Leadership Goals

One of my favorite books is one to which I was introduced during my graduate studies at Lubbock Christian University:  The Ultimate Leader, by Dr. L. Ken Jones.  Dr. Jones used the example of Jesus Christ to identify characteristics of great leaders.  It was through the study of this book that I discovered the importance of relationships, encouragement and service.   It became clear to me that my purpose in education was far more than teaching math concepts or disseminating knowledge.  My purpose in education is to foster relationships with every student and teacher with which I come in contact and do whatever it takes to insure their success.  Whether it is in the classroom, in the principal’s office, or in the superintendent’s office, focusing on relationships, encouragement and service are the keys to success.  No teacher or administrator can be successful without incorporating these elements into their leadership style.  We must realize that it is MUCH more than just a “position” or status, it is about impact and effectiveness.  Each day that I enter the halls of Hico High School, I say a silent prayer asking God to give me the strength and wisdom to emulate the characteristics of Jesus, The Ultimate Leader.

One thing I have realized through this internship is that the superintendent’s office can be a great distance from both the students and the teachers.  It would be easy for a superintendent to get bogged down with the administrative duties and paperwork and fail to spend time with the students and teachers.   I have learned through the readings and by watching our superintendent, Mr. Hartgraves, that it will take a conscious effort to develop relationships with students and teachers.  I must get out into to classrooms on a regular basis and have personal conversations with teachers and staff members.  Spending time in the cafeteria during lunch periods in an excellent time to meet students and show and interest in what they are doing.  Successful superintendents make every effort to continue to foster relationships and encourage every student and staff member in their district.

The many activities throughout my internship have proven to be valuable experiences in this learning process.  Actions certainly speak louder than words and in the same way, experience is a better teacher than reading the book.  I have had the privilege of working with one of the best superintendents in the state.  He is not only an excellent leader, but also an effective teacher.  His willingness to open his door and allow me to be a part of everything he does has been an invaluable learning experience.  The fact that he trusts me enough to include me has made me even more determined to become the best superintendent I can be.  These experiences have taught me the importance of making decisions based on what is best for the entire district.  I find that my though process is moving from a campus-based approach to a district-wide approach.  This is an absolute must as I progress through the learning process.  I have no doubt that these experiences, combined with my mission to lead through relationships, encouragement and service, have prepared me to be an effective superintendent who will have a positive impact on every district in which I serve.

Self Assessment Reflection - EDLD 5399

As expected, I feel much more confident in the superintendent competencies after my participation in this program.  Domains one and two continue to be my areas of greatest strength.  I believe that participation in this program has definitely enhanced my abilities in these two areas.  The areas in these domains of which I was in need of improvement have been greatly improved over the past nine months.  Many activities during my internship have been centered around developing and implementing district vision and goals as well as becoming more familiar with the effect of political, social and economic factors on students and education.   Acting with integrity, fairness and ethics is extremely important to me.  I have no problem standing up for what is fair and ethical, especially when it comes to my students. Through my involvement in numerous community activities such as Civic Club, Lions Club, etc., I find many opportunities to bridge the gap between school and community.  Our students volunteer to serve at community events and generally make a positive impression on community members. As a principal, I have made instructional leadership my number one priority. Our district uses CSCOPE and I have been successful in leading my teachers through the change in curriculum. Delivering staff development presentations to our district is something I do frequently.  I have provided training on new programs, such as Eduphoria, and on instructional strategies.  I feel confident that I could handle any situation relating to Domains One and Two that a superintendent might face.

Domain three remains my weakest area, mainly due to lack of experience in school-wide budgeting and facilities planning.  However, my field supervisor has provided me with numerous learning opportunities throughout this year which have been in valuable.  Our district is going through a major transition by combining our junior high and high school campuses next year.  Mr. Hartgraves has involved me in every step of the planning process and implementation.  This has given me much more confidence in each of the Domain Three competencies.  Although there are few competencies I would call strength, I believe I am knowledgeable and competent enough to handle any situation.  

School Finance - Final Reflection

This course has certainly succeeded in developing my strengths in the area of school finance.  The knowledge I have gained and the activities I have participated in allowed me to spend time with our business manager and superintendent, which was an extremely valuable learning experience.  I feel much more confident in the areas of internal controls, procedures and the auditing process. 

The activities throughout this class allowed me to learn about school finance through real school data.  Analyzing two districts not only helped me gain an understanding of the factors that affect revenue and expenditures in a district, but also prompted me to study my own district data.

One of the most interesting activities was learning about the financial audit and FIRST rating.  This activity emphasized the importance of having procedures in place that create and effective checks and balances system.  Procedures must involve multiple staff members so that there is never a time when one individual is solely responsible for a certain area.  An atmosphere of accountability is created when teams of people work together to maintain ethical behavior.

My areas of improvement are in applying legal concepts and regulations as well as understanding the revenue forecasting process.  These are two areas in which I feel much more confident than I did before the course, but do not quite have enough experience to feel as though I could do it without much guidance.  Fortunately, education is a career of collaboration and lifelong learning.  I know that although I may not know it all, I have a wealth of resources I can call on for help.  This course provided numerous websites and other readings that I am certain will come in handy in the future.

Code of Ethics for School Leaders

5 Examples of Unethical Conduct:

1. Standard 1.2:  A superintendent took sole responsibility over the vending machines in the district.  He was the person who emptied the change from the machines.  Eventually the administrative assistant began to notice that there were no deposits being made from the machines.  She asked the business manager about it and soon it was revealed that the superintendent had been keeping the money from the machines for himself.  He was required to pay back the money he had stolen and was dismissed shortly after.
2. Standard 1.3:  An administrative assistant began to notice that checks were missing from her check boxes.  Thinking this was odd, she began to carefully document when a box was opened and how many checks were in the box.  She realized that it was always a few checks off the bottom of the box.  After contacting the school board president, she and the business manager began a thorough investigation.  This resulted in the discovery that the superintendent was taking checks off the bottom of the box and writing them in small increments to himself.  The amounts were small, so he thought they would go unnoticed.  He was found guilty and sent on his way.
3. Standard 1.6: The superintendent was a close friend to the PEIMS clerk who assisted him in changing the enrollment numbers for CTE classes in order to create more funding for the school district.  The business manager recognized that the numbers do not seem to follow the trends of the past few years.  He began asking questions.  It was not long before they discovered what was going on.  The superintendent and PEIMS clerk received formal reprimands and eventually moved on to other positions.
4. Standard 2.7: A superintendent’s administrative assistant suspects that the superintendent is involved in unethical behavior in the area of finance.  She reports the suspicion to the president of the school board who immediately investigates the situation.  During the investigative process, the superintendent begins harsh and negative treatment of the admin asst.  He also retaliates by assigning unpleasant tasks that the admin asst usually does not perform. 
5. Standard 2.1:  An unmarried, junior high teacher requests a conference with the superintendent in which she reveals that she is pregnant.  She states that she understands that this might set a poor example for her students and seeks advice on how to best handle the situation.  She would like to keep the pregnancy confidential until she has determined what to do.  After the meeting, the superintendent tells his office personnel about the conversation.  Soon after, the rumor has spread throughout the district that the teacher is pregnant.  The teacher files a complaint against the superintendent for violating her confidentiality and privacy.

Consequences for 3 actions listed above:

The consequences for actions such as the ones listed above can range from a slap on the hand to criminal charges.  A common theme that emerged from my conversations with superintendents about this matter, was that most of the time, districts will go easy on the consequences if the superintendent will resign.  Although this is a common practice, it is a shame that they do not follow through with more severe consequences that would prevent this from happening in the superintendent’s next district.  If criminal charges are filed the superintendent would have a much more difficult time committing the same offense in the next school.  Perhaps the most cutting effect of these actions is the loss of trust from your community, faculty and students.  A superintendent who loses the respect of his stakeholders, has no chance for success.

#1:  The superintendent who stole from the vending machines: 

 Short term consequences:  Must determine a way to repay all of the money he has stolen from the district.  If unable to pay the full amount, a payment plan will be set up.

Long term consequences:  Should the district decide to file charges with the police about the actions, the long term consequences would be severe.  The superintendent would have a difficult time finding a job in another district and might have to seek a new career path.  Certification could also be revoked or flagged, which is public record.

#3:  The superintendent who falsifies records for the district’s financial gain will suffer severe consequences.  Because he/she has tampered with federal funding, this would instantly become a criminal issue.  The consequences could involve loss of certification, a thorough criminal investigation by the Texas Rangers, and possible jail time.

#5:  The superintendent who violates the confidentiality of an employee, would suffer short term consequences such as the loss of trust of his/her faculty.  Staff members would be less likely to trust him/her.  The long term effects would occur if the teacher decides to file a formal complaint with SBEC.   More than likely there would be a slap on the hand, but it could lead to a flagged certificate which affects future employment possibilities.

Actions taken to avoid such ethical conflicts:

There are several steps superintendents can make to avoid a lapse in ethical judgment.  First, the superintendent needs to spend as much time as possible with students.   Spending time with students reminds us why we do what we do.  You are much less likely to steal from your district, when you have a relationship with the teachers and students you would be stealing from.  Accountability is also crucial.  The auditing system and FIRST system are two ways to keep internal controls in check.  All office staff should be trained in the procedures and should be confident in the fact that all unethical behavior is to be reported immediately.  Training office staff in the protocol for how they should handle a situation in which they believe the superintendent is being unethical is also important.  If you take time to teach them how to report you, they will know that you expect them to report any suspicion even if it involves you.  Finally, the superintendent must handle all unethical behavior in a firm, fair and consistent manner.  Letting the small things slide sends a message that it is okay to bend the rules.  Bending the rules leads to breaking the rules, which leads to nothing but pain and suffering for those involved.  Modeling ethical behavior creates an atmosphere of both accountability and trust.  These two things are critical to the success of any school district.

The District Audit

The auditing process for school districts is perhaps one of the most important parts of financial accountability.  This is the process that provides the information necessary to determine the FIRST rating.  Administrators and business managers spend the entire year putting procedures in place and preparing for the financial audit.

     Most administrators believe that it is advantageous to change auditors every 3 to 5 years.  This is due to the fact that auditors focus on varying areas of school finance.  Changing every few years will ensure that a district does not let any area slide out of compliance.  If we are focusing on the same things every year, then other areas may fall by the wayside and get us in trouble.

     When selecting an auditor, school districts follow the same search process they use for other areas of service.  Contacting other school districts who have used the company is a common practice.  Researching the company’s reputation is critical to making the best decision.  The superintendent would then interview the auditor, compare prices, etc before making a final decision.

     The procedures for conducting the audit vary from district to district.  Because our school district is small, the actual “auditor visit” only lasts one to two days.  Much of the exchange of information is completed electronically prior to the onsite visit.  This gives the auditor time to review documentation before coming on site.  The information sent prior to the visit includes payroll reports, account distribution journals, salary information, capital asset acquisition reports, etc.  After receiving these reports, the auditor completes much of his/her work at the office.  The main goal of reviewing this information is to determine whether or not the district has effective internal controls.

     The length of the onsite visit varies according to school district size.  In our small district, the auditor spends 2-3 days on campus.  This will be sometime during October or November, depending on the auditor’s calendar.  During the on campus visit, the auditor looks at supporting documentation for the internal controls.  This includes looking at specific check requests, purchase orders, receipts, etc.  Every single transaction above a certain materiality level (for HISD it is $10,000) are thoroughly checked for accuracy.  This amount changes every year. The auditor then picks random smaller transactions to be certain districts are following the same procedures whether the transaction involves $10 or $100,000.  Federal program documentation, bank reconciliations, personnel records are also evaluated for accuracy.  Personnel folders are check to ensure that salaries are being paid at the appropriate “step” level and that permanent folders contain the appropriate contents and documentation.  The business manager and other financial officers of the district must be available for questions and to provide the information the auditor requests.

     The results of the audit help district determine the effectiveness of their internal controls and procedures.  This includes accountability in PEIMS reports, human resources, School Board Minutes, and coding.  It is clear that the audit provides information on much more than money.  Districts discover whether or not they are in compliance with state and federal laws, spending money appropriately, and also documenting transactions in the appropriate manner.  A survey completed by staff members asks questions about anti-fraud procedures and whether or not staff members believe there is an opportunity for employees to commit fraud without being detected.  The audit is extremely thorough and provides valuable, detailed information about the effectiveness of district financial procedures.

     Upon the completion of the audit report, the auditor sends a preliminary copy of the report to the superintendent for review.  This gives the superintendent an opportunity to ask questions and/or defend any negative parts of the report.  The auditor then presents his report to the school board for approval.  This is done through a formal presentation at a regularly scheduled board meeting. The board has the opportunity to ask questions about any part of the report during the presentation before taking action to approve the final audit.  After approval, the auditor submits the report to TEA, which is then compared to the report sent to TEA by the business manager.  The district report must match the auditor report.  The deadline for submission of the final audit is January 31^st.

Personnel Salaries in District Budgets

     Throughout my administrative career, I have been told that personnel costs to a school district generally fall somewhere around 65% of the district budget.  This statement holds true in my school district.  Hico ISD has a total budget of $5,777,800 with personnel costs of $3,577,151.  The professional salaries are $2,929,511 and paraprofessional staff salaries are $647,640.  The percent of the total budget spent on salaries is 62%.  This has serious implications for districts that are struggling financially.  When struggling districts look to make budget cuts, it becomes clear that cutting in the area of salaries will have the largest impact.  When programs, supplies, etc only account for 38% of the budget, cuts in that area will have very little effect.  Therefore, administrators begin looking at staffing patterns as areas in which they can save money.

     The 5% salary increase for all personnel is a double-edged sword.  On the positive side, salary increases are sure to improve staff morale.  When teachers feel valued by their school district, their production increases as does their loyalty to the district. Offering increases each year provides an avenue to recruit and retain quality teachers.   I am certain that superintendents and school boards across the nation include salary increases in their budget as often as humanly possible.

     The negative side to the 5% salary increases is related to the cost to the district over a period of time.  Districts have a difficult time offering a salary increase one year, then taking it away the next.  This practice can have severely negative effects on staff morale and teacher attitudes.  Therefore, when a district commits to that type of increase, they are committing to the long haul.  A five percent increase each year means a 5% increase to the budget each year.  If this is not offset by a 5% increase in revenue, a district can find itself in financial crisis in a very short period of time.  For example, a 5% salary increase in Hico ISD would amount to a budget increase of $178,857 the first year, $187,800 the next year and so on.  This is a huge amount of money to a small district that is decreasing in enrollment and revenue.  Our superintendent recently created a table demonstrating the effect that step raises will have on our current budget over the next several years.  If our revenue does not increase, and we have no reason to believe it will, within 7-8 years our district would have used up nearly all of its fund balance.    That was an eye opening discovery for all of us.

    While the concept of a 5% salary increase is certainly something each district would like to apply, the reality of the budgetary impacts will most likely prevent it from happening.  This is just one of many difficult and negatively perceived decisions that must be made by school district administrators and boards.

Analyzing M&O

Hico ISD is a small school district with a refined ADA of 528.364.  Our district has suffered financially due to rapidly declining enrollment.  Over the past 4 years, we have made numerous cuts in personnel and continue to analyze the operations of our district looking for areas in which we can decrease spending.

     Hico is not a property rich school district.  Therefore, we rely heavily on funding from the state.  Our current WADA is 846.266, with a RACR per WADA at $4,897.  The Tier 1 Allotments from the state total $2,453,885.  We have a high percentage of economically disadvantaged students which allows us to receive additional compensatory ed funds ($404,099).   Other sources include Career Tech allotment ($303,084), Special Education ($372, 581), Gifted and Talented allotment ($18,565) and a bilingual allotment ($21,054).   The M&O revenue from local taxes is $1,794,083. 

     When comparing the source of funding with allocations and expenditures, I believe there is no question that Hico ISD is making excellent budgeting decisions.  We are fortunate to have an outstanding business manager and superintendent who are not only knowledgeable and intelligent, but also work very well together.  The budgeting decisions of our district are beyond reproach.

     As in most districts, the majority of our funds are spent on teacher salaries.  The state currently requires that 52% of comp ed funds are spent on instruction.  Due to our lack of funds and efforts to keep the number of staff necessary to provide the best instruction possible, we spend the other 48% of comp ed funding on salaries and other areas.  This is becoming more and more necessary as our funding decreases.  We try to make cuts in areas where students will be the least affected.  Unfortunately, we have already made cuts in those areas and are now having to make decisions that negatively affect class size.  Our teachers provide before and after school tutorials which allows us to code part of their salary to comp ed funds.  This seems like an effective budgeting decision as it will free up money in other areas that might normally be coded to salaries.

     The Career and Technology program at HISD is another area worth mentioning.  Most of our Career Tech courses are technology and agriculture.  The additional funding provided for CTE is spent on teacher salaries and instructional supplies.  We have considered cutting personnel in the area of CTE, but realized that the teachers are “paying for themselves” with the additional funding.  Cutting CTE teachers, means cutting CTE courses which results in fewer CTE funds.  That does not seem like a wise business decision.  We are always looking for way to add CTE courses that will meet the needs of our students.

     Hico ISD’s Team of Eight has some very difficult budgeting decisions to make in the coming months.  From combining campuses to cutting personnel, there will be very little good news coming from the business office.  However, the teachers, parents and community have a great amount of confidence and trust in the superintendent and the board.  I have no doubt they will continue to make the best decisions for our district during these difficult times.