Tehama County Office of Education Report

Tehama County Department of Education Technology Review February 6, 2009 Joel D. Montero Chief Executive Offi cer February 6, 2009 Larry Champion, Superintendent Tehama County Department of Education 1135 Lincoln St. P.O. Box 689 Tehama, CA 96080 Dear Superintendent Champion: In August 2008, the Tehama County Department of Education entered into an agreement with the Fiscal Crisis and Management Assistance Team (FCMAT) for a study that would perform the following: 1. Review the governance, organization, and staffi ng of SIRNET and make recommendations for improvement. 2. Review the services and operations performed by SIRNET and make recommendations for improvement. 3. Review the fee structure and cost allocation strategies associated with SIRNET and make recommendations for improvement. FCMAT conducted fi eldwork at the district September 11-12, 2008 to interview employees, review documents and collect information. This report is the the result of those activities. Thank you for allowing us to serve you, and please give our regards to all the employees of the Tehama County Offi ce of Education. Sincerely, Joel D. Montero Chief Executive offi cer TABLE OF CONTENTS i Table of Contents Foreword ...........................................................................iii Introduction ...................................................................... 1 Executive Summary ......................................................... 3 Findings and Recommendations ................................... 5 Governance, Organization and Staffi ng...................................................................................5 Service and Operations ...................................................................................................................11 Fee Structure and Cost Allocation Strategies .....................................................................13 Project Considerations ......................................................................................................................15 Appendices ......................................................................21 FOREWORD iii Foreword FCMAT Background The Fiscal Crisis and Management Assistance Team (FCMAT) was created by legislation in accordance with Assembly Bill 1200 in 1992 as a service to assist local educational agencies in complying with fi scal accountability standards. AB 1200 was established from a need to ensure that local educational agencies throughout California were adequately prepared to meet and sustain their fi nancial obligations. AB 1200 is also a statewide plan for county offi ces of education and school districts to work together on a local level to improve fi scal procedures and accountability standards. The legislation expanded the role of the county offi ce in monitoring school districts under certain fi scal constraints to ensure these districts could meet their fi nancial commitments on a multiyear basis. AB 2756 provides specifi c responsibilities to FCMAT with regard to districts that have received emer- gency state loans. These include comprehensive assessments in fi ve major operational areas and periodic reports that identify the district’s progress on the improvement plans. Since 1992, FCMAT has been engaged to perform nearly 700 reviews for local educational agencies, including school districts, county offi ces of education, charter schools and community colleges. Services range from fi scal crisis intervention to management review and assistance. FCMAT also provides professional development training. The Kern County Superintendent of Schools is the administrative agent for FCMAT. The agency is guided under the leadership of Joel D. Montero, Chief Executive Offi cer, with funding derived through appropriations in the state budget and a modest fee schedule for charges to requesting agencies. Total Number of Studies..............711 Total Number of Districts in CA 982 Management Assistance ..........675 (94.9%) Fiscal Crisis/Emergency ...............36 (5.1%) Note: Some districts had multiple studies. Districts (7) that have received emergency loans from the state. (Rev. 7/30/08) Study Agreements by Fiscal Year 80 70 60 50 40 30 20 10 0 92/93 93/94 94/95 95/96 96/97 97/98 98/99 99/00 00/01 01/02 02/03 03/04 04/05 05/06 06/07 07/08 08/09 Projected School District or COE name seidutS fo rebmuN Fiscal Crisis & Management Assistance Team INTRODUCTION 1 Introduction Background Located in the Northern California city of Red Bluff, the Tehama County Department of Education provides a variety of services to one unifi ed, two high school, and 15 elementary school districts. Recent retirements at the district superintendent level have resulted in a loss of institutional memory and as a result, 5 of the county offi ce’s18 school districts selected new superintendents beginning in 2008-09. Due in part to the number of small districts in Tehama County, district administrators have a long tradition of collegiality and a willingness to share expertise regarding system and operations questions. For example, when school districts in Tehama County required Internet access 15 years ago, administrators of the Red Bluff Joint Union High School District volunteered to become an Internet service provider (ISP) and host service delivery for the county offi ce and any interested Tehama County school districts. This effort grew into the System Information Resource Network for Education in Tehama (SIRNET). SIRNET was created as a consortium of seven districts and the Tehama County Department of Education with the sole purpose of providing Internet access and related services to those eight local educational agencies. Internet access was provided through a wide-area network (WAN) with related costs shared by consortium members. An agreement was drafted detailing rules, initial policies and the proposed governance structure of SIRNET. The agreement was signed by all eight participants and Internet access to the eight participants was provided by the high school district. During the following two years, seven additional districts were added to SIRNET and a new agreement was drafted in each of those years to include the new members. Since then, all school districts located in Tehama County have joined SIRNET and enjoy robust Internet delivery. Over the years, additional services have been added to the SIRNET contract, with districts sharing all costs according to the fee structure that had been designated in the original agreements. During the 1990s, most Tehama County school districts worked to integrate technology into their respective curriculum. SIRNET administrators again took the lead by offering to host the delivery of new technology applications, resulting in a lower overall cost to local school districts. Since 2000, the trend toward centralization has rapidly increased, resulting in greater consolidation of previously distributed applications and servers. This trend has signifi cantly added to the complexity of SIRNET operations and has blurred the lines of responsibility and accountability for the delivery of technology support services. Tehama County Department of Education 2 INTRODUCTION In July 2008, the county offi ce and FCMAT entered into an agreement for FCMAT to perform the following: 1. Review the governance, organization, and staffi ng of SIRNET and make recommendations for improvement. 2. Review the services and operations performed by SIRNET and make recommendations for improvement. 3. Review the fee structure and cost allocation strategies associated with SIRNET and make recommendations for improvement. Study Team The study team was composed of the following members: Andrew Prestage Steve Carr* FCMAT Management Analyst Executive Director, Technology Services Bakersfi eld, CA Ventura County Offi ce of Education Ventura, CA Leonel Martínez FCMAT Public Information Specialist Terrell Tucker* Bakersfi eld, CA Director, Information and Technology Panama-Buena Vista Union School District Bakersfi eld, CA *As members of this study team, these consultants were not representing their employers but were working solely as independent contractors for FCMAT. Study Guidelines FCMAT visited the district September 11-12, 2008 to interview employees, collect data and review information. This report is the result of those activities. Fiscal Crisis & Management Assistance Team EXECUTIVE SUMMARY 3 Executive Summary Recent retirements and employee turnover at the Tehama County Department of Education and county school districts and the resulting transition of leadership provided the county offi ce and districts with an opportunity to request an objective review of System Information Resource Network for Education in Tehama (SIRNET) organizational structure, operations, governance and countywide infl uence. As a county offi ce of education the Tehama County Department of Education has the responsibility to oversee and monitor the fi scal condition of all school districts in Tehama County. For the majority of county offi ces in California, these legislatively assigned responsibilities entail hosting and providing local school districts with access to a fi nancial system that can be used to generate accurate and timely fi scal information. Although the department of education does not directly control the fi nancial system used by local school districts, its legislatively assigned responsibilities remain. For this reason, FCMAT believes that continued hosting of SIRNET operations by the Red Bluff Joint Union High School District increases the department of education’s exposure to risk and potential liability. The SIRNET board should consider establishing a transition committee to plan the gradual and phased transfer of SIRNET services to the county offi ce. The SIRNET data center should continue to exist on the high school campus during the transition as operations are transferred in phases to the county offi ce. During this period, SIRNET operations will be divided between county offi ce facilities for resources that have been transferred and the district, which will continue hosting resources that have not yet been transferred. Provisions for reimbursement by SIRNET to the Red Bluff Joint Union High School District should be made to cover operational expenses incurred during the transition. SIRNET staff members have assumed the responsibility for E-rate fi lings for all districts in the county. The process of applying for E-Rate discounts is complex, and users must be thoroughly familiar with technology and the numerous strict application fi ling deadlines for completing applications. Tehama county school districts should consider contracting with an experienced E-Rate consultant to assist with completing applications accurately and ensuring that critical time lines and submission deadlines are met. A new student information system (Genesis) was recently purchased and installed by the SIRNET staff to support local district’s student data needs and accommodate the increasing state reporting requirements associated with the California Longitudinal Pupil Achievement Data System (CALPADS). The responsibilities of hosting, maintaining and supporting Genesis should be transferred to the Tehama County Department of Education. For interested school districts, the county offi ce should continue to host Genesis on an individual, contract basis. Tehama County Department of Education 4 EXECUTIVE SUMMARY SIRNET operations should be transferred from Red bluff Joint Union to the county offi ce in a gradual and phased manner. Extensive communication and teamwork will be required during the transition as the county offi ce and Red Bluff Joint Union will share SIRNET operations responsibilities during the transfer period. The county offi ce should establish a Project Manager to guide project activities. Oversight and guidance should be provided by a Transition Committee established by the SIRNET board. Major activities to be performed are discussed in the report. Fiscal Crisis & Management Assistance Team GOVERNANCE, ORGANIZATION AND STAFFING 5 Findings and Recommendations Governance, Organization, and Staffi ng A 1996-97 SIRNET agreement established that a 10-member Board of Directors comprised SIRNET’s governance structure. Each of SIRNET’s seven original (charter) school district superintendents held a board position, and three additional board members represented the three districts added to SIRNET during the 1996-97 school year. For the 1997-98 year, the agreement was amended to include four new members, but these members were not given voting rights or representation on the Board of Directors. Over the last few years, voting rights have been extended to any member district representative present at a SIRNET meeting. Several district superintendents indicated they were unclear as to the SIRNET voting eligibility requirements. Decisions have increasingly been made by a simple majority of those present at each meeting. Agendas are provided to all participating entities prior to the quarterly meetings, and attending member districts are included in voting. Original SIRNET agreements offered no guidelines for quorum numbers or proxy voting. SIRNET’s Board of Directors designated the Red Bluff Joint Union High School District as the administrative entity for the consortium with several management and oversight responsibilities. Those responsibilities included the following:  Providing staff support for board meetings including preparing agendas, minutes, and providing mailing meeting reminders;  Preparing and maintaining SIRNET’s budget and development of quarterly budget reports;  Invoicing member districts;  Obtaining prior authorization from the board before making budget adjustments;  Employer and supervisor of SIRNET technical support and maintenance staff. SIRNET and Red Bluff Union High School District each share a role as service providers, a role more commonly held by county offi ces of education. SIRNET’s budget is shared among all member districts. SIRNET staff members are technically employees of the district. These two factors require that both entities share a responsibility to ensure that work is prioritized fairly to avoid perceptions of preferential treatment. Similarly, regular updates should be provided to each member district to affi rm that they receive a fair share of SIRNET-funded support services. Some SIRNET board members expressed concern that the high school district may receive preferential support from SIRNET. However, a review of SIRNET’s support history and work order prioritization practices found no evidence that would substantiate claims of preferential support. Tehama County Department of Education 6 GOVERNANCE, ORGANIZATION AND STAFFING The district’s unique SIRNET management role has advantages and disadvantages for participating entities. For example, the high school district has accrued infrastructure upgrades such as high-speed network and costly fault tolerance equipment that would have been diffi cult to justify without SIRNET. On the other hand, the high school district has borne a disproportionate share of the costs associated with SIRNET operations. Increasing fi scal pressure on the high school district’s budget has led district administrators to review the costs of providing SIRNET to neighboring districts. The study team believes the district has shouldered more than its proportional share of the fi nancial burden associated with SIRNET for many years. For example, the district recently discovered that overhead expenses such as the cost of electricity to operate a data center have never been distributed among all SIRNET member districts. A new and more equitable cost allocation model should be developed to cover actual costs of technology resource delivery. SIRNET operations historically have been focused on accomplishing network-resource- related tasks while minimizing expenditures. One district administrator indicated that the county has a culture and history of accomplishing things inexpensively, but necessary changes will now result in higher costs. Several districts in the county are small and therefore do not have the resources to independently fund the network resources required to conduct business operations, maintain Internet connectivity, e-mail, student information system, or EduSoft student assessment system operations. As a result, several superintendents from these smaller school districts perceive that they have limited options regarding alternatives to the SIRNET-hosted delivery of business and network resources. Because the SIRNET and the district infrastructures are fundamentally merged, the high school district has gradually become increasingly responsible for complex operations more typically managed by county offi ces of education. For example, a small group of technology staff members from SIRNET and a few of the larger school districts in Tehama County were involved in evaluating and selecting the new student information system (SIS). The small number of participants involved in the evaluation phase resulted in the selection of a student information system that appears logical from a technical and functional perspective, but may not meet the districts’ information requirements and student data needs. In addition, the lack of a collaborative process for the evaluation and selection of a new SIS has resulted in additional implementation challenges because most users were surprised to hear about the selection of the new system. Although the selection team was able to acquire the new SIS on favorable fi nancial terms, the top-down implementation of any new system, regardless of how effective, is likely to result in user resistance because of a lack of participation during the selection phase. From its inception, SIRNET has grown and accrued numerous administrative and instructional systems. Individually, each incremental decision and step has represented a logical progression of collaborative resource delivery. Together, however, the responsibilities of systems operation accrued over the past 15 years have grown beyond Fiscal Crisis & Management Assistance Team GOVERNANCE, ORGANIZATION AND STAFFING 7 the organizational infl uence that any single school district should maintain on behalf of neighboring school districts and the county offi ce. FCMAT believes that a collaborative approach to meeting information processing needs continues to be the best option for Tehama school districts; however, a new technology governance structure and increased operational accountability are required. A phased transfer of SIRNET applications, servers, and operations to the county offi ce should begin immediately. Continued hosting of SIRNET operations by the district presents untenable risks for the county offi ce, Red Bluff Joint Union, and other local school districts. Fiduciary oversight and fi scal monitoring responsibilities require that county offi ces assume appropriate responsibility for the operation, maintenance, and management of systems required to support the information processing needs of fi scally dependent school districts within county boundaries. The district Technology Services (TS) Director performs district duties and also oversees the SIRNET project. In an effort to meet the demands for technology service support, the director of SIRNET started a private consulting business providing technology support services to local school districts. Although well intentioned, this has created the potential for actual or perceived confl ict of interest. The TS Director has management responsibilities associated with each of the following:  SIRNET  Site Support (a function where schools contract with the Red Bluff Joint Union for technology support)  The district Technology Services Department  Independent consultation and support services (on a contract basis with services similar to that of Site Support) The TS Director indicated that a legal opinion sought prior to the beginning of his private consulting business found no confl ict-of-interest issues. The perception among many district personnel is that a confl ict-of-interest issue exists simply due to independent work being performed during normal working hours. Nevertheless, the blurred lines of responsibility between SIRNET, site support, the district, and the privately operated business have left many district superintendents concerned about confl ict of interest issues and the level of support provided to the Red Bluff Joint Union High School District compared with that provided to the other school districts. One staff member commented that the three entities are so interconnected, it is impossible to address one without addressing the others. Some SIRNET board members perceive that the district is biased toward its internal support needs and that SIRNET staff are frequently called away from their site support responsibilities with no explanation. Since all technical staff members are shared between member districts and the Red Bluff Joint Union, it is often unclear who is benefi tting from technical support staff activities. Levels of responsibility should be drawn as clearly as Tehama County Department of Education 8 GOVERNANCE, ORGANIZATION AND STAFFING possible, and every attempt should be made to avoid the perception or reality of confl ict of interest. Most SIRNET board members questioned how the director could allocate support services impartially between the district, SIRNET, and the private consulting concern. The high school district’s board policy and Government Code Section 1126 each state that outside paid activities are incompatible with district employment if they require time periods that interfere with the proper, effi cient discharge of the employee’s duties, if they entail compensation from an outside source for activities that are part of the employee’s regular duties, or if they involve using for private gain the district’s name, prestige, time, facilities, equipment or supplies. Board policy and Government Code Section 1127 goes on to say that it is not the intent of the policy or article to prevent the employment by private business of a public employee, such as a peace offi cer, fi reman, forestry service employee, among other public employees, who is off duty to do work related to and compatible with his regular employment, or past employment, provided the person or persons to be employed have the approval of their agency supervisor and are certifi ed as qualifi ed by the appropriate agency. These board policies that deal with these issues are attached as Appendix A to this report. Recommendations The SIRNET Board of Directors should: 1. Update the SIRNET agreement and guidelines for board member voting rights to eliminate confusion as to voting eligibility, according to the current needs of member districts. In addition, the board should develop guidelines defi ning quorum status and proxy voting privileges to help guide SIRNET board meetings. 2. Create a process to ensure that SIRNET staff members continue to equitably prioritize requests for SIRNET support services among all member districts. 3. Require SIRNET staff members to continue documenting support activities to clearly differentiate and track support activities provided to Red Bluff Joint Union, SIRNET, and independent contracts for technology services. SIRNET staffi ng should be clearly defi ned to promote fairness in the determination of individual district cost allocations. Staff members operating under the umbrella of SIRNET should be fully allocated to the project and its related duties. SIRNET, site support, and the high school district’s Technology Services Department should be completely separate entities, each with its own manager. 4. Establish a transition committee to plan the gradual and phased transfer of SIRNET services to the Tehama County Department of Education. The committee should be comprised of representatives from the district, county offi ce, SIRNET, and all member school districts. The committee should identify specifi c SIRNET systems and services to be transferred to the county offi ce. A project Fiscal Crisis & Management Assistance Team GOVERNANCE, ORGANIZATION AND STAFFING 9 time line should be developed, detailing the orderly transfer of responsibility and operational accountability while minimizing possible interruption of user access to applications, servers, and support operations. Most of the concerns associated with the sharing of staff and duties would be eliminated by transferring responsibility for hosting network and administrative systems to the county offi ce. The SIRNET data center should continue to exist on the high school campus during the transition as operations are transferred to the county offi ce to ensure continuous availability of network resources. During the transfer period, SIRNET operations will be divided between county offi ce facilities for resources that have been transferred and the district, which will continue hosting resources that have not yet been transferred. Provisions for reimbursement by SIRNET to the Red Bluff Joint Union High School District should be made to cover operational expenses incurred during the phased transition.. 5. Consider transferring responsibility for site support services to the county offi ce. 6. Obtain an updated legal opinion regarding the potential confl ict-of-interest issues that arise from SIRNET staff members contracting independently with local school districts to provide technology consultation and support services. 7. Recommend to SIRNET staff members that private consultation services be discontinued immediately pending receipt of a new legal opinion. Tehama County Department of Education 10 GOVERNANCE, ORGANIZATION AND STAFFING Fiscal Crisis & Management Assistance Team SERVICES AND OPERATIONS 11 Services and Operations The original scope of SIRNET was the development and maintenance of a countywide WAN. This included providing an ISP, content fi ltering, servers, node connection fees, and the cost of a collector circuit to the district. The SIRNET budget for fi scal year 1997- 98 was $65,570, and the projected operating budget for fi scal year 2008-09 is $417,849. The scope of SIRNET has increased to include hosting a SIS, Novell network licensing agreements and support, desktop computer virus protection and 5.35 full-time equivalents (FTE) of technical support staff employed by the district. Recently, voice-over-Internet protocol (VoIP) services have been added as part of the SIRNET project. The SIS and VoIP technologies are benefi cial and necessary to most school districts; however, many district staff members felt uninvolved in the selection process and indicated no interest in participating in these two projects. The TS Director has historically performed all tasks related to E-rate documentation, application, and funding requirements on behalf of all school districts in Tehama County. School districts increasingly contract with an E-Rate consultant to maximize their discounts and minimize the delays associated with inquiries from representatives of the organization overseeing this federal discount program. Typically, E-Rate consultants charge either a fl at rate per year or a very small percentage of the discount the district receives with a “not to exceed” cap amount established in advance. E-Rate consultants that other school districts and county offi ces have contracted with for services include but are not limited to the following: Kim Friends California School Management Group 3333 Concours, Suite 4102 Ontario, CA 91764 (909) 944-7798 kfriends@csmgconsulting.com http://www.csmgconsulting.com Fred Brakeman Infi nity Communications & Consulting, Inc 1800 30th Street, Suite 175 Bakersfi eld, California 93301 (661) 716-1840 fbrakeman@infi nitycomm.com http://www.infi nitycomm.com Tehama County Department of Education 12 SERVICES AND OPERATIONS Additional E-Rate consultants can be identifi ed through an Internet search or contacting other school districts. The relatively small cost for these services can be justifi ed by maximizing the discounts that be obtained by an experienced consultant, and the staff member currently assigned to perform E-Rate tasks could be reassigned to perform other tasks. SIRNET staff members have also assumed the responsibility of student reporting to the state of California. These include reporting responsibilities to the California Basic Educational Data System (CBEDS), Language Census, California School Information Services (CSIS) and upcoming California Longitudinal Pupil Achievement Data System (CALPADS). Accomplishing state-mandated reporting for the county offi ce and 18 local school districts is a monumental task. The SIRNET support team recently purchased and installed a new student information system (Genesis) to accommodate the increasing state reporting requirements of the CALPADS. Several staff members indicated that the new SIS lacked proper implementation support and perceive the new system was implemented without widespread agreement. District staff also indicated they were told that they would not be able to participate in CALPADS if the system was not immediately implemented. FCMAT determined that initial evaluations of competing SIS products were performed by six technical staff members with no involvement by the site staff members responsible for attendance or other student matters. Smaller school districts are not in a fi nancial position to act independently, and some district staff expressed frustration that they were not involved in the planning for the system but must share in the cost. Recommendations The SIRNET Board of Directors should: 1. Consider eliminating SIRNET services that are not WAN-related such as VoIP. Individual school districts that choose to further investigate VoIP should consider contracting directly with the district to obtain needed support and services. 2. Consider contracting with an experienced E-Rate consultant to assist with completing applications accurately and ensuring that critical time lines and submission deadlines are met. 3. Transfer responsibility for Genesis hosting, maintenance and support to the county offi ce. The county offi ce should continue to host Genesis for interested school districts on an individual contract basis. 4. Evaluate the ability of local school districts to assume responsibility for state reporting and CSIS-related tasks, including the CALPADS. Normally, local district personnel are much more familiar with student data and associated needs, and would be better positioned to track student demographics, attendance and mobility. Fiscal Crisis & Management Assistance Team FEE STRUCTURE AND COST ALLOCATION STRATEGIES 13 Fee Structure and Cost Allocation Strategies SIRNET was formed on the basis of shared costs for all services provided by the consortium. Consortium members widely acknowledge that SIRNET has cost much less than similar vendor-provided services. Consortium members believe the individual districts have benefi tted greatly from shared services and appreciate SIRNET’s cost- effectiveness. Several SIRNET board members perceive that some decisions have been made based on the needs of the Red Bluff Joint Union High School District rather than the needs of smaller member districts. These perceptions are due in part to the lack of represented governance and communication within SIRNET. District superintendents who initially attended SIRNET meetings gradually began to realize they did not have the expertise to make informed decisions and contributions. One SIRNET staff member indicated that it is sometimes diffi cult to convince 17 different school districts to agree on a decision. SIRNET discussions and resulting decisions often involved only those present at meetings. Subsequently, superintendents often questioned decisions that had a major fi nancial impact on their districts. The cost of providing SIRNET technology services has risen steadily for the past 13 years. Additional staff has been required to manage network connections and devices, student information, library circulation services, and increasingly complex WAN operations. The initial funding formula has been followed even with the addition of products offered by SIRNET. Cost allocations have been well documented and shared by all member districts. Despite this, as SIRNET operations have expanded, some SIRNET members developed a perception that they are being charged for services they never requested. Recommendations The SIRNET Board of Directors should: 1. Evaluate the current fee structures and cost allocation strategies and provide each member district with written clarifi cation on the basis for sharing costs. 2. Ensure that all member district superintendents are fully aware of new strategies and participate fully in the selection process for software. Member districts should also be allowed to participate in the voting process either by proxy or mail. Although SIRNET’s current cost allocation strategies are appropriate, the consortium needs greater participation by each member district. Increased communication is required whenever there is a planned discussion of major items that carry a signifi cant fi nancial impact. Tehama County Department of Education 14 FEE STRUCTURE AND COST ALLOCATION STRATEGIES Fiscal Crisis & Management Assistance Team PROJECT CONSIDERATIONS 15 Project Considerations Operationally and technically, SIRNET is a well supported, stable and smoothly functioning collection of systems and hardware. As a result, FCMAT believes that the major risk factors associated with the migration will come from breakdowns in leadership or communications (rather than technical diffi culties). Mitigating these risks will require extensive cooperation between the county offi ce and Red Bluff Joint Union, the selection of an experienced Project Manager to guide project activities, clear defi nition of roles and responsibilities, open and effective communication, and a strong executive will to see the project through to completion. Cooperation Between the County Offi ce and District SIRNET demonstrates the willingness among Tehama County school districts to work together inclusively, collaboratively and resourcefully to the benefi t of all Tehama county students. Although collaboratively administered, SIRNET evolved slowly over many years largely from the efforts and technical expertise of the TS Director. Successful migration will depend on the continued cooperation and involvement of the TS Director. For example, the TS Director will be required to assist with circuit identifi cation and help to facilitate the eventual transfer of all district circuits to the county offi ce. In addition, the director will be required to provide information regarding current service delivery and equipment ownership. Administrators from the county offi ce should work with those from the district to develop a common understanding and agreement for the TS Director’s level of involvement in the migration and related activities. County offi ce and district administrators will also need to negotiate about which hardware assets should remain at the district. Although SIRNET owns a substantial amount of the equipment currently housed at Red Bluff Joint Union, the TS Director comingled numerous applications and functions on individual servers, some of which may be required by the district for internal processes. Project Management A critical prerequisite for successful migration will be for the county offi ce to establish a dedicated Project Manager position to assume primary responsibility for all migration activities. The individual selected to for this position should have extensive experience in project management and should possess proven leadership and communication skills. Although the TS Director could serve as Project Manager, the daily operational responsibilities of SIRNET would become a distraction and limit the involvement required for project management. The SIRNET board should establish a Transition Committee to provide guidance to the Project Manager on migration activities. Tehama County Department of Education 16 PROJECT CONSIDERATIONS Defi nition of Roles and Responsibilities Successful migration will require extensive cooperation and understanding between the administrations and the staff members of several local educational agencies (LEA). Despite the most extensive planning and collaboration, all Tehama LEAs should anticipate some migration diffi culties. Many obstacles can be avoided by ensuring that industry standard project management techniques are implemented and followed during all phases of the migration. This should include developing a well-communicated and publicized task and accountability matrix that defi nes specifi c roles, responsibilities, assignments, due dates, time lines, and task- interdependency information. Establishing clear defi nition of roles and responsibilities will minimize confusion and potential interruption of services when migration problems arise. Communication Channels The decisions made and actions taken during the migration will have long-lasting consequences for the county offi ce and local school districts. It is imperative that effective communication channels be established early in the project to ensure that the process is as inclusive, collaborative and transparent as possible. Minutes of Transition Committee meetings should be prepared and distributed to all SIRNET board members following each steering committee meeting. The project time line should be posted to the SIRNET Web page to keep all stakeholders informed regarding project progress and milestones. Executive Sponsorship Loss of management focus and executive sponsorship presents a signifi cant risk in long- term projects as administrators who were involved in early migration decisions accept other responsibilities or jobs. Management turnover often leads to a loss of project vision, sponsorship and the executive will to see the project through to completion. The SIRNET board should recognize and take steps to mitigate the risks associated with the loss of executive sponsorship to ensure that key stakeholders remain fully engaged during migration. Project Time Line FCMAT recommends that the county offi ce develop and follow a phased approach similar to the one presented below to transfer services currently hosted and delivered from Red Bluff Joint Union to the county offi ce. Although phases are separated by function some events can run simultaneously. Fiscal Crisis & Management Assistance Team PROJECT CONSIDERATIONS 17 Phase 1 The county offi ce establishes and recruits a Project Manager. Eventually, a net- work engineer will also be required, but this step can occur after the county offi ce begins installing a data center. An analysis and inventory is conducted of equipment and services hosted by Red Bluff Joint Union. The analysis should include any items that were fully or partially purchased with SIRNET funds. Results of this analysis will be used in a later phase to determine which equipment should remain at the district and which should be moved to the county offi ce data center. The information-gathering project should consider the following: • How many nodes terminate in the district main distribution frame (MDF)? • How many routers, switches, fi rewalls, and related equipment are involved? • What network services are being offered (e.g., spam and content fi ltering, network traffi c shaping and/or bandwidth optimization)? • What network account structure and maintenance tools and dependencies are provided by the district? • Which applications are hosted by district (e.g., Genesis SIS, student assess- ment applications, library catalog systems, business applications, and other student curriculum applications)? • What other services are being hosted by the district (e.g., e-mail, fi le and print services, etc.)? • What are the district’s current data protections and disaster recovery plans? This assessment should refl ect recovery point and recovery time objectives, disk-to-disk and disk-to-tape backups, off-site backup storage, warm site replication, enterprise uninterruptable power supply (UPS) and utility fi lter- ing, propane or diesel generator, etc. All physical work is postponed, including reconfi guration or transfer of equip- ment, pending creation of a detailed migration plan and time line by the Project Manager and Transition Committee. Phase 2 The fi ber circuit between the district and county offi ce is upgraded to one gigabit to increase network performance. Work begins on switching all fi ber and copper connections to the county offi ce. Since the district is the node site for the K-12 High Speed Network, all local district network circuits terminate at the high school district. This will require coordination with the Corporation for Education Network Initiatives in California (CENIC – the organization that manages network connections) and AT&T (the Tehama County Department of Education 18 PROJECT CONSIDERATIONS copper and fi ber connection provider for the circuits that run between districts and the node site). Contact should be made immediately to arrange for help with managing the circuit relocation and to ensure connectivity through the federally funded E-Rate process. All fi ber and copper district circuits that terminate at the high school district are switched to the county offi ce. While individual and clustered circuits from districts should eventually terminate at the county offi ce, a gigabit circuit should aggregate suffi ciently in the short run until circuit relocation has been completed. Priority for moving district circuits should be conducted in accordance with which systems are determined to be best served directly from county offi ce. Phase 3 Following relocation of the circuits, all switches and fi rewalls are moved from the high school district to the county offi ce. This task may be particularly diffi cult to complete as some of the equipment may be the property of the high school district and SIRNET. The county offi ce completes a new data center based on the information gathered in Phase 1. Ideally, the data center should be internal to the county offi ce main building for security reasons. If space is not available, the county offi ce should consider relocating a function currently housed in the main building to a portable structure or off-site location. Prior to completion of the data center, a router will suffi ce in the short-term to provide aggregated services over the one gigabit circuit between the county offi ce and district. The new data center should have provisions for necessary power, heating ventilation and air conditioning (HVAC), and rack space allocations for necessary servers, switches and routers. In addition, the following items should be considered in the design and construction of the new data center: • Server virtualization; • Enterprise UPS and utility power conditioning; • Energy effi cient redundant HVAC; • Electrical load of servers, appliances and network equipment; • Cable trays and conduits; • Rack space for all plant and equipment; • Built-in growth capacity of at least 25-30%, and; • Security for physical access, environmental controls, video monitoring, data protection and disaster recovery including disk-to-disk and disk-to-tape processes and storage area network design. Processes and procedures should be developed for recovery points and time objectives to reestablish business continuity. Fiscal Crisis & Management Assistance Team PROJECT CONSIDERATIONS 19 Phase 4 Detailed analysis is performed to determine the systems best served to districts directly by the county offi ce. When analysis is complete, a plan is developed detailing the process to be followed to ensure orderly transfer of servers and other necessary hardware to the county offi ce . A request to the local telecommunications service provider is submitted to termi- nate district-originating circuits directly to the county offi ce. Priority can be given to districts that will receive services directly from county offi ce for systems such as Genesis, VoIP, etc. Negotiations are conducted with the district to determine relative percentage ownership of equipment among all districts. The completed analysis from Phase 1 provides information to help determine which hardware assets are fully or partially owned by SIRNET. Negotiations focus on the equipment necessary to deliver identifi ed services directly from the county offi ce. Remote administration is performed while the equipment is housed at the district, but the effectiveness of service delivery will be increased by housing the servers, switches and routers in the county offi ce data center. A determination is made regarding which staff member positions should be transferred to the county offi ce. Positions to be considered should include system analyst, student system support technician, help desk support, etc. For technol- ogy support, many county offi ces are staffed with a director, network manager, systems analyst, systems administrator, applications manager and desktop support technicians. Each position must have a clear defi nition of duties as identifi cation of services are determined. Recommendations The SIRNET Board of Directors should: 1. Ensure that an agreement is reached between county offi ce and district adminis- trators authorizing the TS Director’s participation, coordination, and communica- tion activities related to the migration project. Negotiations should also address which hardware assets should be transferred with the migration and which items should remain at the district. 2. Establish the position of Project Manager to assume primary responsibility for all migration activities. The Project Manager should be established for a period of 24-36 months to ensure that all migration activities are completed successfully. Tehama County Department of Education 20 PROJECT CONSIDERATIONS 3. Ensure that the Project Manager implements and follows industry-standard project management techniques during all phases of the migration. This should include clear defi nition of roles, responsibilities, assignments, due dates, time lines, and task interdependency information. 4. Establish a Transition Committee comprised of administrators from the county offi ce, the Red Bluff Joint Union High School District, the Corning Union Elemen- tary School District and the Red Bluff Union Elementary School District. The Project Manager should chair monthly committee meetings for the duration of the migration project. 5. Ensure that meeting minutes of Transition Committee meetings are prepared and distributed to all SIRNET board members following every meeting. 6. Ensure that the meeting minutes are used to provide feedback that helps ensure that items discussed during Transition Committee meetings are acted on appro- priately and in a timely manner. 7. Ensure that the project time line is posted to the SIRNET Web page to keep all interested stakeholders appraised of progress toward stated migration milestones. 8. Immediately contact the K-12 High Speed Network to provide an update on the general plans for circuit relocation and to begin discussions related to relocation of the CENIC circuits from the high school district to the county offi ce. The network contact telephone number is (760) 312-6158. More information can be obtained on the network Web site at http://www.k12hsn.org/. Fiscal Crisis & Management Assistance Team APPENDICES 21 Appendices A: Applicable Board Policy B: Study Agreement Tehama County Department of Education 22 APPENDICES Fiscal Crisis & Management Assistance Team APPENDICES 23 Red Bluff Union HSD Board Policy BP 4136 4236,4336 Personnel Nonschool Employment The Governing Board recognizes that district employees may receive compensation for outside activities as long as these activities are not inconsistent, incompatible, in conflict with, or inimical to the employee's duties or to the duties, functions or responsibilities of the district. Outside paid activities are incompatible with district employment if they require time periods that interfere with the proper, efficient discharge of the employee's duties, if they entail compensation from an outside source for activities which are part of the employee's regular duties, or if they involve using for private gain the district's name, prestige, time, facilities, equipment or supplies. (cf. 1321 - Solicitation of Funds from and by Students) (cf. 4119.21/4219.21/4319.21 - Codes of Ethics) (cf. 4135 - Soliciting and Selling) (cf. 4137 - Tutoring) District employees shall not perform, without prior Board approval, any outside paid service which will be wholly or in part subject to the approval or control of another district employee or a district officer. (cf. 4132 - Publication or Creation of Materials) (cf. 6161.1 - Selection and Evaluation of Instructional Materials) (cf. 9270 - Conflict of Interest) Upon determining that an employee's outside job is incompatible with district employment, the Superintendent or designee shall so inform the employee. An employee who continues to pursue an incompatible activity may be subject to disciplinary action. Appeals shall be addressed in accordance with law, Board policy and administrative regulations. (cf. 4118 - Suspension/Disciplinary Action) (cf. 4119.1 - Civil and Legal Rights) (cf. 4144/4244/4344 - Complaints) (cf. 4218 - Dismissal/Suspension/Disciplinary Action) Tehama County Department of Education 24 APPENDICES Legal Reference: EDUCATION CODE 35160 Authority of governing boards 35160.1 Broad authority of school districts 51520 Prohibited solicitation on school premises GOVERNMENT CODE 1126 Incompatible activities of employees Policy RED BLUFF JOINT UNION HIGH SCHOOL DISTRICT adopted: February 15, 1995 Red Bluff, California Fiscal Crisis & Management Assistance Team APPENDICES 25 Red Bluff Joint Union HSD Board Bylaw BB 9270 Board Bylaws Conflict Of Interest Incompatible Activities Governing Board members shall not engage in any employment or activity which is inconsistent with, incompatible with, in conflict with or inimical to the Board member's duties as an officer of the district. (Government Code 1126) Conflict of Interest Code The district's conflict of interest code shall be comprised of the terms of 2CCR 18730 and any amendments to it adopted by the Fair Political Practices Commission, together with a district attachment specifying designated positions and the specific types of disclosure statements required for each position. Upon direction by the code reviewing body, the Board shall review the district's conflict of interest code in even-numbered years. If no change in the code is required, the district shall submit by October 1 a written statement to that effect to the code reviewing body. If a change in the code is necessitated by changed circumstances, the district shall submit an amended code to the code reviewing body. (Government Code 87306.5) When a change in the district's conflict of interest code is necessitated by changed circumstances, such as the creation of new designated positions, amendments or revisions, the changed code shall be submitted to the code reviewing body within 90 days. (Government Code 87306) When reviewing and preparing conflict of interest codes, the district shall provide officers, employees, consultants and members of the community adequate notice and a fair opportunity to present their views. (Government Code 87311) If a Board member or designated employee determines that he/she has a financial interest in a decision, as described in Government Code 87103, this determination shall be disclosed. The member shall be disqualified from voting unless his/her participation is legally required. (2 CCR 18700) Statements of economic interests submitted to the district by designated employees in accordance with the conflict of interest code shall be available for public inspection and reproduction. (Government Code 81008) Tehama County Department of Education 26 APPENDICES Financial Interest Board members and designated employees shall not be financially interested in any contract made by the Board or in any contract they make in their capacity as Board members or designated employees. (Government Code 1090) A Board member shall not be considered to be financially interested in a contract if his/her interest includes, but is not limited to, any of the following: (Government Code 1091.5) 1. That of an officer who is being reimbursed for his/her actual and necessary expenses incurred in the performance of an official duty 2. That of a recipient of public services generally provided by the public body or board of which he/she is a member, on the same terms and conditions as if he or she were not a member of the board 3. That of a landlord or tenant of the contracting party if such contracting party is the federal government or any federal department or agency, this state or an adjoining state, any department or agency of this state or an adjoining state, any county or city of this state or an adjoining state, or any public corporation or special, judicial or other public district of this state or an adjoining state unless the subject matter of such contract is the property in which such officer or employee has such interest as landlord or tenant in which even his/her interest shall be deemed a remote interest within the meaning of, and subject to, the provisions of Government Code 1091 4. That of a spouse of an officer or employee of the district if his/her spouse's employment or officeholding has existed for at least one year prior to his/her election or appointment 5. That of a nonsalaried member of a nonprofit corporation, provided that such interest is disclosed to the Board at the time of the first consideration of the contract, and provided further that such interest is noted in its official records 6. That of a noncompensated officer of a nonprofit, tax-exempt corporation which, as one of its primary purposes, supports the functions of the nonprofit board or to which the school Board has a legal obligation to give particular consideration, and provided further that such interest is noted in its official records 7. That of a person receiving salary, per diem, or reimbursement for expenses from a governmental entity, unless the contract directly involves the department of the government entity that employs the officer or employee, provided that such interest is disclosed to the Board at the time of consideration of the contract, and provided further that such interest is noted in its official records Fiscal Crisis & Management Assistance Team APPENDICES 27 8. That of an attorney of the contracting party or that of an owner, officer, employee or agent of a firm which renders, or has rendered, service to the contracting party in the capacity of stockbroker, insurance agent, insurance broker, real estate agent, or real estate broker, if these individuals have not received and will not receive remuneration, consideration, or a commission as a result of the contract and if these individuals have an ownership interest of less than 10 percent in the law practice or firm, stock brokerage firm, insurance firm or real estate firm In addition, a Board member or employee shall not be deemed to be interested in a contract made pursuant to competitive bidding under a procedure established by law if his/her sole interest is that of an officer, director, or employee of a bank or savings and loan association with which a party to the contract has the relationship of borrower or depositor, debtor or creditor. (Government Code 1091.5) A Board member shall not be deemed to be financially interested in a contract if he/she has only a remote interest in the contract and if the remote interest is disclosed during a Board meeting and noted in the official Board minutes. The affected Board member shall not vote or debate on the matter or attempt to influence any other Board member to enter into the contract. Remote interests are specified in Government Code 1091(b); they include, but are not limited to, the interest of a parent in the earnings of his/her minor child. (Government Code 1091) A Board member may enter into a contract if the rule of necessity or legally required participation applies as defined in Government Code 87101. Even if there is no prohibited or remote interest, a Board member shall abstain from voting on personnel matters that uniquely affect a relative of the Board member. A Board member may vote, however, on collective bargaining agreements and personnel matters that affect a class of employees to which the relative belongs. "Relative" means an adult who is related to the person by blood or affinity within the third degree, as determined by the common law, or an individual in an adoptive relationship within the third degree. (Education Code 35107) A relationship within the third degree includes the individual's parents, grandparents and great-grandparents, children, grandchildren and great-grandchildren, brothers, sisters, aunts and uncles, nieces and nephews, and the similar family of the individual's spouse unless the individual is widowed or divorced. Disqualification for Board Members Who Manage Public Investments A Board member who manages public investments pursuant to Government Code 87200 and who has a financial interest in a decision shall, upon identifying a conflict or potential conflict of interest and immediately prior to the consideration of the matter, do all of the following: 1. Publicly identify the financial interest that gives rise to the conflict or potential Tehama County Department of Education 28 APPENDICES conflict of interest in detail sufficient to be understood by the public, except that disclosure of the exact street address of a residence is not required. (Government Code 87105) 2. Recuse himself/herself from discussing and voting on the matter, or otherwise acting in violation of Government Code 87100. This Board member shall not be counted toward achieving a quorum while the item is discussed. (Government Code 87105; 2 CCR 18702.5) 3. Leave the room until after the discussion, vote and any other disposition of the matter is concluded, unless the matter has been placed on the portion of the agenda reserved for uncontested matters. (Government Code 87105) If the item is on the consent calendar, the Board member must recuse himself/herself from discussing or voting on that matter, but the Board member is not required to leave the room during the consent calendar. (2 CCR 18702.5) (cf. 3430 - Investing) The Board member may speak on the issue during the time that the general public speaks on the issue. The Board member shall recuse himself/herself from voting on the matter and leave the dais to speak from the same area as members of the public. He/she may listen to the public discussion of the matter with members of the public. (Government Code 87105; 2 CCR 18702.5) If the Board’s decision is made during closed session, the public identification may be made orally during the open session before the Board goes into closed session and shall be limited to a declaration that his/her recusal is because of a conflict of interest pursuant to Government Code 87100. The Board member shall not be present when the decision is considered in closed session or knowingly obtain or review a recording or any other non-public information regarding the Board’s decision. (2 CCR 18702.5) Gifts Board members and designated employees may accept gifts only under the conditions and limitations specified in Government Code 89503 and 2 CCR 18730. The limitations on gifts do not apply to wedding gifts and gifts exchanged between individuals on birthdays, holidays and other similar occasions, provided that the gifts exchanged are not substantially disproportionate in value. (Government Code 89503) Gifts of travel and related lodging and subsistence shall be subject to the prevailing gift limitation except as described in Government Code 89506. A gift of travel does not include travel provided by the district for Board members and designated employees. (Government Code 89506) Fiscal Crisis & Management Assistance Team APPENDICES 29 Honoraria Board members and designated employees shall not accept any honorarium, which is defined as any payment made in consideration for any speech given, article published, or attendance at any public or private gathering, in accordance with law. (Government Code 89501, 89502) The term honorarium does not include: (Government Code 89501) 1. Earned income for personal services customarily provided in connection with a bona fide business, trade or profession unless the sole or predominant activity of the business, trade or profession is making speeches 2. Any honorarium which is not used and, within 30 days after receipt, is either returned to the donor or delivered to the district for donation into the general fund without being claimed as a deduction from income for tax purposes APPENDIX DESIGNATED POSITIONS/DISCLOSURE CATEGORIES It has been determined that persons occupying the following positions manage public investments and shall file a full statement of economic interests pursuant to Government Code 87200: Governing Board Members Superintendent of Schools 1. Persons occupying the following positions are designated employees in Category 1: Assistant/Associate Superintendent Purchasing Agent Designated persons in this category must report: a. Interests in real property located entirely or partly within district boundaries, or within two miles of district boundaries or of any land owned or used by the district. Such interests include any leasehold, beneficial or ownership interest or option to acquire such interest in real property. b. Investments or business positions in or income from sources which: (1) Are engaged in the acquisition or disposal of real property within the district (2) Are contractors or subcontractors which are or have been within the past two Tehama County Department of Education 30 APPENDICES years engaged in work or services of the type used by the district or (3) Manufacture or sell supplies, books, machinery or equipment of the type used by the district 2. Persons occupying the following positions are designated employees in Category 2: Director Principal Assistant Principal Maintenance and Operations Director Program Coordinator Project Specialist Supervisor Designated persons in this category must report investments or business positions in or income from sources which: a. Are contractors or subcontractors engaged in work or services of the type used by the department which the designated person manages or directs, or b. Manufacture or sell supplies, books, machinery or equipment of the type used by the department which the designated person manages or directs. For the purposes of this category, a principal's department is his/her entire school. 3. Consultants are designated employees who must disclose financial interests as determined on a case-by-case basis by the Superintendent or designee. The Superintendent or designee's written determination shall include a description of the consultant's duties and a statement of the extent of disclosure requirements based upon that description. All such determinations are public records and shall be retained for public inspection along with this conflict of interest code. A consultant is an individual who, pursuant to a contract with the district, makes a governmental decision whether to: (2 CCR 18701) a. Approve a rate, rule or regulation b. Adopt or enforce a law c. Issue, deny, suspend or revoke a permit, license, application, certificate, approval, order or similar authorization or entitlement d. Authorize the district to enter into, modify or renew a contract that requires district approval Fiscal Crisis & Management Assistance Team APPENDICES 31 e. Grant district approval to a contract or contract specifications which require district approval and in which the district is a party f. Grant district approval to a plan, design, report, study or similar item g. Adopt or grant district approval of district policies, standards or guidelines A consultant is also an individual who, pursuant to a contract with the district, serves in a staff capacity with the district and in that capacity participates in making a governmental decision as defined in 2 CCR 18702.2 or performs the same or substantially all the same duties for the district that would otherwise be performed by an individual holding a position specified in the district's Conflict of Interest Code. (2 CCR 18701) Legal Reference: EDUCATION CODE 1006 Qualifications for holding office 35107 School district employees 35230-35240 Corrupt practices 35233 Prohibitions applicable to members of governing boards 35239 Compensation for board members in districts under 70 ADA GOVERNMENT CODE 1090-1098 Prohibitions applicable to specified officers 1125-1129 Incompatible activities 81000-91015 Political Reform Act of 1974, especially: 82011 Code reviewing body 82019 Definition of designated employee 82028 Definition of gifts 82030 Definition of income 87100-87103.6 General prohibitions 87200-87210 Disclosure 87300-87313 Conflict of interest code 87500 Statements of economic interests 89501-89503 Honoraria and gifts 91000-91014 Enforcement CODE OF REGULATIONS, TITLE 2 18110-18997 Regulations of the Fair Political Practices Commission, especially: 18702.5 Public identification of a conflict of interest for Section 87200 filers COURT DECISIONS Thorpe v. Long Beach Community College District, (2000) 83 Cal.App.4th. 655 Kunec v. Brea Redevelopment Agency, (1997) 55 Cal.App.4th 511 ATTORNEY GENERAL OPINIONS 86 Ops.Cal.Atty.Gen. 138(2003) 85 Ops.Cal.Atty.Gen. 60 (2002) 82 Ops.Cal.Atty.Gen. 83 (1999) 81 Ops.Cal.Atty.Gen. 327 (1998) Tehama County Department of Education 32 APPENDICES 80 Ops.Cal.Atty.Gen. 320 (1997) 69 Ops.Cal.Atty.Gen. 255 (1986) 68 Ops.Cal.Atty.Gen. 171 (1985) 65 Ops.Cal.Atty.Gen. 606 (1982) Management Resources: WEB SITES Fair Political Practices Commission: http://www.fppc.ca.gov Bylaw RED BLUFF JOINT UNION HIGH SCHOOL DISTRICT adopted: September 12, 2007 Red Bluff, California Fiscal Crisis & Management Assistance Team APPENDICES 33 Tehama County Department of Education 34 APPENDICES Fiscal Crisis & Management Assistance Team APPENDICES 35 Tehama County Department of Education 36 APPENDICES Fiscal Crisis & Management Assistance Team