School Bond Success: A Strategy for Building America's Schools, 3rd Edition

EDUCATION * FINANCE

Third Edition

“School Bond Success is a must-read for every school board member, superintendent, and aspiring district leader. I have used every edition of the text in our superintendent program and it has become the superintendent bible for successfully passing and managing school bond issues. It is an imperative resource for everyone involved in school finance and twenty-first-century leadership.” —Steve Jenkins, associate professor of educational leadership, Lamar University “This book will serve as an effective guide for any school district or government organization contemplating an election. It provides a practical approach to presenting information to the voting public in an organized and sequential fashion. I have followed the guidelines presented in this book in directing successful election campaigns for school building construction as well as an opt-out of the general fund property tax limitation. Therefore, I recommend this book as a valuable resource to school or government officials directing public election campaigns.” —Mark Froke, superintendent of schools, Vermillion, South Dakota “I worked in a public school district that had significant historical challenges in passing bond issues. In the 1990s they failed seven attempts, in 2003 and 2004 they again failed twice. In 2005, I took the position of superintendent of schools, and we were given a structural engineer’s report that said we needed to make a change to our building structures immediately. I dug into the practical information shared in School Bond Success and began to work on a plan for the district. We designed the plan, communicated with the stakeholders, and were ultimately successful as we now have two new elementary schools, one new middle school, new administrative offices, and a new community/school library. Our 12.56 million-dollar-bond issue passed with 76 percent approval and over 50 percent of voter turnout. I am thankful for the strategies and action steps I gained by being a student of School Bond Success, as students are now learning in safe and educationally appropriate school facilities.” —Paul R. Gausman, superintendent of schools, Sioux City, Iowa “Carleton R. Holt has written a book on a very important topic in the process of planning, designing, and constructing a school building. Passing a bond referendum is both a serious and important part of obtaining funds for construction. Holt has provided a very sensible and methodical approach to complete this task successfully. The book is well written and should be a valuable guide for any school system interested in passing a bond referendum.” —Glen I. Earthman, professor emeritus, Virginia Polytechnic Institute and State University

Carleton R. Holt, an associate professor and educational leadership program coordinator in the

Foreword by Anne L. Bryant

Department of Curriculum and Instruction, brings an extensive background of leadership in the field of education to the University of Arkansas. He has served as a band director, coach, and school administrator in the public schools in Iowa and South Dakota for over thirty years. For orders and information please contact the publisher Rowman & Littlefield Education A division of Rowman & Littlefield Publishers, Inc. A wholly owned subsidiary of The Rowman & Littlefield Publishing Group, Inc. 4501 Forbes Boulevard, Suite 200 Lanham, Maryland 20706 1-800-462-6420 fax 717-794-3803 www.rowmaneducation.com

School Bond 3e PBK.indd 1

2/10/09 8:46:32 AM

S C H O O L B O N D S U C C E S S A Strategy for Building America’s Schools Third Edition

Carleton R. Holt With Contributions from Floyd Boschee, Paul R. Gausman, Lance D. Massey, Patricia M. Peterson, Roland M. Smith, and Matthew A. Wendt Foreword by Anne Bryant

Rowman & Littlefield Education Lanham • New York • Toronto • Plymouth, UK

Published in the United States of America by Rowman & Littlefield Education A Division of Rowman & Littlefield Publishers, Inc. A wholly owned subsidiary of The Rowman & Littlefield Publishing Group, Inc. 4501 Forbes Boulevard, Suite 200, Lanham, Maryland 20706 www.rowmaneducation.com Estover Road Plymouth PL6 7PY United Kingdom Copyright © 2009 by Carleton R. Holt All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior permission of the publisher. British Library Cataloguing in Publication Information Available Library of Congress Cataloging-in-Publication Data Holt, Carleton R. School bond success : a strategy for building America’s schools / Carleton R. Holt. — 3rd ed. p. cm. Includes bibliographical references and index. ISBN 978-1-60709-166-0 (cloth : alk. paper) — ISBN 978-1-60709-167-7 (pbk. : alk. paper) — ISBN 978-1-60709-168-4 (electronic) 1. School bonds—United States. 2. Education—United States—Finance. I. Title. LB2825.B63 2009 379.1'1—dc22 2008052259

™ The paper used in this publication meets the minimum requirements of American National Standard for Information Sciences—Permanence of Paper for Printed Library Materials, ANSI/NISO Z39.48-1992. Manufactured in the United States of America.

CONTENTS

Foreword

vii

Preface

xi

Acknowledgments 1

America’s Aging Schools The Present State of America’s Schools Obstacles to Facilities Development Changing Enrollments Factors Contributing to the Decline in the Conditions of School Facilities Financing School Buildings Strategies for Success Recommended Activities for Successful Bond Referendum Campaigns A 2000 Status Report on School Facilities in the United States Updated Recommendations The Relationship between School Climate and Student Success Recent Research

xiii 1 1 9 11 12 15 18 23 25 29 40 42 iii

iv

2

CONTENTS

Teacher Views Safety and Technology Climate Research Summary of Findings Concluding Thoughts Review Activities Endnotes

44 46 49 53 54 55 56

The Preplanning Phase

61

The School Facilities Plan The Community Relations Program Developing an Internal System for Input Designing a School Facilities Plan Making Decisions about Specific Building Projects Review Activities Endnotes

61 63 65 67 71 77 77

3 The Project Development Phase: Selecting Consultants Selecting the Bond Consultant General Procedure in Issuance of Bonds The Bond Consultant Bonding Consulting Services Selecting the Architect Educational Specifications Preliminary Designs and Other Considerations Review Activities Endnotes 4 The Project Development Phase: Bringing It All Together Forming the Committees The School Board Resolution Review Activities Endnotes 5 Beginning the Campaign: Developing a Marketing Philosophy Know the Product Know the Target Market

79 79 82 86 86 91 94 95 97 97 99 100 108 109 109 111 111 113

CONTENTS

6

7

8

9 10

v

Know the Appropriate Marketing Techniques Marketing Tools Review Activities Endnotes

116 119 121 122

Campaign Activities

125

One-on-One Contact Activities Media Review Activities

126 130 136

Bond Election Day

137

Poll Watchers and Follow-up Activities Canvassing Ballots and Reporting When the Results Are Unfavorable When Victory Has Been Achieved The Real Challenge Review Activities

137 138 139 140 140 141

Developing Special Skills

143

Conducting Surveys Managing Conflict Preparing Written Documents Review Activities

143 149 153 160

Case Study Introduction

163

Introduction

163

Case Study #1: School Bond Success: An Exploratory Case Study

165

Endnotes

178

11 Case Study #2: A Case Study: Bond Issue Analysis of a Midwest School District Endnotes 12 Case Study #3: Case Study of Riverside School District Endnotes

181 190 193 208

Appendix A: Checklist: Effective School Finance Campaigns

211

Appendix B: Planning in Debt Issuance

215

vi

CONTENTS

Appendix C: Glossary of Terms: Municipal Bonds

219

Appendix D:

223

Survey Form

Appendix E: Climate Survey of Top- and Bottom-Scoring High Schools in One State

225

Index

227

About the Author

235

FOREWORD

In Jonathan Kozol’s books, both Savage Inequalities (1991) and Amazing Grace (1995), he has described eloquently, and in heartbreaking detail, the plight of America’s poorest children. The futures of these children—many of whom must go to unhealthy, dilapidated schools, mostly in our inner cities—are in our hands. The subtitle of Amazing Grace—The Lives of Children and the Conscience of a Nation— reminds us that, as citizens, we have a responsibility to provide for our children. As a nation we are keenly aware of the destruction hurled upon the city of New Orleans by Hurricane Katrina, or more recently of tiny Greensburg, Kansas, completely destroyed by a tornado. Many Americans have no idea that in fast-growing communities like Las Vegas, the Clark County School Board opened ten new schools in the fall of 2006 and were scheduled to open an additional eleven schools by August 2007. The need for school construction, renovation, and repair is enormous, and it’s always growing. Finding the funds to subsidize this growth is always a challenge for school districts. In 1999, the U.S. Department of Education conducted a study to estimate the cost of modernizing existing schools. The results? A massive $127 billion. Subsequent to that report, another coalition found the vii

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FOREWORD

need for $268 billion for infrastructure and an additional $54 billion to equip their schools with modern technology. The U.S. Government Accountability Office estimates that 30 percent of rural, 38 percent of urban, and 29 percent of suburban schools have at least one building needing extensive repair or total replacement. As you read this book, you will see evidence supporting what we already know; that the need for school construction and repair is a huge national issue. The facts are clear: in every state in the nation hundreds of schools need to be updated, remodeled, or rebuilt. School board members and superintendents are all too aware of these needs. We also know that the federal and state governments do not see their role as aiding local districts with the massive funding that is needed for school construction. With the exception of a successful effort by former Secretary of Education Richard Riley during the Clinton administration, aided by many educational organizations including my own National School Boards Association, to pass the school construction bill ($1.2 billion was made available for school renovation and repair in the Consolidated Appropriations Act of 2001), very little comes to local districts from the “feds.” Local school districts, using local tax dollars, are responsible for the great majority of school construction. Whether it is a bond, levy, or millage-rate increase, the board and superintendent team, along with community leaders, have to reach out to garner the community’s support of capital expenditures. While this outreach is a hugely important part of educational and community leadership, it is not always well understood by the public. And the research is clear. Student learning is greater in facilities that are safe, clean, have comfortable and inviting climates, and are wired for technology. In addition, I would argue that as our world changes, so must our schools. More often, they must be designed to be the centers of our communities, used by not only students, but by their parents, grandparents, by community organizations and businesses, for teaching, learning, and community gatherings. In essence schools must become an indispensable part of our cities, towns, and rural communities. If they are designed as 365-day-a-year, lifelong learning centers, with open doors long past the end of the school day, communities will not only fund their construction, but will become advocates for public education.

FOREWORD

ix

If we give the public a far better understanding of what goes on in our schools today, they will be willing to invest in what our schools will be able to provide to our students tomorrow. They will be invested in their schools because they are invested in their communities. The public will see their investment benefiting not just today’s students but the community at large. In the book you are about to read Carleton Holt and his colleagues have laid out, in a crystal clear manner, the compelling case for school construction. But more importantly they have put in one place not only the research behind why school climate matters to student learning, but they have crafted a practical “how to” guide (from soup to nuts!) on how to plan for the construction, build a campaign to finance the buildings and implement those plans. It is a treasure trove of knowledge and experience boiled down to the doable. Jonathan Kozol would say that there is a lot more to do to increase student achievement and love of learning than have nurturing places to learn for all children, but I’ll bet he would argue that it’s a great place to start! Dr. Anne L. Bryant Executive Director National School Boards Association

PREFACE

No one familiar with problems in education would fail to include the state of America’s educational infrastructure as a primary concern. Many school buildings are falling apart due to age or lack of maintenance. Many school buildings do not meet the needs of modern educational programs and curricula. Unfortunately, school administrators and boards of education have found it increasingly difficult to obtain the funds necessary to correct facilities’ problems in their districts. It is a problem that the educational community needs to address as a major obstacle to providing the high quality educational services that parents, students, and business people are demanding. The higher education system must bear some of the responsibility for this problem. While many administration courses outline how to design school buildings, how to estimate school enrollments, and how to figure square footage requirements, there are few resources that inform top administrative officials about the nuts and bolts of getting the money. This book attempts to alleviate that gap. School Bond Success: A Strategy for Building America’s Schools (3rd edition) includes the theoretical basis for developing specific strategies for school bond elections and practical information on specific activities for those campaigns. Chapter 1 provides the case for the need and xi

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PREFACE

information from the research as to essentials in successful campaign strategies. This second edition validates research and discusses the relationship between school climate and student success. Chapters 2 through 7 provide step-by-step instructions for the three stages of planning building projects: the preplanning phase, the project development phase, and the campaign phase. Chapter 8 addresses particular issues that may cause concern to volunteers and others who are involved in conducting the campaign, including conducting surveys, dealing with conflict, and writing proposals and campaign materials. The appendices provide the reader with a checklist for effective school finance campaigns, planning in debt issuance, and a glossary of terms as they relate to municipal bonds. Each chapter also includes specific review activities. These exercises, when followed in order, allow the person using this book to develop specific materials for their school districts as they proceed through the process. The ideas in this book can be used in all types of school districts: from large, urban districts to small, rural districts. Some may say that the ideas presented are just “common sense”; however, the concepts presented have been tried and tested and have been shown to be effective. By using the techniques offered in this volume, administrators do not have to “reinvent the wheel’’ or experiment (sometimes with disastrous results). Providing appropriate and safe environments in which students may take advantage of educational opportunities should be one of the top priorities of the educational community. Developing effective strategies for accomplishing that task should be one of any school administrator’s major goals. Carleton R. Holt Floyd Boschee Roland M. Smith

ACKNOWLEDGMENTS

FIRST EDITION ACKNOWLEDGMENTS

No

single writer or pair of writers could prepare a comprehensive work on school bond success without relying heavily upon ideas, prior publications, and constructive criticisms of others. We appreciate the cooperation of those whose published writings, researches, and private documents are quoted in this volume. We are equally grateful to all those whose writings are cited as references. We would like to express our sincere appreciation to Dr. Marlene J. Lang, instructional design specialist, University of South Dakota, Vermillion, for her guidance and editorial advice. Gratitude is extended to Patricia M. Peterson for the many contributions. Her translation of the rough draft to the finished product helped make this book possible. A special thank you is extended to Darwin Reider from D. A. Davidson & Co., Omaha, NE; Todd Meierhenry from Danforth, Meierhenry, & Meierhenry, L.L.P., Sioux Falls, SD; and the Board of Education from the Brandon Valley School District, Brandon, SD, for providing information and granting permission to use their material for this book. We dedicate this book to school administrators, school board members, and community members who understand how valuable the school learning environment is and how it can affect the lives of young people. xiii

xiv

ACKNOWLEDGMENTS

The efforts put forth to have adequate school buildings by the educational leaders make it possible for children to be properly educated and prepared for the future. This book is also dedicated to our wives, Judy Holt and Marlys Ann Boschee, and our children—Austin, Cody, Barbara, Brenda, Bonni, and Beth.

SECOND EDITION ACKNOWLEDGMENTS I would like to express my gratefulness to Dr. Floyd Boschee, Professor of Educational Administration, University of South Dakota, Vermillion, for his guidance, support, contributions, and friendship during my graduate education program, and the development of the first and second editions of this textbook. Recognition and appreciation is expressed to my colleague and friend Dr. Roland M. Smith, Assistant Professor of Educational Administration, University of Arkansas, Fayetteville, for his input, suggestions, edits, and many contributions to this 2nd edition. I appreciate the support and cooperation of those whose published writings, research, and private documents are quoted in this publication. I express my sincere appreciation to graduate students at the University of Arkansas, Fayetteville. Glen D. Cole, Jim P. Cox, Debbie A. Davis, Trevor J. M. Maxwell, David R. Nelson, Shelly R. Osnes, William H. Rountree, Andrea J. Stamps, and James R. Willison provided searches and contributions of additional information necessary for updating school administrators on the marketing and strategic planning necessary in the new millennium, to address the updating and replacement of school facilities in the United States. This 2nd edition is also dedicated to my wife, Judy Holt, and my children—Austin and Cody.

THIRD EDITION ACKNOWLEDGMENTS I would again like to express my appreciation to Dr. Floyd Boschee, retired Professor of Educational Administration, University of South Dakota, Vermillion, for his guidance, support, contributions, and friendship during my graduate education program, and the development of the first, second, and third editions of this textbook. A continued thank

ACKNOWLEDGMENTS

xv

you is expressed to Darwin Reider, Senior Vice President, D. A. Davidson & Co., Omaha, Nebraska; and to Todd Meierhenry from Danforth, Meierhenry, & Meierhenry, L.L.P., Sioux Falls, SD. I appreciate the support and cooperation of those whose published writings, research, and private documents are quoted in this publication. I express my sincere appreciation to Superintendent of Schools Dr. Matthew A. Wendt, Superintendent of Schools Dr. Paul R. Gausman, and school administrator/graduate student Lance D. Massey for the case study contributions providing school administrators with practitioner usage of this book in the updating and replacement of school facilities in their regions of the United States. This 3rd edition is also dedicated to my wife, Judy Holt, and my children—Austin and Cody.

1 AMERICA’S AGING SCHOOLS

Public school facilities for elementary and secondary school students in the United States, almost exclusively a state and local responsibility, should consist of infrastructures that create an environment in which all children can receive a proper education and preparation for the future. There is, however, a growing concern about the safety and adequacy of many of this country’s school buildings. “Recently, for example, a judge would not allow the schools in the nation’s capital to open on time until thousands of life-threatening fire code violations were corrected.”1 Similarly, over 1,000 New York City schools had to close for eleven days because of noncompliance with asbestos requirements.2 These are but two examples of a problem that is facing countless school districts across the country: how to provide school facilities that meet the educational and health needs of America’s millions of students.

THE PRESENT STATE OF AMERICA’S SCHOOLS Elementary and secondary education, the largest public enterprise in the United States, is conducted in over 80,000 school buildings in about 15,000 school districts serving over 41 million students. Roughly 70 1

2

CHAPTER 1

percent of the school buildings serve about 27 million elementary students, 24 percent serve about 13.8 million secondary students, and six percent serve approximately 1.2 million students in combined elementary and secondary and other schools.3 Nationwide, about two-thirds of the school facilities are in adequate (or better) condition, needing at most some preventive maintenance or corrective repair. The remaining one-third of both elementary and secondary schools (25,000 schools and 14 million students), however, need extensive repair or replacement of one or more buildings.4 More than 7 million students must attend school in buildings that fail to comply with life safety codes (e.g., stairwells, adequate exits, panic hardware, fire extinguishers, rated corridor doors, fire walls, sprinkler systems, and the like); more than 15 million students attend schools that lack adequate heating, ventilation, and air conditioning; and over 11 million students frequent schools that need extensive roof repair5 (see tables 1.1 and 1.2). Table 1.1. Millions of students attend schools with less-than-adequate physical conditions. Building Feature

Number of Schools

Students Affected

Heating, ventilation, air conditioning Plumbing Roofs Exterior wall, finishes, windows, doors Electrical power Electrical lighting Interior finishes, trims Life safety codes Framing, floors, foundations

28,100 23,100 21,000 20,500 20,500 19,500 18,600 14,500 13,900

15,456,000 12,254,000 11,916,000 11,524,000 11,034,000 10,837,000 10,408,000 7,630,000 7,247,000

Table 1.2. Schools and students with unsatisfactory environmental conditions. Environmental Condition

Number of Schools

Number of Students Affected

Ventilation Acoustics for noise Physical security Indoor air quality Heating Lighting

21,100 21,900 18,900 15,000 15,000 12,200

11,559,000 11,044,000 10,638,000 8,353,000 7,888,000 6,682,000

Source: GAO/HEHS-95-61, School Facilities (February 1995), 10.

AMERICA’S AGING SCHOOLS

3

The following examples provide sufficient evidence of this nationwide problem: •

•

•

•

•

•

•

In New Orleans, the damage from Formosan termites has deteriorated the structure of many schools. In one elementary school, the insects ate both the books on the library shelves and the shelves themselves. This, in combination with a leaking roof and rusted window wells, caused so much damage that officials condemned a portion of the 30-year-old school.6 Water damage from an old (original) boiler steam heating system at a 60-year-old junior high school in Washington, D.C., has caused such wall deterioration that an entire wing has been condemned and locked. Steam damage is also causing lead-based paint to peel.7 Raw sewage backed-up on the front lawn of a Montgomery County, Alabama, junior high school because of a defective plumbing system.8 A New York City high school, built around the turn of the century, has served as a stable, fire house, factory, and office building. The school is overcrowded with 580 students, far exceeding the building’s 400-student capacity. The building has little ventilation (no vents or blowers), despite many inside classrooms, and the windows cannot be opened, which makes the school unbearably hot in the summer. In the winter, heating depends on a fireman’s stoking the coal furnace by hand.9 In Ramona, California, where overcrowding is considered a problem, one elementary school is composed entirely of portable buildings. It has neither a cafeteria nor an auditorium and uses a single, relocatable room as a library, computer lab, music room, and art room.10 During a windstorm in Raymond, Washington, the original windows of an elementary school built in 1925 were blown out, leaving shards of glass stuck in the floor. The children happened to be at the other end of the room. This wooden school is considered a fire hazard, and although hallways and staircases can act as chimneys for smoke and fire, the second floor has only one external exit.11 In rural Grandview, Washington, overcrowded facilities are a problem. At one middle school, the original building was meant to house

4

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450 students. Two additions and three portables have been added to accommodate 700 students. The school has seven staggered lunch periods. The portables have no lockers or bathrooms and are cold in the winter and hot in the spring/summer.12 • In a high school in Chicago, the classroom floors are in terrible condition. Not only are floors buckling, so much tile is loose that students cannot walk in all parts of the school. The stairs are in poor condition and have been cited for safety violations. An outside door has been chained for 3 years to prevent students from falling on broken outside steps. Peeling paint has been cited as a fire hazard. Heating problems result in some rooms having no heat while other rooms are too warm. Leaks in the science lab caused by plumbing problems prevent the classes from doing experiments. Guards patrol the outside doors, and all students and visitors must walk through metal detectors before entering the school.13 One could dismiss the above examples as “extreme”; unfortunately, they are not. The conditions in facilities for one-third of the students attending public schools in the United States range from uncomfortable to downright dangerous. As illustrated in table 1.3, unsafe and unhealthy conditions exist in all types of school buildings in every state in the country. The consequences of failing to improve the infrastructures in America’s school districts are too great to be ignored. Some of the effects have a direct impact on the educational mission of the schools. A study comparing student performance in a modern school building with student performance in an older school building revealed that “students in the modern building scored significantly higher in reading, listening, language arts, and arithmetic than did students in the old structure.”14 Further, “students in the modern school facility received significantly less discipline, and a significantly higher attendance record, and were in better health than students in the older building.”15 At the same time, these aging structures are not properly equipped to allow for many of the new technologies that should be utilized. Attending school in older buildings also poses the possibility of longterm health problems for students. Children in those schools are exposed to hazardous substances such as asbestos, lead in water or paint,

AMERICA’S AGING SCHOOLS

5

materials contained in underground storage tanks (UST), and radon— all substances directly linked to increasing incidences of cancer and other illness. Medical researchers have also linked poor ventilation in buildings to an alarming increase in incidences of respiratory problems and asthma over the past decade. A recent update in American School & University on legislation affecting education facilities revealed that a fifth-grade teacher suffering from severe allergies to mold filed a federal discrimination lawsuit under the Americans with Disabilities Act (ADA) against the Mineral County School District, West Virginia, claiming it failed to transfer her out of a classroom that made her gravely ill. Poor ventilation, inefficient heating and cooling systems, and a leaky roof were cited as causing the classroom’s poor IAQ (indoor air quality).16 While some older schools are structurally sound, others are accidents waiting to happen. At a Montgomery County, Alabama, elementary school, a ceiling weakened by leaking water collapsed 40 minutes after the children left for the day.17 In Hartford, South Dakota, “a 10-foot-tall chunk of chimney toppled from the building, crashed through the roof and a classroom, and landed in the first-floor library.”18 Fortunately, the school was closed for a holiday. The superintendent indicated that the problem was with aging bricks and mortar, a problem that probably could not have been detected by an inspection.19 These “near misses” indicate that school districts that continue to hold classes in facilities that have been in use beyond their “life expectancy” are running a tremendous risk. Not only would these two incidents have been tragedies if students and teachers had been in the affected areas, the liability of the school district probably would have been greater than the cost of building a new school. School budgets also suffer when buildings are in a state of disrepair. Most unrepaired buildings are not energy efficient, and school boards unnecessarily spend money on wasted fuel and electricity that they could use for other programs. One elementary principal summed up the problem well: “Heat escapes through holes in the roof; the windows leak (ones that are not boarded up) and let in cold air in the winter so that children must wear coats to class.”20 Still other schools have delayed maintenance because of the lack of funds. Deferred maintenance, however, speeds up the deterioration of

State

Alabama Alaska Arizona Arkansas California Colorado Connecticut Delaware District of Columbia Florida Georgia Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky Louisiana Maine Maryland Massachusetts Michigan

32.5 36.7 27.1 16.8 31.8 21.3 27.1 30.0 49.3 18.3 18.5 16.3 27.4 29.2 28.1 14.9 33.7 24.0 28.0 34.5 27.3 37.8 19.4

Percent of schools reporting at least one inadequate original building 19.1 21.7 14.2 11.8 14.3 12.3 13.7 7.7 20.7 10.7 9.0 5.5 14.9 8.8 11.5 7.6 14.5 12.9 8.7 14.5 9.3 11.8 9.9

Percent of schools reporting at least one inadequate attached and/or detached building 31.5 22.8 28.8 14.5 24.3 16.5 8.0 35.5 0.0 20.9 15.1 11.2 13.3 4.4 2.6 8.5 18.8 17.7 24.8 13.0 6.1 4.9 4.9

Percent of schools reporting at least one inadequate temporary permanent addition 39.1 44.6 40.8 24.9 42.9 32.2 30.0 40.5 49.3 31.2 26.2 21.4 31.9 31.0 29.2 18.8 38.3 30.9 38.6 37.5 30.7 40.8 21.6

Percent of schools reporting at least one inadequate on-site building

Table 1.3. Estimated percent of schools with at least one building in inadequate condition by state.

32.8 14.5 24.0 16.5 29.5 20.9 33.4 17.3 25.6 28.6 25.0 20.5 33.0 27.1 31.4 18.9 29.3 21.2 20.1 18.6 22.6 34.4 18.6 20.8 37.6 39.5 31.8 18.3

Source: GAO/HEHS-96-103, School Conditions Vary, pp. 33–34.

Minnesota Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York North Carolina North Dakota Ohio Oklahoma Oregon Pennsylvania Rhode Island South Carolina South Dakota Tennessee Texas Utah Vermont Virginia Washington West Virginia Wisconsin Wyoming

16.9 9.6 3.8 7.9 9.7 4.6 4.6 12.8 13.7 8.5 9.6 10.0 20.2 11.3 19.8 9.6 13.8 13.6 12.0 10.6 13.2 22.0 13.9 16.1 16.9 25.3 16.1 6.3

16.4 19.1 11.7 7.9 6.4 10.1 16.0 1.1 13.6 5.7 24.5 6.7 8.2 16.0 11.1 4.9 0.0 29.4 8.4 14.0 13.2 3.4 18.0 10.8 25.2 15.8 4.9 10.5

38.5 28.5 27.3 20.4 35.2 23.2 38.4 19.1 29.9 32.8 36.1 23.0 38.0 30.5 38.9 21.0 29.3 36.9 21.3 27.2 27.1 34.1 21.4 27.4 44.2 41.9 32.8 24.4

School dodges tragedy when chimney tumbles. West Central Junior High School, Hartford, SD Photo courtesy of the Argus Leader, Sioux Falls, SD. Used by permission.

AMERICA’S AGING SCHOOLS

9

buildings. In an elementary school in New York City, repair problems have not been addressed since the school was built twenty years ago. Years ago, the problems could have been addressed relatively inexpensively; now the ongoing lack of attention has caused sewage to leak into the first-grade classrooms and a leaking roof has caused the building to become structurally unsound.21 In Chicago, an elementary school roof had needed replacement for twenty years. The roof had been superficially patched rather than replaced, and the persistent water damage caused floors to buckle and plaster on the walls and ceilings to crumble. Parts of the electric wiring system also had been continuously flooded. One teacher in the school would not turn on the classroom lights during rainstorms for fear of electrical shock. In another classroom the public address system was rendered unusable. Janitors had to place buckets on the top floor of the school to catch the rain.22 That a problem exists is clear. That students and educators are being harmed by the failure of school districts to repair or replace inadequate structures also is clear. What is not so clear is how to solve the problem.

OBSTACLES TO FACILITIES DEVELOPMENT Of course, the largest obstacle for school boards in their attempts to provide adequate school facilities is money—or more correctly, the lack thereof. Researchers estimate “that the nation’s schools need $112 billion to complete all repairs, renovations, and modernizations required to restore facilities to good overall condition and to comply with federal mandates”23 (see figure 1.1). One-third of the schools that remain unsafe need $65 billion ($2.8 million per school) for major repairs or replacement. Forty percent of the schools that are now “adequate” need $36 billion ($1.2 million per school) to repair or replace one or more building features (e.g., roofs; framing, floors, and foundations; exterior walls, finishes, windows, and doors; interior finishes and trims; plumbing, heating, ventilation, and air-conditioning; electrical power; electrical lighting; and life safety codes).24 Nearly two-thirds of the schools need roughly $11 billion (an average of $.2 million per school) to comply with federal mandates over the

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Figure 1.1. Dollars needed for repairs to comply with federal mandates. Source: GAO/HEHS-95-61, p. 6.

next three years. From those $11 billion, schools need approximately $5 billion (54 percent) to correct or remove hazardous substances, such as asbestos, lead in water or paint, materials contained in UST, and radon or meet other requirements while over $6 billion (55 percent) is needed to make programs physically accessible to all students.25 Some people may view the $112 billion figure as outrageously high. An examination of just one state, however, illustrates the magnitude of the problem across the country. South Dakota is a state with one of the lowest populations in the nation. A preliminary study of the square footage for school use in the state’s 172 school districts (two districts do not have buildings) revealed that 13 percent (2,700,000 square feet) of the square footage in use is over 70 years old, 9.8 percent (2,035,000 square feet) is between 51 and 70 years old, 29.9 percent is between 31 to 50 years old, 29.1 percent (6,230,000 square feet) is between 11 and 30 years old, and 17.4 percent (3,615,000 square feet) of the buildings are from 0 to 10 years old.26 The portable units comprise 0.8 percent (165,000 square

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11

Table 1.4. What a new school costs. Elementary School Cost/Square Foot Cost/Student Square Feet/Student Average No. Pupils Average Size (sq. ft.) No. Classrooms Total Cost

$110.57 $12,667 114 600 60,000 26 $7,112,917

Middle School $108.59 $15,143 150 800 114,000 38 $12,228,198

High School $109.09 $18,885 160 900 133,500 35 $16,031,336

Source: American School and University’s 23rd Annual Official Education Construction Report, May 1997. Used by permission.

feet) of the square footage in use. The price tag for making all public school facilities in South Dakota adequate, accessible, and environmentally acceptable is $434 million (nearly $1 million per building).27 If the needed expenditures in a low-population state such as South Dakota exceed $400 million, logic would indicate that the suggested $112 billion figure may not be sufficient to repair or replace all of the inadequate school structures in the nation. The American School & University’s 22nd Annual Education Construction Report, May 1996, disclosed that the average elementary school costs about $6.35 million; a middle school, $9.81 million; and a high school, $15.36 million (see table 1.4).28 And these figures do not take into account the need to update existing facilities to accommodate new technologies, enlarge spaces for special services, and provide flexible learning environments for new instructional programs. For many school districts already struggling to pay for “essential” budget items, such repair and building costs cannot come out of the usual tax revenues, and in many cases opposition to such projects is too great to overcome.

CHANGING ENROLLMENTS In the past, enrollments in many elementary and secondary schools declined. Most school officials did not have to concern themselves with the possibility of having to build new schools to handle the students; indeed, in many instances the problem was determining which school to close.

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The National Center for Educational Statistics (NCES) predicts, however, that public school enrollments in the United States will increase over the next decade (see table 1.5). “Total public and private elementary and secondary school enrollment reached a record 55 million in fall 2002, representing a 19 percent increase since fall 1989. Between 2002 and 2014, a further increase of 4 percent is expected, with increases projected in both public and private schools. In the regions, increases are expected in the West and South, and decreases are expected in the Northeast and Midwest” (see Table 1.5).29 The above changes in enrollment set up unusual challenges for school administrators across the country in terms of making decisions about existing and needed buildings within their school districts. If enrollments are due to increase over the next few years and then decline, administrators must determine whether it is most advantageous to build or to wait it out. The situation also creates a dilemma for administrators who must determine whether to divert monies needed for repair or restoration of existing structures to pay for new buildings that would alleviate overcrowding.

FACTORS CONTRIBUTING TO THE DECLINE IN THE CONDITIONS OF SCHOOL FACILITIES Clearly, administrators and boards of education face many dilemmas in terms of their school districts’ physical plants. Many simply do not have the necessary money available from their general and/or capital outlay funds to solve their building problems. Additionally, they often face attitudes within their communities that become barriers to taking action. A lack of adequate funding of education from property taxes has resulted in the delayed maintenance and repair of some buildings and the delayed replacement of aging and outdated facilities in many school districts. Over the past several years, a formidable antitax movement has developed across the country. In many states, such movements have brought about legislated tax limitations and restrictions on capital expenditures. Such measures often place severe pressure on already strained school budgets. No one likes to pay more taxes than necessary,

Table 1.5. Percent change in grades K–1 enrollment in public schools by region and state with projections: Fall 1987 to Fall 2005. Region and State United States Northeast Connecticut Maine Massachusetts New Hampshire New Jersey New York Pennsylvania Rhode Island Vermont Midwest Illinois Indiana Iowa Kansas Michigan Minnesota Missouri Nebraska North Dakota Ohio South Dakota Wisconsin South Alabama Arkansas Delaware District of Columbia Florida Georgia Kentucky Louisiana Maryland Mississippi North Carolina Oklahoma South Carolina Tennessee Texas Virginia West Virginia

Actual 1987 to 1993

Projected 1993 to 1999

Projected 1999 to 2005

Projected 1993 to 2005

8.4 5.5 7.5 3.0 5.9 12.0 5.0 5.0 5.3 8.7 7.4 4.2 4.2 0.1 3.7 8.6 1.9 12.3 7.3 5.9 ⫺0.9 0.2 7.4 10.0 7.5 ⫺0.9 1.4 11.5 ⫺8.6 22.7 10.9 1.5 ⫺1.0 12.5 ⫺1.0 3.7 3.1 3.8 3.6 10.7 7.5 ⫺8.8

10.2 8.8 8.9 0.7 9.5 7.9 13.6 8.6 7.0 7.4 5.4 6.1 7.8 6.3 2.1 6.5 7.3 6.6 4.8 4.5 ⫺2.7 5.0 5.7 6.4 10.2 8.8 5.3 13.5 ⫺7.7 15.6 13.2 3.0 1.4 16.8 1.5 14.2 4.0 8.9 9.3 10.5 14.1 ⫺2.3

3.6 0.5 0.6 3.2 ⫺1.4 ⫺1.2 5.2 0.9 ⫺1.5 ⫺1.4 ⫺0.5 0.7 2.6 3.4 ⫺2.4 2.0 2.2 ⫺2.4 ⫺0.3 ⫺0.2 ⫺2.4 0.3 0.9 ⫺2.5 4.1 8.3 2.7 4.2 ⫺1.0 1.7 5.5 1.7 2.4 6.1 1.9 5.6 0.6 4.5 3.3 5.5 4.9 0.8

14.5 9.4 9.6 ⫺2.5 8.0 6.6 19.5 9.6 5.5 5.9 4.9 6.9 10.6 9.9 ⫺0.3 8.6 9.7 4.1 4.5 4.3 ⫺5.0 5.3 6.7 3.7 14.8 17.8 8.2 18.2 ⫺8.6 17.5 19.4 4.7 3.8 23.9 3.3 20.7 4.6 13.7 12.9 16.6 19.8 ⫺1.5 (continued)

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(continued)

Region and State West Alaska Arizona California Colorado Hawaii Idaho Montana Nevada New Mexico Oregon Utah Washington Wyoming

Actual 1987 to 1993

Projected 1993 to 1999

Projected 1999 to 2005

Projected 1993 to 2005

17.1 18.5 21.3 18.7 11.6 7.9 10.2 6.4 39.2 10.9 14.2 10.4 18.8 1.7

16.9 18.0 17.5 19.1 14.6 15.8 10.3 5.4 24.0 15.0 12.6 6.4 17.6 2.0

7.8 5.9 5.2 9.2 3.2 11.9 7.6 1.8 3.9 8.3 6.3 8.2 6.7 6.8

26.1 25.0 23.6 30.1 18.3 29.6 18.6 7.3 28.9 24.6 19.6 15.2 25.5 9.0

Source: U.S. Department of Education, National Center for Educational Statistics. Common Core of Data. Surveys and “Public Elementary and Secondary Educational Statistics Year 1993–94” Early Estimates.

but these movements may indicate underlying negative views of education that can spell disaster for bond referendum attempts. (About one in three school districts have had an average of two bond referendums fail in the past 2 years.) Changing societal demographics also may affect the outcomes of elections. As the population ages, fewer citizens in any given community have school-age children. Older residents sometimes believe that existing structures “were good enough for me,” and therefore reason that such structures are good enough for today’s students. Many citizens also believe that schools spend too much money on such programs as special education that are federally and state-mandated and require considerable funding. District patrons do not like having such programs forced upon them and sometimes resent having to pay for them. When the schools need money for equipment or buildings, these individuals may form strong opposition groups. Often school budgets are stretched to their limits by the imposition of both unfunded federal- and state-mandated programs. Such expenditures cause the diversion of discretionary monies that school administrators could use for repair and replacement of outdated structures.

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To deal effectively with this problem, school administrators and boards of education must begin by reviewing their alternatives in terms of financing the needed repairs and replacements. Then, they must realistically assess their building needs and begin developing long-range plans for repairing and replacing inadequate facilities.

FINANCING SCHOOL BUILDINGS With the advent of various state grants to local school districts, complete responsibility for financing public schools was eliminated in the early 1900s. However, the tradition of local responsibility for capital-outlay costs has not changed. “During the many years of almost exclusive local support for financing capital outlays, several different plans and procedures have evolved in various states. Chief among these have been payas-you-go plans, use of reserve funds, and bonding.”30 Pay-As-You-Go Financing School districts that utilize “pay-as-you-go financing” pay for construction of school facilities from current revenues. The school district pays the entire cost of a building project from the receipts of one fiscal year’s local tax levy. This method proves ideal because it is the quickest and easiest way to finance capital outlay projects. The system also eliminates payment “of large sums of money for interest, which can represent from 20 to 40 percent of the cost of a building, the costs of bond attorney fees, and election costs.”31 Unfortunately, this alternative is available only to large and/or very affluent districts. Building Reserve Funds Where such action is legal, school districts often accumulate taxes from one year to the next for the purpose of constructing future school facilities. “This plan provides for spreading construction costs over a period of time before the buildings are erected—as contrasted with bonding, which spreads the cost over time after the schools are constructed.”32

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The benefits of this system to a local community are great. For example, buildings can be constructed without delay, debt service charges and expenses associated with attaining voter approval for issuance of bonds are eliminated and local restrictions on taxing or debt limitation will not interfere with the building project.33 Here again, state laws and regulations may limit the number of school districts that can utilize this plan. Bonding Bonding is the most common local program for financing public school facilities. “The process involves obtaining taxpayer favor for the [school] district to issue long-term bonds to obtain funds to construct buildings and provide other facilities.”34 School districts with low assessed valuations of property, insufficient tax revenues to finance building costs on a current basis, and an inability to accumulate reserve funds use bonding practices. State governments often restrict the ability of school districts to assess taxes for use in capital outlay projects, and many states determine the types of projects for which such monies can be used. In most states, schools maintain a capital outlay fund to meet expenditures exceeding $300 that result in the acquisition of or additions to real property, plant, or equipment. In nearly all states such expenditures are limited to the purchase of land, renovation of existing facilities, improvement of grounds, construction of new facilities, additions to facilities, remodeling of facilities, or the purchase of equipment. It may also be used for installment or lease-purchase payments for the purchase of real property, plant, or equipment.35 Additionally, most states limit the amount school districts may go into debt for such expenditures. For example, in South Dakota the amount cannot exceed 3 percent of the taxable valuation. In Colorado, nonunified school districts cannot exceed 1.25 percent of taxable property and unified school districts cannot exceed 2.5 percent.36 Most states also control the dates of elections, who conducts the elections, repayment requirements, and the percent by which such elections must prevail in order to be passed. The superintendent and school attorney should check their own state laws for this information. (For more information on the bonding process, see chapter 3.)

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The Problem with Bond Referendums Although school administrators may use any of the three alternatives listed above to fund capital outlay projects, most school districts utilize the bonding process for major building or repair projects simply because it is the only way they can obtain the necessary money. But securing funds through this system is not an easy task. The district must hold special elections, and states often require that the issue pass by more than a simple majority vote: in South Dakota, 60 percent of the votes cast must be favorable for the issue to pass; in Colorado, two-thirds of the vote must be favorable. Moreover, if a board of education places its district’s residents in debt, they must be able to validate reliability. States that require a 60 percent or more voter approval trumpet the time-tested theory of group reliability (see exhibit 1). For school districts that have fewer than 10,000 eligible voters, the 60 percent vote is required to obtain a 99.97 percent of reliability.37 An analysis of school bond elections in California, which requires a two-thirds majority for passage, since 1982 reveals that 50.47 percent of those elections failed, but 71.27 percent would have passed with a 60 percent + 1 threshold, 75.99 percent would have passed with a 58 percent + 1 threshold, and 93.01 percent would have passed with a 50 percent + 1 threshold. Iowa also requires a two-thirds majority for passage. From 1990 to 1995, the Iowa State Department reported that only 38 percent of the Iowa school districts holding bond elections passed. The super majority concept clearly represents a factor in why school bond issues are so difficult to pass.38 The problem of passing school bond referendums is exacerbated by the fact that few institutions of higher education prepare school administrators for the task. Most of the textbooks on educational facilities used to prepare school administrators are directed toward the specifics of planning educational facilities for the future. They adequately address the historic development of educational facilities, how to determine school building needs, how to plan a building, how to modernize a building, and how to finance the capital outlay. But few, if any, provide specific strategies on how to win bond referendums. In many instances, school bond issues have failed because administrators were not prepared to plan an effective strategy for passing them.

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Exhibit 1 Condorcet’s Reliability Formula Vh-k Vh-k + Eh-k Assumed that each voter is right in V of the cases, and wrong in E of the cases (V + E = 1), and h voters vote yes, while k voters vote no, the probability that the h members are right is given by the above formula. The average voter is more often right than wrong. Voter Reliability # of Voters

% Required to Carry

% Individual Reliability

% Group Reliability

1,000 10,000 1,000

50 + 1 50 + 1 60

50 50 50

69.00 99.97 99.97

Source: Duncan Black, The Theory of Committees and Elections (Boston: Kluwer Academic Publishers, 1987), 159–85. Used by permission.

STRATEGIES FOR SUCCESS To plan a successful school bond referendum, school officials should be aware of those factors that influence election outcomes. Researchers and school officials from all parts of the country have identified several factors that contributed to either the success or failure of school bond elections. The following is a compilation of information obtained from more than fifty references.39 Factors That Influence Campaigns Citizen Participation. Several reports indicate that the most significant factor in passing a school bond referendum is the development of a broad-based citizens’ volunteer committee. This group appears to be effective when its members take the leadership roles in the campaigns. The responsibilities of these committees include gathering preliminary information about community attitudes through telephone surveying, conducting “get-out-the-vote” drives, and making presentations to community groups.

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Community Relations Programs. The researchers also found that an ongoing community relations program that functions as a regular part of school district services is essential. The most important aspects of this service include providing information about the needs of the school and providing special services to senior citizens. Consultants. Most school districts that were successful in bond elections found that utilizing consultants in the areas of school planning and finance was important. Most lay persons, including school administrators, do not have the knowledge, nor do they have the time to obtain the knowledge necessary to answer many of the questions that might arise in the course of discussions of the referendum. Consultants can provide appropriate and accurate information to the voters—an important component to developing needed credibility with the public. Unity of Purpose. Administrators who have passed bond issues successfully also point to the importance of unity between school staff and the board of education. If these groups send mixed messages to the public about the architectural design or the need for the bond issue, most voters will develop a concern about the advisability of the project. Voters apply the adage: “When in doubt, vote no.” Voter Turnout. A high voter turnout is another critical factor in achieving victory at the polls. This points to the need for a “get-outthe-vote” effort. Most researchers, however, warn against relying on absentee voters to increase voter participation. As well, many campaign coordinators point to the special attention their committees gave to encouraging “yes” voters to vote as a positive factor in their victories. Endorsements. Endorsements from influential community figures appear to be helpful in passing school bond referendums; however, the involvement of political figures, excluding city council members, does not increase the potential for a school bond victory. Opposition Groups. Although opposition groups may be difficult to identify, a successful campaign often hinges on whether or not those working for the bond issue clearly understand the problems those in opposition to the bond referendum are expressing to other voters. Planners should make sure that presentations and media messages address these issues as being important and that the proponent representatives are prepared to deal with the issues.

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Tax Increase Limitations. The amount of the increase in tax levies has a great influence on the outcome of bond elections. Researchers report that community support appears to drop drastically when the levy exceeds $2.00 per $1,000 valuation. Timing and Length of Campaigns. Some literature indicates that the timing and length of campaigns can be a factor, but most researchers find that neither the time of year nor the length of the campaign were significant in the outcomes of the elections. Although the aforementioned factors are general in scope, they do provide insights into how to plan, implement, and conclude a successful school bond issue campaign. A comprehensive study of school districts that had both won and lost school bond elections provides an even greater understanding of those variables (specific activities, etc.) that influence election outcomes.40 The study included an examination of responses from members of citizen support groups, newspaper editors, school administrators, and bankers in communities that both approved and defeated bond referendums. The individuals were asked to identify specifics about the proposed building project, activities that were beneficial, activities that were not beneficial, the nature of the oppositions’ complaints, the type of media support the issue was given, and the amount of citizen participation in the campaign. Variables That Contribute to the Success of School Bond Referendums Voter Turnout. The respondents indicated that from 35.5 percent to 40 percent of the registered voters within a school district participated in the school bond referendums. Many of the respondents implied that making a special effort to get “yes” voters to the polls was critical to their success. Citizens Support Group. Consistent with national data, the respondents indicated that an active citizens support group was critical to the success of their bond referendum campaigns. Those school districts that experienced the greatest success were those in which administrators played a “low-key” role, while members of the support group assumed the primary responsibility for educating the public. Support group members also indicated which activities they considered the most important. They included: identification of the needs

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of the school district, leadership in the promotion of the bond issue, fund-raising, publicity, door-to-door and telephone canvassing of the community, developing a campaign theme, designing brochures, making presentations to community groups, conducting building tours, and participating in media events. The study’s respondents indicated that, to be successful, the support group must be made up of individuals from all segments of the community. Such inclusionary practices give more people a personal stake in the results of the election. Those from school districts with the greatest margins of victory suggest that fund-raising activities provide a good way of identifying persons who support the bond issue. Media. Almost all participants in the study indicated that media support was important to the success of their election. Newspapers in communities where the bond issue passed carried editorials supporting the bond issue proposals and published letters to the editor supporting the bond issue proposals. Letters to the editor appear to have been an important component of informing the public as to the need for the raise in taxes. Letters of support should identify the problems facing the students in terms of issues of school population growth and lack of space. Study participants also thought letters concerning the educational philosophy of the school, the outdated nature of present facilities, and the contributions of previous generations to the schools were effective. The opposition also sent letters to the editor in 75 percent of the communities attempting to pass a school bond referendum. In response, supporters focused on the cost/benefit ratio of the tax increase (e.g., image of the community and attracting new businesses). Personal Campaigning. Survey participants from school districts that successfully passed bond referendums believed that one-on-one campaigning, such as door-to-door canvassing and telephone campaigning, was effective in achieving a positive result in their campaigns. They also identified public meetings as a worthwhile activity. Variables That Contribute to the Failure of School Bond Referendums The study also revealed variables identified by the campaign leaders as having a negative effect on election results.

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Lack of Understanding. The most consistently identified variable contributing to a failed bond referendum was a lack of understanding of the attitudes and perceptions within the community and among educational staffs about the schools. When proponents of the proposal failed to identify negative attitudes and address them, opposition groups emerged. Most participants in the study from communities where bond referendums failed identified these groups as a primary reason the bond issue failed. The proponent groups could not convince the public that the present facilities were inadequate because the individuals did not realize that many citizens had a different view of the existing schools. School Board Support. The study indicated that the school board decision to proceed with the referendum must be unanimous. A negative vote by a board member apparently sends a message to the public that something is wrong with the proposed project, and that it does not warrant support at the polls. Size of Increase of Tax Levy. Study participants from school districts where referendums were defeated indicated that a primary reason for their loss was taxpayer concern over the raise in taxes. The data suggests that the amount of levy increase per $1,000 valuation must not exceed $2.00. School boards may need to consider the use of capital outlay dollars as a means of lowering the levy increases requested. Influential Variables Specific to the Characteristics of a Given School District Every school district has its own set of unique issues that may affect the outcome of bond elections. The study indicated that voters have a wide array of concerns. Placement of School Building. In some school districts, the location of the proposed school building had an influence on passage of the bond issue. This was particularly true in consolidated school districts or in districts where relocation of the building meant longer bus rides for students attending school in a different area of the community. School Design. The study participants in some districts indicated that it is a mistake for school boards to offer the simplest school building

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design on the first bond attempt. When this occurs the school board has nowhere to cut spending on the project for the second attempt. Demographics. Most participants indicated that the composition of the population of the school district had a direct effect on passage or failure of a bond referendum. In many communities, less than 35 percent of the voting adults had school-age children. Thus, meeting the 60 percent approval level required was a formidable task. Most respondents denoted a need to gain the support of senior citizens. Perceptions of the Economy. In some communities, citizens’ perceptions of the economic future of their communities had a critical impact on election outcomes. Therefore, most connoted the need to supply information to the public about the potential growth of the community and the impact a new school might have on attracting people to the community.

RECOMMENDED ACTIVITIES FOR SUCCESSFUL BOND REFERENDUM CAMPAIGNS The following recommendations are based on the review of relevant literature and on the results of the study discussed above. They provide information complementary to the step-by-step plan for passing bond issues that will be covered in the remainder of the book. 1. The superintendent should ensure a unanimous vote of support by the board of education. This may mean proponents of the project must make some concessions, but failure of the board to reach a consensus appears to doom the results of the election. 2. Administrators and board members should keep as low a profile as possible. While these individuals must supply organization, information, and other support to the citizen support group, they must allow the “ordinary” person to carry the message. 3. The board and administrators should establish a diverse community task force. This group can supply valuable information about public perceptions and can be instrumental in providing appropriate information to the general public.

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4. The attention of the campaigners should be on “yes” voters. Political campaigners learned a long time ago that those people who have decided to vote “no” on something do not change their minds easily. Often trying to turn a “no” vote into a “yes” vote is futile and the attempt can eat up resources better utilized elsewhere. Proponents should concentrate on getting “yes” voters to the polls and convincing the undecided to vote “yes.” 5. The local media and school staff members should be involved in the early planning stages of the campaign. 6. School boards should utilize experts such as bond consultants, architects, and other trained individuals to educate support groups in the community. 7. The citizens committee should concentrate a great deal of effort on disseminating information. Flyers, brochures, question and answer sheets, and other printed materials are important tools for getting the message out. One should be cautioned to keep the materials simple and straightforward. Complicated, jargon-ridden justifications merely cloud the issue. Telephone and door-to-door campaigns are also important. Most people like to be able to ask specific questions, but many will not do so in a public meeting. 8. Collaborate with other governmental agencies. Sometimes bond issues are easier to sell to the public, and different state laws may apply if renovation and construction are combined with facilities operated by other governmental agencies. State laws vary on the issue. 9. The school board should limit the tax levy increase by keeping the school design simple and by utilizing existing capital outlay funds as much as possible. 10. Disseminated information and public relations activities should focus on the benefits to children and the community. Supporters need to explain the benefits of a quality education to the entire community, how better facilities contribute to providing a high quality education, and why residents whose children have left the community should care about today’s youth. Even though a new facility might make life better for teachers and administrators, these benefits should be downplayed because they do not evoke public empathy.

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11. School boards and administrators should seek advice from administrators and school boards that have won bond elections. No two school districts are alike; each faces its own unique problems, but it is important for administrators to contact other administrators who successfully organized bond referendum campaigns. They should find out what techniques and activities worked for others and then adapt those strategies to their own situations. One-third of the public schools in the United States, housing about 14 million students, are presently inadequate to meet the educational, health and safety needs of those students. Research indicates that neglect of school building maintenance, unprepared school administrators, and an antitax mindset are factors that will continue to contribute to that inadequacy.

A 2000 STATUS REPORT ON SCHOOL FACILITIES IN THE UNITED STATES Recent reports from the United States Accounting Office clarify that the problem is continuing to accelerate. The condition of school buildings in America has received considerable attention during the past several years. Nightly news programs have been more than happy to point out buildings in which students are attending classes in rooms, which are leaking, have peeling paint, and are inadequate in size. A strong determining factor in the condition of a school is the age of the facility. In 1999, a survey conducted by the U.S. Department of Education found the average age of public school buildings was 40 years and on the average major renovations had occurred over 11 years ago. The average functional age of schools in America was 16 years with 40 percent having a functional age of over 15 years.41 In addition to the concern for inadequate facilities due to age and needed repairs, school districts are also faced with the possibility of being either underenrolled or overcrowded. Due to the changing nature of the American workforce and the mobility of the American family, some districts find themselves with underutilized buildings, while at the same time needing to construct new facilities in areas of growth. About

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one-fourth of all respondents in the U.S. government survey indicated they had a need to increase the capacity of the permanent instructional buildings and space due to overcrowding. This overcrowding has led to concerns shown in research results on the effects of overcrowding on teacher and student behaviors.42 To cope with overcrowding, districts have developed a number of temporary strategies including installation of portable classrooms; integrating staggered starting and ending times; and locating interim instructional space in public buildings, vacated private buildings, or churches. Although the majority of America’s schools are in adequate condition, a large minority is not. As would be expected, older schools are in most need of repair, and yet in many cases, they exist in school districts that do not have the funding ability to maintain these buildings.43 Some believe that the funding solution for school facilities and other public infrastructures will most likely be determined at the national level rather than the local level. The education of the republic’s citizens must become a priority on the level of national defense. Others believe that the solution lies in new forms of support at the state and local levels. Regardless of the funding source, we must have an educational system that prepares all young people for gainful employment. Unless obsolete buildings are replaced, the resulting educational decline surely invites the decline of not only the American standard of living, but also the American democratic experiment and our global leadership as a nation. Whenever educators, politicians, or public school patrons speak about public school facilities, the discussion usually centers on new construction. However, a report issued by the NCES indicates that three of every four existing public school buildings are in need of repair.44 Weighing the estimated average cost to repair school buildings, approximately $2.2 million per building, school districts face a difficult choice: whether to build new schools, repair existing schools, or make do with what they already have. Interestingly enough, school population growth is not always a factor. The NCES report indicates that over half of public schools are underenrolled, while only about one in four is overcrowded. Yet, schools in both situations are in need of repairs. This suggests that many school districts not experiencing growth are still in need of new or

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improved facilities due to the deteriorating condition of their buildings. Raising the funds needed to repair or replace inadequate buildings, usually through levying new taxes, without an obvious need for more space, is a significant challenge for school district leaders. According to NCES, in 1999, one in four schools reported at least part of their facilities to be “less than adequate.” In addition, about 3.5 million students attend school in facilities that need at least partly to be replaced. Not only are some schools inadequate for quality instruction, the report also indicates many school buildings are unsafe. One in five schools reported problems with “life safety” conditions, such as flaws in safety devices, roofs, and/or electrical systems. Four in ten reported environmental problems, such as a lack of ventilation. All this is in addition to the school districts that are experiencing a lack of usable space. Not only is one in four public schools reporting to be overcrowded, one in three reportedly utilize portable classrooms, many of which have been in place for decades. In 1999, school districts nationwide spent $16 billion on new construction, with plans to spend another $75 billion on facilities during the next three years. According to Joe Agron, the editor in chief of American School & University magazine, about half of the money spent on facilities over that span of time will be used for renovations. “It really is beyond most states and local governments to get the funding needed to improve their school facilities,” Agron said.45 How will school leaders obtain funds for renovations? Former U.S. Secretary of Education, Richard W. Riley, stated, “In this time of tremendous prosperity, it is unacceptable to have students attending schools that are unsafe or unhealthy.”46 According to Agron, the strong economy had spurred more school construction, and appeared to have helped some districts pass local bond issues for buildings. In spite of progress, much needs to be done. “Of the one or two (school districts) that say they’re addressing their facilities needs,” Agron said, “there’s a dozen that are trying to keep up and just doing what they can in trying to provide safe facilities.”47 As local school leaders look to the future of their school districts, the need for safe and adequate facilities, and the funding to maintain them, must be a high priority.

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In the forward to the National Education Association’s School Modernization Needs Assessment entitled Modernizing Our Schools: What Will It Cost?, NEA President Bob Chase states: Quality teachers, high standards, and a challenging curriculum are all key ingredients to ensuring the success of America’s public school students. But we often fail to recognize that where our students learn can have a dramatic impact on what they learn. Research shows that students learn best when they are in safe, modern schools, with smaller classes and upto-date technology.48

The NEA report not only confirmed the $112 billion that the U.S. General Accounting Office’s report entitled School Facilities: The Condition of America’s Schools stated is needed to take care of deferred maintenance, building safety, and accessibility, but it increased that figure to $321.9 billion. This new figure both updates the estimate within the U.S. General Accounting Office’s report and generates a current state-by-state assessment using data from four major sources: policy and research literature, policy and research databases, the NEA’s annual “Survey of State School Finance Legislation,” and the NEA’s 1999 Modernization Needs Assessment Questionnaire. Of the $321.9 billion, $268.2 billion are for school infrastructure and $53.7 billion are needed for “education technologies.” Moreover, the NEA report finds that the funding variance needed for school modernization among states varies dramatically. In an effort to develop a plan to finance modernization, two recommendations and two observations are given in this NEA report: (1) States with budget surpluses should use the extra fiscal resources as a means to provide immediate “investments in school modernization”; (2) The federal government must expand its assistance in aiding states with “low fiscal capacity” and “large unmet funding needs.” Currently, the expansion of federal assistance to states can be seen in the proposed “H.R. 3071, which would amend the Elementary and Secondary Education Act to provide $110 billion over the next 10 years to local school districts for construction, renovation and modernization, including information technology needs.”49 In addition to the need for funding for new and renovated school facilities, schools in this information age must also make significant

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investments in educational technology both in hardware and software. These investments are useless, however, unless educators possess the ability to integrate the technology into the curriculum and classroom. Any plan developed to provide financing for school modernization must also provide adequate funding for professional development and ongoing technical support. This need to develop a plan to provide for school modernization is strengthened by the research cited in the March 2000 publication of Educational Leadership. John H. Holloway cites research by Earthman and Lemaster, which “indicates a link between building condition and academic performance.”50 Specifically, this study concludes, “building age was significantly related to student achievement and behavior.” Keeping in mind the recommendations and observations in the NEA report, it is hoped that school administrators will be able to utilize this information to influence legislators and school boards to take positive actions. In fact, throughout America school leaders and their boards of education will need to initiate school bond elections to secure the necessary funding. Yet, in recent years, these bond issue elections have been the greatest obstacle to progress. For a variety of reasons, most taxpayers have been reluctant to raise their own taxes, regardless of the needs of local schools. The problem of passing school bond issue requests in over half of the states is exacerbated by statutes that govern school bond elections, particularly the section that deals with the required 60 percent requirement for passage.51 This protects taxpayers’ interests, but the nearly 2-1 margin of favorability needed to issue bonds is extremely difficult to attain in many communities. In South Dakota, as one example, almost no bond issues pass on the first attempt and many fail even after three to five attempts.

UPDATED RECOMMENDATIONS The lifeblood of any facility program is revenue. The study by Holt addressed how this significant challenge can be reduced by emphasizing variables that contribute to the success of bond elections and avoiding

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those variables that contribute to failure.52 From this study, input and discussions with colleague Roland M. Smith from our 60 years experience as school administrators, and recent research, the following recommendations provide an updated plan for school bond success: 1. Successful millage campaigns start with a vision. It is the responsibility of the superintendent to translate the aspirations of the community and its school board concerning educational environments into goals that can be understood as realistic plans for action. The superintendent must facilitate demographic projections, enrollment forecasts, educational assessments, building needs assessments, and resource alternatives. These are placed into a proposed plan of action and serve as a basis for discussion at school board study sessions, staff meetings, and public forums. If key community leaders, staff, parents, and media truly believe that the proposed building alternative and funding request represent the best alternative for their children in terms of effectiveness and efficiency, the plan has the potential to be successful. 2. The board of education decision to request the bond issue must be unanimous. Concessions as necessary should be made to achieve this support, as a less than unanimous vote may become fuel for opposition groups within the community. This relates to our first suggestion that time must be spent in school board study sessions making sure that the school district’s vision and plan of action are clearly defined and accepted by all members. 3. Resources and building plans need to be clearly delineated. Again, the superintendent must see that present revenue and spending are clearly accounted, that maintenance costs of present buildings are explained, that the alternatives to not building are believable, that the consequences of not passing the millage are real, and that comparative building cost data is presented to the public. Open, honest dialogue is a prerequisite for success. 4. Selection of sites must be clearly understood to be the most appropriate alternatives. Here, the superintendent and staff should work with city and county planning officials to learn of future developments and their ideas concerning best sites. In Rodgers, Arkansas, work with city planners led to the selection of sites in

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emerging sections of that city. A new high school was planned for an area that would in the next ten years be the center of town while at the point of groundbreaking it was pastureland on the outskirts of town. In that same community, groundbreaking for the Joe Mathias Elementary School took place in an area of much open space. New houses adjacent to the school were completed before the school opened. 5. Develop educational specifications in consultation with architects, school board members, staff, and parent representatives. Here, the first step is to allow dreaming to take place. To generate ideas, visits to model buildings may be appropriate. In the case of the high school discussed above, teachers, building administrators, school board members, and architects visited other high schools in two other states as a part of this process. Remember, teachers are key participants. They should be encouraged to articulate ideal educational environments with the understanding that after a cost analysis, priorities must be selected with the final determination made by the board of education. While not a critical element in all school districts, the Holt study found that the design and location of the new construction appear to be related to the success or failure of bond issues in some districts. This was particularly true in districts where relocation of students meant longer school bus drives or attending school in a different area of the community. While some suggest it is important to keep the design on the most functional levels, others maintain the belief it is a mistake to offer the simplest design on the first attempt, in that the school board has nowhere to cut spending on the project for another attempt. Our preference is a building design that is functional, aesthetically pleading, incorporates teacher suggestions, and reflects long-term educational needs. We believe that planning for success must emphasize passage on the first attempt. Planning must also consider the consequences of an initial defeat in the context of a plan for eventual success. 6. Recognize that an active citizens support group is of critical importance to a successful bond issue campaign. This task force is used initially to review needs, study alternatives, and make recommendations to go forward to the board of education. While it

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was judged of importance to have administrator and staff support, the Holt study found that districts that experienced the greatest success were those in which administrators played a low-key role, thus allowing members of the support group to assume the primary responsibility for educating the public. The activities most utilized by support groups in the selected school districts included identification of needs of the school district, leadership in the promotion of the bond issue, fund-raising, publicity, door-to-door and telephone canvassing of the community, development of a campaign theme, designing brochures, making presentations to various community groups, conducting building tours, and participating in media events. Creating a diverse community support group made up of individuals from all segments of the community is a critical factor in dealing with opposition within the community. Such inclusionary practices give more people a “personal stake” in the results of the election. While serving as superintendent of the Plainfield, Illinois, school district, Dr. Smith convinced the chief priest of the largest church in the community to become a key member of the citizen’s committee even though his church operated a parish school. That priest wore a high school letter jacket over his clergy garb as he promoted the tax increase all over the community. He invited the superintendent to address the Knights of Columbus. That tax increase referendum was successful. 7. One of the tasks of the citizen’s support group is to identify “yes,” “no,” and “maybe” voters. Based on the bond millage campaigns in the Holt study, 35.5 percent to 40 percent of the registered voters within a school district participated in school bond elections. Those interviewed believed that the low voter turnout suggested that campaigns must be centered on getting “yes” voters to the polls. Provide basic information to everyone and answer all questions forthrightly. Don’t spend time on “no” voters, but cultivate your “yes” and “maybe” voters. Utilize poll watchers to ensure that all individuals identified as potential “yes” voters actually make it to the polls. 8. This citizen’s committee should take the lead in mobilizing the community effort and raising funds to finance the millage campaign. Legally, school districts may present factual information to

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the public, but they may not advocate a “yes” vote. This is the role of the citizen’s committee whose membership may include teachers, parents, community leaders, some board members (as allowed by law), representative citizens, and administrators. The superintendent should serve as a resource to this committee, but it is the citizens who are in charge. Consultation with the school district’s attorney is suggested concerning the extent of the involvement of school officials with this advocacy group. Passing a referendum, bond issue, millage, or tax increase of any kind continues to be increasingly difficult. A recent study by Ginger Wheeler confirms the importance of convincing key citizens to become involved. Wheeler focused on one suburban Chicago district, Glen Ellyn District 41, whose superintendent, Pi Irwin, decided her district was in dire need of new facilities.53 A previous small referendum had failed miserably only a few years before. The strategy Irwin decided to use was to enlist the help of the opposition, a group of local citizens called IRATE, headed by Joseph Graves. Graves, as the leader of this antitax group, had worked actively on behalf of fixed-income senior citizens and had successfully defeated at least $72.5 million in new taxes over the past few years. Superintendent Irwin’s first job was to convince Graves of the district’s true need for more money for facility improvement. Once this was accomplished, Graves became a great supporter and campaigner for the school district. Over a 15-month period, Graves and Irwin asked residents to serve on committees to assess school needs. Administrators and school board members were absent from these meetings, so community members were allowed to discover and draw their own conclusions, which were then presented to the school board. The citizen committees then took control of the campaign, organizing members to contact more than 14,000 voters by using a block-by-block campaign, and coordinating advertising strategies. School tours were also organized so voters could view for themselves the needs of the schools. The referendum passed, 3,692 to 2,572 votes. Graves was honored as the “Citizen of the Year” by the county administrators, for his ceaseless work on the campaign.

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His success developed into something further; Graves authored a book, Winning the Referendum Battle in Education, where he recounts the strategies used in the successful Glen Ellyn District 41 campaign. The most relevant points, in our opinion, were: a. Define the needs first, then decide how much it will cost to accomplish those goals. b. Use real, working committees, not a blue-ribbon committee whose members are appointed more for name recognition than for their contributions. c. Be sure the committee operates independently of the school board and administration. 9. Provide extensive information to news media. Newspaper, radio, and television editors will normally support the needs of the schools if given a clear explanation of the problems associated with existing facilities and give assurance that the millage request is responsible. Media support is very important to the success of bond issue elections. It is recommended that letters of support be generated by citizens that identify the problems faced by the students, and the issues of growth, overcrowding, and lack of space. Letters concerning the educational philosophy of the school, the outdated nature of present facilities, and the contributions of previous generations to the schools also are effective. In some communities, school district leaders can expect letters of opposition published in newspapers. These letters will likely identify property tax increases as the reason for not supporting new school facilities. The citizen’s committee should see that responding letters focus on the gains in relation to the tax increase (e.g., image of the community, attracting new businesses, maintenance of home values, and the benefits for children). Most editors that we have known have been fair-minded when it comes to educational facilities for children. 10. Utilize telephone campaigning, coffees in homes, parent-teacher meetings, door-to-door canvassing, and direct mailings from the citizen’s committee as techniques for educating the community about the needs of the school district. Holding public meetings is also important. Factual information may be presented by the su-

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12.

13.

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perintendent and staff including the consequences of not passing the bond issue as presented and adopted by the board of education. Members of the citizen’s committee can present advisory committee materials. Consider the services of a bond consultant to help educate workers on activities that bring “yes” voters to the polls. Consultants are also used for completing required documentation to purchase bonds after the elections had been won. Consider carefully not only the amount of the millage increase, but also the perception of the public to the amount of the increase. In the Holt study, the amount of the increase in the tax levy requested by a particular school district appeared to be a critical element in the success or failure of a school bond election. In that study, both school districts that lost their elections indicated that concern over the raise in taxes was a critical element in the defeat of the issue. The data from those interviewed suggested that the amount of levy increase per one thousand dollars valuation must not greatly exceed $2.00 per $1,000 to have a successful election. The use of capital outlay dollars, as another source of funding should be considered as an option for lowering the levy increase requested. Involve community leaders, local media, and school staff in the early planning stages of a bond election. My colleague and good friend, Dr. Roland Smith, reminds me that in Rogers, Arkansas, after a community, parent, alumni, teacher, administrative, or school board committee determined the need for a referendum, the grade configuration of the schools, and the timetable for construction, the local chamber of commerce took the lead in seeing that businesses throughout the community posted “Vote Yes” on their business signs. It was inspiring and successful. In Plainfield, Illinois, a winning slogan was “Our Goal: Student Success.” In Rogers, Arkansas, a public relations firm donated their services to a citizen’s committee around the theme “Join Our Space Team.” A logo featured a child in a space capsule. Personal contacts to share the needs of the children in the school district should be made utilizing carefully prepared materials. It is suggested that the citizen’s committee prepare a speaker’s

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notebook for each member of the committee and for those parent leaders seeking to mobilize a “yes” vote. This should contain factual information prepared by the superintendent, answers to positive questions, answers to anticipated negative questions, and sample speeches designed for both coffees and organizational presentations. Another alternative is to prepare a video presentation to insure a consistent message to all potential voters. 15. Disseminate important information through print materials, such as brochures, flyers, and question and answer sheets. Our research and experience suggests that this is an area that cannot be overdone. The school district should present factual information identifying the facility problem, the recommended corrections, the basic floor plan and site footprint, the cost, and the election information. Again, the school district should provide factual information to the public. Promotional activities are the responsibility of community groups. 16. Consult your state department of education regarding construction regulations and possible alternative sources of funds. State departments of education provide a rich reservoir of information. Their resources come with little to no cost and can be critical to planning facility construction or renovation, determining comparable costs, and affirming funding possibilities. A major consideration for public school leaders when planning to renovate existing buildings or build new ones is the involvement of agencies outside the district. Agencies such as the state department of education, state and local building code inspectors, and state and local health and safety officials have varying degrees of involvement regarding plan approval and site inspection from state to state. In order to determine the level of involvement of these agencies, officials from the states of Louisiana, Mississippi, Missouri, Oklahoma, Tennessee, and Texas were surveyed. The goal was to measure the level of involvement of each state in regard to these areas: building plan approval by the state department of education, building plan approval by other outside agencies, and requirements regarding the use of professionals such as engineers and architects. To do so, a survey instrument (see Appendix E) that measured states’ involvement from one

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to five, with one being the least involvement and five being the most involvement. Officials from each state’s department of education were contacted, and asked to respond to three questions with the statement that was the “most true” for his or her state. The first question measured the involvement of the state department of education in building plan approval, the results of which are shown in figure 1.2. As the figure shows, Mississippi and Oklahoma have the most involvement in plan approval. The involvement of other agencies in building plan approval, shown in figure 1.3, was the second question. State and local agencies have the most involvement in Louisiana and Oklahoma as figure 1.3 illustrates, while the least involved are those in Mississippi. figure 1.4 shows the results of the third question, which measured the level of restriction placed by the state upon school districts in regard to the use of professionals such as engineers and architects. Public school leaders in Mississippi, Oklahoma, and Texas are under the greatest restrictions and must use professionals while those in Louisiana, Missouri, and Tennessee are under the least restriction, as indicated by figure 1.4. As is shown by figures 1.2 through 1.4, Oklahoma had the most involvement in public school building projects while Tennessee had the least. This means that public school officials in Tennessee have very little concern regarding outside involvement in building plans, while those in Oklahoma must consider the involvement of other agencies whenever they plan to renovate existing buildings or build new ones.

Figure 1.2. State Department of Education involvement in building plan approval.

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Figure 1.3. Other government agencies involvement in building plan approval.

Figure 1.4. Required use of professionals (architects, engineers, ect.) by school district.

17. Review state and federal guidelines to search for alternative funding sources for new facilities. State laws may allow a lower approval level for school renovation and construction if they are combined with facilities operated by other governmental agencies. The United States Department of Education report recently stated that 53 million students were enrolled in kindergarten through twelfth grade during the 2000–2001 school year.54 This is the fifth straight year for a record number of students in public schools. President Clinton predicted the overflowing of schools well into the next century. With the average public school in America being 42 years old, with an estimated cost of $112 billion to bring them up to standard, it is apparent that schools are wearing out. Clinton’s FY2001 school modernization package ad-

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dressed school construction and improvement needs (long- and short-term) through loans, grants, and tax credit bonds. These tax credit bonds are the result of 1997 legislation, which allotted $400 million (in 1998) to the Qualified Zone Academy Bond (QZAB) plan.55 In 2000 another $400 million in bonding authority was provided to QZAB for 2000 and 2001. The president’s goal has been to expand this amount, along with the program itself, providing $2.4 billion for new construction. Currently, only nineteen states are utilizing these resources while six are working on their applications. The remaining states, which have not tapped into these funds, have created a $1.2 billion “pot” that will be lost if their school districts do not apply for them within three years from the original notices for available funds. A formula based on school poverty allocates funds; however, several other criteria must be met to qualify for funding. Thirtyfive percent of the students must be on free or reduced lunches, schools must be involved in business partnerships enhancing the learning atmosphere and culture, and schools must receive contributions from a private organization or business equal to 10 percent of the proceeds of the QZAB. 18. A final recommendation is one that overrides all others. Relate everything you do to the primary reason you entered educational leadership—student success. In the planning for new or remodeled school facilities, it is important to remember the impact of a positive school climate on student’s attitudes, emotions, and learning. The success of schools at meeting the needs of the students is tied directly to the climate of the facility. This element is important not only to the success of students in academic subjects but also in their emotional and social satisfaction. In Creating a Place Where People Want to Be by Nancy-Jo Hereford, elements of successful middle schools are the focus.56 Hereford reports that a positive school climate ensures that everyone is valued and respected. It also keeps the school focused on success. In conclusion, professors of educational administration can support successful planning and marketing strategies by revising school facility

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courses to emulate the suggestions in this paper; by utilizing the information in the School Bond Success: A Strategy for Building America’s Schools57 textbook, and the Planning Educational Facilities for the Next Century58 textbook; scheduling school and construction site visits; and by scheduling presentations from practicing architects, school administrators, and state department officials. Administrators and school board members should take note that the most consistent variable identified by Holt as contributing to the failure of bond issues was a lack of understanding of attitudes and perceptions within the community and among the educational staff about the schools. Failure to identify negative attitudes gave rise to opposition groups, identified by some as a critical factor in the school bond issue loss. Both school districts in the Holt study that experienced failure had difficulties with opposition groups. One also was unable to deal with staff perceptions that elementary students and teachers would be housed in a building the campaign said was inadequate. The other had problems convincing the public that the present facilities were inadequate. Such problems might have been dealt with in the early stages of the campaigns if those attitudes had been known and a public relations program developed to provide accurate information regarding these issues.

THE RELATIONSHIP BETWEEN SCHOOL CLIMATE AND STUDENT SUCCESS How important is a school’s environment to student success? Terry Deal and Kent Peterson59 report studies demonstrating that the culture of a business or school is a key element in influencing student success. By culture, they mean the complex webs of traditions and rituals as people deal with accomplishments and crises. Included in that culture is schools and school grounds. The physical plant and the architecture “reflect important beliefs as to what schools are about and the meaning they hold for students and the community.”60 Deal and Peterson review the evolution of schools from buildings designed to look like factories, to castles, to today’s more personal and intimate learning environments in schools built to educate tomorrow’s leaders.

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Not only does a school’s architecture signal what is important; a school’s architecture also motivates students and employees, provides a message of deeper purposes and values, and can tie a community together.61 While high achievement in schools, successful business in stores, and quality living in homes can occur in facilities that are substandard, one only has to visit today’s shopping malls or state-of-the-art factories to recognize that a building and its environment are designed for successful performance. Industrial engineers and interior designers work with architects to see that factories and shopping centers are designed for maximum efficiency whether that is a factory production line, a high technology facility, or a retail marketing floor plan to attract consumers. Department store corporate leaders reflect their mission in their buildings and resource layouts. They design environments that allow them to best market their products. Then, they constantly study their environment and the environment of their competitors. While the grand piano in a multistoried Nordstrom’s department store gives a much different flavor than the utilitarian but attractive Wal-Mart store layouts, the facilities of both have been designed with the end result in mind. It is obvious that facilities contribute to organizational success. In warm climates, it would be unheard of for department stores not to have air conditioning. Dr. Roland M. Smith reminds us that as late as 1994, school children in Rogers, Arkansas (as well as in numerous other cities throughout the South) attended school in the early fall and late summer in torrid weather without air-conditioning. Fans would be purchased and borrowed. Students and teachers would leave school exhausted after a day generating body heat together in classrooms of 1,000 square feet and less. Some days featured an early release. Many of the students and teachers would go home to air-conditioned environments making the contrast even greater. Is there any question that this affected the learning climate in those schools? Whether the facility is a factory, store, home, or school, the building climate influences the outcomes of the organization and is eloquent testimony to the values placed on that organizational unit. In the United States of America, political leaders of both parties at both the state and national levels trumpet the fact that education of children is their first or one of their most important priorities. If that

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were more than a campaign slogan, one would expect well-designed learning environments for children. In reality, however, a report issued by the NCES indicates that three of every four existing public school buildings are in need of repair.62 Weighing the estimated average cost to repair school buildings, approximately $2.2 million per building, school districts face a difficult choice: whether to build new schools, repair existing schools, or make do with what they already have. Many old schools must be retrofitted for new technology and new teaching strategies, such as the Reading Recovery program that requires some observation spaces. As a result, many schools in school districts not experiencing growth are still in need of replacement or improved facilities. The problem of passing school bond issue requests in over half of the states is exacerbated by statutes that govern school bond elections, particularly the section that deals with the required 60 percent requirement for passage.63 During the marketing effort to pass a school bond issue, leaders may experience a concern from constituents regarding proof that a new school building has a positive effect on students’ ability to learn. In some cases, our experience with this type of marketing was followed by such comments as, “The building was good enough for my education, and I have done all right”; “Abraham Lincoln received a fine education working by candlelight in his parent’s log cabin”; or “My taxes are already too high, let them get by with less.” Although there will be some who will never be convinced, we know from experience that a factual presentation of the new realities will result in support from a majority of voters when school districts are fiscally prudent, educationally sound, and have engaged in community-wide strategic planning. While common sense makes us realize that teachers and students feel better about themselves when housed in a positive and pleasant environment what does the research say?

RECENT RESEARCH Recent research has provided information concerning the importance of climate, safety, environment, technology, and volunteerism on the

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positive results of productivity relating to the instructional staff and the achievement of students. Let’s look at a sample of recent studies. 1. Where Children Learn: The Effect of Facilities on Student Achievement by CEFPI, The School Building Association,64 is this organization’s research project concerning the relationship between the condition of school facilities and student achievement and behavior. A study is cited by Dr. Lorraine Maxwell of Cornell University concerning the effects of school renovation in Syracuse, New York, public schools. In analyzing mathematics and reading scores of third- and sixth-grade students for an 11- to 12-year period surrounding each school’s renovation, Maxwell found a decreased student performance during the renovation but a statistically significant relationship between upgraded facilities and mathematics scores. 2. J. Howard Bowers and Charles Burkett found test scores of fifth and seventh graders to be higher and discipline to be better in modern school buildings.65 3. In A Statewide Study of Student Achievement and Behavior and School Building Condition, Glen Earthman, Carol Cash, and Denny Van Berkkum found a positive relationship between facility condition and student achievement and behavior in North Dakota high schools.66 4. Eric Hines in a doctoral dissertation study at Virginia Polytechnic Institute found student achievement scores to be up to 11 percentile points lower in substandard facilities.67 5. Dale Mann, a professor at Columbia University, reports that West Virginia went from last place to eleventh place in the country on fifth-grade test scores.68 In a multiyear analysis of West Virginia’s “Best Skills/Computer Education” program, researchers concluded that the increase could be attributed to technology, hardware, software, and support. In West Virginia, the state decided to place its entire technology budget in one grade at a time, starting with kindergarten. This paper also reports that a 1998 study of Idaho’s school children produced similar gains in standardized test scores following a statewide emphasis on technology. Mann then cites a 1995 Harvard University study that found the literacy levels

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of first-graders increased when exposed to interactive storybooks. School facilities for the twenty-first century must have provisions for the incorporation of technology. 6. An article entitled “Best Practices and Lessons Learned” reports that the General Services Administration has found an 11 percent reduction in student performance at schools in poor condition. Cara Branigan reports the American Academy of Pediatrics has partnered with a nonprofit group called Learning in the Real World to study the value of technology in education. Branigan cautions that the group starts with a bias against the use of technology in schools. Some of the above research was reported by organizations that are involved in school construction. They would be biased in favor of new facility construction. Obviously, any research must be considered in the context of other studies and the views of practitioners in that field.69 The studies presented above do not represent the definitive word on the relationship of school facilities to student success. It is not suggested that a school’s facilities are the most critical component of student success. (Certainly, ranking ahead of school facilities, would be teacher qualifications, the quality of parental involvement, the leadership of the principal, and the entire scope of a school’s culture.) However, the present research evidence, research on the effects of culture in general as presented by Deal and Peterson with building climate a part of that culture, the practices of businesses and industries in relating their facilities very carefully to organizational goals, and the views of educators when considered together create a strong case for buildings that facilitate a learning climate that promotes excellence.70

TEACHER VIEWS What do teachers think need to be included in school facilities? Tamara Henry reports that 92 percent of 1,050 public school teachers surveyed by the marketing research firm of Beth Schapiro & Associates said that classroom design has a strong impact on students’ learning and achievement. Teachers reported that they believed schools should include:

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1. Comfortable seating and work spaces for students so that teachers and students could have increased flexibility. 2. The ability to control heat and air-conditioning. 3. Flexibility to rearrange the room. 4. Attractive colors, textures, and patterns on the floors and walls.71 The success of schools at meeting the needs of students’ attitudes towards learning and emotions is related to the climate of the facility. This element is important not only in the success of students in academic measures, but also the level of emotional and social satisfaction. In Creating a Place Where People Want to Be by Nancy-Jo Hereford, elements of successful middle schools are the focus.72 Hereford states that creating an inviting place to learn is the goal of these schools. This includes a positive school climate ensures where everyone is valued, respected, and comfortable. Hereford cites many different schools and their recipes for a positive school climate. The Council for Basic Education has suggested these criteria for evaluating school climate: 1. 2. 3. 4. 5. 6.

What evidence is there of a sense of community in a school? How is an expectation of orderliness and respect conveyed? Are the building grounds well maintained? How does the school make decisions of disciplinary matters? What is the school’s policy on violent or disruptive students? Are students aware of the policy and do they think it is followed and fair? 7. Do students, teachers, and other parents consider the school a safe place? In a tour of the schools utilized in this study, apparent conditions provided possible answers to these concerns. The school grounds and buildings were neat and clean. The paint schemes were positive and cheerful, and the floors were clean and modern. The focus at these schools was on the positive actions of students. Programs focused on the inclusion of all students, supported with adult advocates for each child.

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SAFETY AND TECHNOLOGY School Premises “In a healthy school environment, human relationships are paramount, and all individuals are treated with dignity and respect.”73 Physical examples of a good culture included: student work displayed on walls, a nurturing environment centered around the kids, and a clear message of learning being the number one priority. New or upgraded school facilities need to incorporate distance learning to meet the needs of the expanding population. Distance learning means that the teacher and students are separated by distance; the instruction is delivered via print, voice, video, or computer; and the communications are interactive.74 School administrators are finding certified teachers in some subjects more difficult to find and retain. Because of the time factor of passing millage increases, building new facilities, or upgrading older facilities, distance learning can help during the transition period. It can also prove beneficial to the school when determining permanent long-range goals. The advancement in technology has allowed many districts to offer courses via satellite, compressed video, cable, or other networks of learning. Both small and large districts are dealing with this new communications technology, and must realize there is more to distance learning than just adding technology. Aged facilities and students with special needs do not mix. If distance learning is provided, schools must ensure the program is accessible and usable by individuals with disabilities. Ensuring the safety of students and staff is a critical consideration in the design of school facilities. Kosar and Ahmed see security and site design as “not only making schools safe and nurturing places, but also reducing operating costs associated with traditional precautions.”75 School design must be aesthetically pleasing and welcoming, while also providing necessary security features. For example, secure closed airconditioning systems limit the transferring of objects through windows, while the restricted installation of pay phones also limits contact with those not in school. Metal detectors and closed circuit cameras (used in 4 percent of the nation’s schools) are often what come to mind when the words security

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technology are mentioned. The equipment readily available for “broadbased” security plans includes a far broader array of products and ideas: doors that fasten with electromagnetic locks, halls that are monitored by security panels, off-site monitoring facilities, access cards (such as Weigand technology cards), and panic buttons installed in teachers’ desks. Despite the costs, these school improvements are becoming critical. They must be budgeted for and implemented. Is the life of one student an acceptable cost for budget stagnancy? Although Kosar and Ahmed’s upbeat tone comments on the integration of security functions, a correctional facility picture looms in their research. Holding areas, cold steel doors weighing 400 pounds, automated door openers, security hubs, and secretaries behind inch-thick glass do not paint a warm and friendly environmental picture. Will this level of security solve the problem? What kind of school culture would be created with this type of facility? Security measures must be formulated to blend into the building design focused on encouraging learning. School Construction Sites Security and liability issues at the construction site are also important considerations for contractors and school leaders. Vandals raided a 70acre campus in a school district near St. Louis, Missouri, seven times between March and July of 1997.76 Who is responsible for security and liability at the construction site of a new school facility? The seven attacks totaled $20,000 in damages. Fortunately there were no injuries. “You can’t do a construction project where you don’t budget for some amount of loss through theft or vandalism,” says Thomas W. Fogle of Allied Security Incorporated, a national contract security officer services company, based in Pittsburgh, Pennsylvania. What would have happened if the vandals were seriously hurt or killed while on the construction site? “Even though the vandals had illegal intent and no authorized purpose for being on the site, there is no way there wouldn’t have been a liability question had someone been hurt,” added Fogle. Vandalism can cost the project a large sum of money, but the liability aspect can potentially cost much more. “Typically, an architect will specify that the contractor is responsible to secure the site,” says James Cash,

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vice president in charge of business development with the Christman Company, a Lansing, Michigan-based, construction management firm. Cash also added that many times contractors are left to decide what level of security is appropriate. While security represents an important contract issue between the contractor and the school district, it still doesn’t ensure a school district is totally immune from lawsuit. In the end, the school district, the construction manager, the contractor, and security firm all have a duty to guarantee a secure construction site.77 Suggestions from Fickes include: • The security plan should fit present conditions rather than past conditions. • The contractor should police the site at the end of the workday. • Heavy equipment should be locked down. • Smaller equipment and smaller tools should be locked in a trailer. • Sensitive areas of the site should be pointed out to the security officer on patrol. • A perimeter fence should be installed, which may have barbed wire on top. • Motion detectors and alarms should be considered. • A “tour” system should be considered. This is an electronic management system that provides a record of security patrol activities.78 School construction site security and liability issues need to be part of the initial planning of the building. The more proactive the board of education, architects, community planning team, and superintendent are in planning, the less reactive they will need to be regarding losses in wasted time, money, change orders, and perhaps unnecessary injuries. Public school leaders face many challenges that may appear to be unrelated to learning, such as lack of resources, collective bargaining, and community relations. However, everything happening in public schools relates to student achievement, and the effectiveness of public schools will be measured according to the degree to which students achieve. One measure of student achievement used by educators and others is standardized test scores. Some factors, such as demographic background, family structure, and learning ability, are beyond the control of public school leaders and teachers, but educators can affect other

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factors contributing to student achievement. It is upon those factors, teachers and administrators must focus their attention. Among those factors influencing student achievement on standardized tests, one factor that is the direct responsibility of the administration, is the school climate. From the quality and configuration of the facilities to the instructional leadership of the school principal, the overall culture and climate of the school has a tremendous impact upon student achievement, and school district leaders must assure that it is as conducive to learning as possible.

CLIMATE RESEARCH In discussion with my colleagues and graduate students, it was decided to conduct a survey to determine which environmental factors in one state had the greatest impact on student achievement. After much discussion and study, three possible areas of school climate that could have an effect on learning were selected: effective teachers, instructional leadership, and quality facilities. In order to measure these factors, a survey was designed to establish the preparedness of teachers in a school, the quality of the school principal’s leadership, and the conduciveness of the school building. It was decided to focus on one group of students, so the survey was restricted to high schools in the study whose tenth-grade students had taken the Stanford Achievement Test (SAT-9) in the fall of 2000. After ranking the schools according to the students’ performance on the SAT-9, selection was from the top twenty and bottom twenty schools, and then thirty high school principals were contacted. Principals were asked to rate the level of their faculty’s knowledge of subject matter and training, to identify specific strategies they had used to improve student achievement, and to judge the quality of their building and its impact upon learning. For comparison, principals were asked to characterize the economic status of their students, since that is one factor affecting achievement over which they had no control. The results of these surveys were very interesting, and may be useful to public school leaders who desire to create the most conducive learning environment possible, and who seek to improve students’ standardized test scores.

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There were two types of questions in the survey. One type of question asked the respondent to provide only one answer. Principals were asked to identify the percentage of students in their schools who were eligible for free or reduced-price lunch, the approximate age of their school building, and to rate several elements of the school climate on a scale of one to five, using one to indicate the lowest rating and five to indicate the highest rating. The results of these questions are represented in a table (see Appendix F), displayed by state rank, according to their tenthgrade students’ performance on the SAT-9 exam, and showing an average of the responses for the top thirteen and bottom fifteen schools. The averages reveal that the economic status of the students’ families and the age of the building are significantly different for each group. While one school in the top thirteen had 75 percent of its student population eligible for free or reduced-price lunches, and another school in the top thirteen had a building 70 years old, the averages for the top thirteen were dramatically different from those at the bottom. The average of students eligible for free or reduced-price lunches for schools in the top thirteen was 36.3 percent, which was less than half the average for schools in the bottom fifteen, which was 77.9 percent. The average age of the school buildings in the top thirteen was 28.2 years, while the average age for those in the bottom fifteen was 34.4 years. Otherwise, the responses for principals from both groups were virtually the same. When asked to rate their faculty’s knowledge of subject matter, their faculty’s level of training, their own contribution to student achievement, and the conduciveness to learning of their school building, individual responses varied, but the averages for both groups were nearly identical. Most principals from both groups believed their teachers were above average in knowledge and training, as were their own contributions to achievement. There was a slight difference between groups on the subject of school buildings, however. The average of responses from the bottom fifteen to the question, “How conducive is your building to student achievement?” was 3.4 while the average of responses from the top thirteen to the same question was 3.8. Another type of question on the survey instrument was open-ended. Respondents were allowed to provide as many answers as they chose. There were four such questions on the survey. The first open-ended question asked each principal to list specific things he or she had

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done to improve student achievement. Not surprisingly, each group answered the question differently. The three most common responses to this question from principals of schools in the bottom fifteen were, “use of tutoring for remediation” (nine of fifteen), “staff development to enhance instruction” (six of fifteen), and “purchasing supplemental materials” (four of fifteen). None of the principals from the top thirteen schools mentioned either tutoring or purchasing materials, and only two of thirteen mentioned staff development. Instead, the three most common responses from principals in the top thirteen were “align/adjust the curriculum” (five of thirteen), “use SAT-9 results to plan instruction” (four of thirteen), and “rearrange the master schedule for maximum effectiveness” (three of thirteen). While three principals from the bottom fifteen schools also mentioned aligning or adjusting the curriculum, none of them mentioned test results or the master schedule. It is interesting to note that the fourth most common response to this question for both groups was “motivational activities.” The next open-ended question on the survey asked principals to indicate how their school building promoted student achievement. Principals from both groups had similar responses to this question. The most common response from both groups was “access to technology” (five of the top thirteen, four of the bottom fifteen). The second most common response from both groups was “clean/well-maintained facilities” (three of the top thirteen, four of the bottom fifteen). Other responses differed by group. Principals from schools in the bottom fifteen responded with aspects of the building, such as “space,” “well lit,” and “quiet,” while the next most common response from those in the top thirteen related to building configuration, such as “All classrooms in one building.” Another open-ended question asked principals to indicate how their school buildings inhibited student achievement. Surprisingly, the most common response from principals in both groups was “It does not” (six of the top thirteen, six of the bottom fifteen). Principals from both groups gave a variety of responses to this question, ranging from “Age/ condition” to “Design flaws,” with no trend in responses from either group, although only principals from schools in the bottom fifteen mentioned “Noise” (two of fifteen). The final open-ended question on the survey instrument asked principals to indicate how they would change their school building

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to enhance student achievement if cost were not an issue. Responses showed a distinct difference between the groups. Only three different responses were mentioned by two or more principals in any one group, including “Rebuild” (two of the top thirteen, one of the bottom fifteen). The most common response to this question by principals from schools in the top thirteen was “Add technology” (five of thirteen). Only two principals from the bottom fifteen mentioned technology. The most common response from principals in the bottom fifteen was “Add more space” (nine of fifteen). Only four principals from schools in the top thirteen indicated they would add more space to their building if cost were not an issue. The analysis of responses from principals in each group leads to several conclusions. Principals who responded to the survey instrument, whether the students in their school performed well on the SAT-9 or not, believed their faculty was above average in knowledge of subject matter and level of training. They also believed they were doing an above average job of helping to improve student achievement, even though their methods and strategies differed. A majority of principals from schools in the top thirteen, and from schools in the bottom fifteen believed their school building did not hinder student achievement, even though they would like to improve it if cost were not an issue. In addition, principals from schools in both groups listed “Access to Technology” and “Clean/Well-kept Facilities” as elements of their school buildings that promoted student achievement. Responses to other questions on the survey indicated that principals from schools in the top thirteen and their counterparts from schools in the bottom fifteen did not agree on everything. Principals from each group used different strategies to enhance student performance. For instance, those from schools in the bottom fifteen emphasized tutoring for remediation, staff development, and using supplemental materials to help students improve standardized test scores, while principals from the top thirteen schools focused on aligning and adjusting the curriculum, using SAT-9 results to plan instruction, and rearranging the master schedule to maximize teacher effectiveness. Also, when asked how they would change their school buildings to enhance student achievement if cost were not an issue, principals from schools in the top thirteen felt that additional technology was the top priority, followed by additional

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instructional space. The majority of those from the bottom fifteen schools felt that space was the most pressing need, with additional technology a distant second. We can assume the ultimate goals of all of the principals participating in the survey included helping students be more successful, empowering students to greater levels of achievement, and providing students with an environment as conducive to learning as possible. Any principal serves a specific group of students from various economic backgrounds, leads a group of teachers with various levels of training and knowledge, and has specific facilities with which to work in a variety of conditions and configurations. Their challenge is to use the resources available to them to provide students with an effective instructional program, an efficient school operation, and a quality educational experience.

SUMMARY OF FINDINGS The research is conclusive that the culture of an organization influences its success. Research concerning school climate and school facilities is less conclusive, but there are studies that indicate a causal relationship between school facilities and student achievement. Teachers point to a need for facilities designed for educational purposes, just as factories and retail stores design facilities to meet organizational goals. Studies of school buildings nationwide point to the critical need for an infusion of resources to allow construction of new buildings in some communities and to remodel school buildings in many other communities. Safety, provision for technology, adequate space, air-conditioning, and an inviting atmosphere that promotes learning are important components of facility design. A survey of principals of the highest and lowest performing high schools in this study did not reveal a direct correlation between school facilities and student achievement, although it did provide some interesting trends. Principals saw a need for more space and more technology; however, the majority did not believe their facilities inhibited instruction. The biggest surprise was an apparent lack of urgency exhibited by the principals of the lowest performing schools as they viewed their schools in a very positive light. Of interest was the difference in

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emphasis for change proposed by principals of low scoring versus high scoring schools. While principals of high scoring schools were interested in aligning curriculum and utilizing test data as a basis for advancing instruction, principals of low scoring schools wanted more remediation. Further research is needed to determine whether the perception of those principals of low scoring schools that teachers and principals were highly qualified and doing what they should be doing was related to a lack of understanding of best practices, a sense of resignation due to large numbers of low socioeconomic families, and/or a lack of impetus from those communities and boards of education to supply a significant infusion of resources and to mobilize change. With the crisis in school funding, the public’s outcry for improved education, the sad condition of schools nationwide, the movement in America to a technological society, and the research evidence that suggests facilities do influence achievement, it is important that superintendents and school boards engage in strategic planning with the aim to provide school facilities to match the lofty goals set for the children enrolled in this nation’s public schools. Although the passage of a school millage is not an easy task, it can be a joyous endeavor when a school staff, administration, community, and school board unite to provide educational facilities that promote excellence for the children in their community. While one can expect organized opposition to any positive change that involves children and finances, proper planning to construct, remodel, and equip school facilities, implementing the steps in this publication can result in organizational success and the personal satisfaction that leaders are making a positive difference for children now and in the future. This is our challenge and our privilege.

CONCLUDING THOUGHTS To counteract the above barriers, school administrators and boards of education must acquaint themselves with sound strategies for passing bond issues for repair, renovation, and new building projects. In actuality, school administrators, school board members, and school supporters must devise and implement a four-phase program. The first phase is the

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preplanning phase, during which the facility needs of a school district’s educational program are assessed. The second is the project development phase, during which consultants and others develop plans for the building project. The third phase is the campaign phase, during which school supporters conduct a campaign to win approval of the project from the voters. The final phase is follow up, during which the reasons for a failure are assessed or those activities associated with implementing the building plan are carried out. The chapters that follow identify specific activities for each of the four phases in a school bond issue campaign. No suggestions or formulas can guarantee success; however, developing an organized plan of action can increase the probability of success when it counts the most.

REVIEW ACTIVITIES 1. Identify the facilities and structural needs of your school district. 2. Describe the factors that contribute to your school district’s physical conditions. 3. List the factors that have served as barriers to rehabilitation, remodeling, renovation, renewal, and modernization in your district. 4. Find how your district has financed facilities in the past. Has your district opted for pay-as-you-go, reserve funds, bonding, or other methods? What contributed to these choices of financing in your district? 5. Compile a list of representative community groups in your district. For each group, identify motivating factors that would cause support for a bond issue campaign. 6. Consider possible expanded functions for your school district to meet needs of the community. How would each function increase positive public relations? 7. Identify influential people in your community, excluding political figures, and determine how each can increase the potential for school bond victory. 8. Specify ways to achieve school staff and board of education unity. 9. Project ways to increase voter turnout in your school district.

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ENDNOTES 1. United States General Accounting Office/HEHS-95-61, School Facilities: Condition of America’s Schools (Washington, D.C.: United States General Accounting Office, 1995), 1. 2. GAO/HEHS-95-61, 1. 3. GAO/HEHS-95-61, 10–11. 4. GAO/HEHS-95-61, 9–10. 5. GAO/HEHS-95-61, 10. 6. GAO/HEHS-95-61, 11. 7. GAO/HEHS-95-61, 11. 8. GAO/HEHS-95-61, 11. 9. GAO/HEHS-95-61, 11. 10. GAO/HEHS-95-61, 11. 11. GAO/HEHS-95-61, 12. 12. GAO/HEHS-95-61, 12. 13. GAO/HEHS-95-61, 12. 14. Research report in F. I. Ortiz, Schoolhousing: Planning and Designing Educational Facilities (Albany: State University of New York, 1994), 32. 15. Research report in Ortiz, 32. 16. “District Sued Over Classroom IAQ,” American School & University 69, no. 12 (1997): 3. 17. American Association of School Administrators, “Falling to Pieces,” Leadership News 15 (March 1995): 1, 153. 18. L. Smith, “School Averts Tragedy When Chimney Tumbles,” Argus Leader (February 18, 1997): A1. 19. Smith, “School Averts Tragedy,” A1. 20. GAO/HEHS-95-61, 11. 21. GAO/HEHS-95-61, 17. 22. GAO/HEHS-95-61, 17. 23. GAO/HEHS-95-61, 5–6. 24. GAO/HEHS-95-61, 6–7. 25. GAO/HEHS-95-61, 6–7. 26. Henry G. Kosters, “S.D. School Facilities Report,” Bulletin 49, no. 5 (1997): 1–2. Study commissioned in 1995 by the South Dakota Department of Education and Cultural Affairs and the Associated School Boards of South Dakota. Summary of the study was presented to the South Dakota Legislature during the 1995 legislative session. 27. Kosters, “S.D. School Facilities Report,” 1997.

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28. Joe Agron, “Rebuilding Our Crumbling Schools,” American School & University 69, no. 2 (1997): 21. 29. William J. Hussar, Projections of Education Statistics to 2014 (Washington, D.C.: U.S. Department of Education, National Center for Education Statistics, September 2005). 30. Percy E. Burrup, Vern Brimley, Jr., and Rulon R. Garfield, Financing Education in a Climate of Change, 5th ed. (Boston: Allyn and Bacon, Inc., 1993), 292. 31. Burrup et al., Financing Education in a Climate of Change, 292. 32. Burrup et al., Financing Education in a Climate of Change, 293. 33. Kern Alexander and Richard G. Salmon, Public School Finance (Boston: Allyn and Bacon, 1995), 337. 34. Percy E. Burrup, Vern Brimley, Jr., and Rulon R. Garfield, Financing Education in a Climate of Change, 5th ed. (Boston: Allyn and Bacon, Inc., 1993), 294. 35. South Dakota Codified Laws Ann. 13-16-2 (1991). Types of fund enumerated. All school district funds shall be placed in either the general fund, capital outlay fund, special education fund, public service enterprise fund, trust or agency fund as defined in 4-4-4, bond redemption fund or 874 fund as hereinafter defined. 36. Colorado State Statute 22-42-120, Internet Address, www.ppld.org/ CoStatutes/1220/1220042001200/html. 37. Ian McLean and Fiona Hewitt, eds., Condorcet: Foundations of Social Choice and Political theory (Brookfield, VT: Edward Elgar Publishing Company, 1994). 38. Carleton R. Holt, “Factors Affecting the Outcomes of School Bond Elections in South Dakota” (Ed.D. diss., University of South Dakota, 1993), 9–50. 39. Holt, “Factors Affecting the Outcomes of School Bond Elections,” 9–50. 40. Holt, “Factors Affecting the Outcomes of School Bond Elections,” 9–50. 41. Laurie Lewis et al., Condition of America’s Public School Facilities (U.S. Dept. of Education, 1999). 42. Francisco L. Rivera-Batiz and Lilian Marti, A School System at Risk: A Study of the Consequences of Overcrowding in the New York City Public Schools (New York, NY: Institute for Urban and Minority Education, 1995). 43. Lewis et al., Condition of America’s Public School Facilities. 44. Alan Richard, “NCES Report Pegs School Repair Costs at $127 Billion.” Education Week, 2000, www.edweek.com [accessed 12 July 2000].

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45. Richard, “NCES Report Pegs School Repair Costs at $127 Billion.” 46. Richard, “NCES Report Pegs School Repair Costs at $127 Billion.” 47. Richard, “NCES Report Pegs School Repair Costs at $127 Billion.” 48. NEA, 2000 “Modernizing Our Schools: What Will It Cost?”, National Education Association 2000, http://www.nea.org/lac/modern/modrpt.pdf [accessed 5 Dec. 2001]. 49. AASA Online, “Canada Draws Cheers in Remarks Seeking Dollars for School Buildings.” Leadership News, www.aasa.org/ln/Misc/09-15-00buildings .htm [accessed 15 Sept. 2000, 2]. 50. John H. Holloway, “Healthy Buildings, Successful Students,” Educational Leadership 57 (2000): 88–89. 51. Floyd Boschee and Carleton R. Holt, School Bond Success: A Strategy for Building America’s Schools (Lancaster, PA: Technomic Publishing Company, 1999). 52. Holt, “Factors Affecting the Outcomes of School Bond Elections in South Dakota.” 53. Ginger Wheeler, “Referendum Gamesmanship,” American School Board Journal (2000): 46–47, 187. 54. NSBA Online, “QZABs: An Underutilized Resource for Renovating Poor Schools,” School Board News, January 1998, www.nsba.org/sbn/00 .feb/022200-4.htm [accessed 15 Nov. 2001, 1–3]. 55. NSBA Online, “QZABs: An Underutilized Resource for Renovating Poor Schools.” 56. Nancy-Jo Hereford, “Creating a Place Where People Want to Be,” Middle Ground 3 (1999): 10–16. 57. Boschee and Holt, School Bond Success. 58. Glen I. Earthman, Planning Educational Facilities for the Next Century (Blacksburg: Virginia Polytechnic Institute and State University, 2000). 59. Terry Deal and Kent Peterson, Shaping School Culture: The Heart of Leadership (San Francisco, CA: Jossey-Bass Publishers, 1999), 4–9. 60. Deal and Peterson, Shaping School Culture: The Heart of Leadership, 63. 61. Deal and Peterson, Shaping School Culture: The Heart of Leadership, 63–64. 62. Alan Richard, “NCES Report Pegs School Repair Costs at $127 Billion.” Education Week, 2000, www.edweek.com [accessed 12 July 2000]. 63. Boschee and Holt, School Bond Success. 64. CEFPI, Where Children Learn: The Effect of Facilities on Student Achievement (The School Building Association, 1998).

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65. J. Howard Bowers and Charles Burkett, “Effects of Physical and School Environment on Students and Faculty,” The Educational Facility Planner (1989). 66. Glen I. Earthman, Carol Cash, and Denny Van Berkkum, A Statewide Study of Student Achievement and Behavior and School Building Condition (Blacksburg: Virginia Polytechnic Institute and State University, 1995). 67. Eric Hines, “Building Condition and Student Achievement and Behavior” (Dissertation, Virginia Polytechnic Institute, 1996). 68. Dale Mann, “Student Achievement Thrives with Tech,” E-Education Advisor (Winter 2001). 69. Cara Branigan, “Report,” ESchool News (February 2001). 70. Deal and Peterson, Shaping School Culture: The Heart of Leadership. 71. Tamara Henry, “What Do Teachers Think Need to Be Included in School Facilities?,” USA Today (March 22, 2001). 72. Nancy-Jo Hereford, “Creating a Place Where People Want to Be,” Middle Ground 3 (1999): 10–16. 73. Hereford, “Creating a Place Where People Want to Be,” 10–16. 74. Robert Heinich, Michael Molenda, James D. Russell, and Sharon E. Smaldino. Instructional Media and Technologies for Learning, 7th edition. Upper Saddle River, NJ: Merrill/Prentice-Hall, 2002. 75. John E. Kosar and Faruq Ahmed, “Building Security into Schools,” The School Administrator 57, no. 2 (2000): 24–26. 76. Michael Fickes, “Who Is Responsible for Construction Site Security?,” School Planning & Management (1997): 22–24. 77. Fickes, “Who Is Responsible for Construction Site Security.” 78. Fickes, “Who Is Responsible for Construction Site Security.”

2 THE PREPLANNING PHASE

The key to dealing with any problem or project is effective planning. A checklist of preparations that should be completed throughout the campaign and election processes is included in Appendix A. When dealing with providing appropriate facilities in which to implement a school’s educational program, school administrators and board members will deal with both ongoing and project-specific activities. An exposition of “Planning In Debt Issuance,” as presented in Appendix B, depicts the importance of planning and controlling a school district’s operation by a school board. While this book focuses on development and campaign stages of a specific project, it is important to discuss some of the key elements of the preplanning phase and the impact they have on the project as a whole.

THE SCHOOL FACILITIES PLAN Any building project within a school district should be viewed as merely one part of an overall educational plan. Therefore, the school superintendent and school board should have a clear picture of what they want to offer within their educational program and should develop a facilities 61

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plan based on how school buildings can help educators meet the goals of that program. For example, new teaching methods brought about by the introduction of computers and other electronic equipment require different sizes and shapes of classrooms and other facilities (a good library now includes several student carrels with computers); mainstreaming disabled students necessitates careful thought as to classroom size, hallway placement, and bathroom arrangements; and new safety requirements require special ventilation and toxic substance control equipment in science labs.1 New educational methods (e.g., open classrooms, lab inquiry methodologies, and integrated units developed by teams) have spatial and arrangement requirements that may differ significantly from the traditional classroom. For example, if a school is utilizing one of the laboratory inquiry methodologies for teaching science, the amount of laboratory space required for each student increases by about 25 percent over the traditional laboratory.2 Facilities planning, then, is not just a matter of deciding which buildings are unsafe or unhealthy; it is a process of identifying which buildings no longer serve the educational mission of the school district and how best to modify or replace the structures. Of course, no one would recommend scrapping a structurally sound, 30-year-old building simply because the classrooms are not the right shape for certain teaching methods. But such a consideration might be a legitimate justification for remodeling or renovating. The key is to understand what is needed and to plan now for future projects. Most school superintendents find it useful to establish a 5-year building plan. The plan should include potential new building projects, major renovation and repair projects, minor repair projects, buildings that might be abandoned, and potential uses for buildings no longer utilized for classes. Such plans should also include any shifts in attendance centers (i.e., if a new high school is built, can the overcrowded middle school move into the old high school). This plan should be reviewed on an annual basis, and all persons involved should understand that the board may make revisions based on current circumstances. To be successful, school administrators cannot do such planning in a vacuum. School officials must constantly seek input from administrators, teachers, parents, and members of the community as to their needs, the problems they see in implementing programs in present facilities, ex-

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pectations they have of their school’s educational programs, and their ideas about the relationship between the school and the community. To gain such input, a school administrator must develop two programs: 1. an ongoing community relations program that encourages parents and others to voice their concerns about the school system and to bring ideas to top administrators; and 2. an internal system through which other supervisors, teachers, and support staff personnel can address their needs in terms of facilities and present their ideas about solutions. School administrators should design these systems to allow both faculty and lay persons to understand the issues facing the school districts (e.g., budget limitations, the impact of state and federal mandates, changing curricular needs, changes in school population demographics) and express their views as to the priorities of the school. For example, if parents and faculty believe the students’ learning is being affected seriously by violence in the schools, they probably would name a security system as their top priority rather than installing fiber optics. A board of education that avoids the first concern of the parents and teachers because it “sounds negative” is unlikely to gain community support for other measures. The lesson here is “to listen, and then demonstrate you heard.”3

THE COMMUNITY RELATIONS PROGRAM Most school administrators find that an ongoing community relations plan is essential to the eventual passage of bond referendums. This type of program can provide invaluable information about public perceptions of the school’s needs, the attitudes of individuals who might oppose bond issues, and the enthusiasm of individuals who would likely support a bond issue. While some school administrators choose to obtain such information through informal coffee klatches or visits with influential members of the community, other superintendents find regular “town meetings” more effective. Special invitations to parents, city council

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members, well-known citizens, and senior citizens encourage the participation of a cross-section of the community. School administrators also should use the news media to present a positive image of the school and its programs and to identify and clarify specific educational concerns. While most newspapers and electronic media cover special events and sports, many newspaper editors need to be encouraged to print stories about unusual programs being developed in the schools or problems confronting the educational establishment. For example, a special report on the difficulties of bringing needed computer technology into every classroom assists the general public in understanding the needs of a modern educational system. School superintendents may want to write a regular column for the local newspaper in which they discuss upcoming issues—both achievements and problems. Some administrators fear exposing problems to the public; however, one must bear in mind that if the public is not aware that a problem exists, they will not understand why the school board is “suddenly” asking for more money to solve the problem. A building project that appears “out of the blue” is unlikely to gain sufficient support for passage. Any good community relations program emphasizes the school’s role in the economic development of the community, the importance of a quality educational system to all members of the community, and special services the school provides to various segments of the community. For example, if the community is trying to attract new businesses, school administrators should inform the public about the high priority many corporations place on the quality of the local educational system when selecting a site for developing their businesses. Other school systems may want to point to community education or GED programs that benefit individuals from all age groups within the community: their point being that schools are not just for children anymore. In some school districts, the school board publishes an official newsletter once a month and distributes it to their students to take home to their parents. They also make the publications available at various stores and service offices in the community. This endeavor can be somewhat expensive if commercially done; however, using new computer publishing programs to generate the documents in-house can reduce the price considerably. Some school superintendents indicate that this newsletter

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may have been a primary factor in winning a school bond election. The newsletter should contain stories about issues confronting the school board, explanations of decisions made by the school board, positive stories of accomplishments by either students or faculty, and announcements of important future events.

DEVELOPING AN INTERNAL SYSTEM FOR INPUT School administrators also know that those persons closest to a problem are usually the individuals who know the most about it. Therefore, supervisors seeking information about the adequacy of school facilities are served best by asking those individuals who must work in the facility on a day-to-day basis: the teachers and support staff. Administrators can employ several systems to gain the appropriate input. Some superintendents find it most useful to hold special meetings with building and department supervisors for the purpose of discussing specific needs. Other top school officials find they receive better information by meeting directly with small groups of faculty and staff members or with individuals. From these sessions, the school superintendent should gain an understanding of concerns about health or safety, the logistics of implementing new programs in present facilities, overcrowding problems, introducing new technologies, and a lack of space for special services or projects. Some school administrators also find it useful to include board of education members in these special needs sessions, so they also are aware of conditions within the schools. Designing and Utilizing a School Facilities Survey One other method for obtaining input from both educational staff and lay persons in the community is the development of a school facilities survey. The project can be used to: (1) determine what school buildings the district needs; (2) determine how present facilities can be utilized best; and (3) suggest a school building program that provides for additional facilities. School facilities surveys can be conducted by local groups, the school superintendent and board of education, professional staff persons, or

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parent/teacher organizations. The board of education might engage a survey team composed of educational consultants to interpret the results of the surveys and describe the best course of action. Most state departments of education employ persons who can assist school districts in determining their needs. The ultimate goal of the survey should be to identify the concerns, needs, and expectations of educational staffs, parents, and other citizens in terms of educational programs and health and safety needs. Areas of concern that could be part of the survey include: 1. What does the community want its schools to provide in terms of educational programs? What types of academic subjects should be taught? Should there be a grade school music program? Art? Should the schools provide night classes for adults? What new technologies should be included in the school environment? Are there special conditions within the community that would warrant teaching specific types of courses (e.g., teaching agriculture classes in a rural area)? What extracurricular programs are important to the community? 2. What are the present space needs of the educational program and how will those needs change in the future? What is a reasonable number of students per classroom? Are there unusual needs within the community that require special considerations by the school district (e.g., a sheltered area for students to gather before or after school hours because most parents in the community work)? What demographic changes are taking place in the community that might affect enrollment? Are the present schools’ playgrounds large enough to permit organized and supervised activities? 3. Is the existing school plant safe and cost efficient to operate, and is it suitable for integrating new technologies and curriculum into the educational program? What is the building’s age? How is the building presently wired? Have roofs, chimneys, and other structural features been inspected recently? Does it take an exorbitant amount of fuel to heat the building in winter? Are there features that do not meet current health and safety codes? Are the classrooms, bathrooms, and other necessary facilities accessible to students with special needs?

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Various authors suggest different plans for conducting building surveys. Figures 2.1 and 2.2 provide examples of school plant data sheets that elementary and secondary staff members can fill out to help school officials assess the condition of their present classroom and work areas. These surveys also can provide information as to which classrooms may need to be inspected immediately, which schools seem to be the least adequate in terms of prioritizing, and which school buildings are meeting the needs of staff and students. Regardless of the type of survey instrument the school district utilizes, the focus should be on determining how well various school buildings meet the needs of the educational program.

DESIGNING A FACILITIES PLAN The first step of such a plan must be establishing board policies as to facilities development goals and facilities planning. Such policies (see examples in textboxes 2.1 and 2.2) should reflect the priorities under which the board will make specific decisions and the process by which

Prepared by: __________________________ Position: _____________________________ City: ________________________________ Date: ________________________________ Building: _____________________________

Room No.

Location (basement, 1st, 2nd)

Area (square feet)

Usage (grade or subject)

No. of pupil stations (desks, etc.)

Maximum No. of pupil stations room can accommodate (divide area by 30)

Adapted from the Survey Division of the Bureau of Educational Research, Ohio State University.

Figure 2.1. Sample elementary school plant data sheet.

Overflow

Prepared by: _____________________________________ Position: _____________________________________ City: _____________________________________ Date: _____________________________________ ROOM

AND

PUPIL-STATION UTILIZATION

OF

SECONDARY SCHOOL BUILDINGS

BUILDING: _______________________________ ROOM NUMBER: __________________ 1. Location of room: _____________ floor (basement, 1st, 2nd, 3rd, 4th, etc.) 2. Dimensions of room: _________ feet by __________ feet = __________ square feet 3. Number of pupil stations now in room ________. (A “pupil station” is a desk, chair, or working space for one student.) 4. How many pupil stations, if any, could be added to this room? ______________ 5. How many pupil stations, if any, should be removed from this room? ___________ 6. Using the chart below, provide information relevant to the daily use of this room. In the first column, indicate the number of minutes for each separate usage. In the columns headed by days of the week, indicate the subject taught during that time period or a special use of that room and the number of students in the room during that class or activity. For example, if the room is used during the first period every day of the week for Freshman English and 22 students are in the class, write English 1—22 in the columns for the days of the week. (If it is used for the same activity every day, you may simply draw an arrow from Monday through Friday.) Do not report homeroom periods of less than 30 minutes or after-school use of the room. If the room is not in use during a certain time period of a regular day, write the word “vacant” in that slot.

Period

Subject/Activity Number of Students

Length Monday

Tuesday

Wednesday

Thursday

1 2 3 4 5 6 7 8 Other Adapted from the Survey Division of the Bureau of Educational Research, Ohio State University.

Figure 2.2. Sample secondary school plant data sheet.

Friday

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the board will make decisions about repair, renovation, and new construction projects. After adopting appropriate policies, school administrators and boards should develop both short- and long-term plans for capital development in their districts. The school board should base such plans on input from supervisors, teachers, other staff, and lay persons brought about through meetings and/or the plant-need survey. The school superintendent also should make recommendations based on the life expectancy of facilities, enrollment projections, changing instructional requirements, and new or current health and safety requirements. The superintendent also makes projections as to the availability of funds and estimated costs of projects so that the board is able to utilize the most suitable form of funding. The plans should be reviewed and updated yearly. When making decisions about both long- and short-term projects, those involved must consider various factors. Uppermost among these is the critical need factor.4 Projects that would bring school buildings into compliance with health and safety codes (e.g., lead paint removal) probably would be of higher priority than projects that deal with conveniences (e.g., enlarging a parking lot). Renovation and repair projects

The Board accepts the premise that a school building should reflect the philosophical convictions of the school district about education. The Board recognizes, however, that educational programs are neither unchanging nor simple to incorporate into a facility plan. Anticipation of program change makes the need for flexible use of buildings necessary. School buildings will be functionally compatible with desired school experiences. The program, not the physical setting, will dictate the manner in which the building is used. The Board recognizes that funds are limited, and that when planning facilities priorities must be established to make the best use of the school building dollar. The Board’s first objective will be to develop a plan that provides adequate space for each student’s educational development. Whenever possible, the cultural as well as educational needs of the community will be considered in planning facility expansion. Architects retained by the Board will be expected to plan for simplicity of design; sound economics, including low long-range maintenance costs, efficiency in energy needs, and low insurance rates; high educational use; and flexibility. (Adoption date, May 10, 1998) Textbox 2.1. Sample—facilities development goals.

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The Board is responsible for the regular operation and orderly development of its physical plant. For this reason, the Board will concern itself with both short- and long-range planning as it relates to the properties of the school district. To this end, the Board will follow the policy of having before it at all times a long-term building program to serve as a guide for capital improvements. In developing a long-range program, the Board will monitor: 1. 2. 3. 4. 5.

The evaluation of existing facilities in terms of capacity and function. The projection of life expectancy of facilities and maintenance costs. Enrollment projections and community development patterns. Site availability and acquisition. Changing instructional requirements and services.

This program will be subject to systematic study, revision, and extension from time to time, and the respective construction projects will be acted upon individually when proposed for implementation. The Board’s building program will be designed to provide adequate facilities to conduct full-time elementary and secondary education programs for all students residing in the district. The building program will be based upon specific Board policies and have been and will continue to be modified to conform to changes in the curriculum, availability of construction funds, and changes in enrollments. (Adoption date—May 10, 1998) Legal Ref.: SDCL 13-24-9 Textbox 2.2. Sample board policy—facilities planning.

for buildings that have received little attention in the recent past would have priority over projects in schools that had received capital outlay funding recently. School administrators and board members also need to factor in the need for support of future expenditures, the value of the project to the overall educational program, and the relative costs/benefit ratio (e.g., is it really less expensive to renovate an aging building than it is to build a new one? See chapter 5.) Both the superintendent and the board face many dilemmas when developing a facilities plan. For example, the teachers in a particular elementary building believe that a top priority for their school would be wiring for Internet access, while the parents from another building want the district to repave the playground area. The school district can do only one of the projects this year. The board must determine

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which group must wait. On the one hand, Internet access would open new curriculum areas and would provide a much-needed resource for information; on the other hand, some parents have been complaining about scrapes and bruises caused by the rough surface of the present playground. The school that wants Internet access is in a relatively affluent neighborhood and the school received a major renovation only three years ago. The other school is located in a mostly lower-middleclass neighborhood with a large minority population; the facility has not received capital outlay funds for more than seven years and is not slated for any renovations for at least three more years. Neither project is an emergency. Even though no major issue is involved, the example shows how difficult such a decision might be in light of the various factors that must be considered. It is vital to any school district that the school board and administration make the details of both the long- and short-term facilities development plans available to the public. Additionally, the public needs to know the justifications for expenditures, the projected costs of projects, and the method the board will utilize to pay for the projects. This is especially true if a major capital-outlay project is planned that might require a bond issue. Careful planning has always been the hallmark of successful projects, and it is no different for bond issue election campaigns. School administrators and boards of education must lay the groundwork for gaining public acceptance for capital outlay projects early on if they are to expect positive results.

MAKING DECISIONS ABOUT SPECIFIC BUILDING PROJECTS The above steps in the process can go a long way toward building community support for capital outlay projects in general, but school administrators and boards need to take more specific steps that will help them make decisions about proceeding with a specific building project, especially if it will require a bond election. Probably the most important information the school superintendent can gather at this time concerns alternatives for solving the problem.

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The answer to every facility problem is not necessarily building a new school. Some schools need to be rehabilitated. The building is brought up to the condition it would be in if all maintenance had been done. In this case, the school district is doing all the maintenance at the same time. This solution is viable for structures that are fairly new (not more than 20 years old) and which remain structurally sound.5 In some instances, the facilities can be remodeled. Remodeling involves changing some internal and external spaces and/or changing the location of certain functions within the building. This alternative often is used when the structure is stable and large enough, but the educational program requires a different utilization of space.6 Sometimes the usefulness of a building is questioned to the extent that the only alternative to building a new structure is renovation. In these cases, the utilities, structures, and design of the building are changed to the extent that they can meet the demands of a modern school building. This is the most complex of the alternatives, and the most expensive. Many school boards look to renovation or renewal because, on the surface, these options appear to be less expensive than building a new structure and time to occupancy seems shorter. Neither of the above may be true. School planning experts have developed several methods of analyzing which approach, renovation or building, would be the recommended solution. Some recommend comparing the total cost of the project, indicating that if the estimated total cost of renovation is more than 50 percent of the cost of building a new structure, renovation is probably not the best alternative.7 Others, however, indicate that a lower figure (40 percent) may be a better level at which to evaluate the two.8 Castaldi has developed the Generalized Formula for school modernization.9 This formula takes into consideration total cost of educational improvements, total cost for improvements in healthfulness, total cost for improvements in safety, estimated index of educational adequacy, the estimated useful life of the modernized school, cost of replacement of school considered for modernization, and estimated life of the new building. Earthman10 suggests that most mathematical formulas do a fine job of comparing quantifiable data, but they fall short when nonquantifiable information is needed to complete the formula. In other words, how does

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one actually put a number to a judgment such as educational adequacy? Earthman suggests that a four-part analysis, which includes measuring the adaptability and condition of the present facility, measuring the adequacy of the present school site, analyzing the cost/benefit ratio of renovation, and determining the emotional issues that are tied to the building. If renovation is a consideration, the ability to choose that recommendation must be available to the building committee (see chapter 5). The school superintendent also should be gathering as much information as possible about community attitudes toward the need for the specific project—be it building a new structure or renovating an existing structure. These data will inform the superintendent of factors he or she and the board of education need to consider before proceeding. First, the data will reflect citizens’ perceptions and concerns about economic conditions in the community. For example, if a community has just experienced a major factory shutdown or lay off, everyone in the community may be experiencing anxiety over their economic futures. People who do not know whether they will be able to make their mortgage payments are not likely to vote to increase their property taxes. If there is a negative economic environment, it probably is best not to hold a bond election. Likewise, if most people in the community believe the school is being managed well, there is a likely chance many individuals will support a building project. If, however, the school superintendent continually hears complaints about discipline in the schools, expensive projects that benefit only a few students, administrative salaries, or wasteful spending practices, he or she may find that trust levels are not high enough for many people to “risk” their money. The school superintendent also should note divisions within the community. Racial or class strife within a community can bring devastating results at bond election time, particularly if the building project might change the demographics of the schools (i.e., a school that is now predominantly of one ethnic group changes to one in which most students are from a different ethnic background). While persons of goodwill believe that no one should have to consider this factor in a democratic society, such is not the reality. School enrollments are another complicating factor, and the administration needs to gather data on the potential student numbers in various

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parts of the community. School officials can use several methods for estimating potential student populations. It is beyond the scope of this book to provide an analysis of these processes. Suffice it to say that it is not an easy project.11 The superintendent needs to gather information as to potential population growth or decrease in his or her community, how changes in demographics in the district will affect the number of students enrolled in the schools, potential economic growth or decline, and fertility rates. While natural or man-made disasters that could affect student populations cannot be anticipated, one can arrive at a fairly close estimate of future student enrollments by using one of several formulas recommended by educational statisticians. Computer software is also available. While no one factor should hold up pursuing a building project, a prudent person will take all factors into consideration before proceeding. The development of building projects and preparing for a bond election are expensive processes. If certain conditions exist that will predetermine a negative result, the school board might be wiser to spend that money on repairs or small renovation projects. The superintendent also should be gathering input from board of education members about their attitudes toward the building project. One of the critical variables to bond referendum passage mentioned in chapter 1 is a unanimous vote of endorsement for the bonding by members of the board of education. Before the superintendent proceeds further in the process, he or she should be confident that all board members will agree that they should proceed to the preliminary stages of preparing for a bond election. The administration might choose to poll area legislative representatives and county and city officials to determine their attitudes toward the school district’s needs. Such individuals might be willing to share information about citizens’ concerns. If the school superintendent and board of education determine that the timing is as good as it is going to get in terms of developing a building project and conducting an election, they should begin the formal process by addressing the issue at a public board meeting. In keeping with the findings of the studies cited in chapter 1, the superintendent and board members should maintain as low a profile as possible, even at this stage of the project. They may find it most beneficial for a citizen to

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bring the concern to the board at a public meeting. The superintendent probably will be able to identify an appropriate person for the job. The individual needs to be respected by many segments of community and be willing to go before the public and media to present the idea. At this board meeting the superintendent needs to be prepared to discuss some basic justifications for the project, input he or she has already obtained about a building project, and a plan for obtaining more input from a cross-section of the community. The board should authorize project development activities. This phase can include gaining more specific input from educational staff, community leaders, parents, and others, developing a financial report that reflects the amount the district can afford, and developing preliminary plans for the building in terms of educational specification. The board also may choose to have the superintendent appoint committees to pursue various aspects of the development. The school administration and school board should begin involving the media at this point. Most media outlets will conduct interviews and prepare stories on such proposals and present them in a fairly objective manner. After newspaper, television, and radio reports first appear, the opposition usually emerges. Letters to the editor opposing the proposal usually are printed one or two days after the proposal has been announced. From the letters, administrators can begin assessing the major reasons for opposition and from which groups most of the resistance to the plan will emerge. For example, if a prominent individual from a minority segment of the population comes out in opposition to the referendum, one probably can assume opposition from that segment of the community. One cannot assume, however, that opposition is based solely on property tax increases. It may be, in fact, that some parents believe the school their children attend is badly run down. They might believe their interests are being ignored in favor of those of another segment of the community. One should never assume to know the reason for opposition without asking. The school board also may find a community action committee helpful at this time. School administrators and the community lead person should identify persons within the community who would likely support the bond issue. These individuals could be asked to serve on a community action committee. This group’s responsibilities would include obtaining

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information about the potential number of “yes” voters there might be in the community, the concerns voters have about a bond issue at this time, and individuals who might be willing to serve on committees during the development stages. The process should not be formal. Generally, those on the action committee form a network through which they discuss the proposed project one-on-one with citizens in the community. The systems can include forming telephone trees, interviewing civic leaders, or talking to acquaintances at meetings or other gatherings. The most important aspect of these activities is determining whether there is sufficient support at this time to continue with the process. If fewer than 45 percent of those contacted give positive or moderately positive responses, the chances are small that the super majorities required in most states for passage can be reached, even with an extensive education campaign. While a 45 percent figure might appear high, one must remember that, in these situations, “yes” votes are usually overreported.12 While this type of surveying cannot be considered scientific polling, the type of questions to be asked should be planned ahead of time and the volunteers should be trained as to how to ask the questions and record answers. If the polling data is not objective, the results obtained are actually useless in the decision-making process. Information about writing and conducting surveys can be found in chapter 8 of this book. Also, to obtain objective information, volunteers should be assigned to all parts of the community so that a true cross-section of the population is covered. Volunteers should be trained to not take time to discuss the issue with any person who answers “no” to the question of supporting the bond issue and they should be trained in how to effectively deal with hostile individuals (see chapter 8). When volunteers receive a positive response, they should ask the person whether they would be interested in talking to some of their friends about the proposed project or if they would be willing to help fund the formal campaign. Volunteers also should write down the names of individuals who indicate they will vote “yes,” as these persons are those from whom volunteer efforts can be solicited during the campaign. A separate team of individuals should tabulate and interpret the information. The most useful categories of analysis would include: percent of “yes” voters, number of potential “yes” votes for selected age and ethnic groups, areas of the school district with either high or low percentages

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of “yes” voters, and special considerations unique to the district (e.g., rural vs. city). The interpretation team should present the information to the superintendent and board members. If the information is positive, the board should authorize proceeding to the project development phase.

REVIEW ACTIVITIES 1. Research the building and maintenance history of the buildings in your school district. Also, do a detailed listing of how your buildings do not meet standards for compliance with state and federal mandates and reasons buildings are outdated for present curricular needs. 2. From the research on building and maintenance history and personal inspection, develop a list of problems that will need to be attended to in the next five years. 3. Establish a priority ranked list of capital outlay projects for the next five years. 4. Estimate how your school district could financially deal with the above capital outlay projects. 5. List conditions in your community (economics, antitax groups, and so on) that would interfere with your school district’s ability to pass a bond issue. 6. List those persons or organizations within your community from which you could likely obtain support or volunteers for preliminary surveying. 7. Evaluate the preparations that should be completed by election day depicted in Appendix A. 8. Summarize the planning and controlling process in debt issuance illustrated in Appendix B.

ENDNOTES 1. Basil Castaldi, Educational Facilities: Plan, Modernization, and Management, 5th ed. (Boston: Allyn and Bacon, 1994), 71–74.

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2. Castaldi, Educational Facilities: Plan, Modernization, and Management, 71–74. 3. Michael A. Carter, “How to Blow a Bond Issue—Or Not, If You’d Prefer,” Clearing House 68, no. 5 (1995): 289–292. 4. Carter, “How to Blow a Bond Issue—Or Not, If You’d Prefer,” 289– 292. 5. Glen I. Earthman, “Scrap It or Rehab It: A Process for Deciding When to Renovate,” School Business Affairs 60, no. 1 (1994): 4–8. 6. Earthman, “Scrap It or Rehab It: A Process for Deciding When to Renovate,” 4–8. 7. Earthman, “Scrap It or Rehab It: A Process for Deciding When to Renovate,” 4–8. 8. Castaldi, Educational Facilities: Plan, Modernization, and Management, 71–74. 9. Castaldi, Educational Facilities: Plan, Modernization, and Management, 71–74. 10. Earthman, “Scrap It or Rehab It: A Process for Deciding When to Renovate,” 4–8. 11. Castaldi, Educational Facilities: Plan, Modernization, and Management, 71–74. 12. Carleton R. Holt, “Factors Affecting the Outcomes of School Bond Elections in South Dakota” (Ed.D. diss., University of South Dakota, 1993), 9–50.

3 THE PROJECT DEVELOPMENT PHASE: SELECTING CONSULTANTS

After the board of education has voted to proceed to a bond referendum election, they will need to seek the assistance of both a bond consultant and an architect. Using these experts will save both the school superintendent and members of the school board much anxiety and will give patrons of the school district the security of knowing the facts and figures they are given are accurate.

SELECTING THE BOND CONSULTANT The Bonding Process The issuance of bonds is a process regulated by the state governments. In order to understand the importance of hiring a bond consultant, it is important to understand the bonding process and those elements that might contribute to problems. To assist with understanding the bonding terminology see Appendix C, Glossary of Terms: Municipal Bonds.

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General Obligation Bonds General Obligation Bonds, also referred to as G. O. Bonds, are bonds secured by the issuer’s pledge of its full faith, credit, and taxing power for the payment of the bond. School districts have the power to borrow money on the credit of the school district for any authorized corporate purpose within the constitutional limitations of municipal indebtedness. In most states, school districts are authorized and empowered to issue negotiable bonds for the following purposes only: 1. to refund any bonded indebtedness which is or is about to become due and payable, or whenever such indebtedness can be refunded at a lower rate of interest; 2. to fund any judgments or outstanding warrants; and 3. to raise money for any purpose for which the school board is authorized to spend school district funds. A G. O. bond debt is debt for constitutional debt purposes only. In some states the debt of any school district can never exceed a designated percent (e.g., 10 percent in South Dakota) upon the assessed valuation of the taxable property for the year preceding that in which said indebtedness is incurred. Capital Outlay Certificates, Limited Tax General Obligation Bonds or Certificates Capital outlay certificates also referred to as limited tax general obligation bonds or certificates can also be used to fund building. The capital outlay fund of a school district is a fund provided by law to meet expenditures of a designated number of dollars which result in the acquisition or lease of or additions to real property, plant, or equipment. Such expenditures are usually intended for the purchase of land, improvement of grounds or existing facilities, construction of facilities, additions to facilities, remodeling of facilities, or for the purchase or lease of equipment. In some states it may also be used for installment or lease-purchase payments for the purchase of real property, plant or equipment, which have a contracted terminal date not exceeding

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twenty years from the date of installment contract or lease-purchase, and for the payment of the principal of and interest on limited tax general obligation bonds, certificates, or capital outlay certificates issued. The total accumulated unpaid principal balances of such installment contracts and lease-purchase and the outstanding principal amount of such bonds or certificates cannot exceed a designated percent (e.g., 3 percent in South Dakota) of the taxable valuation. School districts have to provide a sufficient levy each year under the provisions of the statutes to meet the annual installment contract, lease purchase, and bond or certificate payments, including interest. The school board of any school district, where permissible, may issue these bonds or certificates to acquire or construct real property, plant, or equipment. All bonds or certificates must be authorized, issued, and sold in accordance with the provisions set forth by state statute. In most states, unless specified otherwise, no election other than as provided by statute may be held, and the certificates or bonds may not have a maturity date in excess of the years specified (e.g., 20 years in South Dakota) from the date of issuance.

Other Types of Financing Notes Notes are promises to pay. In most states, any school board may borrow money, from any source willing to lend the money, by issuing a promissory note subject to the limitation and regulations set forth by statute. All notes must be authorized, issued, and sold in accordance with the provisions set forth in the state statute. Too, no election is held and the notes may not be issued for a term in excess of specified months by statute (e.g., 24 consecutive months in South Dakota). The notes may not exceed the sum of a designated percentage (e.g., 95 percent in South Dakota) of the amount of taxes levied or proposed to be levied by the school board but not collected at the date of borrowing by the school board pursuant to the state statute for the current or next full school fiscal year for the fund for which the money is borrowed, plus other anticipated receipts for the fund which have not been collected at the date of borrowing. In most states, notes pledging special education funds cannot exceed 85 percent of those expected funds.

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Anticipation Notes Anticipation notes are notes issued in anticipation of issuing bonds. Anticipation notes may mature not later than the specified years by state statute (e.g., 3 years in South Dakota) after the date of issue. Bond anticipation notes may be issued in a principal amount not exceeding the authorized principal amount of the bonds in anticipation of which the notes are to be issued. Warrants Warrants are promises to pay when sufficient money is available in the fund. Warrants are used when the school district has no money to pay debts. Lease Financing Lease financing is a means to finance a particular project or piece of equipment. A school district generally leases the property for a term and at the end of the term the ownership of the property transfers to the school district. Depending on the structure of the lease, leases are not considered debt for constitutional purposes. GENERAL PROCEDURE IN ISSUANCE OF BONDS State law controls the issuance of all school district debt and determines what a school district can and cannot do. An attorney familiar with school district finance law should overview the issuance to make sure that all legal requirements have been met. Typically, nationally recognized bond counsel is retained to guide school districts through the issuance procedures and issue an opinion. Many issuers define a nationally recognized bond counsel as one who has issued a sole bond opinion in the last year. When a school district is interested in issuing debt, a number of questions should be asked. For example, a school board should use the questions listed below as a checklist.1 1. Is the proposed project defined so that intended financing can be contemplated?

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2. Are state constitutional limitations on debt financing applicable to the proposed bond issue? 3. Has the issuing entity been delegated specific authority by the state for the type of financing contemplated? 4. Does the proposed borrowing serve a proper public purpose? 5. Has proper approval been given by issuing entity through enactment of a resolution by its governing body? 6. Have special notice and public hearing requirements, if any, been observed? 7. Has the proper approval been secured from a state regulatory agency, if required? 8. Has an appropriate levy of taxes to pay the principal and interest been enacted, if such levy is required? 9. Has an appropriate pledge of revenues to pay the principal and interest been pledged, if such a pledge is required? 10. Have rates, fees, charges been pledged and are they sufficient to pay the principal and interest on the proposed issuance, if such is required? 11. Are any recitals and covenants in the bonds or notes made by an officer with the power to make them and are they adequate to protect purchasers? 12. Are the bonds or notes marketable and can they be sold at the proposed rates, terms, and amounts? 13. Have the bonds or notes been signed and delivered by the proper officers? 14. Have agents for paying, registration, execution, and other activities been properly appointed? Need for an Approving Opinion Generally, bonds are not marketable without an accompanying opinion of a nationally recognized bond counsel.2 This opinion covers the following topics: 1. whether the bonds are valid and binding obligations of the issuer; 2. the sources of payment or security for the bonds; and

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3. whether, and to what extent, interest on the bonds is exempt from federal income taxes and from taxes, if any, imposed by the state of issue.

Role of Bond Counsel The National Association of Bond Lawyers defines the role of bond counsel as follows: Bond counsel’s role is one of an independent expert who provides an objective legal opinion concerning the issuance and sale of bonds. Bond counsel are specialized attorneys who have developed necessary expertise in a broad range of practice areas (e.g., school district, election, and bankruptcy law). Bond counsel often supplements rather than supplants the issuer’s general counsel in protecting the issuer’s interests. Irrespective of whether bond counsel represents the issuer or other parties in bond financing, bond counsel’s opinion must be objective.3

Most bond issues require bond counsel because the buyers require that the bonds have an opinion of bond counsel on them. Governmental borrowings, all borrowings by underwriters, investment bankers, and bond houses require bond opinions.

The Buyer of the Bonds More important than the issuance is the sale of the bonds. The buyer of the bonds can be a private or public entity. Public is used in the sense that the entity is a subdivision of state or federal government. Private buyers tend to be individuals, bond houses, investment bankers, banks, underwriters, and the like. Public buyers tend to be governmental authorities, agencies, pools, and departments. Common public buyers are the Health and Education Authority. School districts can have a valid issuance of debt, but if no one buys the debt, it is of no benefit. Therefore, one of the main concerns a school district has is finding potential buyers for the bonds. Some of the more common buyers (South Dakota, for example) are as follows:

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Underwriters Merrill Lynch Citigroup Global Markets Dougherty & Company Bank of America A. G. Edwards Northland Securities D. A. Davidson & Co. Financial Institutions Banks Governmental Units Health and Education Authority Rural Development State of South Dakota United States of America Payment Terms The terms on the bonds are important. It often determines whether the bonds are sold or not. Most often the terms are negotiated with the buyer; however, school districts also have the ability to put the bonds out for bid and have interested parties bid on the purchase. Other times the terms are preset, as in the case of governmental borrowings. There are few limits on the terms of the bonds. The interest rate, maturity dates, payment dates, denominations, registration, medium of payment, and place of payment are whatever the governing body determines. However, the term is limited to 50 years for bonds, 2 years for notes, and 3 years for anticipation notes. The school district must determine what terms are most beneficial. Elections Not all capital outlay expenditures are subject to election, but most that require bonds to be issued will have to be referred to the voters of

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the district. In other chapters, the authors cover the legal requirements and laws that control such elections. If the election is successful, the bonds can be issued. In some states, if the election is not successful, the bond issue cannot be put in front of the public again for a period of one year, unless the amount of the bonds has been decreased or increased by more than 5 percent.

THE BOND CONSULTANT Negotiating a successful bond election is a complex process, one for which most school administrators are not trained and for which they do not have the time. A bond consultant not only guides the groups that will take the bond campaign story to the public, but he or she prepares the working financial documents and instructional documents necessary for the school campaign. Using a bond consultant ensures that the public will receive accurate information, that the proposed project will be realistic in terms of the district’s actual needs and ability to levy additional taxes and allows administrators and board members to maintain a low profile in the election campaign—all factors that contribute to a successful bond referendum campaign. By utilizing a bond consultant, the board of education can meet all the legal requirements without the additional lawyer’s fees. The school board should adopt policies on capitalization programs (see textbox 3.1 for an example) and bond campaigns (see textbox 3.2 for an example). Such policies should reflect local and state guidelines for the bonding process.

BONDING CONSULTING SERVICES Bond underwriters make their money from the sale of bonds to finance all sorts of building and infrastructure projects, mostly for political subdivisions such as school districts, cities, and counties. They, therefore, have a vested interest in assisting school districts to run successful bond referendum campaigns. A fiscal agent or bond underwriter should provide several types of services to bring about positive results. An experienced agent/bond underwriter would:

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1. Analyze the scope of the project, conduct a cash flow analysis, and explore financing alternatives in order to develop a welldocumented financing plan that will be conducive to voter acceptance. 2. Coordinate the bond election information campaign by developing a pertinent timetable of events, by organizing citizen committees through the assignment of clearly stated objectives, by preparing fact sheets and election brochures for public distribution, and by representing the school district at committee and public meetings.

To finance the facilities program, the Board, as established by law, may at its discretion authorize an annual tax levy not to exceed five mills on the taxable valuation of the district for the capital outlay fund. The Board may also issue and sell capital outlay certificates. Money received from the sale of these certificates will also be placed in the capital outlay fund. The capital outlay fund is a fund provided by law for the purchase of land; improvement of grounds; construction of, additions to and remodeling of facilities; or for the purchase of equipment. It may also be used for installment payments for the purchase of real property, plant or equipment, where the installment contract does not exceed ten (10) years, and for the payment of the principal and interest of capital outlay certificates. When used for the purchase of capital outlay certificates and the payment of installment contracts, the total accumulated unpaid principal balances cannot exceed three (3) percent of the taxable valuation. Construction of new facilities, or of additions to facilities which will require advertising for bids, must have a public hearing at least ten (10) days prior to the advertisement of any contract specifications. Following this public hearing and approval of the Board, the district may use the capital outlay fund for payment of the new construction or addition; however, the district may not change the originally advertised use of the fund without holding another public hearing. In accordance with law, the Board will develop and maintain a five-year plan on the annual projected revenues and expenditures for the capital outlay fund. The projected expenditures will itemize the projected costs for new or additional facilities. Established by Law. (Adoption date, May 10, 1998) Legal Refs.: SDCL 13-6-6 through 13-16-93 Textbox 3.1. Sample board policy—facilities capitalization program.

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3. Oversee the preparation of all necessary legal proceedings with a nationally recognized bond attorney. 4. Market the district’s debt obligations. 5. Provide the printing and registration of the bonds, handling the closing and recommending effective investment alternatives for bond proceeds. 6. Monitor the district’s outstanding debt obligations for potential refunding opportunities that will reduce interest costs and tax requirements.4 The school superintendent is responsible for obtaining the relevant materials from each investment firm under consideration. The bond companies should be able to describe how they provide the services listed above, references, the number of and kind of public meetings the firm is willing to conduct, and answers to questions concerning the sale of bonds, timing of the elections, and their methods of organization. Opposition groups often make an issue of the amount of money the board of education spends on passing the bond issue; therefore, it is In accordance with law, the Board by resolution may determine that the district should issue negotiable bonds. These bonds may only be used for the purposes of: 1. Refunding any bonded indebtedness which is or is about to become due and payable or whenever such indebtedness can be refunded at a lower rate of interest to fund any judgment or outstanding warrants; and 2. Raising money for any purpose for which the Board is authorized to spend school district funds. The proposition to issue bonds, except bonds to fund registered warrants or to refund bonded indebtedness, will first be submitted to the electors of the district at a general or special election. Established by Law. (Adoption date, May 10, 1981) Legal Refs.: Constitution of the state of South Dakota, Art. XIII, sec. 4. Effective July 1, 1984 – Once the Board determines the necessity for a bond issue, the Board must obtain the services of a bonding company. Textbox 3.2. Sample board policy—bond campaigns.

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important that the district utilize services that are the least expensive for the quality of service the school district needs. Bond consultant firms generally represent one of three systems of operation. The first charges a fee for consulting, often including out-of-pocket expenses for the consultant. Those firms that employ the second type of system do not charge a consulting fee, but they require the school district to cover out-of-pocket expenses for the actual consultant. Generally, the bond consultant will waive the fee if the bonds are underwritten by their financial firm after a successful campaign. Other bond firms offer still a third arrangement. The firms indicate clearly to the board of education that there will be no fee for the consulting process if the bonds are purchased through their company. They do not charge for out-of-pocket expenses because they obtain their fees through the sale of bonds on behalf of the school district. This last option is, of course, the preferred option because it keeps costs to a minimum; however, it should not be the only determining factor in selecting a bond firm. The school administrator should discuss selection of a bond company with others who have used the firm, preferably state officials, local business people, and neighboring school administrators. Once the school board has hired a bond consultant, his or her first responsibility is to develop a business plan for the school district that includes a reinvestment schedule and cash flow analysis for the school district (see table 3.1 for an example). The analysis should entail an indepth analysis of the assessment values of the district, a determination of the growth potential of the community, and other resources (capital outlay certificates, capital improvement fund balances, and possible gifts for the facility) that are available. From this study, the bond consultant can make a fairly precise estimate of the financial capabilities of the district and what type of tax increases are realistic. This analysis is critical in that the amount of new taxes being levied is a significant factor in the success or failure of bond elections (see chapter 1). The second task for the bond consultant is the development of a possible election timetable as shown in table 3.2. The timetable should clearly indicate time lines that must be followed to take the election campaign from start to finish. The consultant must take into consideration the im-

Table 3.1. Reinvestment schedule and cash flow analysis. Reinvestment Schedule and Cash Flow Analysis Any School District G. O. Bonds Issuance Expenses Net Bond Proceeds Construction End of Account Month Balance Feb. 91 Mar. 91 Apr. 91 May 91 Jun. 91 Jul. 91 Aug.91 Sep. 91 Oct. 91 Nov. 91 Dec. 91 Jan. 92 Feb. 92 Mar. 92 Apr. 92 May 92 Jun. 92 Jul. 92 Aug. 92 Sep. 92 Oct. 92 Nov. 92 Dec. 92 Jan. 93 Feb. 93 Mar. 93 Apr. 93 May 93 Jun. 93 Jul. 93 Aug. 93

a

5,898,000 5,938,549 5,979,376 6,020,484 5,945,481 5,811,764 5,560,733 5,370,976 4,762,494 4,213,263 3,660,255 2,762,115 1,857,800 849,742 564,597 277,492 396,147 280,547 280,547 62,617 62,617 62,617 351,967 351,967 351,967 4,037 4,037 4,037 293,387 293,387 293,387

= 4,725,000 = 94,500 = 4,630,500

Construction Draw 0 0 0 115,600 173,400 289,000 289,000 578,000 578,000 578,000 917,000 917,000 578,000 289,000 289,000 173,400 115,600 0 0 0 0 0 0 0 0 0 0 0 0 0 0 5,880,000

Capital Outlay Certificates Issuance Expenses Net Proceeds Construction Bond Taxa Payments Collections 0 0 0 0 0 0 0 0 0 0 0 0 435,860 0 0 0 0 0 217,930 0 0 0 0 0 347,930 0 0 0 0 0 212,740 1,214,460

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 289,350 0 0 0 0 0 289,350 0 0 0 0 0 289,350 0 0 0 868,050

= 1,300,000 = 32,500 = 1,267,500

Net Interestb Investment Account Income Fund Balance 8.25% Balance 5,898,000 5,938,549 5,979,376 5,904,884 5,772,081 5,522,764 5,271,733 4,729,976 4,184,494 3,635,263 2,743,255 1,845,115 843,940 560,742 275,597 393,442 280,547 280,547 62,617 62,617 62,617 351,967 351,967 351,967 4,037 4,037 4,037 293,387 293,387 293,387 80,647

40,549 40,828 41,108 40,596 39,683 37,969 36,243 32,519 28,768 24,992 18,860 12,685 5,802 3,855 1,895 2,705 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 409,057

5,938,549 5,979,376 6,020,484 5,945,481 5,811,764 5,560,733 5,307,976 4,762,494 4,213,263 3,660,255 2,762,115 1,857,800 849,742 564,597 277,492 396,147 280,547 280,547 62,617 62,617 62,617 351,967 351,967 351,967 4,037 4,037 4,037 293,387 293,387 293,387 80,647

Payments from tax collections are based on the average amount of payment required each fiscal year for the bond issue with a 98 percent tax collection rate. Interest income computed on the month end balance of the construction account and the bond fund. All interest income deposited into the construction fund. (The net construction account balance times the annual interest rate divided by 12 months equals the monthly interest amount.) The reinvestment schedule and cash flow analysis example was provided by Darwin Reider, First Vice President, Kirkpatrick, Pettis, Smith, Polian, Inc., Omaha, Nebraska. b

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Table 3.2.

91

Sample—election timetable.

Months of February/March

Day of March 13 March 15 March 16 March 21 March 23

Week of March 27 March 30

Week of April 3

April 10 April 15 and 20 April 25 May 1 June 1

School board, school administration, architect, and fiscal agent determine scope of building improvement program.

School board passes resolution to call an election. Mail letter of invitation to potential committee volunteers for March 21 organizational meeting. First publication of Notice of Voter Registration. Organizational meeting for subcommittees. First publication of Notice of Election. Second publication of Notice of Voter Registration (at least 10 days before deadline).

Subcommittees meet on their own to discuss strategies to accomplish stated objectives. Second and final publication of Notice of Election (20 days before election). Publication of sample ballot.

Subcommittees begin dissemination of informative materials (fact sheets and general information brochure to designated neighborhoods). Deadline for voter registration (15 days prior to election). Public information meetings (if necessary). School bond election. Board meets to canvas election results. Board passes resolution to issue bonds (if market is favorable). Closing of issue and reinvestment of proceeds.

mediacy of the need, the tiring factor for volunteers, and the relatively short attention span of the general public. By the time the bond consultant has finished his or her preliminary work, the school administrator and board of education should have a fairly clear picture of the situation they face. Most important, they should understand how much money they can realistically spend on a renovation or construction project.

SELECTING THE ARCHITECT At the same time the school superintendent is determining which bond consultant to recommend to the school board, he or she should

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be conducting a search for an architect for the project. Once again, the board should adopt a policy that delineates the selection process criteria. The policy may also establish criteria for determining when they do not need to hire an architect. The criteria5 for selecting an architect are as follows: 1. Experience in school design. 2. Evidence of relevant experience in special situations, such as facilities for the handicapped. 3. Creative design ability. 4. Technical knowledge to control the design so that the best results are obtained for the least amount of money. 5. Executive and business ability to oversee the proper performance of contracts. 6. Proven ability in all the major phases of planning and construction: predesign planning, schematic design, design development, bidding, and construction. 7. Ability and temperament to work cooperatively with others. 8. Willingness to consult with staff on educational specifications. 9. Extent and experience of architectural staff in relation to the scope of the planned project. 10. Reasonableness of architect’s fee.6 The first step for the school superintendent is designing and distributing a search document. The superintendent should send such a document to all the architects in the region and architectural firms outside the region who have worked previously in the area. The document should include a brief description of the type of facility the district wants to build, the criteria for selection, and the timelines for both the selection process and building project. Also, the letter should contain information as to how the architect can apply for consideration. To ensure that no architect is missed accidentally, the superintendent should place a notice in at least the local newspaper indicating that the school district is conducting a search for an architect. This notice should include the information listed above. Depending on the number of applicants, the school superintendent should narrow the number of applicants to be interviewed by the board

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to three or four. The superintendent should ask each of the candidates to prepare a presentation that portrays his or her experience, abilities, and ideas on educational facilities. They should also be prepared to discuss their qualifications under the ten criteria listed previously, including concessions they might be willing to make in their fee schedule. For example, some firms will be willing to do all of the preliminary drawings, preparation meetings, and training programs necessary for the bond campaign at no cost to the school district until the voters have approved the building project. In some states, laws and regulations determine fee schedules, and out-of-state firms must be willing to comply with those restrictions. The superintendent should schedule interviews from 45 minutes to an hour. It is extremely important that all school board members be involved in the selection process and that they make every attempt to reach a consensus. This brings the benefit of another unanimous vote by the board, an important element in achieving success in the bond referendum election (see chapter 1). After the board has hired an architect, the superintendent should reach agreement with the architect as to the type of contract, specific fee schedules, and cost controls on change orders. The board of education should adopt a policy that states contracts with the architect must meet the current standards of the American Institute of Architects. Following this standard can eliminate many problems of personal interest. School superintendents also should use the estimated costs of the project as a starting point for developing an appropriate fee schedule. The architect may also be willing to “lock” his or her fee, so change orders occurring during the building project would not fall under the architect’s fee schedule. This helps eliminate concerns among the public that the architect intentionally forgot some items or that he or she built in some errors to increase his or her fees. After the hiring process is complete, the superintendent should contact all applicants thanking them for their interest, informing them of the firm that was hired, and wishing them the best in the future. Some firms may contact the school superintendent as to the reasons the board did not select their firm, so the superintendent should be prepared to identify a couple of points such as differences in presentation, ideas, or finances.

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EDUCATIONAL SPECIFICATIONS The school district is responsible for providing the architect with a set of educational specifications upon which he or she is to base the building’s design. The specifications should be developed from input provided by educational consultants, teachers, administrators, and parents. Information from the school plant data sheets (see chapter 2) can also be used. Educational specifications can be divided into three basic categories. The first is devoted to a detailed description of the educational activities that will take place in the facility. This is not an expression of educational philosophy; it is a description of what people will be doing in various sections of the building (e.g., the lobby, the music classroom, the physics lab, and so on). It should also include descriptions of the dimensions and purpose of certain types of equipment used in some classroom spaces and service areas, and what activities take place during certain parts of the year (the architect needs to include space for three activities going on in December and he or she has only provided space for two, even though during the rest of the year only two activities are in progress).7 The second category is physical specifics of the facility. Information needed includes how many students will attend the school, potential increases in enrollments, how many students are typically in a certain class at the same time, how many spaces are needed for each time slot in a day, and so on. Information in this category should also include space relationships. For example, it seems logical that the chemical storage room should be located next to the chemistry classroom, but most noneducators would not consider the importance of having the door to the guidance center separate from the door to the main office.8 The third category includes a description of special physical features the school program demands. These considerations often are concerned with special educational program demands. Special features include requirements for room shape (e.g., home economics), ceiling height (some vocational classrooms), intensity of lighting (art), humidity and temperature control (e.g., science laboratories), color, ability of floor to support more than average weight (e.g., libraries, stages), built-in equipment (e.g., video systems), and so on.9

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All three categories should include provisions for special needs students. Architects usually have references that list standards for the industry, building codes, and square footage requirements. However, school officials should never “leave it to the architect.” Estimates of the total amount of classroom space needed, the space required for the gymnasium, and other considerations should be spelled out specifically for the architect. It should be noted that the type of specifications addressed by the architect will vary depending on whether the project is a major renovation or a new building project. It also should be noted that state departments of education often have guidelines as to minimum acreage, minimum design standards, and minimum materials standards for public school structures. The school superintendent should be certain that the architect is aware of such requirements. In addition, the administration should not ignore requirements for the basic esthetic appeal of the structure. If this element is forgotten, the district might end up with a brick box. The school superintendent should provide the architect with some guidelines as to the decorative aspects of the building. What is the basic attitude of the school district in terms of esthetics (that is, would they find an avant-garde design objectionable)? What materials would be acceptable to the community (i.e., are they going to expect a traditional brick building or will they accept a mixed material exterior)? What interior designs and colors would students and teachers find most comfortable and inviting? Are there any historical considerations? What types of residences are located in the area in which the school will be located? The importance of an appealing building should not be underplayed—it might be the reason a bond issue fails.10

PRELIMINARY DESIGNS AND OTHER CONSIDERATIONS The next task of the architect is the development of the preliminary design. The school superintendent and school board members should examine the design carefully before they present it to the public. The critical issue at this time is insuring that the criteria for the design

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(i.e., needs of the school district and educational specifications) have been met. The architect also should be able to present the board with preliminary estimates regarding construction costs and job completion timelines. The architect may wish to indicate the type of information he or she should provide the public concerning the design. Such information should include what the architect determined were priorities for the structure and the design features that accommodate those needs, room arrangement and design elements that provide the most efficient use of space and most comfortable traffic patterns, and esthetic features and why they are important to the overall effectiveness of the building, design features that provide space for integration of educational programs and use of technology, and design features that provide ease of accessibility for all students. The architect holds a great share of responsibility for explaining the building design and its advantages over other designs. He or she is the individual with the expertise to answer questions about how the new structure will be constructed and what unique features the building has. His or her involvement in the bond referendum campaign is vital to the success of the campaign in that it provides the public with access to accurate information and, once again, allows the superintendent and board members to maintain a low profile. The board should develop an understanding with the architect early on about the extent they wish him or her to participate in public presentations, training sessions for volunteers, and radio or television appearances. While some architectural businesses provide a certain amount of assistance in this area, many charge for expenses. The school board and architect should reach a clear understanding about the financial obligations of each before the architect is asked to participate. The architect supervises certain aspects of the actual construction of the facility and is responsible for obtaining the appropriate bids from suppliers and subcontractors. The school board may legitimately expect that the architect will keep the project on budget as much as possible, without making serious sacrifices in terms of the quality of materials or specific design features. The architect should submit any requests for changes to the school superintendent and the school board prior to enacting such changes.

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REVIEW ACTIVITIES 1. Make a list of all repair, renovation, or building projects in your district that may require capital outlay expenditures during the next five years. 2. Examine the spending practices of your school district and determine which of the above can be financed through the general fund or capital outlay fund. 3. From the research findings above, decide what projects probably would require a bond issue. 4. Make a list of bonding companies in your region that have experience handling bonds for educational institutions. Summarize and compare the policies and the services each provides. 5. Make a list of architectural firms in your region that have experience in designing educational facilities, and summarize and compare their policies and the services each provides. ENDNOTES 1. Todd Meierhenry, “South Dakota School District Bonds: A Guide to Public Indebtedness” (prepared by Danforth, Meierhenry & Meierhenry, LLP, Sioux Falls, SD). 2. A list of municipal bond attorneys is published in The Bond Buyer’s Municipal Marketplace, formerly the Bond Buyer’s Directory of Municipal Bond Dealers (commonly referred to as the “Red Book”). 3. National Association of Bond Lawyers, “Selection and Evaluation of Bond Counsel” (1988). 4. Darwin Reider, Why Does a School District Need a Fiscal Agent/Bond Underwriter? (Omaha, NE: D. A. Davidson & Co., 2008). 5. Reider, Why Does a School District Need a Fiscal Agent/Bond Underwriter? 6. Basil Castaldi, Educational Facilities: Planning, Modernization and Management, 4th ed. (Boston: Allyn and Bacon, 1994). 7. Castaldi, Educational Facilities: Planning, Modernization and Management, 4th ed. 8. Glen I. Earthman, Planning Educational Facilities for the Next Century, (Reston, VA: Association of School Business Officials International, 1992), 140–149.

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9. Castaldi, Educational Facilities: Planning, Modernization and Management. 10. Carleton R. Holt, “Factors Affecting the Outcomes of School Bond Elections in South Dakota” (Ed.D. diss., University of South Dakota, 1993), 9–50.

4 THE PROJECT DEVELOPMENT PHASE: BRINGING IT ALL TOGETHER

To many it might appear that the information that has been gathered is scattered among several people and groups. The bond consultant has been collecting and analyzing the financial information; the architect has gathered information about the needs of the school; the community group has gathered information about community attitudes and support; and the school superintendent has been gaining input from school staff and administrators and individuals within the community about what the community needs and wants. At this point the board of education needs to appoint committees whose function will be to bring together all relevant information, analyze the data, and make final decisions as to the site, building design, financial obligation, and so on. These committees, which may be appointed and funded by the board of education, prepare the final recommendations to the board. Because these committees are involved in development rather than promotional activities, membership on the committees is not limited to persons living in the district. Indeed, it probably is advisable to have some school administrators, teachers, and support staff members serve on the committees.

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Generally, the committees that will be needed are: (1) a steering committee; (2) a site committee; (3) a structure committee; (4) an educational obsolescence task force; (5) a community uses task force; and (6) a finance options task force. The responsibilities of each committee will be discussed later in the chapter. Finding people to serve on committees is never an easy task, and busy people tend to go the route of least resistance when asking people to serve: in other words, they go to the people they know will serve. Such actions, however, may cause segments of the community to perceive the entire process as one of a group of community “elites” trying to push something down everyone else’s throats. They might even believe that they are not being provided the whole story and that decisions are being made in secret. Any of these perceptions can spell disaster for a bond referendum campaign.1 The community leader and school superintendent, who are in charge of forming the committees, must make every effort to include a cross-section of the community on each committee. As much as possible, selections for the committees should include representatives from the various socio-economic, ethnic, religious, and political groups represented in the community. The membership also should be made up of people of various ages and with a diverse set of interests. While it might not be appropriate to select individuals who are strongly opposed to the project, the community leader should attempt to put at least a few persons on committees who are undecided about the bond issue.

FORMING THE COMMITTEES By this time the community leader and school superintendent should have a list of people from the district who either support or are leaning toward supporting the proposed building project. From that list, the community leader and superintendent may select a large group of individuals who will be asked to serve on committees. These individuals should be contacted about their willingness to attend a meeting where participating on committees is to be discussed. The community leader should contact each person on the list to ask them to attend this special meeting, informing them of the time and place. The purposes of this initial meeting are:

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1. to disseminate information as to the need for the building project, the scope and design of the project, and the estimated costs of the project; 2. to inform the participants about the purpose and duties of each committee, the timelines for work, and what would be expected of each committee member in terms of duties and time investments; and 3. to provide an opportunity for individuals to give input as to their ideas about the project. While the community lead person should conduct the meeting, the school superintendent, bonding consultant, and architect should be available to provide specific kinds of information as needed. At this point, all individuals involved in leadership positions should maintain an objective stance, sticking to a presentation of facts. At the end of the meeting, the group should be asked to think about whether they would be willing to serve on a committee, which committee they would prefer, and what the level of their commitment could be. The community leader should point out that not everyone on a committee has to be a leader (translation: not everyone will have to speak in public), and that people who are willing to work behind the scenes are just as important as those who are “out in front.” The community leader needs to establish a deadline for people to sign up for committees, usually from 2 to 4 days. During the next few days, the community leader should contact all individuals who attended the meeting to encourage them to participate on a committee. After individuals have made a commitment, the community leader needs to set up meeting times for all committees. The Steering Committee The steering committee has as its mission identifying and coordinating necessary tasks leading up to the formulation of the formal proposal to the board. The committee has the following objectives: 1. To organize the information provided by the other committees into a final recommendation to the board of education.

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2. To prepare appropriate documents for the dissemination of information to the public. 3. To recruit volunteers to distribute information, make phone calls, or perform other proposal development services. Resource persons for this committee include members of previous board committees, parents, the bond consultant, teachers, and administrators. One strategy for assignment to this committee is to include the school superintendent, the community leader, and the chairs of the site and building committees. A person skilled in writing and/or graphics might also be assigned to this committee. This committee bears a great deal of responsibility and probably will have to meet at least every other week during the early stages of the development phase. The committee may have to meet more often as they begin to assemble the final report. The Site Committee The site committee’s task is to make a recommendation to the board of education as to the most suitable location for the building project. The committee may have several options from which to choose, or they may have only a few. Those options might include building on land already owned by the school district, purchasing a more desirable portion of land, or trading school-owned land for more suitable land.2 The site committee might also decide whether the facility should be in a new area or should be attached to an existing facility, although this decision would rest on the board’s decision to renovate or build. The committee examines the various options, considering the following criteria: 1. Traffic patterns in the area. These should include consideration of the safety and ease by which students may get to the school (walking, bicycling, and vehicles). Travel distances from residential areas should be investigated. 2. Availability of city services in the area. Are telephone, electricity, water, and sewer already in place? Are the roads adequate to

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handle the traffic? Do fire and police services have easy access to the site? 3. Bus routes. The committee should assess the distances traveled and the amount of time students would spend on the bus. 4. Site implications. The committee analyzes the following in terms of their implications for the building: site topography, natural windbreaks, groundwater elevation, surface drainage patterns, and soil bearing pressure. In most cases, the school board will hire specialists to take actual measurements and do the statistical analysis. The problem for the committee is analyzing the information in terms of the feasibility of building on a particular site. They should also address the implications of zoning ordinances in adjacent areas, accessibility for delivery and maintenance, the degree to which expansion could occur on the site, and problems of flood control. The committee will also have to determine any city, county, or state regulations that would affect a potential site or the ability to acquire the land if it is not already owned by the school. 5. Costs. The committee must analyze how the cost of obtaining the land fits into the overall anticipated budget for the entire project. In a nutshell, the major task of this committee is to do a cost/benefit analysis of the various sites that could be available and make a recommendation to the school board. For example, a certain site may be in the proper location according to distance from population centers and traffic patterns; however, the topography would require added expense because large amounts of earth would have to be removed to create a level site. Another site might meet land requirements, but the district would have to bus students long distances to the school. The site committee must decide what the district’s priorities are and which site meets those priorities most adequately. Resource people for this committee include the architect, the bond consultant, the city planner, community safety officers, public utilities officers, construction engineers, and residents of surrounding areas. This committee probably will operate most efficiently if it is broken into task groups that are responsible for analyzing certain types of data.

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For example, individuals with building experience might work most effectively with the architect on analyzing the site implications, while parent representatives would be most effective gathering information from parents about transportation problems. The conclusions of the committee may be presented to the board of education in several ways. First, the committee can make a specific recommendation to the board, requesting they choose a specific site. The committee also might present a list of categories to the board and how they ranked each site alternative in that category. Finally, the committee might narrow the choices to the top two and then prepare an analysis of the choices. The work of this committee is fairly technical and may require the members to do some research. The committee should probably anticipate spending from 3 to 5 weeks preparing their recommendations, depending on the number of sites they must review. The Structure Committee This committee probably has the most daunting task of any of the committees, and those who serve on this committee should anticipate spending from 4 to 6 months accomplishing their task. The number and complexity of the tasks necessitates forming subcommittees to investigate some of the issues. The major task of this committee is to make a recommendation to the board of education as to the most critical design specifications for the facility. The committee should base its recommendation on the following criteria: 1. The educational program of the school district. What types of facility (square footage, special wiring, layout, and so on) best meets the needs of the educational program the community wants? Such considerations should include the type and arrangement of rooms, features that have an impact on discipline and control, multiuse facilities, common areas (cafeteria, gymnasium, libraries, locker rooms), the number of classrooms and classroom capacity, and inclusions of advanced technologies.

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2. The health and safety needs of the students and faculty. What are the federal, state, and local fire regulations, special needs regulations, and building materials codes? 3. The potential costs of maintenance, heating, or cooling. 4. Potential community use. What are the possibilities for organizations in the community using the facility and what impact should this have on the final design? 5. Costs of various alternatives. What are the costs of the various alternatives and how do those costs fit into the overall financial conditions of the district? To accomplish these tasks, the committee should break into several task groups. Educational Obsolescence Task Force. This group reviews current and future instructional programming to identify limitations caused by current facilities and what features would need to be included in the new design to accommodate these programs. Their objectives should include, but may not be limited to: 1. Identifying the limitations caused by the current facility in the areas of reading, language arts, social studies, science, math, health, the arts, physical education, counseling, and special education. 2. Identifying the limitations of the present facility in terms of new technologies in the classroom. 3. Identifying the limitations of the present facility in terms of extracurricular activities and student participation in those activities. 4. Identifying the limitations of the present facility in terms of accessibility and health and safety concerns. 5. Identifying the limitations to effective control and teaching (e.g., overcrowding) caused by the lack of space in the present facility. 6. Identification of those elements of the facility that must be incorporated into the design to meet the minimum standards necessary for the enrollment in the school, educational programs, and extracurricular activities. A great deal of this work will have been accomplished already through the facilities surveys and input from teachers, support staff, and members

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of the community. The committee should put this information together in a unified report to the larger committee. Potential resource persons for this task group include the superintendent, architect, city engineer, teachers and support staff, and parents. Community Uses Task Force. The purpose of this task group is to assess the facility needs of community groups, both public and private, that could be answered by design features in the new building. The committee also must evaluate ways in which the facility could be utilized by the general public and what elements of design would need to be modified to meet those uses. This item is an important one for several reasons; the most important being that the percentage of voters needed to pass a bond issue may be reduced to 50 percent in some states if the facility is built jointly by the school district and another agency (thus the reason so many school gymnasiums are in National Guard armories). The tasks of this group include: 1. Contacting various organizations and groups that might want to use the school’s facilities in the future and identify what their needs would be (e.g., size of rooms needed, special equipment needed, and so on). 2. Identifying any state or federal regulations that restrict the use of public property by private or religious groups. 3. Identifying the current board of education policy and practice on utilization of school property by private and religious groups. 4. Identifying possible cost-sharing possibilities and what organizations might be willing to do. 5. Preparing a report to be presented to the larger committee. Potential resource persons for this group include the architect, city manager, representatives of senior citizen groups, representatives from the city council, county officials, National Guard officials, and religious leaders. The task group should plan to be active for 6 to 8 weeks. Finance Options Task Force. The purpose of this task force is to develop a comprehensive, understandable explanation of the finance options for capital improvement; the effects on local sources (property taxes); and the short- and long-term effect of new construction versus

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maintaining the status quo and analyzing the financial advantages/ disadvantages of building designs to determine which would be the most cost effective. The work of this committee is crucial to passage of the bond issue because its studies represent the justification for inclusion of certain design elements in terms of long-term costs of the facility. For example, how long will it be before thermal windows pay for themselves by reducing fuel expenditures? The major tasks facing this committee include: 1. Reviewing sources of revenue currently available for total district operations. 2. Reviewing sources of revenue available for capital projects. 3. Identifying the most appropriate finance option for new construction. 4. Comparing the costs of maintaining and operating the present facility to the costs of maintaining and operating new structures. 5. Providing comparative analysis of cost effectiveness of alternatives in a new building such as type of windows, type of heating and cooling systems, building materials, square footage for certain areas, and cafeteria systems. 6. Reviewing effects of tax hike in relation to trends in tax assessments over the next 5 to 10 years. 7. Developing a written report for the school board, media, and general public. Potential resource persons for this committee include the school business manager, school administrators, representatives from financial institutions, building supply representatives, county assessor, and the bond consultant. This committee will gather a great deal of data and compile the information so that the advantages and disadvantages of alternatives can be identified easily. Committee members should anticipate working from 5 to 8 weeks on the project. This committee also must keep in mind that voters will be deciding whether or not they like the facility or want to pay for part or all of it. In his article, “How to Blow a Bond Issue—Or Not, If You’d Prefer,”3 Carter makes some cogent suggestions on some key elements to consider before making the final recommendation.

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First, Carter suggests that trying to “pork barrel” the building is not an effective strategy. This set of actions calls for the building to include features that everybody knows are needed (e.g., handicap accessibility) and then a series of extras that are preferred by one special interest group or another. For example, some people believe the big attraction to the schools for nonparents is the athletic program. Therefore, they believe the plans should include an emphasis on those areas. These activities are also more exciting than video systems or an English classroom. Carter postulates that many school boards believe that, even though some people don’t care for some of the items included, they will care enough about the ones they do like to vote for the bond issue. He does not believe such is true. The same article enjoins school boards to “keep your eyes on the prize: if you don’t need it, don’t ask for it.” Carter suggests that one of the reasons bond issues fail is that the building is designed with facilities that the ordinary taxpayer cannot see make a difference to education. For example, more classrooms are a good thing; bigger parking lots probably are not. Expanding the library is a good thing; expanding administrative office space is probably not. Stick to those elements of the school design that are for kids. Carter’s final suggestion is to really listen to what the voters are saying. If the plan outlined in this book is followed, the superintendent and other officials will have a great deal of information about what district patrons want. Their ideas should be worked into the plan. Voters may revolt if they believe the proponents of the bond issue “just asked my opinion to be nice.”4

THE SCHOOL BOARD RESOLUTION During the above process, each of the committees write reports to the steering committee outlining their work, giving their analyses, and giving their final recommendations (see chapter 8 for information on preparing these reports). The steering committee then works to make a unified presentation to the board of education outlining the specifics of the project they would recommend. The end result should be their recommendation for a specific type of school, located at a specific site, at a specific cost.

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Those who go on to work for passage of the bond issue referendum should use the materials created by these committees. The research, statistics, and opinions gathered for this phase prove invaluable in explaining the justifications for expenditures. They can also help the administration and others understand what alternatives might be available to them should the initial bond issue fail. After the steering committee has made its final recommendation to the board of education, the board then votes either “yes” or “no” to a resolution calling for a bond referendum election to take place at a certain time in the future. Opinions vary as to how long after the bond resolution is passed that the election should be held, but most experts caution about letting it slide too long. The bond resolution should contain naming the specific project, the location of the project, a maximum cost expectation, and the date and time of the election. In many states there are specific regulations governing how the resolution must be worded, what statements must be made, and so on. The school attorney should prepare the resolution carefully following state guidelines. The process is now reaching its final phase: the election campaign.

REVIEW ACTIVITIES 1. Make a list of individuals within your community who might serve as community leaders, resource persons, volunteers, or committee members. 2. Study state laws that might affect how the resolution should be stated. 3. Develop a list of tasks for each committee: Steering Committee, Site Committee, Structure Committee, Educational Obsolescence Task Force, Community Uses Task Force, and Finance Options Task Force.

ENDNOTES 1. Michael A. Carter, “How to Blow a Bond Issue—Or Not, If You’d Prefer,” Clearing House 68, no. 5 (1995): 289–292.

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2. Basil Castaldi, Educational Facilities: Planning, Modernization, and Management, 4th ed. (Boston: Allyn and Bacon, 1994). 3. Carter, “How to Blow a Bond Issue—Or Not, If You’d Prefer,” 289–292. 4. Carter, “How to Blow a Bond Issue—Or Not, If You’d Prefer,” 289–292.

5 BEGINNING THE CAMPAIGN: DEVELOPING A MARKETING PHILOSOPHY

After submitting their reports to the board, the steering committee is largely finished with its work, but after the board makes the decision to proceed to the bond election, the public relations committee is just beginning theirs. This committee is responsible for organizing the effort to get the correct information to the public and for organizing efforts to pass the bond referendum resolution. The campaign is, in effect, a marketing effort, and the campaign planners should follow the basic principles of any marketing strategy: 1. know the product, both what it is and what it isn’t; 2. know the target population, including their needs, wishes, and core beliefs; and 3. know the best marketing techniques to get the message across to that group.

KNOW THE PRODUCT So far, the committees and others have generated most of the information about the new facility needed by the public relations committee 111

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to present the proposal to district patrons. One must be careful here to insure that the product being sold is a quality education—not a specific building. Almost every individual within a school district wants the district’s children to get the best education possible. If they are not parents, they are probably grandparents, and for the most part they care about young people. But they want to know how their tax dollars will contribute to education: they want to know they will not be throwing their money away. Proponents of the school bond referendum must be able to justify almost any expenditure in terms of how it will help provide a better future for the district’s children. Why does the school need computer labs? Why is assuring access for disabled persons so important (besides the fact that the federal government mandates it)? How does building a new gymnasium for extracurricular activities help students learn better? Patrons of the district will ask these types of questions, and the public relations committee should have the answers. Voters also will want to know how educating young people contributes to their quality of life. They may be able to identify that extracurricular activities can provide entertainment, but they may not see how adding space to a library for computers helps them. They must be given information that points to how good schools attract businesses to a community, thereby increasing the tax base and making property taxes lower for everyone. Someone must show them that providing a pleasant environment in which students learn contributes to those students having a more positive attitude toward the community, and how that, in turn, might contribute to a lower juvenile crime rate and lowered drug use. The above analysis points to several important strategies for public relations committees. 1. The campaign must be about education, not about square feet, new lockers, or art rooms.1 2. The public must be assured that the management of education in their community is solid and rational. Almost everyone knows stories about businesses that had beautiful facilities, but because of poor management or poor goals, went bankrupt. The public must have confidence in the management of education in their

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community and then be shown how the new facility fits into that management plan.2 3. The campaign must focus on how education benefits the community and all individuals within that community.3

KNOW THE TARGET MARKET The targeted group in this marketing campaign is those persons who will vote in the election.4 Some people believe that if they can convince the parents within the district, the election is won. Nothing is farther from the truth. In most districts, if every parent in the school district voted “yes” and no one else did, parents would not constitute a large enough number to even come close to passing the issue. Some individuals also believe that the people who show up at public meetings represent the people who will vote in the election: again, an inaccurate perception. In fact, according to observations by persons researching school bond elections, on average, fewer than half of the people who attend public meetings live in the district or are registered to vote there. Many persons who have a personal stake in the referendum (real estate agents, developers, architects, and contractors) attend the meetings to take advantage of the type of business information they can get. Naturally, they are mostly in favor of the bond referendum’s passage because it would make a positive contribution to their welfare.5 To determine who the market is, one must analyze which groups participate in elections. Statistics from voter participation surveys in presidential and congressional elections in 1988 and 1992 provide valuable information. That data clearly indicate that the older segments of the population are the ones who vote most consistently. In the two elections, almost 70 percent of those 45 years old and older who were registered actually voted in the election, compared to only 36 percent of voters between the ages of 18 and 45.6 There is little reason to believe that the demographics for participation in bond elections are any different (although the turnout in general for bond issues is much lower). Unfortunately, those in the community with the most to gain from school building projects, namely parents, fall into the age groups which typically vote the least often.

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The above would indicate two important strategies for the public relations committee: 1. find ways to appeal to senior citizen groups; and 2. conduct voter registration and “get out the vote” campaigns targeted at persons between the ages of 18 and 45. Voters within the community can be classified into four groups: those who are absolutely opposed to building anything, those who are undecided but leaning toward voting “no,” those who are undecided but leaning toward voting “yes,” and those who support the bond issue. Individuals within these four categories do not necessarily fall into any specific age, socioeconomic, or political group. For example, many senior citizens are very supportive of programs to educate young people, while some young people (even those with children) object to any effort to increase taxes. Usually, property owners take more interest in the bond election than do renters, but that doesn’t mean that property owners will be more skeptical than renters when it comes to voting in the election. In his book Educational Facilities: Planning, Modernizing, and Managing,7 Castaldi identifies attitudes held by individuals in the above-mentioned categories. The group that is supportive of the bond issue typically sees the relevance of education to their lives and to the welfare of the community as a whole. They see a good education as necessary for an improved quality of life to themselves. Those who are undecided but leaning toward voting “yes” generally see the benefits of education to young people, but are uncertain as to the benefits of this particular project or believe an alternative solution might be better. They may object to the site that has been chosen. Generally, this group understands the need, but is not sure how best to fulfill that need. For example, some people might understand that the school district’s elementary school is not adequate for its present enrollment and that the school district has to do something, but they have questions about whether a new structure should be built or an addition should be built on to the present facility.8 Those who are undecided but leaning toward voting “no” may also have more questions about the proposed project than about the need

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for a good education. These individuals may have serious objections to parts of the project they consider “frills” or luxuries. These individuals are concerned about the cost, but they all do not object to raising property taxes to pay for things that are truly needed. For example, many lean toward opposing a school bond issue when schools start talking about swimming pools, weight rooms for athletes, or theaters for drama groups. Those who are absolutely opposed to the bond issue generally are those who would object to any project that would raise their property taxes. Although some people do not see the importance of education, most people who make up the opposition have reasons that are not as malevolent as many who support the bond issue might like to think. Older citizens on fixed incomes and younger people having difficulty living from one paycheck to another have real concerns about being able to hold on to their homes. Some have an antigovernment attitude that is not directed at the schools. Some of the anecdotal information they receive may give them good reason to question some programs. An analysis of the attitudes of each group points to several strategies that the community relations committee should consider: 1. The campaign should be a positive one. It must focus on priorities that the community set during the input phases of the process and how the new facility meets those needs. Ridiculing or putting down those who oppose the bond issue only solidifies that group and tends to draw “undecided” voters toward the opposition. Respect the opinions of everyone. 2. The campaign should emphasize the cost/benefit ratio of the various parts of the facility design. For example, in a fictitious bond issue many citizens have voiced objections to building an expensive theater in the new high school. The committee should not downplay the cost of this feature; instead, they should show how the facility will “pay for itself.” The school would not have the expense of renting other facilities for its plays; community groups could now bring in speakers, concerts, and other cultural activities that require a modern and large facility; and the school district could now host play contests, some of which would bring 200 to 300 people into town.

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3. The costs of providing facilities for mandated programs should emphasize the school district’s commitment to such programs. It only lends to negativity to say, “Well, we wouldn’t have included that, but federal law says we have to. We don’t have a choice.” Blaming others will not placate the opposition. 4. The group should emphasize that the administration and board took a conservative approach to the building design. This can be accomplished by giving indications as to what other school districts have done that would have cost more or taken more land. The committee must continually come back to the theme that the school administration and school board are looking out for the best interests of the community.

KNOW THE APPROPRIATE MARKETING TECHNIQUES Several underlying philosophies must guide the committee in determining which marketing techniques they will employ in the bond referendum campaign. 1. Voters want the facts of the issue, unclouded by broad emotional appeals. Therefore, the committee must adopt an attitude of openness and respect. Trying to manipulate information to get voter support, rather than dealing with what is actually the case, is a sure course to disaster. Some proponents confuse fancy brochures and video presentations with keeping the voters informed about how much the bond issue will cost them and details of the planned facility. Some campaigns employ scare tactics rather than honest answers. The public relations committee in one school that eventually lost the election sent brochures home with the children, detailing to parents how their children would receive only a second-rate education if they did not vote for the bond issue. The brochure was filled with language detailing the poor fate that would befall the students.9 Law enforcement officials engaged in the war on drugs have discovered that scare tactics usually don’t work, and the same applies to bond elections. Indeed, many people resent such tactics as being condescending and childish.10

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The public relations committee should be disseminating concrete information, not philosophical educational jargon. Those who present materials in public should avoid invoking “educational experts” opinions as their means of defense. Rather than point to a national problem, the presenters should point to local problems and the ways to solve these (e.g., the national dropout rate doesn’t mean as much to lay people as the local dropout rate). While emotional appeals can and probably should be a part of the campaign, they should play a secondary role to the dissemination of information with which people can identify.11 2. The committee also must take into consideration how people develop their attitudes toward schools.12 Most people make judgments based on what they personally have experienced or what they personally have observed. For example, older people grew up during the Depression, when educational opportunities were limited. They also perceive themselves as happy, successful individuals. They find it difficult to understand why education has to be so complicated today. They don’t trust all the new innovations (e.g., “computers will ruin our world”). Likewise, most older people grew up during a time when discipline was the hallmark of the schools. They see young people hanging around the school and get a negative perception of how the schools are run. They question whether the school administrators know what they are doing. They find it difficult to understand why the law guarantees students such an array of freedoms. The public relations task becomes one of selling the management of the schools. 3. The information delivery mediums used should be those avenues through which the public believes they receive the most and best information. In a study prepared for the American Association of School Administrators in 1994, the Mellman-Lazarus-Lake polling firm determined that most people believe they get a majority of their information about the schools from newspapers (30 percent) and friends and children (21 percent). The interesting result is that those surveyed placed one-on-one sources much higher than all media in terms of the quality of information they provide. Participants in the study gave the most “very good” ratings to school principals (37 percent) and the lower number of “very good” rating

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to school superintendents (29 percent); however, when the percentages for the “very good” and “good” categories are combined, the highest ratings go to parents (80 percent) and the head of the local parent organization (80 percent). Local newspapers were rated in the “good” and “very good” categories by only 63 percent of the respondents.13 The above data indicate that one-on-one communication is the most trusted and that the farther up the educational hierarchy an individual gets, the less trusted they become. Certainly, this data supports the findings detailed in chapter 1 that the school superintendent and school board members should maintain a low profile. The finding also shows the need for using techniques that emphasize personal communications and that parents, teachers, and principals can deliver the message most effectively. The media source most utilized by individuals is the newspaper, and the wise public relations committee will use local newspapers extensively. Gaining the support of the editor of the newspaper probably is critical to the success of the campaign. The committee can develop good relationships with the press by following a few simple suggestions.14 1. The person responsible for dealing with the press should respond promptly to any inquiry from the press. 2. If news media personnel can’t make it to cover a story, the press relations chair should drop some notes off at the newspaper office. 3. Deadlines are a reality to newspaper reporters. The press relations chairperson should know when a story has to be in to make a particular issue or the advertising deadlines for a particular issue. 4. Complex or large numbers and figures should be rounded off. 5. A reporter should never be asked to show anyone a story before it is published. 6. Nothing is ever really “off the record.” If the committee does not have the financial and human resources to try to influence every voter, they should concentrate on those who are likely to deliver a “yes” vote. The “persuasion continuum”15 provides a basis for this approach (see figure 5.1).

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Completely Disagree

Figure 5.1.

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No Opinion

Completely Agree

Persuasion Continuum.

The realistic goal of any type of persuasion is to move a person from where they presently are on the continuum toward a position closer to agreement. Those who are to the right of the undecided line will probably vote “yes”; those to the left of undecided will probably vote “no.” Although some individuals can be moved a considerable distance along the continuum, the best information and persuasive techniques in the world will move most people only a short distance along the line. Only those who start near the midpoint will move far enough to the right to turn their “no” vote into a “yes” vote. It is on those individuals that the public relations campaign should focus its efforts. School bond issues can divide a community or they can bring groups within a community closer together. The public relations committee must make every attempt to insure the latter occurs. They must continually remember that there will always be another bond election. MARKETING TOOLS In chapter 6 several specific activities for school bond campaigns are detailed. Within those activities one can use several types of marketing tools. The following can be used for large meetings, all-community canvassing, small group activities, and media. • Flyers, brochures, and information sheets. Printed documents are important to any effort to persuade individuals.

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School boards can prepare and fund such documents as long as they do not promote a “yes” vote, but provide factual information only. Many boards of education send at least a brochure to all postal patrons in the district outlining the specific building project, providing information about the costs of the project and potential tax increases, and providing election information. This brochure is generally sent to all postal patrons within the district. While it is expensive, it is probably wise to have these brochures commercially produced. School boards can use flyers to announce informational meetings (tip: grocery stores might be willing to drop a flyer of this type in customers’ grocery sacks). Flyers also can be tacked to posts in various parts of the community. This type of flyer is probably best produced in-house, using one of the desktop publishing programs now available for the computer. Information sheets should be distributed at large-group meetings, shopping centers or other areas where large groups of people gather, during door-to-door canvassing, or at small-group meetings. Again, the school board can pay for these sheets as long as they are informational, not promotional in content. These also may be most efficiently produced using desktop publishing. The campaign’s public relations committee may also choose to use printed materials for its campaign. If such materials are produced with a promotional message, the committee should be sure to include a disclaimer on the document that states that it was paid for by the public relations committee—not the school board. The public relations committee may use the school board’s documents if they so choose. • Video Presentations The combination of video and sound used in these presentations has proven to be effective in almost any type of marketing, and school bond elections are no different. In the past, the cost of such programs has limited their use to public relations committees in larger communities where the committees had more funding. New, user-friendly technologies have, however, made it possible for many individuals to produce such presentations. Video presentations offer several advantages. First, the committee can actually show district patrons the problems. They can show over-

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crowded classrooms, unsafe conditions, or structural concerns. Second, using video presentations can help assure that the same information is presented in the same way to all district patrons. Third, they are easy to use. Volunteers who might be reluctant to give a formal speech may feel comfortable putting in a videotape. Fourth, video presentations can be used at all sorts of meetings and gatherings—large or small. The chief disadvantage, as previously mentioned, is the cost. • Special Events Exposure is a key element in promoting any product, service, or (as in this case) idea. In most communities, there are a number of events or activities during which the public relations committee could have an informational/promotional booth where it could provide free information, sell products to raise funds (mugs, T-shirts, buttons), and conduct voter registration activities. These booths could also continually run the video presentation. • Media Specific activities for utilizing the media are presented in chapter 6; however, the importance of utilizing this resource cannot be overemphasized. Here, one must observe a note of caution. Board of education members and school officials should be careful about the amount of time they spend “in the spotlight.” As noted in chapter 1, it is critical that the school bond issue effort be perceived as a grassroots endeavor, largely led by lay persons within the community. Constant appearances in the media by school officials does not promote that idea and should be avoided.

REVIEW ACTIVITIES 1. Describe how the features identified as important to improving the educational environment in our schools provide for better student learning, an improved quality of life for citizens in a community, and an improved business climate in the community.

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2. Identify those factors in your “building projects” that some in your community might question and discuss the reasons they might object to those conditions. 3. Make a list of those in the media to contact, i.e., newspaper editors, television reporters, radio, and so on. 4. Summarize the reporting and editorial policies of all relevant media in your area. 5. Develop a media presentation for the public. The presentation should answer the following questions: a. b. c. d. e.

What is the problem? What are the choices for fixing the problem? What are the recommendations from the committee(s)? How much is it going to cost? Where and when do we vote?

6. Analyze the “persuasion continuum.”

ENDNOTES 1. Glen I. Earthman, Planning Educational Facilities for the Next Century (Reston, VA: Association of School Business Officials International, 1992). 2. Basil Castaldi, Educational Facilities: Planning, Modernization, and Management, 4th ed. (Boston: Allyn and Bacon, 1992). 3. Glen I. Earthman, “How to Blow a School Bond Election, Or Not, If You’d Rather,” School Business Affairs 60 no. 1 (1994): 3–8. 4. Gary Marx, Don Bagin, and Donald Ferguson, Public Relations for Administrators (Arlington, VA: American Association of School Administrators, 1985). 5. Earthman, “How to Blow a School Bond Election, Or Not, If You’d Rather,” 3–8. 6. United States Government Printing Office, U.S. Statistical Atlas, 1993. 7. Castaldi, Educational Facilities: Planning, Modernization, and Management. 8. Castaldi, Educational Facilities: Planning, Modernization, and Management. 9. Earthman, “How to Blow a School Bond Election, Or Not, If You’d Rather,” 3–8.

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10. Earthman, “How to Blow a School Bond Election, Or Not, If You’d Rather,” 3–8. 11. Earthman, “How to Blow a School Bond Election, Or Not, If You’d Rather,” 3–8. 12. Earthman, “How to Blow a School Bond Election, Or Not, If You’d Rather,” 3–8. 13. Marx, Bagin, and Ferguson, Public Relations for Administrators. 14. National Education Association, Guide to Developing Positive Relations with the Press (Washington, D.C.: NEA, 1987). 15. Nancy Watson, Principles of Communication (Boston: Allyn and Bacon, 1981).

6 CAMPAIGN ACTIVITIES

The campaign committee can organize and implement several types of activities to achieve passage of the bond issue. The kinds of efforts they make will depend on the size of the community, the amount of money the committee has to spend, and the number of volunteers that have come forward. No matter what activities the committee decides to use, however, they should base them on a philosophy of openness and respect for the voter. After conducting activities described in chapter 2 of this book, the public relations committee should have a sizable list from which to solicit volunteer help. The committee should make every effort to seek volunteers from a broad cross-section of the community. When seeking volunteers, the committee should be certain that those asked have a choice as to those activities in which they will participate. Volunteers should be given the following information about each activity: the type of tasks involved in each activity, the skills that might be required to do the tasks, the amount of time each task will require (estimated), and whether there would be any monetary obligation on the part of the volunteer. It is also important to remember that for some people, volunteering two hours after work is as much of a sacrifice as volunteering two days a week is for others. Be sure that the volunteers feel comfortable doing the work, and that they understand how valuable any contribution is to the campaign. 125

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The number of activities the committee can plan will depend on how much money they can anticipate having to run the campaign. Most people do not like to ask for money from anyone, but to be successful the committee will need to purchase some services, pay for some commercial printing, and fund postage and office supplies. The total can reach into the thousands in very large communities to a few hundred dollars in small communities. The committee cannot depend on the school district to provide any funding for promotional activities, in that most states have laws prohibiting such contributions by a government agency. When beginning the process of fund-raising, the committee should consider obtaining both large and small contributions. Small contributions will come from individuals who support the bond issue and are willing to give $5.00–$10.00 for the effort. These funds can be raised with button sales, requests for donations at meetings or at informational tables, or through a fund-raising letter. Larger donations can be secured from individuals and businesses. Those businesses that would tend to profit from the project should be a first target. Most individuals have had some experience running fund-raising events, so little space will be devoted to those activities in this chapter. The committee should make up an estimate of how much money they will need prior to initiating activities, so they know how much they have to raise. Promotional activities should be aimed at those selected as a marketing target group. In chapter 5, the discussion centered around those who are undecided but leaning toward voting “yes” and those who are undecided but leaning toward “no.” These groups also tend to respond more positively to one-on-one contacts and word-of-mouth information. Therefore, the public relations committee should plan at least one personal contact activity. ONE-ON-ONE CONTACT ACTIVITIES Activity: Door-to-Door Canvassing Purpose: 1. To make a personal appeal to individual voters to vote “yes” in the election.

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2. To provide information to those citizens who remain uninformed about the election. 3. To conduct voter registration and voting information. 4. To gain a rough count of the potential number of “yes” votes. Number of Volunteers Needed: Approximately 1–2 per three-block area. Tasks: The volunteers walk door-to-door in a specific neighborhood. At each house, they ask the occupant if they favor the bond issue. If they have decided to vote “no,” the canvasser should thank them for their time and wish them a good day. The volunteer should not engage them in debate. If the occupant is undecided, the volunteer should ask them if they have any specific questions. If they do, the volunteer should answer as completely as possible or direct them toward a more authoritative source. The volunteer should leave a promotional brochure and/or information sheet at each house in which the voter is undecided. If the occupant answers that they are in favor of the issue, the volunteer should thank them for their support, provide them with a question and answer sheet (if any of their friends or neighbors need more information), and make sure they are registered to vote and know when the election is. The volunteer may also determine if the voter would need assistance getting to the polls on the day of the election. The canvasser should be sure to note the name, address, and telephone number of all “yes” voters, so that other volunteers can follow up later. Timing of Activity: The canvas should be conducted early enough so that new voter registrations meet the deadline. Materials: Promotional brochures, information sheets, list of addresses for appropriate marking. Other Requirements: The volunteers should have a minimum of one hour of training during which they are taught interpersonal communication skills, review the materials they will be distributing, and are taught how to record the information they are to obtain. Cost: Costs will vary according to the size of the community. The only major costs are those for printing materials. The brochure should be professionally printed; the information sheet can be a computer-generated document.

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Volunteer Commitment: A minimum of one hour for training and three to five hours for canvassing (depending on the size of the neighborhood). Advantages: Allows the person-to-person contact that most people prefer, is relatively inexpensive, provides an opportunity to get good data on the number of “yes” voters. This activity works well in all communities. Disadvantages: Requires a large number of volunteers. Activity: Telephone Canvassing Purpose: 1. To gather information about the number of “yes” voters. 2. To disseminate information to any individual who is still uninformed about the election. 3. To provide information about voting on election day and determine if the voter will need any assistance getting to the polls (if they are a “yes” voter). 4. Good back-up activity for door-to-door canvassing. Number of Volunteers Needed: Approximately one for every fifty to seventy voters. Tasks: The volunteer receives a list of from fifty to seventy registered voters (voter list can be obtained from county offices, but they can be a little expensive). Usually, those who have already indicated they will be voting “no” should be crossed off the list, if that is at all possible. The volunteer telephones the individuals on the list and asks them if they are in favor of the proposed bond issue. If they say they are going to vote “no,” the volunteer thanks them for their time and wishes them a good morning (afternoon or night). If they are undecided, the volunteer should ask if they have any questions that the volunteer could answer. They can also ask if the individual needs an information sheet. If they indicate they are in favor, the volunteer should remind the person of the election date and also determine if the individual needs assistance getting to the polls. Some people do not like giving out any kind of information about how they are going to vote. If that is the case,

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the volunteer should thank them for their time and wish them a good morning/afternoon/evening. No calls should be made before 9:00 a.m. or after 9:00 p.m. Timing of Activity: Usually, 1 week before the election. Materials: Telephone script, voter registration lists with telephone numbers, forms on which to record information needed for follow-up activities. Other Requirements: The volunteers should receive at least 1 hour of training on how to conduct canvassing activities. They also should have time to practice some phone calls with a helper present. Volunteer’s Commitment: One hour of training and about 5 hours of calling time. The time could be spread out over a few days. They also must have their own telephone. Costs: Cost of copies of script, voter registration lists, and copies of forms. Advantages: Inexpensive way of reaching many voters, provides oneon-one contact, good way for volunteers to get involved with smaller time commitment. Disadvantages: Requires many volunteers. Activity: Coffee Parties or Small Meetings Purpose: 1. 2. 3. 4.

To provide information to undecided voters. To provide information on voting in the election. Solicit volunteers. Fund-raising.

Volunteers Needed: This will vary considerably. Depends on the willingness of individuals to sponsor the activity. Tasks: The host for the event invites from seven to fifteen friends or acquaintances to a coffee in their home to hear a presentation by a member of the public relations committee, a teacher, principal, etc. about the school bond election (those individuals who are trusted most, see chapter 5). The host provides refreshments. The event can be formally organized (i.e., the speaker gives a presentation followed by a

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question/answer period before lunch) or informal (the speaker talks to each person in attendance on an informal basis during refreshments). The host should also provide some type of space to display informational and promotional materials. Timing of Activity: Usually at least 1 month prior to the election. If voter registration is a goal, it should be timed so that the registrations can meet the deadlines. Materials: Informational and promotional brochures and sheets. Voter registration forms and volunteer cards. Volunteer Commitment: The volunteer will probably spend at least 2 hours in preparation, 2 to 3 hours for the event, and 2 hours on clean up. In some cases, the cost of providing coffee and food for the guests would represent a financial burden to the host, so the committee should volunteer to pay for these. Most volunteers will probably refuse the offer, but it makes it easier for those who need to accept. Costs: The promotional brochures, information sheets, and promotional items are the same as those used in other efforts, so the only new cost would be for refreshments. Advantages: The informal atmosphere is conducive to participation. The setting allows many people, who would not speak at or even attend a large group meeting, to air their views and questions. This type of activity works particularly well in minority and lower socioeconomic segments of the community. Disadvantages: The time commitment for volunteers. MEDIA Use of both print and electronic media can be critical to the success of any campaign. The following activities can help the public relations committee make the best use of mass media resources. Newspapers: Letters to the Editor Purpose: 1. To disseminate information to the community in a nonthreatening manner.

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2. To advance the reasons people should vote “yes” to the proposal. 3. To keep the issue in front of the public. 4. To counter opposition viewpoints. Number of Volunteers Needed: The numbers will vary according to the size of the community and the number of newspapers. In smaller communities, the committee should pay attention to weekly papers that some segments of the community might receive. In larger communities, the committee should pay attention to ethnic, local community, and specialty newspapers. Volunteers for this task should have some writing training, or the committee should provide someone to proofread letters before they are sent to the paper. The committee would find it advantageous to utilize volunteers from as many segments of the community as possible. Tasks: Volunteers should be recruited to monitor letters to the editor in local newspapers. This may be the only place that opposition views emerge, in that it is unusual for opposition groups to conduct an organized campaign in school bond elections. Those who review the papers then refer the topic to one of a list of volunteers he or she has to write a response. Care should be taken that the same individuals do not continuously write responses to letters. Specific individuals should be assigned dates to write letters to the editor on specific issues. For example, when the board chooses the school design, a volunteer might write a letter praising the design and indicating what advantages it has over other designs. Timing of Activity: This effort is ongoing from the beginning of the investigation phase of the campaign. It should continue until Election Day. Materials Needed: The volunteers should have access to appropriate information and resources. Volunteer Commitment: The amount of time each volunteer devotes to this task is variable. In some communities, the volunteer will have several letters to write, while in others a volunteer may be asked to write only one or two letters. Cost: The cost of postage to send letters. In some instances, the committee may wish to supply paper and envelopes. Advantages: Provides an organized way of dealing with opposition communications so that everyone is certain a response will appear. It

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is inexpensive and can provide valuable clues as to what aspects of the proposal are receiving the most opposition. It also gives the PR committee and administration ideas on how to develop a plan for dealing with a specific issue. Disadvantages: Care must be taken to avoid engaging in paper wars. Newspapers: Articles Even though most newspapers have reporters specifically assigned to cover educational issues, those individuals cannot be expected to know about everything that is going on. No reporter turns down the opportunity to get a “tip” or information about a specific activity. Purpose: 1. To disseminate information about the proposal and school bond election. 2. To highlight the type of activities the new facility would accommodate. 3. To provide a response to opponents of the bond issue. Number of Volunteers Needed: Variable, depending on the number of articles, etc. Tasks: Persons volunteering for these types of activities could participate in various tasks. a. Notification of news reporters of special or newsworthy events. b. Sharing expertise in certain areas for interview purposes. For example, if the bond issue includes new facilities for assisting disabled students in home economics, the county extension agent or home living counselor might do an interview on the special problems faced by the disabled in managing their day-to-day lives. c. Sharing expertise about specific concerns. For example, if part of the new facility is being arranged for Internet access, some parents may be concerned about their children locating pornographic sites. A person in the field might want to do an article on various types of security measures individuals and organizations can take.

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Timing of Activity: This activity will be on going during the campaign as needed. Materials Needed: Not a consideration Volunteer Commitment: Variable, but most can expect to spend from two to four hours for preparation and reporting. Cost: None Advantages: Many people read the newspaper, it is inexpensive, and it is a nonthreatening way of dealing with opposition points of view, and may involve school officials if all they do is disseminate information. Disadvantages: The article is at the mercy of space, in some socioeconomic segments of the community few people read the paper, and there is always the problem of a reporter misinterpreting certain statements or misquoting the interviewee. Advertisements Purpose: 1. To provide announcements about special events and meetings. 2. To promote voting “yes” on the bond issue. Number of Volunteers: Should be handled by the public relations committee only. Tasks: Determine the type of advertisement that should be run and design and write copy for the ad. Generally, advertisements are used sparingly (the paper might run a “free” article). They should be used to announce important general meetings. Timing of Activity: Only when needed during the campaign. Materials Needed: No specific materials are required. In many cases, people in the advertising department of the newspaper are assigned to help write and design the advertisement. Volunteer Commitment: This type of activity should not take a volunteer more than a couple of hours to complete. Cost: Most advertisements are sold by the column length. Price depends largely on the rates that newspaper charges and that is quite variable.

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Advantages: Good way of providing very specific information to the general public, many people pay more attention to ads than to fulllength articles. Disadvantages: Cost is high. Radio/TV Electronic media reach hundreds of people and in larger cities are an important resource. Although advertising on these media is usually cost prohibitive for most bond referendum campaigns, radio and television stations do offer some possibilities for free publicity. Most of these opportunities, however, require an objective viewpoint and should be thought of largely as opportunities for disseminating information. Public Service Announcements and Event Calendars: Most radio and television stations reserve time each day to present an area calendar of events. The PR committee should make sure they understand the deadlines for having meetings announced (usually it is more than 2 weeks prior to the event), what types of information needs to be provided, and any restrictions. Community Talk Shows: One way of utilizing the media is to suggest appearances by individuals involved in the bond issue for the community talk shows that most stations run. This would be particularly important during the time when the building proposal is being announced. Such shows offer an opportunity for school officials to explain the issue, much in the same way they would during the large introductory meeting. Most stations are looking for material of interest to the entire community. Some stations run point-counterpoint types of programs in which both sides of an issue are debated. If there is considerable controversy and if a representative from the opposition is found who is willing to appear on television, this may be an opportunity worth investigating. It should be noted, however, that the person representing the proponents of the bond issue may not be school officials, teachers, or others associated with the school. One needs to be cautious about appearing on such programs, and only persons who are familiar dealing with opposition views and conflict management should attempt such a project.

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Direct Mail Purpose: The public relations committee needs to reach as many voters as possible and should consider using at least one direct mailing to all patrons of the district. This mailing should not be confused with direct mailings done by the board of education, which must be objective presentations of the facts. This mailing is a direct appeal to the voter to vote “yes,” provides reasons for voting “yes,” and provides information on where and when to vote. Number of Volunteers: This number will vary according to the size of the district and the method the public relations committee chooses to use for processing the mailing. Tasks: At least one person will be in charge of designing the brochure and preparing it for printing. Whether you need many more volunteers will depend on whether the committee chooses to hire a bulk mailing service or decides to purchase its own bulk mailing permit and prepare the mailing. Such an endeavor requires many volunteers. Bulk mailing services will attach labels, sort the mailings by zip code, and will use its own bulk-mailing permit. The committee will need volunteers to deliver and pick up the brochures from the service and to deliver the items to the post office. In small school districts, it is probably about the same cost to use a service as to purchase the mailing permit. If the committee chooses to prepare its own mailing, they must see that the above tasks are done correctly. Timing of Activity: The mailing should be made at least two weeks prior to the election. One must add time because mail handlers deal with first, second, and third class mail before handling bulk mail and the brochures could sit for awhile before the post office gets to them. Materials Needed: Depends on the process one uses. Cost: Bulk mailings are relatively expensive in that the committee must pay for printing the brochure and the mailing. However, such brochures can be effective and do reach most patrons of the district. Advantages: The brochures reach a large number of people and deliver the message in a concise manner. Disadvantages: The activity is relatively expensive compared to other activities and, if volunteers process the mailings, a large number of volunteers are needed.

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REVIEW ACTIVITIES 1. Using the size of your school district as the determining factor, calculate the number of volunteers you would need to fulfill each type of campaign activity. 2. Determine the number of volunteers you would need based on the number of ethnic, social, and economic groups in your community. 3. Identify the organizations from which volunteers might be solicited in your community. 4. Make a list of special television and radio programming in your community for which the bond election campaign topic might be suitable. 5. Ascertain the costs of newspaper, radio, and television advertising in your community. 6. Research bulk-mailing services in your community.

7 BOND ELECTION DAY

No day for a school superintendent or bond referendum campaign worker is filled with quite so many mixed emotions as Election Day. On the one hand, there is the excitement of the potential victory; on the other hand, there is the dread of a defeat. On the one hand, one wants to hide away in a closet until it is all over; on the other hand, and fortunately for stress levels, one has a myriad of tasks to accomplish. POLL WATCHERS AND FOLLOW-UP ACTIVITIES A word of caution here. The general chairperson for the campaign should check the election rules of his or her state or school district carefully and inform all volunteers of state regulations limiting campaigning, location of signs and buttons, and which people may be present during certain election activities. Knowing the law can help avoid problems in the future in that the opposition will often call “foul” over a technicality in the election procedures if the bond issue passes. Most people are above such behaviors, but one should avoid the problem whenever possible. On Election Day, the bond referendum committee needs to organize three sets of volunteers: poll watchers, telephone bank callers, and drivers. The committee chairperson for polling activities must have a 137

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considerable number of volunteers for the various activities. The key to winning any election is getting the voters who are going to vote “yes” to the polls. Every one of those votes counts, and the committee must make an effort to see that those votes are cast. Poll watchers sit by the election officials and utilize their own voter registration list to mark off names as each voter comes through the line. As each potential “yes” voter votes, his or her name is checked off the list.” The committee should have enough poll watchers to change every one or two hours. As the workers change, the one going off duty reports to the campaign headquarters as to those individuals who previously reported they would vote “yes” who voted during their shift. This service is important for two reasons. First, the tally provides information as to how the election is going and what the anticipated results might be. Second, it gives the workers a list of potential “yes” voters who have not as yet made it to the polls. The telephone bank callers can swing into action after the first few hours of balloting by calling the “yes” voters who have not voted as yet. These individuals should be encouraged to go to the polls and should be offered assistance, such as a ride, if they need it. Individuals usually respond favorably to these efforts. This activity is heightened during the last few hours of balloting. The callers may call some voters a second time to make a plea for them to vote. In a tightly contested election, these phone calls can make the difference. By the end of balloting, the campaign committee should have a fairly good idea of how the election is going to turn out. They should not get overly optimistic, however, if the balloting seems to be going their way. In these types of elections, many people will tell telephone pollers that they are going to vote “yes” even if they are not because they fear being hassled over the phone. No one really knows what the outcome of the election will be until the votes are all counted.

CANVASSING BALLOTS AND REPORTING After the polls close, election officials begin the process of counting ballots. This is a nerve-wracking time for supporters, board of education members, and the school superintendent. The best advice, however, is

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to stay away from the vote counting area. Election officials are under enough pressure to complete the process without having to contend with a large group of people milling around. Everyone knows it will take some time to tabulate all the results and gather them at one place. This might be a good time for a cup of coffee or antacid, depending on how each individual is feeling. Once the officials complete the count, the school board meets to canvass the ballots and approve the election results. This procedure varies from state to state, and each school board will need to check what their procedures should be. The school superintendent is responsible for reporting the election results to the public and the news media.

WHEN THE RESULTS ARE UNFAVORABLE Throughout this book, the authors have encouraged a positive attitude, but there is always the possibility that, no matter how hard everyone tried, the bond issue will fail. Even though most people who worked on the campaign will be disappointed, school administrators must maintain a positive attitude with the media and in public. It is probably sufficient to indicate that the committees will be meeting to review the results and determine the best action for the future. The support committees should meet within the next week to determine what course of action they should take. Undoubtedly, most of the members of the committees will have discussed what opposition ideas defeated the election: if the result was because the issue was asking for too much money, or whether other factors entered into the election. The committee should then decide how they are going to mount the next campaign. The architect will probably have ideas as to how to lower the cost of the building or what design modifications might make the building more appealing. Most bond consultants will review the numbers to determine whether other funding alternatives might be available to lower the tax levies the bond issue would create. An analysis of which segments of the community voted in certain ways also can provide clues as to where efforts need to be improved. The problem that brought about the bond election has not gone away. Another bond election will be held.

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WHEN VICTORY HAS BEEN ACHIEVED Sometimes, people have a difficult time controlling their excitement, and certainly a victory in a school bond election is one of those situations in which one may find it difficult to remain dignified. However, it is important for school officials to remain calm and appear objective in reporting positive results. One must be careful not to make any comments that might be construed by the opposition as criticism of them or their views. The school superintendent should be particularly cautious about answering any questions from the media about his or her feelings about the opposition. Officials must continually remember that other elections will be slated in the future. One should not, however, try to calm the celebration of those who worked long hours to achieve victory. It is important that the school superintendent and board of education members maintain a low profile. It is sufficient for these individuals to stop in at celebration parties and thank those who worked to bring about the victory.

THE REAL CHALLENGE After victory has been achieved at the polls, the real challenge of building the new facility or overseeing a renovation begins. This process is not a matter of just watching the walls go up, and the school superintendent and board of education will face difficult dilemmas as changes need to be made and controversies arise. An important occasion is the groundbreaking ceremony. Those invited to “make the first hole” should include school board members, representatives of the faculty and support staff, student representatives, community leaders, leaders of the bond election campaign, city and state officials, the architect, and contractor. Elaborate speeches do not have to be part of the ceremony, but it is always fitting for the school superintendent to address the public. If the building is to be named after an individual or group who was a member of the community, that person and/or members of his or her family should also be invited to participate. While the building is in progress, the school superintendent should make every effort to keep the public informed as to the progress of the

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building, whether the facility will be finished by the estimated deadline, and any cost overruns he or she anticipates. Providing this information is probably handled best through newsletters or through reports in the local papers or electronic media. Any perception on the part of the public that information is being withheld from them or business is being conducted in secret can spell disaster for future bond elections. The public generally does not like surprises. The superintendent should arrange times with the construction engineer and/or architect when it would be convenient and safe to conduct mini-tours of the facility as it is under construction. The school superintendent should invite persons from as many segments of the community, including representatives of groups that opposed the bond issue, to participate in these tours. The fun part of the building process is planning the dedication ceremonies and open house when the building is completed. How elaborate these festivities are is a matter of personal choice. Most of these ceremonies include speeches by the school superintendent, the president of the board of education, and community leaders. Persons who participate in the open house should be provided with maps of the facility to make their unguided tour easier. Some school districts have their teachers in the classrooms, so that they can point out unique features in their rooms or improvements for the students. When the hoopla is over, it is time for the school superintendent and the board of education to return to their 5-year facilities plan and begin the process for the second project on the list (see chapter 2). Providing safe and adequate facilities in which students may take advantage of the best educational opportunities possible is a never-ending task. In the end, however, most find the prize well worth the effort.

REVIEW ACTIVITIES 1. Based on the number of precincts in your district, determine how many volunteers will be needed as poll watchers, telephone bank callers, and so on. 2. Research the election laws in your state and district to determine Election-Day procedures.

8 DEVELOPING SPECIAL SKILLS

During any election campaign, individuals may be asked to assume roles for which they are not accustomed. Such roles include conducting surveys, dealing with conflict, and writing formal reports and other documents. Filling these roles successfully often demands the use of special skills. It is beyond the scope of this book to completely detail the theory and process of interpersonal and written communication. However, school bond campaign leaders may find the following suggestions helpful in all stages of the campaign. The chapter includes three sections: conducting surveys, managing conflict, and preparing written documents. Each section will include some basic principles that underlie that section and suggestions for implementing those principles.

CONDUCTING SURVEYS It probably is not possible or even advisable to conduct truly “scientific” surveys for school bond election referendums. Besides the expense involved, scientific data is not really necessary for activities

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outlined in this book. However, the goal should be to get as objective data as possible. Both the board of education and the public relations committee for the referendum campaign can use several types of surveys: person-toperson, telephone, and forms. Each school district is unique in terms of its needs, and the public relations committee must determine which type of survey best fulfills its needs. The following suggestions for conducting surveys applies to all three methods. The Sponsoring Organization Must Clearly Define the Purpose(s) of the Survey The committee should determine what information it wants and/or needs to obtain from the survey. They should be cautious to limit the purposes to no more than three. If there are too many types of information, the survey gets too long and studies have shown that accuracy of comments goes down the longer the survey goes on. The committee should determine what its priorities are at the time. For example, the school board wants to obtain the following information from a preliminary survey (one conducted by the board before the proposal is organized): what type of support there is in the community for a school bond election, what priorities citizens in the community would have in a new facility, and the attitude toward education in the community. The survey at this point should not last longer than 5 to 7 minutes. Obtaining all of the above information probably would take longer than that. Therefore, the board needs to choose the two pieces of information it considers the most important. If the new facility is being built to alleviate overcrowding, they would probably choose what type of support and attitudes toward education. If the building is being built because it is outdated in terms of the educational program, the board would probably choose what priorities patrons of the district would have and their attitudes toward education. Even though the organization does not have to use a complicated random sample formula, every effort should be made to contact various segments of the community. If the group is conducting a person-to-person survey, surveyors should be sent to the various residential areas of the district to conduct

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the survey, or they should be sent to shopping centers or special events located in different sections of the district. If the organization is conducting a telephone survey, they should select phone numbers from the various sections of the district. While not scientific, such selections do make getting an objective idea of what the community’s attitudes are much more likely.

Surveys Must Be Nonthreatening There should be no indication that there is a right or wrong answer to any of the questions. People basically like to please other people, and, therefore, they will sometimes give the response they think is expected rather than an honest one unless they are encouraged to be forthright.

Surveys Should Include Questions That Will Check for Reliability For example, if one of the purposes of the survey is to determine what the major objections to the new facility are, at least two questions that should get the same or similar responses should be asked. One question might ask what the patron believes is the weakest part of the proposal. If the person is against the issue because of a raise in taxes, they will probably indicate that it is too expensive. The second question might be more direct, such as the patron being asked to describe their major reason for objecting to the proposal. Variances in these two answers would indicate that something more than property tax rates is the reason for opposition.

All Persons Who Conduct the Surveys Should Ask the Same Questions in the Same Way The sponsoring organization needs to develop a script that all surveyors follow. The surveyors should not add their own comments nor should they make statements referring to a patron’s response to a question.

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Preparing the Survey Script The script, then, becomes one of the most important elements of obtaining objective results. Certain elements are important to include: 1. The surveyor should identify the following at the beginning of the conversation: a. their name and the name of the organization for which they are conducting the survey; b. the purpose of the survey and how the results are going to be used; c. who will have access to survey results (confidentiality); and d. about how long the survey will take. A good opening could be: “Good evening, Mr. _____________. I’m ____________________ and I’m conducting a survey for the ______________ district school board about the possibility of building a new ______________ school. I was wondering if you had about 5 minutes to answer some questions so the school board has an idea of how the patrons of this district would feel about the issue.” If the respondent refuses, the interviewer should thank them for their time and wish them a good evening. The surveyor should never try to convince the patron to participate. 2. The questions should be as nonthreatening as possible. Many surveyors recommend using contingency questions rather than direct questions. For example, when asking how the person is going to vote, the question might be phrased: “If the election were held tomorrow, how would you be likely to vote, yes or no? Phrasing the question in this way allows the patron to answer in a less direct manner than if asked whether he or she is going to vote yes or no on the school bond issue. A typical response might be: “Well, I don’t know much about it yet, so tomorrow I’d probably vote no.” They don’t have to come right out and say they’re opposed to the bond issue. As the campaign nears completion, the survey questions may become more pointed, but for most purposes, contingency questions are a good approach.

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Using questions where the patron chooses from a list of responses is also effective. “If you had to describe the reason you would vote ‘no’ on the school bond issue, it would be”: a. b. c. d.

it is too expensive; we really don’t need a new school; I don’t like the location they are talking about; or they’ve included too many frills.

One pitfall of this type of question is the inclusion of too many options. Sometimes the patron will become confused by many choices. Therefore, the number of choices should be limited to four or less. Ask another question rather than adding ten choices. Another type of question is the open-ended question. In this type of question, the interviewer begins a statement and asks the respondent to finish it. For example, the interviewer might say: “If I could tell the school board the two most important things I think should be in a school building, they would be: ___________ _________________________________.” A pitfall of this type of question is getting vague answers or a lot of “I don’t knows.” Do not press the respondent if they do not seem able to answer the question more precisely. 3. The surveyor should allow the respondent to discontinue the interview at any time. Sometimes, the patron becomes uncomfortable answering questions or gets bored (a good reason for keeping it short). The interviewer should not argue with the person, but should thank them for the responses they gave and say good evening. 4. At the end of the survey questions, the surveyor should thank the participant and assure him or her of how valuable the information will be. An example of a good closing could be: “That’s all the questions I have, Mr.________________. Thank you so much for taking the time to help me. The school board is trying to make a good decision about this project, and your input will be most helpful to them. Have a good evening.”

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Recording the Results Every surveyor should be given a form on which to record the answers. This form should be easy to fill out. The slots for the name of the respondent, if it is being taken, should be at the top. If listing or contingency questions are used, the possible choices should be listed and all the surveyor has to do is circle the response given. They should add notes only if what the interviewee says leads to another point that fits into that category (e.g., the respondent giving a reason for opposition that is not on the list). The form should have a survey or identification number on it. Analyzing the Results A separate group from those conducting the survey should be brought together to compile and analyze the results. This prevents persons from inadvertently adding an interpretation that might not be there. For example, a surveyor might say, “Well, I know he said he was going to vote ‘no,’ but I really felt like he wanted to vote ‘yes.’” The tabulators have no idea in what manner the questions were answered, they have only the answers. Analysis of the results amounts to “counting up the responses.” This is another advantage to offering specific choices to the participants. They are easy to count. This information can then be used to answer the questions the group is asking. For example, if the board wants to know what percent of the voters presently support the bond issue, the committee counts the number of “yes” responses and calculates the percentage of “yes” voters. Responses to open-ended questions should be categorized and then counted. For example, if the committee is trying to determine the main reason for opposition and ask open-ended questions, they should group responses into categories such as money, building features, location, dislike of school district, and other. This eliminates trying to figure out what every response means. For example, the responses “Building costs too much,” “Can’t afford the taxes,” and “Hate spending that much money on anything” all belong generally to the same category (money). One should anticipate discrepancies in the survey results. For example, the number of “yes” votes is usually overreported in personto-person surveys and telephone surveys because the respondent fears

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a confrontation. This means the interpretive committee needs to be cautious in reporting results so that no one gets too excited about the possibilities and counts on something that may not happen. The result could be a misinterpretation of why a bond issue failed. MANAGING CONFLICT In any situation in which there are opposing views, conflict will occur. Humans tend to avoid conflict whenever possible; however, there are specific techniques that can be used to manage conflict situations and avoid the negative results of adversarial relationships. Communication Principles Conflict management techniques are based on the following principles of interpersonal communication. 1. Effective interpersonal communication can exist only in an atmosphere in which both parties have a sense on equality of status. For example, in school bond elections, antagonism can begin if those in opposition believe their reasons for opposing the proposal are being dismissed by those favoring the issue as excuses for “stinginess” or as indications that individuals simply do not care about providing a quality education for the young people of the school district. In some instances resentments can build if the administrators, school board members, and campaign leaders are all perceived as being of a “higher” socioeconomic status than the general citizenry. Many times those in lower socioeconomic segments of the community feel that the “rich” people don’t care about how many frills are included in the proposal because the amount of the raise in taxes does not represent as large a percent of their income as for those in lower income brackets. 2. Effective interpersonal communication occurs when individuals from both sides of a particular issue believe they are working toward a common goal. Every argument has some point at which all parties agree. For example, Republicans and Democrats agree

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that children in our society need to be protected; they disagree on who is responsible for insuring children’s rights. The same is true for school bond election campaigns. The point of agreement may be basic: all children should get some education, but it is a point from which both sides can engage in discussion. 3. Effective interpersonal communication deals with ideas and behaviors—not with personalities. When placed in a confrontational situation, many people become defensive. They tend to strike back at their opponent rather than taking the time to find the flaws in their argument. For example, in many school bond issue campaigns, the opposition will discuss the “frills” of a gymnasium or theater. Sometimes those in charge use emotional appeals such as “we need to give our students the best” (inferring that those opposed do not want to do that). To say the least, these types of comments are off-putting to most individuals who are questioning the expense. They want some rationale—some good reason—for the inclusion of such facilities. 4. Effective interpersonal communication can occur only when both parties reveal their true ideas. In many instances persons who oppose school bond issues have so-called hidden agendas. They are either afraid or embarrassed to give the real reason for opposition. For example, if the location of a new facility would require children to drive or ride through what is known as a high crime area of a city, parents might be concerned about their children’s’ safety, but they may hesitate to say anything because the area is populated mostly by one or two ethnic groups, and the parents do not wish to be considered racist. Antagonism grows (mostly on the part of individuals conducting the campaign) when individuals answer the arguments about taxes, which those in opposition are focusing on, and the opposition is still resistant. The campaign leaders simply may not be answering the real questions. Communication Techniques There are many specific techniques that can be used to improve interpersonal communication and, therefore, lessen conflict.

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1. Prepare carefully. Part of the preparation process as noted in the previous chapters is identifying possible opposition points of view and individuals or groups. In terms of dealing with conflict situations, one should try to understand what the particular needs of those individuals and/or groups are and what types of information or actions would help fulfill their needs. For example, some individuals are fearful that a raise in property taxes would mean they could no longer stay in their homes. Providing these individuals with information about property tax assistance available to them could relieve some of their anxiety about their financial futures. Other individuals may feel that their children’s safety might be compromised by their having to travel through unsafe neighborhoods to get to the new school. They need to see alternative travel routes, or perhaps the district needs to develop new school bus security measures that could be implemented to make them understand that their child’s safety is important to the district. 2. When presenting information or trying to persuade, individuals should focus on points of agreement rather than on points of disagreement. If one can get a hostile individual to agree on some point, they can sometimes be moved to accept certain propositions. For example, if the individual is questioning the need for certain building features, such as a new gymnasium, the campaigner should seek that person’s agreement on the children’s need to be physically fit and/or the benefits of extracurricular activities. Getting agreement on any point can shift the argument to how people work together to accomplish that common goal. 3. Use contingency statements. Especially during the process of gathering information about attitudes about the schools and developing awareness of the need for the project, one should deal in terms of “if/then” statements. For example, if an individual has concerns about the safety of their child, one could offer the contingency statement: ”If the school district implemented a new school bus security program, would you find the proposal more satisfactory?” Such statements give the person in opposition a chance to respond in a favorable way and provide important information to those running the campaign about the strength of opposition

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5.

6.

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feelings. They also provide ways of people not having to “lock in” their position. Once someone has been forced to do that, they often become stubborn about changing because they do not want to “lose face.” Rather than reacting immediately to statements made by hostile individuals, one should take time to ”think” about their response by using restating techniques. The meeting leader or other individual restates what they believe they heard the other individual say: “What I hear you saying is that property taxes are already too high for many people to afford.” Such restatements lengthen the time between the statement and the response, which sometimes prevents misstatements and “off-the-cuff” gaffs that can exacerbate an already tense situation. It also allows the other individual to clarify their statement if they have been misinterpreted. One should respond in terms of how certain statements or actions affect you, rather than on what you think they say about the individual who made the statement. For example, if the person in opposition is talking about wasteful spending practices, a meeting leader might remark: “When you make statements about our wasting money, I become concerned because I haven’t done a good enough job providing truthful information about our spending decisions to the public.” Usually, people become less hostile toward individuals who express such concerns about their own behavior or feelings. Hostility would increase in the above situation if the comment was: “If you feel that way, you just don’t understand all of the problems we have when deciding how to spend the district’s meager funds.” Individuals should understand the importance of maintaining a sense of humor during tense situations. Humor tends to objectify the situation, relieve anxiety, and distract people away from the problem confronting them long enough for them to collect their thoughts. Get to it first. If the campaign worker has the information, stating the opposition concerns and then answering their concerns before the opposition brings them up often has the effect of “taking the winds out of their sails.” In other words, the proponents of the bond issue recognize the concerns of individuals and address

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them, without the opposition having to confront the proponents. This also gives opponents a better feeling because it indicates that the proponent groups have already considered their feelings. 8. Proponents should try to never leave a meeting or conversation angry. Taking a minute to shake the hand of an individual with whom one has had a confrontation keeps the issue from becoming a personal issue. One often hears the comment after tense meetings: “I guess I put that guy in his place.” Taking a minute to acknowledge that the proponent disagrees on this issue, but does not dislike the individual with whom they disagree might allow that individual to understand that two people can disagree about an issue without the other person being “bad.” Such an impression allows for future communication. These techniques are not easy to use. Most individuals need to learn these techniques. All campaign leaders and workers should receive training in such techniques and should be given an opportunity to practice using them before they deal with the public. This will give the workers more confidence in their ability to handle confrontational situations and help them from becoming defensive in hostile situations.

PREPARING WRITTEN DOCUMENTS Many individuals fear writing more than any other activity. Whether it be writing a formal report, developing a fact sheet, or designing copy for a brochure or flyer, when confronted with a blank sheet of paper, many people panic. It is beyond the scope of this book to present a minicourse in writing, but the following suggestions should help the writer deal effectively with the first steps. Keeping It Simple The cardinal rule of writing is to use the simplest format, vocabulary, and sentence structure that will adequately convey meaning. Simplifying the structure allows the reader to proceed more quickly through the document, thereby improving comprehension. The writer should keep

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in mind the three basic parts of any document: the introduction, the explanation of major ideas and supporting materials, and the conclusion. The introduction states the thesis of the report, identifies the purpose, and provides a basic overview of the report. An example of a good introduction for the site report might be: “The site committee has examined three potential sites for location of the proposed elementary school. The committee examined each site as to topographic features, accessibility, suitability for proposed design, and geographic location. The committee then ranked each site in each category before coming to its final recommendation. The following report identifies various factors about each site that influenced the eventual recommendation.” The middle section provides those ideas that are being examined and provides supporting materials. When organizing this section, the writer can use a “briefs” method at first and can write it in complete sentences later. For example: Topic Sentence: Site 1 provides easy access for most students in the area. Support: A. The distance from school to residential areas: Two blocks from south; five blocks from north; six blocks from east; one block from west. B. Risk factors: Students from the south, west, and east would not have to cross any major streets or highways. Students from the north would have to cross one major street, but stoplights are located every three blocks, improving the safety of students from the north. C. And so on. The conclusion is a brief summary of what the total report has stated. For example: The committee recommends that the board choose Site 1 as the location for the new elementary school project. The committee’s recommendations are based on the site’s high rankings in the categories of ease of access, site topography suitability, and availability of services. While more expensive to obtain than either Site 2 or Site 3, Site 1 would

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require fewer expenses in terms of construction on the site, providing safety guarantees and installing sewer and water, electricity, and telephone. These three basic elements of a report or information sheet can be organized in several ways; however, two such formats provide easier writing techniques than does a straight narrative form. Organizational Formats When the writer is determining which type of organization they should use, they should consider two formats that may make their task easier: the outline format and the question/answer format. These two formats may be used for preparing reports, writing information and fact sheets, or designing flyers and brochures. They allow the writer to avoid some of the complications associated with writing in a narrative form, and the reader can follow the ideas easily. Outline Format: This style uses the traditional outline as its basic structure. The writer may choose to use bullets or other means of identifying the different levels of information, but the principle is the same. The format is particularly useful when the writer is comparing two things (e.g., the report from the site committee), and when the writer is merely presenting data—not making a specific recommendation. Example: Site Report I. Ease of Transportation A. Site Option 1 1. Distance from residential areas. a. North: 15 blocks b. South: 5 blocks c. East: 10 blocks d. West: 4 blocks 2. Access. a. Car: The site is located along two major streets that provide through traffic easy access.

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b. Walking: Because of the busy streets nearby, students would have some difficulty walking to school. The situation could be improved by including walkways over the streets. c. Bicycle: Again, there would be difficulty for students trying to ride their bicycles to school. The outline would proceed through the other criteria in that category and then through each site being considered. If several sites are being considered, the outline form might be adapted to place the information in columns. Question/Answer Format: This format uses a question as the heading, followed by the answers in paragraph or outline form. This format allows great ease in comprehension because the attention of the reader is focused on the specific question. Example: Question: Which site provides the greatest ease of access for students? Answer: All three sites have advantages and disadvantages in this area; however, the committee believes that Site 2 provides the greatest safety and therefore is our recommendation. Site 1 is located closer to residential areas in all four directions; however, its location close to two very busy streets would make it difficult for students to either walk or ride their bicycles to the site. We believe the students’ safety would be compromised at this site unless over-thestreet walk paths were included in the school design. Such structures would add considerably to the expense. Site 3 is close to residential areas to the north and east, but the long distances from the west and south (thirty blocks and fifteen blocks) would mean considerable travel time for those students and would prohibit many of them from walking or riding their bicycles. Students from the west and south would also have to cross three major streets on their way to school, increasing the risk of accidents. The location of Site 2 is central to residential areas in the four directions, with the distances students would have to travel being about equal

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(10 blocks, north; 6 blocks, east; 8 blocks, west; and 10 blocks, south). The major advantage of this site is that most students could reach the site by walking or bicycling without having to cross major highways or streets, thus increasing their safety. This system also has a built-in check for writers. The writer can examine each answer to determine if it directly answers the question being posed. If the information does not, the author should delete it or ask a question that the information does answer. This check system helps the writer to stay organized and avoid the inclusion of extraneous information. Choosing which format is best for your report or other document should be determined by its purpose and the writer’s comfort using each format. The writer should also consider including highly technical material in an attachment rather than writing it in the main text. Technical information is usually jargon-heavy, and most readers will find it confusing. Putting lengthy technical discussions in an attachment allows the writer to keep the major portions of his or her document concise and to the point. Vocabulary and Sentence Structure The cardinal rule here is to analyze the needs of the audience. There are several points to consider when determining vocabulary and sentence structure. Reading level. If the document is meant for a special committee that has experience in the area the writer is discussing, the reading level is not a consideration. However, if the document is meant to be read and understood by the general public, the writer should insure that the reading level does not exceed the eighth grade level. Most word processors now have systems that automatically calculate the reading level of any file. Complexity. Here again, the writer should be concerned with “need to know.” If the writer is preparing an analysis of site topography for the architect, he or she will likely include most of the technical data. If, however, the document is intended to provide a justification for selecting a site to the general public, the writer needs to “get in, say what he or she has to say, and get out.” The writer should not feel a need to

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provide all there is to know about a topic. In fact, in most business writing today, most experts advise including only essential data. The writer should be sure not to tell the reader “more than they want to know” just because he or she can. Sentence types. The writer should use a variety of sentence types, but he or she should avoid using strings of lengthy sentences in any writing. Many writing experts believe the most effective writing includes approximately 40 percent simple sentences, 30 percent compound sentences, and 30 percent complex sentences. Certainly, it is difficult to have that kind of exacting control, but the writer should strive to avoid sentences that, because of their length, might prove difficult for the reader. Getting Started. If there is any good advice for how to get started, it would be that the writer try not to do it by him or herself. Ask other individuals what type of information they think they would need, ask your committee or a trusted group to brainstorm the important concepts and then prioritize their concepts. The writer also needs to organize all the supporting data before he or she begins to write. Different organizational schemes will work, but the most effective is to break the topic down into categories and organize information under each category together. This avoids the need to look through reams of paper to find a particular document or number. If the writer has the information organized in a logical system, he or she will save much frustration in the later stages of writing. The writer should begin with a topic outline of some sort. Just a brief sketch of the ideas to be presented and the order in which they will be presented will provide the writer with a way to determine where more information is needed and what the next topic should be. The writer should have this basic outline handy at all times and should refer to it any time he or she believes they might be getting “off track.” Tips for Proceeding 1. The writer should expect to revise. The first time through, the writer might put in question marks to himself or herself, indicating a missing word or other consideration. When the writer reaches a

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block (can’t think of the right word or is unclear about what comes next), he or she should not ponder over it for hours before going on; such action only leads to frustration and wastes a great deal of time. “Put the problem away” until the next time through. 2. The writer should plan enough time for the project so that he or she does not have to work on it nonstop. Four to 5 hours is generally considered the maximum number of hours a day a writer can realistically spend in productive work. Time above and beyond that point is often wasted. Fatigue sets in, the mind slows down, and boredom begins to emerge. The writer should take breaks as often as needed. This is not advocacy of procrastination. The writer should set up a specific time each day to work on the report. Keeping a schedule is conducive to creativity and productive work. 3. The writer should let others read the work as he or she proceeds. Authors find editing their own work particularly difficult. Others often will catch errors that the writer misses. The writer needs to be able to take criticism and advice in the manner in which it is given—usually, the person who is offering advice is trying to keep the writer from looking stupid. 4. The writer needs to make use of dictionaries, thesauruses, books of quotations, grammar handbooks, and other reference materials as much as possible. If the writer is unfamiliar with how to use a particular reference book, he or she should consult a librarian or English instructor. Sometimes a writer has difficulty knowing when a reference book should be used. The adage to follow should be: when in doubt, look it up. All reference books should be kept close at hand, so that it isn’t easier to guess than it is to look it up. General Writing Suggestions 1. As mentioned before, the writer should “get in, say what he or she is going to say, and get out.” Avoid explanations of explanations, redundancies, and repeated words. Sometimes the writer finds it necessary to offer alternative explanations of a concept because the concept is difficult to understand; however, redundancies when

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overused are confusing and boring for the reader. If an author uses the words “in other words” more than twice in an entire report, he or she should examine why the need for reexplaining. Examine why the first version is not sufficient to explain the process. 2. Also, as mentioned before, the writer should avoid the use of jargon or very technical terms. The point of writing is to communicate ideas. If the reader does not understand the words being used, communication has not taken place. 3. Most writing students become confused by the amazing number of rules that govern formal writing. The beginning writer should not worry about “knowing all the rules” (e.g., subject/verb agreement, tense agreement, proper placement of prepositions, and so on). His or her best choice is to get the ideas and supporting materials down on paper and then find a proficient writer to edit for grammar. The beginning writer usually knows how to organize ideas, but becomes overwhelmed by the technical writing rules. No one should be ashamed to hand it over to an expert. 4. The writer should not hesitate to use a graph, table, or pictorial representation of an idea rather than write complete narrative. Sometimes, using such visual representations can save hundreds of words. Writing clear, concise reports, information sheets, brochures or other documents is integral toward the organization of a successful election campaign. The above information is “bare bones”—some essential information. The conscientious writer may want to investigate other books on specific writing and designing tasks before he or she begins the process.

REVIEW ACTIVITIES 1. Design an appropriate survey to obtain preliminary information on community attitudes toward a school bond election. Then design a survey that campaign volunteers could use to determine attitudes toward the project about two weeks before the election.

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2. List situations during a school bond election campaign that might bring about conflict. Write a paragraph for each situation explaining how you would handle the problem. 3. Write practice portions of the report to the school board and have an editing specialist review your writing style. 4. Determine which parts of the total report to the board should use which type of organizational scheme.

9 CASE STUDIES

INTRODUCTION

In this third edition of School Bond Success: Building America’s Schools, I believe the previous eighteen recommended considerations continue to remain critical elements in achieving success in a school bond issue campaign. These points were based on research dating back to 1949 by illustrating successful procedures for others facing the challenges on many leadership horizons. With this in mind, this section of the book is designed to share three case studies as samples of practitioner experiences resulting from the use of this information. In addition is one state’s effort to help local school districts improve school buildings as a point of consideration for your state. Case study #1 is a reprint approved by The Rural Educator of an article that appeared in that journal in the winter of 2006 issue. The research study collected input from the district’s support group that ranked the importance of the recommendations found in the School Bond Success book. It gives readers a “feel” for the priority importance of each point. Case study #2 provides a summary of a school district’s challenge to successfully pass a bond issue. This study shares how the district utilized our book’s recommendations with their voters during the campaign 163

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activities. It provides practical examples for school board members and administrators in rural school districts. Case study #3 is an additional example of how a school district turned years of failed bond issues into success by designing a new marketing strategy based on the information contained in School Bond Success. Like the previous two case studies, this practitioner encourages readers in visualizing the significant changes that must occur in the community in order to bring about changes in the voting trends necessary to accomplish the successful passage of the school bond issue in the community.

10 CASE STUDY #1 School Bond Success: An Exploratory Case Study

The Rural Educator, published by the National Rural Education Association, gives permission to Dr. Carleton Holt and Rowman and Littlefield Publishers to reprint the following article in School Bond Success: A Strategy for Building America’s Schools (3rd edition) written by Carleton Holt.1 The purpose of this study was to determine the perceived most influential factors that led to two successful school bond referendums in one rural midsize school district. Factors considered were recommendations from the book, School Bond Success: A Strategy for Building America’s Schools.2 INTRODUCTION AND LITERATURE REVIEW A significant challenge facing rural school leaders across the United States is the problem of aging school buildings, and for many rural districts a school enrollment that is stagnant or declining. The conclusions and recommendations contained in this exploratory case study should provide rural school leaders with voter input from one rural school district’s successful effort to overcome this daunting facility problem. 165

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Research indicates that half of U.S. schools have unsatisfactory environmental conditions, including a lack of appropriate acoustics for noise control, poor ventilation, and inadequate physical security.3 Further, a study in 2000 by the National Education Association estimated that “$268 billion is needed to bring the nation’s schools up to acceptable standards for basic issues such as plumbing, roof integrity, lighting and safety.”4 A strong determining factor in the condition of a school is the age of the facility. In 1999, the most recent survey conducted by the U.S. Department of Education found the average age of public school buildings was 40 years and on the average major renovations had occurred over 11 years ago. The average functional age of schools in America was 16 years with 40 percent having a functional age of over 15 years.5 As would be expected, older schools are in most need of repair, and yet in many cases, they exist in school districts that do not have the funding ability to maintain these buildings.6 In communities of all sizes where the majority of students are from low-income households, school districts have fewer dollars for preventive maintenance of facilities. Holloway found that in urban school districts, “about 3.5 percent of the budget is typically spent on facilities maintenance. Of this amount, however, 85 percent is budgeted for emergency repairs, with only a small amount remaining for preventive maintenance.”7 Some believe that the funding solution for school facilities and other public infrastructures will most likely be determined at the national level rather than the local level. However, Congress has done little to solve the nation’s problem of deteriorating school facilities. The No Child Left Behind Act of 2001 (NCLB) provides for state educational agencies to apply for federal funds to be utilized in local school districts. Section 5582, Subpart 18: Healthy, High-Performance Schools, offers subgrants to be used “(1) to develop a comprehensive energy audit of the energy consumption characteristics of a building and the need for additional energy conservation . . . ; (2) to produce a comprehensive analysis of building strategies, designs, materials, and equipment that (a) are cost effective, produce greater energy efficiency, and enhance indoor air quality, and (b) can be used when conducting school construction and renovation or purchasing materials and equipment; (3) to obtain research and provide technical services and

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assistance in planning and designing healthy, high-performance school buildings, including developing a timeline for implementation of such plans.”8 Healthy, high-performing school buildings are defined as a school building in which the design, construction, operation, and maintenance (1) use energy-efficient and affordable practices and materials, (2) are cost-effective, (3) enhance indoor air quality, and (4) protect and conserve water. Although these recent federal dollars offer school districts opportunities to begin the conversations needed to pursue new and upgraded school buildings, none of these federal funds may be used for “construction, renovation, or repair of school facilities.”9 Others believe that the solution lies in new forms of support at the state and local levels. From their article, McLaughlin and Bavin (2003) referenced a study by the Association of School Business Officials (ASBO) which provided in a 1999 report, a disapproval of general obligation bonding and equalized funding in reference to adequacy resulting in postponed maintenance. Emphasizing newer educational funding strategies, ASBO presented recommendations, including “changing state and federal laws to allow the capital markets to receive a taxexempt return for investments made in the renovation and construction of school facilities.”10 Whenever educators, politicians, or public school patrons speak about public school facilities, the discussion usually centers on new construction. However, a report issued by the National Center for Education Statistics (NCES) indicates that three of every four existing public school buildings are in need of repair.11 Clearly, rural administrators and boards of education face many dilemmas in terms of their school district’s physical plants. Many do not have the necessary money available from their general or capital outlay funds to solve their building problems. Additionally, they often face attitudes within their communities that become barriers to taking action. A lack of adequate funding of education from property taxes has resulted in the delayed maintenance and repair of some buildings and the delayed replacement of aging facilities in many school districts. In addition to negative feelings about higher taxes, other issues that intensify bond elections include the community’s feelings following prior attempts at passing school bond referendums, trust in the board of

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education and school leadership, and the impact of the school district’s bond election campaign to win the support of its community. Facing all of these identified facility challenges, the rural school district in this exploratory case study, developed a successful marketing plan that provides significant information for rural school leaders. The school district launched a new unified campaign that utilized recommendations for successful bond referendums found in School Bond Success: A Strategy for Building America’s Schools.12 The school district selected this particular book to guide its campaign because of its positive reviews and one of the assistant superintendent’s knowledge of the book’s contents and relevancy to the school district’s goals and needs. Utilizing the recommendations found in School Bond Success: A Strategy for Building America’s Schools,13 the school district moved from the two failed attempts, to a 62 percent approval in 2001 and a 78 percent approval in 2003. The connection between the recommendations for successful bond referendums and the community campaigns in 2001 and 2003 warrants this research.

METHODOLOGY The methodology in this case study includes a research question, overview of the school district, procedures utilized, and data analysis. Additionally, table 10.1 outlining the recommended activities in School Bond Success: A Strategy for Building America’s Schools, is incorporated in this section.14 Research Question What recommendations from School Bond Success: A Strategy for Building America’s Schools are viewed as the most influential to the two successful bond referendums in 2001 and 2003? 15 The School District The school district selected for the study serves a community of 20,000 patrons and 2,600 students. The school district operates five

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facilities: three elementary schools, a middle school and a high school. The elementary and middle school facilities were all over 50 years old. Although built to occupy secondary students, a former secondary school facility was being utilized as an elementary building housing over six hundred students. None of the buildings were equipped to meet the needs of all students and staff. The community, although historically supportive of public schools, had failed to support two bond elections in 1995 and 1998 to build new and upgrade existing facilities. The school district was selected based on this criteria: (1) the school district had deteriorating facilities, specifically three K–5 facilities and one 6–8 facility averaging over 70 years of age, (2) the school district’s K–5 and 6–8 facilities lacked appropriate handicap accessibility, elevators, modern heating/cooling equipment, and adequate classroom space to meet the needs of a twenty-first-century education, and (3) the school district had experienced two failed bond issues in 1995 and 1998. This situation clearly reflects the concerns expressed in cited research presented earlier. The deteriorating facilities in this school district lacked adequate heating and cooling equipment, appropriate handicap accessibility, elevators, sufficient lighting, and acceptable classroom space for teaching and learning. Due to the condition of the school facilities, two failed school bond elections, followed by two successful bond elections, the school district emerged as an ideal case study for the researchers to consider the influences that resulted in the two recent successful bond elections. Procedure. Data for the study were collected from a sample of registered school district voters (N = 140). The participants represented members of the school district’s board of education (N = 5), administration (N = 6), faculty (N = 35), staff (N = 14), parents (N = 47), and patrons that had worked to build community support during the district’s two successful bond issue campaigns (N = 33). Eleven activities presented in table 10.1, for passing school bond elections were presented to all 140 participants to consider and establish which recommendations were most influential in passing both school bond elections.16 The Rapid Assessment Process (RAP) was used to collect the data. According to Beebe, RAP is a process used to construct a team of “at least two individuals to quickly gain sufficient understanding of a situation to make preliminary decisions for the design and implementation of

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Table 10.1. Recommended Activities Found in School Bond Success: A Strategy for Building America’s Schools.17 Rank-Order This List of Recommended Activities in Priority of Significance to the Passage of the 2001 and 2003 Bond Elections 1. The superintendent should ensure a unanimous vote of support by the board of the board of education. 2. Administrators and board members should keep as low a profile as possible. 3. The board and administrators should establish a diverse community task force or facilities committee. 4. The attention of the campaigners should be on “yes” voters. Proponents should concentrate on getting “yes” voters to the polls and convincing the undecided to vote “yes,” rather than trying to change the minds of “no” voters. 5. The local media and school staff member should be involved in the early planning stages of the campaign. 6. School boards should utilize experts such as bond consultant, architects, and other trained individuals to educate support groups in the community. 7. The citizens committee should concentrate a great deal of effort on disseminating information through flyers, brochures, question-and-answer sheets, and other printed material. 8. District should collaborate with other governmental agencies. 9. The school board should limit the tax levy increase by keeping the school design simple and by utilizing existing capital outlay funds. 10. Disseminated information and public relations activities should focus on the benefits to children and the community. 11. School boards and administrators should seek advice from administrators and school boards that have won bond elections.

applied activities or additional research.”18 RAP is defined by the “basic concepts of triangulation and iterative analysis, and additional data collection and not by the use of specific research techniques.”19 The results can be gained in as few as four days, yet allow the researchers the opportunity to gain adequate understanding of a circumstance to make initial decisions. Specific conditions, such as when further investigation is warranted or when there is a need to emphasize the researcher’s role as a partner instead of as an expert are when RAP is most appropriate.20 A sixmember RAP team was established which included one homemaker and patron serving on the board of education, one early childhood specialist and parent serving on the board of education, an elementary building principal with two children attending school in the school district, a secondary building principal, a patron employed as a secretary, and a patron working as a delivery driver. The six-member RAP team served as the

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investigators in the study and presented the list of recommended activities from School Bond Success: A Strategy for Building America’s Schools (Boschee and Holt, 1999) to the 140 participants in the community and asked them to rank-order the activities from most to least influential.21 Data Analysis and Results For the purpose of this study, investigator triangulation (the use of several different researchers), theory triangulation (the use of multiple perspectives to interpret a single set of data), and methodological triangulation (the use of multiple methods to study a single problem) were utilized.22 The six-member RAP team served as the investigators in this study. Theory triangulation was accomplished through the discussions, analysis of data and interpretation of data by two university professors and one school district administrator. Methodological triangulation was completed through the utilization of the questionnaire (table 10.1), multiple interviews (table 10.4) and document collection. Data, including the listing of recommendations (table 10.1) presented in School Bond Success: A Strategy for Building America’s Schools23 and tape recorded, semi-structured interviews (table 10.4) were also completed to determine the results of this study.24 The sample consisted of 140 participants. The RAP team was comprised of six representatives from the community. The results, obtained from asking participants to rank-order the perceived influence of recommendations for successful bond issues as presented in School Bond Success: A Strategy for Building America’s Schools, indicate all eleven suggested activities appear to be important, but a few of the recommendations were overwhelmingly perceived as influential in the passage of the school district’s 2001 and 2003 bond elections.25 The questionnaire (table 10.1) provided the following statement to the 140 participants: “Rank-order this list of recommended activities in priority of significance to the passage of the 2001 and 2003 bond elections.” The data in table 10.2 presents the categorization of the 140 participants and how each of the six groups viewed the impact of the eleven recommended activities upon the two successful bond elections in this case study rural school district.

BOE 4/5 1/5 0/5 0/5 0/5 0/5 0/5 0/5 0/5 0/5 0/5

Recommended Activity

The board and administrators establishing a diverse community task force or facilities study committee

Disseminated information and public relations activities focused on the benefits to children and the community

A unanimous vote of support by the board of education

Keeping the school designs simple and utilizing existing capital outlay funds

Spending resources and time to get “yes” voters to the polls rather than spending resources and time trying to change people’s minds

The utilization of school bond consultants, an architect and other trained individuals to educate the community

Administrators and board members keeping a low profile and community patrons carrying the message to support the bond issues

The use of flyers, brochures, questions-and-answer pamphlets, and other printed materials to inform the community

The involvement of the local media

The school district’s collaboration with other governmental agencies

The school board and administration obtaining advice from school districts that had previously won bond elections

Table 10.2. Data from the Questionnaire of the 140 Participants.

0/6

0/6

0/6

0/6

0/6

0/6

0/6

2/6

0/6

0/6

4/6

Adm

1/35

0/35

1/35

3/35

0/35

2/35

5/35

2/35

5/35

8/35

8/35

Faculty

0/14

0/14

0/14

0/14

1/14

2/14

1/14

1/14

2/14

3/14

4/14

Staff

0/47

1/47

1/47

1/47

2/47

2/47

4/47

5/47

5/47

14/47

12/47

Parents

0/33

0/33

0/33

0/33

3/33

1/33

1/33

4/33

2/33

5/33

17/33

Patrons

1/140

1/140

2/140

4/140

6/140

7/140

11/140

14/140

14/140

31/140

49/140

Total

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Table 10.3. Population’s Percentage of Recommended Activities, When Asked to Consider the Most Significant Influence on the School District’s 2001 & 2003 Bond Issues.26 The board and administrators establishing a diverse community task force or facilities study committee.

35%

Disseminated information and public relations activities focused on the benefits to children and the community.

22%

A unanimous vote of support by the board of education.

10%

Keeping the school designs simple and utilizing existing capital outlay funds.

10%

Spending resources and time to get “yes” voters to the polls rather than spending resources and time trying to change people’s minds.

8%

The utilization of school bond consultants, an architect and other trained individuals to educate the community.

5%

Administrators and board members keeping a low profile and community patrons carrying the message to support the bond issues.

4%

The use of flyers, brochures, question-and-answer pamphlets, and other printed materials to inform the community.

3%

The involvement of the local media.

1%

The school district’s collaboration with other governmental agencies.

1%

The school board and administration obtaining advice from school districts that had previously won bond elections.

1%

Based on data in table 10.2, the percentage of participants and the recommended activity believed to be most significant in the 2001 and 2003 bond elections are presented in table 10.3. The table identifies the eleven recommended activities and the results from the questionnaire completed by the 140 participants. In addition, data was collected to determine why selected recommendations were viewed as more influential than other suggested activities. Through personal observations, interviews, and the opportunity to listen to individual stories, the RAP team identified key reasons to support the findings through triangulation.27 Data from these interviews are compiled in a conceptual clustered matrix as presented in table 10.4. The RAP team found the facilities committee utilized in the school district’s 2001 and 2003 bond elections was believed to be much more influential with and representative of the community. The facilities task force was comprised of “well-respected and trusted” citizens representing all facets of the community. According to the data, the facilities committee in the 2001 and 2003 bond elections was a “better representation” and “more willing to listen” to everyone than in the previous

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Table 10.4. Sample Interview Questions and Sample Themes from Interviews by the Rapid Assessment Process (RAP) Team. Sample Interview Questions

Sample Major Themes

Why do you believe the 2001 and 2003 bond elections were successful?

Community task force; trust from the citizens; benefits to children; no waste; built what was only necessary; facilities committee; school leadership

What were your thoughts about the community task force?

Provided trust in the plan; spoke with one voice; supportive of kids; ordinary people; diverse group; listened to patrons; trustworthy people

Why did the 1995 and 1998 bond elections fail?

No trust in the board; no answers to questions; too expensive; not what the community supported; no leadership; lack of trust; administration failed to listen

Why do you believe that 35% of the sample population considered the community task force to be most significant?

Good people; task force was trusted; members listened and responded to questions; trustworthy; honest; represented the community; ordinary citizens willing to listen

Why do you believe that 22% of the sample population considered the activities focusing on children and the community to be most significant?

Community supports kids and education; community cares about kids; kids and learning are important; public schools are important; kids are our future; community desires good public schools; safe and upto-date schools are needed

What did you consider the most critical difference between the two failed bond elections and the two successful bond elections?

Trust in the board and school leadership; trust in the community task force; new district leadership; task force listened; new school board members; vision; cost-effective; input from the community; unanimous board support; effective architect; reasonable plan

unsuccessful bond elections of 1995 and 1998. The RAP team revealed that the facilities committee was comprised of “ordinary people” in the community representing “those members of our community who did have a voice.” The change in the school district’s facilities committee appears to have swayed “no” voters to support the 2001 and 2003 bond elections. From the listed activities for successful bond elections, establishing a diverse community task force proved to be the most significant with 35 percent of the sample population listing it as most influential.28

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Research indicates the message during the school district’s campaign was presented by trusted citizens, including those representatives from the school district. The presentations focused on how new and modern school facilities could improve the community and school district. The researchers found key words and phrases to describe the message provided to community patrons during the school district’s campaigns, including: “open,” “honest,” “everything was explained with no perceived hidden agenda,” and it was “a cost effective plan providing modern facilities for our kids’ future.” Additionally, the dialogue with patrons focused on the need to improve facilities for kids. The information disseminated to the public focused on the benefits of expanding technology, improving heating/ cooling in classrooms, providing more appropriate learning space for elementary children and ensuring safer facilities. Data found citizens believed in providing a “twenty-first-century education was vital” and the learning environment should be an “atmosphere that is comfortable and safe.” The school district’s campaign highlighted elevator access, larger classrooms, improved lighting, heating and cooling, and secure entrances and exits. The school district also presented plans to provide for parent drop-offs in front and bus drop-offs in back of each elementary school. Interviews indicated this part of the plan was very important to parents and viewed as “something the school district should have done years ago.” In this study, 22 percent of the sample population believed the importance of the message was critical to the passage of the 2001 and 2003 bond elections. Based on the research from this study, the importance of having the board of education unanimously support the school district’s bond election was also significant. Listening to community representatives, the researchers found importance in the elected board of education being unified on the bond referendums and willing to help carry the message. Why would we support it if our school board doesn’t support it? This was an overriding theme found in the data. In the study, the RAP team found support in the community for the school district choosing a simple design while utilizing capital outlay and reserve funds. Data also indicate a wide range of community support for the decision to preserve the historical value of the buildings and electing to upgrade and modernize the current facilities. In the two unsuccessful

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bond elections, the community voted down the school district’s proposal to primarily build new facilities.

IMPLICATIONS Providing the sample with the list of recommended activities, allowed the researchers the opportunity to learn which activities were believed to be most influential in the 2001 and 2003 bond elections.29 Using the RAP provided an opportunity to collect data in a timely manner using methods that allowed in-depth study and data for this research.30 Utilizing a triangulation of data collection, the researchers verified voter influences, beliefs, and motives. To summarize, the need to organize a diverse community task force to study school facilities is critical. The task force, provided with the opportunity to make recommendations, present findings to the community, and communicate the message is imperative for school districts looking for community support. This study suggests the task force include community patrons less likely to follow the mainstream, representative of disenfranchised members of the community and be provided with the opportunity to influence decisions. Data also indicate the focus of the campaign should highlight the benefits for students and the community. Patrons and parents of the sample school district desired modern school facilities for children. In this community, citizens expected school officials to provide a cost-effective plan, which addressed school climate, comfort, security, and safety. From the study, 57 percent or 80 of the 140 sample population agreed that these two recommended activities were extremely significant in passing the school district’s two bond elections in 2001 and 2003. Based on research and current literature, all eleven recommended activities should be reviewed and considered by school districts expecting community support, because at least one member of the 140 participants in this study believed each activity was the most important factor in the success of the two bond elections.31 In addition to the eleven suggested activities, the study found other influences as determining factors in the success of the 2001 and 2003 bond elections. Data from conversations with the sample population (table 10.4) revealed the following

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additional influences: newly elected board of education members, recently hired district administrators, a new level of trust between the community and school district, and an approximate six-week, positive campaign. Research indicates the message during the school district’s campaign was presented by trusted citizens, including those representatives from the school district. The presentations focused on how new and modern school facilities could improve the community and school district. The researchers found key words and phrases to describe the message provided to community patrons during the school district’s campaigns, including: “open,” “honest,” “everything was explained with no perceived hidden agenda,” and it was a “cost-effective plan providing modern facilities for our kids’ future.” Data from the study also showed the importance of taking into account the seven additional recommended activities outlined in School Bond Success: A Strategy for Building America’s Schools, 2nd Edition.32 Research shows these seven suggestions (table 10.5) should also be considered prior to organizing a school bond campaign. Based on this study, particular attention should be given to the recommended activities that appear to have most significantly influenced the patrons as presented in table 10.2, table 10.3, and table 10.4. Additional activities, as found through interviews, personal contacts utilizing the RAP, and further recommended activities as presented in table 10.5 should also be considered. Table 10.5. Seven Additional Recommended Activities as Found in School Bond Success: A Strategy for Building America’s Schools, 2nd Edition.33 1. Successful millage campaigns start with a vision. 2. Selection of sites must be clearly understood to be the most appropriate alternatives. 3. Consider carefully not only the amount of the millage increase but also the perception of the public to the amount of the increase. 4. Involve community leaders, local media, and school staff in the early planning stages of a bond election. 5. Review state and federal guidelines to search for alternative funding sources for new facilities. 6. Utilize telephone campaigning, coffees in homes, parent-teacher meetings, door-to-door canvassing, and direct mailings from the citizens committee as techniques for educating the community about the needs of the school district. 7. Resources and building plans need to be clearly delineated.

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ENDNOTES 1. Carleton R. Holt, Matthew A. Wendt, and Roland M. Smith, “School Bond Success: An Exploratory Case Study,” The Rural Educator 27, no. 2 (Winter 2006): 11–18. 2. Floyd Boschee and Carleton R. Holt, School Bond Success: A Strategy for Building America’s Schools (Lancaster, PA: Technomic Publishing Company, 1999). 3. John H. Holloway, “Healthy Buildings, Successful Students,” Educational Leadership 57 (2000): 88–89. 4. John M. McLaughlin and G. William Bavin, “Private Capital for Public schools,” The School Administrator 60, no. 7 (2003): 28–32. 5. Laurie Lewis et al., Condition of America’s Public School Facilities (U.S. Dept. of Education, 1999). 6. Lewis et al., Condition of America’s Public School Facilities. 7. Holloway, “Healthy Buildings, Successful Students,” 88. 8. No Child Left Behind Act of 2001, Public Law 107–110 (January 10, 2002). 9. No Child Left Behind Act of 2001. 10. McLaughlin and Bavin, “Private Capital for Public Schools,” 28. 11. Alan Richard, “NCES Report Pegs School Repair Costs at $127 Billion.” Education Week 2000, www.edweek.com [accessed 12 July 2000]. 12. Boschee and Holt, School Bond Success. 13. Boschee and Holt, School Bond Success. 14. Boschee and Holt, School Bond Success. 15. Boschee and Holt, School Bond Success. 16. Boschee and Holt, School Bond Success. 17. Boschee and Holt, School Bond Success. 18. James Beebe. Rapid Assessment Process: An Introduction (New York: AltaMira Press, 2001), 1. 19. Beebe, Rapid Assessment Process: An Introduction, 7. 20. Beebe, Rapid Assessment Process: An Introduction. 21. Boschee and Holt, School Bond Success. 22. Norman Denzin and Yvonne S. Lincoln. Handbook of Qualitative Research (Thousand Oaks, CA: Sage, 1994). 23. Boschee and Holt, School Bond Success. 24. Beebe, Rapid Assessment Process: An Introduction. 25. Boschee and Holt, School Bond Success. 26. Boschee and Holt, School Bond Success. 27. Beebe, Rapid Assessment Process: An Introduction.

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28. Boschee and Holt, School Bond Success. 29. Boschee and Holt, School Bond Success. 30. Beebe, Rapid Assessment Process: An Introduction. 31. Boschee and Holt, School Bond Success. 32. Carleton. R. Holt. School Bond Success. A Strategy for Building America’s Schools, 2nd ed. (Lanham, Md.: Scarecrow Press, Inc., 2002). 33. Holt, School Bond Success, (2nd ed.).

REFERENCE Holt, C. R., Wendt, M., and Smith, R. M. (Winter 2006). School Bond Success: An Exploratory Case Study. The Rural Educator 27(2), 11–18.

11 CASE STUDY #2 A Case Study: Bond Issue Analysis of a Midwest School District As Compared to Suggestions made in School Bond Success

In May of 2006 a Midwest school district board of education began the process of planning for the future building needs of the district. Through the use of community focus groups, surveys to parents, students and community members, and consultants to the district, the decision was made to move forward with a proposed Career and Technical Education facility. The Board of Education voted unanimously to place a $1,700,000 general obligation bond issue on the ballot April 3, 2007. The purpose of the bond issue was to construct, equip, and furnish a vocational building that would house agriculture, business, and family/consumer science classes, as well as a new computer lab. This study compares the recommendations for school bond success with the procedures used to successfully pass a bond issue by a Midwest school district. School Bond Success: A Strategy for Building America’s Schools presents eighteen strategies for the successful bond issue campaign.1 Although not all of the strategies can be fully implemented by each district, the concepts outlined offer a model for success. The first recommendation provided for school bond success is: Successful millage campaigns start with a vision.2 In August 2005, a complete new administrative team was put in place at a Midwest school district, consisting of a Superintendent, Elementary Principal (Pre-K–6) and a Junior/Senior 181

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High School Principal (7–12). With the administrative team in place the district began evaluating facility needs. With a new state funding formula about to become operative the first issue to be addressed was taking advantage of the most state dollars available to the district. The school district had the opportunity to receive over 1.5 million dollars as the new funding formula is phased in by the passage of our state’s Proposition C waiver. By receiving more dollars from the local level, our district (based on size, student population, free and reduced lunches, and minority populations) was in a unique position to take advantage of the state funding formula, if we were able to pass a levy increase of $.68 per $100 of assessed value. This levy required passage at the November election to be advantageous to the district. The board of education voted unanimously to place this levy increase on the ballot. After a campaign, the first successful school bond issue in seven attempts covering the last 11 years the opportunity to begin the examination of the district needs in assisting children. It was determined that with a growing student population, aging facilities, and definite concerns for school safety, several issues needed to be addressed and the process of prioritizing needed to begin. By implementing surveys to parents, patrons, students, staff and board members, priorities were realized. The top priorities were: 1) expanding room in the high school to better accommodate technology and space needs, 2) replacement or renovation of an 80-year-old agriculture education facility. There were many issues with outdated and underequipped electrical service and water issues in heavy rains, and 3) a necessary main door entrance to the elementary school office that would allow the elementary school to be secured. The board of education decision to request the bond issue must be unanimous.3 Although the vote to place the $1.7 million bond issue on the April 2007 ballot was unanimous, although one board member was not fully committed to the issue. With the leadership of the board president and superintendent, this board member made the decision to resign his position. The board seated a new member who was very supportive of the issue, which had a positive impact on the outcome of the election. Resources and building plans need to be clearly delineated.4 As the decision was made to move forward with a Career and Technical Education facility and the bond capacity was established for a no-tax increase

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issue, plans began to take shape for the proposal. The administrative team and the board of education contacted other districts in the area and arranged a tour date. Staff members, students, the board of education, administration, and interested patrons were invited to visit five local districts and collaboration began as to the specific needs of the district. On completion of the tour and compilation of the data received, the process of interviewing architects began. Four architects responded to the project and were interviewed by the board of education. Following the selection of the architect, another tour was arranged to visit a near-by district currently using a desirable facility. Planning meetings were arranged between the staff members and the architect, and administrators and the architect. General drafts created by the architect followed by meetings to answer questions and concerns regarding the details of the Career and Technical Education facility. Selection of sites must be clearly understood to be the most appropriate alternatives.5 The Midwest school district is somewhat landlocked, however it does possess enough land in the current plot to expand the facilities. The site selection was somewhat of a mute point, as the board of education and administration’s main concern was the proximity of the new Career and Technical Educational facility to the existing high school. The need to petition the city for a street closure became evident. This was accomplished as a school safety issue, as well as a building project issue. With the closure of the street, a proposal to create a corridor connecting the existing high school and the new facility became the most logical proposal. The local utility company and the city manager cooperated, and the feasibility of utilities and services were deemed appropriate. No land cost was involved in the potential site proposal and a part of the bid process redirected the bus traffic safely around the facility. Develop educational specifications in consultation with architects, school board members, staff, and parent representatives.6 Planning for the April 2007 bond issue campaign began in early 2006 as the board of education and administration saw the need for expanded facilities. The administrative team developed a survey that was first presented to the board of education to determine the priorities. After completion of the survey by board members, it was decided to modify the survey and present it to staff, students, parents, and patrons to determine the

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needs as viewed by the community. The single highest priority was the need for updated facilities for the agriculture education building. The current facility is over 80 years old, and has outdated and minimal electrical supply. The building is susceptible to flooding when it rains and is undersized for the number of students serviced by the program. The second priority listed in the survey results was the creation of a single front door entrance to the elementary school that could be secured. The current elementary building has the office in the center of the building and has security issues. Patrons or intruders can enter the building without checking in with the office. The third priority revealed in the survey was the need for more access to computers for junior high and high school students. With the reinstatement of the business program and its usage of the computer lab, only 6 hours were available during the day for computer lab facilities for students in grades seven through twelve. The logical conclusion was to present to the voters a Career and Technical Education facility. This facility would allow us to teach agriculture, business, and family and consumer sciences in a modern facility. The current business lab could also be utilized as a computer lab for students in grades seven through twelve. In addition, the new facility would also house a business education computer lab as well as a vocational computer lab to be utilized by all district students. Recognize that an active citizen support group is of critical importance to a successful bond issue campaign.7 Before the board of education decided to proceed with the bond issue campaign, a series of community meetings were held to gain citizen input from community members. A group of patrons emerged to take the lead role for the campaign and the Yes Enhances Student Success (Y.E.S.S.) committee was formed. The first official committee meeting was held three months prior to Election Day. During this first meeting the superintendent recapped the results of the community surveys, and the board president outlined the needs to place the bond issue on the April 3rd ballot. The superintendent outlined the facts of the proposed bond issue and distributed informational material. At this point, officers were elected within the committee and the committee’s responsibilities were discussed. Those responsibilities included identifying “yes” votes and securing funds to wage a successful campaign. The committee agreed to meet twice per month and measure the progress of the campaign at each month until election time. At the

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second meeting, the committee agreed to the name of the committee being the Y.E.S.S. committee, Yes Enhances Student Success. Student success is at the forefront of all decisions made by the administration and board of education. An official spokesperson for the group was also elected who would answer all questions to the media. A sign was also selected to be used during the campaign and a pamphlet was drafted to be distributed to as many people as possible. The signs selected were two foot by two foot in dimension, in the school colors and were plastic with metal ground stakes. The signs identified the committee name, the date of the election, that the election was a “no tax issue,” and that the issue was for a Career and Technical Education facility. The signs were assigned to people on the committee to distribute to others within the community. The less than 500 student population school district distributed nearly 100 signs to members of the community. The committee divided the list of registered voters in the district and made personal contact with every registered voter. At the third meeting the committee announced the successful commissioning of the district bookkeeper as a voter registrar and announced the deadlines for voter registration for the April 3rd election date. The committee also drafted a press release to be presented to the nearest local newspapers which included newspapers in all the counties of the district (the school district does not have its own newspaper or media outlet). At the committee’s next meeting, dates were established for community meetings to be held up until election time and the decision was made to have an informal community chili and dessert dinner to draw potential voters and to distribute informational materials. The next several meetings included updates on progress as well as the drafting of a mass mailing that would go to all patrons of the district. The committee also conducted community breakfast and lunch meetings to any group interested in hosting the event. The committee devised a plan for a phone campaign and a transportation plan to get voters to the polls. The final committee meeting was a postelection meeting that recapped the election results. A total of 360 “yes” votes and 177 “no” votes were cast resulting in an overall successful 68 percent of the voters in favor of the bond issue, compared to the 57 percent needed for passage. The final action of the committee was to establish a victory party for the students and the community in the city park.

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One of the tasks of the citizens support group is to identify “yes,” “no,” and “maybe” voters.8 At the early meetings of the Y.E.S.S. committee, it was decided to focus on the “yes” voters and not to exhaust a great deal of time and efforts on changing peoples’ minds. The Y.E.S.S. committee retrieved voter registration rolls from the three voting counties in the district which included North (the largest percentage of voters), West, and East counties. Using previous elections and expected turnouts, it was estimated that the committee needed to identify 350 “yes” votes for a successful campaign. The bond issue was placed on the April 2007 ballot because it was one of two dates that only required a foursevenths majority vote as compared to the normal two-thirds majority required at other times of the year in our state. It is extremely important that each district carefully review all phases of bond issue laws in their particular state. With a four-sevenths majority or 57 percent of the vote required for passage, the committee looked at ways to identify “yes” votes and ensure those patrons voted on Election Day. The committee enlisted the district bookkeeper as the person to register voters. A location for voters to register in the district that was closer than the county seat nearly 20 miles away was established. The committee also pursued the registration of students in the district who would be of voting age by Election Day. The citizens committee should take the lead in mobilizing the community effort and raising funds to finance the millage campaign.9 During the initial Y.E.S.S. committee meetings, the committee elected officers including: committee chairperson, finance chairperson, public relations/advertising chairperson, voter list preparation chairperson and phone committee chairperson. The committee then began securing donations and commitments for donations. Over $1,200 in cash and numerous other items were donated to finance this campaign. The committee purchased yard signs, paid for mass mailings, produced brochures and pamphlets, and purchased supplies for committee meetings. In addition, the committee secured donations for the chili and dessert supper, coffee and donuts for breakfast meetings, and food and supplies for luncheons. Provide extensive information to the news media.10 Although there is no newspaper, television station, or radio station exclusively serving the Midwest school district, the Y.E.S.S. committee provided information to

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patrons outlining the bond issue proposal. Two area newspapers serve the school district patrons. The committee utilized both the Midwest Democrat and the Midwest County Advertiser to disseminate as much information as possible, but also utilized alternative avenues to reach the voters. One of those media outlets was to distribute information via local businesses. Flyers and pamphlets were placed at the local grocery store, convenient stores, restaurants, and retailers. Another successful media outlet was to set-up information booths at ballgames and school functions. Even with no official media outlet, the committee was successful in getting information to voters. Utilize telephone campaigning, coffee in the homes, parent-teacher meetings, door-to-door canvassing, and direct mailings from the citizens committee as techniques for educating the community about the needs of the school district.11 Many different parties were involved in educating the community for the successful passage of the bond campaign. The Y.E.S.S. committee spearheaded the campaigning efforts for this proposal. In early committee meetings the committee identified registered voters and followed up with ensuring that the “yes” voters would vote. The committee also utilized the students by giving tours of the current agriculture facility, thus showing the need for more modernized facilities. In addition, faculty and staff were given ideas on how they could assist with the passage of the bond issue. Those ideas included: a) volunteer to contact parents of your students, b) volunteer to accept responsibility for handing out election material to parents of your students, c) vote for the bond issue yourself and persuade at least ten others outside the school to do the same, d) encourage absentee voting from former students in college or those patrons unavailable to vote on Election Day, e) keep a positive attitude, and emphasize what the proposal does address and not the things left to solve in the future, and f) volunteer to have a yard sign placed in your yard. The committee also conducted a mass mailing in a timely fashion prior to the election to present information to all the district patrons. Another successful campaign strategy was the dissemination of information to the parents through school activities, especially ball games. At each home game from the time the school board voted to place the issue on the ballot until Election Day, the committee manned a booth to answer questions and pass out information.

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Consider services of a bond consultant to help educate workers on activities that bring “yes” voters to the polls.12 The district used the services of a major bond underwriter in our state, as a consultant to the district to determine the bonding capacity of the district and to determine the amount of the school bond needed without raising taxes. This company provided the district with information to distribute to staff members, administration, and board members to generate “yes” voters at the polls. Consider carefully not only the amount of the millage increase but also the perceptions of the public to the amount of the increase.13 As the board of education considered the building project, and opened discussion with a bond underwriter, the perceptions of the public were a significant consideration. With major financial concerns in the district in recent years, the election date in April was of interest to the patrons in the release of the obligation bonds in any amount. Although the district’s bonding capacity was greater than the $1.7 million requested for the building project, this represents the maximum dollar figure that could be asked for. The bond issue would not raise taxes for the district, but would extend the district’s debt service levy. With the passage of Proposition C wavier just 18 months earlier to take advantage of the states funding formula, the districts tax levy was $3.43 per $100 of assessed value. This figure was equal to the average tax rate on district patrons over the past 13 years. The board of education decided that continuing with the consistent tax levy increased the chances for successful passage of the proposed bond issue. In addition, the tax levy the district had and was asking the voters to continue fell in the middle of tax levies for school districts in the area. Involve community leaders, local media, and school staff in the early planning stages of a bond election.14 In a district the size of this Midwest school district, with less than 500 students K–12, many of the community leaders were already involved in the school district. Our district did seek out influential community members to serve on the bond issue committees. Community members who stepped forward to help with the campaign included pastors from local churches, business owners, members of the city council and influential farmers in the community. Our Y.E.S.S. committee chairperson was a local business woman who shared the vision of the board of education. Numerous staff members

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were also involved in the successful bond issue campaign, including members who would transfer into the new facility. The staff members were beneficial with insight on potential building plans. Personal contacts to share the needs of the children in the school district should be made utilizing carefully prepared materials.15 The school superintendent created a power point of factual information and utilized it in the development of the flyers and other printed materials. On one occasion a letter to the editor appeared in one of the local news papers from someone on the negative side of the bond issue proposal. At that time the superintendent addressed the issues presented in the article and the comments were distributed to the board of education members, staff, administration, and places in local businesses to keep the reality of the campaign on a factual basis. Review state and federal guidelines to search for alternative funding sources for new facilities.16 In addition to taking advantage of our state’s funding formula, the district was able to furnish the facilities technology and equipment needs including a greenhouse through a vocational enhancement grant. This grant was secured through the state’s Department of Elementary and Secondary Education. The grant is a 75/25 match grant which is awarded to districts that show cooperation between vocational and other programs. Since the Career and Technical Educational facility would house vocational agriculture, business, and family and consumer sciences, it was relatively easy to secure funding for the project. This grant was well researched before the bond issue proposal. The $1.7 million estimate for the project included all items covered by the enhancement grant. By receiving the enhancement grant, additional dollars were freed up for the relocation of the transportation department and the bus barn. Relocating the bus barn provided more exterior space on this site for another phase of the district’s long-range plan. Relate everything you do to the primary reason you entered educational leadership: student success.17 As the administration and the board of education began the planning process, the issues of student success and student safety remained at the forefront of concern. With this project, the Midwest school district began the first step in the process of a multiphase, long-range plan to improve the district. This phase of the project reemphasized the importance of the vocational education

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program in our community. Vocational education is critical to schools preparing students for college and work careers. The Midwest school district is a rural farming-based community with successful vocational programs. This issue opened doors of opportunity including additional classroom space, flexibility for the early childhood program, and an investment in the future of Midwest district students. The Midwest school district is a rural school in the Southwest part of our state, with a student population of 450 students in grades kindergarten through twelve. The district has a 27 percent Hmong population and a 5 percent Hispanic population, making the district nearly onethird minority. Over 60 percent of the student population receives free/ reduced lunches. The district is a farming-based community of mostly poultry and livestock production. The nearest neighboring town is over 20 miles away, and the closest city with over 10,000 people is more than 60 miles away. By utilizing the principles outlined in the book School Bond Success: A Strategy for Building America’s Schools, this district was able to successfully organize and pass a school bond issue campaign; the first successful bond issue campaign in 13 years.18

ENDNOTES 1. Carleton R. Holt, School Bond Success: A Strategy for Building America’s Schools, 2nd ed. (Lanham, MD: Scarecrow Press, Inc., 2002. 2. Holt, School Bond Success (2nd ed.). 3. Holt, School Bond Success (2nd ed.). 4. Holt, School Bond Success (2nd ed.). 5. Holt, School Bond Success (2nd ed.). 6. Holt, School Bond Success (2nd ed.). 7. Holt, School Bond Success (2nd ed.). 8. Holt, School Bond Success (2nd ed.). 9. Holt, School Bond Success (2nd ed.). 10. Holt, School Bond Success (2nd ed.). 11. Holt, School Bond Success (2nd ed.). 12. Holt, School Bond Success (2nd ed.). 13. Holt, School Bond Success (2nd ed.). 14. Holt, School Bond Success (2nd ed.).

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15. 16. 17. 18.

Holt, School Bond Success (2nd ed.). Holt, School Bond Success (2nd ed.). Holt, School Bond Success (2nd ed.). Holt, School Bond Success (2nd ed.).

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12 CASE STUDY #3 Case Study of Riverside School District

Building Challenges Lead to “Must Pass Bond Situation” in Riverside School District

The Riverside School District serves about 1,200 students as a consolidated district of three towns in the upper Midwest. The students are housed in two elementary schools (one Pre-Kindergarten–2 and one Kindergarten–5), one middle school, and one high school. The district has had significant challenges passing bond issues in their history, with an original 1996 bond process finally passing on the eighth try after seven failed attempts. The process in Riverside during the 2005 school year (for the successful 2006 bond election) came about because of a structural engineer’s report indicating the buildings were in poor condition and nearly condemned by the Office of the State Fire Marshall. School Bond Success: A Strategy for Building America’s Schools, served as the textbook for Riverside’s entire bond issue process to fund two new elementary schools, a new middle school, a new administration office, a vehicle garage, and a new shared community/school library.1 The author of School Bond Success was once employed in the same state, and as a result, his book was already in the administrative library of the Riverside Schools.2 The following narrative describes the engineering challenges and building issues of this district which the information found 193

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in School Bond Success helped to overcome.3 In view of the district’s history, this case study exemplifies the process identified in this book, as the narrative highlights the communication process used in Riverside, as well as the teamwork utilized for this bond issue campaign.

ORIGINAL STRUCTURAL ENGINEER’S REPORT On July 21, 2005, the Riverside School District received the first of several structural engineers’ reports which indicated the oldest portions of each campus at the Middle School and the Elementary School had structural challenges. The engineer took core samples and completed laboratory testing. The following bulleted items are directly from this first engineer’s report: Elementary School • The building was aging and slowly deteriorating from the design of wood bearing on masonry. • The parapet (the false wall above the roof) has tilted inward in some areas between the corners and has tilted out at some of the corners. The amount of movement exceeds the allowable movement from referenced codes. • The wood on the floor joist system shrunk and the friction between the wood and mortar was reduced to about 60 percent. • The walls lost strength because the layers of brick were not connected to the clay tiles. The walls expanded from the freezing cycle which made the outside brick bow in and out. • The building was not built as strong or as designed. • The recommended repairs, if completed, would only allow the use of this building for about 5 years. Middle School • The building was aging and slowly deteriorating from the design of wood bearing on masonry. • The building needed tuck pointing near windows and other areas.

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• The lintel (window header) corrosion which holds the masonry over the windows was corroded to an unacceptable level. • The parapet (the false wall above the roof) was tilted inward in some areas between the corners were tilted out at some of the corners. The amount of movement was exceeding the allowable movement from the referenced codes. • The wood on the floor joist system shrunk and the friction between the wood and mortar was reduced to less than 50 percent. • The walls have lost strength because the layers of brick were not connecting to the clay tiles. The walls were expanding from the freezing cycle which was making the outside brick bow in and out. • The building was not built as strong or as designed. • The recommended repairs, if completed, would only allow the use of this building for about 5 additional years.

SECOND STRUCTURAL ENGINEER PROVIDES PRIORITIZATION AND COST ESTIMATES A second engineer provided the district with the details of repair prioritization and cost estimates on August 29, 2005. He supported the findings of the first engineer’s report, and provided further detail. The data he provided is below: Elementary School • Repair Cost Estimate: $513,404.00 ° This cost represented 29.84 percent of classroom replacement costs. Middle School • Repair Cost Estimate: $577,610.00 ° This cost represented 40.71 percent of classroom replacement costs.

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STRUCTURAL ENGINEER PROVIDES “WEATHER THRESHOLDS” On October 7, 2005, the district received an engineer’s report that defined “weather thresholds” for the Middle School and the Elementary School (these thresholds applied only to the oldest portions of each campus, which roughly translated to about one-half the instructional square footage at each location). This document provided clear, measurable standards for continued building occupancy. These thresholds defined the wind strength, rain depth, snow depth, and ice depth that could not be exceeded to maintain the engineer’s endorsement for building use. Weather Thresholds • If the wind speed was forecast to gust over 35 mph, the buildings could not be used. • If the wind speed (sustained) exceeded 30 mph, the buildings could not be used. • If rain exceeded ¼” per hour, the buildings had to be closed. • If snow exceeded 4”, the snow was to be removed or the building had to be closed. • If ice on the roof was thicker than 1”, the building had to be closed. The thresholds given were a probable occurrence in this state. It was important to note that our engineer informed us that we were not in danger of “building collapse,” rather, the buildings had deteriorated below the acceptable levels of given codes intended to support student occupancy.

COMMUNITY MEMBERS ENCOURAGE AN ADDITIONAL PROFESSIONAL OPINION Community members contacted school board members to encourage the district to secure a third structural engineer to provide yet another

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opinion. One community member addressed the school board, recommending that a specific engineer should be hired to provide this additional report. That engineer was hired. He provided an inspection and his findings on November 28, 2005. His summary findings are below. Elementary School • The structure was adequate to carry current design code loads, i.e., safe for student occupancy, when once the detailed repairs were complete. • The structure had an expected (structural) life of 2 to 5 years if repairs were completed and exterior surfaces were maintained in good condition. Middle School • The structure was safe to occupy under current structural standards. • The structure’s overall life without major repairs was estimated at 2 to 4 years.

SCHOOL DISTRICT COMMUNICATED PRIORITIES TO CONTINUE EXCELLENCE IN EDUCATION There is a strong tradition of excellence in the Riverside School District, and consistently strive to attain the same level of quality in communication with community constituents. Clearly stated, district priorities, regardless of the eventual solution to building challenges, were: 1. Student and staff safety 2. Student achievement 3. Providing a positive role model for students on how to work through challenging life situations

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PORTABLE, TEMPORARY CLASSROOMS BROUGHT IN TO DISTRICT TO CONTINUE STUDENT ACHIEVEMENT The Riverside School Board voted unanimously in October 2005 to purchase eight temporary buildings and to utilize one loaned to the District from the State Department of Education. Each of these structures housed two classrooms, with about 680 square feet of instructional space. Each unit also had two bathrooms, electric heat, and electric air-conditioning. Teachers moved into the temporary classrooms in late November and early December. Six of these units were installed at the elementary campus (12 classrooms) and three were installed at the middle school (6 classrooms). The district also continued to utilize the “older” facilities as needed throughout the school year and when within the “weather thresholds.” Even with the portable structures in place, library services, computer lab use, and office space/workrooms in the older facilities were available at that site. The district spent $452,000 on temporary buildings, however it was estimated that they would be able to resell them to other school districts in need at up to an 80 percent return on the investment when finished with them. These temporary buildings were sold at 84.2 percent of the original price.

DISTRICT COMMUNICATION WITH PARENTS, STAFF AND PATRONS After the district received the information regarding the structural challenges and the weather thresholds, letters of communication were sent to all parents in the Riverside School District. These letters were followed by two meetings (one at the elementary, one at the middle school) to provide accurate information on how the district would continue to provide student safety and high levels of student achievement Letters were also mailed to every home in the district, to inform the patrons of the challenges, and to invite them to join the process of designing the future facilities. Five meetings were held for sharing the facts, listening to challenges, and documenting ideas for the future.

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Over 330 people attended these meetings. The future facilities’ design changed several times based on these recommendations.

COLLABORATIVE EFFORTS IN DESIGN The design for Riverside’s future facilities plan was created to this point by staff members of the district, community members, the administrative team, and school board members. The architect began by meeting with teachers and sharing the skeletal plan of moving middle school students to a newer elementary building, and building new classrooms to replace structurally challenged classrooms at both campuses as noted by the structural engineer. The plan originally included a free-standing elementary school east of Riverside High School. Several of the community volunteers strongly proposed that the team consider building the elementary school on the site of the current middle school. The architect created that plan which became the one that was endorsed by all, because of fiscal efficiency, use of current assets, and location. The district communicated the strengths of the future facilities plan and project designs in a document created and paid for by the project architect (no tax dollars were used to fund the document). The list of strengths from this plan is found below.

SOME STRENGTHS OF THIS PLAN 1. This plan utilizes current assets to the best of our ability. The architect’s estimates are that we are efficiently using $4.5 million in fixed assets rather than having to replace them in new schools. We are using the large rooms in all of our student locations to keep from having to build new gymnasiums or band and choral rooms. 2. This plan replaces classrooms with classrooms. We have not added any items that were labeled as “frills” by some taxpayers in the last bond issues. This plan utilizes currently owned athletic facilities.

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3. This plan will allow us to be more fiscally efficient in the longterm, particularly in the locations that combine middle school and high school instruction. 4. This plan does allow us to grow, as needed, but does not incorporate building a number of classrooms that are immediately unnecessary. 5. This plan has construction projects in both of our large communities, where we need them. 6. A complex which houses 6th–12th grades makes more educational sense for student instruction than does the Pre-K–2, 9–12. 7. Our constantly growing After-Kare program will have a home. They set up and tear down each night for these student programs. 8. The business office will better serve the students of Riverside from the location of the largest student population. 9. The additional requested levy amount is less than other successful bond projects in area districts. 10. These new classroom facilities will be better designed to meet the needs of students for the twenty-first century. The following newsletter article also featured the challenges and district actions. The district’s newsletter was delivered to 2,500 homes in the region.

NEWSLETTER ARTICLE, RIVERSIDE SCHOOLS, DECEMBER/JANUARY EDITION Future Facilities Planning Process Begins at Riverside The Riverside School District has begun a long-term future facilities planning process, to continue our mission to, “prepare all students for living and learning in a changing world.” The District has had some challenges with facilities in recent years, most currently with the “weather thresholds” that have been given for the oldest portions of the elementary school, and the middle school. The weather thresholds were set by a structural engineer’s report that was required by the Office of the State Fire Marshall.

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There is a strong tradition of excellence in the Riverside School District. Recognition for this academic excellence came again this year when we were listed as a Distinguished School District by the State Department of Education. Another area of excellence we strive to attain includes thorough communication with our constituents. Clearly stated, our priorities through these and future building challenges are: 1. Student and staff safety 2. Student achievement 3. Providing a positive role model for students on how to work through challenging life situations. The district has communicated with all parents and community members in the 165 square-mile district by letter, and has held five community meetings to discuss district planning for student/staff safety, and future facilities planning. The meetings were attended by a combined group of over 330 community members, and at the time of this publication work has been completed to simply develop the process for future facilities planning. The district has had engineer’s share cost estimates for repair to the oldest portions of the facilities, showing in detail that it would require $1.1 million to repair these facilities to gain 5 to 10 years of additional life. The district staff members and administration, with the support of the school board, met with an architect in early November to consider possible designs for the future. The district has shared a skeletal plan at the community meetings, and has considered all ideas shared by constituents. The current outline for future facilities, if the district replaces the outdated buildings instead of completing the $1.1 million in repairs, includes the following points: • Moving the middle school students from their current location to the high school campus, by renovating the current Pre-K–2 facility. Some strengths of this plan include: ° A facility that houses 6–12 grades is better supported by educational research than a facility to house Pre-K–2 and 9–12.

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° Shared staff members between the middle school and high school facilities become more efficient with this plan. ° Students will be able to share the larger portions of the current facilities for physical education, band, choir, and art so that any new building plan will not need to include these rooms. • Building new classrooms in an elementary school and a new PreK–2 facility. Some strengths of this plan include: ° We will be continuing to utilize our assets that have no structural challenges. The newest portion of the elementary addition is only 11 years old, and is structurally sound and well designed for future learning. ° The town is a part of the Riverside educational team, and educators have historically delivered high levels of student achievement from this site. ° Elementary schools built using our current assets are smaller, and therefore less expensive than an entirely new middle school or other considered facilities. • The district will also raze the oldest portions of the Elementary School and Middle School with this plan. The plan might also include consideration of relocation of the District Business Office from downtown to the renovated High School/Middle School Campus. Some strengths of this plan include: ° District-level administration can best be delivered at the site of the largest and oldest student population. ° The District believes it can sell the current downtown business office for a reasonable price, helping to offset the cost of a move. ° This would provide homes for current district administrative services that are currently located all over the district right now.

THE START OF THE CAMPAIGN The school board made the decision to again run a bond issue campaign, and this time the board chose to be involved in the original design and

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communication phase. In earlier failed attempts, the board waited for people from the community to surface for support of the design and election. Now the widespread community input in the earlier phases of the building challenges allowed people to step forward from the community to create a committee, Riverside Citizens for Education, and to implement the process of marketing the campaign, and prepare for success in the bond election. The committee met several times to define the product, the target market, and to develop marketing techniques. Once common language was agreed upon, the group worked to deliver the common message to as many people as possible. The committee focused on the results of prior failed elections, and determined by increasing voter turnout, there was a greater opportunity for success. The committee then created new and easier ways for people in the Riverside communities to register to vote, and to vote by absentee ballot if they desired. The district’s administration office reorganized the working hours for office team members so community patrons would have a more manageable time to visit the administration office and register to vote, or to vote by absentee ballot.

COSTS OF THE PROJECT The bond issue election was set at $9.82 million in general obligation bonds. This amount was less than the project estimate of $12.56 million, however the district intended to cover the additional $3 million cost through capital outlay certificates already levied. To create these capital certificates, the district borrowed money on existing levied funds, with payments to occur over the next 15 years. However, the general obligation bonds were to be paid over a 20-year period. The Riverside Citizens for Education developed the “cost to the taxpayer” information to communicate with the district stakeholders: Cost to the Taxpayer for This Investment It was decided to finance a portion of the new school facilities and renovations with a general obligation bond issue not to exceed

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$9,820,000. Based on current bond market average interest rates of 4.75 percent for a 20-year repayment period, the approximate levy requirement for annual payments for this financing is about $1.72 per each $1,000 of taxable valuation. This levy is to be reduced if the District’s taxable valuation increased by more than the projected growth factors of 5 percent for 5 years, 3 percent for the following 5 years, and 2 percent for the remaining 10 years of the bond issue. If lower interest rates occur in the future, the district will also be able to reduce its levy in the bond fund by refinancing the proposed bond issue. Once the bonds are issued, the payments cannot increase because interest rates are fixed at that time. The Riverside Citizens for Education Committee communicated the following bond issue data through mailings and newsletter communication: • This means that the new levy requested through this election was $1.72 per $1,000 of property valuation. • This amount ($1.72 per $1,000) was less than the two previous Riverside bond issues, the last one being at $1.84 per $1,000 of assessed value. • A homeowner with a property value of $100,000 will be voting to agree to a levy of $172.00 per year, or $14.33 per month. Other area bond issues were levied at higher amounts, and the Riverside Citizens for Education communicated these as well: For example, the East District began their successful bond issue for their current building project at $4.90 per $1,000 of assessed value. Between 1996 and 2003, other district’s bond levy amounts per $1,000 in assessed value have included: Central, $2.87; South, $2.60; West, $3.07; Valley, $4.06; Hillside, $2.14; Mountainburg (high school), $2.47; Southwest, $2.81. Mountainburg began their 2003 bond issue at $1.82 per $1,000, but because of growth and increased property values, they were then at only $0.91. Economic development is commonly a side benefit of a successful bond issue campaign. Our district increased 10 percent in property

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valuation just last year. Each increase in valuation reduces the amount per $1,000 levied for any specific project. The table 12.1 illustrated tax dollar requirements at various property values to support this building program: Table 12.1. Non-Agricultural Property Values Taxable Valuation

Projected Levy Requirement

Annual Tax Requirement

Monthly Tax Requirement

$10,000 20,000 30,000 40,000 50,000 75,000 100,000 150,000 200,000

$1.72 $1.72 $1.72 $1.72 $1.72 $1.72 $1.72 $1.72 $1.72

$17.20 34.40 51.60 68.80 86.00 129.00 172.00 258.00 344.00

$1.43 2.87 4.30 5.73 7.17 10.75 14.33 21.50 28.67

Table 12.2. Agricultural Land Values (Per Quarter of Land).

$/Acre

Taxable Valuation

Projected Levy Requirement

Annual Tax Requirement (Per Qtr.)

Annual Tax Requirement (Per Acre)

$500/acre 750/acre 1,000/acre 1,500/acre

$80,000 120,000 160,000 240,000

$1.72 $1.72 $1.72 $1.72

$137.60 206.40 275.20 412.80

$86 1.29 1.72 2.58

The Riverside Citizens for Education then communicated the details of how taxes would be affected in this manner: How will this affect your taxes? The project will require the issuance of tax-exempt general obligation bonds not to exceed $9,820,000.00, which includes all costs associated with the project. The interest rate on the bonds is projected at approximately 4.75 percent payable over 20 years. The levy estimates are very conservative because the district’s taxable valuation has grown by an average of approximately 8.4 percent per year over the past 5 years. Based

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upon an annual 5 percent growth in the district’s current taxable valuation for the next 5 years, a 3 percent growth for the following 5 years, and a 2 percent growth for the remaining 10 years of the bond issue, the projected bond fund levy will be $1.72 for the Riverside District. We believe that this bond levy will likely decline in the coming years if the district’s taxable valuation continues to increase by more than the projected growth rates as it has over the past 5 years. The following table projects what taxpayers what they will pay for the bond issue per their property value If you have property valued at: Table 12.3 Property Value

Annual Increase

Monthly Increase

Daily Increase

$25,000 50,000 100,000 200,000 250,000

$43.00 86.00 172.00 344.00 430.00

$3.58 7.17 14.33 28.67 35.83

$.12 .24 .48 .96 1.19

Interest rates today are still at historic lows. This is an excellent time to issue bonds. Once the bonds are sold, the payments are fixed for the life of the issue. Should interest rates decline further, the board has the option to refinance the issue, if it meant saving the district money by lowering the payments and thus reducing the bond fund levy in subsequent years. The district would also be utilizing a portion of the capital outlay fund’s future levy by issuing capital outlay certificates (approximately $3,000,000) to finance the remaining project costs without a tax levy increase in the capital outlay fund.

CAMPAIGN ACTIVITIES The committee also developed campaign activities to meet the needs of the “get out the vote” campaign as well as to thoroughly communicate their perspective of the “vote yes” campaign. Door-to-door canvassing was used in a limited way by the committee, however the group did prepare twenty-five hand-written notes per committee member (about 900

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in all) to deliver or mail to households they believed were undecided in the election. The committee used telephone canvassing as a primary component of both the “get out the vote” and the “vote yes” campaigns. A local business (an office with several phone extensions) volunteered space and phones for use in setting up “calling nights” where the volunteers would blanket the communities with phone calls about the election and record that information. In addition, the committee purchased a recorded phone message service from another state, and sent weekly recorded messages from committee members urging people to vote and to vote yes in the bond election. The committee also compiled a list of all known opportunities to communicate with groups of people through church events, civic organizations, coffee groups, and any other known gatherings of people. The bond issue presentation began with the district superintendent sharing the details of the challenge with the buildings, the facility design process, and the facilities design itself. The superintendent then left the meeting, allowing the Riverside Citizens for Education Committee to share their thoughts and the “vote yes” process. The committee did not purchase advertising for this campaign (other than the mailers the committee members sent personally to homes), yet there was a great deal of media coverage regarding the challenges. The building structural challenges, along with the weather thresholds provided fodder for local television stations and local newspapers. This presented an opportunity for the district to inform the public of the need for safe and secure facilities, and for the Citizens for Education Committee to share their message as well. On one occasion a person against the efforts chose to send a letter to the editor of the local newspapers, however the Riverside Citizen’s for Education committee had already prepared enough letters to the editor and responses to the concerns of the one known negative entity to dissuade any concerns presented. Bond Election Day The committee was prepared to canvass the balloting process, however at the end of the “vote yes” campaign, it still seemed as though the greatest effort would come from getting people out to vote. The Riverside

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Citizens for Education chose instead to provide voting transportation and phone communication of the service to the local constituents. The election was set on a day when many people would already be in the school building (a voting location) because of a school basketball game, but it seemed that a significant group of potential “yes” voters needed reminders at work (Riverside has one community that is a white collar, bedroom community to a larger city, where many people work). The committee then worked the phones during the entire voting day and committee members took turns driving people to the polls. The efforts of the committee made a significant difference in the outcome of the election. The committee met one last time to develop the language for moving forward after the election. The superintendent included some of this language in the next school district newsletter as follows: The District staff members truly recognize the investment that the community members continue to make in the school district. We are thankful for the many ways you provide support to the students and programs of the Riverside Schools. Most recently, we are thankful for the investment the community has made in the school district through the passage of the school district’s bond election for new and renovated facilities. We recognize that the citizens who make up the Riverside community agreed by a margin of 76 percent, with 53 percent of registered voters voting in the election, to invest in the future of the school district through the future facilities plan. Our mission is, “to prepare all students for learning and living in a changing world.” As a district, we understand that it is now our turn to return the investment to the Riverside community in the manner of student achievement. We believe that the school district is much more than just a number of school facilities. It is about people, including the staff and community, but most importantly, it is about students and working to help students become successful learners and successful in life. Our mission statement will not change, but our focus within that mission through the remainder of this year and in the future will be to strive to return the investment to the community, the same investment that the community members have made to the district. As we head into the last two months of this school year, we encourage you to talk to the students with whom you are involved to consider the importance of finishing the school year in a positive manner. April and

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May bring challenges for students. There are important state assessments, final projects, and the process of bringing the educational year to a close. Our students will be most successful if they approach the end of the year with the right preparation and focus, and you are a strong component of the team to provide that focus. Thank you again for all of your supportive investments in the Riverside School District. We will continually strive to return those investments to you, and we look forward to ongoing communication with you as we continue to deliver student achievement for the future.

ENDNOTES 1. Carleton R. Holt, School Bond Success: A Strategy for Building America’s Schools, 2nd ed. (Lanham, MD: Scarecrow Press, Inc., 2002). 2. Holt, School Bond Success (2nd ed.). 3. Holt, School Bond Success (2nd ed.).

Appendix A CHECKLIST: EFFECTIVE SCHOOL FINANCE CAMPAIGNS

Following is a checklist of preparations that should be completed by Election Day, whether the functions are undertaken by a school district or by independent citizen committees. Boards of education and school districts may be constrained by certain legal limitations. Independent citizen committees are permitted more leeway. School administrators should check with the board attorney to be certain that the board and school district do not violate state law. _____ Develop a carefully planned strategy, based upon statistical analysis and critique of past campaigns. _____ Canvass voters by independent citizen committee (house-tohouse or by telephone). _____ Citizens committee identify other “yes” voters from records and research (such as parents, staff members, recent grads, high school seniors, parents of incoming kindergartners, etc.). _____ Conduct voter registration campaign. _____ Set up volunteer committee to offer baby-sitting services and rides to the polls. Publicize these services appropriately.

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_____ Complete arrangements for absentee ballots for the ill, elderly, out-of-town students and other members of the community who will be unable to make it to the polls. _____ Citizens committee recruit a group of “poll watchers” recruited by the citizens committee for each polling place. (These are citizens committee volunteers—completely separate from the school district’s election workers, who are paid and neutral.) _____ Citizens committee arrange a telephone squad for Election Day. _____ Set up and staff central election headquarters with knowledgeable resource persons, who are aware of the election laws and procedures. _____ Arrange polling places (if possible, in school buildings). _____ Arrange trained election workers. _____ Check out equipment to make sure it is working properly.

ON ELECTION DAY _____ Arrange for citizens committee campaign coverage at each poll. _____ Assign a poll watcher at every polling place (who gets appropriate relief, lunch and breaks, and has access to the telephone, or is visited by a courier regularly during the day). _____ Supply two sets of voter lists for every poll watcher (with the “yes” voters already carefully designated). _____ Poll watchers check off the “yes” voters as they cast their ballots. _____ About two hours before the polls close, pick up one set of lists and distribute to the telephone squad. _____ The citizens committee’s telephone squad then calls each “yes” voter who has not yet voted, to urge participation in a positive way and to offer rides and baby-sitting. _____ Due to the rush, telephone squad volunteers should be expected to contact no more than about fifteen voters each.

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_____ Prepare scripts or outlines in advance to make sure all messages are conveyed and calls move along quickly. _____ The poll watchers complete the second list and return it later to the coordinator so that a finished record of voting is compiled for each voting district. _____ Gather results at election headquarters, with all volunteers joining the get-together as they complete their assignments. _____ Serve refreshments and encourage camaraderie. _____ Have tally sheets ready for those who wish to “keep score” as the counts come in from the districts. _____ Provide a chalkboard so that all can watch the results go up together. _____ Plan for the news media. _____ Invite reporters—or arrange to call them. _____ Have a spokesperson available to answer questions or provide commentary to the news media. _____ The school board and administration should provide staff with the results first thing the next day.

AFTER THE ELECTION _____ Hold a debriefing. Allow a few days cooling off period first. Then analyze the campaign carefully and critically together, while it is still fresh in your minds. _____ Identify and record your least useful approaches. _____ Brainstorm new ideas. _____ Conduct an informal random sampling of workers and voters. What did they think of your campaign? _____ Compile all of your data on voter turnout, analyzing the results hour by hour and district by district. Draw conclusions. _____ Compile a complete archival record of the election with all materials possible and appropriate commentary on each: brochures, news releases, bulletins, scripts, slide shows, flyers, clippings. _____ Organize their materials and store them away carefully so that they can be used to plan next year’s campaign.

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_____ Express your thanks to all volunteers—preferably in a personal note. _____ Begin to plan your basic schedule for the upcoming school finance campaign. (Source: Adapted from James E. Swalm, “Turning No to Yes on Bond Issues,” School Leader 18, no. 4 (1989): 23–26.)

Appendix B PLANNING IN DEBT ISSUANCE

The purpose of this exposition is to examine the nature of the planning process in debt issuance and to see what kinds of information school districts require when financing improvements. School boards must plan and control their school district’s operations. School boards exercise control over their operations by: 1. selecting the course of action they wish to take (planning and decision making); 2. issuing instructions and seeing that they are carried out (direction and supervision); and 3. adjusting their methods or their plans on the basis of analyses of the results achieved (responsive control). Control always begins at the planning stage. No other technique controls the district’s destiny as planning does. The difference between effective and ineffective planning can be so great as to overshadow the effect of all other control techniques combined. Planning is the process of deciding on a course of action, of finding and choosing among the alternatives available. Planning takes three basic forms. 215

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1. Policy Formulation: Establishment of the major ground rules that determine the basic direction and shape of the district. 2. Decision Making: The choice among alternative solutions to specific operating or financial problems within the prescribed policy limits. 3. Periodic Planning: The preparation of comprehensive operating and financial plans for specific intervals of time. The relationships between the project and program planning and the periodic planning are complex. For example, the decision to improve and invest in the high school building and not improve and invest in the elementary buildings may be made in the process of periodic planning. However, both these kinds of decisions may also be made later, when changing conditions give evidence that this part of the periodic plan can no longer be carried out effectively (e.g., the school district has a great high school but the elementary schools fail to meet state standards). Some school administrators and school board members do not consider the future in forming policy. Let us call these types of school districts the “short-term districts.” The short-term district’s policy formation often takes a simple “no tax, no fee” approach. The short-term district provides education on depreciating assets without providing for their replacement until the assets are unable to provide the educational services requested of them. This type of planning is referred to as “crisis planning,” that is no planning until there is a crisis. The crisis often begins years earlier when predecessor boards do not plan for the future. School boards should ask themselves: What will the replacement or improvement cost? When determining the replacement or improvement of a school building, one must determine the useful life of existing assets of the school district and the estimated date of replacement or improvement. Table B.1 illustrates a simple future value of current replacement costs assuming a 4 percent inflation rate. Most school boards do not think in terms of replacement until the replacement decision is upon them. Many times the school district has outstanding debt which limits the project. Therefore, in the analysis, a school board should also determine the school district’s indebtedness and the limitations it will create on future boards. Debt payments use taxes and revenue, which may be needed for future improvements.

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Table B.1

Asset High School Bus Grade School

Current Remaining Life 25 Years 7 Years 15 Years

Replacement Cost $4,500,000 $40,000 $1,500,000

Estimated Replacement Costs at End of Life $9,860,054 $52,637 $2,701,415

When a district plans to issue debt, it must analyze how the current debt issuance would affect all the district’s assets. All assets’ useful life, replacement cost, debt, and income should be studied to determine whether a crisis exists or is in the making. The school board should work within the political and economic realities to provide a policy and a plan that will see the district through to the next major improvement and beyond. (Source: From “South Dakota School District Bonds: A Guide to Public Indebtedness” by Danforth, Meierhenry & Meierhenry, L.L.P. 1997. Sioux Falls, SD. Used by permission.)

Appendix C GLOSSARY OF TERMS: MUNICIPAL BONDS

Accrued Interest: Interest earned on a bond since the last payment date. Ad Valorem Tax: A tax based on the assessed value of property. Amortization: Special periodic payments which pay off the debt. Assessed Valuation: The valuation placed on property for purposes of taxation. Basis Book: A book of mathematical tables used to convert yield percentages to equivalent dollar prices. Basis Price: The price expressed in yield or net return on the investment. Bond: An interest-bearing promise to pay with a specific maturity. Callable Bond: A bond which is subject to redemption prior to maturity at the option of the issuer. Closed Lien: A pledge made solely to one issue which prohibits further pledging of the resource. Coupon: The part of a bond which evidences interest due. Coupons are detached from bonds by the holders usually semiannually and presented for payment to the issuer’s designated paying agent. Coverage: This is a term usually connected with revenue bonds. It indicated the margin of safety for payment of debt service, reflecting

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the number of times or percentage by which earnings for a period of time exceed debt service payable in such period. Current Yield: A relation stated as a percentage of the annual interest to the actual market price of the land. Debt Service: The statutory or constitutional maximum debt-incurring power of the school district. Debt Ratio: The ratio of the issuer’s debt to a measure of value, such as assessed valuation, real value, and so on. Debt Service: Required payments for interest on and retirement of principal amount of a debt. Default: Failure to pay principal or interest promptly when due. Denomination: The face amount of par value of a bond which the issuer promises to pay on the bond’s maturity date. Discount: The amount, if any, by which the principal amount of the bonds exceeds the cost price. Dollar Bond: A bond which is quoted and traded in dollars rather than in yield. Double-Barreled Bonds: A bond secured by a pledge of two or more sources of payment (e.g., special assessments and unlimited taxing power of the issuer). General Obligation: A bond secured by pledge of the issuer’s full faith and credit and taxing power. Gross Debt: The total of the debtor’s obligation. Interest: Compensation paid or to be paid for the use of money. Interest Dates: The dates on which interest is payable to the holders of bonds, usually set at semiannual intervals on the 1st or the 15th of the month. Interest Rate: The interest payable each year, expressed as a percentage of the principal. Issuer: A municipal unit which borrows money through sale of bonds. Legal Opinion: An opinion concerning the legality of a bond issue by a recognized firm of municipal bond attorneys specializing in the approval of public borrowing. Limited Tax Bond: A bond secured by the pledge of a tax which is limited as to rate or amount. Marketability: The measure of ease with which a bond can be sold in the secondary market.

GLOSSARY OF TERMS: MUNICIPAL BONDS

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Maturity: The date upon which the principal of the bond becomes due and payable. Net Debt: Gross debt less sinking fund accumulations and all selfsupporting debt. New Issue Market: Market for new issues of municipal bonds. Official Statement or “O.S.”: An official document prepared by the investment banker or the issuer which gives in detail the security and financial information relating to the issue. Overlapping Debt: That portion of the debt of other governmental units for which residents of a particular school district are responsible. Par Value: The face amount of the bond usually $1,000 or $5,000. Paying Agent: Place where the principal interest is payable, usually a designated bank or the treasurer’s office of the issuer. Premium: The amount, if any, by which the price exceeds the principal amount of the bond. Principal: The face amount of a bond, exclusive of accrued interest. Ratings: Designation used by investors’ services to give relative indications of quality. Normally Moody or Standard & Poor are the rating agencies. Refunding: A system by which a bond issue is redeemed from the proceeds of a new bond issue at conditions generally more favorable to the issuer. Registered Bond: A bond whose ownership is registered with the issuer or its agents for principal and interest or for the principal only. Revenue Bond: A bond payable from revenues secured from a project which pays its way by charging rentals to the users, such as toll bridges or highways, or from revenues from another source which are used for public purpose. Secondary Market: Market for issues previously offered or sold. Self-supporting Debt: Debt incurred for a project or enterprise requiring no tax support other than the specific revenue earmarked for the purpose. Serial Bond: A bond of an issue which has maturities scheduled annually or semiannually over a period of years. Sinking Fund: A reserve fund accumulated over a period of time for retirement of a debt.

222

APPENDIX C

Special Tax Bond: A bond secured by a special tax, such as gasoline or tax increment. Subdivision: A unit of government, such as a county, city, school district, or town. Tax Base: The total resources available for taxation. Tax Exempt Bond: A bond, the interest on which is exempt from Federal income tax. Tax Exempt Bond Fund: Registered unit of investment trusts, the assets of which are invested in diversified portfolio of interest-bearing municipal bonds issued by the states, cities, counties, and other political subdivisions. Term Bond: A bond of an issue which has a single maturity. Trading Market: The secondary market for issued bonds. Trustee: A bank designated as the custodian of funds and official representative of bondholders. Unlimited Tax Bond: A bond secured by pledge of taxes which may be levied in unlimited rate or amount. Yield: The net annual percentage or income from an investment. The yield of a bond reflects interest rate, length of time to maturity, and write-off of premium or discounts. (Source: From “South Dakota School District Bonds: A Guide to Public Indebtedness” by Danforth, Meierhenry & Meierhenry, L.L.P., Sioux Falls, SD. Used by permission.)

Appendix D SURVEY FORM

Please Circle The Statement That Is Most True: A. Which of the following statements is Most True about the Department of Education’s role in approving plans for new school buildings? 1. The department of education is not involved in plan approval. 2. Districts submit plans to the department of education as a formality. 3. Districts must submit plans to the department of education for review to ensure that minimum standards are met. 4. Districts must submit plans to the department of education for approval before construction can begin, and must provide evidence that standards have been met throughout the construction process. 5. The department of education must approve of every stage in the planning and construction of school buildings, including the design process, the bidding process, hiring practices, construction practices, and must give final approval before schools can open for students.

223

224

APPENDIX D

B. Which statement is the Most True regarding the government agencies that must approve of plans for new school buildings? 1. Government agencies are not involved in plan approval. 2. Only local building code inspectors are involved in plan approval 3. Only state health and safety inspectors are involved in plan approval. 4. Local building code inspectors and state health and safety inspectors are involved in plan approval. 5. Local building code inspectors, county building code and health and safety inspectors, and state health and safety inspectors are involved in plan approval. C. Which of the following statements is Most True regarding the restrictions placed by the department of education upon school districts who build new school facilities? 1. Districts may act as the general contractor without restrictions. 2. Districts may act as the general contractor provided the department of education has certified the project manager in charge of construction. 3. Districts may act as the general contractor, but must hire certified engineers or architects if projects surpass specified size or cost thresholds. 4. Districts may act as the general contractor under strict supervision of the department of education. 5. Districts may not act as the general contractor on school facilities construction projects.

Appendix E CLIMATE SURVEY OF TOPAND BOTTOM-SCORING HIGH SCHOOLS IN ONE STATE

Average of Top 13

State Rank

Teachers’ % Free or Reduced

1 2 3 5 6 7 8 9 10 11 12 14 15

56 N/A 35 46 42 5 62 40 75 21 20 33 37

–

36.3

Teachers’ Knowledge Level of Principal’s of Subject Training Contribution

Age of the Conduciveness Building of Building

5 4 5 4 4 5 4 4 4 4 5 4 4

4 3 5 4 4 5 3 4 4 3 4 4 4

5 4 4 3 3 5 3 4 4 4 4 4 4

30 (3) 33 70 35 41 (6) 2 2 39 35 1 40 13 7

4 4 4 3 3 5 3 3 3 5 4 4 4

4.3

3.9

3.9

28.2

3.8

225

226

Average of Bottom 15

APPENDIX E

State Rank

Teachers’ % Free or Reduced

286 287 289 291 293 294 296 297 298 299 301 303 305 306 307

69 92 70 71 88 75 67 90 40 96 82 95 65 80 88

4 4 4 5 5 4 4 4 4 4 4 4 4 3 4

2 4 4 3 3 4 4 5 5 3 4 3 4 3 3

3 5 3 5 3 3 5 5 3 4 4 5 3 3 4

30 28 32 35 N/A (4) 78 50 35 31 2 10 14 60 30 46

3 4 2 4 4 3 4 4 3 4 3 4 3 3 3

77.9

4.1

3.6

3.9

34.4

3.4

–

Teachers’ Knowledge Level of Principal’s of Subject Training Contribution

Age of the Conduciveness Building of Building

Source: James R. Willison, Graduate Student at the University of Arkansas, and Carleton R. Holt, Professor of Educational Administration at the University of Arkansas.

INDEX

administrators “low key” role, 20, 32 Agron, Joe, 27, 57 Ahmed, Faruq, 46, 47, 59 Alexander, Kern, 57 American Association of School Administrators, 56, 117, 122, 123 America’s schools present state, iii, 1 Chicago, 4, 9 Grandview, Washington, 3 Hartford, South Dakota, 5, 8 Mineral County School District, W.V., 5 Montgomery County, Alabama, 3, 5 nationwide, 2, 3, 27, 53, 54 New Orleans, iii, vii, 3 New York City elementary school, 9, 57 high school, 3 Ramona, California, 3

Raymond, Washington, 3 South Dakota, 5, 7, 10, 11, 13, 16 Washington, D.C., 3, 56, 57, 123 American Academy of Pediatrics, 44 American School & University, 5, 11, 27, 56, 57 architect, iv, 19, 24, 31, 36, 37, 38, 40, 41, 47, 48, 69, 79, 91, 92, 93, 94, 95, 96, 97, 99, 101, 103, 104, 106, 113, 139, 140, 170, 172, 173, 174, 183, 199, 201, 224 educational specifications, iv, 31, 75, 92, 94, 183 preliminary designs, iv, 95 selection, 92, 93, 97, 100, 183 attendance record, 4 Bagin, Don, 122 Bavin, G. William, 167, 178 Beebe, James, 169, 178, 179 behaviors, teacher and student, 26 benefits to children, 24, 170, 174 227

228

Black, Duncan, 18 board of education low profile, 23, 140, 170, 172, 173 unanimous vote, 23, 30, 74, 93, 170, 172, 173 bond consultant, iv, 24, 35, 79, 86, 89, 91, 99, 102, 103, 107, 139, 170, 172, 173, 188 role of, iv, 84 services, iv, 86 election day, v, 137 Bond Buyer’s Municipal Marketplace, 97 bonding, iv, 15, 16 approving opinion, 83 payment of terms, 85 reinvestment and cash flow analysis, 90 role of bond counsel, 84 bond referendum, iii, 14, 17, 18, 19, 20, 21, 22, 23, 35, 63, 74, 79, 86, 93, 96, 100, 109, 111, 112, 113, 116, 134, 137, 165, 167, 168, 175 campaign, iii, 20, 23, 25, 86, 96, 100, 116, 134, 137 citizens support group, 18, 20, 31, 186 committee, 137 misunderstanding, 22 problem with, 17–18 recommended activities, 23 school board support, 22 tax levy, 22 bonds, issuance of, 82 approving opinion. See bonding checklist, 83 Boschee, Floyd, i, xii, xiv, 1, 58, 171, 178, 179

INDEX

Bowers, J. Howard, 43, 58 Brandon Valley School District 49-2, xiii Branigan, Cara, 44, 59 Brimley, Vern, 57 Bryant, Anne, i, ix building age, 29 building climate, 41, 44 Burkett, Charles, 43, 58 Burrup, Percy E., 57 buyer of bonds banks, 84 governmental units, 84 payment terms, 85 underwriters, 84 campaign activities checklist, 211 coffee parties, 129 one-on-one contact, v, 126 public relations committee, 111, 112, 121, 125, 126, 129, 130, 133, 135, 144 telephone canvassing, 207 volunteer commitment, 129, 130, 131 campaign factors citizen participation, 18 community relations programs, 19 consultants, iv, 19 endorsements, 19 opposition groups, 19 tax increase limitations, 20 timing and length, 20 unity of purpose, 19 cancer. See hazardous substances canvassing ballots, v, 138 challenge, the, 140 reporting, 138

INDEX

unfavorable results, 139; victory, 140 Carter, Michael A., 78, 107, 108, 109, 110 case study, v, 163, 164, 165, 168, 169, 171, 178, 179, 181, 193, 194 Cash, Carol, 43, 59 Cash, James, 47 Castaldi, Basil, 72, 77, 78, 97, 98, 110, 114, 122 CEFPI, 43, 58 Chase, Bob, 28 citizen participation, 18, 20 climate research, iv, 49–53 Cole, Glen D., xiv Colorado State Statute, 57 committee, iv, 18, 19, 24, 32, 33, 34, 35, 36, 73, 75–76, 87, 91, 99–109, 111–12, 114–20, 125, 129, 130–39, 144, 148, 149, 154–58, 170, 172– 74, 177, 184–88, 203–4, 206–8, 211–12 community action committee, 75 community relations program, iv, 19, 63, 64 concluding thoughts, iv, 54 Condorcet’s Reliability Formula, 18 construction costs elementary school, 11 high school, 11 middle school, 11 consultants, 19 Council for Basic Education, 45 Cox, Jim P., xiv Davis, Debbie, xiv Deal, Terry, 40, 44, 58, 59 debt issuance, v, xii, 61, 77, 215 dedication ceremonies, 141

229

deferred maintenance, 5, 28 demographics, changing societal, 14, 73 older residents, 14; special education, 14 Denzin, Norman, 178 direct mail, 34, 135, 177, 187 bulk mailings, 135 dollars needed federal mandates, 9, 10, 63, 77 hazardous substances, 4, 10 major repairs or replacement, 9 door-to-door canvassing. See one-onone contact or campaigning Earthman, Glenn I., 29, 43, 58, 59, 72, 73, 78, 97, 122, 123 economic development, 64, 204 election timetable, 91 Elementary and Secondary Education Act, 28 enrollment in public schools actual, 11–12 decrease, 12 increase, 11–12 projected, 13–14 environmental conditions, 2, 166 negative economic environment, 73 facilities capitalization program, 87 facilities plan, iv, 61, 141, 199 capital development, 69 checklist, v, xii, 61, 211 community relations plan, 63–65 community education, 64 newsletter, 64 costs/benefit ratio, 21, 73, 115 development, 64, 65, 67, 69

230

board policies, 67, 70 five-year building plan, 62 goals, 69 internal system, iv, 65 small group meetings, 120 special needs sessions, 65 long- and short-term plans, 69 planning in debt issuance, v, xii, 61, 215 renovation or renewal, 72 survey of school facilities, 65 facility age, 27 Ferguson, Donald, 122, 123 Fickes, Michael, 48, 59 financing school buildings, iii, 15 anticipation notes, 82, 85 bonding, 16 bond referendums, 17, 23 building reserve funds, 15 California, 17 capital outlay certificates, 80–81, 87, 89, 203, 206 Colorado, 16 general obligation bonds, 80 Iowa, 16, 17 lease financing, 82 notes, 81 pay-as-you-go, 15, 55 South Dakota, 16, 17 warrants, 80, 82, 88 Fogle, Thomas W., 47 Formosan termites, 3 Garfield, Rulon R., 57 Gausman, Paul R., xv General Services Administration, 44 health problems, 4 Americans with Disabilities Act (ADA), 5

INDEX

hazardous substances asbestos, 1, 4, 10 lead in water, 4, 10 materials in UST, 5, 10 radon, 4, 10 indoor air quality (IAQ), 2, 5, 166, 167 lawsuit, 5 long-term, 4 severe allergies, 5 Heinich, Robert, 59 Henry, Tamara, 44, 59 Hereford, Nancy-Jo, 39, 45, 58, 59 Hewitt, Fiona, 57 Hines, Eric, 43, 59 Holloway, John H., 29, 58, 166, 178 Holt, Carleton R., i, ii, iv, xii, 29, 31, 32, 35, 40, 57, 58, 78, 98, 165, 171, 178, 179, 190, 191, 209, 226 Hussar, William J., 57 inadequate buildings condition by state, 6 on-site building, 6 original building, 6 permanent addition, 6 student performance. See school facilities temporary building, 6 information technology needs, 28 Kosar, John E., 46, 47, 59 Kosters, Henry G., 56 Kozol, Jonathan, i, vii, ix Lang, Marlene J., xiii Learning in the Real World, 44 length of campaigns, 20 Lewis, Laurie, et al., 57, 178

INDEX

“life safety” conditions, 27 Lincoln, Yvonna, S., 178 mail, direct, 34, 135 managing conflict, v, 143, 149 communication principles, 149 communication techniques, 150 keeping it simple, 153 preparing written documents, 153 Mann, Dale, 43, 59 marketing philosophy product, know the, 111 target market, know the, 113 marketing techniques, 116 marketing tools, 119 Marti, Lilian, 57 Marx, Gary, 122, 123 Massey, Lance D., i, xv Maxwell, Lorraine, 43 Maxwell, Trevor J. M., xiv McLaughlin, John M., 167, 178 McLean, Ian, 57 media, 130 newspaper, 132 advertisements, 133 articles, 132 letters of support, 21, 34 letters to the editor, 130 radio/tv, 134 community talk shows, 134 public service announcements, 134 relationships, 118 medical researchers, 5 Meierhenry, Todd, xiii, xv, 97, 217, 222 Molenda, Michael, 59 National Association of Bond Lawyers, 84, 97

231

National Center for Educational Statistics, 12, 14 National Education Association, 28, 58, 123, 166 National Rural Education Association, 165 National School Boards Association, ix, viii negative economic environment, 73 Nelson, David R., xiv newsletters, 141 No Child Left Behind Act of 2001, 166, 178 obstacles to facilities development, iii, iii, 9 demographics, 23 “good enough for me,” 14 perceptions of the economy, 23 placement of school building, 22 school design, 22 school enrollment, xi, 12, 73, 74, 165 one-on-one contact or campaigning, 21 opposition groups, 14, 19, 22, 30, 40, 88, 131 organization formats getting started, 158 outline, 155 question/answer, 155, 156 suggestions, 159 tips for proceeding, 158 vocabulary and sentence structure, 157 Ortiz, F. I., 56 Osnes, Shelly R., xiv “persuasion continuum,” 118–19 Peterson, Kent, 40, 44, 58, 59

232

Peterson, Patricia M., i, xiii physical conditions unsatisfactory, 2 poll watchers, v, 137 telephone bank callers, 137 “pork barrel,” 108 positive school climate, 39, 45 project development phase, iv, xii, 55, 77, 79, 99 committees, 100 site, 102 steering, 101,108 structure, 104 property taxes, 12, 73, 106, 112, 115, 151, 152, 167 public enterprise, 1 public meetings, 21, 34, 87, 88, 113 Qualified Zone Academy Bond (QZAB), 39 Reading Recovery program, 42 recent research, iii, 30, 42–44 referendum failure, factors for lack of understanding, 22 school board, 22 tax levy, 22 referendum success, factors for campaign phase, xii, 55 citizens support group, 20, 31, 186 community task force, 23, 170, 172, 173, 174, 176 follow-up phase, 55 governmental agencies, 24, 38, 170, 172, 173 limit tax levy, 24 low profile, 23 media, v, 19, 20, 21, 24, 34, 35, 64, 75, 107, 118, 119, 121, 122,

INDEX

130, 134, 139, 140, 141, 170, 172, 173, 177, 185–88, 207, 213 personal campaigning, 21 preplanning phase, iv, xii, 55, 61 project development phase, iv, 55, 75, 79, 99 public relations, 24, 35, 40, 55, 111, 112, 114, 116–23, 125, 126, 129, 130, 133, 135, 144, 170, 172, 173, 186 school board, iv, 22–25, 29–31, 33–35, 40, 54, 86, 93, 95, 108, 170, 172 voter turnout, 19, 20, 32, 55, 203 “yes” voters, 24, 32, 35, 76, 127, 170, 172, 173 Reider, Darwin, xiii, xv, 90, 97 relationship, school climate and student success, 40 renovation/renewal, 55, 72 Richard, Alan, 57–58, 178 Riley, Richard W., ix, 27 Rivera-Batiz, Francisco L., 57 Rountree, William H., xiv Russell, James D., 59 Rural Educator, The, 163, 165 safety and technology, iv, 46 school premises, 46 closed circuit cameras, 46 metal detectors, 4, 46 Weigand technology cards, 47 Salmon, Richard G., 57 Schapiro, Beth & Associates, 44 school board support, 22 School Building Association, The, 43, 58 school construction sites, 47;

INDEX

security and liability issues, 47 school facilities decline in the conditions, iii, 12 obstacles, iii, 9; student performance, 4, 43, 44 senior citizens, 19, 23, 33, 64, 114 Smaldino, Sharon E., 59 Smith, L., 56 Smith, Roland M., i, xii, xiv, 30, 32, 35, 41, 178, 179 South Dakota Codified Laws Ann., 57 Stamps, Andrea J., xiv Stanford Achievement Test (SAT-9), 49 summary of findings, iv, 53 aligning curriculum, 54 components of facility design, 53 lack of urgency, 53 school millage, 54 technological society, 53, 54 utilizing test data, 54 survey instrument, 36, 50, 51, 52, 67 surveys, conducting, v, xii, 76, 143, 144 analyzing results, 148 non-threatening, 145 recording results, 148 survey script, 146 Swalm, James E., 214 task forces community uses, 106 educational obsolescence, 105 finance options, 106 tax increase limitations, 20 teacher views, iv, 44 telephone survey, 18, 145, 148 timing of campaigns, 20 tutoring for remediation, 51, 52

233

under-utilized buildings, 25 underwriters. See buyer of bonds United States General Accounting Office (GAO/HEHS), 2, 7, 10, 56 unity of purpose, 19 updated recommendations, iii, 29 active citizens support group, 20, 31 bond consultant, services, 35, 188 develop educational specifications, 31, 183 disseminate information, 101, 128, 130, 132, 133 educating the community, 34, 177, 187 extensive information, 34, 186 guidelines, state and federal, 38, 177, 189 identify voter types, 32 involve community leaders, 35, 177, 188 mobilizing community effort, 32 personal contacts, 35, 177, 189 Qualified Zone Academy Bond (QZAB), 39, 58 resources and building plans, 30, 177, 182 selection of sites, 30, 177, 183 state department of education, 36, 37, 198, 201 student success, iii, xii, 35, 39, 40, 44, 184, 185, 189 successful millage campaigns, 31 tax increase perception, 35 unanimous board of education decision, 30 Van Berkkum, Denny, 43, 59 violations asbestos, 1

234

fire code, 1 life safety codes, 2, 9 volunteers commitment, 128, 130, 131, 133 number needed, 127, 128, 131, 132 training, 76 voters, groups of, 114 voter turnout, 19, 32, 55, 203, 213

INDEX

voting attitudes, 115 get-out-the-vote drives, 18 super majority, 17 Watson, Nancy, 123 Wendt, Matthew A., i, xv, 178, 179 Wheeler, Ginger, 33, 58 “When in doubt, vote no,” 19 Willison, James R., xiv, 226

ABOUT THE AUTHOR

Carleton R. Holt is an associate professor of educational administration at the University of Arkansas in Fayetteville, Arkansas, and has an extensive leadership background in the field of education. He served for 28 years as an assistant superintendent and superintendent for school districts in Iowa and South Dakota. He received his Doctorate in adult and higher education from the University of South Dakota. Dr. Holt’s doctoral dissertation was entitled Factors Affecting the Outcomes of School Bond Elections in South Dakota (Holt, 1993). Dr. Holt has had articles on this subject published by The Rural Educator (Holt, Wendt, and Smith, Winter 2006); The AASA Journal of Scholarship & Practice (Holt, Smith, and Capps, 2004); Educational Research Quarterly (Holt, 1996); and School Business Affairs (Holt, 1994). In addition, he is the author of textbooks for educational leaders entitled School Bond Success: A Strategy for Building America’s Schools, 3rd edition (Holt, 2009), available from Rowman & Littlefield Publishers, Inc.; School Bond Success: A Strategy for Building America’s Schools, 2nd edition (Holt, 2002), available from the Scarecrow Publishing Company; and the coauthor of School Bond Success: A Strategy for Building America’s Schools (Boschee and Holt, 1999) with the

235

236

ABOUT THE AUTHOR

Technomic Publishing Company, Inc. In 1999, Dr. Holt received the first annual Alumni Leadership Award from the School of Education at the University of South Dakota, in recognition of outstanding leadership in his profession and his contribution to higher education.