Missouri Association of Missouri Association of School AdministratorsSchool Administrators

Ethics Issues for SuperintendentsEthics Issues for Superintendents

Missouri School Boards’ Association Conference, Missouri School Boards’ Association Conference, October 24, 2009October 24, 2009

PresentersPresenters

Roger Kurtz, Executive Director; MASA David McGehee, Lee’s Summit Aaron Zalis, Rolla John Cary, St. Louis Co. Special

Motivation For DiscussionMotivation For Discussion School administrator compensation questioned School administrator compensation questioned

by politicians and othersby politicians and others

Questions raised around the state regarding:Questions raised around the state regarding: Personal expensesPersonal expenses Email useEmail use Cell phone usageCell phone usage Automobile useAutomobile use Vendor relationsVendor relations

Motivation For DiscussionMotivation For Discussion MASA had no formal discussion on ethics MASA had no formal discussion on ethics

issues and only a reference to the AASA issues and only a reference to the AASA Ethics Statement in the MASA White PaperEthics Statement in the MASA White Paper

Growing sentiment among school Growing sentiment among school administrators that the association needs to administrators that the association needs to have an open discussion of ethics issueshave an open discussion of ethics issues

MASA Ethics Committee appointed by MASA Ethics Committee appointed by MASA President VeAnn Tilson in 2008MASA President VeAnn Tilson in 2008

MASA Ethics CommitteeMASA Ethics CommitteeMembership

Northwest Region: Rob Leachman, SmithvilleJeffrey Sumy, North Platte

Greater KC Region: David McGehee, Lee’s Summit (Chair)

West Central Region: David Lawrence, Lafayette Co. C-1

Southwest Region: Tim Taylor, Hollister

South Central Region: Aaron Zalis, Rolla

Southeast Region: Kelly Burlison, Fredericktown

Greater STL Region: John Cary, St. Louis Co. Special

Northeast Region: Roy Moss, North Callaway Co. R-1Fred Wiebling, Madison

GoalGoal

Provide recommendations to the MASA Executive Committee related to

school administrator ethics

Committee ChargeCommittee Charge Review MASA Ethics StatementReview MASA Ethics Statement

Discuss how to improve the image of school Discuss how to improve the image of school administratorsadministrators

Review and recommend policies and procedures to Review and recommend policies and procedures to address travel, expense reimbursement, meeting address travel, expense reimbursement, meeting attendance, handling of electronic communications, attendance, handling of electronic communications, etc.etc.

Discuss the issue of posting superintendent salary Discuss the issue of posting superintendent salary informationinformation

Review MASA Ethics StatementReview MASA Ethics Statement AASA Ethics Statement was used for MASAAASA Ethics Statement was used for MASA

Evaluated more than a dozen other Ethics Statements Evaluated more than a dozen other Ethics Statements from around the countryfrom around the country Many similarities foundMany similarities found

Recommended revisions to the AASA Statement of Recommended revisions to the AASA Statement of Ethics to be adopted by MASA as the:Ethics to be adopted by MASA as the:

MASA CODE OF ETHICS FOR MASA CODE OF ETHICS FOR SCHOOL ADMINISTRATORSSCHOOL ADMINISTRATORS

Standards should be promoted frequently to Standards should be promoted frequently to membership and public to ensure awarenessmembership and public to ensure awareness

Improving Image of School Improving Image of School AdministratorsAdministrators

Seek public opportunity to celebrate the positive Seek public opportunity to celebrate the positive impact that superintendents have on their schools and impact that superintendents have on their schools and communitiescommunities

Form a committee to include representatives from the Form a committee to include representatives from the Missouri School Public Relations Association to Missouri School Public Relations Association to develop a plan of actiondevelop a plan of action

Committee believes that image will improve as a Committee believes that image will improve as a result of adherence to a specific set of standards such result of adherence to a specific set of standards such as those being recommendedas those being recommended

Promotion of such standards will have a positive Promotion of such standards will have a positive impact on imageimpact on image

Review and Recommend Best Review and Recommend Best Practice Policies and ProceduresPractice Policies and Procedures

Discussion led to a wide array of issues for considerationDiscussion led to a wide array of issues for consideration

Work with the Missouri Association of School Business Work with the Missouri Association of School Business Officials to provide guidance to school districts in the area of Officials to provide guidance to school districts in the area of business-related policies and proceduresbusiness-related policies and procedures

Develop a Model Standard Business Operations Manual or Develop a Model Standard Business Operations Manual or template that would assist districts in developing their owntemplate that would assist districts in developing their own

Important to review such operations guidelines annually to Important to review such operations guidelines annually to remain current with accepted practice, statutes, and align with remain current with accepted practice, statutes, and align with existing economic climateexisting economic climate

Posting of Superintendent SalariesPosting of Superintendent Salaries Issue arose from previous attention given to this ideaIssue arose from previous attention given to this idea

Recommend no further study or posting of superintendent Recommend no further study or posting of superintendent salaries at this timesalaries at this time

Was not a major topic during the last legislative sessionWas not a major topic during the last legislative session

Salary information is readily available and already provided Salary information is readily available and already provided upon request on a regular basis in many districtsupon request on a regular basis in many districts

St. Louis Post Dispatch has created a data base in which you can look St. Louis Post Dispatch has created a data base in which you can look up any school employee’s salary information that is on record with the up any school employee’s salary information that is on record with the Department of Elementary and Secondary EducationDepartment of Elementary and Secondary Education

Vendor RelationsVendor Relations

ResponsibilityResponsibility ExpectationsExpectations EnvironmentEnvironment GuidelinesGuidelines

ResponsibilityResponsibility

A school district operates using funds A school district operates using funds collected from taxpayers for the benefit of the collected from taxpayers for the benefit of the district’s educational programdistrict’s educational program

As school leaders we have an obligation to As school leaders we have an obligation to maintain oversight of the resources that have maintain oversight of the resources that have been providedbeen provided

ExpectationsExpectations Citizens of our district have the expectation

that:

Money in our control will be safeguarded

Money will be spent wisely and for authorized purposes

When asset misappropriation occurs, the public’s trust is breached

EnvironmentEnvironment

School leaders must set the tone at the topSchool leaders must set the tone at the top Create and maintain a culture of honesty Create and maintain a culture of honesty

and high ethicsand high ethics Evaluate the risks of fraud and implement the Evaluate the risks of fraud and implement the

processes, procedures, and controls needed to processes, procedures, and controls needed to mitigate the risks and reduce the opportunities mitigate the risks and reduce the opportunities for fraudfor fraud

Develop an appropriate oversight processDevelop an appropriate oversight process Trust, but verifyTrust, but verify

EnvironmentEnvironment

Create an environment with internal controls – Create an environment with internal controls – even the smallest departments or districts must even the smallest departments or districts must have procedures for oversight and verificationhave procedures for oversight and verification

Create a culture that is open and allows Create a culture that is open and allows questions to be asked. Have a policy outlining questions to be asked. Have a policy outlining reporting fraud and abusereporting fraud and abuse

GuidelinesGuidelines

Adopt board policies regarding purchasing Adopt board policies regarding purchasing guidelinesguidelines

FollowFollow board policies regarding purchasing board policies regarding purchasing guidelinesguidelines

Samples of policies: Samples of policies:

MSBA (Handout)MSBA (Handout)

Samples of PoliciesSamples of Policies FISCAL ACCOUNTING AND REPORTING / FISCAL ACCOUNTING AND REPORTING /

ACCOUNTING SYSTEMACCOUNTING SYSTEM FILE: DI CRITICALFILE: DI CRITICAL

PETTY CASH ACCOUNTSPETTY CASH ACCOUNTS FILE: DJB BASICFILE: DJB BASIC

BIDDING REQUIREMENTSBIDDING REQUIREMENTS FILE: DJC CRITICALFILE: DJC CRITICAL

PURCHASINGPURCHASING FILE: DJF CRITICALFILE: DJF CRITICAL EXPENSE REIMBURSEMENTSEXPENSE REIMBURSEMENTS FILE: DLC BASICFILE: DLC BASIC

GuidelinesGuidelines

Communicate clearly appropriate and inappropriate Communicate clearly appropriate and inappropriate expendituresexpenditures

All purchases should have proper approval and All purchases should have proper approval and follow the district’s policiesfollow the district’s policies

All items on invoices should be verified as receivedAll items on invoices should be verified as received Request for expense reimbursement must have Request for expense reimbursement must have

original itemized receiptsoriginal itemized receipts Require W-9 forms for all vendors (reduces the Require W-9 forms for all vendors (reduces the

opportunity for bogus vendors to be established)opportunity for bogus vendors to be established)

GuidelinesGuidelines

Maintain your independence with vendorsMaintain your independence with vendors Avoid conflicts of interest with your vendorsAvoid conflicts of interest with your vendors Avoid the appearance of conflict of interest Avoid the appearance of conflict of interest

with your vendorswith your vendors Develop a vendors relation policyDevelop a vendors relation policy Periodically and systemically bid items – over Periodically and systemically bid items – over

time vendors may not be as competitive as time vendors may not be as competitive as they once werethey once were

Suggestions For Follow-upSuggestions For Follow-up Discuss ethics with leadership teams on a regular Discuss ethics with leadership teams on a regular

basisbasis Review appropriate vendor relations with staffReview appropriate vendor relations with staff School Boards work with administration to ensure School Boards work with administration to ensure

sound ethics policies and related procedures exist sound ethics policies and related procedures exist Include an ethics component in administrator Include an ethics component in administrator

evaluationsevaluations Know your own community’s values and priorities Know your own community’s values and priorities

when it comes to ethical behaviorwhen it comes to ethical behavior Reflect on your own experiences and behaviors with Reflect on your own experiences and behaviors with

a focus on ethicsa focus on ethics

ResourcesResources

Charter Charter MASA Code of Ethics for Educational MASA Code of Ethics for Educational

LeadersLeaders Summary Report of Ethics CommitteeSummary Report of Ethics Committee MSBA Sample Policies Sample Budget Guidelines DocumentSample Budget Guidelines Document Sample Travel Guidelines DocumentSample Travel Guidelines Document

Copies of these resources can be found atwww.masaonline.org, Ethics tab