Recommendations

August 2017 School Violence Prevention School Districts, County Offices of Education, and the State Must Do More to Ensure That School Safety Plans Help Protect Students and Staff During Emergencies Report 2016-136 COMMITMENT INTEGRITY LEADERSHIP CALIFORNIA STATE AUDITOR 621 Capitol Mall, Suite 1200 | Sacramento | CA | 95814 916.445.0255 | TTY 916.445.0033 For complaints of state employee misconduct, contact us through the Whistleblower Hotline: 1.800.952.5665 Don’t want to miss any of our reports? Subscribe to our email list at auditor.ca.gov For questions regarding the contents of this report, please contact Margarita Fernández, Chief of Public Affairs, at 916.445.0255 This report is also available online at www.auditor.ca.gov | Alternate format reports available upon request | Permission is granted to reproduce reports Elaine M. Howle State Auditor Doug Cordiner Chief Deputy August 31, 2017 2016-136 The Governor of California President pro Tempore of the Senate Speaker of the Assembly State Capitol Sacramento, California 95814 Dear Governor and Legislative Leaders: As requested by the Joint Legislative Audit Committee, the California State Auditor presents this audit report concerning kindergarten through grade 12 schools’ readiness to respond to emergencies, especially active shooter threats and incidents in and around school sites. This report concludes improvements need to be made to comprehensive school safety plans (safety plans) to ensure students and staff are kept safe, including during active shooter incidents. Safety plans are a collection of procedures that schools use in the event of emergencies and to promote a safe learning environment. Although not required by state law, some public school districts (districts) and county offices of education (county offices) have embraced practices for responding to violent incidents. However, our analysis found that many districts and county offices do not require schools to include these procedures in their safety plans, which precludes these procedures from being vetted and communicated through the established safety plan development process. In addition, our review of safety plans from three districts and three county offices found that plans were missing required procedures used for responding to other emergencies, such as earthquakes, and lacked policies intended to foster a safe learning environment. Specifically, safety plans for schools in the Kern, Placer, and San Bernardino county offices, and the San Bernardino City Unified School District (San Bernardino City Unified) lacked numerous elements, including policies for notifying teachers of dangerous pupils and creating disaster response procedures for pupils with disabilities. Failures by schools to create safety plans that include these and other elements required by state law increase the risk that they will not be prepared to respond to emergencies or help ensure that the schools foster an environment where students can safely learn. Further, we found that districts, county offices, and state agencies have provided schools with weak oversight, resulting in an environment ripe for inadequate emergency responses that may put students and staff at risk. Our review found that the Kern, Placer, and San Bernardino county offices, and San Bernardino City Unified failed to properly monitor schools to ensure that they submitted safety plans and that those plans contained all the elements required by state law. Further, we found that the California Department of Education (CDE) and the California Department of Justice are not providing sufficient guidance to districts or county offices related to ensuring their schools comply with safety plan requirements. Although CDE has provided some guidance to districts and county offices related to safety plans, districts and county offices we reviewed stated that they had not received any information from CDE, or wanted CDE to provide additional resources such as training. Respectfully submitted, ELAINE M. HOWLE, CPA State Auditor 621 Capitol Mall, Suite 1200 Sacramento, CA 95814 916.445.0255 916.327.0019 fax www.auditor.ca.gov iv California State Auditor Report 2016-136 August 2017 Selected Abbreviations Used in This Report CDE California Department of Education DHS U.S. Department of Homeland Security DOJ California Department of Justice EAAP Education Audit Appeals Panel FBI Federal Bureau of Investigation SCO State Controller’s Office California State Auditor Report 2016-136 v August 2017 Contents Summary 1 Introduction 5 Audit Results Safety Plans Need Improvement to Keep Students and Staff Safe During Emergencies, Including Active Shooter Incidents 13 Districts and County Offices Have Failed to Ensure That Schools Are Complying With Safety Plan Requirements 20 Statewide Guidance and Oversight Are Inadequate to Ensure the Safety and Security of Students and Staff 23 Rocklin and the Placer County Office Have Implemented Best Practices to Help Ensure That Safety Plans Are Approved Annually 27 Recommendations 29 Responses to the Audit California Department of Education 31 California State Auditor’s Comment on the Response From CDE 33 California Department of Justice 35 Kern County Office of Education 37 California State Auditor’s Comments on the Response From the Kern County Office of Education 43 Placer County Office of Education 45 California State Auditor’s Comment on the Response From the Placer County Office of Education 47 San Bernardino County Office of Education 49 California State Auditor’s Comments on the Response From the San Bernardino County Office of Education 53 San Bernardino City Unified School District 55 California State Auditor’s Comments on the Response From the San Bernardino City Unified School District 57 vi California State Auditor Report 2016-136 August 2017 Blank page inserted for reproduction purposes only. California State Auditor Report 2016-136 1 August 2017 SUMMARY Results in Brief Audit Highlights . . . Recent active shooter incidents in and around school sites have Our audit concerning K–12 schools’ underscored the importance of procedures for responding to such readiness to respond to emergencies, events. Our review of data obtained from the Federal Bureau of especially active shooter threats and Investigation found that active shooter incidents became more incidents in and around school sites, common between 2000 and 2015, and that kindergarten through revealed the following: grade 12 facilities and institutions of higher education have been the second most common location for those shootings to occur, » State law does not require schools to both nationally and within California. Further, our survey of include procedures for responding public school districts (districts) and county offices of education to active shooter incidents in their (county offices) in California suggests that the number of active comprehensive school safety plans. shooter threats and incidents in and around the State’s schools » Some districts and county offices have has increased since academic year 2012–13. However, state law embraced practices for responding to does not require schools to include procedures for responding to violent incidents, such as including active shooter events in their comprehensive school safety plans lockdown procedures in their (safety plans), a collection of procedures schools use in the event safety plans. of emergencies and to promote a safe learning environment. » Safety plans from four of the six districts State law could improve safety plans by requiring that they and county offices that we reviewed were include procedures for responding to violent incidents, such as missing key policies and procedures to active shooters. Although not required to do so by state law, keep students and staff safe. some districts and county offices have embraced practices for responding to violent incidents similar to practices advocated by » Some districts and county offices are the U.S. Department of Homeland Security and other state and failing to monitor schools appropriately to federal agencies. For example, many of the safety plans we reviewed ensure that they have procedures in place included a procedure known as a lockdown, a process whereby to properly respond to emergencies. students and staff shelter in the nearest building or classroom and secure all interior doors. However, 14 percent of our statewide » CDE and DOJ failed to adequately provide survey respondents indicated that they do not require that safety safety plan training and guidance to plans include a lockdown procedure or other procedures that districts and county offices. specifically address active shooter incidents. We believe requiring these procedures in all safety plans, and bolstering those » CDE has never conducted any oversight requirements with training and periodic drills, could help activities, such as audits, to ensure save lives in the event of a violent incident. that districts and county offices are appropriately approving safety plans We examined 29 safety plans from three districts and three county their schools submit. offices for the presence of 20 key policies and procedures state law requires and found that plans from four of the six districts and » Other districts could benefit from the county offices were missing some of the policies and procedures to best practices we identified, such as keep students and staff safe. Specifically, safety plans we reviewed distributing emergency procedure from the Kern, Placer, and San Bernardino county offices, as templates to all schools and using a well as from the San Bernardino City Unified School District document-tracking system to verify (San Bernardino City Unified), omitted important elements for safety plan submissions and approvals. fostering a safe learning environment. For example, 14 of the 16 safety plans we reviewed for schools at these four entities lacked procedures to notify teachers of dangerous pupils in their classes. 2 California State Auditor Report 2016-136 August 2017 Further, safety plans we reviewed from these four entities lacked some procedures for responding to emergencies. The omission of these elements from safety plans increases the risk that the schools will be unprepared to respond to emergencies, or that the schools will fail to foster an environment where students can safely learn. Moreover, San Bernardino City Unified told us that a number of its schools may be operating wholly without safety plans. In addition, we found that some districts and county offices have not provided schools with sufficient oversight, which could lead to inadequate emergency responses that are based on insufficient or absent safety plans. State law requires all districts and county offices to review safety plans by March 1 each year. However, our evaluation found that the Kern, Placer, and San Bernardino county offices, and San Bernardino City Unified failed to properly monitor their schools to ensure that they submitted safety plans and that the plans contained all the elements state law requires. For example, San Bernardino City Unified has not formally approved a safety plan in the last five years, and during 2017, 15 of 73 schools required to submit safety plans to the district failed to do so. Similarly, the Kern county office had only one safety plan for all of the community schools it oversees, even though state law requires county offices to oversee the development and submission of safety plans by their individual school sites. These districts and county offices are failing to monitor schools appropriately to ensure that they have procedures in place to operate in a safe manner. This lack of oversight may put students and staff at risk, because they may not know how to properly respond to an emergency. Further, we found that the California Department of Education (CDE) is not providing sufficient guidance to districts or county offices to help them ensure that their schools comply with safety plan requirements. Although CDE has provided some guidance to districts and county offices related to safety plans, given the number of errors we identified in our review and the responses we received to our interview and survey questions, its guidance appears to be insufficient. The Kern county office and San Bernardino City Unified explained that they were unaware of CDE’s guidance, either because that guidance had not made it to the correct employee or because CDE sends numerous letters throughout the year. Thus, these letters may have been overlooked. The Kern and San Bernardino county offices noted that their noncompliance stems from a lack of understanding of the state law. In addition, CDE and the California Department of Justice (DOJ) failed to maintain the activities of the school–law enforcement partnership (partnership). Established by state law, this partnership requires CDE and DOJ to provide safety plan training and guidance to districts and county offices, including holding regional conferences California State Auditor Report 2016-136 3 August 2017 and conducting assessments. Even though only two of the partnership’s activities were contingent upon appropriations from the Legislature, CDE and DOJ staff stated that they ceased conducting these functions due to budget cuts. Because neither entity actively participates in the partnership, none of these important activities have taken place in recent years. Moreover, CDE has never conducted any oversight activities, such as audits, to ensure that districts and county offices are appropriately approving safety plans that their schools submit. State law requires county offices and districts to notify CDE annually of schools that have failed to comply with safety plan requirements. However, CDE stated that it has not received one notification of noncompliance since the Legislature implemented the requirement in 1997. If CDE had conducted a survey or audit similar to the work we performed for this report, it would have found that districts’ and county offices’ schools were failing to submit safety plans. Until the State takes steps to increase oversight of districts’ and county offices’ compliance with state laws related to safety plans, it will not know whether these entities need to do more to safeguard students and staff at California’s schools. We also found that some districts and county offices have processes in place to help ensure that schools include the required elements in their safety plans and submit the plans to them for approval. For example, our review of safety plans at Rocklin Unified School District found that its safety plans largely complied with state law. Other districts and county offices could benefit from the best practices we identified, such as distributing emergency procedure templates to all schools in the district and using a document‑tracking system to verify that all safety plan submissions and approvals occur in a timely manner. Selected Recommendations To ensure that students and staff are prepared to respond to violent incidents on or near school sites, the Legislature should require that safety plans include procedures, such as lockdowns, recommended by federal and state agencies. To ensure that districts and county offices are complying with state law each year, the Legislature should require CDE to conduct an annual statewide survey to determine whether schools have submitted plans, and to verify that the plans have been reviewed and approved by their respective district or county office. The Legislature should also require CDE to issue an annual report detailing the survey’s results. 4 California State Auditor Report 2016-136 August 2017 To ensure that districts and county offices properly review and approve safety plans as required, CDE should provide additional guidance regarding district and county office responsibilities under state law. To ensure that districts, county offices, and schools receive guidance on a variety of safety issues, CDE and DOJ should resume their partnership activities, as required by state law. To ensure that their schools’ safety plans comply with state law and are submitted and approved on or before March 1 each year, the Kern, Placer, and San Bernardino county offices, and San Bernardino City Unified should implement procedures to monitor and approve their schools’ safety plans. The procedures should include the use of electronic document‑tracking services and safety plan templates. Agency Comments CDE disagreed with our recommendation to provide additional guidance to districts and county offices regarding building disaster plans, but stated it would update and correct its safety plan compliance checklist and initiate meetings in 2017 with the DOJ to explore the possibility of resuming the partnership’s activities. DOJ also stated that it will work with CDE to identify the resources needed to resume the partnership’s activities. The Kern, Placer, and San Bernardino county offices and San Bernardino City Unified disagreed with some of our findings, particularly related to the elements missing from their respective safety plans. In addition, the Kern county office considered its community schools to fall within the small schools exception in state law, and thus claimed it was not required to review and approve safety plans for each of its school sites. Related to its court schools, the Kern county office stated that because its court schools were under the primary supervision of the county’s probation department, the court schools’ safety plans did not need to include all policies and procedures required by state law. Similar to Kern county’s assertion, the San Bernardino county office believed that its schools fell within the small school district exception in state law. The Placer county office believed that some procedures we identified as missing in its schools’ safety plans were available elsewhere. San Bernardino City Unified believed it had accomplished the results envisioned under the safety plan legislation by focusing on training and drills. Despite their disagreements with certain audit findings, the Kern, Placer, and San Bernardino county offices and San Bernardino City Unified all agreed to improve their review and approval processes concerning safety plans. The Rocklin and Taft districts did not provide a response to the audit. California State Auditor Report 2016-136 5 August 2017 INTRODUCTION Background The California Constitution guarantees California children the right to attend public schools that are safe, secure, and peaceful. The educational institutions of California, such as the California Department of Education (CDE), public school districts (districts), county offices of education (county offices), and the schools themselves are responsible for creating safe and secure learning environments. To keep children safe, schools must be prepared to respond to a range of challenges, including natural disasters, such as earthquakes. Further, some schools have procedures for dealing with man‑made hazards, such as bomb threats and chemical spills and behavior issues, such as bullying. Recent events have highlighted the challenges schools face preparing for and responding to incidents of school violence, including active shootings. School-Based Violence and Active Shooter Incidents Are on the Rise The results of a statewide survey of districts and county offices conducted as part of this audit suggest that the frequency of active shooter threats and incidents in and around California schools is increasing.1 We surveyed 983 districts and county offices regarding active shooter threats and incidents at their schools and received 348 completed responses—a response rate of 35 percent. The survey responses indicate that the number of active shooter threats and incidents has increased since academic year 2012–13, as shown in Table 1 on the following page. Further, two studies undertaken by the Federal Bureau of Investigation (FBI) showed that active shooter incidents are becoming more frequent in the United States. As shown in Figure 1 on page 7, the frequency of active shootings increased from 2000 through 2015. In addition, the FBI’s examination of 200 active shootings in the United States from 2000 to 2015 found that kindergarten through grade 12 (K–12) facilities and institutions of higher education were the second most common location of active shootings, both in the United States and in California, as shown in Figure 2 on page 8. Of the 200 active shootings in the United States during that time period, 45 took place in K–12 facilities and institutions of higher education. In California, there were 22 active shootings from 2000 through 2015, six of which occurred at K–12 facilities or institutions of higher education. Of the 45 active shootings in K–12 facilities or institutions of higher education in the United States that the FBI documented, 18 (40 percent) took place 1 The FBI defines an active shooter as one or more individuals actively engaged in killing or attempting to kill people in a populated area. Implicit in this definition is that the subjects’ criminal actions involve the use of firearms. 6 California State Auditor Report 2016-136 August 2017 during the first half of the study’s time period (2000–2007), while 27 (60 percent) took place during the second half (2008–2015). Of the six such shootings in California, two (33 percent) took place during the first half of the study’s time period and four (67 percent) took place during the second half. These results are consistent with the trends seen in our survey data and, taken together, suggest that active shootings in schools nationwide and in California are on the rise. Table 1 California Districts and County Offices Reported Increased Active Shooter Threats and Incidents Over the Last Five Academic Years REPORTED BY FISCAL YEAR Districts 2012–13 2013–14 2014–15 2015–16 2016–17 THREATS 9 9 15 29 27 INCIDENTS 2 1 0 3 3 County Offices THREATS 11 11 16 17 11 INCIDENTS 1 0 0 3 1 Totals 23 21 31 52 42 Sources: A survey by the California State Auditor sent to 983 districts and county offices conducted from March to April 2017, with 348 entities responding, and unaudited data from Los Angeles Unified School District’s iSTAR database. Note 1: We conducted the survey before the end of the school year. Thus, data are as of April 2017 and do not reflect the full school year. Note 2: For the purposes of this survey, we defined an active shooter incident as an event in which one or more individuals were actively engaged in harming or attempting to harm people on or near school grounds. We defined an active shooter threat as a real or perceived threat that an active shooter incident will occur. School Safety Plans Are a Key Component of School Safety Comprehensive school safety plans (safety plans) are a key component of school safety and are required by state law. Safety plans are a collection of procedures for schools to use in the event of an emergency, as well as policies to promote a safe learning environment, including procedures for notifying teachers of potentially dangerous students. In 1985 the Legislature enacted the Interagency School Safety Demonstration Act of 1985 (school safety act) to address school safety concerns. State law specifies that each district and county office is responsible for the overall development of all safety plans for its schools that operate kindergarten or any grades 1 through 12, inclusive.2 The Legislature enacted the school safety act to support the development, through a systematic planning process, of safety 2 Small districts with 2,501 or fewer students may choose to meet this requirement by developing a districtwide comprehensive safety plan that is applicable to each school site. California State Auditor Report 2016-136 7 August 2017 Figure 1 Frequency of Active Shooter Incidents in the United States Has Increased Over Time 30 26 25 United states Active Shooter incidents 21 20 20 19 20 California 17 active Shooter incidents 14 15 11 10 10 9 10 8 6 4 4 5 3 3 3 2 2 2 2 1 1 1 1 1 1 0 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 YEAR stnedicnI retoohS evitcA fo rebmuN Source: California State Auditor’s analysis of data from the FBI’s Study of Active Shooter Incidents in the United States, 2000–2015. plans that include strategies aimed at the prevention of crime and violence on school campuses. The school safety act lists specific requirements that the safety plans must contain as well as optional components schools may include at their discretion. For example, required items include policies and procedures for the following: • Policies relating to discrimination and harassment. • Procedures for notifying teachers of dangerous pupils. • Procedures for preparing for and responding to disasters, such as earthquakes. • Procedures for coordinating with local emergency response agencies. 8 California State Auditor Report 2016-136 August 2017 Figure 2 K–12 Schools and Institutes of Higher Education Are the Second Most Common Location for Active Shooting Incidents Commerce Education Government Open Space Other 45 (22%) 6 (27%) 88 (44%) 10 (45%) United States California incidents total incidents total 200 22 24 (12%) 4 (18%) 22 (11%) 21 (11%) 1 (5%) 1 (5%) Source: California State Auditor’s analysis of data from the FBI’s Study of Active Shooter Incidents in the United States, 2000–2015. State law does not require charter schools to have safety plans, but charter school petitions must include procedures the charter school will follow to ensure the health and safety of pupils and staff. CDE guidance states that safety is central to the daily operation of a school, and that school safety starts with the development of a comprehensive school safety plan. Schools with comprehensive safety plans that include all the required elements may provide a safer environment for students and staff and make them better prepared to respond effectively in the event of an emergency. Districts and county offices are legally responsible for ensuring that the schools they supervise develop adequate safety plans in a specific manner. As shown in Figure 3, at each school the school site council (council)—comprising at a minimum the school’s principal or the principal’s designee, a teacher, a parent of a child who attends the school, and a school employee who is not a teacher—develops California State Auditor Report 2016-136 9 August 2017 Figure 3 State Law Requires Public Schools to Follow a Multistep Process to Develop a Safety Plan At each school, the council—generally composed of the school’s principal, teachers, other school personnel who are not teachers, and parents—develops the school’s safety plan each year.* The council consults with a representative from a law enforcement agency in the writing and development of the safety plan. Schools submit safety Before adopting its safety plans to the district or plan, the council holds a county office for public meeting at the school approval. The safety site to discuss the safety plan. plans must be approved by March 1 each year. Districts and county offices must notify CDE The finalized safety plan by October 15 of each contains strategies aimed at the year of any schools that prevention of potential crime have not developed a and violence at the school. safety plan. Source: Education Code. * The council may also delegate the responsibility of developing a safety plan to a school safety planning committee (committee) generally composed of the same members. Districts with fewer than 2,501 average daily attendance are considered small districts and only need to develop a districtwide safety plan that is applicable to each school site. the school’s safety plan.3 State law also requires the council to consult with a representative from a law enforcement agency when writing and developing the safety plan. After adopting a safety plan, each school must submit its plan to its respective district or county office for approval. Districts and county offices must approve their schools’ safety plans by March 1 each year. Although each school develops its own safety plan, the school safety act makes clear that the districts and county offices are responsible for the overall 3 The school may also designate the responsibility for developing and writing its safety plan to a committee. 10 California State Auditor Report 2016-136 August 2017 development of safety plans for all the schools they supervise. State law requires districts and county offices to notify CDE by October 15 each year of any schools that have not developed a safety plan and requires CDE to fine districts and county offices up to $2,000 for willful failure to report those schools without a safety plan. State law does not require that safety plans include procedures for responding to active shooters in and around school sites. However, schools have discretion to include a variety of optional items related to school violence in their safety plans. For example, schools may coordinate with local law enforcement officials to develop tactical response plans to respond to criminal incidents that may result in death or serious bodily injury at the school site. Some schools’ safety plans include procedures for responding to active shooters, such as locking down all classrooms to prevent unauthorized entry. The Sandy Hook Advisory Commission, a group established after the active shooting at Sandy Hook Elementary in Connecticut in 2012, recommended that schools implement specific procedures for responding to violent events. For example, it recommended the implementation of perimeter lockout procedures to lock all exterior doors and gates, as well as interior lockdown procedures during which all the interior doors throughout the school site are locked while students and teachers shelter in their classrooms as a means of preventing or delaying an intruder from entering these areas. During the 2015–16 Regular Session, Assembly Bill 58 (AB 58) proposed changes to state law that would have required schools to incorporate procedures for responding to active shooters into their safety plans. AB 58 would also have increased oversight on districts and county offices by requiring superintendents to provide written notification to CDE certifying that each school within their jurisdiction had complied with the requirement to adopt a safety plan. Analysis of the bill indicated potentially significant reimbursable costs to districts and county offices for these activities. An analysis prepared for the Senate Appropriations Committee found that if the Commission on State Mandates determined AB 58 to be a mandate, it could create pressure to increase state funding for the K–12 Mandate Block Grant to reflect its inclusion. Although the Assembly approved AB 58, the Senate Appropriations Committee referred it to the suspense file, where no further action was taken. Scope and Methodology The Joint Legislative Audit Committee (Audit Committee) directed the California State Auditor to perform an audit to examine K–12 schools’ readiness to prevent, identify, and respond to school‑based violence, particularly active shooter threats and incidents in and around school campuses. Table 2 outlines the Audit Committee’s objectives and our methods for addressing them. California State Auditor Report 2016-136 11 August 2017 Table 2 Audit Objectives and the Methods Used to Address Them AUDIT OBJECTIVE METHOD 1 Review and evaluate the laws, rules, and • Reviewed the laws related to protecting students and staff from violent events regulations significant to the audit objectives. at schools. • Reviewed and documented the laws related to safety plans. • Reviewed laws related to CDE monitoring and guidance requirements. 2 Determine the type and level of guidance CDE • Identified the guidance the Legislature requires CDE to provide related to the safety has provided to K–12 schools, charter schools, of students and staff on campus, including guidance related to active shooters, and districts, and county offices related to ensuring obtained evidence of that guidance. the safety of students and staff on campus, • Interviewed CDE and California Department of Justice (DOJ) personnel to including guidance related to active shooters determine whether they complied with requirements related to the school–law or assailants. enforcement partnership (partnership). • Determined partnership funding for fiscal years 2000–01 through 2015–16. 3 Evaluate and assess how CDE monitors districts’ Reviewed CDE’s oversight role related to school safety and determined whether it was and county offices’ compliance with state laws, complying with those requirements. regulations, and guidelines related to preventing, identifying, and responding to school-based violence or ensuring the safety of students and staff on campus. 4 Determine the number of districts and county Determined whether CDE had received reports of noncompliance from districts offices that have reported school noncompliance or county offices and whether our selected districts and county offices reported with state law regarding the submission of noncompliance to CDE. safety plans to CDE. In addition, evaluate CDE’s response to such notifications. 5 To the extent possible, determine the number • Reviewed information on active shooters obtained from the FBI. of active shooter threats or incidents that have • Surveyed 983 districts and county offices about school violence, active shooter occurred in and around K–12 schools statewide. incidents, and safety plans. 6 For a selection of schools, districts, county offices, • Selected San Bernardino City Unified School District (San Bernardino City Unified), and charter schools, including at least one small Taft Union High School District (Taft), Rocklin Unified School District (Rocklin), and the district and one district located in San Bernardino Kern, Placer, and San Bernardino county offices for review based on a variety of factors, County, determine the following: including prior history of active shooter incidents and geography. a. Whether schools, districts, county offices, • Determined whether a selection of schools at each district and county office had and charter schools are complying with laws submitted an updated safety plan for 2017 and whether the schools submitted plans by requiring the development and submission of the March 1 deadline. a comprehensive safety plan. • Determined whether each district and county office had approved the plans for a selection of schools by March 1, 2017. • For a selection of schools, determined whether the district retained a copy of approved safety plans for the last five years. • Determined whether the selected districts and county offices tracked whether schools had submitted updated safety plans each year and assessed the adequacy of the district’s safety plan approval process. Districts and county offices are not required to review and approve charter safety plans and charter schools are not required to submit them. b. The number of active shooter threats or • Interviewed district staff and principals from one charter school and at least one public incidents that have occurred in or around school from each district, about whether they handled the violent event near them in the selected school campuses. In addition, accordance with their safety plans and whether those plans were adequate to respond determine how the incidents were handled to the violent event. and assess whether the incidents were • Obtained any documentation of other policies and procedures related to active shooter handled in accordance with the safety plan incidents, and implemented by the selected districts and county offices, that might be or other guidance. considered best practices. continued on next page . . . 12 California State Auditor Report 2016-136 August 2017 AUDIT OBJECTIVE METHOD c. Whether the safety plan of the • Reviewed a selection of 29 safety plans from three districts, three county offices, and selected schools, districts, county offices, two charter schools to determine whether they contain all of the elements required by and charter schools includes all elements state law and whether the safety plans included additional elements related to active required by law. Assess whether the safety shooter incidents or violent events. plan includes more elements than required • Reviewed whether the selected plans include additional optional elements, such as by law and determine the nature and provisions related to airplane crashes and civil disobedience. source of any additional elements. Further, • Reviewed additional elements from the selected plans to determine whether they determine whether the additional elements comply with best practices advocated by state and federal agencies. are and should be considered best practices. d. Whether the selected schools, districts, • Determined what guidelines are available from CDE, the FBI, the U.S. Department of county offices, and charter schools are Homeland Security (DHS), and other state and federal agencies. State law does not complying with existing laws and guidelines require schools to have procedures for responding to violent incidents, including active related to school safety, particularly in the shooter incidents. areas that include, but are not limited to, • Reviewed a selection of safety plans to determine whether they contained elements campus violence and active shooter threats related to active shooter incidents or violent events. For those safety plans that and incidents. included additional elements, determined whether CDE, DHS, and other applicable agencies advocated the elements as best practices. e. The types and levels of planning, training, • Determined the trainings and drills the FBI, DHS, and other federal entities advocate and drills the selected schools, districts, for responding to active shooter incidents and other violent situations. county offices, and charter schools employ • Interviewed staff from the three county offices to determine what support and to respond to active shooter threats and assistance they provide to schools. incidents in and around campuses. Determine • Determined whether the selected districts and county offices require drills and and evaluate whether the planning, training, trainings related to active shooter events and if they comply with practices advocated and drills are evidence-based or considered by the FBI. best practices. f. Whether the selected schools, districts, county • Interviewed school and district staff to determine if schools are coordinating with law offices, and charter schools are effectively enforcement before updating their safety plans as required by state law. engaging with other schools or districts, • Determined whether a selection of schools from our selected districts and county parents, and the community in maintaining offices held public meetings or met with law enforcement before updating their safe school environments. safety plans. 7 Review and assess any other issues that are We did not identify any additional issues that are significant to the audit. significant to the audit. Sources: California State Auditor’s analysis of the Audit Committee’s audit request 2016-136, planning documents, and information and documentation identified in the table column titled Method. California State Auditor Report 2016-136 13 August 2017 Audit Results Safety Plans Need Improvement to Keep Students and Staff Safe During Emergencies, Including Active Shooter Incidents Schools use safety plans when planning for and responding to emergencies. Although DHS and other state and federal agencies recommend having procedures for responding to active shooter incidents, state law does not require that California schools include these procedures in their safety plans. Consequently, our analysis found that many districts and county offices do not require their schools to include these procedures in their safety plans. Schools without such procedures may be unprepared to respond adequately in the event of an active shooting. In addition, our review of safety plans from three districts and three county offices found that some safety plans were missing required procedures for responding to other emergencies, such as earthquakes, and lacked policies intended to foster a safe learning environment. State Law Should Require Additional Measures to Better Protect Students and Staff During Violent Incidents Fourteen percent of the statewide survey respondents indicated that they do not require their schools’ safety plans to include procedures to specifically address the threat of active shooter incidents, in part because state law does not require school sites to include active shooter response elements, such as lockdowns and evacuations, in their safety plans. In addition, even though all the districts and county offices we reviewed reported participating in or providing elements of school safety training, each lacked a policy mandating that all schools conduct active shooter training or drills periodically. For example, the San Bernardino City Unified superintendent noted that lockdown, lockout, and active shooter drills were important, but that the district had not mandated them because there was no statutory requirement to do so. Districts and county offices with schools that have experienced violent incidents reported that having appropriate response procedures in place was instrumental in the protection of students and staff. For example, Taft and San Bernardino City Unified have each experienced a violent incident within the past five years. In 2013 a Taft High School student entered a classroom and opened fire with a shotgun, wounding one student before law enforcement took him into custody. In April 2017, the husband of a North Park Elementary school teacher at San Bernardino City Unified shot and killed the teacher and one student and injured another student before fatally shooting himself. During these two incidents, both schools implemented lockdown procedures. A lockdown procedure 14 California State Auditor Report 2016-136 August 2017 generally requires students and staff to proceed inside the nearest building or classroom and lock interior doors. Further, students and staff must remain silent and stay out of sight. Finally, staff are not to open doors until given an all‑clear signal by law enforcement. Taft’s current assistant principal, who was at the school at the time of the 2013 active shooter incident, stated that the lockdown procedure saved lives. San Bernardino City Unified also indicated that North Park Elementary implemented a lockdown during its active shooter incident, which the superintendent of San Bernardino City Unified noted was integral to containing the incident. San Bernardino City Unified does not require all of its schools to include lockdown procedures in their safety plans, but many of the schools we reviewed elected to do so. According to the superintendent, the district is planning to require all of its schools to include lockdown and lockout procedures in their 2018 safety plans. Most districts and county offices Our statewide survey results also found that most districts and are beginning to acknowledge the county offices are beginning to acknowledge the importance of importance of requiring that their requiring that their schools’ safety plans address active shooter schools’ safety plans specifically threats or incidents. Specifically, 86 percent of districts and county address active shooter threats offices, or 298 out of 348 survey respondents, indicated that they or incidents. require that safety plans specifically address active shooter threats or incidents. Furthermore, safety plans we reviewed from schools at Kern, Placer, and San Bernardino county offices, as well as San Bernardino City Unified, Rocklin, and Taft, included some level of planning for active shooter or violent incident response, as shown in Table 3. Although the trends indicate that districts and county offices are taking steps to include active shooter response procedures independent of a statutory requirement, a requirement in state law would help ensure that all schools are prepared to respond to violence in and around school sites. Moreover, if state law required such planning, districts and county offices that are already providing drills and trainings designed to support school sites during violent events would likely do so more consistently. Our statewide survey also shows that some districts and county offices are not providing any training or drills to students and staff for responding to active shooters. The FBI recommends providing students with training so that they will know how to react during potentially dangerous or threatening situations. Additionally, it recommends providing initial and ongoing training to staff. Further, a guide for developing school emergency plans prepared by various federal agencies states that schools should conduct drills and exercises to provide opportunities to practice with first responders and identify weaknesses in the procedure. Although 88 percent of districts (282 of 319) and 69 percent of county offices (20 of 29) that responded to our survey reported that they provide California State Auditor Report 2016-136 15 August 2017 training on active shooter situations, some schools across the State do not receive training and may be unprepared to respond to a violent incident. Table 3 Comprehensive Safety Plans Often Include Optional Elements Relating to School Violence COUNTY OFFICES DISTRICTS SAN BERNARDINO KERN PLACER SAN BERNARDINO CITY UNIFIED ROCKLIN TAFT* OPTIONAL SAFETY PLAN ELEMENTS 2 PLANS 2 PLANS 2 PLANS 10 PUBLIC 1 CHARTER 10 PUBLIC 1 CHARTER DISTRICT RELATING TO SCHOOL VIOLENCE EXAMINED EXAMINED EXAMINED SCHOOLS SCHOOL SCHOOLS SCHOOL SAFETY PLAN* Lockdown procedures 1 of 2 2 of 2 1 of 2 9 of 10 Yes 10 of 10 Yes Yes Lockout procedures (securing all school entry points) 0 of 2 0 of 2 0 of 2 4 of 10 No 0 of 10 No Yes Other active shooter procedures 1 of 2 2 of 2 0 of 2 4 of 10 Yes 10 of 10 Yes Yes Procedures in the event of other violent incidents, such as a bomb 1 of 2 2 of 2 2 of 2 8 of 10 Yes 10 of 10 Yes Yes threat or sniper Evacuation procedures 2 of 2 2 of 2 2 of 2 10 of 10 Yes 0 of 10 No Yes Sources: California State Auditor’s analysis of safety plans from schools at the Kern, Placer, and San Bernardino county offices and the San Bernardino City Unified, Rocklin, and Taft districts. = Doing well = Could improve = Poor * Taft is a certified small school district with fewer than 2,501 students and is only required to have one safety plan for all schools in the district. In addition to making active shooter response procedures a mandatory part of the safety plans, districts and county offices should consider best practices that further improve entities’ abilities to respond to active shooter incidents and include them in their safety plans. Federal agencies recommend that schools and organizations implement specific procedures for responding to active shooter incidents, such as lockdowns and evacuations. For example, the U.S. Department of Education, Federal Emergency Management Agency, and Sandy Hook Advisory Commission advocate that safety plans include lockdown procedures. As described in the text box on the following page, procedures for responding to active shooter incidents consist of a variety of elements, including hiding in a place that does not restrict movement and seeking to escape as an initial response. Additionally, San Bernardino City Unified also advocates for 16 California State Auditor Report 2016-136 August 2017 a procedure known as a lockout, which consists of Federal, State, and Local Agencies locking all perimeter doors, windows, and gates in Advocate Various Procedures for a facility to prevent access by a potential assailant. Responding to Active Shooter Incidents LOCKDOWN PROCEDURES: Many School Safety Plans Were Missing Required • Students and staff proceed inside the nearest Procedures Meant to Protect Students and Staff building or classroom and lock interior doors. • Turn out the lights, stay out of sight, and maintain silence. Although state law does not require that schools • Remain in place until given an all-clear signal by include an active shooter response procedure in identifiable law enforcement officers. their safety plans, it does require K–12 schools that are supervised by districts and county offices LOCKOUT PROCEDURES: to have individual safety plans that include other • Students and staff return to the inside of the school specific elements. As shown in Table 4, we reviewed building and lock perimeter gates and doors. 20 required key safety plan elements, which we • Staff can continue instruction but should maintain sorted into three categories: requirements related to increased situational awareness to determine if additional steps are needed. developing and submitting the safety plan, policies for assessing school climate and maintaining a EVACUATION PROCEDURES: safe learning environment, and procedures for • School leaders facilitate evacuation to a responding to disasters and emergencies. Our predetermined location. review of 27 safety plans at three districts and • School leaders take roll and report any missing, three county offices found that many were missing injured, or extra students or persons. required processes and procedures intended to keep RUN, HIDE, FIGHT PROCEDURES: students and staff safe while at school. We did not include charter schools in our count of plans that Run did not meet state law requirements because charter • If there is an accessible escape path, attempt to evacuate. schools are not required to develop safety plans • Have an escape route and plan in mind. unless mandated by their charter petitions. As we detail later in this report, deficiencies in the safety • Take others with you, but do not stay behind because they refuse to leave. plans we tested were the result of lax oversight by the districts and county offices we reviewed, as well Hide as inadequate statewide guidance and oversight. • If evacuation is not possible, find a place to hide where the active shooter is less likely to find you. Safety plans at four of the six entities we • Take steps to prevent the active shooter from entering your hiding place: Lock and blockade doors. reviewed—the Kern, Placer, and San Bernardino • Your hiding place should not trap you or restrict county offices, and San Bernardino City Unified— your options for movement. failed to include several of the elements related to developing and submitting safety plans (elements 1 Fight through 5 in Table 4). For example, nine of the • This should be done as a last resort, and only when your life is in imminent danger. 16 safety plans we reviewed were not evaluated or amended as needed at least once each year as • Acting as aggressively as possible, attempt to disrupt or incapacitate the shooter. state law requires. In one instance, a Kern county • Throw items and improvise weapons. office school had not updated multiple elements of its safety plan since 2011, including emergency Source: California State Auditor’s analysis of best practices response procedures. In another example, Placer advocated by DHS, U.S. Department of Education, CDE, San Bernardino City Unified, and Placer county offices. county office also had not updated or approved safety plans for any site since their creation by a contractor in 2014. According to the CDE and California Department of Justice (DOJ), schools California State Auditor Report 2016-136 17 August 2017 derive major benefits from the mandated yearly evaluation of safety plans. Failure to conduct yearly updates may result in plans retaining insufficient policies and procedures for multiple years. Table 4 Many Safety Plans Failed to Comply With State Law COUNTY OFFICES DISTRICTS SAN BERNARDINO KERN PLACER SAN BERNARDINO CITY UNIFIED ROCKLIN TAFT WE TESTED 20 KEY COMPREHENSIVE DISTRICT SAFETY PLAN ELEMENTS 2 PLANS 2 PLANS 2 PLANS 10 PUBLIC 1 CHARTER 10 PUBLIC 1 CHARTER SAFETY REQUIRED BY STATE LAW EXAMINED EXAMINED EXAMINED SCHOOLS SCHOOL* SCHOOLS SCHOOL* PLAN† Development & Submission 5–1 stnemelE 1 Comprehensive safety plan is written and developed by a 0 of 2 0 of 2 0 of 2 1 of 10 No 10 of 10 Yes Yes council or committee 2 Council or committee consulted with a representative from a law 2 of 2 2 of 2 1 of 2 0 of 10 No 10 of 10 Yes Yes enforcement agency in the writing and development of the safety plan 3 School submitted the safety plan to the district or county office 1 of 2 0 of 2 0 of 2 10 of 10 Yes 10 of 10 Yes Yes for approval 4 Council or committee communicated the safety plan 0 of 2 0 of 2 0 of 2 0 of 10 No 10 of 10 Yes Yes to the public at a public meeting at the school site 5 School evaluated and amended the plan as needed and at least 0 of 2 0 of 2 1 of 2 6 of 10 No 10 of 10 Yes Yes once each year School Climate & Environment 31–6 stnemelE 6 Assessment of crime at the school 1 of 2 0 of 2 0 of 2 1 of 10 No 10 of 10 Yes Yes and at school-related functions 7 Child abuse reporting procedures 1 of 2 0 of 2 1 of 2 0 of 10 No 10 of 10 Yes Yes 8 Suspension/expulsion policies 1 of 2 0 of 2 1 of 2 2 of 10 No 10 of 10 Yes Yes and procedures 9 Procedures for notifying teachers 1 of 2 0 of 2 0 of 2 1 of 10 No 10 of 10 Yes Yes of dangerous pupils 10 Discrimination and 1 of 2 0 of 2 1 of 2 1 of 10 No 10 of 10 Yes Yes harassment policy 11 Procedures for safe ingress and egress of pupils, parents, 1 of 2 0 of 2 1 of 2 2 of 10 No 10 of 10 Yes Yes and employees 12 A safe and orderly environment 1 of 2 0 of 2 1 of 2 2 of 10 No 10 of 10 Yes Yes conducive to learning 13 Rules and procedures on 1 of 2 0 of 2 1 of 2 1 of 10 No 10 of 10 Yes Yes school discipline continued on next page . . . 18 California State Auditor Report 2016-136 August 2017 COUNTY OFFICES DISTRICTS SAN BERNARDINO KERN PLACER SAN BERNARDINO CITY UNIFIED ROCKLIN TAFT WE TESTED 20 KEY COMPREHENSIVE DISTRICT SAFETY PLAN ELEMENTS 2 PLANS 2 PLANS 2 PLANS 10 PUBLIC 1 CHARTER 10 PUBLIC 1 CHARTER SAFETY REQUIRED BY STATE LAW EXAMINED EXAMINED EXAMINED SCHOOLS SCHOOL* SCHOOLS SCHOOL* PLAN† Disaster & Emergencies 02–41 stnemelE 14 Routine and emergency disaster 1 of 2 2 of 2 1 of 2 10 of 10 Yes 10 of 10 Yes Yes response procedures 15 Adaptations of routine and emergency disaster response 0 of 2 0 of 2 0 of 2 1 of 10 No 0 of 10 No Yes procedures for pupils with disabilities 16 Earthquake drop procedure 1 of 2 2 of 2 2 of 2 10 of 10 Yes 10 of 10 Yes Yes (students and staff take cover) 17 Frequency of drop procedure drills: at least once per quarter in 0 of 2 2 of 2 0 of 2 4 of 10 No 10 of 10 Yes Yes elementary, once per semester in secondary 18 Protective measures to be taken before, during, and after 2 of 2 2 of 2 2 of 2 10 of 10 Yes 10 of 10 Yes Yes an earthquake 19 Program to ensure that pupils and certificated and classified 0 of 2 2 of 2 1 of 2 7 of 10 No 10 of 10 Yes Yes staff are aware of and are trained in the earthquake procedures 20 Procedures to allow a public agency, including the American Red Cross, to use school buildings, 0 of 2 0 of 2 1 of 2 0 of 10 No 10 of 10 Yes No grounds, and equipment for mass care and welfare shelters during an emergency Sources: California State Auditor’s analysis of safety plans from schools at the Kern, Placer, and San Bernardino county offices, and the San Bernardino City Unified, Rocklin, and Taft districts. = Doing well = Could improve = Poor * Under state law, charter schools are exempt from the requirements related to developing and updating safety plans. † Taft is a certified small school district with fewer than 2,501 students and is required to have only one safety plan for all schools in the district. In addition, none of the 16 schools whose safety plans we reviewed from these four entities communicated their safety plan during a public meeting at the school site. Each of the schools failed to comply with requirements that their safety plans be updated by individual councils or committees made up of certain community members. According to CDE and DOJ, community collaboration is necessary to achieve the desired results of a comprehensive and effective safety plan. Further, one plan from the San Bernardino county office and all of the safety plans we reviewed for San Bernardino City Unified did not provide evidence that the schools met the requirement that they consult with a law enforcement representative when developing their safety plan. California State Auditor Report 2016-136 19 August 2017 According to CDE and DOJ, partnerships between schools and law enforcement can be invaluable in meeting the needs of students at risk of committing violent acts. Law enforcement partnerships can also help schools set up referral systems so that these students When schools do not engage with receive comprehensive behavioral support from a variety of law enforcement or the public community agencies. When schools do not engage with law before updating their safety enforcement or the public before updating their safety plans, they plans, they miss an opportunity to miss an opportunity to benefit from the knowledge and perspective benefit from the knowledge and of these stakeholders. perspective of these stakeholders. Safety plans from schools at four of the six districts and county offices we reviewed—the Kern, Placer, and San Bernardino county offices, and San Bernardino City Unified—were also missing important elements needed to assess school climate and create a safe learning environment (elements 6 through 13 in Table 4). Fourteen of the 16 safety plans were missing element 9—procedures for notifying teachers when dangerous pupils are enrolled in their classes. Further, 12 of the plans from these entities were missing element 11—procedures for the safe ingress and egress of pupils, parents, and employees. In fact, 12 of the 16 safety plans from these four entities were missing all eight of the elements related to assessing school climate and creating a safe learning environment. Although three of the four entities had some of these policies available online, the safety plan contained no reference to their location and thus the policies were not easily accessible by students and staff. Procedures such as these are important for maintaining the safety of students and staff. Safety plans for schools at Kern, Placer, and San Bernardino county offices, and San Bernardino City Unified also lacked two or more of the emergency procedures intended to safeguard students during disasters and emergencies (elements 14 through 20 in Table 4). State law requires districts and county offices to include routine and emergency disaster procedures in their safety plans to ensure that students and staff have procedures for responding to disasters such as earthquakes. However, 15 of the 16 plans were missing element 15—adaptations to procedures to accommodate pupils with disabilities—and six of the plans lacked element 19—a program to ensure that students and staff are aware of and trained in earthquake emergency procedures. Moreover, nearly every safety plan in the districts and county offices we reviewed, except Taft, lacked procedures to accommodate pupils with disabilities. Safety plans play a key role in keeping students and staff safe during an emergency, but when required elements are missing from the plans, students and staff may not be prepared. The four entities whose schools’ safety plans were missing multiple key procedures gave a number of reasons for the problems we found. The safety and emergency manager (safety manager) at San Bernardino City Unified stated that the district had previously 20 California State Auditor Report 2016-136 August 2017 focused on areas of school safety rather than safety plans. He also indicated that before academic year 2016–17, San Bernardino City Unified had not evaluated its schools’ safety plans using the CDE checklist that summarizes safety plan components, discussed later in this report. However, he stated that San Bernardino City Unified would begin using a safety plan template and document‑tracking system for all of its schools in academic year 2017–18. The three county offices offered other explanations for why their schools’ safety plans were missing elements. For example, the Kern and San Bernardino county offices did not know that county offices were required to comply with state laws regarding safety plans in the same manner as districts. According to the Placer County chief operations officer, the county office contracted with an independent contractor to develop its safety plan template and will update its safety plans for the upcoming school cycle, which will address the missing documentation. Also, as we discuss in the next section, all three county offices lack a sufficient process to monitor whether schools are submitting safety plans and whether those safety plans include all of the policies and procedures state law requires. Until all schools’ safety plans include these elements, students and teachers may not know how to respond during an emergency. Districts and County Offices Have Failed to Ensure That Schools Are Complying With Safety Plan Requirements Districts and county offices have provided their schools with inadequate oversight, resulting in the schools’ potential reliance on insufficient or nonexistent safety plans and creating an environment ripe for inadequate emergency responses. All county office schools and schools in districts with 2,501 or more students must submit an individualized safety plan for review by March 1 each year.4 Districts and county offices are responsible for the overall development, review, and approval of these safety plans for the schools they oversee and must submit an advisory notification to CDE of any Four of the six districts and county noncompliant schools. However, four of the six districts and county offices we reviewed failed to ensure offices we reviewed failed to ensure that all of their school sites had that all of their school sites had safety plans in place or that existing plans met state requirements. safety plans in place or that existing In contrast, as we discuss later, the remaining two districts we plans met state requirements. reviewed—Taft and Rocklin—had strong oversight systems in place to ensure that safety plans generally met state requirements. Despite an event that highlighted the necessity of having comprehensive, up‑to‑date safety plans, San Bernardino City Unified has not ensured that its schools have safety plans or that 4 Small districts with 2,501 or fewer students may choose to meet this requirement by developing a districtwide comprehensive safety plan that is applicable to each school site. California State Auditor Report 2016-136 21 August 2017 their plans meet the requirements of state law. In 2015 a mass shooting occurred in San Bernardino at the Inland Regional Center for the Disabled (regional center) that resulted in the deaths of 14 people. However, even though several of its schools were in close proximity to the regional center, in the years following the incident, San Bernardino City Unified has not implemented a process to ensure that its schools submit annual safety plans. The need for greater oversight of these plans by the district was highlighted in an after‑action report for the 2015 incident, in which 54 percent of the district’s school and department sites reported the need for a clear lockdown protocol, as well as practices and drills. As a result of this lax oversight of safety plans, some schools have failed to create or update them annually. For example, San Bernardino City Unified could not provide 2017 safety plans for 15 of its 73 school sites that are required to submit them. When we discussed the missing plans with the district’s safety manager, he stated that he did not believe that the 15 schools had safety plans in place. When we questioned the superintendent on the schools’ missing safety plans, he pointed to the high rate of staff turnover at various school sites as an explanation for why schools may not have submitted them. Moreover, before academic year 2016–17, San Bernardino City Unified failed to track whether schools were submitting safety plans annually. Thus, for many years, some schools in this district may have had no safety plan to consult before or during an emergency. In addition, schools may have maintained unapproved safety plans that were missing vital procedures. Specifically, San Bernardino City Unified has failed to review and approve the safety plans that its schools do submit. Our review of safety plans over a Our review of safety plans over five‑year period, from academic years 2012–13 through 2016–17, a five-year period found that found that San Bernardino City Unified was unable to provide San Bernardino City Unified was evidence that a single plan had been approved during that period. unable to provide evidence that The superintendent noted that the district has focused on other a single plan had been approved aspects of school safety because of the challenges associated with during that period. the crime rate in San Bernardino. For example, the district held numerous trainings and conducted 10 site‑specific drills related to lockdowns in 2016. According to the San Bernardino City Unified superintendent, the district is taking steps to institute a formal document‑tracking and approval process for academic year 2017–18, which he believes will allow for a more formalized approval process and verification that all 73 required school sites submit safety plans that comply with state law. Further, the district is in the process of creating a template for use by all school sites. However, until San Bernardino City Unified implements actions to increase oversight, students and staff may lack access to plans and procedures that are meant to keep them safe. 22 California State Auditor Report 2016-136 August 2017 The Kern and San Bernardino county offices also lacked robust policies and procedures necessary to ensure that their schools’ safety plans met the requirements of state law. County offices can operate a variety of schools that provide a wide range of services, such as special and vocational education, programs for youth at risk of failure, and instruction in juvenile detention facilities. Like districts, county offices are responsible for ensuring that safety plans adopted by these schools have the necessary procedures and policies to respond to an emergency and to foster a safe school environment, and for ensuring that their schools develop and San Bernardino county office schools submit safety plans in accordance with state law. A key requirement and Kern county office community is that schools must have a site‑specific safety plan that is relevant schools relied on one central safety to its needs and resources. However, San Bernardino county plan for all their schools, instead of office schools and Kern county office community schools relied having each school create its own on one central safety plan for all their schools, instead of having safety plan. each school create its own safety plan. Moreover, to be eligible for state disaster assistance programs, which refund emergency response‑related personnel costs, each school district and its accompanying school sites must comply with state and federal laws that require that an incident command structure for each school‑site‑specific safety plan be in place for emergencies. Because the Kern and San Bernardino county offices rely on generic safety plans, rather than safety plans that are specific to each site, they have no assurance that individual sites have in place individualized emergency procedures, such as up‑to‑date evacuation routes or emergency command structures. The Kern director of alternative education and the San Bernardino county assistant superintendent both indicated that they had not included some required safety plan elements because they were not aware of them. However, without these school‑site‑specific procedures, staff and students at these educational facilities may not have the processes in place to respond safely to some emergencies. The Placer county office also lacked sufficient review and approval procedures to ensure that its sites annually submitted safety plans that contained the required elements. Further, the Placer county office lacked safety plans for two of the sites that report to it. When we questioned the chief operations officer about these two sites, he told us that the Placer county office believed it was not required to conduct safe school planning for one of them—a juvenile hall—and that he had been under the impression that the other school site fell under the planning responsibility of a school district. However, he informed us that he would address these issues in the upcoming academic year 2017–18. The Rocklin and Taft districts have implemented strong processes to ensure the sufficiency of their schools’ safety plans and their compliance with state law. For example, Rocklin uses two processes, California State Auditor Report 2016-136 23 August 2017 which we discuss later in this report, to ensure that all of its 16 public school sites that require plans submitted them and complied with state law. Taft, a small district of two schools, created a districtwide plan that addresses each school site. The superintendent noted that following its 2013 active shooter incident, Taft revised its safety plan and its designated committee now meets multiple times per year to discuss safety protocols and update the district’s plan. Rocklin and Taft’s strong protocols for safety plan creation, submission, and approval have led to plans that help ensure the safety of the school sites they oversee. Statewide Guidance and Oversight Are Inadequate to Ensure the Safety and Security of Students and Staff Although CDE has provided guidance to districts and county offices regarding school safety plans, given the number of errors we described earlier and responses we received to our interview and survey questions, its guidance appears to be insufficient. State law requires CDE to provide counsel to educational entities. For example, CDE must provide information related to gun violence, best practices to combat crime and violence in public schools, and educational materials on disaster preparedness. CDE has supplied guidance through a combination of memos sent to districts and county offices, participation in annual educational conferences, convening a superintendent’s advisory committee, and information posted to its website. Additionally, CDE’s guidance includes an optional compliance checklist for schools to use during safety plan creation. Such checklists can be beneficial for schools in understanding the volume of requirements related to safety plans. However, the current version of CDE’s safety plan checklist contains several errors, such as incorrect statutory references and an optional provision that is identified as required. Moreover, some districts and county offices we reviewed stated that Some districts and county offices they had not received guidance from CDE or that they wanted CDE to we reviewed stated that they had provide additional direction and training. For example, the Kern not received guidance from CDE or county office and San Bernardino City Unified explained that they that they wanted CDE to provide were unaware of CDE’s guidance, either because that guidance had not additional direction and training. been directed to the correct employee or because CDE sends numerous letters throughout the year. Thus, these letters may have been overlooked. Further, the Kern and San Bernardino county offices noted that their safety plans’ noncompliance stems from a lack of understanding of state law. In addition, our statewide survey results indicate that a broader problem exists, as shown in the text box on the following page. Specifically, nearly 80 percent of county offices indicated that they were not responsible for reviewing and approving school safety plans, even though state law requires every county office that maintains a school to review and approve their schools’ safety 24 California State Auditor Report 2016-136 August 2017 plans. Moreover, respondents indicated that more training and guidance on the part of CDE would be beneficial. Thus, even though CDE has made attempts to provide guidance to school districts and county offices about comprehensive safety plan requirements, these efforts have failed to yield sufficient compliance with state law. CDE and DOJ also allowed the activities of the partnership to lapse several years ago, which Districts’ and County Offices’ Responses to further decreased the amount of guidance and Our Statewide Survey Indicate That There is oversight districts and county offices receive a Widespread Lack of Understanding Related from the State related to safety plans. The to Safety Plan Responsibilities and That More Guidance is Necessary Legislature created the partnership as a joint collaboration between CDE and DOJ in 1985. If your district / county is responsible for approving State law requires the partnership to fulfill several comprehensive school safety plans, have all schools submitted broad duties related to safety plans, including their plans for approval during academic years 2014–15 developing policies necessary for safety plan through 2016–17? implementation, providing all related training, and administering safe schools programs. More COUNTY OFFICE DISTRICT specifically, the partnership must sponsor Yes 10% 89% two regional conferences related to school safety, No 4% 3% establish a statewide safety cadre for the purpose Unknown 7% 7% of facilitating interagency coordination between Not responsible 79% 1% law enforcement and educational entities, and conduct annual assessments of items such as the effectiveness of training on safe schools Open-Ended Comments: and crisis response.5 Because neither entity • The guidance needs to start with [state law] changes and actively participates in the partnership, none of increased CDE staffing and/or activity to address school these important activities have taken place in safety, bullying prevention, and how to prepare active recent years. shooter response plans and drills with law enforcement. School safety across all California schools could be CDE and DOJ both explained that the partnership improved if there was additional funding focused on activities lapsed due to budget cuts. Specifically, safety and enhanced CDE leadership on safe schools planning to address bullying, cyber-bullying, and active when we asked DOJ’s director of operations shooter situations. for her perspective on why the partnership ceased, she noted that DOJ ended its half of the • Direct guidance [from CDE] on the [county offices’] partnership activities in approximately 2008, responsibility on the school safety act. when the Legislature eliminated funding for the Source: A survey by the California State Auditor sent to Crime and Violence Prevention Center. Similarly, 983 districts and county offices conducted from March CDE’s administrator of coordinated school to April 2017 with 348 entities responding. health and safety (safety administrator) stated that CDE continued its partnership duties until the Legislature reallocated school funding into the Local Control Funding Formula in 2013. The partnership received a total appropriation of $14.6 million in fiscal year 2003–04 included in CDE’s budget to perform its duties—the last year the Legislature 5 CDE sponsored two regional conferences in 2016 related to the U.S. Department of Education’s Office of Safe and Healthy Students Readiness and Emergency Management for Schools that provided guidance on developing emergency operations plans. California State Auditor Report 2016-136 25 August 2017 provided separate funding for the partnership. However, regardless of whether the Legislature provides funding for those specific purposes, state law continues to require CDE and DOJ to perform most of the partnership’s activities. In fact, only contracting with professional trainers to coordinate statewide workshops for districts and county offices and the provision of training on bullying prevention are contingent on appropriations. Relevant and up‑to‑date guidance from the partnership may have helped schools create more robust and informed safety plans. For example, state law contains a statement of legislative intent that schools are to use a handbook developed by the partnership in conjunction with developing their school safety plans. However, the partnership last updated the handbook, Safe Schools: A Planning Guide for Action, in 2002, which includes guidance related to lockdown procedures that conflicts with more current procedures developed in consultation with law enforcement. For example, the partnership’s handbook recommends that staff allow a late student to enter a classroom during a lockdown only if he or she is enrolled in that class. However, lockdown procedures at one district and one county office developed 12 years later, in 2014, require any student who is outside to proceed to the nearest building or classroom during a lockdown in order to ensure those students’ safety while on campus. In addition, state law requires that every safety plan include a school building disaster plan, but the handbook offers no guidance on how schools should create such plans. In fact, no state entity we spoke with could provide any guidance on what a building disaster plan is or what it should include. Consequently, we could not identify the necessary criteria for evaluating this element of the safety plans, but we did note that many safety plans contained no reference to a building disaster plan. CDE’s and DOJ’s cessation of activities related to the partnership, which was designed to provide guidance and support to districts and county offices concerning their safety plans, has weakened the schools’ ability to protect students. Furthermore, CDE has not exercised the oversight necessary to CDE has not conducted an audit ensure that districts and county offices are reviewing and approving or review to confirm that all of safety plans. Districts and county offices are required to provide California’s 9,300 public schools are annual notifications to CDE of schools that have failed to comply submitting safety plans and that with safety plan requirements. Although CDE’s safety administrator all districts and county offices are stated that CDE has never received a notification of noncompliance approving them. since the inception of the requirement in 1997, CDE has not conducted an audit or review to confirm that all of California’s 9,300 public schools are submitting safety plans and that all districts and county offices are approving them. If CDE had conducted such a review, it would have found numerous instances—as we did—in which districts and county offices failed to report schools that did not submit plans. In their responses to our statewide survey, 19 of 26 California State Auditor Report 2016-136 August 2017 the 319 districts indicated that some of the schools they oversee had not reviewed or updated their safety plans by March 1, 2017, and an additional 13 did not know whether all of their schools had reviewed or updated their safety plans as state law requires. In addition, 19 of the 29 responding county offices noted that they did not track whether all their schools had even submitted a safety plan, which calls into question how those county offices would know when to submit a notice of noncompliance to CDE. Moreover, as we noted previously, we identified numerous instances of noncompliance at the Kern, Placer, and San Bernardino county offices, and San Bernardino City Unified. The CDE audit and investigation director stated that CDE has conducted reviews of child care centers and assisted with fiscal portions of federal monitoring that could include work at a limited number of districts, but that it does not have the resources or funding to conduct audits of safety plan compliance at the district or county office level. Additionally, she noted that having CDE conduct safety plan audits of districts and county offices would not be an effective approach for a number of reasons. For example, she stated that having CDE conduct separate audits of districts and county offices would not be effective in achieving timely compliance, due to the size of the CDE audit and investigation unit compared to the number of districts and county offices in the State. The State could use a separate We believe the State could use a separate oversight process, such oversight process, such as the as the audit process guided by the Education Audit Appeals Panel audit process guided by the EAAP, (EAAP), to ensure that districts and county offices review and to ensure that districts and county approve safety plans annually. For example, state law requires offices review and approve safety the State Controller’s Office (SCO), in consultation with the plans annually. Department of Finance, CDE, and other representatives from specified organizations, to propose the contents of a guide for the required annual financial and compliance audit of the State’s educational entities each year. State law requires districts, county offices, and other local educational entities to use the audit guide to review compliance with a variety of important state requirements, including attendance records and instructional time. The SCO then submits the proposed audit guide to the EAAP, which formally adopts it. According to the EAAP’s executive officer, each district and county office in the State then contracts with an outside audit firm to conduct the required audit procedures. The executive officer went on to state that after the outside audit firm completes the audit, the district, county office, or charter school forwards the results to the SCO for review and CDE or county offices then follow up on any findings, depending on the nature of the finding. If the audit guide included a requirement to review whether districts and county offices were appropriately approving safety plans, it would California State Auditor Report 2016-136 27 August 2017 encourage all districts and county offices to increase their oversight of their schools’ safety plans and better ensure that those plans comply with state law. Finally, the State could do more to ensure that safety plans contain all of the procedures needed to keep students and staff safe in constantly evolving school environments. Currently, no entity is systematically reviewing safety plan requirements to ensure that they respond to changes in the school setting and that they incorporate best practices from federal and state authorities. For example, current events have shown that bullying and cyber‑bullying increase the potential for students to act out violently or take other negative actions. However, state law does not currently require safety plans to contain policies to reduce instances of bullying in or out of school. Periodic evaluation and monitoring by entities, such as the partnership, that are knowledgeable about school safety issues could assist schools throughout the State by providing updates regarding policies or procedures that could improve school safety. Rocklin and the Placer County Office Have Implemented Best Practices to Help Ensure That Safety Plans Are Approved Annually We identified three best practices at two of the entities we reviewed that could help other districts and county offices ensure that their schools have submitted safety plans and that those safety plans have all of the procedures needed to comply with state law. We observed the following best practices at Rocklin and the Placer county office: • Rocklin distributes a safety plan template to its school sites that the schools then modify to include site‑specific procedures. • Rocklin uses a document‑tracking system to ensure that its schools submit safety plans in a timely manner so that the district can review and approve them before the March 1 deadline each year. • The Placer county office requires districts in its jurisdiction to certify that they have reviewed and approved all of their schools’ safety plans each year. To ensure that the safety plans submitted by its schools contain the To ensure that the safety procedures state law requires, Rocklin distributes templates to all plans submitted by its schools its schools. Schools then modify the templates with site‑specific contain the procedures state information, such as lists of personnel responsible for emergency law requires, Rocklin distributes activities. According to Rocklin’s coordinator of state and federal templates to all its schools, programs, the district worked with law enforcement in 2014 to which the schools modify with revise existing plans and bring them in line with the processes site-specific information. local law enforcement uses. Rocklin helped to ensure the overall 28 California State Auditor Report 2016-136 August 2017 sufficiency of its template by working with law enforcement during its creation, and each site complied with the state requirement to create its plan in consultation with law enforcement. In contrast, districts and county offices that lack templates, such as San Bernardino City Unified, were missing a number of elements necessary for preparing for and responding to emergencies or fostering safe learning environments. Districts and county offices that distribute generic safety plan templates to school sites for them to modify may allow schools to more easily determine what procedures are required to increase school safety while at the same time complying with state law. Rocklin also verified that school sites updated their plans and submitted them for approval in a timely fashion by using a document‑tracking system, which included all public schools in the district. State law requires districts, including Rocklin, and county offices throughout the State to review and approve safety plans submitted by school sites by March 1 each year. Although four of the six entities we reviewed did not have adequate processes to review and approve safety plans, Rocklin had approved the 2017 safety plans submitted by every public school in the district by that date. Further, the district was able to provide approved historical plans for a selection of district schools over a five‑year period. In contrast, San Bernardino City Unified did not have a document‑tracking system in place, and our review found that 15 of its 73 school sites that are required to submit safety plans failed to do so in 2017. Finally, we found a best practice implemented at the Placer county office that increased its districts’ oversight of their schools’ safety plans. While we found issues with how Placer monitored its educational facilities, it had a process in place to ensure that its districts were approving safety plans for all of their schools annually. Although not required by state law, Although not required by state law, the Placer county office the Placer county office instituted instituted a program for districts within its jurisdiction mandating a program for districts within its that they self‑certify their compliance with safety plan approval jurisdiction mandating that they requirements. The process increases the Placer county office’s self-certify their compliance with oversight of districts by requiring district superintendents or their safety plan approval requirements. designees to certify that they have reviewed and approved all of their schools’ safety plans. The superintendent of the Placer county office noted that the county office began this program so that it could report any noncompliant districts to CDE. The Placer county office did not extend this oversight to any formal review, approval, or auditing of district plans, but it did achieve a significant number of responses from its districts. This process may have contributed to the fact that one of the districts we reviewed—Rocklin, within Placer County—received and approved safety plans from all California State Auditor Report 2016-136 29 August 2017 its schools in 2017. This practice demonstrates that requiring subordinate agencies to send in certification notices that their schools have submitted safety plans may increase compliance rates. Recommendations Legislature To ensure that students and staff are prepared to respond to violent incidents on or near school sites, the Legislature should require that safety plans include procedures, such as lockdowns, recommended by federal and state agencies. The Legislature should also require schools to hold periodic training and drills on these procedures. To ensure that districts and county offices are complying with state law each year, the Legislature should require CDE to conduct an annual statewide survey to determine whether schools have submitted plans and whether those plans have been reviewed and approved by their respective district or county office. The Legislature should also require CDE to issue an annual report detailing the survey’s results. To ensure that districts and county offices are complying with state laws related to safety plans, the Legislature should add a requirement to the EAAP audit guide for districts and county offices to receive audits of their approval of safety plans. The Legislature should require that the partnership between CDE and DOJ periodically review safety plan requirements to ensure that the plans keep pace with evolving school environments and updated educational research. CDE and DOJ To ensure that districts and county offices properly review and approve safety plans as required, CDE should provide the following additional guidance regarding district and county office responsibilities under state law: • Update and correct the safety plan compliance checklist and make it available to all districts and county offices. • Provide general direction to schools on what to include in their building disaster plans. • Provide information on best practices similar to those we discuss in this report for monitoring and approving safety plans. 30 California State Auditor Report 2016-136 August 2017 To ensure that districts, county offices, and schools receive guidance on a variety of safety issues and to comply with state law, CDE and DOJ should resume their partnership activities, as required by state law. Further, the partnership should update the 2002 handbook, Safe Schools: A Planning Guide for Action, and distribute it to all districts and county offices. If CDE or DOJ determine the need for additional funds to implement the legislative recommendations or to reestablish the partnership’s activities, they should request those funds from the Legislature. Districts and County Offices To ensure that their schools’ safety plans comply with state law and are submitted and approved on or before March 1 each year, the Kern, Placer, and San Bernardino county offices, and San Bernardino City Unified should implement procedures to monitor and approve their schools’ safety plans. The procedures should include the use of electronic document‑tracking systems and safety plan templates. We conducted this audit under the authority vested in the California State Auditor by Section 8543 et seq. of the California Government Code and according to generally accepted government auditing standards. Those standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives specified in the Scope and Methodology section of the report. We believe that the evidence obtained provides a reasonable basis for our findings and conclusions based on our audit objectives. Respectfully submitted, ELAINE M. HOWLE, CPA State Auditor Date: August 31, 2017 Staff: Kathleen Klein Fullerton, MPA, Audit Principal Aaron E. Fellner, MPP David DeNuzzo, MBA Nick B. Phelps, JD Legal Counsel: J. Christopher Dawson, Sr. Staff Counsel For questions regarding the contents of this report, please contact Margarita Fernández, Chief of Public Affairs, at 916.445.0255. California State Auditor Report 2016-136 31 August 2017 * 1 * California State Auditor’s comment appears on page 33. 32 California State Auditor Report 2016-136 August 2017 California State Auditor Report 2016-136 33 August 2017 Comment CALIFORNIA STATE AUDITOR’S COMMENT ON THE RESPONSE FROM CDE To provide clarity and perspective, we are commenting on the response from CDE. The number below corresponds to the numbers we have placed in the margin of CDE’s response. The letter that CDE references did not provide any guidance related 1 to school building disaster plans. Further, when we discussed this matter with staff from CDE’s coordinated school health and safety office, they noted that no guidance was available. As a result, we stand by our recommendation that CDE needs to provide guidance related to disaster plans. However, we are pleased to see that CDE will meet with other agencies to provide direction on school building disaster plans. 34 California State Auditor Report 2016-136 August 2017 Blank page inserted for reproduction purposes only. California State Auditor Report 2016-136 35 August 2017 36 California State Auditor Report 2016-136 August 2017 California State Auditor Report 2016-136 37 August 2017 * * California State Auditor’s comments begin on page 43. 38 California State Auditor Report 2016-136 August 2017 1 2 3 4 3 California State Auditor Report 2016-136 39 August 2017 5 6 7 8 6 9 40 California State Auditor Report 2016-136 August 2017 10 California State Auditor Report 2016-136 41 August 2017 11 42 California State Auditor Report 2016-136 August 2017 Blank page inserted for reproduction purposes only. California State Auditor Report 2016-136 43 August 2017 Comments CALIFORNIA STATE AUDITOR’S COMMENTS ON THE RESPONSE FROM THE KERN COUNTY OFFICE OF EDUCATION To provide clarity and perspective, we are commenting on the response from the Kern County office. The numbers below correspond to the numbers we have placed in the margin of Kern County office’s response. We acknowledge the efforts that Kern county office has made 1 related to school violence. Specifically, as detailed in Table 3 on page 15, we note that Kern’s safety plans contained optional procedures for responding to active shooter incidents. However, as depicted in Table 4 beginning on page 17, we also concluded that Kern’s safety plans did not contain numerous other emergency preparedness procedures, including a program to ensure that pupils and certificated and classified staff were aware of and trained in earthquake procedures (element 19). Thus, Kern can do more to ensure that its schools have sufficient emergency preparedness and response plans in place. The Kern county office is incorrect when it states that the 2 non‑compliance was with the court schools. Specifically, as we note in Table 4 beginning on page 17, both the court school’s and the community school’s safety plans were missing multiple elements. As we note on page 20, state law requires every county office that 3 maintains a school to review and approve their schools’ safety plans. This requirement includes court schools, community schools, and any other schools operated by the Kern county office. We reviewed the court school’s plan and found that it contained 4 numerous deficiencies, which we note in Table 4 beginning on page 17. Thus, the Kern county office’s review of this safety plan was not sufficient as it did not identify or correct the deficiencies we noted. The exception to state law cited by the Kern county office does not 5 exempt it from the requirement to have a separate plan for each school site. In enacting the requirement to adopt school safety plans, the Legislature specifically identified school districts and county offices, indicating that each has a discrete and specific duty to fulfill this requirement. Although the Legislature specified an exception to this requirement for small school districts, it specifically did not name county offices. 44 California State Auditor Report 2016-136 August 2017 6 As we state on page 22, county offices, like school districts, are responsible for ensuring that safety plans have the necessary procedures and policies to respond to an emergency and to foster a safe school environment, and that they develop and submit safety plans in compliance with state law. Because the Kern county office relies on one generic safety plan for all of its schools, rather than safety plans that are specific to each site, the Kern county office has no assurance that individual sites have individualized emergency procedures, such as up‑to‑date evacuation routes. 7 We are confused by the conflicting statements from the Kern county office concerning whether or not it was aware that state law required it to review and approve safety plans in the same manner as districts. As we state on page 22, staff at the Kern county office indicated that the county office had not included some required safety plan elements because it was not aware of them. Moreover, we asked the Kern county office to provide an alternate explanation for the missing elements, but it did not do so. 8 The safety plans we reviewed were not, in almost all aspects, in full compliance with state law. Table 4 beginning on page 17 shows that the safety plans were missing numerous required elements. 9 We note in Table 4 on page 17 that the Kern county office did not demonstrate that its school site council wrote and developed the safety plans (element 1). 10 The Kern county office’s responses indicate that it plans to only include certain elements that we identified as missing in its court schools’ safety plans. However, as we state on page 22, county offices are responsible for ensuring that safety plans adopted by these schools have the necessary procedures and policies to respond to an emergency and to foster a safe school environment. The requirement to review and approve safety plans extends to court schools, community schools, and any other schools operated by the Kern county office. 11 We are disappointed that the Kern county office did not share the office‑wide agreements it references in its response. State law requires safety plans to include procedures to allow a public agency, including the American Red Cross, to use school buildings, grounds, and equipment for mass care and welfare shelters during an emergency for each school site. As we show in Table 4 on page 18, our review of the Kern county office’s safety plans did not contain any references to the office‑wide agreements that the Kern county office refers to in its response (element 20). California State Auditor Report 2016-136 45 August 2017 PCGE GOLD IN EDUCATION Gayle Garbolino-Mojica County Superintendent of Schools Board of Education August 10, 2017 Susan Goto Area I Via electronic mail and USPS Suzanne Jones Area I California State Auditor * Elaine M. Howle, CPA Robert Tomasini Area I 621 Capital Mall, Suite 1200 Sacramento, CA 95814 Kelli Gnile Area2 Dear Ms. Howle: David Patterson, Ed.D. Area3 I write in response to the California State Auditor's draft report entitled School Violence Prevention Lynn Oliver received by the Placer County Office of Education (PCOE) on August 7, 2017. First, I would like Area4 to thank you and your staff for your professional approach in conducting this audit and for the insight provided to PCOE as a result of your review of our school safety planning. It is my E. Ken Tokutomi Area4 understanding that the auditors found PCOE staff to be cooperative during the audit as well as committed to the effort of creating a safe learning environment at all PCOE schools. Superintendent's Cabinet As I expressed to your auditors, I too, have a deep concern regarding the increased frequency of active shooter threats and incidents in California, as well as the rest of the nation. Sadly, as these Phillip J. Williams incidents are on the increase, this audit report could not have been any timelier and I would like Depury Superincendenc Educarional Services to offer my support for any effort to improve school safety planning across the state. Martin Fregoso In the days immediately following the tragedy in Newtown, Connecticut, I directed county office Associate Superintendenc Business Services staff to increase PCOE's crisis response preparation as a matter of critical importance. PCOE has significantly increased its response readiness through working with local law enforcement, Catherine M. Goins providing professional development, conducting situational crisis drills, and equipping all county Assisranr Superincendenr Early Educarion & Adminisrrarion office facilities with emergency and communication supplies down to each of our classrooms. I am gratified to see some of the measures we have taken here at PCOE listed as best practice James L. Anderberg recommendations in the report. PCOE has taken a leadership role in assisting school districts in ChiefO perations Officer Adminisrrarive Services Placer County in safe school preparation by providing financial resources and professional development opportunities to school leadership. Mary Ann Garcia Chief Human Resources Officer Human Resources PCOE recognizes the areas of improvement needed in its school safety planning as identified in the report. While we believe that some of the items of deficiency are already in place at PCOE, Troy Tickle this office will take the necessary steps to further align its school safety practices with the Execurive Direcror SELPA administrative requirements of the California Education Code and will be prepared to implement any future changes in state law. In response to the recommendations in the report, PCOE will: • Ensure that all current Placer County Board of Education and County Superintendent Policies and Procedures, including 0450, Comprehensive School Safety Plans, 5131.2, Bullying, and 5141. 4, Child Abuse and Reporting, are along with the other relevant policies and regulations, attached to PCOE's safe school plans. Although the report identifies in Table 4 that PCOE was deficient by not including its policies and 1 regulations with its safety plans, PCOE did provide the auditors with copies of the many policies and regulations that address the procedures essential to a comprehensive school safety plan. • Ensure that safety response procedures accommodate students and persons with disabilities as identified as Element 15. Placer County Office of Education 360 Nevada Street, Auburn, CA 95603 P 530.889.8020, F 530.888.1367•www.placercoe.kl2.ca.us An Equal Opporcuniry Employer· Printed on recycled oaoer * California State Auditor’s comment appears on page 47. 46 California State Auditor Report 2016-136 August 2017 Elaine M. Howle, CPA California State Auditor August 10, 2017 Pa e 2 • Convene School Site Councils and/or Safety Committees annually for the purpose of reviewing and when applicable, updating comprehensive safe school plans. These plans annually will be reviewed and approved by the Placer County Superintendent or designee annually. Also, these plans will be assembled using a template to ensure uniformity and completeness and administered through PCOE's document management system. • Secure the ongoing cooperation of the Placer County Juvenile Detention Facility QDF), a law enforcement operated youth incarceration center, to incorporate JD F's existing crisis response plans into PCOE's comprehensive safety plans. As a locked-down facility under the jurisdiction of the Placer County Sheriff, PCOE will work with the Sheriff to address the safety planning procedures required of county offices of education. • Develop and include in all comprehensive safe school plans an Active Shooter procedure as recommended by the Department of Homeland Security. PCOE will continue to make active shooter scenarios, including its lockdown procedures, a key part of its school safety drills. I hope you find this response to be as intended, in a spirit of cooperation and expressing a commitment to move forward to improve the safety of our schools while meeting the school safety planning process and procedures required by state law. Gayle Gar lino-Mojica Placer County Superintendent of Schools cc: Phillip J. Williams, Deputy Superintendent, Educational Services Martin Fregoso, Associate Superintendent, Business Services Mary Ann Garcia, Chief Human Resources Officer James L Anderberg, Chief Operations Officer Keith]. Bray, General Counsel Prinred on recycled paper California State Auditor Report 2016-136 47 August 2017 Comment CALIFORNIA STATE AUDITOR’S COMMENT ON THE RESPONSE FROM THE PLACER COUNTY OFFICE OF EDUCATION To provide clarity and perspective, we are commenting on the response from the Placer county office. The number below corresponds to the number we have placed in Placer county office’s response. Although the Placer county office did provide some school board 1 policies that are available online, which we acknowledge on page 19, these policies did not address all the deficiencies we identified. For example, we could not find any evidence that the Placer county office had online school board policies related to notifying teachers regarding dangerous pupils and procedures for safe ingress and egress of pupils, parents, and employees. As we note in Table 4 beginning on page 17, none of the safety plans we reviewed contained these elements (elements 9 and 11). 48 California State Auditor Report 2016-136 August 2017 Blank page inserted for reproduction purposes only. California State Auditor Report 2016-136 49 August 2017 August 11, 2017 Ms. Elaine M. Howle, CPA * California State Auditor 621 Capitol Mall, Suite 1200 Sacramento, CA 95814 Dear Ms. Howle: Thank you for your interest in school violence prevention in California’s K-12 public schools. As requested, this letter is a preliminary response to the California State Auditor’s (“Auditor”) draft audit report (“Report”) “School Violence Prevention: School Districts, County Offices of Education, and the State Must Do More to Ensure That School Safety Plans Help Protect Students and Staff During Emergencies.” We appreciate the opportunity to dialogue with your staff on this very important matter and to comment on the preliminary findings and recommendations in the draft Report. You will find below, the San Bernardino County Superintendent of Schools (“SBCSS”) general comments and specific responses to the Report recommendations. As the Report indicates, California’s education institutions have a responsibility to create safe and secure learning environments (pg. 9). While schools have multiple measures in place to ensure the safety and 1 well-being of students and staff, the occurrence of active shooter threats and incidents in schools nationwide has increased in frequency (pg. 10). Certainly, the readiness to prevent, identify and respond 1 to all types of emergency incidents, including violence and active shooter threats on and around school campuses, should be a priority for all adults. Auditor’s Legislative Recommendations To ensure that students and staff are prepared to respond to violent incidents on or near school sites, the Legislature should require that safety plans include procedures, such as lockdowns, recommended by federal and state agencies. The Legislature should also require schools to hold periodic drills on the procedures. SBCSS Response SBCSS is committed to serving the districts in San Bernardino County with guidance, support and best practices concerning the safety of school campuses. While current state law does not require schools to include procedures for responding to active shooter incidents in their school safety plans, SBCSS recognizes the importance and validity of this recommendation and would be supportive of proposed legislation in this regard. Additionally, SBCSS will continue numerous efforts in place to ensure the safety and security of school campuses, including: • Continuing, expanding and maintaining regular active shooter awareness training and lockdown procedure drills at its schools and administrative sites. In lieu of a statutory mandate (pg. 15), SBCSS will develop policy to require training and drills, to include active shooter response and lockdown procedures, bi-annually at all school and administrative site as part of its comprehensive safety plans. * California State Auditor’s comments appear on page 53. 50 California State Auditor Report 2016-136 August 2017 August 11, 2017 Page 2 • Holding monthly meetings with the San Bernardino Countywide Gangs and Drugs Task Force, a partnership between education, law enforcement and juvenile justice to prevent and curtail school violence countywide. The Task Force provides a forum for local school districts, law 1 enforcement and the judiciary to partner and evaluate current trends, data and best practices. (pg. 20). • Sharing best practices in the area of school safety with schools and districts by bringing in national, state and local experts to discuss and provide training on tactics and procedures to address school-based emergencies, including active shooter incidents and lockdown procedures. In partnership with the San Bernardino County Sheriff’s Department, SBCSS has hosted trainings for district and school site leaders on how to respond to active shooters with Sheriff’s Department experts and nationally recognized expert on violent crime, Lt. Col. Dave Grossman, who most recently presented to more than 700 educators at the Southern Region Student Wellness Conference in July. Auditor’s District and County Office Recommendations To ensure that their schools’ safety plans comply with state law and are submitted and approved on or before March 1st each year, county offices should implement procedures to monitor and approve their schools’ safety plans. The procedures should include the use of electronic document-tracking systems and safety plan templates. SBCSS Response SBCSS supports this recommendation and will review current policies and procedures, and implement improved procedures where necessary, to monitor and approve comprehensive school safety plans. The use of safety plan templates and document-tracking systems to monitor and approve annual school safety plans by March 1st of each year will ensure that schools have in place up-to-date safety plans that include all the requirements to comply with state law. SBCSS believes it is important to note the requirements for comprehensive school safety plans put forth 1 in Education Code (“EC”) 32280-32288 in response to the Auditor’s written comments on page 25 of the Report about site-specific safety plans. EC 32281 indicates that a “small school district” with fewer than 2 2,501 units of average daily attendance (“ADA”) at the beginning of each fiscal year may develop a districtwide comprehensive school safety plan. The California Department of Education (“CDE”) recognizes three separate schools operating under SBCSS. The three schools are: San Bernardino County Juvenile Detention and Assessment Center; Community School / Independent Alternative Education; and San Bernardino Special Education. Juvenile Hall ADA during the 2016-17 school year had an ADA of 208.37. Community school / independent study had an ADA of 590.59. Most SBCSS special education classes are primarily housed on local school campuses. Those classes are covered under the local district / school safety plan. SBCSS has two stand-alone special education sites with a total ADA of 72.64 ADA. The total ADA for SBCSS for 2016-17 was 2098.00. Since 2013-14 school year, SBCSS district ADA has been below the 2,501 ADA level, which the CDE identifies as the demarcation between small school districts and others. The district conducts school site council meetings regularly during the course of the school year, as well as holds biannual Local Control Accountability Plan(“LCAP”) forums. Attending these meetings are: school and district administration, teachers, paraeducators, students, parents, community members, and probation officers. School safety is discussed at school site council meetings and school climate is one of the state’s eight required elements for district LCAPs. The district has allocated funds for probation officers housed at community schools to assist with safety concerns. California State Auditor Report 2016-136 51 August 2017 August 11, 2017 Page 3 Specific actions SBCSS is committed to implementing, which pertain to the Auditor’s recommendations for county offices of education include: • Include law enforcement representative as an active participant on the district School Safety Planning Committee (pg. 20). SBCSS currently has actively recruited both San Bernardino County 1 Sheriff’s Department and Probation to train all principals and conduct safety inspections and drills. • Using the approved Compliance Checklist for Comprehensive Safety Plans provide by the California Department of Education to ensure that all required elements of comprehensive school safety plans are met. • Develop procedures for tracking individual school’s annual update of comprehensive school safety plans. • Document safety plan approval by March 1st • Document annual training to all staff in safety plan uses and updates. • Require sites to submit documentation of all drills conducted. • Call upon the district School Safety Planning Committee to review the current status of school crime and violence, including discipline, attendance, expulsions, suspensions, school referral data and violent incidents as part of the annual safety plan update. • Assess current staffing and services to ensure capacity necessary to: develop and monitor school safety plans; coordinate drills on emergency and active shooter response and lockdown procedures; and provide trainings to SBCSS and district staff to ensure safe and secure school campuses; and bring in additional resources where necessary. We appreciate the Auditor’s attention to and concern for the safety of California’s public school students. The safety and well-being of students and staff in California’s public schools is of paramount importance. Students should be able to attend schools in safe and secure environments so that learning may flourish. We look forward to our continued efforts with the Auditor on this matter to see that all of our students have the ability to attend school in environment that are safe and secure in order to fulfill their greatest potential. Sincerely, Ted Alejandre San Bernardino County Superintendent 52 California State Auditor Report 2016-136 August 2017 Blank page inserted for reproduction purposes only. California State Auditor Report 2016-136 53 August 2017 Comments CALIFORNIA STATE AUDITOR’S COMMENTS ON THE RESPONSE FROM THE SAN BERNARDINO COUNTY OFFICE OF EDUCATION To provide clarity and perspective, we are commenting on the response from the San Bernardino county office. The numbers below correspond to the numbers we have placed in San Bernardino county office’s response. During the publication process for the audit report, page numbers 1 shifted. Therefore, the page numbers cited by the San Bernardino county office in its response may not correspond to the page numbers in the published audit report. The exception to state law cited by the San Bernardino county office 2 does not exempt it from the requirement to have a separate plan for each school site. In enacting the requirement to adopt school safety plans, the Legislature specifically identified school districts and county offices, indicating that each has a discrete and specific duty to fulfill this requirement. Although the Legislature specified an exception to this requirement for small school districts, it specifically did not name county offices. 54 California State Auditor Report 2016-136 August 2017 Blank page inserted for reproduction purposes only. California State Auditor Report 2016-136 55 August 2017 Dale Marsden, Ed.D., Superintendent August 11, 2017 Sent via Email and U.S. Mail: California State Auditor * Attention: Elaine Howle, State Auditor 621 Capitol Mall, Suite 1200 Sacramento, California 95814 Dear Ms. Howle: Thank you for your assistance in completing an audit of School Safety Plans within our District. The investigation by your team is most valuable in keeping our students as safe as possible, while assuring an appropriate learning environment. I do have some observations for your consideration as we move forward in collaboration: 1) While I agree that the School Safety Plans should include protocol for active shooter situations, there are other approaches which we have implemented to achieve the same result. Since the December 2, 2015 incident at the Inland Regional Center in San Bernardino, our District created new lockdown, lockout, and shelter procedures. This included handouts, posters and power point presentations throughout the District. We have conducted training for all school leaders on these new procedures. Moreover, many drills for schools were completed and public meetings conducted. Combined, over 500 substitute teachers and custodians received the same training. We implemented improved mass communication methods at all of our schools; 2) The inclusion of safety procedures in School Safety Plans do not in and of themselves protect students. Rather, training, which our District has implemented, must be 1 provided when confronting school violence. To this extent, I respectfully disagree with your conclusion that our oversight with respect to School Safety Plans has “put students and staff at risk”. School Safety Plans are only one part of how we assure safe campuses with staff training being a far more important approach. Clearly, a School Safety Plan without training is ineffective. Training of staff, on the other hand, assures an appropriate response; OFFICE OF THE SUPERINTENDENT 777 North F Street  San Bernardino, California 92410 (909) 381-1240 Fax (909) 885-6392 Making Hope Happen * California State Auditor’s comments appear on page 57. 56 California State Auditor Report 2016-136 August 2017 Office of the California State Auditor Ms. Elaine Howle Page Two 3) Emphasis is warranted in preventing school violence before it occurs. Part of our staff training is aimed at recognizing circumstances that could lead to destructive events on or near our schools so that proactive measures can be taken before the devastation takes place; 4) Your report makes reference to the fact that policies, training and other procedures were 2 not included in School Safety Plans. I assure you, however, that policies do exist and safety training has been conducted within the District. I will make certain that our updated Safety Plans include this information; 5) The SBCUSD has retained the services of an outside contractor to evaluate our campuses from the perspective of maintaining a secure learning environment. The project is ongoing presently and will take place over the next several months. We anticipate input from the retained contractor during the current school year. Our School Safety Plans are being updated at each of our campuses as mandated by the Education Code and we will be in compliance for the 2017-18 school year; 6) Funding should be made available to the school districts to permit full compliance with School Safety Plan requirements. Once again, I want to thank you and your members for the time and effort spent in our District towards the end of keeping staff and students as safe as possible. It is our mutual belief that establishing a culture of safety throughout the school community will promote student and staff security. Relationships among community, staff, parents, students and partners will create the desired result. We value your input and thank you for your assistance. Very truly yours, Dale Marsden, Ed.D., Superintendent San Bernardino City Unified School District California State Auditor Report 2016-136 57 August 2017 Comments CALIFORNIA STATE AUDITOR’S COMMENTS ON THE RESPONSE FROM THE SAN BERNARDINO CITY UNIFIED SCHOOL DISTRICT To provide clarity and perspective, we are commenting on the response from San Bernardino City Unified. The numbers below correspond to the numbers we have placed in San Bernardino City Unified’s response. We stand by our conclusion on page 2 that the lack of oversight by 1 districts and county offices of education may put students and staff at risk because they may not know how to properly respond to an emergency. Safety plans are a collection of procedures for schools to use in the event of an emergency, such as an earthquake, as well as policies to promote a safe learning environment. We note in Table 4 beginning on page 17 that San Bernardino City Unified is deficient in multiple areas. For example, nine of the 10 safety plans we reviewed were missing a discrimination and harassment policy (element 10). In addition, we assessed the supplemental evidence of training provided by San Bernardino City Unified and found that it did not include all of the information missing from the safety plans we reviewed. Although San Bernardino City Unified does provide some school 2 board policies online, which we acknowledge on page 19, these policies did not address all the deficiencies we identified. For example, we could not find any evidence that San Bernardino City Unified had online school board policies related to notifying teachers regarding dangerous pupils. As we note in Table 4 beginning on page 17, only one of the 10 safety plans we reviewed at San Bernardino City Unified contained this element (element 9). Further, we did not find evidence that the trainings conducted by district staff included all of the elements required in safety plans.