EDLD 5342 Final Reflection (Week 5 Part 3)

EDLD 5342

Week 5 Part 3

• Competency 8 Self-assessments

___C__ apply procedures for effective budget planning and management.

___S__ work collaboratively with board of trustees and appropriate personnel to develop district budgets.

___C__ facilitate and evaluate effective account auditing and monitoring that complies with legal requirements and local district policy.

___S__ establish district procedures for accurate, effective, ethical purchasing and financial record keeping and reporting.

___C__ acquire, allocate, and manage resources according to district vision and priorities, including obtaining and using funding from various sources.

___S__ use district and staff evaluation data for personnel policy development and decision making.

___S__ apply knowledge associated with personnel management, including requirements related to certifying, recruiting, screening, selecting, evaluating, disciplining, reassigning, and dismissing personnel.

___C__ manage one's own time and the time of others to enhance district operations.

___C__ develop and implement plans for using technology and information systems to enhance efficiency and effectiveness of school district operations.

___S__ apply legal concepts, regulations, and codes as required.

___S__use revenue forecasting and enrollment forecasting to address personnel and budgetary needs accurately.

Reflection

Although seeking more information on any and all of these components is an ongoing process, I feel confident enough through my investigation of these items during this course that I am not completely in the dark about any of them and I know who and where to seek further clarification, if needed. Assessing my progress on these competencies, I do not feel an “I” is an indicator on any of these.

Items I feel I am competent “C” about are: applying procedures for effective budget planning and management; facilitating and evaluating effective account auditing and monitoring that complies with legal requirements and local district policy; acquiring, allocating, and managing resources according to district vision and priorities, including obtaining and using funding from various sources; managing one's own time and the time of others to enhance district operations; and developing and implementing plans for using technology and information systems to enhance efficiency and effectiveness of school district operations. These competencies I have gained important insight in. I have marked them with a “C” because my knowledge and expertise will definitely increase with practice and becoming more comfortable with the processes involved.

I marked “S” for: working collaboratively with board of trustees and appropriate personnel to develop district budgets; establishing district procedures for accurate, effective, ethical purchasing and financial record keeping and reporting; using district and staff evaluation data for personnel policy development and decision making; applying knowledge associated with personnel management, including requirements related to certifying, recruiting, screening, selecting, evaluating, disciplining, reassigning, and dismissing personnel; applying legal concepts, regulations, and codes as required; and using revenue forecasting and enrollment forecasting to address personnel and budgetary needs accurately. Many of these deal with working with people to establish goals and standards. Working with people in teams is a particular strength I have, so when I look at these, I can see why I feel more comfortable with these competencies and my ability to implement them straight away. I have a strong background in personnel matters and a strong understanding of legal concerns to provide a sturdy platform to build on.

• Lectures, interviews and readings, and resources

I found that I viewed all of the lectures at least twice as they contained a wealth of information about a subject area I initially felt underprepared. Breaking down the information and having the ability to review it was very helpful. I thoroughly enjoyed interviewing the district budget director. She was immensely helpful in explaining the district decision-making process in changing funding for teachers salaries, creating new personnel positions, and a new scheduling system. It made me even more aware of the type of person I want to have in place that is not only knowledgeable about accounting and school finance, but how to work as a team member who contributes to a vast array of decisions that affect the entire district on many different levels. The resources were excellent, not only giving me information on the nuts and bolts of school finance, but the different organizations available for more information. They also made me more aware of political considerations when going through the budget process.

• Weekly assignments and activities, including information and insights from interviews

I appreciated the design of the course beginning with the history of school finance in Texas, goal-driven budgets using data-driven decision-making, sources of revenue, FIRST, and applying the TAC Code of Ethics to superintendent behavior not only in finance, but in general. Again, breaking these components down in this way allowed me to really absorb the information in a way to make sense of it and be able to apply it. I enjoyed analyzing different types of school district data and comparing  the differences. I found this enlightening and a worthwhile exercise to understand different problems that exist in different kinds of districts. My interview with the district budget director gave me real insight as to how this district makes financial decisions and set the bar high in expecting ethical behavior.

• Any other highlights from the course – this may include wiki group experiences, blog comments and reflections, Web Conferences or other school finance insights or experiences during the course.

I enjoy seeing what other colleagues think is important as I look at reflections on the blogs and wikis. Seeing other perspectives really gives me an advantage I could not gain in any other way. Even a small observation has given me insight and often highlighting something I had not thought of before. Working in the wiki groups was difficult at times, but it was fun and worthwhile getting to know others in our cohort better. It is valuable to develop networks of people we can depend on as well as learn how to work with others at the superintendent level. Most importantly, we have resources available to us to help and we should reach out to utilize them. Another major item is the superintendent sets the tone for the district in expectations for everything from student achievement to hiring to how decisions are made and implemented. This aspect cannot be overemphasized.

EDLD 5342 Week 5 Part 1

Reflection

It was impossible to do this assignment without thinking of past experiences. I have known principals, as well as superintendents, who have used district materials and employees during work hours to work on private projects. In the local news this week, a nearby school district had spend $30,000 on a project that had not been approved by anyone and pulled maintenance workers away from scheduled projects for weeks. Two superintendents are in trouble in our area for allegedly misappropriating funds. One bypassed the requisition process and paid $400,000 to a company for $400 worth of posters to supposedly receive kick back money and line the pockets of a friend. Ethics violations happen much more often that one imagines. Several years ago, the district I used to work for had a superintendent who was described to me as a bully who wanted the budget director to approve moving expenses as part of her TRS salary. Having ethical employees who will stand up to people in power is also something essential. 

EDLD 5342

Week 5 Part 1

Examples of ethical behavior from Texas Administrative Code of Ethics, Standards 1.1 – 1.13:

1)       Standard 1.2- A superintendent does not use district funds or personnel for personal use. For example, if a superintendent wanted to put in a patio in his or her backyard, materials and supplies would not come from district sources and if district personnel did the work, it would be done after work hours to be paid out of the superintendent’s personal funds to them as independent contractors.

2)       Standard 1.3- The superintendent would only submit requests for reimbursement from legitimate expenses incurred in the course of district business in the capacity of representing the district.

3)       Standard 1.8- The superintendent will only offer employment  based on professional qualifications, not in exchange for favors nor based on a personal relationship.

Examples of ethical behavior from Texas Administrative Code of Ethics, Standards 2.1 – 2.7:

1)      Standard 2.1- A superintendent will keep information contained in personnel records confidential, including medical information, unless required by law. This would be a reason a board of trustees might go into executive session so matters can be discussed in private.

2)      Standard 2.6- A superintendent does not use coercive means to bully colleagues. For example, to threaten or imply disciplinary action if an employee joins a political group.

Short and long range consequences:

Standard 1.2- The short range consequence of using district materials and labor first of all would essentially be stealing public funds. Some may think this would be a perk, but ethically speaking, this is theft. Long range consequences may be public disclosure and embarrassment, being fired, being forced to resign or being under investigation and being indicted.

Standard 1.8- As far as short ranged consequences, aside from having someone who is not truly qualified in a position is probably the only drawback. Long range, this would affect the perception of people applying for positions in a district. If it is a foregone conclusion who will be chosen for any position, people within and outside the district will know this and the district and the superintendent will lose credibility. People who are qualified will avoid applying so the talent pool for the district will diminish.

Standard 2.6- Short term consequences of bullying or coercion are creating a hostile work environment and a work place where employees feel unsure where they stand. Long term consequences for this behavior sets up an unhealthy model that others may follow, high turnover rate, undermining loyalty to the superintendent and the district, and possible civil lawsuits.

Preventive Action Plans:

1)      Standard 1.2- (model and promote the highest standard of conduct, ethical principles, and integrity in decision making, actions, and behaviors- Competency 1.2) All supplies and requisitions for labor must use the appropriate form and must be approved by at least two district officers, ie. campus business manager, district purchasing officer, and or accounting department officer. By putting checks and balances in place with at least two people approving, this will cut down on the possibility of unauthorized use.

2)      Standard 1.8- (apply laws, policies, and procedures in a fair and reasonable manner - Competency 1.5) Set up objective interview committees who choose finalists based on scoring and mutual agreement to present to the superintendent. By charging the human resources department with securing members of interview committees from different stakeholder groups and holding interviews independent of any influence by the superintendent, the best candidates will rise to the top. This assures the best candidates are chosen, the process is transparent, and there is a fair system in place.

3)      Standard 2.6- (interact with district staff, students, school board, and community in a professional and ethical manner- Competency 1.6) Create a work atmosphere where employees are involved in teams, feel empowered to make decisions and welcome feedback. Also, a system should be set up for employees to voice grievances without fear of retaliation.

EDLD 5342 Week 4 Part 5- Interview Summary with District Budget Director

EDLD 5342

Week 4 Part 5

I was so grateful to Susan Olson, Director of Budget, of the Socorro ISD for meeting with me and being gracious enough to spend over two hours explaining changes to the instructional salaries this new school year and the process that took place to make those changes. In our discussion of the auditing process, she emphasized good internal and external auditing helps make sure the checks and balances built into the system are working well. She states the primary reason school districts gets into trouble with ethical dilemmas is when the checks and balances are ignored or bypassed. Having personnel with strong ethical integrity is essential in making sure no one is above the rules.

The auditing process extends for a good portion of the school year. In the fall, the district accepts competitive bids and considers not only price, but experience in doing school financial accounting. Ms. Olson has extensive experience in the public and private sectors in accounting and maintains school financial accounting is very different. Without a thorough understanding of state rules, regulations and mandates, an auditing firm can be more harm than help. To that end, Socorro ISD has hired the same firm for the past five years. Even though this could change any year, the experience and expertise this firm bring to the process is invaluable. The different bids are considered and the board accepts a proposal that the district lawyer will then create a contract with the winning accounting firm.

The external auditing team is given office space in the budget office. They request certain document which the district provides. District personnel are available to answer any questions; however, most of the time the documents requested are sufficient for the auditors to complete their evaluation. The auditors are currently at the district offices now. Ms. Olson explain this is an ongoing process.

Again, the primary objective of the audit is to evaluate the system of checks and balances, whether these are being maintained, and how effective they are in keeping the financial health and integrity of the system. The audit will confirm all things are well or shine a light on any unethical or circumnavigation of the system of checks and balances. This adds to the transparency to all stakeholders about how local, state, federal and other funds are handled.

Results are communicated to the board of trustees in a public meeting on the TEA website. Links to these sources are provided on the SISD website.