so systematically and quantitatively. Edwards
(1989), Fleisher and Bond (Fleisher & Bond, 1992), Lockerbie and Borrelli
(Lockerbie & Borrelli, 1989), and others have concluded in their studies that of all
factors in the presidential-Congressional relationship, the state of divided or unified
government determines the rate of presidential legislative success.
Others contend that presidential skill in dealing with Congress (as discussed
previously) above all determines legislative success (Davis, 1983; Mayhew, 1991;
Neustadt, 1990). Most germane to this study, Fett (1994) found that presidential
rhetoric, particularly frequency, influenced legislative success rates positively for the
80


president. Likewise, Covington (1987) found that when a president identified an
issue as important, he was able to generate more Congressional support.
Acknowledging the value of each perspective and in staying consistent with
the methodological approach of this study, the following analysis focuses on the
relationship between divided or unified government and rhetorical leadership in
education as a companion to the preceding discussion of congressional leadership.
Presidential and Public Agreement. As the only elected national leader, the
president's relationship with the public cannot be underestimated, for in this
democratic society the rhetoric must mirror the values, principles, and processes of
the democracy (Denton & Hahn, 1986). While presidential leadership may be easier
when the president's conscience and public opinion coincide (Smith & Smith, 1985a;
Smith & Smith, 1985b), a different understanding about issues between the president
and the public undermines the president's ability to lead (Cohen & Collier, 1999;
Edwards, 1999; Sickels, 1974).
Rather, successful presidents sense the context and ethos in which they lead
(Edwards, 1999; Hargrove, 1998). They discern emerging dilemmas for which
remedies must be found and behind which coalitions can be assembled; they assess
possible limitations to actions before moving; and they divine popular sentiment to
act as a unifying leader (Bums, 1978; 1984; Cantor, 1995; Edwards, 1999; Hargrove,
1998). In doing so, presidents act according to the democratic theory that holds by
81


implication, if not explicitly, that leaders should translate the views of the masses
into public policy (Brody, 1991; Wills, 1994). Simply stated, presidents who wish to
lead effectively cannot ignore public opinion (Brody, 1991; Light, 1999).
Subjects
While the modern presidency began with Franklin Roosevelt (Berman, 1987;
DiClerico, 1995; Hogan, 1990), this study considers only the Kennedy through
Clinton presidencies. While Roosevelt, Truman, and Eisenhower did address
education in varying degrees, most scholars agree that significant presidential
attention to education began with the Kennedy presidency (Berube, 1991; Keppel,
1995). Therefore, this research tests the hypothesis by analyzing presidential rhetoric
and achievements in education across eight presidencies.
Procedures
The hypothesis was tested using a procedure utilized by Fishel (1985) in his
examination of presidential follow-through on campaign promises. In this study, the
educational rhetoric of each president was collected. Then presidential action in
education was examined and compared to the rhetoric to determine a "success ratio"
of rhetoric to achievement. For the purposes of this study, legislative action is
82


defined as education bills consistent with presidential rhetoric that became law,
rather than unenacted proposals.
In examining success ratios, understanding what makes for a high ratio
versus a low ratio is critical to understanding the studys findings. In professional
baseball, a success ratio of 40% (.400) guarantees a multi-year, multi-million dollar
contract. To a professional musician, a 40% success ratio of right notes to wrong
notes requires one to keep your day job. As in these two examples, what makes for
a high success ratio is and has been subjectively developed over time. Nevertheless,
like music and baseball, modem presidential performance has standards by which the
office holders are judged. The contemporary standard for a high success ratio in the
presidency sits at around 80%, the mid-level at approximately 70%, and a low ratio
at 50% (Congressional Quarterly Almanac, 1979), vaguely similar to grading scales
in some schools.
At first glance, such a standard may seem unrealistic considering the context
in which presidents lead. With power shared between Congress and the president, the
pull of numerous special interest groups, and the diversity of over 200 million
citizens, succeeding eight times out of ten seems unattainable. However, as Table 3.1
(Ornstein, Mann, & Malbin, 1996) indicates, such success is possible.
83


Table 3.1
Overall Legislative Success Rate by President. Eisenhower through Clinton
President Success Ratio (percent)
Kenney (1961-1963) 84.6
Johnson (1964-1968) 82.6
Nixon (1969-1974) 67.2
Ford (1974-1976) 57.6
Carter (1977-1980) 76.4
Reagan (1981-1988) 61.9
Bush (1989-1992) 51.6
Clinton (1993-1994) 86.4
In this study, the same standard is used to test the hypothesis about
presidential leadership in education. Education success ratios of approximately 80%
or better are considered high, ratios of approximately 51% to 79% or considered mid,
and ratios below 51% are considered low.
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