Comprehensive Follow-Up Review

Compton Community College District Comprehensive Assessment Eighth Progress Report October 2014 Table of Contents Executive Summary ACCJC Standard III: Resources Standard III-B: Physical Resources Standard III-C: Technology Resources Standard III-D: Financial Resources ACCJC Standard IV: Leadership and Governance Standard IV-A: Decision-Making Roles and Processes Standard IV-B: Board and Administrative Organizations Introduction This eighth progress report for the Compton Community College District (Compton CCD) provides the latest in a series of periodic assessments conducted by the Fiscal Crisis and Management Assis- tance Team (FCMAT) of the district’s progress in implementing the recommendations made in the initial Compton CCD Comprehensive Review conducted by FCMAT in April 2007. Background On June 30, 2006, Assembly Bill (AB) 318 provided a state loan (line of credit) of $30 million to the Compton CCD and mandated that FCMAT conduct a comprehensive assessment of the district in five operational areas and develop a recovery plan for the district. The five operational areas are Aca- demic Achievement, Community Relations/Governance, Facilities Management, Financial Manage- ment, and Personnel Management. FCMAT standards for the five operational areas have been associ- ated with similar Accrediting Commission for Community and Junior Colleges (ACCJC) accreditation standards to assist the “... the accreditation process district with recovery and regaining accreditation. However, is separate and distinct from the ACCJC accreditation process is separate and distinct from the legislatively mandated the legislatively mandated requirements of AB 318 and assess- ment by FCMAT. requirements of AB 318 and assessment by FCMAT.” FCMAT is required to file written status reports on the dis- trict’s progress in implementing the recovery plan. The bill authorizes the Board of Governors of the California Commu- nity Colleges to suspend the authority of the Board of Trustees of the Compton Community College District for up to five years, plus a period lasting until the Chancellor, FCMAT, Director of Finance and the Governor concur with the special trustee that the district has sustained the progress and requirements of the assessment and recovery plan for two consecutive academic years, as provided in Education Code Sections 41329.59 and 71093. In a letter dated July 21, 2006, the ACCJC notified the Compton CCD that the accreditation of Comp- ton Community College would terminate on August 22, 2006. The letter also required the Compton CCD to notify its students that the college’s accreditation had been revoked. Under the authority of AB 318 and Education Code Section 74292 (d), the Compton CCD identified a partner district, the El Camino Community College District (El Camino CCD) that agreed to provide accredited instruc- tional programs to students at the Compton Center. Under this partnership, instructional services are provided on the Compton CCD site through El Camino and its Center known as the El Camino Col- lege Compton Community Educational Center (Compton Center) primarily to residents of Compton, Carson, Lynwood, Paramount, and parts of north Long Beach. A Memorandum of Understanding (MOU) signed in August 2006 and updated in July 2008 and May 2013 as an “Agreement Between the El Camino Community College District and the Compton Com- munity College District” outlines the agreement between the districts, and continues to be a redefined working document. The current agreement for the Compton Center includes operations under the direct management of El Camino CCD through a vice president on the Compton Center site. The vice presi- dent reports to the superintendent/president of El Camino CCD for the operational aspects of the Comp- ton Center, including its instructional programs and student services. Business services, facilities, per- sonnel, governance components and other programs and services are managed by the Compton CCD’s chief executive officer (CEO). The CEO reports to the state special trustee for the Compton CCD. Compton Community College District 1 A formal Senior Management Group has been established and is composed of the El Camino CCD superintendent/president, state special trustee, El Camino CCD vice president for the Compton Cen- ter, and the Compton CCD CEO. The management group is co-chaired by the El Camino CCD vice president for the Compton Center and the CEO for the Compton CCD. The goals and objectives of the Senior Management Group are to monitor and assist the Compton Center and the Compton CCD in meeting ACCJC eligibility requirements, standards and commission policies. The provisions of AB 318 and the subsequent loss of the Compton Community College’s accredita- tion are unprecedented and have necessitated an extremely complex governance and organizational structure to allow the partnering district to offer accredited courses. Compton Community College is the first California public community college to lose its accreditation, have a special trustee appoint- ed to administer the college district, have the authority of its elected governing board suspended by legislation, and receive a multimillion-dollar state loan to continue operations. The transition of in- structional procedures and systems has been challenging, in- “The provisions of AB 318 and the cluding establishing the proper reporting relationships, lines of communication, and the appropriate names and references subsequent loss of the Compton for the Compton Center, operating under the auspices of the Community College’s accreditation El Camino CCD. are unprecedented ...” As the Compton CCD continues to address the operational deficiencies that led to the loss of both local governance and accreditation, FCMAT’s work with the district and the Compton Center is intended to assist the district in improving its basic operations and preparing for an eventual return to local governance. FCMAT has developed a set of legal and professional standards to provide a standards-based assess- ment process for these reviews and has endeavored to associate these standards with similar stan- dards of the ACCJC. This standards-based process and a rubric to rate the standards is explained in the following sections of this report. Use of FCMAT Professional and Legal Standards Since 1993 the Fiscal Crisis and Management Assistance Team (FCMAT) has been engaged in assisting California K-12 school districts under state administration to return to local governance. FCMAT developed a standards-based assessment tool as part of this work, and has adapted it for use in assessing and monitoring the Compton CCD. FCMAT professional and legal standards are being used to help the Compton CCD maintain fiscal solvency, improve operations and move toward recov- ery in each operational area. For each ACCJC standard, appropriate FCMAT standards from the operational areas of Community Relations/Governance, Academic Achievement, Personnel Management, Financial Management and Facilities Management have been used to measure district progress. However, the ACCJC will conduct its own independent review to determine when accreditation will be restored to the Compton Center. Each professional and legal standard has been scored, on a scale of 0 to 10, as to the Compton CCD’s implementation of the standard at this point in time. These ratings provide a basis for measuring the district’s progress in subsequent reporting periods. 2 Fiscal Crisis and Management Assistance Team The following represents a definition of terms and scaled scores. The single purpose of the scaled score is to establish the baseline of information by which the district’s future gains and achievements in each of the standards can be measured over time. Not Implemented (Scaled Score of 0) There is no significant evidence that the standard is implemented. Partially Implemented (Scaled Score of 1 through 7) A partially implemented standard lacks completeness, and it is met in a limited degree. The degree of completeness varies as defined: 1. Some design or research regarding the standard is in place that supports preliminary de- velopment. (Scaled Score of 1) 2. Implementation of the standard is well into the development stage. Appropriate staff is engaged and there is a plan for implementation. (Scaled Score of 2) 3. A plan to address the standard is fully developed, and the standard is in the beginning phase of implementation. (Scaled Score of 3) 4. Staff is engaged in the implementation of most elements of the standard. (Scaled Score of 4) 5. Staff is engaged in the implementation of the standard. All standard elements are devel- oped and are in the implementation phase. (Scaled Score of 5) 6. Elements of the standard are implemented, monitored and becoming systematic. (Scaled Score of 6) 7. All elements of the standard are fully implemented, are being monitored, and appropriate adjustments are taking place. (Scaled Score of 7) Fully Implemented (Scaled Score of 8-10) A fully implemented standard is complete relative to the following criteria: 8. All elements of the standard are fully and substantially implemented and are sustainable. (Scaled Score of 8) 9. All elements of the standard are fully and substantially implemented and have been sus- tained for a full school year. (Scaled Score of 9) 10. All elements of the standard are fully implemented, are being sustained with high quality, are being refined, and have a process for ongoing evaluation. (Scaled Score of 10) Study Team The FCMAT team and partners for this eighth progress review included the following agencies and individuals. Administration and Report Writing – Fiscal Crisis and Management Assistance Team • Diane Branham, Chief Management Analyst • Laura Haywood, Technical Writer Compton Community College District 3 Academic Achievement – no longer reviewed by FCMAT or included in the progress report Personnel Management – no longer reviewed by FCMAT or included in the progress report Facilities Management – Fiscal Crisis and Management Assistance Team • Anthony Bridges, Deputy Executive Officer • Eric D. Smith, Fiscal Intervention Specialist Financial Management – Fiscal Crisis and Management Assistance Team • Marisa Ploog, CPA, CFE, CGMA, CICA, Fiscal Intervention Specialist • Julie Auvil, CPA, CGMA, Fiscal Intervention Specialist • Debbie Martin, CPA, Associate Vice President Business Operations, Kentucky State University* Community Relations and Governance – College Brain Trust • Shirley Kelly, Retired Community College President • Peggy Moore, Retired Community College Vice President of Instruction *As a member of this study team, this consultant was not representing her respective employer but was working solely as an independent contractor for FCMAT. 4 Fiscal Crisis and Management Assistance Team Executive Summary Summary of Progress As demonstrated in this eighth progress report, improvement has been noted and the average ratings of the standards in the operational areas of Facilities Management, Financial Management and Com- munity Relations/Governance of the Compton CCD have increased during this reporting period. The partnership between the Compton CCD and the El Camino CCD continues to evolve under the leadership of the state special trustee, chief executive officer and El Camino College executive management team. Specific organizational roles and responsibilities of the governing entities and administrators continue to evolve and be clarified as they apply to the Compton CCD and the Comp- ton Center. Reporting relationships are clearly communicated for all faculty, staff and students to navigate properly. From a governance perspective, the special trustee provides decision-making authority in lieu of the Compton CCD elected governing board and personnel commission. The CEO of the Compton CCD reports directly to the state special trustee, and the El Camino College vice president of the Compton Center reports to the superintendent/president of the El Camino CCD. This organizational structure is reflected in Administrative Regulation 3101, Management Organization Chart, dated March 15, 2010. Compton CCD requires active leadership from both the special trustee and the CEO to assist the district in developing and sustaining the internal capacity required to eventually return the dis- trict to local governance and regain the college’s accreditation. The state special trustee, CEO and El Camino CCD executive management team have initiated planning strategies, implemented needed improvements, and brought organizational balance to the unique reporting structure of the governance partners. Provisions of the MOU and subsequent Agreement between the parties continue to ensure that the El Camino CCD Board of Trustees is engaged in issues of policy affecting students at the Compton Center. The state special trustee, the CEO and the chief business official (CBO) have remained with the Compton CCD during this review period, which has continued to provide much-needed consistent, strong leadership to the district. The CBO and the director of accounting have continued to work diligently to evaluate business office functions, develop and implement written processes and pro- cedures for the Business Services Department, and increase internal controls. This has helped to improve fiscal practices and increase ratings in many of the Financial Management standards. The director of facilities planning and operations has been with the district during this entire review period. Continuity and experience in this key leadership position has contributed to the improvement in facilities, maintenance and operations practices and progress in numerous Facilities Management standards. During this review period, the majority of the elected board members are new to the district’s Board of Trustees. Due to redistricting, all five board seats were up for election in November 2013. Two of the previous members were re-elected and three members are new. At present, the role of the board is limited because it serves in an advisory capacity. However, the board should continue to develop and make progress in working together and with the special trustee and administrative staff to ensure they effectively fulfill this advisory role in preparation to assume a decision-making role in the future. At the time of the review team’s fieldwork, only four regular meetings of the newly constituted board had been conducted since the members took office in December 2013. Information and evidence of further Compton Community College District 5 progress regarding the development of a good working relationship with each other and administrative staff, respect for the majority opinion, and the general tenor of board meetings should become more evi- dent in the months ahead. The recovery process for the Compton CCD and Compton Center requires much time and improve- ment and will likely proceed incrementally. The partnership between the Compton CCD and the El Camino CCD remains strong, and the entities continue to navigate through this unique and complex circumstance. FCMAT continues to anticipate that the Compton CCD, with the assistance of its partner, the El Camino CCD, and the special trustee will continue to make the progress necessary for an even- tual return to local governance. Although responding to the FCMAT standards provides the basis of a review of district activities, it does not yield an accreditation self-study. The ACCJC has many standards not covered by the FCMAT review. Furthermore, the requirement for documentation to support the description of activities is very different. While the activities undertaken as part of the FCMAT review will be useful to the institution, the ACCJC has a distinct and separate process from FCMAT relative to accreditation. Return to Local Governance Assembly Bill 318 amended Education Code Section 71093 to allow the Board of Governors to au- thorize the chancellor to suspend the authority of the Compton Community College District Board of Trustees to exercise any powers or responsibilities or take any official actions with respect to the district’s management. Suspension may be authorized for a period up to five years from the effective date of AB 318 of the 2005-06 regular session, plus a period lasting until the Chancellor, FCMAT, the Director of Finance, and the Governor concur with the special trustee that the district has, for two consecutive academic years, met the requirements of the comprehensive assessment and recovery plan. The initial Compton Community College District Comprehensive Review, April 2007 assessed the Compton CCD using 335 professional and legal standards in five areas of district operations. The standards were aligned to the four standards of the ACCJC to develop specific recommendations for operational improvements that would help prepare the district to return to fiscal solvency and local governance and enhance its readiness to re-establish accreditation. Scaled scores were assigned for each standard to provide a baseline measure of the district’s implementation of the standards as of fall 2006. Each standard was measured and a scaled score from zero (not met) to 10 (fully met) was applied. To focus the district’s efforts on recovery, FCMAT selected a subset of these 335 standards in con- sultation with the appointed special trustee. The 183 standards were selected as having the highest probability, if addressed successfully, to assist the Compton CCD with recovery. These standards are identified in bold print in the Tables of Standards in each operational area section of this report. They were the focus of this visit and assessment, and will continue to be the focus of each progress review. An average of the scores for the subset of standards in each of the operational areas was determined and became the baseline of data against which the district’s progress can be measured over time, dur- ing each review and assessment. The district is not required to reach a scaled score of 10 in each of the selected standards, but is expected to make steady progress that can be reasonably sustained. It is reasonable to expect that the district can reach an average rating of at least a six, with no individual standard scored less than a 6 Fiscal Crisis and Management Assistance Team four, in the subset of FCMAT standards identified under ACCJC standards I, II and IV, and ACCJC standards III-A, III-B, and III-C/D. ACCJC Standard III, which deals with how the district manages its resources, has been subdivided into three sections, to provide an average for the operational areas of human resource (personnel) management, physical resource (facilities) management and financial resource management. When the average score of the subset of standards within an ACCJC standard or standard subdivision reaches a level of six, progress is considered to be substantial and sustainable, no individual standard in the subset is below a four, and the district has sustained the standards for two consecutive academ- ic years, this particular operational area could be considered for return to the local district govern- ing board, provided that the Community Relations/Governance standards have been substantially met and are sustainable and that operational area has been returned to the local governing board. It is conceivable that the Board of Trustees will regain local authority incrementally as the criteria are met in each of the FCMAT standard areas. During the sixth and seventh review periods, the Personnel Management and Academic Achievement operational areas, respectively, reached an average rating of six with no individual standard below a four, and the district had sustained these ratings for two consecutive academic years. Therefore, these areas were not reviewed by FCMAT nor included in this eighth progress report. Because the required criteria have not been met for the Community Relations/Governance operation- al area, governance of Personnel Management and Academic Achievement cannot be returned to the local Board of Trustees and will remain with the special trustee until the provisions of AB 318 and Education Code Section 71093 have been met. The return of legal powers and duties to the elected board is contingent on meeting all of the prescribed requirements. The ACCJC will conduct its own assessment to determine the eligibility requirements for accredi- tation. The ACCJC accreditation process is separate and distinct from the legislatively mandated requirements of AB 318 and assessment by FCMAT. Recovery Plan The Compton Community College District Comprehensive Review, April 2007 assessed the district using 335 professional and legal standards and provided an in-depth review and a baseline score for each standard. A subset of FCMAT standards that were similar in nature to the ACCJC’s four broad topic areas was identified to assist the district in focusing its efforts to more successfully achieve re- covery and a return to local governance. This subset of standards is the focus of this eighth progress report and the ongoing progress reviews to be conducted in the future. Although all professional and legal standards utilized in the comprehensive assessment process are important to any district’s suc- cess, this identified subset of standards will enable the district to focus its efforts on making progress toward recovery. Following the initial comprehensive review in April 2007, FCMAT, with the collaboration of the special trustee, identified a subset of 186 FCMAT standards in the four ACCJC standards areas to be reviewed during each progress review. Three of those standards were eliminated during the third progress review because they were repetitive of other standards or were not applicable to the college or district. The subset of FCMAT standards included in this eighth progress report is: • 27 (now 26) of 37 standards in ACCJC Standard I-A and I-B, Mission and Effectiveness – no longer reviewed by FCMAT or included in the progress report Compton Community College District 7 • 16 (now 15) of 28 standards in ACCJC Standard II-A, II-B and II-C, Student Learning – no longer reviewed by FCMAT or included in the progress report • 40 of 82 standards in ACCJC Standard III-A, Human Resources – no longer reviewed by FCMAT or included in the progress report • 41 (now 40) of 71 standards in ACCJC Standard III-B, Physical Resources • 41 of 88 standards in ACCJC Standard III-C, Technology, and III-D, Financial Resources • 21 of 29 standards in ACCJC Standard IV-A and IV-B, Leadership and Governance The subset of standards is identified in bold print in the Table of Standards displayed in each ACCJC standard section. Each progress review assesses only the identified subset of standards. Later sections of this report provide greater detail on each of the standards in the identified subset of standards. For each standard, a description is provided of the district’s progress in implementing the standard, and a rating, on a scale of 0-10, is provided of the district’s progress at this point in time. Summary Table of Progress An average of the identified subset of FCMAT standards within each ACCJC standard area was calculated to provide a summary of the district’s progress in that area. The average ratings from the Compton Community College District Comprehensive Report, April 2007 of the identified subset of standards provided a baseline of data against which the district’s progress can be measured during each review. 8 Fiscal Crisis and Management Assistance Team Compton Community College District 9 gnitaR egarevA 4 naht sseL sdradnatS fo .oN fo .oN dradnatS ni sdradnatS tesbuS lirpA lirpA enuJ yluJ .naJ enuJ yluJ .naJ lirpA lirpA lirpA enuJ yluJ .naJ enuJ yluJ .naJ lirpA 4102 3102 2102 0102 0102 9002 8002 8002 7002 4102 3102 2102 0102 0102 9002 8002 8002 7002 dradnatS CJCCA dna ,noissiM ,A-I **RN 18.6 37.6 70.6 47.5 18.4 91.2 69.1 25.1 **RN 0 0 0 0 3 52 62 62 *62 lanoitutitsnI ,B-I ssenevitceffE dradnatS CJCCA lanoitcurtsnI ,A-II ,B-II ;smargorP **RN 00.7 37.6 62.6 74.5 04.5 88.2 44.2 57.1 **RN 0 0 0 0 0 11 21 41 *51 troppuS tnedutS ,C-II dna ,secivreS gninraeL dna yrarbiL secivreS troppuS ,A-III dradnatS CJCCA **RN **RN 81.8 06.7 00.7 35.5 59.3 38.2 53.1 **RN **RN 0 0 0 6 02 82 63 04 secruoseR namuH ,B-III dradnatS CJCCA 02.8 09.6 09.6 32.7 39.6 31.6 67.2 43.2 23.2 0 1 2 0 0 2 52 82 82 *04 secruoseR lacisyhP ,C-III dradnatS CJCCA ,D-III dna ,ygolonhceT 64.6 39.5 20.5 08.6 22.6 36.4 38.2 93.2 87.1 0 2 21 0 0 8 62 23 53 14 laicnaniF secruoseR -VI dradnatS CJCCA gnikaM-noisiceD ,A ,sessecorP dna seloR 91.6 17.5 84.5 16.6 01.7 33.5 17.2 41.2 01.2 0 6 6 0 0 1 71 71 71 12 draoB ,B-VI dna evitartsinimdA dna snoitazinagrO .tcirtsid ro/dna egelloc eht ot ytilibacilppani ro ycnadnuder fo esuaceb detanimile dradnats enO * deweiveR toN = RN ** ssel detar dradnats laudividni on htiw ,xis a sehcaer aera lanoitarepo na ni sdradnats TAMCF fo tesbus eht fo gnitar egareva eht nehW ro aera eht weiver regnol on lliw TAMCF ,sraey cimedaca evitucesnoc owt rof sgnitar eseht deniatsus sah tcirtsid eht dna ,ruof a naht .stroper ssergorp erutuf ni ti edulcni Overview of Operational Areas of Management Assembly Bill 318 required FCMAT to conduct a comprehensive assessment of the Compton Com- munity College District (Compton CCD) and prepare a recovery plan addressing the five operational areas that include Academic Achievement, Personnel Management, Facilities Management, Financial Management, and Community Relations/Governance. FCMAT aligned the legal and professional standards used to assess these five operational areas with the four standards of the Accrediting Com- mission for Community and Junior Colleges (ACCJC) to assist the district in its recovery. Because the Personnel Management and Academic Achievement operational areas reached an average rating of six with no individual standard below a four and the district had sustained these ratings for two consecu- tive academic years during prior review periods, these areas were not reviewed by FCMAT nor included in this eighth progress report. Each of the identified subset of standards is presented in greater detail in later sections of this report. This section, however, provides an overall summary of the Compton CCD’s management of each operational area. Facilities Management Overview FCMAT reviewed and assessed 40 Facilities Management standards and prepared a comprehensive assessment based on the findings. These standards have been associated with similar ACCJC ac- creditation standards relating to Physical Resources (ACCJC Standard III-B) to assist the district with recovery and regaining accreditation. However, the ACCJC accreditation process is separate and distinct from the legislatively mandated requirements of AB 318 and assessment by FCMAT. In June 2013, the district hired a permanent director of facilities planning and operations. This posi- tion has overall responsibility for facilities, maintenance, custodial, and grounds. The director served previously as the district’s interim director of facilities planning and operations, and prior to that as a senior project manager for a construction management firm, and worked with the district in that capacity for several years. The district was successful in seeking state and local funds for capital improvements with the pas- sage of Measure CC in November 2002, which authorized the issuance of $100 million in general ob- ligation bonds. This bond measure authorized funds to repair and renovate instructional classrooms and job training facilities, and upgrade safety/security systems, electrical capacity, computer technol- ogy, energy efficiency, and roofing systems. Compton Community College was originally constructed in the early 1950s and opened for classes in fall 1953. Since that time more facilities have been added to the campus. The district has recently embarked on an aggressive facilities campaign and has shown significant improvement in this area since the last review period. Some examples of facilities projects that have been completed or are near completion include the following: Phase I – Central Plant/Stadium Lighting The photovoltaic (solar) panels have been installed. The contractor is working on completing an interconnectivity agreement with Southern California Edison (SCE) to operate the solar panels. The final power switch over to the new electrical system for the MIS and M&O buildings was completed April 6, 2014. The old central plant was decommissioned. The new central plant chilled water system is running manually, providing cooling in the Math/Science, Childcare, and Vocational Tech build- 10 Fiscal Crisis and Management Assistance Team ings while the building cooling programming continues. The contractor is scheduled to complete work June 12, 2014. Phase I – Utility Infrastructure Landscaping and irrigation along the main road is complete. Programming for the new lighting is almost complete. Connection of domestic water, gas and sewer to the existing buildings continues. The contractor is scheduled to complete work June 12, 2014. Retention Basin/Practice Field - The retention basin is complete. The contractor is installing irriga- tion and plans to hydroseed the area in a few weeks. Phase II – Utility Infrastructure Landscaping and irrigation along the main road is complete. Programming for the new lighting is almost complete. Installation of a few fence panels in the northeast corner is the only item remaining for completion of the east Greenleaf entrance. Connection of domestic water, gas and sewer to the existing buildings continues. Pending changes include a new trash enclosure in parking lot G and a ramp with a pathway at parking lot F. The contractor is scheduled to complete work June 12, 2014. Allied Health Building The Department of Finance gave final approval for this project at the end of February 2014. The preconstruction meeting with the general contractor, AMG, was held March 20, 2014. A Notice to Proceed was issued to AMG on April 14, 2014. The contractor has almost completed asbestos/lead abatement inside the building. The project duration is 548 days. Student Success Center All outstanding litigation on the Student Success Center building (formerly known as the Learning Resource Center) has been resolved and the building was occupied on March 27, 2014, several days before the scheduled March 31, 2014 deadline. Compton CCD has created and maintains a facilities project priority list and continues to prog- ress with a list of projects meeting these criteria. This list is revisited annually and is to be updated monthly through communication and prioritization between the CEO, CBO, director of facilities planning and operations and other key members of cabinet. Safety measures have improved, including campus security and employee safety. The Workplace Security Plan includes a communications system that is designed to encourage continuous flow of safety, health, and security information between management and employees. The plan states the district will perform periodic inspections designed to identify hazards, provide for freedom of move- ment and access, and ensure emergency contact information is current and posted. The plan is on file at both the Maintenance and Operations and Police departments and is available for inspection by any users accessing the site. The plan includes a complete site map for evacuation purposes. A hazardous equipment inventory is included in the Consolidated Contingency Plan that includes items such as hardhats, wash stations, first aid kits, safety glasses, fire extinguishers, portable radios and emergency telephones. An employee training plan is included in the 2013 Consolidated Contin- gency Plan that includes methods for safe handling of hazardous chemicals, procedures in the event of a release, use of emergency responder equipment and procedures for coordinating with other local agencies. Compton Community College District 11 Financial Management Overview FCMAT reviewed and assessed 41 Financial Management standards and prepared a comprehensive assessment based on the findings. These standards have been associated with similar ACCJC accred- itation standards relating to Technology and Financial Resources (ACCJC Standard III-C and III-D) to assist the district with recovery and regaining accreditation. However, the ACCJC accreditation process is separate and distinct from the legislatively mandated requirements of AB 318 and assess- ment by FCMAT. Interviews with administrative, management, faculty and classified staff as well as observations and review of supporting documentation show that the district has continued to make improvement and sustained or advanced its progress in almost all of the financial standards. During this review period, the district advanced by one point or more on 20 of the 41 standards reviewed, and three of those 20 advanced more than one point. The ongoing stability in key district leadership positions has contrib- uted to the continued advancement in the Financial Management standards. The administration has worked hard to establish and communicate the lines of authority and proper chain of command throughout the organization. Leadership continues to ensure matters move ap- propriately through those channels for resolution. Some staff members indicated that direct access to the CBO has decreased during this review period as the focus of this position begins to shift more toward a leadership rather than a hands-on, technical assistance role. The progress achieved by the district has continued with ongoing structure in the business office and stability in the leadership of the Business Services Department. The attention focused by the department’s leadership on working directly with staff members, evaluating accounting functions, improving processes for performing tasks, and implementing written operational policies and procedures has continued. Administrators from the El Camino CCD continue to report high levels of confidence in the cur- rent Compton CCD leadership team, and the Compton CCD staff continues to speak favorably of its administrative staff. Strong leadership in the business office continues to be a key factor for additional progress in the district’s recovery process. Continued stability in this area will be essential to further strengthen op- erational procedures and to make sustainable progress in all areas managed by the Business Services Department. Internal Control Climate, Fraud Detection & Internal Audit Due to economic factors, the district continues to operate without a dedicated internal audit position and has decided to abandon efforts to establish one at this time. Although the district has decided not to staff an internal audit position at this time, the CEO continues to demonstrate that it remains a priority to establish an environment and culture that clearly communicates that fraud and other il- legal acts will not be tolerated and that all allegations will be investigated. As a means of demonstrat- ing progress in the establishment and monitoring of proper internal controls for key operating areas including the business office, bursar’s office, financial aid, and categorical state and federal grants, FCMAT has routinely recommended that Compton CCD re-establish the internal audit function. In previous review periods the district partnered with the El Camino CCD to implement an internal audit function. Two of the Business Services Department administrators have experience as former independent auditors in community college districts. The district has developed an internal audit plan designed 12 Fiscal Crisis and Management Assistance Team to identify existing internal control weaknesses and monitor and update processes and procedures where necessary. Although the district has worked to address the highest priority items identified in the internal audit plan priority list, many identified areas remain outstanding. Each content area iden- tified should be routinely reviewed to ensure proper procedures are followed and internal controls are established and applied without exception. The plan identifies the CBO as the position responsible for reviewing, revising, implementing and enforcing all aspects of the plan. Because this position is also the primary party responsible for the implementation and oversight of all business activities and ensuring that district assets are properly safeguarded, the elements of objectivity and neutrality are lost. To be effective, the internal audit function must be neutral and objective. Therefore, an internal audit function should be independent of the business office and should report to the CEO or the board/special trustee. Under the existing plan, the establishment of an audit committee could help to offset the loss of objectivity and neutrality created as a result of the lack of review by a third party. Audit committees, typically composed primarily of board members and top administration, monitor the control struc- ture and act as liaison between management and the internal audit function. The district should, at a minimum, establish an audit committee, responsible directly to the board/special trustee, to maxi- mize the effectiveness of the control structure. Budget Process and Communications Communication efforts throughout the organization continue as a priority, with this review period having a larger emphasis on providing information to communities the district serves. District staff continued to report they generally feel informed about what is occurring in the district and in the Business Services Department. The CEO has continued communication efforts, preparing his news- letter titled Message from the CEO, and staff throughout the organization acknowledged that the CEO continues to have an open door policy and has established weekly open door hours. Interviews with staff indicated they are knowledgeable of the communications made available to them and are comfortable taking advantage of the CEO’s open door policy if they have issues they wish to discuss. The district follows a budget development process based on a calendar of events and deadlines lead- ing up to the budget adoption. The CBO is responsible for overseeing the budget development pro- cess and its resulting budget. The instability in the CBO position during previous budget cycles has stopped, and the current CBO has been with the district for approximately two years. The district continues to use the Plan Builder software to assist deans and individual departments in developing their budgets. However, the district did not provide FCMAT with unit/department plans to test their incorporation of the mission, overarching outcomes, and other significant criteria as tools to support the rationale behind requests for district resources. Department staff continue to exhibit a lack of understanding of how their funding allocations are determined. The Planning and Budget Committee continued to meet regularly throughout the year and was pro- vided information regarding the budget assumptions and projections for the 2013-14 final budget and 2014-15 preliminary budget. Board minutes reflect that budget presentations are conducted and that quarterly and annual financial status reports were provided during board meetings throughout the fiscal year. District presentations are most commonly oral, with no identifiable written materials included in board agenda packets; rather, a link is provided to the district’s website for such materials. Providing materials only in this manner does not make them easily accessible to individuals who do not have immediate access to the Compton Community College District 13 Internet. Although board agendas reflect that communications addressing budget and financial status are taking place, the minutes reflect little board discussion and interaction. The district had reconciled its two financial accounting and reporting software systems, Datatel and PeopleSoft, at the end of the 2012-13 fiscal year. However, due to the difficulties encountered in the timing of uploads into Datatel and the costs associated with the time necessary to perform these reconciliations, district management has begun discussions about eliminating the use of Datatel and using PeopleSoft for all accounting transactions. Enrollment and Attendance The district’s 2013-14 budget reflects an increase of 350 full-time equivalent students (FTES) over the prior year, which is consistent with the substantial increase statewide of students seeking enroll- ment in the community college system as a result of the economic challenges of the state. Reduced class offerings and increased fees at many universities have also contributed to this trend. Compton CCD utilizes El Camino CCD’s student enrollment, registration and attendance processes, forms and systems. Apportionment Attendance reports are prepared by the El Camino academic affairs analyst, and Enrollment Fee Revenue reports are prepared by Compton CCD. During this re- view period, enrollment and attendance reports were not always signed and filed timely. In addition, the P1 Estimated Enrollment Fee Revenue report included fees paid of $578,554 and the P2 included fees paid of $190,617. Because this is a cumulative annualized fiscal report, the total fees paid is expected to increase from the first to the second reporting period. The procedures for completing the report should be reviewed and understood to ensure that reports are completed properly. The dis- trict should also ensure that the CBO reviews reports for accuracy prior to submission and that state reports are signed and filed timely. Associated Student Body The district has established an administrative regulation that outlines the distribution of revenue as- sociated with enterprise activities. Administrative Regulation 3601 describes how net profits result- ing from bookstore, food services and campus vending activities are to be distributed. However, no disbursement occurred for the 2013-14 fiscal year, as of March 31, 2014. The district has also established procedures that require all journal entries, financial statements and bank reconciliations to be completed with management’s oversight. Although bank reconciliations are prepared for each statement, they were not always prepared timely during this review period, and some reconciliations did not have management review indicated on the forms. Management should provide more oversight of these accounting activities, including review and sign off on all bank rec- onciliations, and ensure that funds are disbursed properly and timely. Facilities Infrastructure and Technology The district has retained a director of facilities planning and operations as a full-time, permanent position responsible for the management of facilities projects and the Maintenance and Operations Department. Over the last several review periods the manager responsible for directing and oversee- ing facilities has been entrenched in the district’s utility and technology infrastructure projects as well as the opening of the Student Success Center. These projects continue to present some chal- lenges for the Maintenance and Operations Department in maintaining the campus and securing the department’s equipment because the department has been displaced from its facilities during this phase of modernization. Staff reported that contractors have access to areas where maintenance and operations equipment and materials are housed, and on occasion these areas were left unsecured 14 Fiscal Crisis and Management Assistance Team leaving district assets vulnerable to theft. The identification of secured locations for supplies, tools and equipment during the displacement period continues to be essential to ensuring that these district assets are properly safeguarded from theft and should be a district priority. The Maintenance and Operations Department does not have an adequate inventory system for track- ing small tools and equipment. This continues to be an ongoing department challenge. Small tool and equipment inventories should be developed and be sufficiently detailed to account for items pur- chased by the department, and should be updated as items are lost, damaged or otherwise disposed of. Physical inventories should take place at least annually, and the documented inventory lists should be updated accordingly and dated. The district has addressed many of the weaknesses in its technology infrastructure. Over the last sev- eral years the district has worked to stabilize the network, which was crippled by outdated equipment and poor connectivity. During FCMAT’s last review, the district had begun a significant infrastruc- ture modernization project upgrading connectivity to fiber, which is a core foundational component of technology infrastructure. The district has prepared an inventory of technology hardware; how- ever, no equipment replacement plan has been developed. The district should develop a technology equipment replacement plan and identify a stable and reliable funding source to support it. Community Relations and Governance Overview FCMAT reviewed and assessed 21 Community Relations/Governance standards and prepared a comprehensive assessment based on the findings. These standards have been associated with similar ACCJC accreditation standards relating to Leadership and Governance (ACCJC Standard IV) to as- sist the district with recovery and regaining accreditation. However, the ACCJC accreditation process is separate and distinct from the legislatively mandated requirements of AB 318 and assessment by FCMAT. The last Compton CCD trustee election took place in November 2013. Due to redistricting all five seats were open; two incumbents were re-elected to the board, and three new members were elected. Pursuant to AB 318, the elected board is not authorized to perform the functions of a community college board and serves in an advisory capacity to the state appointed special trustee. While the special trustee solicits the opinions of the members, the board does not have an official vote nor does it participate in closed session meetings. Thus, compliance with many of the standards must be based on the limited role of the elected board. Although the FCMAT standards do not explicitly address the unique nature of the partnership and Agreement Between the El Camino CCD and the Compton CCD, updated and approved May 21, 2013, it is necessary to comment on this issue. The board must understand and demonstrate public support for the agreement that describes the relationship between the Compton Center, Compton CCD and El Camino CCD. In addition, it must completely understand and support the recovery plan and be able to articulate it to the public. The board members must develop a cooperative working relationship with each other and with the special trustee and administrative staff to achieve improve- ment in the governance component. Communications External communication for the Compton Center is formally handled through the El Camino CCD director of community relations. Communications are handled in a variety of ways that include the Compton Community College District 15 district website and the CEO’s newsletter to the Compton CCD community. The CEO continues to be committed to communicating information about the district, the campus facilities, the budget and the progress of initiatives. District information is provided to the board regularly. However, the review team did not find a formal plan for either external or internal communication. The Consultative Council also provides a forum for the exchange and discussion of information. However, the minutes for this review period did not include sufficient detail on the topics under discus- sion. Because this is the primary shared governance group at the Compton Center, and two key commit- tees (Planning and Budget and Institutional Effectiveness) report to the council, the minutes should be more detailed so that interested parties know what transpires. Community Relations The information about complaint procedures for students is included in the catalog and the schedule of classes. Complaints received by the board are referred to the CEO for resolution. The Board of Trustees is aware of its role regarding informal public concerns. It is important, however, that the board members do not speak or appear to be speaking for the entire board unless authorized to do so. Community Collaboratives and District Committees The outreach strategy for the Compton Center has been formalized in the Enrollment Management Plan and implementation is well under way. The district has supported the implementation by provid- ing staffing and funding for the plan’s activities. The Enrollment Management Plan places an empha- sis on retention of students. The CEO has continued to make a priority of developing relationships in the community. Within the district, the Consultative Council and its committees provide the opportunity for individ- uals to provide advice and counsel. The district needs to continue its examination of committees and their functions and should ensure that constituency members of the Consultative Council and com- mittees report information to their respective groups so that staff and students are informed. The review team heard from all segments of the campus community, including students, classified staff, faculty, and managers, that at times senior management seems to listen but not hear what is shared. The perception of some is that minds are often already made up and the consultation process produces no changes. In any campus community, some individuals believe they have been heard only when they see their exact suggestions acted on immediately. However, during this review several individuals expressed concerns about shared governance. The district should continue to work to improve this perception. Board Roles/Boardsmanship As noted above, the Compton CCD has a full board serving in an advisory capacity with three new members as of the November 2013 election. The district has developed a specific training agenda for board members that addresses the areas of expectations, roles and responsibilities for members and provides a framework for operations at board meetings. The team found general agreement about the importance of board training. This training should enable the board to assume its full role when the college/district again becomes an independent entity. The board should continue its commitment to training and should work to fully understand the appropriate role and conduct of a board member at meetings and when dealing with the public and staff. The board is informed on issues of importance. Staff members regularly provide reports, the CEO and special trustee meet with board members to review operational issues, and the CEO provides background information and data in advance of public meetings. 16 Fiscal Crisis and Management Assistance Team The board must work as a unified whole, and the members must show respect for one another and support the decisions of the majority. The board needs to continue work to develop a coherent, unified voice. Board members need to ensure they develop positive working relationships with the special trustee and administration and consistently treat them with respect. Board Meetings Board agendas and minutes are posted in the Administration Building for both campus and public information. The 2013-14 board agendas and regular meeting minutes were posted to the district’s website; however, minutes were not posted for the special board meetings. The district should ensure that all relevant information is posted to the website regularly and timely. Members of the public have an opportunity to address both agenda and non-agenda items during board meetings. Since the appointment of the current special trustee in fall 2011, the elected board does not sit at the dais during all board meetings nor do the members attend closed session meetings. The board is engaged by the special trustee through the process of asking their opinion on items but does not have voting authority. Interviews indicated that the board is working hard to understand the issues and work together rather than as five individuals. Board members will also need to ensure that they deal with controversial and complex issues in a cooperative manner. The review team attended the March 25, 2014 Board of Trustees meeting. Board members acted in a professional manner at this meeting. Interviews and review of the 2013-14 board meeting minutes no longer revealed instances of board members exhibiting behavior that was inappropriate for a public session. Although agenda items can at times be extremely sensitive matters to board members, their conduct at meetings should remain professional. The best way for the Board of Trustees to demon- strate that it is able to assume typical board tasks, and to demonstrate its future ability for accredita- tion purposes, is to model the behavior that is expected of community college board members. The Board of Trustees is advisory and currently has no rights, duties or powers, and thus members may at times feel frustrated by the board’s limited role and the fact that they do not sit at the dais for all meetings. However, it is critical that the members exhibit the decorum and professionalism that would demonstrate their readiness to assume a full role when the district regains local authority to govern areas of operations. Compton Community College District 17 Accrediting Commission for Community and Junior Colleges (ACCJC) Standard III: Resources The institution effectively uses its human, physical, technology, and financial resources to achieve its broad educational purposes, including stated student learning outcomes, and to improve institutional effectiveness. B. Physical Resources – Physical resources, which include facilities, equipment, land, and other assets, support student learning programs and services and improve institutional effectiveness. Physical resource planning is integrated with institutional planning. 1. The institution provides safe and sufficient physical resources that support and assure the integrity and quality of its programs and services, regardless of location or means of delivery. a. The institution plans, builds, maintains, and upgrades or replaces its physical resources in a manner that assures effective utilization and the continuing quality necessary to support its programs and services b. The institution assures that physical resources at all locations where it offers courses, programs, and services are constructed and maintained to assure access, safety, security, and a healthful learning and working environment. 2. To assure the feasibility and effectiveness of physical resources in supporting institutional programs and services, the institution plans and evaluates its facilities and equipment on a regular basis, taking utilization and other relevant data into account. a. Long-range capital plans support institutional improvement goals and reflect projections of the total cost of ownership of new facilities and equipment. b. Physical resource planning is integrated with institutional planning. The institution systematically assesses the effective use of physical resources and uses the results of the evaluation as the basis for improvement. ACCJC Standard III 1 2 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating B. Physical Resources Standard to be Addressed Facilities Management – School Safety The college has developed a plan of security that includes adequate measures 1.3 6 of safety and protection of people and property. [EC 32020] The college ensures that the custodial and maintenance staff is regularly in- formed of restrictions pertaining to the 1.4 storage and disposal of flammable or 3 3 3 4 4 5 5 5 8 toxic materials. [F&AC 12981, H&SC 25163, 25500-25520, LC 6360-6363, CCR Title 8 §5194] The college has a documented process for issuing master and sub-master keys. A collegewide standardized 1.5 3 3 4 7 7 7 5 6 7 process for the issuance of keys to employees is followed by all college administrators. Outside lighting is properly placed and monitored on a regular basis to ensure the operability/adequacy of such lighting and to ensure safety while activities are in progress in the evening hours. Outside lighting pro- 1.7 vides sufficient illumination to allow 2 2 3 5 6 6 6 7 8 for the safe passage of students and the public during after-hours activi- ties. Lighting also provides security personnel with sufficient illumination to observe any illegal activities on campus. Each public agency is required to have on file written plans describing proce- 1.9 dures to be employed in case of emer- 6 gency. [EC 32001, GC 3100, 8607, CCR Title 8 §3220] The standards in bold text are the identified subset of standards for ongoing reviews. ACCJC Standard III 3 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Maintenance/custodial personnel have knowledge of chemical compounds used in school programs that include 1.11 the potential hazards and shelf life. 4 4 4 4 4 5 4 4 8 [F&AC 12981, H&SC 25163, 25500- 25520, LC 6360-6363, CCR Title 8 §5194] Building examinations are performed, and required actions are taken by 1.12 5 5 6 6 6 5 4 4 7 the Governing Board upon report of unsafe conditions. [EC 81162] Sanitary, neat and clean conditions of the school premises exist and the 1.14 premises are free from conditions that 2 2 3 6 7 6 6 4 7 would create a fire hazard. [CCR Title 5 §633] The Injury and Illness Prevention Program (IIPP) requires periodic 1.15 2 2 2 5 5 5 3 3 7 inspections of facilities to identify con- ditions. [CCR Title 8 §3203] Appropriate fire extinguishers exist in each building and current inspection 1.16 6 information is available. [CCR Title 8 §6151] All exits are free of obstructions. [CCR 1.17 7 Title 8 §3215] A comprehensive school safety plan 1.18 exists for the prevention of campus 5 5 5 6 7 8 8 8 10 crime and violence. [EC 66300] Requirements are followed pertaining 1.19 to underground storage tanks. [H&SC 7 25292, Title 23 Chapter 16] All asbestos inspection and asbestos work completed is performed by Asbes- tos Hazard Emergency Response Act 1.20 6 (AHERA) accredited individuals. [EC 49410.5, 15 USC 2641 et seq., 40 CFR part 763] The standards in bold text are the identified subset of standards for ongoing reviews. 4 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating All playground equipment (at the Child Development Center) meets safety code 1.21 regulations and is inspected in a timely 8 fashion as to ensure the safety of the stu- dents. [H&SC 115725-115750, PRC 5411] Safe work practices exist with regard 1.22 to boiler and fired pressure vessels. 4 4 4 7 8 8 8 4 8 [CCR Title 8 §782] The college maintains Materials Safety 1.23 Data Sheets. [LC 6360 et seq., CCR Title 6 8 §5194] The college maintains a comprehensive employee safety program. Employees are made aware of the college safety 1.24 0 0 0 5 4 5 6 5 6 program, and the college provides in-service training to employees on the requirements of the safety program. The college conducts periodic first aid 1.25 0 0 0 4 5 5 3 4 6 training for employees. Facilities Management – Facility Planning The college has a long-range facilities 2.1 5 master plan. The college possesses a Facilities Plan- 2.2 ning Manual for the California Com- 0 0 0 8 10 10 10 10 10 munity Colleges. The college seeks state and local 2.3 6 6 7 10 10 10 10 10 10 funds. The college has a district-wide Facility 2.4 5 Planning Committee in place. The college has a properly staffed and 2.5 0 0 1 8 8 8 8 7 8 funded facility planning department. The college has developed and imple- 2.6 mented an annual capital planning 5 5 6 7 8 8 9 8 9 budget. The college has standards for real 2.7 property acquisition and disposal. [EC 8 39006, 17230-17233] The standards in bold text are the identified subset of standards for ongoing reviews. ACCJC Standard III 5 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The college has established and utilizes a selection process for the selection of 2.9 5 licensed architectural/engineering ser- vices. [GC 4526] The college assesses its local bonding 2.10 4 4 4 8 9 10 9 8 10 capacity. [EC 15100] The college has developed a process to 2.11 4 4 4 8 9 10 9 8 10 determine debt capacity. The college is aware of and monitors 2.12 the assessed valuation of taxable prop- 4 4 4 8 9 10 10 10 10 erty within its boundaries. The college has developed an asset man- 2.14 5 agement plan. The college has established and 2.16 utilizes an organized methodology of 2 2 3 7 8 8 7 8 9 prioritizing and scheduling projects. A college that has passed a general obligation bond has created a Citizens Oversight Committee to ensure the ap- 2.19 6 propriateness of expenditures related to the passage of the college’s local school bond measure. Facilities Management – Facilities Improvement and Modernization The college has a restricted capital outlay fund, and a portion of those 3.1 1 1 2 8 8 9 8 6 8 funds is expended for maintenance and special repairs only. [EC84660] The college maintains a plan for the 3.4 maintenance and modernization of its 1 1 2 8 8 8 8 8 9 facilities. [EC 84660, 84670-84674] The college has established and main- 3.6 tains a system for tracking the prog- 2 2 3 6 7 8 8 9 9 ress of individual projects. The standards in bold text are the identified subset of standards for ongoing reviews. 6 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Furniture and equipment items are 3.7 routinely included within the scope of 2 2 2 6 7 8 7 7 8 modernization projects. Refurbishing, modernization, and new 3.8 construction projects take into ac- 1 1 2 7 8 8 7 8 9 count technology infrastructure needs. The college obtains approval of plans and specifications from the Division of 3.9 the State Architect prior to the award of 8 a contract to the lowest responsible bid- der. [EC 81052, 81130 et seq.] All relocatables in use throughout the 3.10 college meet statutory requirements. [EC 8 81130, 81160] College staff are knowledgeable of 3.13 procedures in the Division of the State 1 2 2 8 8 8 7 7 8 Architect (DSA). Facilities Management – Construction of Projects The college maintains an appropriate 4.1 structure for the effective manage- 1 1 1 6 6 7 6 7 8 ment of its construction projects. Change orders are processed and receive prior approval from required parties 4.2 6 before being implemented within respec- tive construction projects. The college maintains appropriate proj- 4.3 1 1 1 8 8 8 8 8 8 ect records and drawings. Each Inspector of Record (IOR) assign- 4.4 10 ment is properly approved. Facilities Management – Compliance with Public Contracting Laws and Procedures The college complies with formal bid- 5.1 ding procedures. [GC 54202, 54204, PCC 8 20111] The college has a procedure for requests 5.2 for quotes/proposals. [GC 54202, 54204, 7 PCC 20111] The standards in bold text are the identified subset of standards for ongoing reviews. ACCJC Standard III 7 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The college maintains files of conflict of interest statements and complies with legal requirements. Conflict of interest 5.3 4 4 4 4 7 7 7 7 8 statements are collected annually by the president/superintendent and kept on file. The college ensures that the biddable plans and specifications are developed 5.4 6 through its licensed architects/engineers for respective construction projects. The college ensures that requests for 5.5 progress payments are carefully evalu- 10 ated. The college maintains contract award/ap- 5.6 peal processes. [GC 54202, 54204, PCC 7 20111] The college maintains internal control, security, and confidentiality over the bid 5.7 7 submission and award processes. [GC 54202, 54204, PCC 20111] Facilities Management – Facilities Maintenance and Custodial An energy conservation policy has been approved by the Board of Educa- 8.1 0 0 0 3 6 7 7 7 8 tion and implemented throughout the college. Cost-effective, energy-efficient design 8.3 has been made a top priority for all 1 1 1 5 8 8 8 9 10 college construction projects. Adequate maintenance records and reports are kept, including a com- plete inventory of supplies, materials, tools and equipment. All employees required to perform maintenance on the college sites are provided with 8.5 1 1 2 5 5 5 5 6 6 adequate supplies, equipment and training to perform maintenance tasks in a timely and professional manner. Included in the training is how to inventory supplies and equipment and when to order or replenish them. The standards in bold text are the identified subset of standards for ongoing reviews. 8 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Procedures are in place for evaluating the work quality of maintenance and operations staff. The quality of the work performed by the maintenance 8.6 and operations staff is evaluated on a 0 0 1 3 6 6 6 7 8 regular basis using a board-adopted procedure that delineates the areas of evaluation and the types of work to be evaluated. Major areas of custodial and main- tenance responsibilities, and spe- cific jobs to be performed, have been identified. Custodial and maintenance 8.7 personnel have written job descrip- 2 2 3 5 7 7 7 8 8 tions that delineate the major areas of responsibilities they will be expected to perform and on which they will be evaluated. Necessary staff, supplies, tools and equipment for the proper care and cleaning of the college are available. To meet expectations, the college is ad- 8.8 4 4 4 5 5 7 7 7 8 equately staffed, and staff is provided with the necessary supplies, tools and equipment as well as the training as- sociated with the proper use of such. The college has an effective preventive maintenance program that is sched- uled and followed by the maintenance 8.9 0 0 0 5 5 5 6 6 7 staff. This program includes verifi- cation of completion of work by the supervisor of the maintenance staff. The Governing Board of the college provides clean and operable flush toilets for use of students. Toilet fa- 8.10 cilities are adequate and maintained. 3 3 3 6 6 5 5 4 6 All buildings and grounds are main- tained. [CCR Title 5 631, CCR Title 5 14030, EC 17576] The standards in bold text are the identified subset of standards for ongoing reviews. ACCJC Standard III 9 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The college has implemented a planned program maintenance system that includes an inventory of all facili- ties and equipment that will require maintenance and replacement. Data 8.11 0 0 0 6 7 7 7 8 8 includes purchase prices, anticipated life expectancies, anticipated re- placement time lines, and budgetary resources necessary to maintain the facilities. The college has a documented process 8.12 for assigning routine repair work or- 3 3 4 6 6 7 7 8 9 ders on a priority basis. Facilities Management – Instructional Program Issues The college has developed a plan for 9.1 4 4 4 4 7 7 7 7 8 attractively landscaped facilities. The Governing Board of any college maintains all of the campuses estab- lished by it with equal rights and privi- code code 9.3 leges as far as possible. [EC 35293] The 3 3 4 section section college has developed and maintains a N/A N/A plan to ensure equality and equity of its facilities throughout the college. The college has adequate lighting, elec- 9.4 7 trical service, heating and ventilation. Classrooms are free of noise and other 9.5 7 barriers to instruction. [EC 32212] The learning environments provided 9.6 within the college are conducive to high 8 quality teaching and learning. Facilities Management – Community Use of Facilities Education Code Section 82537 estab- lishes terms and conditions of school facility use by community organiza- tions, in the process requiring estab- 10.2 5 5 5 8 8 8 8 9 9 lishment of both “direct cost” and “fair market” rental rates, specifying what groups have which priorities and fee schedules. The standards in bold text are the identified subset of standards for ongoing reviews. 10 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The college maintains comprehensive 10.3 records and controls on civic center 6 implementation and cash management. Facilities Management – Communication The college’s public information office coordinates a full appraisal to students, 11.1 staff and community of the condition of 7 the college’s facilities and of efforts to rectify any substandard conditions. The college provides clear and compre- 11.2 hensive communication to staff of its 5 facilities plans. ACCJC Standard III 11 12 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.4 - School Safety - Restrictions on Flammable and Toxic Materials Legal Standard: The college ensures that the custodial and maintenance staff is regularly informed of restrictions pertaining to the storage and disposal of flammable or toxic materials. [F&AC 12981, H&SC 25163, 25500-25520, LC 6360-6363, CCR Title 8 §5194] Progress on Implementing the Recommendations of the Recovery Plan: 1. The district updated the Consolidated Contingency Plan in October 2013. The plan template is provided by Los Angeles County to give organizations a format to comply with the emer- gency planning requirements of three hazardous materials emergency response plans required in California: Hazardous Materials Business Plan, Hazardous Waste Generator Contingency Plan, and the Underground Storage Tank Emergency Response Plan and Monitoring Pro- gram. This plan is relied on to meet storage and usage quantities required by California state laws and regulations by the county of Los Angeles Certified Unified Programs Agency. The plan identifies contact information including response and medical treatment facilities in case of an emergency. It identifies the Workplace Security Plan as the document used to coordi- nate evacuation. The plan also includes procedures for prevention, mitigation, and abatement of hazards, and lists emergency equipment to be available and employee training to be pro- vided. 2. The Workplace Security Plan includes a communications system that is designed to encour- age continuous flow of safety, health, and security information between management and employees. The plan states the district will perform periodic inspections designed to identify hazards, provide for freedom of movement and access, and ensure emergency contact infor- mation is current and posted. The plan is on file at both the facilities and planning and the police departments and is available for inspection by any users accessing the site. The plan includes a complete site map for evacuation purposes. 3. A hazardous equipment inventory is included in the Consolidated Contingency Plan that in- cludes items such as hardhats, wash stations, first aid kits, safety glasses, fire extinguishers, portable radios and emergency telephones. 4. An employee training plan is included in the 2013 Consolidated Contingency Plan that in- cludes methods for safe handling of hazardous chemicals, procedures in the event of a re- lease, use of emergency responder equipment and procedures for coordinating with other local agencies. An April 2013 memo to staff regarding Material Safety Data Sheets (MSDS) binders for each custodial closet indicated that binders will be secured in the closet and con- tain MSDS information. The memo further indicated that supervisors will discuss MSDS as part of their safety meetings and will update binders as needed. 5. The cleaning schedules provided to the review team list the requirement to have MSDS avail- able on the work site. Interviews and observations confirmed recent communication to staff regarding this requirement. ACCJC Standard III 13 Standard Implemented: Fully - Substantially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 3 June 2009 Rating: 4 January 2010 Rating: 4 July 2010 Rating: 5 June 2012 Rating: 5 April 2013 Rating: 5 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 14 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.5 - School Safety - Documented Process for Key Control Professional Standard: The college has a documented process for issuing master and sub-master keys. A collegewide stan- dardized process for the issuance of keys to employees is followed by all college administrators. Progress on Implementing the Recommendations of the Recovery Plan: 1. The Compton CCD’s Facilities Master Plan continues to include plans and techniques to pro- vide electronic security throughout the campus. Components include door position switches, motion detectors, and door controllers through a master server to audit and control access to campus buildings. 2. Rekeying had been incorporated in the district’s master plan, including the plan to rekey campus buildings with programmable key cards. Two buildings – the district’s Student Suc- cess Center and Management Information Systems – are finished and are equipped with pro- grammable key card systems. The next building scheduled for rekeying is the Central Plant followed by the Allied Health Building. 3. The key issuance process provides guidelines and procedures for the issuance and control of keys and all forms of access to a door(s), master keys, buildings, cabinets, equipment, or ve- hicles to ensure the security of all district facilities and property. Interviews indicated that the campus police control the disbursement of all keys for facilities and ensure the return of keys upon employee exit from employment; however, the department does not have a complete inventory of all keys. 4. The district has installed 26 emergency “code blue” telephones strategically located through- out the campus; the system is integrated with the electronic key card system. Each code blue phone has a red emergency button that, when pressed, will automatically dial 911. Coopera- tion is essential to help maintain the integrity of the code blue phone system. These phones are to be used only for actual or perceived emergency situations. 5. The security report states “keys are provided to staff members on a need-to-enter basis as determined by the appropriate manager. Lost or stolen keys must be reported immediately to Campus Police and the employee’s manager or supervisor. Keys may not be loaned to other staff members, family, friends, or to students. Campus Police will confiscate any keys which have not been specifically issued to a particular individual. Unauthorized duplication and illegal possession of keys is a misdemeanor.” Compton CCD’s dean of students issues all re- quests to generate keys and forwards all approved forms to the campus police department. 6. The district provided a sample completed Property and Equipment Release form that indi- cated the signed acceptance of district keys by an employee. 7. Interviews indicated that the district is moving toward key standardization with the ASSA® key system. ACCJC Standard III 15 Standard Implemented: Partially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 4 June 2009 Rating: 7 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 5 April 2013 Rating: 6 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 16 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.7 - School Safety - Installation and Operation of Outside Security Lighting Professional Standard: Outside lighting is properly placed and monitored on a regular basis to ensure the operability/adequa- cy of such lighting and to ensure safety while activities are in progress in the evening hours. Outside lighting provides sufficient illumination to allow for safe passage of students and the public during after-hour activities. Lighting also provides security personnel with sufficient illumination to observe any illegal activities on campus. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has established a consistent schedule for checking lighting throughout the cam- pus. The maintenance and operations staff and the campus police department routinely in- spect campus lighting conditions. Regular observations contribute to the timely repair of inoperative lighting and the installation of additional lighting where a need has been deter- mined. 2. The Facilities Master Plan dated July 2012 identifies lighting design goals and includes ex- isting conditions and the proposed solutions for the entire campus. The plan has now been completed and includes new lighting standards for entry points to the campus, parking areas, pedestrian pathways and stadium lighting. 3. Lighting is listed as a standing agenda item for most Health and Safety Committee meetings. Committee concerns and updates are discussed during these meetings. Standard Implemented: Fully - Substantially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 3 June 2009 Rating: 5 January 2010 Rating: 6 July 2010 Rating: 6 June 2012 Rating: 6 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 17 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.11 - School Safety - Knowledge of Chemicals and Potential Hazards Legal Standard: Maintenance/custodial personnel have knowledge of chemical compounds used in school programs that include the potential hazards and shelf life. [F&AC 12981, H&SC 25163, 25500-25520, LC 6360- 6363, CCR Title 8 §5194] Progress on Implementing the Recommendations of the Recovery Plan: 1. The district updated the Consolidated Contingency Plan in October 2013. The plan identifies the Workplace Security Plan as the document used to coordinate evacuation. The plan also in- cludes procedures for prevention, mitigation, and abatement of hazards, and lists emergency equipment to be available and employee training to be provided. 2. The updated Consolidated Contingency Plan includes emergency contact information in case of a local emergency and identifies the following plans for hazardous materials: Prevention • Lab tech training and awareness for the handling, transporting and storage of hazardous materials. • Knowledge of Material Safety Data Sheets (MSDS). • Implementation of IIPP – hazard identification, scheduled safety and inspections. • Implementation of IIPP – hazard correction. • General safety “tailgate” meeting, safety topics on personal protective equipment (PPE) and other related topics. Mitigation • Safety awareness training to report any unsafe or hazardous condition as a priority one for mitigation. • Quarterly inspections of facility grounds and storage areas. Abatement • General training on personal safety through PPE, containment and abatement if material is nonharmful. • Emergency spills – Call Compton Fire Department for abatement (911). • If planned abatement, contract with lowest-cost qualified vendor to provide services, cer- tifications and waste tickets for disposal. • The district is working with Alta Environmental on the preparation of an Asbestos Hazard Emergency Response Act (AHERA) plan. The plan includes an equipment inventory and also specifies initial and annual employee training to include: familiarity with all plans and procedures specified in the Consolidated Contingency Plan, methods for safe handling of hazardous materials, safety procedures in the event of a release or threatened release of a hazardous material, use of emergency 18 ACCJC Standard III response equipment and supplies under their control, procedures for coordination with local emergency response organizations, and hazardous waste generator training. 3. An April 2013 memo to staff regarding MSDS binders for each custodial closet indicated that binders will be secured in the closet and contain MSDS information. The memo further indicated that supervisors will discuss MSDS as part of their safety meetings and will update binders as needed. 4. The Injury and Illness Prevention Program (IIPP), updated in December 2012, contains a hazardous materials and protection checklist for use in inspecting laboratories and facilities. Included in the program are scheduled and unscheduled inspections and a form to complete and submit if hazards are identified. Information provided to FCMAT indicates that inspec- tions were completed during this review period. However, the form is outdated because it lists the previous director of facilities as the person who is to review and take action on the reported hazards. 5. A sign-in sheet indicates that nine employees were trained on MSDS on March 26, 2013. 6. The cleaning schedules provided to the review team include a list of the requirements to have MSDS available on the work site. 7. Information provided to the review team indicates that a campuswide chemical inventory was completed during this review period. Standard Implemented: Fully - Substantially April 2007 Rating: 4 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 4 January 2010 Rating: 4 July 2010 Rating: 5 June 2012 Rating: 4 April 2013 Rating: 4 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 19 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.12 - School Safety - Inspection and Correction of Unsafe Conditions Legal Standard: Building examinations are performed, and required actions are taken by the Governing Board upon report of unsafe conditions. [EC 81162] Progress on Implementing the Recommendations of the Recovery Plan: 1. A maintenance and operations planned work list is continuously updated to reflect needed repairs and improvements for the 2013-14 fiscal year. The improvements listed include repairs to the boiler systems, roofing, restrooms, concrete and asphalt surfaces, doors, ceiling tile, sports fields , lighting, and cafeteria. FCMAT conducted site walks with the CEO that provided excellent v-i sual confirmation of all the campus improvements, including restrooms and doors, repairs and patches in concrete and asphalt surfaces, rejuvenation of the cafeteria common area and comple- tion of the Student Success Center building (formerly the Learning Resource Center building). 2. Health and Safety Committee meeting minutes record ongoing discussion items involving the identification and reporting of safety issues and the remedial actions taken. 3. The IIPP, updated in December 2012, contains a hazardous materials and protection checklist for use in inspecting laboratories and facilities. Included in the program are scheduled and unscheduled inspections and a form to complete and submit if hazards are found. 4. Interviews indicated that the CEO and director of facilities planning and operations schedule regular site walks. 5. The cleaning schedules provided to the review team list the requirement to fix or report un- safe conditions. Standard Implemented: Partially April 2007 Rating: 5 January 2008 Rating: 5 July 2008 Rating: 6 June 2009 Rating: 6 January 2010 Rating: 6 July 2010 Rating: 5 June 2012 Rating: 4 April 2013 Rating: 4 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 20 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.14 - School Safety - Sanitation is Maintained and Fire Hazards are Corrected Legal Standard: Sanitary, neat, and clean conditions of the school premises exist and the premises are free from con- ditions that would create a fire hazard. [CCR Title 5 §633] Progress on Implementing the Recommendations of the Recovery Plan: 1. The condition of the campus has improved, and site walks demonstrated thorough cleaning and maintenance of most buildings. During FCMAT’s fieldwork, the campus was mostly clear of litter. Much of the lawn was torn out or had traffic wear from construction traffic and parking. This is normal during the construction process, and plans include additional plant- ings to replace these areas. The remaining grass was green and recently mowed. New flower- beds were installed in multiple areas and improved the overall campus aesthetics. 2. The maintenance yard debris piles were cleaned up during this review period to make way for the central plant construction, yet other areas of the maintenance yard remain unorga- nized. The district is in the process of identifying items for surplus and plans to eliminate debris in the maintenance yard. 3. The maintenance department contracts annually for all fire extinguishers to be serviced during the summer. The utility maintenance workers are responsible for checking all fire extinguisher s monthly, which includes dating and initialing the tags on each extinguisher. Fire extinguishers o-b served by FCMAT reflected current service and inspections. 4. The Work Schedule Detail Report dated March 2014 lists tasks that are to be completed to provid e a safe, clean, and functional environment. FCMAT observed evidence that accountability measures are in place to help ensure these procedures are followed and tasks are completed. However, mor e follow through from the Human Resources Office is needed in dealing with difficult employees. Standard Implemented: Partially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 3 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 6 June 2012 Rating: 6 April 2013 Rating: 4 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 21 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.15 - School Safety - Injury/Illness Prevention Program Inspections are Done Legal Standard: The Injury and Illness Prevention Program (IIPP) requires periodic inspections of facilities to iden- tify conditions. [CCR Title 8 §3203] Progress on Implementing the Recommendations of the Recovery Plan: 1. The IIPP provided to FCMAT was updated in December 2012. The document specifies the following inspections: Scheduled Safety Inspections Upon initial implementation of the Program inspections of all work areas will be conducted. All inspections will be documented using the attached forms (or equivalent) with appropriate abatement of any hazards detected. Thereafter, safety inspections will be conducted at the frequency described below: 1. Annual inspections of all office areas will be conducted to detect and eliminate any haz- ardous conditions that may exist. 2. Semi-annual inspections of all potentially hazardous areas (shops, cafeterias, warehouses, gymnasiums, sheds, etc.) will be conducted to detect and eliminate any hazardous condi- tions that may exist. Unscheduled Safety Inspections 1. Additional safety inspections will be conducted whenever new equipment or changes in procedures are introduced into the workplace that presents new hazards. 2. The Director of Maintenance & Operations or designee will conduct periodic unscheduled safety inspections of all potentially hazardous areas to assist in the maintenance of a safe and healthful workplace. 3. Safety reviews will be conducted when occupational accidents occur to identify and cor- rect hazards that may have contributed to the accident. 2. FCMAT reviewed documentation indicating that required safety inspections occurred during this review period. 3. The cleaning schedules list the requirement to fix or report unsafe conditions. Work order documentation reviewed by FCMAT included 644 work orders from April 2013 to April 2014 that demonstrated evidence of reporting, and repairs were performed that demonstrate periodic inspections were completed. The work order list included a pie chart demonstrating the number of work orders requested, orders in process, parts required, pending funding and orders completed. 22 ACCJC Standard III Standard Implemented: Partially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 5 January 2010 Rating: 5 July 2010 Rating: 5 June 2012 Rating: 3 April 2013 Rating: 3 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 23 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.18 - School Safety - Plan for Prevention of Campus Crime and Violence Legal Standard: A comprehensive school safety plan exists for the prevention of campus crime and violence. [EC 66300] Progress on Implementing the Recommendations of the Recovery Plan: 1. The El Camino Compton Center Workplace Security Plan establishes the minimum require- ments to maintain the following goals included in the plan: 1) to make every employee aware of the potential for violence in the workplace, 2) to increase the employee’s ability to recog- nize the early warning signs of a potentially violent person or situation, 3) to explain how to record incidents indicative of a potential problem, and 4) to encourage employees to report suspicious incidents to the appropriate manager through proper procedures. 2. The district’s IIPP for workplace security addresses the hazards known to be associated with the three major types of workplace violence. Type I workplace violence involves a violent act by an assailant with no legitimate relationship to the workplace who enters the workplace to commit a robbery or other criminal act. This type may also include an intruder attack at a district office or the taking of hostages. Type II involves a violent act or threat of violence by a recipient of a service provided by the district, such as a student, customer, passenger or a criminal suspect or prisoner. Examples may include a disgruntled student or employee who attempts to retaliate against the actions of faculty or staff such as a threat issued because of poor grades, work assignments and/or personality conflicts. Type III involves a violent act or threat by a current or former employee, student, supervisor or manager, or an employee’s or student’s spouse or lover, an employee’s or students relative or friend, or another person who has a dispute with an employee or student. 3. The campus police post campus alerts on the district website to inform the public about in- cidents that occur on campus and to provide information on how to protect students, faculty and community members and report activities to the proper authorities. The campus police utilize Nixle, which is a community information service that helps the district stay connected to information provided by campus police or local law enforcement agencies. Information is immediately available over a cell phone by text message, by email, and over the web. Ac- count information can be customized so students or faculty receive the information that mat- ters most to them. Only authenticated agencies and community organizations can securely publish information. There are four types of messages: emergency alerts, advisories, commu- nity information and traffic. 4. The El Camino College Compton Center Campus Police Campus Security Report is prepared annually and provides information and statistics on crime, burglary, theft, arrests, and other violations. The report also provides information for students and staff including ways to stay informed, warnings and evacuations, available programs and services, policy and procedures, and crime prevention tips. 24 ACCJC Standard III Standard Implemented: Fully - Sustained April 2007 Rating: 5 January 2008 Rating: 5 July 2008 Rating: 5 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 8 April 2014 Rating: 10 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 25 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.22 - School Safety - Safety Boilers and Fired-Pressure Vessels Legal Standard: Safe work practices exist with regard to boiler and fired-pressure vessels. [CCR Title 8 §782] Progress on Implementing the Recommendations of the Recovery Plan: 1. Boiler maintenance continues to be outsourced through Southland Industries. Documentation provided to the review team included blanket purchase orders for HVAC services, air conditioning repair, and roof repair as needed. Standard Implemented: Fully - Substantially April 2007 Rating: 4 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 7 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 4 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 26 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.24 - School Safety - Maintenance of a Comprehensive Employee Safety Program Professional Standard: The college maintains a comprehensive employee safety program. Employees are made aware of the college safety program, and the college provides in-service training to employees on the require- ments of the program. Progress on Implementing the Recommendations of the Recovery Plan: 1. The Tartar Safety Committee mission statement is: “Our Mission is to provide and maintain a safe campus environment through planning, training, education and dedication to improve safety for our students, visitors, faculty and staff.” 2. The Work Environment Expectations document states that “every employee is responsible for safety and for achieving the District’s goal of providing a safe work environment.” 3. The IIPP states that the program “describes the goals, statutory authority, and the responsi- bilities of all employees under the Program. It addresses Compliance, Hazard Identification, Accident Investigation, Hazard Mitigation, Training, Hazard Communication, and Program Documentation. By making employee safety a high priority for every employee we can re- duce injuries and illnesses, increase productivity, and promote a safer and healthier environ- ment for all individuals at the Compton Community College District.” 4. The Consolidated Contingency Plan updated in October 2013 identifies emergency response plans and procedures for the campus. The plan includes prevention, mitigation and abatement of hazardous materials. The plan also includes notification procedures and employee training. 5. The Health and Safety Committee, chaired by the director of facilities planning and operations and the Police Department lieutenant, meets for one hour monthly to discuss needs, concerns , and updates to issues. Members of the committee include staff from the Maintenance and Op- erations Department, campus police, faculty, administration, and student representatives. 6. The 2012-13 safety training schedule identified training for MSDS, electrical safety, blood borne pathogens, heat stress, Cal/OSHA inspections, confined space, forklift use, ladder safety, eye safety, and the IIPP. Except for ladder training in April 2013 and MSDS in March 2013, no records were provided to indicate other employee safety trainings were conducted in 2012-13. In response to FCMAT’s document request, the district provided records of train- ing for Cal/OSHA, hazard communication, blood borne pathogens, and electrical safety in 2011; and Sloan Valve repair and maintenance, readiness briefing, and grievance procedures in 2010. No schedule for future trainings was provided. 7. Maintenance staff are in the process of completing first aid, CPR, and AED objectives and skills evaluations in accordance with the American Heart Association Heartsaver First Aid CPR AED program for the 2013-14 fiscal year. The director of facilities planning and opera- tions completed the certification process. ACCJC Standard III 27 Standard Implemented: Partially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 0 June 2009 Rating: 5 January 2010 Rating: 4 July 2010 Rating: 5 June 2012 Rating: 6 April 2013 Rating: 5 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 28 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 1.25 - School Safety - Conduct of First Aid Training for School Site Personnel Professional Standard: The college conducts periodic first aid training for employees. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district conducts annual first aid training for maintenance and custodial employees. Maintenance and custodial staff are in the process of completing first aid, CPR, and AED ob- jectives and skills evaluations in accordance with the American Heart Association Heartsaver First Aid CPR AED program. Standard Implemented: Partially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 0 June 2009 Rating: 4 January 2010 Rating: 5 July 2010 Rating: 5 June 2012 Rating: 3 April 2013 Rating: 4 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 29 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 2.2 - Facility Planning - Facilities Planning Manual Professional Standard: The college possesses a Facilities Planning Manual for the California Community Colleges. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district updated its Facilities Master Plan in July 2012. The plan includes sections cover- ing new construction, facility improvements, existing building inventory, projected needs, priorities and recommendations. 2. The district uses the online Facilities Planning Manual of the California Community College system. This plan includes the priority of its five-year construction plan projects and a budget and narrative of each project’s intent and scope. Standard Implemented: Fully - Sustained April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 0 June 2009 Rating: 8 January 2010 Rating: 10 July 2010 Rating: 10 June 2012 Rating: 10 April 2013 Rating: 10 April 2014 Rating: 10 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 30 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 2.3 - Facility Planning - Efforts to Seek State and Local Matching Funds Professional Standard: The college seeks state and local funds. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has been proactive and successful in seeking local funds for capital improve- ments as evidenced by the passage of Measure CC in November 2002, which authorized the issuance of $100 million in general obligation bonds. This bond measure authorized funds to repair and renovate instructional classrooms and job training facilities, and upgrade security systems, electrical capacity, computer technology, energy efficiency, and roofing systems. The district is conducting a survey to evaluate the community’s support to pass another gen- eral obligation bond measure. 2. The district issued general obligation bond Series 2004A for $41 million, Series 2009B for $15 million, and Series 2012C for $15,001,122. In November 2013, the district issued Series D for $16,554,972. As of June 2013, the district had a bond fund ending balance of $22,719,394 and approximately $12.4 million in remaining authorization. 3. The district has in the past effectively maximized local dollars with state funding for the infrastructure replacement capital outlay projects. The receipt of any new state funding and management of these projects will reside with El Camino CCD, which has the management responsibility to ensure that projects stay within scope of work and budget as proposed. 4. The Compton CCD continues to work on three state funded infrastructure projects that have been ongoing since the last review period and is seeking $8,946,000 in state funding for the Allied Health project and $14,220,000 for the Instructional Building #1 project. 5. The district is planning for its next general obligation bond and hopes to propose another $100 million bond in the next two years. Standard Implemented: Fully - Sustained April 2007 Rating: 6 January 2008 Rating: 6 July 2008 Rating: 7 June 2009 Rating: 10 January 2010 Rating: 10 July 2010 Rating: 10 June 2012 Rating: 10 April 2013 Rating: 10 April 2014 Rating: 10 ACCJC Standard III 31 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 32 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 2.5 - Facility Planning - Properly Staffed and Funded Facility Planning Function Professional Standard: The college has a properly staffed and funded facility planning department. Progress on Implementing the Recommendations of the Recovery Plan: 1. In June 2013, the Compton CCD budgeted for and hired a permanent director of facilities planning and operations. 2. The current staff includes the director of facilities planning and operations. The director was a senior project manager for a construction management firm and worked with the district in that capacity for several years. 3. The district augments planning of capital construction and modernization projects by con- tracting for architecture and construction management services. Standard Implemented: Fully - Substantially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 1 June 2009 Rating: 8 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 33 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 2.6 - Facility Planning - Implementation of an Annual Capital Planning Budget Professional Standard: The college has developed and implemented an annual capital planning budget. Progress on Implementing the Recommendations of the Recovery Plan: 1. The 2013-14 adopted budget includes items for site improvements and capital projects. The projects included boiler repair, roofing maintenance and repairs, restroom refurbishment, as- phalt and concrete walkways and paths repair, door hardware and ADA access repair, exterior and interior lighting repair and replacement, and kitchen equipment repairs. 2. The district’s five-year capital outlay plans are developed and updated in Fusion, a web-based project planning and management software used by all of California’s community college districts and the California Community Colleges Chancellor’s Office to support their facili- ties. Fusion facilitates project scenario planning analysis as a decision-making tool to de- termine the district’s priority for projects receiving state funding under the five-year capital outlay plan. Each project is defined by budget, intent and scope including the anticipated time schedule and why the project is needed. Standard Implemented: Fully - Substantially April 2007 Rating: 5 January 2008 Rating: 5 July 2008 Rating: 6 June 2009 Rating: 7 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 9 April 2013 Rating: 8 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 34 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 2.10 - Facility Planning - Assessment of Local Bonding Capacity and Monitor Legal Bonding Limits Legal Standard: The college assesses its local bonding capacity. [EC 15100] Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has historical assessed valuations provided by Keygent. The district’s bonding capacity is a statutory limit on the amount of general obligation bonds that can be issued, and all calculations are subject to validation by the Los Angeles County Auditor-Controller. Key- gent provided the following calculations for the 2013-14 fiscal year based on: • Current assessed value multiplied by statutory debt limit factor • Less: outstanding general obligation bonds • Statutory debt limit factor of 2.50% of assessed value for community college districts Estimated Current Bonding Capacity 2013-14 Total Assessed Value $16,662,216,492 Statutory Debt Limit Factor x 2.50% Bonding Capacity $416,555,412 Outstanding General Obligation Bonds (78,166,094) Available Bonding Capacity $338,389,318 Standard Implemented: Fully - Sustained April 2007 Rating: 4 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 8 January 2010 Rating: 9 July 2010 Rating: 10 June 2012 Rating: 9 April 2013 Rating: 8 April 2014 Rating: 10 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 35 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 2.11 - Facility Planning - Process to Determine Debt Capacity Professional Standard: The college has developed a process to determine debt capacity. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district contracts with Keygent to document and evaluate its debt capacity. 2. The estimated assessed valuation for 2013-14, as provided by Keygent advisors and subject t o confirmation by the county auditor-controller, is $16,662,216,492. Applying the statutory debt limit of 2.50% less the outstanding principal of current general obligation bonds leaves the distric t with a net available bonding capacity of$ 338,389,318. No official confirmation of the valuation was obtained from the auditor-controller.A t this time, the district is in the process of evaluating the community support for the passage of an additional general obligation bond. Standard Implemented: Fully - Sustained April 2007 Rating: 4 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 8 January 2010 Rating: 9 July 2010 Rating: 10 June 2012 Rating: 9 April 2013 Rating: 8 April 2014 Rating: 10 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 36 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 2.12 - Facility Planning - Awareness and Monitoring of Assessed Valuation Professional Standard: The college is aware of and monitors the assessed valuation of taxable property within its boundar- ies. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has successfully passed and issued local general obligation bonds under Measure CC, authorized by the local voters in November 2002. The assessed valuations of taxable property and fluctuations that may affect the district’s bonding capacity are available from the Los Angeles County Auditor-Controller’s Office. 2. The district has experienced three consecutive years of assessed value growth after experi- encing two years of decline. 3. The estimated assessed valuation for 2013-14, as provided by Keygent advisors and subject t o confirmation by the county auditor-controller, is $16,662,216,492. 4. The district has a report that includes assessed valuation history, land use analysis, residential pa-r cel assessment analysis, delinquency history, largest secured taxpayers, and historical tax rates . Standard Implemented: Fully - Sustained April 2007 Rating: 4 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 8 January 2010 Rating: 9 July 2010 Rating: 10 June 2012 Rating: 10 April 2013 Rating: 10 April 2014 Rating: 10 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 37 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 2.16 - Facility Planning - Priorities and Scheduling of Projects Professional Standard: The college has established and utilizes an organized methodology of prioritizing and scheduling projects. Progress on Implementing the Recommendations of the Recovery Plan: 1. According to Education Code 15278, the purpose of the Citizens’ Bond Oversight Committee is to “inform the public concerning the expenditure of bond revenues.” The Compton CCD committee resumed meetings in May 2012 and continues to meet regularly. 2. The 2014-18 Five-Year Construction Plan was updated August 9, 2012 and includes a priori- tized list of 14 projects in alignment with the prior plan. 3. The district has continued its engagement with construction management consultant Lend Lease to assist with the state-funded projects as directed by the El Camino Community Col- lege District. Standard Implemented: Fully - Substantially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 3 June 2009 Rating: 7 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 7 April 2013 Rating: 8 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 38 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 3.1 - Facilities Improvement and Modernization - Appropriate Use of the Scheduled Maintenance and Special Repair Funding in the Capital Outlay Projects Funds Legal Standard: The college has a restricted capital outlay fund, and a portion of those funds is expended for mainte- nance and special repairs only. [EC 84660] Progress on Implementing the Recommendations of the Recovery Plan: 1. The district provided agendas and minutes of the Citizens’ Bond Oversight Committee meet- ings and an estimate regarding the outstanding bonding capacity of the district. Financial activity reports from the district’s financial system depicting capital for routine maintenance and special repair projects for 2013-14 were provided. 2. The district operates a restricted capital outlay fund that includes the five-year capital outlay plans. They are developed, budgeted and updated in Fusion, a web-based project planning and management software used by all of California’s community college districts and the California Community Colleges Chancellor’s Office to support their facilities. At the time of FCMAT’s fieldwork, the following projects were completed: a. Student Success Center (previously named the Learning Resource Center (LRC)) – barrel vault project (glass sill replacement) b. Infrastructure Replacement Phase 1 c. Management Information Systems (MIS) Building Reprogramming project Standard Implemented: Fully - Substantially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 8 January 2010 Rating: 8 July 2010 Rating: 9 June 2012 Rating 8 April 2013 Rating: 6 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 39 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 3.4 - Facilities Improvement and Modernization - Plan for Maintenance and Modernization Exists Legal Standard: The college maintains a plan for the maintenance and modernization of its facilities. [EC 84660, 84670-84674] Progress on Implementing the Recommendations of the Recovery Plan: 1. The district’s Facilities Master Plan Update prepared by HMC Architects contains detailed information regarding the district’s projects, including project justification, descriptions, and costs; priority order; load distribution; staff forecast; instructional focus; and whether the project is to be funded through local funds, the state or both. The plan includes detailed infor- mation on infrastructure upgrades for the health and safety of students and staff. 2. Information included in the Facilities Master Plan Update indicates that the campus has exist- ed in its current location for almost six decades and has been distinguished by the high qual- ity and durability of its facilities. Many of the buildings have a long history of service, and there is a need to address issues arising from the evolving building code, aging infrastructure, and deferred maintenance, and to embrace advances in energy efficiency and educational technology. Analysis of the condition and cost to rehabilitate these facilities led to the identi- fication of those for which renovation is not a feasible option. In addition, the analysis of the existing campus identified temporary facilities to be replaced with space in permanent facili- ties. The Facilities Master Plan states in its introduction that it is designed to: • Meet the requirements of the State Chancellor’s Office. • Assist in decision making at the campus and the district. • Tie directly into the Five-Year Capital Construction Plan. • Be a living document to be revisited regularly (revise as needed). 3. The district has migrated from the School Preventative Maintenance System to the School Dude system for processing and managing maintenance work orders. The El Camino CCD had an existing contractual relationship with School Dude, and the Compton Center was added as a satellite school. This accessibility helps staff to quickly identify facility concerns and request repairs, and allows maintenance staff to more expeditiously learn of issues and prioritize repairs. The School Dude work order system is also beneficial in that it allows maintenance to track work orders electronically to ensure completion and to prevent or more efficiently address common problems. The district has added the cost of the preventive maintenance work order software to the planning budget including annual maintenance costs. 40 ACCJC Standard III Standard Implemented: Fully – Substantially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 8 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 8 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 41 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 3.6 - Facilities Improvement and Modernization - Maintenance of a System for Tracking Project Progress Professional Standard: The college has established and maintains a system for tracking the progress of individual projects. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has contracted with Lend Lease and HMC Architects to monitor and track all state and local facilities projects. Lend Lease utilizes the Impact 3D/I software program that is integrated with the California Community Colleges Chancellor’s Office Fusion software and the district’s PeopleSoft financial software. The software is web-based and allows for portal entry for data uploads with multiple-level security. The software provides real-time data and includes but is not limited to reimbursement requests, initial and final project pro- posals in Fusion, contracts, invoices, warrants and cash flow statements by project. 2. At the time of FCMAT’s fieldwork, the following projects were completed or construction plans were in progress: Student Success Center (SSC) Project Final acceptance of the Student Success Center (formerly LRC) project by the Division of the State Architect will require the closeout of both ‘A’ building numbers, as recorded by the DSA, which covers both original and new construction modifications. All 160 change orders have been DSA approved, and the installation of new computers in all the labs and offices is complete. The SSC opened its doors on March 27, 2014 to students, staff and faculty, several days before the scheduled March 31 deadline. The grand opening of the SSC building was held on April 15. Music Building Renovation (Y-Area / Little Theater) The current total project budget is $1 million. WLC Architect, the architect of record for this project, submitted the documents to DSA in December 2013. Documents are due back from DSA in August 2014. Server Room and MIS Building Enhancements Phase 1 of this project was completed in February 2014. Remaining phases are dependent on future budget allocations. Both infrastructure projects have work that ties in to the MIS proj- ect that is ongoing. Phase I – Central Plant / Stadium Lighting The photovoltaic (solar) panels have been installed. The contractor is working on completing an interconnectivity agreement with Southern California Edison (SCE) to operate the solar panels. The final power switch over to the new electrical system for the MIS and M&O build- ings was completed April 6, 2014. The old central plant was decommissioned. The new cen- tral plant chilled water system is running manually providing cooling in the Math/Science, Childcare, and Vocational Tech buildings while the building cooling programming continues. The contractor is scheduled to complete work June 12, 2014. 42 ACCJC Standard III Phase I – Utility Infrastructure Landscaping and irrigation along the main road is complete. Programming for the new light- ing is almost complete. Connection of domestic water, gas and sewer to the existing buildings continues. The contractor is scheduled to complete work June 12, 2014. Retention Basin/Practice Field The retention basin is complete. The contractor is installing irrigation and plans to hydroseed the area in a few weeks. Phase II – Utility Infrastructure Landscaping and irrigation along the main road is complete. Programming for the new light- ing is almost complete. Installation of a few fence panels in the northeast corner is the only item remaining for completion of the east Greenleaf entrance. Connection of domestic water, gas and sewer to the existing buildings continues. Pending changes include a new trash en- closure in parking lot G and a ramp with a pathway at parking lot F. The contractor is sched- uled to complete work June 12, 2014. Allied Health Building The Department of Finance gave final approval for this project at the end of February 2014. The preconstruction meeting with the general contractor, AMG, was held March 20, 2014. A Notice to Proceed was issued to AMG on April 14, 2014. The contractor has almost com- pleted asbestos/lead abatement inside the building. The project duration is 548 days. Standard Implemented: Fully - Substantially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 3 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 9 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 43 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 3.7 - Facilities Improvement and Modernization - Furniture and Equipment Included in Modernization Program Professional Standard: Furniture and equipment items are routinely included within the scope of modernization projects. Progress on Implementing the Recommendations of the Recovery Plan: 1. FCMAT reviewed the Cost Estimate and Anticipated Time Schedule (JCAF32) regarding the following projects: Infrastructure Phase I Estimated Cost - $34,576,000 Infrastructure Phase II Estimated Cost - $13,255,000 Allied Health Renovation Project Estimated Cost - $10,039,000 2. Furniture and equipment planning are essential to ensure the facilities accommodate users’ needs and maximize the safe, effective and efficient use of facilities. The district provided a furniture and equipment list for the Allied Health Building renovation project, but not in de- tail. The Infrastructure Phase I and II projects pertain solely to utility replacement and do not include furniture and equipment. Standard Implemented: Fully - Substantially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 8 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 44 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 3.8 - Facilities Improvement and Modernization - Technology Infrastructure Needs for Facilities Projects Professional Standard: Refurbishing, modernization, and new construction projects take into account technology infrastruc- ture needs. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has developed a Comprehensive Master Plan using the program review process to drive outcome. The program review process asks members of a discipline or department to critically assess their program, identify necessary adjustments, and design a mechanism to institute and evaluate proposed changes. Desired outcomes from the program review process include evaluation of program effectiveness, program development and improvement, clarifi- cation and achievement of program goals, assessment of student learning outcomes, and link- age of planning and budgeting. 2. The district’s Technology Plan is integrated into the Comprehensive Master Plan. The Tech- nology Plan indicates that it follows the Educational Plan and takes into consideration the many technological needs cited in that chapter. The Technology Plan provides a technology vision for the district and Compton Center, guiding planning principles, technology issues to consider, resources, training, and the need for funding at both the district and the center. Last- ly, the plan lists planning agenda items to address the issues facing the district and the center. The district is engaging in a self-assessment process to determine the needs and associated costs of upgrading infrastructure, including technology. The MIS and Facilities departments are continuing to communicate with each other regularly. Standard Implemented: Fully - Substantially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 7 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 7 April 2013 Rating: 8 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 45 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 3.13 - Facilities Improvement and Modernization - Knowledge of Office of Public School Construction and the Division of the State Architect Procedures Professional Standard: College staff are knowledgeable of procedures in the Division of the State Architect (DSA). Progress on Implementing the Recommendations of the Recovery Plan: 1. DSA provides design and construction oversight for school districts and community colleges. DSA develops and maintains accessibility standards and codes utilized in public and private buildings throughout California. The regulations are complex and continually change. During the last review, the district had hired an interim director of facilities planning and operations who has overall responsibility for facilities, maintenance, custodial, and grounds. The interim director became permanent as of June 19, 2013. The director served previously as a senior project manager for a construction management firm that worked with the district for several years. The director has extensive experience in construction planning and devel- opment and is extremely knowledgeable regarding DSA requirements for the application and submittal processes. Standard Implemented: Fully - Substantially April 2007 Rating: 1 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 8 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 46 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 4.1 - Construction of Projects - An Appropriate Project Management Structure Exists Professional Standard: The college maintains an appropriate structure for the effective management of its construction projects. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district adopted Board Policy 3300, Capital Construction, which dictates the CEO’s re- sponsibility to plan and manage the district’s capital outlay and construction programs. 2. The district has contracted with Lend Lease and HMC Architects to monitor and track all state and local facilities projects. Lend Lease utilizes the Impact 3D/I software program that is integrated with both the California Community Colleges Chancellor’s Office Fusion soft- ware and the district’s PeopleSoft financial software. The software is web-based and allows for portal entry for data uploads with multiple-level security. The software offers real-time data and includes reimbursement requests, initial and final project proposals in Fusion, con- tracts, invoices, warrants and cash flow statements by project. 3. The district restructured key management positions during the prior review period, and facili- ties planning and management of construction projects are reviewed jointly by the CBO and director of facilities planning and operations. Standard Implemented: Fully - Substantially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 1 June 2009 Rating: 6 January 2010 Rating: 6 July 2010 Rating: 7 June 2012 Rating: 6 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 47 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 4.3 - Construction of Projects - Maintenance of Appropriate Project Records and Drawings Professional Standard: The college maintains appropriate project records and drawings. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district maintains an appropriate and organized automated and paper archive of all proj- ect as-built architectural drawings and related contract documents. The more recent projects are in good order and automated through the use of AutoCAD software. 2. The district contracts with project management, construction management, architect and en- gineering firms that assist with project records management. The record-keeping system for storing facility plans and drawings is adequate to fulfill this standard. However, records are kept at multiple locations including the trailer where Lend Lease is housed and in the main- tenance department, rather than in one centralized location. The district verified that once the central plant building is fully on line, the plan storage will be moved to this building, which is constructed from concrete block and is fire rated. Standard Implemented: Fully - Substantially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 1 June 2009 Rating: 8 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 8 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 48 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 5.3 - Compliance with Public Contracting Laws and Procedures - Conflict of Interest Statements and Compliance Professional Standard: The college maintains files of conflict of interest statements and complies with legal requirements. Conflict of interest statements are collected annually by the president/superintendent and kept on file. Progress on Implementing the Recommendations of the Recovery Plan: 1. Documentation was provided to support an updated certification to the state special trustee regarding Form 700, Annual Filing of Statement of Economic Interests for the director of fa- cilities planning and operations. 2. The CEO and CBO have established procedures to collect the conflict of interest statements for staff members who are employed by Compton CCD or El Camino CCD management staff that work on the Compton campus. Standard Implemented: Fully - Substantially April 2007 Rating: 4 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 4 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 49 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 8.1 - Facilities, Maintenance and Custodial - Implementation of an Energy Conservation Policy Professional Standard: An energy conservation policy has been approved by the Board of Education and implemented throughout the college. Progress on Implementing the Recommendations of the Recovery Plan: 1. Compton CCD has adopted the California Community Colleges Board of Governors Energy and Sustainability Policy that requires the district to exceed Title 24 regulations by 15% for all construction projects approved at the college. The policy contains guidelines necessary to reduce energy consumption pursuant to the Governor’s Executive Order that requires all community colleges to participate in statewide energy conservation and reduced electrical demand. 2. The district completed the Facilities Master Plan document that includes a critical component on energy efficiency/sustainability. The plan details alternative methods to reduce energy and alternative renewable energy sources for use in the design phase for all projects. 3. Board Policy 3340, Energy and Sustainability, was issued August 10, 2010. This policy dictates the responsibility of the CEO in the development of a district energy and sustainability plan . The policy also indicates that the CEO or designee shall establish regulations to ensure the plan is properly administered, funded, executed, and monitored. Development and implementation of the energy conservation regulations are essential to full compliance with this standard. Infor- mation provided to FCMAT indicates that the policy has been fully implemented. 4. The district has embarked on two utility replacement projects, Infrastructure Phase I and Phase II, which are substantially complete and are at 95% capacity. Issues such as the pro- gramming of the lighting standards had not been completed. 5. The district has applied for a solar interconnection agreement through Southern California Edi- son that will authorize the production of solar energy through the district’s central plant facility . Standard Implemented: Fully - Substantially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 0 June 2009 Rating: 3 January 2010 Rating: 6 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 8 50 ACCJC Standard III 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 51 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 8.3 - Facilities, Maintenance and Custodial - Energy-Efficient Design Criteria for New Construction and Modernization Professional Standard: Cost-effective, energy-efficient design has been made a top priority for all college construction projects . Progress on Implementing the Recommendations of the Recovery Plan: 1. Compton College was originally constructed and occupied in the early 1950s, including the utility infrastructure for the campus. Since construction of the original campus in 1953, four buildings have been added. However, technology, power requirements, electrical upgrades, mechanical upgrades, emergency communications, fire/life safety, and sewer requirements have all changed per the Uniform Building Code requirements and the DSA’s office. The board/special trustee adopted BP 3340 on August 10, 2010, and a number of incremental steps have been taken to meet this standard. The district completed the Facilities Master Plan document that includes a critical component on energy efficiency/sustainability. The plan de- tails alternative methods to reduce energy and alternative renewable energy sources for use in the design phase of all projects. 2. Pursuant to Government Code Section 15814.30 regarding all new public facilities and Title 24 of the California Code of Regulations, Part 6 titled Energy Code, Compton CCD contract- ed with Southern California Edison on behalf of the 2009 Bridge Period California Commu- nity College Partnership Program. This program meets the California Community Colleges Board of Governors energy efficiency and conservation goals, and the incentive for this pro- gram is funded by the California Public Utilities Commission. 3. Board Policy 3340, Energy and Sustainability, was issued August 10, 2010. This policy dic- tates the responsibility of the CEO in the development of a district energy and sustainability plan. The policy also indicates the CEO or designee shall establish regulations to ensure the plan is properly administered, funded, executed, and monitored. Regulations supporting the policy should identify the importance of cost-effective and energy-efficient design. 4. The Phase I Utility Infrastructure project has been substantially completed. This project in- cluded the installation of a new 10-inch fire line, new sanitary sewer, natural gas and electri- cal main lines, and the redesign of the sidewalk and interior courtyard. 5. The Phase II Utility Infrastructure project has been substantially completed. Installation of the asphalt at Lots D, E and F was also completed in May 2013. 6. The 2014-18 Five-Year Construction Plan narratives reflect the incorporation of best prac- tices training for staff, energy-efficient technology and energy management systems. 52 ACCJC Standard III Standard Implemented: Fully - Sustained April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 1 June 2009 Rating: 5 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 9 April 2014 Rating: 10 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 53 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 8.5 - Facilities Maintenance and Custodial - Adequate Maintenance Records and Inventories Professional Standard: Adequate maintenance records and reports are kept, including a complete inventory of supplies, material s, tools, and equipment. All employees required to perform maintenance on the college sites are provided wi th adequate supplies, equipment, and training to perform maintenance tasks in a timely and professional ma-n ner. Included in the training is how to inventory supplies and equipment and when to order or replenish the m. Progress on Implementing the Recommendations of the Recovery Plan: 1. The director of facilities planning and operations implemented the Hillyard Cleaning Cost Analysis Program (CCAP) in fiscal year 2013-14. This program involves a site study by Hillyard to include all custodial and janitorial areas. Cleaning and maintenance needs are as- sessed based on a thorough evaluation of surface types and area size to determine the proper products, methods, and staffing required to meet district standards. Once the analysis is com- pleted, job cards are developed for each process. The job cards include the standard, method, supplies and equipment needed to complete each task, along with safety precautions. Hillyard provides training for this program, including proper implementation and safety. An inventory, budget control, and ordering system are also included in this program. 2. The district has implemented the School Dude work order system to schedule routine mainte- nance tasks, track and assign work orders and manage larger maintenance and repair projects. Supplies and equipment inventories are recorded manually. The district maintains an inven- tory of supplies and materials and minor equipment, including tools, that is manually tracked on an inventory list for related maintenance projects. Employees use a checkout procedure to track the location of this type of equipment. 3. The implementation of these programs should increase the efficiency of the maintenance staff by organizing schedules, tracking equipment and supply inventories, standardizing proce- dures and improving training and competency. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 5 January 2010 Rating: 5 July 2010 Rating: 5 June 2012 Rating: 5 April 2013 Rating: 6 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 54 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 8.6 - Facilities Maintenance and Custodial - Procedures for Evaluation of Maintenance and Operations Staff Professional Standard: Procedures are in place for evaluating the work quality of maintenance and operations staff. The quality of the work performed by the maintenance and operations staff is evaluated on a regular basis using a board-adopted procedure that delineates the areas of evaluation and the types of work to be evaluated. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has adopted board policies regarding the evaluation process that include board- approved standard evaluation forms. 2. The district has created a process to notify departments to help ensure that evaluations are performed and submitted timely to the Human Resources Department. The collective bar- gaining agreement between Compton CCD and the Compton Community College Federation of Classified Employees provides for every permanent classified employee to be evaluated annually, no later than May 1. Based on the information provided, the 2012-13 annual evalu- ations of maintenance and operations staff were completed timely, and the 2013-14 evalu- tions were in progress at the time of FCMAT’s fieldwork. 3. The employee handbook addresses performance evaluations as a key component of personal development, promotion and compensation. The dean of human resources has provided in- service training for supervisory personnel in the proper documentation of performance stan- dards. The training also includes guidelines for both new and current supervisory personnel in completing employee evaluations. 4. The dean of human resources has implemented procedures to track and ensure that evalua- tions are done in compliance with board policy and collective bargaining agreements. Standard Implemented: Fully - Substantially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 1 June 2009 Rating: 3 January 2010 Rating: 6 July 2010 Rating: 6 June 2012 Rating: 6 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 55 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 8.7 - Facilities Maintenance and Custodial - Identification of Maintenance and Custodial Responsibilities Professional Standard: Major areas of custodial and maintenance responsibilities, and specific jobs to be performed, have been identified. Custodial and maintenance personnel have written job descriptions that delineate the major areas of responsibilities they will be expected to perform and on which they will be evaluated. Progress on Implementing the Recommendations of the Recovery Plan: 1. Job definitions and duties are documented in the job descriptions of the maintenance and cus- todial employees. Tasks and descriptions are identified by job classification, e.g., carpenter or utility maintenance worker. Standardization of jobs and functions is ongoing in an effort to help to define processes, responsibilities and performance levels. 2. The director of facilities planning and operations uses the School Dude work order system to schedule routine maintenance tasks, work order tasks and repair projects. 3. The director of facilities planning and operations implemented the Hillyard CCAP in 2013-14 to determine campus custodial needs. The program provides specific direction as to the fre- quency, method, supplies, equipment and time needed to complete each task. Standard Implemented: Fully - Substantially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 3 June 2009 Rating: 5 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 8 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 56 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 8.8 - Facilities Maintenance and Custodial - Availability of Custodial Supplies and Equipment Professional Standard: Necessary staff, supplies, tools, and equipment for the proper care and cleaning of the college are available. To meet expectations, the college is adequately staffed, and staff is provided with the nec- essary supplies, tools, and equipment as well as the training associated with the proper use of such. Progress on Implementing the Recommendations of the Recovery Plan: 1. The director of facilities planning and operations implemented the Hillyard CCAP in fiscal year 2013-14 to determine campus facility custodial needs. The program provides specific direction as to the frequency, method, supplies, equipment and time needed to complete each task. Cleaning standards may be adjusted according to staffing available. These adjustments in the CCAP ensure that regular essential cleaning is maintained while the frequency of non- essential tasks is reduced. 2. The director of facilities planning and operations uses the School Dude work order system to schedule routine maintenance tasks, work order tasks and repair projects. 3. The implementation of these programs should increase the efficiency of the maintenance and operations staff by organizing schedules, tracking equipment and supply inventories, stan- dardizing procedures, and improving training and competency. 4. Staff interviewed indicated they had the supplies, tools and equipment needed to perform their duties. 5. As the district proceeds with its facilities campaign, the adequacy of maintenance and custo- dial equipment should be evaluated annually. Standard Implemented: Fully - Substantially April 2007 Rating: 4 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 5 January 2010 Rating: 5 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 57 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 8.9 - Facilities Maintenance and Custodial - Implementation of a Preventive Maintenance Program Professional Standard: The college has an effective preventive maintenance program that is scheduled and followed by the maintenance staff. This program includes verification of completion of work by the supervisor of the maintenance staff. Progress on Implementing the Recommendations of the Recovery Plan: 1. The director of facilities planning and operations has implemented the Hillyard CCAP in fis- cal year 2013-14 to determine campus facility custodial needs. The program provides specific direction as to the frequency, method, supplies, equipment and time needed to complete each task. Cleaning standards may be adjusted according to staffing available. These adjustments in the CCAP ensure that regular essential cleaning is maintained while the frequency of non- essential tasks is reduced. 2. The director of facilities planning and operations uses the School Dude work order system to schedule routine maintenance tasks, work order tasks and repair projects. 3. The district has contracted with Southland Industries and has implemented their Concepts Two Preventative Maintenance Program. The Concepts Two program includes inventory of equipment, air filter service on HVAC units and other special services, including a thorough inspection of all mechanical equipment supporting Math/Science, Vocational Technology, MIS, Child Development and the old Central Plant buildings. 4. The infrastructure replacement projects, Phase I and II, have been substantially completed and address on- and off-site drainage issues observed during a prior review through a re- vamping of the storm drain system. Standard Implemented: Partially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 0 June 2009 Rating: 5 January 2010 Rating: 5 July 2010 Rating: 5 June 2012 Rating: 6 April 2013 Rating: 6 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 58 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 8.10 - Facilities Maintenance and Custodial - Adequate Repair and Supervision of Buildings Legal Standard: The Governing Board of the college provides clean and operable flush toilets for use of students. Toilet facilities are adequate and maintained. All buildings and grounds are maintained. [CCR Title 5 §631, CCR Title 5 §14030, EC 17576] Progress on Implementing the Recommendations of the Recovery Plan: 1. Deep cleaning and maintenance was reported to have occurred in restrooms, and visual in- spections by FCMAT validated that the district provides clean and operable flush toilets for students. Some limitations exist because of the age and condition of some of the facilities. 2. Interviews indicated that programs are being implemented to ensure proper cleaning and maintenance of facilities. 3. The district hired two student workers who restock supplies in the men’s and women’s rest- rooms as part of their daily duties. Standard Implemented: Partially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 3 June 2009 Rating: 6 January 2010 Rating: 6 July 2010 Rating: 5 June 2012 Rating: 5 April 2013 Rating: 4 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 59 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 8.11 - Facilities Maintenance and Custodial - Planned Program Maintenance System Professional Standard: The college has implemented a planned program maintenance system that includes an inventory of all facilities and equipment that will require maintenance and replacement. Data includes purchase prices, anticipated life expectancies, anticipated replacement time lines, and budgetary resources necessary to maintain the facilities. Progress on Implementing the Recommendations of the Recovery Plan: 1. Compton CCD has a board/special trustee-approved Facilities Master Plan, and prepares the required annual five-year deferred maintenance and space inventory plans. A comprehen- sive Facilities Master Plan has been completed regarding the condition and assessment of all buildings. The plan includes components for energy efficiency, mechanical, electrical and fire alarm systems, site utilities, technology, security and campus lighting. The Facilities Master Plan is a blueprint for the district to follow regarding new construction and maintenance re- quirements. 2. The district has implemented the School Dude work order system to schedule and track rou- tine maintenance items to include servicing, repairing and replacing equipment. 3. The district’s Facilities Master Plan was prepared by HMC Architects. The plan contains de- tailed information regarding the district’s projects including project justification, descriptions and costs; priority order; load distribution; staff forecast; instructional focus; and whether the project is to be funded through local funds, the state, or both. The plan includes detailed in- formation on infrastructure upgrades for the health and safety of students and staff. Standard Implemented: Fully - Substantially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 0 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating 8 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 60 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 8.12 - Facilities Maintenance and Custodial - Priorities for Assignment of Routine Repair Work Orders Professional Standard: The college has a documented process for assigning routine repair work orders on a priority basis. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district implemented the School Dude work order processing software and processes to track ongoing projects and schedule routine duties. FCMAT reviewed 644 work orders that had been input into the maintenance work order system. 2. The district has continued the work order prioritization process, with health and safety repairs as the top priority for all employees. Facilities inspection log sheets have been created with specific tasks for daily maintenance. 3. The CEO and director of facilities planning and operations meet weekly with maintenance and custodial staff to budget, plan and prioritize facility needs. Standard Implemented: Fully - Substantially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 4 June 2009 Rating: 6 January 2010 Rating: 6 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 8 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 61 ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 9.1 - Instructional Program Issues - Plan for Attractive Landscaped Facilities Professional Standard: The college has developed a plan for attractively landscaped facilities. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district’s architect has developed conceptual landscape plans for improved campus land- scaping. These are included in the 2012 Facilities Master Plan.T he Facilities Master Plan details the overhaul of the campus infrastructure and the demolition and construction of several struc- tures, which are to be completed in the next few years. District staff report that the plans to im- prove campus landscaping in some areas are on hold until after the major construction has been completed. The district has developed a conceptual landscape plan that includes partial compo- nents of the campus such as planting schemes, medians, parking lots and the interior quad area . 2. As part of the employee evaluation process, each maintenance and operations staff member is to adopt either a campus building or grounds area. District staff state that this adoption program will help to identify landscaping areas that need to be addressed. The district has a Facilities Master Plan that is augmented by funding from state and local (Measure CC) sources. Many of the requested projects will address some of the infrastructure problems, such as nonfunctioning sprinklers, but many replacements or upgrades to the infrastructure cannot occur until a later phase of the Facilities Master Plan because of proposed construc- tion and demolition of existing facilities. Until the district is able to complete the upgrades to the utility infrastructure detailed in the Facilities Master Plan, it should maintain the existing infrastructure to ensure the campus is functional. 3. Campus landscaping was greatly improved with projects completed for the driveway access, parking lots, etc. Some areas had ongoing construction traffic, and the grounds will need to be improved after the completion of construction work. Standard Implemented: Fully - Substantially April 2007 Rating: 4 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 4 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 62 ACCJC Standard III ACCJC Standard III-B: Physical Resources FCMAT Facilities Management Standard 10.2 - Community Use of Facilities - Compliance with Civic Center Act for Community Use Legal Standard: Education Code Section 82537 establishes terms and conditions of school facility use by community organizations, in the process requiring establishment of both “direct cost” and “fair market” rental rates, specifying what groups have which priorities and fee schedules. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district determined the need to complete a comprehensive study of allowable costs and charges for community use of facilities and completed the process by adopting Board Policy 6700, Civic Center and Other Facilities Use. The district has formally updated the facilities usage policy that includes all administrative rules, regulations and procedures including Edu- cation Code Section 82537 regarding the use of civic centers, as of June 2009. The policy and corresponding administrative regulations are accompanied by a fee schedule that lists fees for all facilities on the campus. The policy also identifies civic center permit categories and updated cash collection procedures. 2. The adopted policies and regulations are in accordance with Education Code Sections 82537- 82548 and are based on the appropriate fee schedule for nonprofit, youth and school activi- ties, and other for-profit organizations. Standard Implemented: Fully - Substantially April 2007 Rating: 5 January 2008 Rating: 5 July 2008 Rating: 5 June 2009 Rating: 8 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 9 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 63 64 ACCJC Standard III Sources and Documentation Interviews: Chief business official Chief executive officer Director of facilities planning and operations Director of fiscal affairs Manager of MIS Police lieutenant Special trustee Utility maintenance supervisors District Documents: 2013-14 organizational chart CCCD Audit Report for period ending June 30, 2013 CCCD Proposition 39 Financial & Performance Audit 2013 District Bonding Capacity 2013 District Assessed Valuation CCCD Fire Extinguisher Report 2013 CCCD Security Report 2013 CCCD Crime Statistics 2013 Asbestos and lead paint survey, 2007-08 CCCD Maintenance Report, March 2014 CCCD Allied Health Building Fusion Excel Workbook 2014 Consolidated Contingency Plan 2013 Custodial Machinery Inventory 2014 Facilities Planning and Operations assignment schedule 2013-14 CCCD Completed Work Order Report 2013-14 CCCD Work Order System Pie Chart CCCD Hazardous Prevention Form CCCD Cost Estimate Summary Report for Phase I Infrastructure Material Safety Data Sheets - email communications CCCD Solar Interconnection Application Chief Executive Officer - weekly updates for facilities, 2013-14 ACCJC Standard III 65 Board Policy 6520, Fixed Asset Accounting CCCD Safety Meeting Minutes, 2013-14 CCCD Technology Plan 2012 CCCD Space Inventory Diagram 2010 School Dude Maintenance Work Order Documentation 2013 Safety Training Schedule 2013 Board Policy 3340, Energy Sustainability CCC BOG Energy and Sustainability policy Classified Evaluation Form Board Policy 7260, Classified Supervisors Facilities Committee Meeting notes and minutes, 2013 Tartar Safety Committee Meeting notes CCCD Facilities Master Plan, July 2012 CCCD Facilities Lighting Plan Workplace Security Plan Illness and Injury Prevention Program Key control procedures Citizens’ Bond Oversight Committee meeting agendas and minutes Form 700, director of facilities planning and operations Collective bargaining agreement, Compton Community College Federation of Classified Employees Facilities inspection log sheets Other: Site walk/observation 66 ACCJC Standard III Accrediting Commission for Community and Junior Colleges (ACCJC) Standard III: Resources The institution effectively uses its human, physical, technology, and financial resources to achieve its broad educational purposes, including stated student learning outcomes, and to improve institutional effectiveness. C. Technology Resources – Technology resources are used to support student learning programs and services and to improve institutional effectiveness. Technology planning is integrated with institutional planning. 1. The institution assures that any technology support it provides is designed to meet the needs of learning, teaching, college-wide communications, research, and operational systems. a. Technology services, professional support, facilities, hardware, and software are designed to enhance the operation and effectiveness of the institution. b. The institution provides quality training in the effective application of its information technology to students and personnel. c. The institution systematically plans, acquires, maintains, and upgrades or replaces technology infrastructure and equipment to meet institutional needs. d. The distribution and utilization of technology resources support the development, maintenance, and enhancement of its programs and services. 2. Technology planning is integrated with institutional planning. The institution systematically assesses the effective use of technology resources and uses the results of evaluation as the basis for improvement. ACCJC Standard III 1 2 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating C. Technology Resources Standard to be Addressed Financial Management Standards -- Management Information Systems Management information systems support users with information that is relevant, timely and accurate. 17.1 Standards are imposed to ensure 2 2 2 4 7 7 7 7 7 the maintainability, compatibility, and supportability of the various systems. Automated systems are used to improve accuracy, timeliness, and efficiency of financial and reporting 17.2 2 systems. Employees receive appropri- ate training and supervision in the operation of the systems. Selection of information systems technology conforms to legal proce- dures specified in the Public Contract Code. Additionally, there is a process to ensure that needs analyses, cost/ benefit analyses, and financing plans 17.3 are in place prior to commitment of 5 resources. The process facilitates involvement by users, as well as information services staff, to ensure that training and support needs and costs are considered in the acquisition process. Major technology systems are sup- ported by implementation and train- ing plans. The cost of implementation 17.4 and training is included with other 2 support costs in the cost/benefit analy- ses and financing plans supporting the acquisition of technology systems. Access to administrative systems is reliable and secure. Communications pathways that connect users with 17.5 8 administrative systems are as free of single points-of-failure as possible, and are highly fault tolerant. ACCJC Standard III 3 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Hardware and software purchases conform to existing technology stan- dards. Standards for copiers, printers, fax machines, networking equip- ment, and all other technology assets are defined and enforced to increase standardization and decrease sup- port costs. Requisitions that contain hardware or software items are for- 17.6 4 warded to the technology department for approval prior to being converted to purchase orders. Requisitions for non-standard technology items are approved by the Management Infor- mation Systems Division unless the user is informed that district support for non-standard items will not be available. Computers are replaced on a sched- 17.7 ule based on hardware specifica- 1 1 1 6 8 8 8 8 7 tions. Network standards, such as the follow- ing, are being followed by the col- lege: 1) A stable firewall is used with separate DMZ and “inside” network; 2) the college follows EIA/TIA 568-B for all network cabling; 3) A Web content filter is used for all outbound Internet access; 4) The college uses an e-mail spam filter for all inbound e-mail; 5) Administrative and academic network 17.8 6 traffic is kept separate; 6) Switches and network hubs are installed, and the college ensures that switches support certain features; 7) Login banners are added to all network elements that will support them; 8) The college has tran- sitioned from all non-TCP/IP protocols; and 9) The college uses a VPN for any access to the internal network from the outside. 4 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Administrative system users are adequately trained in the use of administrative systems and receive 17.9 1 2 2 6 7 7 7 8 8 periodic training updates to ensure that they remain aware of system changes and capabilities. Business office computers, computer screens, operating systems and soft- 17.10 8 ware applications used for administra- tive system access are kept up to date. ACCJC Standard III 5 6 ACCJC Standard III ACCJC Standard III-C: Technology Resources FCMAT Financial Management Standard 17.1 – Management Information Systems Professional Standard: Management information systems support users with information that is relevant, timely and ac- curate. Standards are imposed to ensure the maintainability, compatibility, and supportability of the various systems. Progress on Implementing the Recommendations of the Recovery Plan: 1. Compton CCD has a technology plan for 2011 through 2016. The purpose of the plan is to establish guidelines to help the district support and enhance technology. Staff examined the state of technology throughout the Compton CCD and developed a five-year plan to ensure adequate, reliable infrastructure and equipment. However, increased use of technology, out- dated software applications, hardware limitations, and budgetary challenges all make this version of the plan obsolete. Technology staff indicated that the district has begun a process to revise the plan, which contains an objective to include the technology committee. The district recognizes that the original technology plan focused on rebuilding the infrastructure, and there has since been considerable change related to end user devices and applications. The recent modernization project included upgrading technology infrastructure to fiber campus-wide. Staff report that the upgrade is approximately 80-90% complete. The focus has now shifted to updating and managing user/end user equipment, applications and support. Staff indicated that faculty have made many complaints about limited support from technology staff because of the extensive focus on upgrading and sustaining technology. Technology staff report that some of the equipment used in the educational programs is now 13 to 14 years old and is outdated. Infrastructure in buildings is also old. Technology staff also indicated that the network is about 10 years old and upgrades are a high priority to alleviate the down time that could result from failure. At this time, fiber does not go into the Vocational Technology and Math and Science buildings, which are expected to be modernized, and the Row buildings, which are expected to be demolished at some point. As upgrades have progressed, some connections remain insufficient. With the opening of the new Student Success Center (SSC), the need to incorporate dedicated bandwidth, upgraded infrastructure and equipment in other buildings has become even more apparent, as there is a desire to incorporate virtualized labs in locations other than the SSC. Staff stated this cannot take place without the upgrades. The technology plan needs to be updated to address critical limitations. It should identify what is needed to incorporate and support advancing technologies, including wireless con- nectivity and user-provided devices. The plan update should be a collaborative project that incorporates representation from all specialties, and the technology management team should lead it. ACCJC Standard III 7 2. Although an inventory has been prepared, staff expect it will be outdated fairly soon because it is not routinely updated to reflect additions and deletions and due to upgrades to the Win- dows 7 operating system that older devices cannot sustain. Technology staff stated it was necessary to go through every district building and manually inspect and gather informa- tion from all devices to develop the current inventory. The technology leadership continues to contend that maintenance and support would be enhanced with an endpoint management software application that allows staff to track all attributes of technology connected to the network without having to physically inspect it. Such applications offer greater efficiencies in technology support throughout an organization by allowing technicians to deploy and man- age servers, computers and other devices connected to the network from a centralized loca- tion. 3. The district has worked diligently to stabilize its technology infrastructure over the last several years to ensure its network is reliable. During the prior review period, the district completed construction of a new dedicated network server room located in the Management Information Systems (MIS) Department; replaced core MIS equipment, including servers and some network components; and migrated to the new system. The new dedicated server room provides adequate space for district needs. Access controls to the server room were installed, preventing unauthorized access to the servers. The district has a redundant cooling system and generator power backup, ensuring the dis- trict’s ability to avoid disruptions in service and properly protect the equipment. However, technology staff expressed concerns regarding discussions of the removal of a chiller in con- junction with the district infrastructure project and relying on chilled water from the main plant that supports the entire campus. The district should ensure that technology leadership is included in all planning stages of projects to ensure any modifications considered will not negatively impact the systems that have been implemented to support technology, including water and electrical. 4. The district has not yet begun to refurbish the rest of the technology center as organized workspace for technology staff. It is unknown how long it will take the district to identify and commit available resources to this project. 5. The district manages a parallel system with routine backups of network data. A tape backup is removed weekly and held at an offsite storage facility. If the system requires restoration, one year of data from the beginning of the month can be recovered. The technology staff reported they are developing a disaster recovery system that will have real time disc-to-disc backup to El Camino Community College. Backup procedures are not documented. The MIS Department should create written opera- tional policies and procedures documenting essential duties of the technology services staff, including those related to systems backup. 6. Technology staff reported that when vendors are selected, they are required to provide system information (fixed asset, add, remove and change procedures, manuals, etc.). All documenta- tion, including written procedures, continues to be provided by El Camino CCD. Administra- tion and oversight of technology services continue to be provided by an El Camino CCD staff 8 ACCJC Standard III member assigned to the Compton campus as the manager of MIS. The position is paid by the Compton CCD and collaborates with the El Camino CCD director of information technology services. The district sees the current structure as mutually beneficial to Compton CCD and El Camino CCD. 7. All technology support positions are Compton CCD employees. The manager of MIS con- tinues efforts to build capacity in the technology staff through training and dissemination of information and by working to implement and strengthen operational procedures that support best practices. The manager continues to push routine responsibility to the rest of the team, all of whom have played a significant role working with and learning from vendors during modernization and upgrade projects. 8. The district’s 12-member Technology Committee includes faculty, staff and students. The committee meets monthly and prepares minutes. Interviews indicated that the committee’s role has evolved over the last 12-18 months to recognize the importance of the capital proj- ects. Long-term views, solutions and requests are more the focus than end user support is- sues. The committee includes individuals who have a greater understanding of technology including social media, cross-campus projects, and the need for long-range plans in addition to support for individual issues. 9. The Compton CCD initially purchased its Datatel Colleague financial system in 2004 and lost accreditation shortly after contracting for installation of the system. Subsequently, adminis- trators from the El Camino CCD negotiated with Datatel to suspend selected modules of the Compton license agreement. At the same time, users began to use the separate installation of Datatel Colleague hosted by the El Camino CCD. Accreditation requirements prohibit return of the student and academic modules of Datatel to the Compton Center until the campus has reacquired independent accreditation. However, there is no such limitation on the return of the financial system modules. 10. Users in the Compton CCD business office must enter financial transaction data into two sep- arate systems: Datatel (hosted at the El Camino CCD) and PeopleSoft (hosted at LACOE). To address problems associated with duplicate data input, users at El Camino CCD have developed applications that allow data entered into the Datatel system to be electronically up- loaded to PeopleSoft. The interface application cannot simply be implemented in the Comp- ton CCD Colleague system because of fundamental version differences with the El Camino CCD Colleague system. The district continues to struggle working in two systems, as finan- cial transactions are not updated timely into PeopleSoft. During the previous review period, the business office was attempting to implement a process for routine reconciliation throughout the year, but staff reported this has been very time inten- sive and ultimately unsuccessful, although the two systems are reconciled at year-end. Staff cannot obtain a clear picture of the district’s budget vs. actuals throughout the year because at any point there are transactions that have been processed in Datatel that are not reflected in the PeopleSoft general ledger. Staff stated they are researching how to move to one sys- tem. The district should continue efforts to reconcile the information in the two systems each month until an alternative solution has been established. ACCJC Standard III 9 Efforts to find a solution that is cost effective and not burdensome on staff time should con- tinue. El Camino CCD interfaces can be investigated as a model of how data input require- ments could be reduced if proper system interfaces were programmed and developed. This should continue as a priority of the CBO as the financial team gains a better understanding of the functionality of each system. The district CBO should discuss potential options with the manager of MIS. The manager of MIS should assess the interface applications developed to automate data sharing between the El Camino CCD Datatel Colleague and LACOE PeopleSoft systems to determine the advan- tages, if any, of developing similar interface applications for the Compton CCD Datatel Col- league and LACOE PeopleSoft systems. Standard Implemented: Partially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 4 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 10 ACCJC Standard III ACCJC Standard III-C: Technology Resources FCMAT Financial Management Standard 17.7 – Management Information Systems Professional Standard: Computers are replaced on a schedule based on hardware specifications. Progress on Implementing the Recommendations of the Recovery Plan: 1. The Compton Community Educational Center Technology Plan does not provide a current plan for addressing campus-wide hardware and software needs and should be updated. With the establishment of a solid infrastructure adequate to support technology, district technol- ogy staff reported that their focus has shifted toward the identification of computers and other technology equipment throughout the campus to determine the age and usefulness of existing devices. District technology staff reported that they have established an inventory of hard- ware and have discussed hardware limitations with the administration. 2. Although the district has prepared an inventory of technology hardware, no replacement plan has been developed. Technology staff indicated a desire to consolidate the inventory data to provide a single comprehensive accounting that becomes the basis for a replacement sched- ule. The district lacks an ongoing budget for replacement of technology as it becomes neces- sary. The district has invested and deployed a significant amount of technology, including the cre- ation of a technology data center and the opening of the Student Success Center. Technology has a limited useful life and requires ongoing support and upgrades to ensure it remains func- tional. A comprehensive inventory and replacement schedule is essential to district operations and the educational programs. Increased dependency on technology is created as connectivity is enhanced and new equipment and software are acquired and deployed. The district needs to develop a technology equipment replacement schedule that includes cost projections, and incorporate those projections into its multiyear financial projections, ensuring that resources are identified to support this investment in technology. 3. Interviews with staff and review of documentation indicated that the district has a large in- ventory of end user equipment that requires replacement. Technology staff reported that a large amount of deployed technology has operating systems that Microsoft will no longer support. These machines are not expected to fail in the short term; however, the ability to efficiently support them and secure parts necessary to service them is expected to become increasingly difficult. Many of these machines may not run new or updated software applica- tions. The district has not established a phase out plan to remove or replace outdated equip- ment. Technology staff reported that departments purchase computers and the old ones go to the technology department for repurposing or disposal. 4. Identifying a stable and reliable funding source is among the greater challenges in addressing equipment replacement needs. Interviews indicated that discussions for the 2014-15 proposed budget had not included the manager of MIS. Staff reported that the budget is not a collab- orative process with the technology department, where needs are identified and discussed; ACCJC Standard III 11 rather, the department is fairly removed from the process. District administration should meet with the technology leadership to identify and discuss needs to sustain current technology and support identified technology improvements. The district should identify a stable and re- liable funding source to meet the technology equipment replacement cycle and address new and ongoing needs. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 1 June 2009 Rating: 6 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 8 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 12 ACCJC Standard III ACCJC Standard III-C: Technology Resources FCMAT Financial Management Standard 17.9 – Management Information Systems Professional Standard: Administrative system users are adequately trained in the use of administrative systems and receive periodic training updates to ensure that they remain aware of system changes and capabilities. Progress on Implementing the Recommendations of the Recovery Plan: 1. Due to the number and pace of technology related projects and the limited technology staff, it has been a challenge for the staff to seek and attend formal trainings related to supporting ad- ministrative systems. However, technology staff have been extensively involved in the tech- nology infrastructure upgrade project over the last several years and have benefited greatly from training from contractors and vendors engaged in the projects. The manager of MIS was directly involved with the Voice-over Internet Protocol (VoIP) phone system upgrade and sought involvement of technology staff in the project as well. In- creased focus will be directed to routine professional development as projects are completed. It was reported that AT&T gives the district credit for costs associated with back-end training in areas locally identified as lacking for individual staff. The district should continue assessing the needs of its administrative system users and focus on developing and promoting training programs that address those needs. Although comput- er-based training-on-demand options have been universally accepted, the specific training needs of individual staff members should be a focus of improvement for this standard. 2. Training for end user staff is more complex, as it is based on applications utilized and the needs of staff for individual departments. El Camino CCD provides most end user training. Routine annual trainings related to financial matters and student attendance are offered by LACOE. Standard Implemented: Fully - Substantially April 2007 Rating: 1 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 8 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 13 14 ACCJC Standard III Sources and Documentation Interviews: Chief business official Chief executive officer Dean of human resources Dean of student learning Director of accounting Director of admissions and records Director of enrollment services Director of facilities planning and operations Director of fiscal affairs Director of information technology services, El Camino CCD Information systems engineer Manager of MIS, El Camino CCD Purchasing agent Purchasing technician Shipping/receiving technician Special trustee Superintendent/president, El Camino CCD Utility maintenance supervisors Vice president administrative services, El Camino CCD District Documents: El Camino College Compton Community Educational Center Technology Plan 2011-2016, June 13, 2012 Technology Committee Meeting Agendas and Minutes, January 2013 - February 2014 Student Computer Lab Inventory, no date Campus Computer Count, Staff and Faculty, October 2013 Other: Student Success Center tour Site walk and facilities observation ACCJC Standard III 15 Accrediting Commission for Community and Junior Colleges (ACCJC) Standard III: Resources The institution effectively uses its human, physical, technology, and financial resources to achieve its broad educational purposes, including stated student learning outcomes, and to improve institutional effectiveness. D. Financial Resources – Financial resources are sufficient to support student learning programs and services and to improve institutional effectiveness. The distribution of resources supports the development, maintenance, and enhancement of programs and services. The institution plans and manages its financial affairs with integrity and in a manner that ensures financial stability. The level of financial resources provides a reasonable expectation of both short-term and long-term financial solvency. Financial resources planning is integrated with institutional planning. 1. The institution relies upon its mission and goals as the foundation for financial planning. a. Financial planning is integrated with and supports all institutional planning. b. Institutional planning reflects realistic assessment of financial resource availability, devel- opment of financial resources, partnerships, and expenditure requirements. c. When making short-range financial plans, the institution considers its long-range finan- cial priorities to assure financial stability. The institution clearly identifies and plans for payment of liabilities and future obligations. d. The institution clearly defines and follows its guidelines and processes for financial plan- ning and budget development, with all constituencies having appropriate opportunities to participate in the development of institutional plans and budgets. 2. To assure the financial integrity of the institution and responsible use of financial resources, the financial management system has appropriate control mechanisms and widely dissemi- nates dependable and timely information for sound financial decision making. a. Financial documents, including the budget and independent audit, reflect appropriate al- location and use of financial resources to support student learning programs and services. Institutional responses to external audit findings are comprehensive, timely, and communi- cated appropriately. b. Appropriate financial information is provided throughout the institution. c. The institution has sufficient cash flow and reserves to maintain stability, strategies for ap- propriate risk management, and realistic plans to meet financial emergencies and unfore- seen occurrences. d. The institution practices effective oversight of finances, including management of financial aid, grants, externally funded programs, contractual relationships, auxiliary organizations or foundations, and institutional investments and assets. e. All financial resources, including those from auxiliary activities, fund-raising efforts, and grants are used with integrity in a manner consistent with the mission and goals of the institution. f. Contractual agreements with external entities are consistent with the mission and goals of the institution, governed by institutional policies, and contain appropriate provisions to maintain the integrity of the institution. ACCJC Standard III 1 g. The institution regularly evaluates its financial management processes, and the results of the evaluation are used to improve financial management systems. 3. The institution systematically assesses the effective use of financial resources and uses the results of the evaluation as the basis for improvement. 2 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating D. Financial Resources Standard to be Addressed Financial Management Standards -- Internal Control Environment Integrity and ethical behavior is the product of the college’s ethical and behavioral standards, how they are communicated, and how they are re- 1.1 inforced in practice. All management- 1 2 4 5 6 5 5 6 8 level personnel exhibit high integrity and ethical values in carrying out their responsibilities and directing the work of others. The organizational structure clearly identifies key areas of authority and 1.4 responsibility. Reporting lines are 1 2 2 5 6 6 6 7 7 clearly identified and logical within each area. Management has the ability to evaluate 1.5 job requirements and match the require- 2 ments to the employee’s skills. The college has procedures for recruit- 1.6 ing capable financial management and 2 staff and hiring competent people. All employees are evaluated on perfor- mance at least annually by a manage- ment-level employee knowledgeable about their work product. The evalua- tion criteria are clearly communicated 1.7 3 4 4 6 6 7 7 7 8 and, to the extent possible, measur- able. The evaluation includes a follow- up on prior performance issues and establishes goals to improve future performance. Top management sets the tone and es- tablishes the environment. Therefore, 1.8 0 0 4 5 5 5 1 5 6 appropriate measures are implement- ed to discourage and detect fraud. ACCJC Standard III 3 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Financial Management Standards -- Inter- and Intra-Departmental Communications The business and operations depart- ments communicate regularly with internal staff and all user departments on their responsibilities for accounting procedures and internal controls. The communications are written whenever possible, particularly when they (1) af- fect many staff or user groups, (2) are 2.1 1 2 4 6 7 8 6 7 7 issues of high importance, or (3) reflect a change in procedures. Procedures man- uals are necessary for the communica- tion of responsibilities. The departments also are responsive to user department needs, thus encouraging a free exchange of information between the two (exclud- ing items of a confidential nature). The financial departments commu- nicate regularly with the Governing Board and community on the status of college finances and the financial impact of proposed expenditure deci- 2.2 sions. The communications are writ- 1 2 2 5 6 7 3 5 7 ten whenever possible, particularly when they affect many community members, are issues of high impor- tance to the college and board, or reflect a change in policy. The Governing Board is engaged in un- derstanding globally the fiscal status of 2.3 the college, both current and as project- 1 ed. The board prioritizes college fiscal issues among the top discussion items. The college has formal policies and procedures that provide a mechanism for individuals to report illegal acts, 2.4 1 1 3 5 5 5 3 5 7 establish to whom illegal acts should be reported, and provide a formal investigative process. Documents developed by the financial departments for distribution to the 2.5 3 3 3 4 7 8 7 7 7 board, staff and community are easily understood. 4 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Financial Management Standards -- Staff Professional Development The college has developed and uses a professional development plan for train- ing business staff. The plan includes the input of business office supervisors and managers, and, at a minimum, identifies 3.1 2 appropriate programs office-wide. At best, each individual staff and manage- ment employee has a plan designed to meet their individual professional devel- opment needs. The college develops and uses a pro- fessional development plan for the in-service training of department staff by business staff on relevant business 3.2 0 procedures and internal controls. The plan includes the input of the business office and the departments/divisions and is updated annually. Financial Management Standards -- Internal Audit The Governing Board has adopted policies establishing an internal audit 4.1 0 0 4 8 6 6 1 3 4 function that reports directly to the president or Governing Board. Internal audit functions are designed into the organizational structure of the college. These functions include periodic 4.2 internal audits of areas at high risk for 0 non-compliance with laws and regula- tions and/or at high risk for monetary loss. Qualified staff members are assigned to 4.3 conduct internal audits and are super- 0 vised by an independent body. Internal audit findings are reported on a timely basis to the Governing Board and administration, as appro- 4.4 0 0 1 3 5 5 0 3 4 priate. Management then takes timely action to follow up and resolve audit findings. ACCJC Standard III 5 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Financial Management Standards -- Budget Development Process (Policy) The budget development process requires a policy-oriented focus by the Governing Board to develop an expenditure plan that fulfills the col- lege’s goals and objectives. The Gov- erning Board focuses on expenditure 5.1 1 1 2 4 7 8 3 5 6 standards and formulas that meet the college’s goals. The Governing Board avoids specific line-item focus, but directs staff to design an entire expen- diture plan focusing on student and college needs. The budget development process in- 5.2 cludes input from staff, administrators, 1 board and community. Policies and regulations exist regard- 5.3 ing budget development and monitor- 1 1 0 6 8 8 8 8 9 ing. The college has a clear process to analyze resources and allocations to 5.4 ensure that they are aligned with stra- 0 0 1 5 7 7 4 4 4 tegic planning objectives and that the budget reflects college priorities. The college has policies to facilitate development of a budget that is under- 5.5 standable, meaningful, reflective of col- 0 lege priorities, and balanced in terms of revenues and expenditures. Categorical funds are an integral part of the budget process and have been integrated into the entire budget de- velopment. The revenues and expen- ditures for categorical programs are reviewed and evaluated in the same 5.6 0 0 1 5 7 7 4 4 4 manner as unrestricted General Fund revenues and expenditures. Categori- cal program development is integrated with the college’s goals and used to re- spond to specific college student needs to support student learning outcomes. 6 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The college has the ability to accurately reflect its net ending balance throughout the budget monitoring process. The 311A and 311Q reports provide valid updates of the college’s net ending balance. The 5.7 0 college has tools and processes that ensure that there is an early warning of any discrepancies between the bud- get projections and actual revenues or expenditures. The college utilizes formulas for allocat- ing funds to departments/divisions. This can include staffing ratios, supply al- 5.8 0 locations, etc. These formulas are in line with the board’s goals and directions, and are not overridden. Financial Management Standards -- Budget Development Process (Technical) The Budget Office has a technical pro- cess to build the preliminary budget amounts that includes: the forecast of revenues, the verification and projec- tion of expenditures, the identification of known carryovers and accruals and 6.1 0 1 1 5 6 6 3 4 4 the inclusion of concluded expenditure plans. The process clearly identifies the sources and uses of funds. Reasonable FTES and COLA estimates are used when planning and budgeting. The same process is applied to all funds. An adopted budget calendar exists that meets legal and management require- 6.2 ments. At a minimum the calendar 0 identifies statutory due dates and major budget development activities. Standardized budget worksheets are used to communicate budget requests, 6.3 0 budget allocations, formulas applied and guidelines. Financial Management – Budget Adoption, Reporting, and Audits The college adopts its annual budget 7.1 and files it with the Chancellor’s Office 0 within the statutory time lines. ACCJC Standard III 7 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The college has procedures that provide for the development and submission of a 7.3 college budget and interim reports that 5 adhere to criteria and standards and are approved by the Chancellor’s Office. The college completes and files its in- 7.4 terim budget reports within the statutory 2 deadlines. The quarterly fiscal status reports show an accurate projection of the 7.5 ending fund balance. Material differ- 3 3 1 3 6 6 4 4 4 ences are presented to the Governing Board with detailed explanations. The college has complied with the Gov- ernmental Accounting Standard No. 34 (GASB 34) which requires the college 7.6 to develop policies and procedures and 8 report in the annual financial reports on the modified accrual basis of accounting and the accrual basis of accounting. The college has arranged for an annual 7.7 audit (single audit) within the deadlines 8 established. Financial Management Standards -- Budget Monitoring All purchase orders are properly encum- 8.1 1 bered against the budget until payment. There are budget monitoring con- trols, such as periodic reports, to alert department and site managers of the 8.2 0 3 3 4 6 7 5 5 6 potential for over-expenditure of bud- geted amounts. Revenue and expendi- tures are forecast and verified monthly. Budget revisions are made on a regular 8.4 basis and occur per established procedures, 0 and are approved by the Governing Board. The college uses an effective position control system that tracks personnel al- locations and expenditures. The position 8.5 1 1 1 3 7 8 6 6 6 control system effectively establishes checks and balances between personnel decisions and budgeted appropriations. 8 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Financial Management Standards -- Budget Communications The college budget is a clear manifesta- tion of college policies and is presented 9.1 0 in a manner that facilitates communica- tion of those policies. The college budget clearly identifies 9.2 0 1 1 2 6 7 8 9 10 one-time sources and uses of funds. Financial Management Standards -- Attendance Accounting An accurate record of enrollment and 11.1 5 5 5 5 5 6 5 6 6 attendance is maintained. Students are enrolled and attendance re- ports are completed by staff and entered 11.3 3 into the student information system in an efficient, accurate, and timely manner. Procedures are in place to ensure that enrollment and attendance account- ing and reporting requirements are met for weekly student contact hours 11.5 3 5 5 5 5 6 3 5 6 (WSCH), daily student contact hours (DSCH), credit, non-credit, high school concurrent enrollment, and positive attendance. Financial Management Standards -- Accounting, Purchasing and Warehousing The college adheres to the Budget and Accounting Manual (BAM) and Gener- 12.1 ally Accepted Accounting Principles 1 (GAAP) as required by Education Code Section 84030. The college timely and accurately records all information regarding financial activity (unrestricted and restricted) for all programs. Gener- ally Accepted Accounting Principles (GAAP) requires that for financial 12.2 reporting to serve the needs of the 2 3 3 3 5 7 3 5 6 users, it must be reliable and timely. Therefore, the timely and accurate recording of the underlying transac- tions (revenue and expenditures) is an essential function of the college’s financial management. ACCJC Standard III 9 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The college forecasts its revenues and expenditures and verifies those pro- jections monthly to adequately man- age its cash. In addition, the college reconciles its cash to bank statements 12.3 and reports from the county treasurer 2 2 2 2 5 6 5 5 5 monthly. Standard accounting prac- tice dictates that, to ensure that all cash receipts are deposited timely and recorded properly, cash is reconciled to bank statements monthly. The college’s payroll procedures are in compliance with established re- quirements. (Education Code Section 12.4 85241) Standard accounting practice 1 5 5 5 7 7 5 5 6 dictates that the college implements procedures to ensure the timely and accurate processing of payroll. Standard accounting practice dictates that the accounting work is properly supervised and work reviewed to 12.5 ensure that transactions are recorded 1 2 2 4 5 6 3 5 6 timely and accurately, and allow the preparation of periodic financial state- ments. Categorical programs, either through specific program requirements or through general cost principals, require 12.6 2 that entities receiving such funds must have an adequate system to account for those revenues and related expenditures. Generally accepted accounting prac- tices dictate that, to ensure accurate recording of transactions, the college have standard procedures for clos- 12.7 ing its books at fiscal year-end. The 1 1 0 2 4 7 3 5 6 college’s year-end closing procedures should comply with the procedures and requirements established by the Chancellor’s Office. 10 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The college complies with the bidding requirements of Public Contract Code Section 20111. Standard accounting practice dictates that the college have adequate purchasing and warehousing procedures to ensure that only properly 12.8 4 authorized purchases are made, that au- thorized purchases are made consistent with college policies and management direction, that inventories are safeguard- ed, and that purchases and inventories are timely and accurately recorded. The college has documented proce- dures for the receipt, expenditure and monitoring of all construction-related 12.9 activities. Included in the procedures 2 2 2 4 6 7 4 6 7 are specific requirements for the ap- proval and payment of all construc- tion-related expenditures. The accounting system has an appropri- 12.10 ate level of controls to prevent and detect 1 errors and irregularities. The college has implemented an account code structure that enables the standard 12.11 financial reporting required by the state 4 and ensures that the college is in compli- ance with guidelines. Financial Management Standards – Student Body Funds The Governing Board adopts policies and procedures to ensure compliance 13.1 regarding how student body organiza- 3 3 4 5 7 9 5 5 5 tions deposit, invest, spend, raise and audit student body funds. Proper supervision of all student body funds is provided by the Board. This includes establishing responsibilities for managing and overseeing the activi- 13.2 2 ties and funds of student organizations, including providing procedures for the proper handling, recording and reporting of revenues and expenditures. ACCJC Standard III 11 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The college provides training and guid- ance to college personnel and students 13.3 1 on the policies and procedures governing student body accounts. Monitoring is performed by the Busi- ness Services Office to provide ad- 13.4 equate oversight of student funds and 1 1 2 6 8 9 5 5 5 to ensure proper handling and report- ing. Financial Management Standards -- Multi Year Financial Projections The college annually provides a multiyear revenue and expenditure projection for all funds of the college. 14.2 Projected fund balance reserves are 0 0 0 1 5 7 2 4 4 disclosed. The assumptions for rev- enues and expenditures are reasonable and supportable. Multiyear financial projections are prepared for use in the decision-making 14.3 process, especially whenever a signifi- 0 cant multiyear expenditure commitment is contemplated. Assumptions used in developing multi- 14.4 year projections are based on the most 0 accurate information available. Financial Management Standards -- Long-Term Debt Obligations The college complies with public disclosure laws of fiscal obligations related to health and welfare benefits 15.1 0 5 5 5 6 7 8 8 9 for retirees, self-insured workers’ compensation, and collective bargain- ing agreements. When authorized, the college uses only non-voter approved, long-term financ- ing such as certificates of participation (COPS), revenue bonds, and lease- purchase agreements (capital leases) to 15.2 8 address capital needs, and not opera- tions. Further, the general fund is used to finance current school operations, and in general is not used to pay for these types of long-term commitments. 12 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating For long-term liabilities/debt service, the college prepares debt service schedules and identifies the dedicated funding sources to make those debt service pay- ments. The college projects cash receipts from the dedicated revenue sources to ensure that it will have sufficient funds 15.3 8 to make periodic debt payments. Cash flow projections are continually moni- tored to ensure that any variances from the projections are identified as early as possible to allow the district sufficient time to take appropriate measures or identify alternative funding sources. The college has developed and uses a financial plan to ensure that ongoing unfunded liabilities from employee ben- 15.4 efits are recognized as a liability of the 0 college. A plan has been established for funding retiree health benefit costs as the obligations are incurred. Financial Management Standards -- Impact of Collective Bargaining The college has developed parameters and guidelines for collective bargaining that ensure that the collective bargain- ing agreement is not an impediment to efficiency of college operations. At least annually, collective bargaining agree- ments are analyzed by management to identify those characteristics that are impediments to effective delivery of college operations. The college identi- fies those issues for consideration by 16.1 the Governing Board. The Governing 8 8 8 8 8 8 8 8 8 Board, in the development of its guide- lines for collective bargaining, consid- ers the impact on college operations of current collective bargaining language, and proposes amendments to contract language as appropriate to ensure effective and efficient college deliv- ery. Governing Board parameters are provided in a confidential environment, reflective of the obligations of a closed executive board session. ACCJC Standard III 13 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The Governing Board ensures that any guideline developed for collective bargaining is fiscally aligned with the instructional and fiscal goals on a multi- year basis. The president ensures that the college has a formal process in which collective bargaining multiyear costs are identified for the Governing Board, and those expenditure changes are identi- fied and implemented as necessary prior to any imposition of new collective bargaining obligations. The Governing 16.2 Board ensures that costs and projected 0 college revenues and expenditures are validated on a multiyear basis so that the fiscal issues faced by the college are not worsened by bargaining settlements. The public is informed about budget reduc- tions that will be required for a bargain- ing agreement prior to any contract acceptance by the Governing Board. The public is notified of the provisions of the final proposed bargaining settlement and is provided with an opportunity to comment. Financial Management Standards -- Maintenance and Operations Fiscal Controls The college has a comprehensive risk- management program that monitors the various aspects of risk manage- 18.1 ment including workers’ compensa- 4 5 6 6 6 6 8 9 9 tion, property and liability insurance, and maintains the financial well-being of the college. The college has a work order system that tracks all maintenance requests, 18.2 the worker assigned, dates of comple- 2 2 3 5 5 7 7 7 8 tion, labor time spent and the cost of materials. The college controls the use of facili- 18.3 ties and charges fees for usage in ac- 5 5 4 5 7 7 7 9 9 cordance with college policy. 14 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating The Maintenance Department follows standard college purchasing protocols. Open purchase orders may be used if 18.4 5 5 4 4 7 6 7 8 9 controlled by limiting the employees authorized to make the purchase and the amount. Materials and equipment/tools in- ventory are safeguarded from loss 18.5 5 5 6 6 6 6 4 4 4 through appropriate physical and ac- counting controls. College-owned vehicles are used only 18.6 for college purposes. Fuel is inventoried 5 and controlled as to use. Capital equipment and furniture is 18.8 tagged as college-owned property and 1 inventoried at least annually. The college adheres to bid and force account requirements found in the Public Contract Code (Sections 20111 and 20114). These requirements include formal bids for materials, equipment 18.9 7 and maintenance projects that exceed $50,000; capital projects of $15,000 or more; and labor when the job exceeds 750 hours or the materials exceed $21,000. Standard accounting practices dictate that the college has adequate purchasing and contract controls to ensure that only properly authorized purchases are made and independent contracts approved, and that authorized purchases and indepen- 18.10 dent contracts are made consistent with 4 college policies, procedures, and man- agement direction. In addition, appro- priate levels of signature authorization are maintained to prevent or discourage inappropriate purchases or contract awards. The standards in bold text are the identified subset of standards for ongoing reviews. ACCJC Standard III 15 Accrediting Commission for April Jan. July June Jan. July June April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Financial Management Standards – Food Service Fiscal Controls The college operates the food service 19.1 programs in accordance with applicable 3 laws and regulations. Financial Management Standards – State-Mandated Cost The college has procedures that pro- vide for the appropriate oversight and management of mandated cost claim reimbursement filing. Appropriate procedures cover: the identification of changes to existing mandates; training 21.1 staff regarding the appropriate collec- 2 2 3 4 7 7 8 7 7 tion and submission of data to sup- port the filing of the mandated costs claims; forms, formats, and time lines for reporting mandated cost informa- tion; and review of data and prepara- tion of the actual claims. The standards in bold text are the identified subset of standards for ongoing reviews. 16 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 1.1 – Internal Control Environment Professional Standard: Integrity and ethical behavior is the product of the college’s ethical and behavioral standards, how they are communicated, and how they are reinforced in practice. All management-level personnel exhibit high integrity and ethical values in carrying out their responsibilities and directing the work of others. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has established board policy and administrative regulations addressing the re- quirements of board members and certain identified administrative staff for disclosing per- sonal activities that may present a conflict of interest while exercising the duties of their position. Board Policy (BP) 2710, Conflict of Interest, addresses the limitations and disclo- sure requirements of board members and other district employees where personal activity or financial interest has or may have an effect that is in conflict or incompatible with his or her duties as an officer of the district. Administrative Regulation (AR) 2711, Conflict of Inter- est Disclosure, describes in detail the general requirements, designated employee positions, disclosure categories, gifts and honoraria. Each section of the AR places the highest priority on honesty and integrity in all public and personal relationships by board members and senior administrators, and further extends to construction consultants. Ensuring annual compliance with this policy demonstrates the district’s ongoing commitment to enhance its ethical and behavioral standards and provides a strong basis for an internal control environment that is conducive to preventing fraud, misappropriation of funds and other illegal activities. 2. AR 2711 lists all designated positions required to file a Statement of Economic Interests, Form 700, and describes the roles and responsibilities of the district and the employee. The district has implemented, and continues to follow, procedures to ensure that designated em- ployees, including public officials, file statements of financial interest in accordance with Government Code Section 1090. FCMAT reviewed Form 700 statements prepared for the period January 1, 2013 through December 31, 2013. Inquiries with board members and em- ployees noted an awareness of purpose and duty to complete Form 700 routinely. 3. The Compton CCD special trustee and CEO continue their commitment and diligence to en- sure organizational expectations are communicated regularly to employees. Routine commu- nications continue in many forms including newsletters, department and committee meetings. Staff members widely acknowledge these communication methods. Consistent integrity and ethical behavior by management set the organizational expectations, provide the necessary leadership for all staff and create an environment of high ethical and moral value. Staff mem- bers interviewed continue to speak highly of the leadership’s efforts to communicate. The continuing leadership demonstrated by the current CEO and CBO provides an ongoing sense of stability. Staff express that they clearly understand the administration’s expectations of them, and management-level personnel are actively involved in directing and overseeing the work of staff in the Business Services Department. ACCJC Standard III 17 4. The development, implementation and update of some policies and regulations continue to lag as management focuses on developing operational procedures for technical staff. The district should ensure that all board policies and administrative regulations are reviewed, up- dated, developed and implemented as a component of this work and ensure staff are informed and trained in all areas of change that affect their areas of responsibility. The continued de- velopment of operational procedures is indicative of continued progress in the outward atti- tude of management and will strengthen policy effectiveness. Standard Implemented: Fully - Substantially April 2007 Rating: 1 January 2008 Rating: 2 July 2008 Rating: 4 June 2009 Rating: 5 January 2010 Rating: 6 July 2010 Rating: 5 June 2012 Rating: 5 April 2013 Rating: 6 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 18 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 1.4 – Internal Control Environment Professional Standard: The organizational structure clearly identifies key areas of authority and responsibility. Reporting lines are clearly identified and logical within each area. Progress on Implementing the Recommendations of the Recovery Plan: 1. An organizational structure that provides clearly defined lines of authority significantly en- hances internal control. Accountability is a critical component of an effective control envi- ronment and is established through organizational structure and effective communication. Assembly Bill (AB) 318 set forth the parameters of the partnership between El Camino CCD and Compton CCD and created the Compton Center. The El Camino College Compton Cen- ter operates as a center of El Camino Community College and, under the partnership, pro- vides accredited courses for instruction. El Camino CCD provides oversight and management of the instructional programs and supporting services. AR 3101, Management Organization Chart, issued March 15, 2010 does not accurately reflect the senior management group as currently established. Many positions as well as the hierarchy and lines of authority have changed over the last two review cycles. An organizational chart, dated December 4, 2013, was provided to FCMAT. Each division in the organizational chart is subdivided into its supporting departments. This chart provides direction for management and support staff by documenting clear lines of authority. The ad- ministrative regulation and the management organizational chart contained in the AR should be updated to reflect the actual structural delineation, lines of authority and reporting to the Compton CCD CEO and El Camino CCD. 2. During FCMAT interviews it was clear that an appropriate chain of command has been es- tablished and implemented. Employees understand the organizational reporting structure for communication available to them and are respectful of the administration at all levels. 3. The district has maintained momentum in establishing a strong, consistent leadership team in the Business Services Department. The retention of a permanent CBO and director of accounting have been instrumental with regard to departmental structure and leadership, technical guidance and professional development training. The CBO position, supported by its directors, is essential to the implementation of systems, procedures and oversight of daily operations that ensure accurate and timely processing of financial information. The ongoing stability in this leadership role has increased the structure and guidance to staff necessary to effectively establish and maintain a high quality of services from the Business Services Department. 4. Under the governance structure and partnership agreement, El Camino CCD continues to provide oversight to the Compton Center as necessary to help ensure Compton CCD’s fiscal recovery, and will assist with compliance efforts and progress toward accreditation for the center. Senior management of the El Camino CCD continue to report high levels of confi- dence in the Compton CCD leadership team. Interviews clearly indicated that the working ACCJC Standard III 19 relationships between the two institutions have dramatically improved over the last two re- view cycles due to the strength of the current leadership team. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 5 January 2010 Rating: 6 July 2010 Rating: 6 June 2012 Rating: 6 April 2013 Rating: 7 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 20 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 1.7 – Internal Control Environment Professional Standard: All employees are evaluated on performance at least annually by a management-level employee knowledgeable about their work product. The evaluation criteria are clearly communicated and, to the extent possible, measurable. The evaluation includes a follow-up on prior performance issues and establishes goals to improve future performance. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district continues to utilize comprehensive evaluation instruments for all employee groups. Management evaluation documents contain examples of desirable professional at- tributes that include leadership, managerial and communication skills and abilities as well as professional knowledge and expertise. The foundation for the classified employee evaluation is established by the personnel commission and outlined in the Rules and Regulations of the Classified Service. This document specifies the frequency and timing of classified employee performance evaluations, the responsible party for providing evaluations, procedures for completion and the appeals process if the employee is not satisfied with the evaluation. Fur- ther information is provided in the Guide to Evaluation of Performance in the Classified Ser- vice document prepared by the Compton CCD Human Resources Department. 2. The management evaluation document includes templates for basic, comprehensive and admin- istrative evaluations. This standardized framework provides the necessary guidance for manag- ers and ensures that the district’s overarching goals are addressed in the process.T he classified evaluation document is a basic tool for assessing employees’ performance related to quantity and quality of work, judgment, working relations, initiative, dependability and reliability, atten- dance and punctuality, safety and communication skills. For each area the employee is ranked: exceeds expectations, meets expectations, needs improvement or unsatisfactory. This tool also allows the evaluator to list employee performance attributes in each area. 3. Performance evaluations are required annually for all management and classified employees. Timely, consistent, execution of evaluations is essential to guide employees in meeting the duties and responsibilities of their positions as outlined in their job description. Employee evaluations serve as a tool for addressing areas of weakness in performance and to acknowl- edge and encourage progress. The team selected and reviewed a sample of employee evalua- tions. Instances of specific areas of improvement were noted for some employees, with mea- surable goals to attain satisfactory results on future evaluations. 4. The Human Resources Department continues to manage the annual evaluation process, which is initiated each year through communications with management. A memo is sent to administrators and managers each March along with a list of employees to be evaluated. FCMAT selected and reviewed a sample of evaluations for classified and management em- ployees. Evaluations for staff in the business office were completed for 2012-13. Although the evaluation process had not concluded for 2013-14 at the time of FCMAT’s fieldwork, management staff acknowledged during interviews that they had received notifications from human resources and were in the process of completing evaluations. ACCJC Standard III 21 5. The collective bargaining agreement between Compton CCD and the certificated bargaining unit requires performance evaluations to be completed every three academic years for ten- ured employees and clearly establishes the criteria for evaluation methods and criteria. Fac- ulty evaluation methods alternate between basic and comprehensive, unless the faculty mem- ber elects to receive a comprehensive evaluation or one is called for by the faculty member’s dean or division chair. FCMAT selected and reviewed a sample of evaluations for faculty members. The evaluations selected for review were timely and complete. 6. The leadership of the district understands their roles and the need to move through the ap- propriate stages of the evaluation process when performance weaknesses are identified. Al- though progressive discipline steps were observed during review of evaluations, some man- agers continue to be frustrated by the process. To ensure all managers and supervisors have a clear understanding of the evaluation process, including progressive discipline, regular training regarding best practices for completing employee evaluations should be conducted. Regular training provides necessary up-to-date guidance for managers and increases the ef- fectiveness of employee evaluations. Standard Implemented: Fully - Substantially April 2007 Rating: 3 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 6 January 2010 Rating: 6 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 22 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 1.8 – Internal Control Environment Professional Standard: Top management sets the tone and establishes the environment. Therefore, appropriate measures are implemented to discourage and detect fraud. Progress on Implementing the Recommendations of the Recovery Plan: 1. The administration has established, communicated and routinely supports the established chain of command as outlined in the organizational charts dated December 4, 2013. This has contributed to the solidification of the management hierarchy, and has improved effectiveness and efficiency of management oversight of employees and their work. The recognition of the management hierarchy in execution and oversight of daily assignments continues to convey the expectation of high integrity and ethical behavior throughout the organization. During this review it was acknowledged by many interviewed that the CBO has now settled into the leadership role, while the director of accounting continues to provide technical as- sistance and guidance to staff, and actively monitors and reviews employee work. Staff re- ported that they now work more closely with the director; however, the CBO continues to be involved in many aspects of daily operations and provides leadership to the management team. Staff members are frequently required to demonstrate their work product and provide an overview and backup documentation to support the work performed. 2. The primary objective for management is to achieve effective internal controls and include reasonable assurance of the following: a. Compliance with policies, procedures, plans, laws and regulations is achieved b. Assets are safeguarded against theft and/or loss c. Financial information is accurate and reliable d. Financial and operational information is timely e. Resources are used effectively, efficiently and economically f. Established operational and programmatic goals and objectives are met The development of written operational policies and procedures for business office func- tions has continued during this review period. Formal operational policies and procedures help to establish protocols for the completion, review and oversight process of each func- tion in the business office. When properly designed, implemented and followed, written procedures improve the effectiveness of the internal control structure and offer reasonable assurance that occurrences of fraud will be avoided. 3. While all employees have some degree of responsibility for the district’s internal controls, ulti- mately management is responsible for detecting fraud. Each member of the management team, including the special trustee, should be familiar with the signs of fraud.A lthough the CBO is responsible for ensuring proper internal controls are established and procedures are implement- ed in the Business Services Department to properly safeguard assets, the district should not rely solely on this position to identify and prevent fraud or other illegal activities.A separate party, ACCJC Standard III 23 independent of the business office, should conduct internal reviews to ensure there is monitor- ing of the individuals assigned to manage fiscal resources and of the department as a whole . Compton CCD has worked to discourage and detect fraud by developing and implementing ap- plicable policies and procedures, and continues to participate in the WeTip program and fraud hot line as the primary tools to communicate the presence of a fraud prevention program. 4. Establishing and maintaining a fraud prevention program is essential in fraud deterrence. The district operates a fraud prevention program that includes a fraud hotline and has worked to increase awareness of the WeTip program throughout the district. Posters promoting the WeTip program were observed throughout the campus, including department and student no- tice boards. Staff indicated a general knowledge of the WeTip program, which allows them to anonymously submit tips about potential fraud. 5. Ongoing efforts by the leadership in the business office to provide effective oversight, review, training, and reinforcement of proper internal controls and operational procedures, helps to provide reasonable assurance that the district’s operations are effective, efficient, and sound and that the financial information is reliable. 6. All purchasing tasks are processed by the purchasing technician, who has the ability to add new vendors in the financial software system. During FCMAT’s last review it was found that the accounts payable staff member had access to some of the vendor demographic screens necessary to make minor changes to vendor information, such as payment remittance edits. User access is managed by the El Camino CCD. Proper internal controls should provide for system access controls associated with the maintenance of vendor master files and should segregate duties, including those related to modifying a vendor’s remittance address, from activities associated with processing vendor payments. The district should review employee system access permissions to ensure they are consistent with and support established inter- nal controls and that accounts payable staff have read-only access to vendor demographic screens. Standard Implemented: Partially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 4 June 2009 Rating: 5 January 2010 Rating: 5 July 2010 Rating: 5 June 2012 Rating: 1 April 2013 Rating: 5 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 24 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 2.1 – Inter- and Intra-Departmental Communications Professional Standard: The business and operations departments communicate regularly with internal staff and all user departments on their responsibilities for accounting procedures and internal controls. The communi- cations are written whenever possible, particularly when they (1) affect many staff or user groups, (2) are issues of high importance, or (3) reflect a change in procedures. Procedures manuals are neces- sary for the communication of responsibilities. The departments also are responsive to user depart- ment needs, thus encouraging a free exchange of information between the two (excluding items of a confidential nature). Progress on Implementing the Recommendations of the Recovery Plan: 1. The Planning and Budget Committee meets regularly throughout the year. Meetings are held more frequently during the budget development period. This group comprises nine members representing business office, senior administration, department managers and bargaining units. Detailed information about the budget is presented for general discussion, and requests for special allocations are presented for consideration. Budget assumptions and estimates for the subsequent fiscal year are shared with members of the committee. These meetings are routinely documented in meeting minutes. 2. Regular campus-wide informational meetings are held for all employees. These meetings are designed to keep all employees informed of the budget development process and provide a forum for management to address individual questions. This is informative for Compton CCD employees and provides transparency to the budget development process. All employees are encouraged by the CEO to attend and participate. 3. FCMAT reviewed several documents, including the following, designed to provide informa- tion to employees and others on business procedures and the budget process: a. Memos, emails and training documentation that demonstrate efforts to train staff on busi- ness procedures and responsibilities. b. Purchasing guidelines, revised February 1, 2013; the Purchasing Department policy, ad- opted February 1, 2013; purchase order terms and conditions, adopted April 9, 2013; AR 7400, Employee Travel, issued December 17, 2013; Bursar’s Department Policies & Pro- cedures, revised October 1, 2013; and Credit Card Policies & Procedures, revised January 14, 2013, all of which exhibit an effort to inform and enforce procedures. c. The development and distribution of Business Services Department procedures to inform staff of proper protocol and expectations. 4. The final budget, which lists overarching goals and objectives for 2013-14, includes a pro- jected increase in enrollment of 350 full-time equivalent students (FTES) and institutional capacity from the previous year from 5,900 to 6,250 FTES, which allows the Compton Cen- ter to offer 1,500 course sections. ACCJC Standard III 25 5. The district continues to use the Plan Builder budget development tool to assist departmental staff in developing budget proposals that are tied to departmental goals. The process coordi- nates departmental goals with the resources necessary to accomplish them. These plans are then compiled into a comprehensive district plan. 6. The district has not implemented institutional (desk) procedure manuals for day-to-day tasks in the Business Services Department, but continues to draft processes and procedures, which are placed on an internal shared drive for all Business Services staff to access. There are a variety of memorandums on the internal shared drive, which include some desk procedures. 7. Since FCMAT’s last review, there has been no turnover in key positions. The CBO position was filled on April 30, 2012, and the individual had been in the position for two years at the time of FCMAT’s fieldwork. The director of accounting previously served as interim, and during this review period was hired permanently. The individual has been in the position for just over one year. The CBO and the director of accounting continue to draft processes and procedures for day-to-day operations and have created a year-end closing document, indicat- ing responsibilities for staff members. 8. The district has developed a document outlining year-end closing responsibilities for staff members; this document has been placed on the Business Services intranet for all staff mem- bers to access. No internal year-end desk procedures were in place for Business Services staff, but all staff interviewed indicated they participate in the annual year-end closing train- ing offered by LACOE. 9. Interviews with staff indicated that the CEO issues a monthly newsletter to the campus com- munity and has weekly open door hours, of which reminders are communicated to the cam- pus community by email. FCMAT was not provided with examples of monthly newsletters. CEO communications with the campus community and staff should continue to be ongoing and routine. 10. The Business Services Department no longer emails monthly budget reports, as departments have access to run reports directly from the financial system. If assistance is needed, the Business Services staff work with department heads on budget vs. actuals. Business office staff should routinely meet with departments, at least quarterly, to address budgetary matters in a proactive rather than reactive manner. 26 ACCJC Standard III Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 2 July 2008 Rating: 4 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 8 June 2012 Rating: 6 April 2013 Rating: 7 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 27 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 2.2 – Inter- and Intra-Departmental Communications Professional Standard: The financial departments communicate regularly with the Governing Board and community on the status of college finances and the financial impact of proposed expenditure decisions. The communi- cations are written whenever possible, particularly when they affect many community members, are issues of high importance to the college and board, or reflect a change in policy. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district’s Business Services Department continues to regularly present purchase orders, stale dated checks, and budget transfers/augmentations to the board/special trustee for ap- proval, with purchase orders and stale dated checks appearing as consent items on the board agendas. The documentation for budget transfers/augmentations continues to provide the rationale for their necessity and they are presented as action items, which facilitates board discussion. 2. Quarterly and annual financial status reports were provided during board meetings through- out the fiscal year. In addition, board minutes reflect that one budget workshop took place during this reporting period, on May 21, 2013. An oral presentation included PowerPoint slides along with distribution of the 2013-14 preliminary budget and was followed by a ques- tion and answer session; however, written materials were not included in board agenda pack- ets to allow for study and formulation of questions in advance of the meeting. The district’s board meeting minutes indicate the following discussions regarding fiscal matters: • May 21, 2013: A public hearing regarding receipt of the Proposition 30 funding and how the district will use those funds. • June 18, 2013: An oral presentation and public hearing regarding the 2013-14 tentative budget. Rather than including the annual audit as an informational item as was past practice, the 2012-13 district financial audit report and the 2012-13 Measure CC General Obligation Bond Audit and Performance Audit Report were placed on the board agenda as presentation items. As noted during FCMAT’s last review, while board agendas reflect items such as the quarter- ly and annual financial status reports, these continue to be presented as informational items to the board, and board minutes do not reflect whether board or community discussion occurred. 3. With the exception of special board meetings and the meetings of August 20, 2013 and Sep- tember 3, 2013, the district continued to provide the board with monthly updates for Measure CC bond funding. Board agendas and minutes reflect a $1.3 million decrease in expenditures for Infrastructure Phase I from February 2014 to March 2014. However, neither the board agendas nor meeting minutes reflect discussion of this anomaly. The district should ensure narrative detail related to significant changes accompanies financial updates. 28 ACCJC Standard III 4. The 2013-14 Final Budget dated August 22, 2013 lists the district’s Guiding Principles for Planning & Budgeting, which includes maintaining student success; assessing programs based on relevance, cost effectiveness and ability to meet community needs; high quality programs with appropriate support; and creating and supporting revenue generating oppor- tunities. However, FCMAT was unable to determine if this information was included in the district’s Preliminary Unrestricted General Fund Budget for the 2014-15 fiscal year because that document was not available at the time of fieldwork. 5. During the last review period, the CEO provided a PowerPoint presentation that was used at multiple community forums to communicate the status of the district’s construction projects, accreditation efforts, and focus on fiscal stabilization. Flyers for roundtable discussions were provided for Progress Park, Carson Civic Center, Lynwood Travelodge, Compton Unified School District, Centennial High School and Compton CCD on October 29, 2013; Novem- ber 7, 2013; November 14, 2013; November 19, 2013; December 4, 2013 and December 10, 2013, respectively, indicating that these efforts continued into the current review period. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 5 January 2010 Rating: 6 July 2010 Rating: 7 June 2012 Rating: 3 April 2013 Rating: 5 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 29 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 2.4 – Inter- and Intra-Departmental Communications Professional Standard: The college has formal policies and procedures that provide a mechanism for individuals to report illegal acts, establish to whom illegal acts should be reported, and provide a formal investigative process. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has adopted policies and administrative regulations that establish district orga- nizational hierarchy and increase the resistance to fraud including: organizational structure, access to facilities and property, delegation of authority, procurement, asset security and ac- counting, reporting of crimes and an annual external audit. 2. The district adopted Board Policy 7700, Whistleblower Protection, on June 8, 2010 that re- quires the CEO to establish regulations regarding the reporting and investigation of suspected fraudulent activities and provides protection from retaliation for those who make such reports in good faith and/or assist in the investigation of such reports. 3. Board Policy 7700 references AR 7701, Whistleblower Reporting Protocols, which was fi- nalized and issued September 6, 2013. The AR clearly encourages and provides guidance to individuals to report suspected incidents of unlawful activities, including the steps for report- ing suspected acts and assurances to protect those who report from retaliation. The AR also provides for an investigative process and lists alternative agencies an employee may contact that are external to the district including, the State Auditor’s Whistleblower Hotline, Bureau of State Audits and the California Department of Insurance Fraud Division. These procedures solidify the established methods for reporting inappropriate activities. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 3 June 2009 Rating: 5 January 2010 Rating: 5 July 2010 Rating 5 June 2012 Rating: 3 April 2013 Rating: 5 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 30 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 2.5 – Inter- and Intra-Departmental Communications Professional Standard: Documents developed by the financial departments for distribution to the board, staff and commu- nity are easily understood. Progress on Implementing the Recommendations of the Recovery Plan: 1. The stability of a permanent CBO, hired in April 2012, has provided consistency in the duties related to financial management, budget planning and development, and fiscal communica- tions from the CEO. This has allowed the CEO to continue his efforts in communicating the district’s message throughout community forums. 2. Financial information for the unrestricted and restricted resources is presented separately and summarized by major object code in the 2013-14 Final Budget narratives. Financial data is provided in two columns for the budget year and preceding fiscal year’s budget for each district fund. Very little detail is provided to support the amounts presented for each revenue and/or expenditure object total. Detailed district assumptions, projections, goals and plans are essential to providing readers a clear understanding of the basis of financial projections. Although some details are provided in the introductory overview of assumptions, tying those figures back to the final numbers presented continues to be challenging. A summary of sig- nificant changes presented by major object code would help readers to interpret the changes in budget amounts from one period to the next. 3. Planning and Budget Committee meetings continue to be held regularly with the CBO in attendance, and the CBO was elected as co-president of this committee. The members repre- sent various district groups. Discussion items include current budget, future budget, facility issues, enrollment plans, overarching goals, budget assumptions and other business topics as determined by the committee. Meeting minutes are taken and reviewed to memorialize the discussion. Generally, budget development is a collaborative effort, with contributions from the CEO, CBO, cabinet members, Planning and Budget Committee, Consultative Council, and some departments, all of whom work to define and develop the assumptions and details of the tentative budget. 4. The documents distributed by the business office continue to be in a narrative or spreadsheet format. To increase involvement and understanding, it is a best practice to use visual presen- tations, including graphs and charts to help those unfamiliar with the fiscal environment to more easily understand the budget and fiscal issues. ACCJC Standard III 31 Standard Implemented: Partially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 3 June 2009 Rating: 4 January 2010 Rating: 7 July 2010 Rating: 8 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 32 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 4.1 – Internal Audit Professional Standard: The Governing Board has adopted policies establishing an internal audit function that reports direct- ly to the president or Governing Board. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district lacks a dedicated internal audit position and has abandoned the effort to establish one at this time due to economic factors. FCMAT has routinely recommended that Compton CCD re-establish the internal audit function to regain momentum in establishing and moni- toring proper internal controls in key operating areas including the business office, bursar’s office, financial aid, and categorical state and federal grants. In previous review periods the district partnered with the El Camino CCD to implement an internal audit function. A staff member from the El Camino CCD business office selected and reviewed transactions, identi- fied weaknesses and made recommendations to Compton CCD for improvement. This prac- tice was abandoned during a prior review period. Although the district has decided not to staff an internal audit position, it remains a priority of the CEO to establish an environment and culture that clearly communicates that fraud and other illegal acts will not be tolerated and that all allegations will be investigated. Two mem- bers of the leadership team in the Business Services Department have extensive experience as former auditors in community colleges. The district contends that this mitigates the need for a separate internal audit position. An internal audit plan, dated June 30, 2013, was developed when the current CBO was hired to identify existing internal controls and monitor and update processes and procedures. To address the internal audit function, the Internal Operations Re- view Plan states: … this plan also is designed to review information to determine its reliability, review compliance – ensuring employees are complying with the District’s policies and pro- cedures as well with external laws and regulations, and review of assets to determine they are safeguarded. The plan identifies the CBO as the position responsible for reviewing, revising, implement- ing and enforcing the plan. Because this position has primary responsibility to implement and oversee all business activities and ensure that district assets are properly safeguarded, the ele- ments of objectivity and neutrality are lost. Neutrality requires the reviewing party to be free from bias. Objectivity is impaired because the CBO is directly responsible for ensuring that adequate systems are in place, reviewed and monitored regularly. In essence, this plan has the CBO checking his own work and does not protect the organization from the risk created by his actions or omissions. The district reported there have been no changes to this strategy. 2. Effective internal auditing is vital to a strong control environment. To be effective, the inter- nal audit function must be neutral and objective. Objectivity is strengthened when the inter- nal audit function reports directly to the highest level of authority. Therefore, an internal au- dit function should be independent of the business office and should report to the CEO or the governing board/special trustee. Under the existing plan, the establishment of an audit com- ACCJC Standard III 33 mittee could help to offset the loss of objectivity and neutrality created as a result of the lack of review by a third party. Audit committees, typically composed primarily of board members and top administration, monitor the control structure and act as liaison between management and the internal audit function. Since the district plan essentially has the CBO acting as the internal auditor, the district should establish an audit committee, responsible directly to the board/special trustee, to maximize the effectiveness of the control structure. 3. No documentation was provided to indicate that the updated priorities list for the Internal Operations Review Plan, discussed in Standard 4.4, was provided to and/or discussed with cabinet or any other committee. Standard Implemented: Partially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 4 June 2009 Rating: 8 January 2010 Rating: 6 July 2010 Rating: 6 June 2012 Rating: 1 April 2013 Rating: 3 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 34 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 4.4 – Internal Audit Professional Standard: Internal audit findings are reported on a timely basis to the Governing Board and administration, as appropriate. Management then takes timely action to follow up and resolve audit findings. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district established the Internal Operations Review Plan designed to identify existing internal controls and monitor and update processes and procedures in the district business of- fice. The original list ranked areas of risk as priority 1-4, with 1 requiring immediate attention within 6 months; 2, immediate attention within 12 months; 3, attention within 18 months; and 4, attention within 24 months. An updated priorities list dated June 30, 2014 indicates that no additional content areas have been identified and added to the original list. This updated list indicates the status of items with an identified priority of 1. On that list all items with a rank of 1 include: 1. Payroll Benefits: Fiscal issues, overcharging district for benefits provided, compliance with bargaining unit contracts 2. Payroll Clearance Fund: Compliance with laws and regulations 3. State Income Tax Filings: Compliance with laws and regulations 4. Federal Income Tax Filings: Compliance with laws and regulations 5. Fuel Tax Filings: Compliance with laws and regulations 6. Conflicts of Interest: Compliance with laws and board policies 7. Whistleblower Program: Fraud prevention 8. Capital Assets/Equipment Inventory: Safeguarding assets Status updates were provided for each item indicated as priority 1. Items 3-7 indicate that the task has been completed, while items 1, 2 and 8 all indicate some level of progress on the task. All other items on the list with ranks 2-4 have no status update. These include: 1. Vendor list/1099s: Fictitious vendors or conflicts of interest (rank 2) 2. Bursar: Misappropriations (rank 2) 3. Bond projects: Compliance with public contract code (rank 2) 4. Enrollment: Ghost students and non-payment of fees (rank 3) 5. SFA: Extraordinary audit issues – ghost students (rank 3) 6. Events: Conflicts of interest, misappropriation of cash and compliance with policies (rank 3) 7. ASB: Misappropriation and misuse of funds (rank 3) 8. Parking Fees: Misappropriations (rank 3) 9. Contracts: Kickbacks, compliance with laws (rank 3) 10. Grant Compliance: Compliance with laws and regulations (rank 3) 11. Student Matters-Grade Fixing: No specific description (rank 4) 12. Student Matters-Enrollment: No specific description (rank 4) 13. Student Matters-Financial Aid: No specific description (rank 4) ACCJC Standard III 35 2. Prior to being an employee of the Compton CCD, the director of accounting conducted a review of accounting activities related to the general fund payroll liability for the health and welfare fund, which is a Priority 1 item on the district’s list. The systems in place for manag- ing health and welfare benefit transactions were reviewed and a report dated January 8, 2013 was issued describing findings and recommendations. Weaknesses were identified noting inadequacies in the district’s processes for ensuring that liability accounts for health and wel- fare benefit accruals and payments are routinely reconciled. The district did not provide FCMAT with follow-up documentation demonstrating that these findings were presented to the Board of Trustees/special trustee or that actions were taken as a result of the findings and recommendations. Board agendas and minutes for the current re- view period do not indicate that the report was presented to the board. 3. The district is making some progress in taking action to identify weaknesses in the internal control structure. Follow through in the development of processes and procedures that miti- gate identified weaknesses is essential to completing this process, ultimately reducing the risk of loss to the district. Standard Implemented: Partially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 1 June 2009 Rating: 3 January 2010 Rating: 5 July 2010 Rating: 5 June 2012 Rating: 0 April 2013 Rating: 3 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 36 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 5.1 – Budget Development Process (Policy) Professional Standard: The budget development process requires a policy-oriented focus by the Governing Board to develop an expenditure plan that fulfills the college’s goals and objectives. The Governing Board focuses on expenditure standards and formulas that meet the college’s goals. The Governing Board avoids specific line-item focus, but directs staff to design an entire expenditure plan focusing on student and college needs. Progress on Implementing the Recommendations of the Recovery Plan: 1. On March 17, 2009, the Compton CCD adopted Board Policy 6200, Budget Preparation. This policy was revised on September 3, 2013 and provides district administration with direction on items to be included in budget development and includes that “[t]he annual budget shall support the District’s master and educational plans” and “[b]udget projections shall address long-term goals and commitments.” The policy further directs the CEO to establish the bud- get calendar and regulations necessary to carry out this policy. The Business Services – Budget Development, Monitoring and Maintenance Policies and Procedures manual delineates the process of developing the district’s budget and includes a section discussing overall goals and objectives of the process. The district is responsible to solicit input from the community regarding goals and direction and then the CEO, board of trustees, El Camino College (ECC) and Planning and Budget Committee develop directional guidance and planning assumptions for the next fiscal year in conjunction with the ECC’s comprehensive master plan. Departments then use the district-authored planning assumptions to develop their budgets. Although not included in the flowchart in the manual, the district has issued Guiding Principles for Planning and Budget, which were last updated on June 15, 2011. Review of the Final Budget for 2013-14 revealed that the Guiding Principles for Plan- ning & Budgeting were included in that document. The 2011-12 strategic initiatives of El Camino College and the guiding principles included in the 2013-14 Final Budget both speak to the ultimate goal of student success and learning as well as how the districts will seek to achieve those results. The Compton CCD’s goals included a principle to “create and support revenue generating opportunities,” while El Camino’s initiatives were silent on the subject. The Unrestricted General Fund Preliminary Budget for 2014-15 was not available for review at the time of FCMAT’s fieldwork, and FCMAT was unable to determine if it contained a list- ing of the goals/objectives used in preparing that document. The Board of Trustees goals for 2014 were approved on January 21, 2014; however, the agenda packet materials indicate that these are not goals of the district as a whole but goals for individual board members. The fol- lowing headings were included: I. Participate in community activities and events and bring observations to the board II. Participate in the operation of the district at board meetings III Participate in trustee education program IV. Support the current CCCD Facilities Master Plan V. Fiscal responsibilities ACCJC Standard III 37 VI. Support partnership with El Camino College VII. Support the Foundation for Compton Community College District VIII. Required board training Although interviews with district staff indicated that the 2013-14 budget was being de- veloped based on goals, objectives or guiding principles, the documentation provided to FCMAT did not demonstrate that the board was involved in an advisory capacity in budget development. 2. The budget calendar is outlined in Administrative Regulation 6201, providing a structure, process, and time line for budget development and adoption. The time line includes prelimi- nary budget planning and development as well as particular budget adoption phases. During the preliminary phases, the CEO, CBO, cabinet members, Planning and Budget Committee members, and departmental staff work to define and develop the assumptions and details of the tentative budget. The Board of Trustees/special trustee is presented with a proposed ten- tative budget and adopts the tentative budget in the budget adoption phase of the calendar. This regulation requires the final budget adoption to occur no later than September 15. The August 20, 2013 board meeting agenda and minutes included a Notice of Public Hearing – 2013-2014 Final Budget. The district’s Final Budget for 2013-14 was presented to the board on September 3, 2013, and the minutes of that meeting reflect that the regular meeting was adjourned for the public hearing as required by the California Code of Regulations Title 5, Section 58301. 3. AR 6201 states that the tentative budget is to be presented to the board and a public hearing scheduled between May 10 and June 30. The May 21, 2013 board meeting agenda and min- utes included a Notice of Public Hearing – 2013-14 Tentative Budget. The district’s Tentative Budget 2013-14 was presented to the Board of Trustees/special trustee at the regular board meeting on June 18, 2013. The minutes of that meeting show that the 2013-14 tentative bud- get was approved. The 2013-14 tentative budget available on the district’s website included the underlying budget assumptions and a summary of revenues and expenditures for each district fund; however, information on budgeted positions by fund was not included. As a best practice, the tentative budget should include these items to provide for consistency with the final budget. Due to the timing of FCMAT’s fieldwork, the complete tentative budget for 2014-15 was not available to determine if it included these items. The Final Budget 2013-14 included the budgeted positions by fund as well as additional information including but not limited to the budget summary, financial and budget policies, Planning and Budget Commit- tee, five-year capital construction plan, history of fees – enrollment, full-time faculty obliga- tion, list of memberships authorized for the 2013-14 year, FTES totals by division and five- year FTES trend and projections. However, the fund revenue and expense statements for the Associated Student Body Fund were missing. 38 ACCJC Standard III Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 4 January 2010 Rating: 7 July 2010 Rating: 8 June 2012 Rating: 3 April 2013 Rating: 5 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 39 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 5.3 – Budget Development Process (Policy) Professional Standard: Policies and regulations exist regarding budget development and monitoring. Progress on Implementing the Recommendations of the Recovery Plan: 1. Board policies, administrative regulations, and administrative procedures addressing budget development and monitoring roles and responsibilities have been issued and some have been revised. Of the six that have been authored by the district, one, BP 6200, was revised during this review period to reflect an upward revision of the district’s unrestricted general reserve to 5%. However, some revision may be necessary for remaining policies and regulations. For example, AR 6201 continues to assume that the governor will sign the state budget prior to September 15 but does not provide for alternative processes if the budget is signed later, e.g., the 2010-11 state budget, which was signed on October 8, 2010. 2. The district has developed and provided updates and revisions to a manual for business ser- vices policies and regulations with regard to budget development, monitoring, modification, and maintenance, and operation of the budget department. This manual reflects revisions as of February 1, 2014 and states it is to be reviewed and revised “in conjunction with the em- ployees of the Budget Department and others on campus (e.g. The Budget Planning Commit- tee) as appropriate but at least annually by February of each year.” The manual identifies the positions responsible for the budget, and the processes for the development, tracking, mainte- nance and modification of the budget are clearly described. Standard Implemented: Fully - Substantially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 0 June 2009 Rating: 6 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 8 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 40 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standards 5.4 and 5.6 – Budget Development Process (Policy) Professional Standard: Standard 5.4: The college has a clear process to analyze resources and allocations to ensure that they are aligned with strategic planning objectives and that the budget reflects college priorities. Standard 5.6: Categorical funds are an integral part of the budget process and have been integrated into the entire budget development. The revenues and expenditures for categorical programs are reviewed and evaluated in the same manner as unrestricted general fund revenues and expenditures. Categorical program development is integrated with the college’s goals and is used to respond to specific college student needs to support student learning outcomes. Progress on Implementing the Recommendations of the Recovery Plan: 1. The budget development planning process has been developed and is memorialized in the Business Services –Budget Development, Monitoring and Maintenance Policies and Pro- cedures manual. It has also been converted into a flow chart that identifies the process start- ing with community input, development of budget assumptions from the provost, Board of Trustees, El Camino College, Planning and Budget Committee, ECC Comprehensive Master Plan and the CEO’s overarching goals and objectives. Although not within the manual’s flow chart, Compton CCD authors guiding principles for planning and budget, which was last updated on June 15, 2011. Unit plans are then developed using the Plan Builder program and are submitted to the department deans for review and advisement. Once approved by the deans, the process continues to the Planning and Budget Committee, Consultative Council, the CEO, and finally the Board of Trustees/special trustee. This process allows for several re- views and evaluations to ensure alignment of funds to priorities. 2. Interviews with various deans and directors revealed that the Plan Builder program continues to be utilized, and assists with the development of plans for individual district departments. Plans from the prior review period indicated that the department is to state its mission and overarching outcomes; identify individual characteristics, performance and trends in the de- partment; evaluate strengths, weaknesses, opportunities and challenges; describe the strategic direction; and set goals and objectives. The goals and objectives component is to include resources, funding needed for implementation and supporting rationale. However, during this review period FCMAT was not provided copies of unit plans for review as requested. As a result, FCMAT is unable to determine if these components were present or to determine if the unit plans were made in conjunction with the El Camino College mission statement and stra- tegic initiatives to reflect that they are aligned with one another and focused on student learn- ing and success while being mindful of limited resources. 3. The Planning Process flow chart also indicates that the district utilizes the CEO’s overarching priorities as a basis for budget development. FCMAT was provided copies of these priorities for the 2013-14 planning cycle, however, without the unit plans as noted above and, there- fore, was unable to determine if these priorities were developed, documented, communicated and used in the budget development process. ACCJC Standard III 41 4. The optimal use of institutional resources, accompanied by documentation showing that re- sources are integrated through the shared governance process, are instrumental in successful fiscal resource management. The Compton CCD has established board policies, administra- tive regulations and written documentation that facilitate the development of an operating budget that allocates resources in alignment with district objectives. Based on the district’s list of resources and on interviews with those responsible for department/unit budgeting, the district receives very little categorical funding; however, a new restricted resource for Adult Education will begin its allocations in fiscal year 2015-16. Because there is only one campus, categorical funding received is more easily accounted for as opposed to being divided among multiple campuses. However, there was little indication that department staff understood how their funding allocations are determined, and they were unable to provide allocation formulas or documentation to FCMAT. Standard Implemented: Partially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 1 June 2009 Rating: 5 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 4 April 2013 Rating: 4 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 42 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 6.1 – Budget Development Process (Technical) Professional Standard: The Budget Office has a technical process to build the preliminary budget amounts that includes: the forecast of revenues, the verification and projection of expenditures, the identification of known car- ryovers and accruals and the inclusion of concluded expenditure plans. The process clearly identifies the sources and uses of funds. Reasonable FTES and COLA estimates are used when planning and budgeting. The same process is applied to all funds. Progress on Implementing the Recommendations of the Recovery Plan: 1. The process of budget planning, development and adoption has been formalized with the implementation of board policies, administrative regulations, administrative procedures and the recently revised Business Services – Budget Development, Monitoring and Maintenance Policies and Procedures manual. The manual was originally written several years ago, but re- view and revision are identifiable, with the last revision in February 2014. The district should continue to review this manual annually to ensure it is consistent with any future changes to the business office structure, operational procedures, and board policies, administrative regu- lations and administrative procedures. The business manual identifies the CBO as the budget analyst and as manager of the budget department, who “has personal responsibility for the processes and deliverables of the budget process.” The CBO position had experienced a great deal of instability in prior budget cycles, but this leadership position has since stabilized. The current CBO has been with the district since April 2012 and has led the development of the last two budgets without outside assis- tance. 2. The Final Budget 2013-14 contains a list of the assumptions utilized including those for FTES, COLA and faculty/non-faculty positions. The FTES increased 691 from the 2012-13 Final Budget. Additionally, the assumptions included nine faculty positions and four new non-faculty positions being filled, three mid-year faculty positions and two classified posi- tions, and the budget assumes a cost-of-living-adjustment (COLA) of 1.57%. 3. The Final Budget 2013-14 reflects the budgets of the general fund, general line of credit, cap- ital outlay fund, general obligation bond funds, workers’ compensation self-insurance fund, property and liability self-insurance fund, child development fund, and student financial aid fund. However, only the assumptions related to the general fund were provided in the Final Budget. It addition, budgets for the associated student body funds were omitted in the 2013- 14 Final Budget. To make further progress in this standard, the district should include budget assumptions for all funds. ACCJC Standard III 43 Standard Implemented: Partially April 2007 Rating: 0 January 2008 Rating: 1 July 2008 Rating: 1 June 2009 Rating: 5 January 2010 Rating: 6 July 2010 Rating: 6 June 2012 Rating: 3 April 2013 Rating: 4 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 44 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 7.5 – Budget Adoption, Reporting, and Audits Professional Standard: The quarterly fiscal status reports show an accurate projection of the ending fund balance. Material differences are presented to the Governing Board with detailed explanations. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district’s board agendas show that the quarterly financial status reports have been con- sistently presented to the board/special trustee as discussion/information items during this review period. However, the way in which the financial information is provided to the board has changed. The quarters ending March 31, 2013 and June 30, 2013 remained the same, where the unrestricted general fund budget and year-to-date actuals were included as colum- nar material in the board item. Language was included stating, “the following Quarterly Fi- nancial Status Report,” however, the board packets posted online did not contain the reports being filed with the state Chancellor’s Office. This changed with the reports prepared for the quarters ending September 30, 2013 and December 31, 2013. Rather than providing the columnar material as in the past, a link is provided to the forms being filed with the Chan- cellor’s Office. Both of these presentations present challenges. The former is confusing and unclear regarding what is being presented to the board and the latter assumes that individu- als have immediate access to the Internet as the board meeting is taking place. There was no indication that paper copies of the forms were made available to board meeting attendees to mitigate this issue. As with the prior review periods, none of the reports reviewed contained a written variance analysis to provide the board with detailed explanations regarding where differences occurred from one report to the next. The district should conduct analysis and identify and commu- nicate where variances occur between reporting periods. Additionally, materials prepared to communicate fiscal status to the board should be easy to understand and clearly communicate the essential details contained in the projections. 2. Analysis of the district’s unrestricted general fund ending fund balance, comparing the June 2013 quarterly financial status report to the October 2013 annual financial status report, re- vealed that the quarterly report projected an increase in revenue of approximately $500,000 over the amount included in the annual report for that year. Additionally, expenditures were increased approximately $1 million for the same period. Comparisons of the October 2013 annual report to the audited financial statements show that the auditors were required to re- state the governmental fund’s prior year beginning balance by $7,775,140 to account for the implementation of GASB 62, which includes interest costs as part of the historical acquisi- tion cost of certain assets. In addition, the auditors restated the general fund by ($475,686) primarily related to writing off uncollectable accounts receivable, excess accrual of liabilities to vendors and cancelation of stale dated checks, which the audit indicates were discovered and corrected by management. An audit restatement was also necessary to adjust the child development fund. ACCJC Standard III 45 3. The audited financial statements for the year ending June 30, 2013 mark the second consecu- tive year where no audit findings were identified as material weaknesses. The district’s annual independent audits had previously reported findings of material weakness in the financial sys- tem and Business Services Department related to inaccurate and duplicate journal entries, in- adequately trained personnel, and lack of reconciliation of asset and liability accounts. These material weaknesses increase the risk that the district’s internal controls will not prevent or detect a material misstatement of the financial statements. A review of the audit report for the year ending June 30, 2013 indicated that the district had reduced total findings from 13 in the 2011-12 fiscal year to six in 2012-13 and that there were no findings of material weaknesses. However, four findings were not resolved from the dis- trict’s prior year audit. Those related to the following: • District’s financial condition, which has appeared in the district’s audits since at least the fiscal year ending June 30, 2006 • Reconciliation between the PeopleSoft and Datatel systems, which is discussed below • Review and reconciliation of the district’s cash accounts • Review and reconciliation of the district’s payroll clearance fund While improvements and corrections offer increased assurance that the district can provide accurate financial reporting for use in budgeting, calculating carryovers and evaluation of expenditure plans, the continued findings related to lack of review and reconciliation of cash and payroll accounts are of concern. 4. The June 30, 2013 audit continues to report a finding related to the district’s use of both Datate l and PeopleSoft software. The district is required by El Camino CCD to use Datatel, and the Los Angeles County Office of Education (LACOE) requires the use of PeopleSoft as the financial system of record. This structure creates inefficiencies, delays the availability of financial infor- mation, and increases the possibility of human error in the reconciliation process. Under the leadership of the CBO, the director of accounting and the budget analyst had been assigned to reconcile accounts between the two systems. The district’s response to the June 30, 2013 audit report’s finding 2013-2 states that the two systems had been reconciled as of June 30, 2013 . Interviews with district administration indicated that, due to the difficulties encountered in the timing of uploads into Datatel and the costs associated with the time necessary to perform these reconciliations, district management has begun discussions about eliminating the use of the Datatel system and utilizing PeopleSoft for all accounting transactions. 5. To improve adherence to this standard, the district should regularly update current year bud- get projections and communicate variances and changes to the Board of Trustees in a manner that encourages involvement and discussion, and ensures understanding. 46 ACCJC Standard III Standard Implemented: Partially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 1 June 2009 Rating: 3 January 2010 Rating: 6 July 2010 Rating: 6 June 2012 Rating: 4 April 2013 Rating: 4 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 47 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 8.2 – Budget Monitoring Professional Standard: There are budget monitoring controls, such as periodic reports, to alert department and site manag- ers of the potential for over-expenditure of budgeted amounts. Revenue and expenditures are forecast and verified monthly. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has adopted and implemented policies, regulations and procedures on budget monitoring. 2. The Business Services manual has comprehensive budget development and monitoring guidelines, including a section that defines specific processes for budget tracking, mainte- nance and monitoring throughout the year. The manual identifies departmental employees responsible for budget such as deans, directors and others authorized to approve expendi- tures or modify the budget (departmental budget holders). Departmental budget holders are expected to review budget status reports at least monthly from the Datatel system and report any discrepancies to the CBO for review. Some departmental budget holders reported that they review their budgets more often. Interviews revealed that departmental budget holders have online access to and can request a hard copy of their budget reports from various staff in the Business Services Department. While departmental budget holders indicated they re- viewed their budgets for overexpenditures, the example Account Availability report provided to FCMAT included budget lines where expenditures had exceeded budget amounts. This oc- curred in the 4000-5999 object code series but has been noted in the past as being particularly prevalent in salary and benefits expenditures. District administrators and staff stated that the delay in payroll expenditure data being uploaded from PeopleSoft into Datatel greatly im- pacts the information available for budget review. The exclusion of expenditures for payroll due to upload delays distorts an analysis of budget availability. Additionally, the fact that ob- jects 4000-5999 show overspending indicates that not all departmental budget holders adhere to the district’s policy of monthly review. The manual states that the departmental budget holders “are individually responsible to ensure that they do not exceed their authorized bud- get expenditures.” While the district has developed and provided tools and reports for moni- toring budgets, not all those responsible for budget management are using those tools. Complicating the issue of budget monitoring are departments that do not use purchase o-r ders, which encumber the budget prior to placing orders.T he district provided FCMAT with a memorandum sent to managers regarding the issue, instructing them to obtain approved requis-i tions prior to placing orders. Memoranda sent to specific managers showed that approximately $280,000 in goods and services had been procured without purchase orders between Novembe r 25, 2013 and April 17, 2014. Failure to initiate purchases following procedures established by the district bypasses the step of encumbering the budget, potentially overspending amounts approved in the budget. Additionally, transactions processed by the district that bypass the established in- ternal control procedures for purchasing present an internal control weakness, and if selected fo r testing by the district’s auditors may result in an audit finding. 48 ACCJC Standard III 3. The Business Services manual states that twice each fiscal year managers are offered cam- pus-wide budget review by the CBO. This training did not occur in the 2013-14 fiscal year, although individual training/assistance was available when requested and both the CBO and director of accounting have open door policies allowing managers to access information at will. 4. Departmental budget holders are responsible for budget transfers, and the district has a Bud- get Transfer Request form. Budget transfers continue to require the rationale/justification for the transfer as well as supporting documentation, and the board/special trustee receives this information when budget transfers are presented for approval. Once signed by the requestor, they receive at least one additional approval/level of scrutiny before reaching the CBO or director of accounting for signature. An Account Availability report is to be attached to each budget transfer for the CBO to confirm available funding. The person entering the transfer in the financial system must also sign the budget transfer form, include the transfer number on the form, and print a budget journal entry detail or general ledger postings report to confirm the entry was made correctly. 5. The district’s accounting staff continues to meet with program directors/coordinators to re- view program revenues and expenditures. These reviews occur at different frequencies de- pending on the time of year, and assistance is available as needed. 6. The district uses two accounting systems, Datatel and PeopleSoft. Its partner, El Camino CCD, requires the use of Datatel, and LACOE requires the use of PeopleSoft. The district uses the Datatel system for budgeting and accounts payable, but the two systems do not au- tomatically reconcile and only PeopleSoft is audited by the district’s external auditors. While in the past this has resulted in audit findings that were considered material weaknesses, the audited financial statements for the years ending June 30, 2012 and 2013 did not raise the concern to that level as the district had begun reconciling the two systems for year end. Routine monthly reconciliations between systems are essential to ensure that data is accu- rately reflected in each system. However, due to the difficulties encountered in the timing of uploads into Datatel and the costs associated with the time necessary to perform the recon- ciliations, district management has begun discussions about eliminating the use of the Datatel system and using PeopleSoft for all accounting transactions. ACCJC Standard III 49 Standard Implemented: Partially April 2007 Rating: 0 January 2008 Rating: 3 July 2008 Rating: 3 June 2009 Rating: 4 January 2010 Rating: 6 July 2010 Rating: 7 June 2012 Rating: 5 April 2013 Rating: 5 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 50 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 8.5 – Budget Monitoring Professional Standard: The college uses an effective position control system that tracks personnel allocations and expen- ditures. The position control system effectively establishes checks and balances between personnel decisions and budgeted appropriations. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district has adopted, revised, and implemented regulations and procedures to appropri- ately control and track positions. The administrative regulations detail the requirements for obtaining approval to establish a new position or fill an existing position. The administrative procedures detail the steps and workflow necessary to process the requirements and com- municate the actions to the necessary departments. The process also incorporates a check and balance system that ensures compliance and review of position control actions. 2. Every new position requires position control processing that includes establishing the posi- tion and budget. The procedure includes the approved selection process and completion of the assignment authorization process. Interviews with district administrators and staff, as well as review of the district’s administrative procedures and regulations, reflect an appropri- ate separation of duties in establishing a new employee. The Human Resources Department inputs the demographic information for employees, which then drives the payroll functions. Human resources staff cannot access the payroll information screens and payroll staff cannot enter employee demographic information. Additional checks and balances in the administra- tive procedures and regulations ensure that budgeting considerations are incorporated with personnel decisions. 3. The district did not provide FCMAT with the HRS Departmental Position Control Allocation List requested that is necessary to determine if the district has made corrections to mitigate prior year review findings addressing the omission of amounts for substitutes and health and welfare payments for retirees. A reliable position control system establishes positions by department or program and helps prevent over- or under-budgeting by including all district- approved positions. In addition, a reliable position control system prevents a district from omitting from the budget routine annual expenses such as substitutes and estimated salary changes when employees move from one column to the next on the salary schedule. 4. The district uses two systems for position control, Datatel and PeopleSoft. Administrative Procedure 6252A calls for a budget technician to perform a weekly review of the differences between the two systems. Documentation of these reviews and reconciliation are to be main- tained for audit. Interviews indicated that this task has not been routinely performed since the manager of accounting’s departure in January 2012. Interviews with department administra- tion and staff revealed a problem with coding in the position control system that the district is working to correct. While the Business Services Department provides the coding for each position on the Personnel Assignment Request (PAR), there is a default account code at- tached to each position in the position control system. If the staff in the Human Resources Department does not double check the account code when entering information for the posi- ACCJC Standard III 51 tion, the system reverts to the default code causing payroll to post to the wrong account code and necessitating subsequent journal entries to correct. Human Resources should be held accountable to ensure that the account code assigned to the PAR used for position approval and/or modification is accurately modified in the position control system. The district may also consider providing access to the business office to modify and lock the account codes in the position control system. The Business Services Department is most familiar with account codes and is also responsible to fix any entries that are made in error. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 1 June 2009 Rating: 3 January 2010 Rating: 7 July 2010 Rating: 8 June 2012 Rating: 6 April 2013 Rating: 6 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 52 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 9.2 – Budget Communications Professional Standard: The college budget clearly identifies one-time sources and uses of funds. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district’s policies, regulations, and procedures continue to define the process of budget planning, development and monitoring. 2. The district continues to designate funds from the enrollment management and auxiliary ser- vices programs for use as one-time funds. These funds are tracked by the district using pro- gram codes 53 and 54, respectively, to identify expenditures that are one-time in nature. The district has established an application process for those who wish to utilize these funds. The department/unit requesting the funds submits its application, which is reviewed by a commit- tee that makes the funding decision. The decisions of the committee are final. 3. Budget and ledger reports can be queried by the program code to identify status and reconcile accounts. These reports showed that, during the 2013-14 fiscal year, $150,000 in funding was allocated to one-time expenditures for such items as student workers; non-instructional tem- porary workers; part-time counselors; non-instructional supplies; contract services; and travel and conference in the Counseling, Student Recruitment, and Student Services departments. The 2014-15 tentative budget assumptions presented at the April 15, 2014 board meeting state that $50,000 will be provided for “one-time planning allocations.” By using a specific code, the district effectively identifies one-time expenditures and ensures that these items are contained within the fiscal year. Standard Implemented: Fully - Sustained April 2007 Rating: 0 January 2008 Rating: 1 July 2008 Rating: 1 June 2009 Rating: 2 January 2010 Rating: 6 July 2010 Rating: 7 June 2012 Rating: 8 April 2013 Rating: 9 April 2014 Rating: 10 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 53 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 11.1 – Attendance Accounting Professional Standard: An accurate record of enrollment and attendance is maintained. Progress on Implementing the Recommendations of the Recovery Plan: 1. Compton CCD’s first (P1) Estimated Enrollment Fee Revenue report (CCFS-323) due on January 15, 2014 was submitted to the state on January 22, 2014. The total estimated fees at that time were $1,115,472. The second (P2) Estimated Enrollment Fee Revenue report due on April 15, 2014 was submitted to the state on May 12, 2014. The total estimated fees at that time were $927,236. This is a reduction in revenue of $188,236 over the time period January to April 2014. The CCFS-323 reflects “fees paid” of $578,554 and “receivables” of $536,918 (total $1,115,472) on P1, and “fees paid” of $190,617 and “receivables” of $736,619 (total $927,236) on P2. Revenue for enrollment fees charged pursuant to Education Code Sec- tions 76300 and 76140 includes fees paid and receivables recorded for courses beginning after the close of the 2013 spring term through the close of the 2014 spring term. Since this is a cumulative annualized fiscal report, the total “fees paid” is expected to increase over the time period January to April 2014. No rationale or revised reports were provided to FCMAT to indicate the district identified and corrected errors in the reports provided for review. The procedures for completing the CCFS-323 report should be reviewed and understood to ensure that reports are completed properly and the state is provided accurate information. 2. A review of the 2012-13 CCFS-320 Apportionment Attendance report, Annual Recalculation Period, showed a total of 6,000 full-time equivalent students (FTES). The report reflects 100 FTES over the district goal of 5,900 FTES. This report is prepared by the El Camino CCD academic affairs analyst and is reviewed and signed by the Compton CCD CEO. 3. There has been a substantial increase of students statewide wanting to enroll in the communi- ty college system because of the state’s poor economic condition, which has begun to slowly improve over the last few years. Compton CCD’s 2013-14 budget reflects a goal of 6,250 FTES, a substantial increase over the prior year’s goal of 5,900 FTES, which is consistent with this trend. 4. The district follows El Camino CCD’s student drop policy for nonpayment. Students must pay 100% of their fees within a specified period of time or they are automatically dropped from the class roster. In addition, the district has contracted with the Franchise Tax Board for the California Tax Offset Program. Under the terms of the agreement, unpaid student fees go- ing back a number of years are automatically withheld from state refund checks. 54 ACCJC Standard III Standard Implemented: Partially April 2007 Rating: 5 January 2008 Rating: 5 July 2008 Rating: 5 June 2009 Rating: 5 January 2010 Rating: 5 July 2010 Rating: 6 June 2012 Rating: 5 April 2013 Rating: 6 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 55 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 11.5 – Attendance Accounting Professional Standard: Procedures are in place to ensure that enrollment and attendance accounting and reporting require- ments are met for weekly student contact hours (WSCH), daily student contact hours (DSCH), credit, non-credit, high school concurrent enrollment, and positive attendance. Progress on Implementing the Recommendations of the Recovery Plan: 1. Compton CCD utilizes El Camino CCD’s student enrollment, registration and attendance pro- cesses, forms and systems. The CCFS-320 Apportionment Attendance reports are prepared by the El Camino academic affairs analyst, who was new to the position during this review period . The CCFS-323 Enrollment Fee Revenue reports are prepared by Compton CCD. 2. The 2012-13 Annual Financial and Budget Report, Form CCFS-311 Master Report, includes a cover page that is to be signed and dated by the CBO and the superintendent or CEO. Both the CBO and the CEO signed and dated this report on the due date, October 10, 2013. The 2012-13 third quarter 311-Q was certified one day late. The CBO and CEO signatures are not displayed on documentation provided to FCMAT. The 2012-13 311-Q for the fourth quarter was electronically certified by the due date of August 15, 2013, but documentation provided to FCMAT does not show signatures of the CBO or the CEO. The 2013-14 first quarter 311-Q was appropriately signed and submitted by the due date, November 15, 2013. The 2013-14 second quarter 311-Q, due by February 15, 2014, was signed by the CBO on February 18, 2014, and by the CEO on February 25, 2014. The report was electronically cer- tified on February 19, 2014. The district should ensure that state reports are executed prop- erly and filed timely. 3. The 2013-14 CCFS-323 reports submitted for P2 (due April 15, 2014) and P1 (due January 15, 2014) were appropriately signed by the CBO. Both reports were submitted late; the P2 report was submitted on May 12, 2014, and the P1 report was submitted on January 22, 2014. In the prior review period the P1 and P2 reports filed for 2012-13 included reasonable cumula- tive enrollments, with P1 revenue less than that reported on the P2. During the current review period, the P1 includes revenue greater than the amount reported at P2. Because this is a cumu- lative report the accuracy of the information reported is questionable. The CBO should review the accuracy of all reports prior to submission and ensure the accuracy of the information pro- vided. The district should ensure that state reports are executed properly and filed timely. 4. Compton CCD’s 2013-14 Final Budget indicates 6,250 budgeted FTES. Interviews with El Camino CCD staff indicated that Compton is using significant “borrowing” from summer FTES to meet its cap, which gives it maximum state funding in any single fiscal year. FTES from summer term can be used in either fiscal year. This is a standard business practice used by California community colleges. Caution should be used, however, as summer FTES may eventually be exhausted by use in the prior fiscal year if borrowing continues to occur for several successive fiscal years. 56 ACCJC Standard III Standard Implemented: Partially April 2007 Rating: 3 January 2008 Rating: 5 July 2008 Rating: 5 June 2009 Rating: 5 January 2010 Rating: 5 July 2010 Rating: 6 June 2012 Rating: 3 April 2013 Rating: 5 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 57 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 12.2 – Accounting, Purchasing and Warehousing Professional Standard: The college timely and accurately records all information regarding financial activity (unrestricted and restricted) for all programs. Generally Accepted Accounting Principles (GAAP) requires that for financial reporting to serve the needs of the users, it must be reliable and timely. Therefore, the timely and accurate recording of the underlying transactions (revenue and expenditures) is an essen- tial function of the college’s financial management. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district continues to demonstrate improvement in overall accounting and recording en- tries as evidenced through the removal of material weakness findings from the 2011-12 and 2012-13 annual audits. The district should continue its efforts by ensuring the director of ac- counting or CBO continue to review and approve all journal entries and other accounting cor- rections prior to posting to the financial system. Note 15 in the June 30, 2013 annual audit report states, “Additionally, the financial state- ments reflect corrections of accumulated accounting errors which were discovered and cor- rected by management.” This indicates the business office leadership’s technical understand- ing and application of GAAP. 2. Districts are required by the California Community Colleges Chancellor’s Office Budget and Accounting Manual (BAM) to properly classify expenditures using four-digit activity codes as described in the Taxonomy of Programs (TOPS) manual. The June 30, 2012 independent audit report finding 2012-3 indicates that for the 2011-12 fiscal year, many instances of in- correct TOPS coding were found and corrected for audit purposes, but not corrected in the district’s financial system. Misclassification of activity could directly affect the 50% law cal- culations. Prior year interviews indicated that staff training on the BAM had not yet occurred. This finding was not repeated in the 2012-13 independent audit report. Staff indicated that management made references to the BAM throughout the year but minimal training was pro- vided during this review period. The district should ensure that all applicable staff members receive training on the use of the BAM. 3. The 2012-13 audit report again included a noteworthy decrease in findings and recommenda- tions, many related to fundamental accounting issues. The number of findings decreased from 26 in 2010-11 to 13 in 2011-12 to six in 2012-13, demonstrating year over year improvement. 4. Several federal programs that include Financial Aid, Federal Work Study, Pell and Supple- mental Educational Opportunity Grant programs that benefit Compton CCD students are sub- ject to joint oversight by El Camino’s and Compton’s business offices. El Camino CCD has been collecting the entire indirect cost for co-administering these programs. Interviews with the CBO indicated Compton CCD has only one small federal grant, so indirect cost is insig- nificant at this time. 58 ACCJC Standard III 5. Individual departments have online access to print financial reports. Accounting staff meet with department chairs and directors to review budget issues at key intervals during the fiscal year and are available as needed to answer questions. 6. All staff were notified on January 20, 2014 of a March 28, 2014 unrestricted general fund purchasing cutoff. Staff did not possess the LACOE 2013-14 Year-End Closing Manual at the time of this review because it had not yet been published. The CBO indicated that staff will attend the LACOE year-end training for 2013-14, as they have done in past years. District staff used a documented checklist for the 2012-13 year-end closing. Closing documents are posted on the district’s intranet, which is accessible by all staff. 7. LACOE provides written procedures for monthly/annual closing processes, and the Business Services Department has continued developing written processes and procedures for indi- vidual tasks that are published and accessible on a shared network drive. Standard Implemented: Partially April 2007 Rating: 2 January 2008 Rating: 3 July 2008 Rating: 3 June 2009 Rating: 3 January 2010 Rating: 5 July 2010 Rating: 7 June 2012 Rating: 3 April 2013 Rating: 5 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 59 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 12.3 – Accounting, Purchasing and Warehousing Professional Standard: The college forecasts its revenues and expenditures and verifies those projections monthly to ad- equately manage its cash. In addition, the college reconciles its cash to bank statements and reports from the county treasurer monthly. Standard accounting practice dictates that, to ensure that all cash receipts are deposited timely and recorded properly; cash is reconciled to bank statements monthly. Progress on Implementing the Recommendations of the Recovery Plan: 1. The Business Services Department management staff oversees cash management for the district. The CBO reported that he reviews cash daily and updates the cash flow projection monthly to reflect prior month actuals. A 2013-14 cash flow projection was completed in Oc- tober 2013 and was then updated with a two-year cash flow. The district repaid $8 million in Tax Revenue Anticipation Notes (TRANs) borrowed in spring 2013, $4 million in October and $4 million in November 2013. Interviews with the CBO indicated an additional TRAN of $3.9 million was authorized in 2013-14 and the proceeds were received in spring 2014; he expects this should be the last TRAN the district will need in the foreseeable future. Howev- er, review of the two-year updated cash flow document indicated it may be necessary for the district to borrow $1 million in March 2015. 2. Although the strength and technical knowledge of the Business Services Department’s management team has increased with leadership possessing strong accounting and auditing backgrounds, review of a sample of revolving fund bank reconciliations indicate they are not completed in a timely manner. The July 2013 US Bank account 1888 reconciliation was prepared on October 25, 2013 and reviewed on March 25, 2014. For the months of August through December 2013, US Bank account 1888 reconciliations were prepared and reviewed on March 25, 2014. The district should ensure bank reconciliations are completed and re- viewed monthly to identify and resolve any issues timely and to maintain better cash man- agement and internal control. 3. Interviews with management and Bursar’s Office staff confirmed that all cash is collected at the Bursar’s Office and deposited into the clearing account. AR 6301 states, “The CCCD commercial clearing account balance is to be transferred to LACOE not less than weekly and more often whenever the balance reaches $90,000 in order to ensure the district is receiving interest on its unused funds.” The Bursar’s Office – Policies & Procedures mirror AR 6301. FCMAT requested but did not receive sample student fee deposit records for the current review period. A clearing account bank statement from February 2014 was provided. This statement displayed a beginning balance of $319,932 at February 3, 2014 and an ending bal- ance of $164,898 at February 28, 2014. After review of this statement, FCMAT did not find any transfers made to LACOE during February 2014. The district also provided a clearing account reconciliation for the month of January 2014. FCMAT reviewed this document and did not find any transfers to LACOE during January 2014T. he district should ensure that deposits are prepared timely and are made in accordance withA R 6301. 60 ACCJC Standard III Journal entries are prepared for collections, and a check is prepared for deposit to the County Treasurer’s Office. All deposits to the County Treasurer and related journal entries are re- viewed and signed by the CBO prior to deposit and posting to the district’s system of record (PeopleSoft). 4. AB 318 was approved by the governor in June 2006 and appropriated $30 million to the dis- trict as an emergency apportionment for cash flow purposes. This is considered to be a line of credit against advance apportionments, subject to repayment with interest. To date, the district has drawn down three installments totaling approximately $17.9 million. Annual pay- ments of $1,292,420 are due on June 1 of each fiscal year. The outstanding debt as of June 30, 2013 is estimated at $14.69 million. The district expressed no immediate plans to further access the line of credit. The district staff presented the 20-year debt service schedule, based on the total draws to date of $17.9 million, to the board on March 16, 2010. The CBO has included an annual debt ser- vice payment of $1,292,420 for the line of credit in the multiyear financial projection spread- sheet. Standard Implemented: Partially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 2 January 2010 Rating: 5 July 2010 Rating: 6 June 2012 Rating: 5 April 2013 Rating: 5 April 2014 Rating: 5 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 61 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 12.4 – Accounting, Purchasing and Warehousing Legal Standard: The college’s payroll procedures are in compliance with established requirements (Education Code Section 85241). Standard accounting practice dictates that the college implements procedures to ensure the timely and accurate processing of payroll. Progress on Implementing the Recommendations of the Recovery Plan: 1. The Payroll Department continues to demonstrate improvement in payroll processing. How- ever, interviews indicated that the department’s lack of consistent oversight and supervision continues. Interviews with staff also indicated that district management only occasionally reviews and approves payrolls submitted to LACOE, and that payroll staff review their own work and then rely on LACOE for the main check and balance of the submission. LACOE has the documentation that supports each employee’s pay rate, and reviews the submission with the documentation to ensure accuracy. Review and approval of all payroll reports by district management, prior to submission to the county office, is essential for proper internal controls and to protect district assets. 2. During the last review, staff and management shared that the Human Resources and Pay- roll departments’ staff met monthly to discuss board agenda items, LACOE issues, PERS/ STRS matters, and process improvement. These meetings are no longer held monthly; but rather each payroll staff member works through any issues with their counterpart in Human Resources. Routine meetings are essential to reduce payroll errors. Management and staff continue to report a decline in the number of payroll errors, and those that occur are corrected immediately. Payroll specialists also continue to regularly attend training events at LACOE. 3. Payroll staff continue to receive copies of new employee contracts, and interviews indicated that payroll staff routinely compare the information in all new employee contracts with infor- mation reported on timesheets to ensure that new employees are compensated appropriately and to further reduce payroll errors. 4. Payroll and benefits are processed through an interface between the HRS position control system and both Datatel and PeopleSoft financial reporting systems. Posting in two financial systems cr-e ates timing differences that must be reconciled when the district reports state-required financia l activities, budget and variance reports. This reconciliation process is performed manually; how- ever, the district is discussing the possibility of eliminating the use of Datatel for all accountin g transactions. Interviews with staff indicated that El Camino CCD has been slow to upload info-r mation from PeopleSoft into Datatel and that this causes timing differences. Sometimes month s go by before El Camino is able to upload information, making the reconciliation process difficul t. 5. Interviews indicated that the El Camino CCD vice president continues to include a position control number on all contracts. If the position control number is not on the contract, payroll staff verifies the position with the vice president directly prior to inputting payroll. 62 ACCJC Standard III 6. The budget analyst is responsible for reconciling position control to payroll and has request- ed assistance from LACOE to clean up position control. Interviews with the budget analyst indicated there could be multiple employees with the same control number, and there are in- stances where there are not separate numbers for each position. There is an inconsistency in completing reconciliations between position control and payroll records. In previous reviews, issues with the timing and posting of all payroll transactions had been addressed through a monthly reconciliation process between position control and payroll records. This requires the district to devote additional staff time to ensure timely reconciliations and accurate re- ports to the state. If the upload from Datatel does not happen timely, then the budget analyst inputs the information in PeopleSoft manually. A monthly HRS Position Control Discrepancy Report was requested but not provided to FCMAT. Although the CBO reported that the dis- trict is working on implementing a quarterly reconciliation process, the district should review and reconcile position control and payroll records monthly and resolve any discrepancies timely to improve maintenance of position control and further reduce payroll errors. 7. Department supervisors authorize overtime and compensatory time. Administrative Regula- tion 6311, Attendance and Time Reporting, describes the regulations to which the district must adhere. The district had developed a draft Payroll Department – Policies and Procedures document dated February 1, 2013. No updates to this draft were provided to FCMAT during this review period. Interviews with the CBO and staff indicated that these policies and pro- cedures are accessible to business office staff through the Business Services shared network drive. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 5 July 2008 Rating: 5 June 2009 Rating: 5 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 5 April 2013 Rating: 5 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 63 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 12.5 – Accounting, Purchasing and Warehousing Professional Standard: Standard accounting practice dictates that the accounting work is properly supervised and work reviewed to ensure that transactions are recorded timely and accurately, and allow the preparation of periodic financial statements. Progress on Implementing the Recommendations of the Recovery Plan: 1. The high turnover of management staff in the Business Services Department in past years resulted in an overall lack of oversight and guidance in accounting activities. Finding 2011-2 in the 2010-11 independent audit report and finding 2012-5 in the 2011-12 independent audit report also indicated a historical lack of continuity in the business office. After the 2011-12 audit report (dated December 7, 2012) was issued, the district hired an interim director of ac- counting, and has since hired the individual as a permanent employee. During this review period, interviews indicated that the business office is experiencing more consistency in business practices and oversight. Interviews with staff further identified con- tinued confidence in the district’s administrative team. Documentation provided to the review team also indicates ongoing improvement in management review and approval of work per- formed by business office staff, and staff reported that the CBO and the director of account- ing routinely request supporting documentation and/or clear explanation from staff regarding their work during the review process. 2. Staff members reported that quarterly financial statements are now developed, reviewed and approved by management before distribution. Audit findings contained in the 2010-11 and 2011-12 audit reports indicated that management review of reports prepared by staff, to ensure accuracy prior to submission, may not have al- ways occurred. This finding no longer exists in the 2012-13 audit report, indicating increased management oversight and review of this process. Each report prepared for submission to any agency must be reviewed by management to help ensure accuracy and confirm that all costs associated with the program are included. Staff reported that management continues to review all reports before they are distributed. FCMAT noted management approval on many of the documents provided during this review period, demonstrating ongoing improvement in this process. 3. The CBO and the director of accounting continue their efforts in developing and implement- ing operational processes and procedures for business office tasks, and several of these docu- ments were provided to FCMAT. Interviews with Business Services Department staff also confirmed continued management oversight of their work. 4. The district has established an administrative regulation that outlines the distribution of rev- enue associated with enterprise activities. AR 3601, Section XIX, states the following: 64 ACCJC Standard III To the extent that the bookstore, food services, and campus vending services generate a net profit, after deducting district expenses for maintenance and utilities, the funds may be deposited in the following auxiliary organization accounts: 50% of the net funds may be deposited in the Associated Student Body for Compton Community Col- lege District accounts; 25% of the net funds may be deposited in the Auxiliary Services fund to support student programs as designated by the Auxiliary Services committee and approved by the CEO; and the remaining 25% of the net funds may be deposited in the Foundation for the Compton Community College District accounts to be used for student scholarships (see AR 3602 Student Scholarships), the Academic Awards Tea and graduation related expenses. Proceeds received from student enterprise activities go directly to the Bursar’s Office and are deposited in the district accounts at the County Treasurer. In addition, the June 28, 2011 Master Agreement between the Compton CCD and Foundation for Compton CCD indicates that the foundation is a nonprofit organization existing pursuant to state laws and the Internal Revenue Code Section 501(c)(3). The master agreement indicates that funds may be dis- bursed to the Associated Student Body (ASB), Foundation and Auxiliary as described in the paragraph above. Based on review of account activity during this review period, no such dis- bursement to these funds had occurred for the 2013-14 fiscal year, as of the March 31, 2014 general ledger summary trial balance. Management should provide ongoing routine oversight of all accounting activities and ensure funds are properly and regularly disbursed. 5. All managers have been trained to print their department financial reports. The business of- fice distributes financial reports to each manager only when requested. Accounting staff is responsible for specific departments and charged with assisting those managers with budget issues or concerns. 6. The district has been successful in attracting, supporting and retaining highly qualified candi- dates for open Business Services Department positions, and has made and/or sustained prog- ress in the comprehensive financial standards during this review period. Two years ago the district filled the vacant CBO position. The CBO has been actively improving oversight in the business office, providing guidance and training to staff, and establishing improved busi- ness practices by developing and implementing operational processes and procedures for sev- eral operational areas in the department. These processes and procedures are easily accessible by business office staff on a Business Services shared network drive. During the last review period, the district hired an interim director of accounting and has since made this a perma- nent position. Maintaining these two key positions over the past couple of review periods has provided continuity in the Business Services Department. ACCJC Standard III 65 Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 4 January 2010 Rating: 5 July 2010 Rating: 6 June 2012 Rating: 3 April 2013 Rating: 5 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 66 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 12.7 – Accounting, Purchasing and Warehousing Professional Standard: Generally accepted accounting practices dictate that, to ensure accurate recording of transactions, the college have standard procedures for closing its books at fiscal year-end. The college’s year-end closing procedures should comply with the procedures and requirements established by the Chancel- lor’s Office. Progress on Implementing the Recommendations of the Recovery Plan: 1. Memos and procedures for purchasing and cutoff dates have been shared with district em- ployees. The district follows year-end closing procedures and schedules for PeopleSoft sys- tems established by LACOE. FCMAT reviewed the CCCD Accounting Training Manual, pre- pared by Vasquez & Co., LLC. This manual outlines the processes of the Business Services accounting department, and in many cases, identifies step-by-step procedures to perform tasks. However, this manual is not all-inclusive, and additional step-by-step desk procedures should be developed and added that explain the steps needed to complete all significant tasks. 2. Oversight has continued to improve with stability in the CBO position and the addition of the permanent director of accounting position. Although staff acknowledged that there is a clos- ing checklist posted on the Business Services internal shared drive, interviews indicated that Business Services Department staff members are still looking for more direction regarding their responsibilities in the 2013-14 year-end closing process. 3. The number of findings in the 2012-13 audit declined from the previous year, going from 13 findings in 2011-12 to six findings in 2012-13. The 2011-12 audit report included finding 2012-4 related to year-end closing and indicated there was insufficient management oversight and staff training to maintain timely reconciliations of activity throughout the year. The 2012- 13 audit report included two findings, 2013-3 and 2013-4, relating to timely reconciliation of cash and payroll clearing accounts, respectively. Documentation was provided during this review period to support ongoing reconciliations. However, as discussed in Standard 12.3, it is not evident that they are completed and reviewed timely. 4. The CBO and director of accounting should continue to provide strong guidance, oversight and supervision for the year-end closing and play an active role in the process, assisting staff when necessary. ACCJC Standard III 67 Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 0 June 2009 Rating: 2 January 2010 Rating: 4 July 2010 Rating: 7 June 2012 Rating: 3 April 2013 Rating: 5 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 68 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 12.9 – Accounting, Purchasing and Warehousing Professional Standard: The college has documented procedures for the receipt, expenditure and monitoring of all construc- tion-related activities. Included in the procedures are specific requirements for the approval and pay- ment of all construction-related expenditures. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district’s Measure CC general obligation bond financial statement findings for the years ending June 30, 2012 and 2013 identified no deficiencies or material weaknesses. The report included one finding in each fiscal year. The June 30, 2012 finding was for an instance of noncompliance related to Proposition 39 Article XIIIA, Section 1(b)(3)(C) of the California Constitution to form a Citizens’ Oversight Committee to review progress on the construc- tion projects. The committee only met twice during the fiscal year 2011-12, instead of the required three times. The June 30, 2013 finding cited an exception to Education Code Sections 15280 and 15282. Per Section 15280, the Citizens’ Bond Oversight Committee is required to issue regular re- ports on the results of its activities and make available the minutes of committee proceedings on the district’s website. The audit indicates that although eight meetings were held during the year, only four committee meetings were posted for public record. Also the district’s Citi- zens’ Bond Oversight Committee website did not reflect representation from two of the re- quired committee groups (business organization and enrolled student) required per Education Code Section 15282. FCMAT’s review of the website for the Bond Oversight Committee found that the commit- tee members listed were those who served on the committee for 2011-12. Published annual reports for Measure CC Bond results were also only listed for 2011-12. The district should update the website with 2012-13 and 2013-14 information, including committee members and audits. Additionally, agendas were listed for all bond committee meetings, but minutes were not available. The district should update the website with all available information related to the Bond Oversight Committee so that it is available for public review. 2. Interviews with staff and review of documentation, including the equipment purchase guide- lines, accounts payable department policies and procedures, purchase orders forA MG Associ- ates, Inc., and the independent performance audit report for the period ended June 30, 2013 , indicated improvement in the processes in place to address prior year issues of payment process sheets not being signed by Business Services Department staff, payments not being made time- ly, and approval of purchase orders not being obtained before construction start dates. ACCJC Standard III 69 Consistency in key management level positions has also contributed to improved oversight. The district has established accounts payable policy and procedures for capital and bond ex- penditures that specifically require all capital and bond expenditures to be reviewed and ap- proved by the CBO and/or designated individuals, which were substantiated through review of documentation provided by the district; and further require specific payment processing forms that identify invoices as Measure CC and State Capital Outlay Projects. The district has evaluated staff for training needs, continues to establish written procedures for the Busi- ness Services Department, and is working to ensure that adequate supervision is provided. Written processes and procedures are published and available to staff on the Business Ser- vices Department’s internal shared drive. 3. The Allied Health Building project was properly documented from Prequalification Notice, to project bid notification, to board/special trustee approval for publication of bid notification and bid results, notice of intent to award, and notice to proceed. Bid and award notification documents were provided to FCMAT for review, and indicate compliance with the district’s construction purchasing guidelines. The Utilities Phase I stadium lighting and central plant project that was under way and evident throughout the campus during FCMAT’s fieldwork last year, had been substantially completed as of this review. Standard Implemented: Partially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 4 January 2010 Rating: 6 July 2010 Rating: 7 June 2012 Rating: 4 April 2013 Rating: 6 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 70 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 13.1 – Student Body Funds Professional Standard: The Governing Board adopts policies and procedures to ensure compliance regarding how student body organizations deposit, invest, spend, raise and audit student body funds. Progress on Implementing the Recommendations of the Recovery Plan: 1. The business office is responsible for oversight of elements of internal control, and has devel- oped an Associated Student Body Finance Code and Procedures Manual to provide written guidance on various operational procedures and best practices. The following sections are included in the manual along with sample forms for reference: a. ASB monies are fully segregated in commercial bank accounts in accordance with FDIC rules and regulations. b. Bank reconciliations are performed timely by an accountant and approved by the account- ing manager. c. Staff separation of duties is maintained. d. Check stock is controlled and in a secure location. e. All checks require dual signatures for processing. f. Disbursements require authorized and approved purchase requisitions and/or resolutions. g. Disbursements cannot be made in advance of the delivery of goods or services. h. Use of credit cards, revolving funds or any other form of district funds is not permitted. i. The ASB budget must be approved by the council. j. Adequate funding must exist prior to disbursement of payment. k. All revenues must be recorded in the bursar’s office. l. Making or receiving loans is prohibited. m. The director of student life authorizes Datatel reports on transactional detail by request. 2. Although the district has established procedures that require that all journal entries, financial statements and bank reconciliations are completed with management’s oversight, inconsisten- cies in practice were identified during this review period. Bank reconciliations are prepared for each statement, but they are not always prepared timely. Some of the reconciliations pro- vided to FCMAT were not dated, so the timeliness of completion could not be determined. Additionally, reconciliations reviewed for ASB Scholarship, Clubs and General Fund ac- counts identified that many were not performed timely. July and August 2013 reconciliations were not date stamped until October 2013; November and December 2013 and January 2014 reconciliations were not date stamped until March 2014. Some reconciliations did not have management review indicated on the forms provided to FCMAT. Management should ensure staff complete bank reconciliations within 30 days of receipt to facilitate early identification of errors or questions and better cash management. Management should also review and sign off on all bank reconciliations. 3. As previously discussed in Standard 12.5, the district has established AR 3601, which out- lines the distribution of revenue associated with enterprise activities. Interviews and AR 3601 indicate that a percentage of bookstore, vending and cafeteria commission is to be provided ACCJC Standard III 71 to and recorded in the ASB account. Previously, the commissions were being forwarded to the Foundation for Compton CCD, and the foundation was responsible to issue payment to the ASB. This practice was discontinued during the last review period and the funds were deposited at the Bursar’s Office. Funds are to be remitted quarterly to the ASB. However, no commission revenues were posted for 2013-14 as of the March 31, 2014 ASB summary trial balance. This procedure also was not followed in the prior review period. This indicates a lack of control over the activities, oversight and enforcement of ASB accounts. The district should transfer commission revenues to the ASB account quarterly, and ensure adequate oversight and enforcement of AR 3601. Standard Implemented: Partially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 4 June 2009 Rating: 5 January 2010 Rating: 7 July 2010 Rating: 9 June 2012 Rating: 5 April 2013 Rating: 5 April 2014 Rating: 5 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 72 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 13.4 – Student Body Funds Professional Standard: Monitoring is performed by the Business Services Office to provide adequate oversight of student funds and to ensure proper handling and reporting. Progress on Implementing the Recommendations of the Recovery Plan: 1. The business office has developed a comprehensive Associated Student Body Finance Code and Procedures Manual for ASB staff. The manual includes detailed sections for each ac- counting area, forms and examples for the ASB accountant. 2. Interviews with staff and management indicate quarterly financial statements and a general ledger summary trial balance are completed and are reviewed by management; however, the ASB financial statements requested by the review team were not provided. Journal entries and bank reconciliations are completed and reviewed by management, but documentation provided to FCMAT indicates that these reconciliations are not always performed timely, as discussed in Standard 13.1. In the prior review period, interviews and documentation indicated that a formal set of finan- cial statements including a balance sheet, profit and loss statement and other required reports are distributed to the director of student life, dean of student services and the business office, after management review. As previously stated, no ASB financial statements were provided to FCMAT during the current review period, so this process could not be verified. 3. At the time of FCMAT’s fieldwork, transactions for expenditures and revenues were posted on the Datatel financial system twice monthly. Disbursement requests required four signa- tures and checks required two signatures. 4. Interviews with staff demonstrated a clear understanding regarding the agreements associated with fundraising activities and the distribution of proceeds between the ASB and foundation. Interviews with staff and management indicated that most of the policies and procedures in the ASB procedures manual have been implemented and are followed. However, as discussed in Standard 13.1, commission revenues are not submitted to the ASB timely and bank recon- ciliations are not consistently completed timely. ACCJC Standard III 73 Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 6 January 2010 Rating: 8 July 2010 Rating: 9 June 2012 Rating: 5 April 2013 Rating: 5 April 2014 Rating: 5 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 74 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 14.2 – Multiyear Financial Projections Professional Standard: The college annually provides a multiyear revenue and expenditure projection for all funds of the college. Projected fund balance reserves are disclosed. The assumptions for revenues and expendi- tures are reasonable and supportable. Progress on Implementing the Recommendations of the Recovery Plan: 1. The CBO has developed a spreadsheet containing a five-year model for unrestricted general fund multiyear projections. These projections allow the district to analyze the effects of as- sumptions over multiple years for changes in FTES, revenue and expenditures. This informa- tion also gives management time to make necessary budgetary adjustments to ensure that the district maintains an adequate fund balance and fiscal solvency. The spreadsheet has been posted on the district’s website; however, the online version continues to be dated August 29, 2012 and should be updated as necessary to parallel the April 7, 2014 version being used by the district. The need for budgetary information for multiple years was also recognized by the district’s auditors and formalized in finding 2012-1 from the audited financial statements for 2011-12. While the preparation of a multiyear financial projection (MYFP) is something that the dis- trict has traditionally completed only for the unrestricted general fund, the foundation of this standard is for the projection to be completed for all funds and incorporating the entire fund, not just unrestricted resources. The district has not demonstrated that it prepares multiyear financial projections for the child development, bond interest and redemption, capital outlay projects and revenue bond construction funds, nor does it include the restricted general fund in the MYFP it does prepare. Preparing MYFPs for all funds, and including the restricted resources separately in the general fund, allows the district to determine if financial assump- tions associated with other resources and funds will impact the unrestricted general fund. The multiyear assessment of all funds and resources creates a complete picture of the district’s financial position for the current and subsequent years. 2. Compton CCD began preparing budget assumption details in March 2014 for use in a mul- tiyear financial projection for the unrestricted general fund for the 2012-13 through 2017-18 fiscal years. At the time of FCMAT’s fieldwork, the assumptions had not yet been reviewed by the Planning and Budget Committee, Compton and El Camino CCD senior management group, Compton Consultative Council or Compton’s Board of Trustees. 3. In reviewing the assumptions used in the spreadsheet, FCMAT noted the following items: • The funded COLA for 2015-16, 2016-17 and 2017-18 was budgeted at 1% while School Services of California’s dartboard estimated funded COLAs of 2.2%, 2.4% and 2.4%, respectively. • The district estimates growth in funded FTES for each year in the projection; however, as depicted in the following chart, the district has experienced a decrease in FTES in two of the past three fiscal years with the current year only expected to have a 1% increase. ACCJC Standard III 75 Rather than assuming growth in the 2-3% range that may not occur, taking a conservative approach and using a 0% growth factor may be more prudent. FTES History 7,000 6,000 F 5,000 T E 4,000 S 3,000 2,000 06/07 07/08 08/09 09/10 10/11 11/12 12/13 13/14 Fiscal Year • While the employer’s portion of CalSTRS rates at the time the projection was prepared was 8.25%, concern over how much those rates would increase was already being raised. At the time of writing this report, estimates indicate that those rates will increase to 9.5%, 11.1%, 12.7% and 14.3% for fiscal years 2014-15, 2015-16, 2016-17 and 2017-18, respectively. These increased rates would then produce additional costs to the district of approximately $160,000, $385,000, $620,000 and $880,000, respectively, in those same fiscal years. • Assumptions used for estimating lottery funds were not evident in multiyear projection assumptions. Multiyear assumptions should be considered and communicated for all ongoing revenue sources. • The district elected to receive mandated costs funding for 2013-14 using the Mandated Cost Block Grant funding election, which is established at $28 per FTES for the 2013- 14 fiscal year. Multiyear assumptions pertaining to this funding source were not evident in the documentation provided and using the $28 per FTES did not result in the same amounts shown in state revenues. Multiyear assumptions should be considered and com- municated for all ongoing revenue sources. • Assumptions regarding enrollment fee and nonresident fee revenue were missing. • Many assumptions were conservative to avoid overestimating revenues, such as assuming no revenue from redevelopment agency (RDA) funding sources for years beyond 2012- 13 and no local revenue for years beyond 2013-14, resulting in a significant reduction of projected local revenue between fiscal year 2012-13 and 2013-14. • No increases in expenditures for the following were noted during the period from 2013- 14 to 2017-18 while the consumer price index (CPI) for this same period is anticipated to be a minimum of 2.0% per year: • Instructional supplies • Noninstructional supplies • Noninstructional repair parts • Gasoline • Food/food supplies 76 ACCJC Standard III • Travel, conference and training • Dues and memberships • Contracts, rentals and repairs • The budget for expenditures associated with utilities and housekeeping services was increased by 19.7% between the 2012-13 fiscal year and 2013-14, and then assumes a 2% increase each year thereafter. No detail is provided to identify the specific rationale for the 19.7% increase in the 2013-14 fiscal year. Given that the district was informed that Southern California Edison (SCE) would increase its rates by 15% effective January 1, 2014, and given the full operating costs associated with the now operational Student Suc- cess Center (SSC) and new central plant, an initial increase of 19.7% followed by a 2% year over year increase may be too modest. The district should ensure that its expenditure calculations in this area account for both the increased energy demands resulting from the completion of recent projects and the known increases reported by SCE. The spreadsheet tracks the ending fund balance, designated fund balance, projected contin- gency and ending balance reserve, and surplus/(deficit) in annual spending. While the online version of the spreadsheet does not show this, the version that the CBO uses also tracks the 50% law projection both in terms of the percentage of the cost of education and the dollar amount of additional instructional expenditures needed to meet the 50% threshold. At the time of the fieldwork for FCMAT’s last review, the district anticipated it would meet the 50% law in the 2012-13 year. However, after the books had been closed, it was determined that the district had a deficiency of $499,132. To ensure compliance for 2013-14, the district has implemented several changes including a reduction in noninstructional expenditures, an increase in the number of faculty hired and a change in the activity codes used for its police services contract. The district provided notice to the state Chancellor’s Office of these chang- es on March 25, 2014. Standard Implemented: Partially April 2007 Rating: 0 January 2008 Rating: 0 July 2008 Rating: 0 June 2009 Rating: 1 January 2010 Rating: 5 July 2010 Rating: 7 June 2012 Rating: 2 April 2013 Rating: 4 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 77 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 15.1 – Long-Term Debt Obligations Professional Standard: The college complies with public disclosure laws of fiscal obligations related to health and welfare benefits for retirees, self-insured workers’ compensation, and collective bargaining agreements. Progress on Implementing the Recommendations of the Recovery Plan: 1. Compton CCD contracted with Bay Actuarial Consultants for an actuarial study of its self- insured workers’ compensation program. The liability has been determined and remains un- funded according to the May 6, 2013 study. The current liability of the unpaid losses reported on the annual financial audit is $2,948,006 and reflects an estimated liability of $2,687,816 using an assumed 1.25% interest rate. The district’s independent annual audit report for the year ending June 30, 2013 reports the liability balance in Note 12 at $2,687,816. The liability balance is then combined with amounts reported in Note 10 for the year end balances less amounts due in one year for the early retirement incentive, bond premium and other pos- temployment benefits to be reported as the noncurrent portion of other long-term obligations of $10,931,865 on the Statement of Net Position. However, Note 12 to the audited financial statements reports the actuarial study using a 3% discount level, rather than the 1.25% dis- count level noted in the actuarial report. 2. The Governmental Accounting Standards Board (GASB) issued Accounting Standards 43 and 45 for other postemployment benefits (OPEB) in 2004. Prudent fiscal management of postemployment benefit costs requires the establishment of a long-term plan to prefund these benefits on an actuarial basis. The plan for postemployment health care benefits is in accor- dance with various bargaining unit agreements. The district contributes on a pay-as-you-go basis for postemployment health care benefits, and the June 30, 2013 audit report states that there is a Compton Community College Plan for healthcare. In accordance with GASB Statement No. 45, the district reported the follow- ing obligation in Note 11 to the audited financial statements for the year ended June 30, 2013: Net OPEB obligation, beginning of year $3,939,311 Annual Required Contribution 1,517,534 Interest on net OPEB obligation 236,359 Adjustment to annual required contribution (23,321) Contributions (799,075) Net Unfunded OPEB Obligation $4,870,808 According to the latest actuarial report by Total Compensation Systems, Inc., the total pay-as- you-go plan annual estimates are expected to increase by 9.3% in 2014-15, 11.7% in 2015-16 and 9.5% in 2016-17. The Total Compensation report notes that the district has established a GASB 45 trust for future OPEB benefits. Documents provided by the district show that the board/special trustee adopted Resolution No. 05-21-2013 on May 21, 2013, establishing the Futuris Public Entity Investment Trust Program through Keenan & Associates. Deposits of $200,000 and $250,000 were made into the district’s account at Benefit Trust Company on July 17, 2013 and March 31, 2014, respectively. The district’s unrestricted general fund 78 ACCJC Standard III preliminary 2014-15 budget was not available at the time of FCMAT’s fieldwork to provide information regarding the district’s plan for an OPEB trust contribution for the 2014-15 fiscal year, and the budget assumptions presented to the board on April 15, 2014 did not reflect an OPEB trust contribution. However, the draft five-year budget projection assumptions (2013- 14 through 2017-18) do show a $250,000 transfer each year for fiscal years 2013-14 through 2017-18. Instead of lump sum contributions, the district should consider using a percentage of its salary expense for the contribution to help solidify the concept that the retiree benefit costs are a component of compensation. This concept is closely tied to the definition of “nor- mal cost” as expressed in the district’s actuarial report. 3. Initial collective bargaining proposals and public hearings for the district and its classified bargaining unit for 2013-14 were reflected in board agendas and minutes during the 2012-13 and 2013-14 fiscal years. However, no initial collective bargaining proposals of the district or its faculty collective bargaining unit were reflected in board agendas and minutes during this reporting period. Collective bargaining agreements do not provide a deadline for either par- ty’s reopening of articles for the following year’s negotiations. Although interviews with dis- trict staff and officers of the district’s classified bargaining unit indicated that negotiations for the 2012-13 and 2013-14 fiscal years have been completed, interviews with the district staff and faculty union president reflect that negotiations with the faculty bargaining unit have not yet concluded for the 2012-13 fiscal year and no activity was evident for 2013-14. A tentative agreement with the district’s classified unit was approved at the December 17, 2013 meeting, which concluded the district’s negotiations with this unit for the 2013-14 fiscal year. The district’s board agendas and minutes include two Memoranda of Understanding (MOU) regarding the establishment of an IRC Section 125 Flexible Benefits Plan, one with each em- ployee bargaining unit, which were approved by the board/special trustee at the December 17, 2013 meeting. Standard Implemented: Fully - Substantially April 2007 Rating: 0 January 2008 Rating: 5 July 2008 Rating: 5 June 2009 Rating: 5 January 2010 Rating: 6 July 2010 Rating: 7 June 2012 Rating: 8 April 2013 Rating: 8 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 79 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 16.1 – Impact of Collective Bargaining Professional Standard: The college has developed parameters and guidelines for collective bargaining that ensure that the collective bargaining agreement is not an impediment to efficiency of college operations. At least annually, collective bargaining agreements are analyzed by management to identify those charac- teristics that are impediments to effective delivery of college operations. The college identifies those issues for consideration by the Governing Board. The Governing Board, in the development of its guidelines for collective bargaining, considers the impact on college operations of current collective bargaining language, and proposes amendments to contract language as appropriate to ensure effec- tive and efficient college delivery. Governing Board parameters are provided in a confidential envi- ronment, reflective of the obligations of a closed executive board session. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district and certificated bargaining unit continue to negotiate the 2012-13 contract re- openers as of FCMAT’s fieldwork for this review period. Proposals for this bargaining unit for 2013-14 had not been sunshined; however, the district had completed two MOUs regard- ing the establishment of an IRC Section 125 Flexible Benefits Plan, one with each unit, which were approved by the board/special trustee at the December 17, 2013 meeting. 2. The district completed negotiations with its classified bargaining unit for the 2012-13 fiscal year, and proposals for the 2013-14 fiscal year were sunshined. Public hearings on those pro- posals were also held. A tentative agreement with the district’s classified unit was approved at the December 17, 2013 meeting, which concluded the district’s negotiations with this unit for the 2013-14 fiscal year. 3. The district’s quarterly financial status reports for this review period reflect that the district had settled employee contracts during the quarter ending December 31, 2013. The Form CCFS – 311Qs require an analysis of the increased cost to salaries and benefits as well as an explanation of how these items are to be financed; however, they do not expand to reflect the impact on the entire fund or on the ending fund balance. Review of the Form CCFS – 311Q for the quarter ending December 31, 2013 reflected that a settlement had occurred, the amount associated with the settlement and that it would be funded by COLA. However; the CCFS - 311Qs responses are very generalized and do not specify what bargaining unit they refer to, which may imply that negotiations had been settled districtwide for that period in time. Given that the status of negotiations varies for each unit, the district should provide greater detail in completing these forms to ensure the responses are not misconstrued. The district prepares multiyear projections of the unrestricted general fund outside the Form CCFS – 311Q; however, it is an annual process conducted in conjunction with the collective bargaining process. Interviews indicated that the CBO has not been placed on the district’s faculty bargaining team as of the time of FCMAT’s fieldwork. The inclusion of the CBO dur- ing all collective bargaining sessions helps eliminate a risk that the financial impact of an agreed upon decision may not have been considered prior to committing to that decision. 80 ACCJC Standard III 4. Interviews with district personnel and the documentation provided did not indicate that an in- depth review of collective bargaining agreements was performed during this review period. Additionally, the elected board serves in an advisory capacity; therefore, members are not present in closed session board meetings and do not provide their input on these matters until tentative agreements are presented in open session. Standard Implemented: Fully - Substantially April 2007 Rating: 8 January 2008 Rating: 8 July 2008 Rating: 8 June 2009 Rating: 8 January 2010 Rating: 8 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 8 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 81 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 18.1 – Maintenance and Operations Fiscal Controls Professional Standard: The college has a comprehensive risk management program that monitors the various aspects of risk management including workers’ compensation, property and liability insurance, and maintains the financial well-being of the college. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district contracts with the StatewideA ssociation of Community Colleges Joint PowersA uthority (SWACC) for the property and liability insurance coverage administered by Keenan &A ssociates. 2. The district is self-insured for the first $500,000 of each workers’ compensation claim, and participates in the Schools Alliance for Workers’ Compensation Excess II Joint Powers Au- thority to provide excess workers’ compensation coverage. Claims liability is based on the ultimate cost of reported claims including future claim adjust- ment expense and an estimate for claims incurred but not reported based on historical experi- ence. The Bay Actuarial Consultants’ report provides the basis of liability that is reflected in the annual financial report. The projected liability for unpaid losses is reported in the Statement of Net Position. The dis- counted value at 3% on June 30, 2013 is $2,687,816 (calculated on the expected confidence level discounted at 3%), and assets available to pay claims total $2,319,142. 3. The district maintains an employee safety program and has two safety committees as dis- cussed in Standard 1.24 of the Physical Resources section of this report. Standard Implemented: Fully - Substantially April 2007 Rating: 4 January 2008 Rating: 5 July 2008 Rating: 6 June 2009 Rating: 6 January 2010 Rating: 6 July 2010 Rating: 6 June 2012 Rating: 8 April 2013 Rating: 9 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 82 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 18.2 – Maintenance and Operations Fiscal Controls Professional Standard: The college has a work order system that tracks all maintenance requests, the worker assigned, dates of completion, labor time spent and the cost of materials. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district continues its use of the web-based work order tracking system, SchoolDude. The SchoolDude system is shared with the El Camino CCD as this was deemed to be more cost effective. The system allows the Maintenance and Operations Department to document, ac- cess and track maintenance requests and includes detailed information associated with each request such as description, location, status, time taken to complete the work, cost of materi- als associated with the repair, and budget codes. The system allows users to prioritize work orders, provide a status update, assign the craftsperson, and enter start/end dates and a full description of the work to be performed. The system is not being utilized to its full potential. It is used to manage basic staff assignments by trade. During FCMAT’s last review, the now permanent director of facilities planning and operations indicated that the district would ben- efit from maintaining its own licensed version of the software to maximize use of the system; however, this need continues during the current review cycle. Additional modules, not cur- rently available on the El Camino CCD system, are necessary to achieve this goal. 2. FCMAT observed signs throughout the campus providing information on how to report main- tenance issues, and the signs include a call line for reporting. Calls from this number continue to go directly to the director of facilities planning and operations who assesses the details of the request and then forwards the information to a staff member in the Maintenance and Operations Department. The staff member enters the work order in the SchoolDude system or sends an email with the details of the request to the department supervisors. Greater ef- ficiency could be attained if the requests were initiated by the requesting party directly in the SchoolDude system. Progress in fully utilizing this system continues to be limited. 3. No documentation indicating that staff have received training on the work order system was provided during this review period. ACCJC Standard III 83 Standard Implemented: Fully - Substantially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 3 June 2009 Rating: 5 January 2010 Rating: 5 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 84 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 18.3 – Maintenance and Operations Fiscal Controls Professional Standard: The college controls the use of facilities and charges fees for usage in accordance with college policy. Progress on Implementing the Recommendations of the Recovery Plan: 1. The district continues the process adopted for facilities usage policy that includes all admin- istrative rules, regulations and procedures including Education Code Section 82537 regarding the use of civic centers. Administrative Regulation 6701, Civic Center and Other Facilities Use, addresses the following: • Categories of facility use for official district use versus civic center permits • The guidelines of use under the civic center permit section • Limitations on use • Denial of civic center permits • Identification of type of user • Direct Charge category • Fair Rental category • Rental fees and cost recovery • Equipment for use in conjunction with facilities rental • Services such as custodial or security • Insurance requirements • Events involving food • Promotional and advertising materials • Other requirements 2. Staff reported that they are confident about the process for managing facility use agreements, and that the coordination of staff assignments as they relate to executed agreements has con- tinued to improve because the task is assigned to the Maintenance and Operations Depart- ment supervisors. The supervisors assign the work on a rotation schedule to ensure a balance in assigned overtime. There had reportedly been no tracking in the past, but a master calendar for the year has been established that tracks all events and assignments. FCMAT was not provided supporting documentation requested to verify that procedures as established were properly followed during this review period. ACCJC Standard III 85 Standard Implemented: Fully - Substantially April 2007 Rating: 5 January 2008 Rating: 5 July 2008 Rating: 4 June 2009 Rating: 5 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 9 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 86 ACCJC Standard III ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 18.4 – Maintenance and Operations Fiscal Controls Professional Standard: The Maintenance Department follows standard college purchasing protocols. Open purchase orders may be used if controlled by limiting the employees authorized to make the purchase and the amount. Progress on Implementing the Recommendations of the Recovery Plan: 1. Procedures for purchase requisitions and purchase orders have been established and implemented by the district as best practices to improve purchasing controls and reduce incidents of unautho-r ized purchases. The district does not maintain a warehouse to stock large quantities of supplies b-e cause of space limitations. Rather, the Maintenance and Operations Department relies on routin e orders as needed from custodial supply vendors.T he district continues to use blanket purchase or- ders (POs) for restocking supplies, making this process relatively simple. Blanket POs are create d in Datatel annually for routine operational purchasing.T hey are established for the entire fiscal year and list the names of staff members who are permitted to place orders and/or authorize pa-y ment. The system allows blanket POs to be established and adjusted as necessary through a pu-r chase order change request. The changes are made by purchasing staff and documented in Datatel , forwarded to accounts payable to assist with the payment process, and the vendor is notified. PO s cannot be increased if unencumbered balances are insufficient in the account line . 2. Requisitions are submitted electronically, required authorizations are obtained, and then the requisition is forwarded to the purchasing technician. The technician reviews the account numbers on the purchase requisition. Once the requisition is received and reviewed by the Purchasing Department, a PO number is assigned. The purchasing technician verifies that the information provided on vendor quotes is reflected correctly on the PO and includes ap- propriate pricing, tax, shipping, etc., and tries to mitigate any issues that may delay payment processing by accounts payable. Once complete, the director of fiscal affairs signs all POs. 3. Contracts and purchase orders are placed on the board agenda for approval. Standard Implemented: Fully - Substantially April 2007 Rating: 5 January 2008 Rating: 5 July 2008 Rating: 4 June 2009 Rating: 4 January 2010 Rating: 7 July 2010 Rating: 6 June 2012 Rating: 7 April 2013 Rating: 8 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 87 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 18.5 – Maintenance and Operations Fiscal Controls Professional Standard: Materials and equipment/tools inventory are safeguarded from loss through appropriate physical and accounting controls. Progress on Implementing the Recommendations of the Recovery Plan: 1. The Maintenance and Operations Department continues to experience some facilities dis- placement as a result of the ongoing infrastructure modernization project. Interviews with staff indicated that the department’s struggle to maintain control of equipment due to the displacement from former secured locations has also continued. Although the department was able to reacquire the yard, ongoing access to contractors has resulted in some occasional theft issues as gates are left open leaving assets vulnerable to theft. The district should ensure secured locations for supplies, tools and equipment to properly safeguard district assets from theft. 2. The Maintenance and Operations Department does not have an adequate inventory system for tracking small tools and equipment. During a previous review, interviews with depart- ment staff indicated that a tool and equipment inventory had been developed for the mechani- cal, electrical and plumbing staff that accounted for all tools and equipment maintained in the department. Interviews with staff during this review period indicated there are attempts to mark and track small tools and equipment and that its use by staff for performing their du- ties is based on an honor system, i.e., use and return. No real inventory exists; rather, a list is maintained. Documentation provided lacked detail including dates of asset acquisition, update or verification. Small tool and equipment inventories should be sufficiently detailed to account for items purchased by the department and should be updated as items are lost, dam- aged or otherwise disposed of. Physical inventories should take place at least annually, and the documented inventory lists should be updated accordingly and dated. 3. A centralized supply inventory is maintained for custodial cleaning products and supplies, and Maintenance and Operations Department supervisors are the only staff members with keys to the storage facility. Interviews with staff indicated that the department continues this process. 4. Compton CCD department administrators are responsible for reporting transfers of property within and between divisions and in general assume responsibility for the care, custody and control of all department property. There has been no further progress in finalizing the draft AR 6552, Fixed Asset Control System, provided during prior review periods. This admin- istrative regulation has been in draft form since 2009. AR 6535, Use of District Equipment, was finalized September 6, 2013. This administrative regulation clearly describes the respon- sibilities of each employee related to the custody, use and authority associated with district equipment under their control. 88 ACCJC Standard III Standard Implemented: Partially April 2007 Rating: 5 January 2008 Rating: 5 July 2008 Rating: 6 June 2009 Rating: 6 January 2010 Rating: 6 July 2010 Rating: 6 June 2012 Rating: 4 April 2013 Rating: 4 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 89 ACCJC Standard III-D: Financial Resources FCMAT Financial Management Standard 21.1 – State-Mandated Cost Professional Standard: The college has procedures that provide for the appropriate oversight and management of mandated cost claim reimbursement filing. Appropriate procedures cover: the identification of changes to exist- ing mandates; training staff regarding the appropriate collection and submission of data to support the filing of the mandated costs claims; forms, formats, and time lines for reporting mandated cost information; and review of data and preparation of the actual claims. Progress on Implementing the Recommendations of the Recovery Plan: 1. State Government Code Section 17550 et seq. authorizes the district to file mandated cost claims for reimbursement of certain services mandated by the state. Mandated cost claims are an opportunity for Compton CCD to recover funds spent on these activities. 2. The 2012-13 state budget included funding for the California Community College Mandate Block Grant. This was a new claiming option, and districts that selected it received $28 per funded FTES in 2012-13 and 2013-14, for the mandates included in the block grant. The dis- trict opted into the Mandate Block Grant and received $167,782 for the 2012-13 fiscal year and $166,880 for the 2013-14 fiscal year. Districts must still file annual claims for mandates not included in the block grant to receive payment at some future time, and the state contin- ues to withhold reimbursement for these claims and prior years’ claims at this time. 3. Interviews with staff indicated that the district has not exercised a consultant agreement dur- ing the 2013-14 fiscal year for preparation of mandated cost claims not included in the block grant, and no documentation was provided to indicate the district is filing claims. The district should review mandates that are not in the block grant, and assess if the pursuit of claims for these mandates would generate sufficient revenue to offset the cost for staff and/or an outside vendor to prepare claims. Standard Implemented: Partially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 3 June 2009 Rating: 4 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 8 April 2013 Rating: 7 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 90 ACCJC Standard III Sources and Documentation Interviews: Academic affairs analyst (attendance), El Camino CCD Account clerk, Bursar’s Office Accountant Accountant, Bursar’s Office Accounting supervisor Accounting technicians Board of Trustees members Budget analyst Certificated bargaining unit member Chief business official Chief executive officer Classified bargaining unit member Consultative Council member Dean of human resources Dean of student learning Director of accounting Director of admissions and records Director of enrollment services Director of facilities planning and operations Director of fiscal affairs Director of information technology services, El Camino CCD Event coordinator/scheduler Information systems engineer Manager of MIS, El Camino CCD Payroll specialists Planning and Budget Committee member Purchasing agent Purchasing technician Shipping/receiving technician Special trustee Superintendent/president, El Camino CCD Utility maintenance supervisors Vice president administrative services, El Camino CCD District Documents: 2011-12 El Camino College Mission Statement and Strategic Initiatives, April 25, 2012 2012-13 and 2013-14 Budget to Actual Variance by sub-major object code, as of April 30, 2014 2012-13 LACOE closing manual 2012-13 LACOE Year-End Closing Procedures and Schedules – PeopleSoft system (current year not issued as of review date) 2012-13 Requisition Cut-Off Dates memo, March 20, 2013 ACCJC Standard III 91 2012-13 Requisition Cut-Off Dates, Year-End Closing and Budget Freeze memorandum to all staff, March 1, 2013 2013-14 Account Availability Report, May 7, 2014 2013-14 Final Budget, August 22, 2013 2013-14 Liebert Cassidy Whitmore Employment Relations Consortium Workshop Schedule 2013-14 Professional Development Attendance Sign In Sheets 2013-14 Requisition Cut-Off Dates memorandum to all staff, January 20, 2014 2013-14 Requisition Cut-Off Dates and Year-End Closing memo, January 30, 2014 2014 Spring Enrollment Trends, January 14, 2014 2014-15 Tentative Budget Assumptions 5-Year 50 percent law assumption FY 2014, Updated April 4, 2014 A Guide to the Evaluation of Employee Performance in the Classified Service, Office of Human Resources (no date) Account closure letter, US Bank accounts 1847, 1854, 1862, January 11, 2011 Actual Enrollment Fee Revenue Reports (CCFS-323) - P1 and P2, 2013-14; Re-calc., 2012-13 Administrative Procedure 6251A, Budget and Expenditure Management, September 15, 2009 Administrative Procedure 6252A, Position Control, June 28, 2010 Administrative Procedure 6701A, Civic Center Permit and Other Facilities Use, April 16, 2009 Administrative Procedure 7112A, Personnel Assignment Processing, June 28, 2010 Administrative Regulation 2711, Conflict of Interest Disclosure, December 15, 2009 Administrative Regulation 3101, Management Organization Chart, March 15, 2010 Administrative Regulation 3601, Auxiliary Organization Protocols, March 16, 2010 Administrative Regulation 6201, Budget Calendar, March 17, 2009 Administrative Regulation 6251, Budget Management, February 17, 2009 Administrative Regulation 6252, Position Control, June 10, 2009 Administrative Regulation 6301, Cash Receipt and Handling, February 17, 2009 Administrative Regulation 6302, Accounts Payable, February 17, 2009 Administrative Regulation 6311, Attendance and Time Reporting, June 16, 2009 Administrative Regulation 6331, Procurement, February 17, 2009 Administrative Regulation 6332, Use of Credit Cards, February 17, 2009 92 ACCJC Standard III Administrative Regulation 6333, Revolving Fund, June 10, 2009 Administrative Regulation 6341, Contracts, March 15, 2010 Administrative Regulation 6520, Security for District Personnel and Property, September 6, 2013 Administrative Regulation 6535, Use of District Equipment, September 6, 2013 Administrative Regulation 6701, Civic Center and Other Facilities Use, June 16, 2009 Administrative Regulation 7112, Personnel Assignment Authority, March 15, 2010 Administrative Regulation 7701, Whistleblower Reporting Protocols, September 6, 2013 Administrator employee performance evaluation forms Approval of Prequalification Rating System Associated Student Body Finance Code and Procedures Manual Attendance Accounting Instructions for Fall 2013 - Memo to Staff, not dated Award Letter – Bid CCC-010A, May 9, 2012 Bank reconciliations and statements for various accounts, July 2013 – February 2014 Bay Actuarial Consultants Actuarial Review of the Compton CCD Workers’ Compensation Program, May 6, 2013 Bid Threshold & Bond Requirements, September 20, 2011 Board Meeting Agendas and Minutes, April 2013 - April 2014 Board Policy 2710, Conflict of Interest, December 15, 2009 Board Policy 2715, Code of Ethics and Standards of Practice, Revised November 13, 2013 Board Policy 3100, Organizational Structure, November 17, 2009 Board Policy 3300, Capital Construction, April 20, 2010 Board Policy 6200, Budget Preparation, September 3, 2013 Board Policy 6250, Budget Management, September 15, 2009 Board Policy 6300, Fiscal Management, February 17, 2009 Board Policy 6330, Procurement, February 17, 2009 Board Policy 6340, Contracts, June 16, 2009 Board Policy 6520, Fixed Asset Security and Accounting, June 16, 2009 Board Policy 6700, Civic Center and Other Facilities Use, March 17, 2009 Board Policy 7110, Delegation of Authority, Human Resources, October 20, 2009 Board Policy 7700, Whistleblower Protection, June 8, 2010 ACCJC Standard III 93 Board Report regarding Bid Award #CCC-011A, December 17, 2013 Board Resolution #05-21-2013 - Resolution of the Futuris Public Entity Investment Trust, May 21, 2013 Board Resolution: Election to Become Subject to the Uniform Public Construction Cost Accounting Procedures, January 19, 2010 Budget to actual extracts, 2013-14 Business Services Department training list CCCCO 2013-14 Mandate Block Grant Payments Exhibit B-4, October 24, 2013 CCCCO Memo to District CBOs, April 5, 2014 (posted to the CCCCO’s website) CCCD Accounting Training Manual finalized, Vasquez & Co. LLC CCFS-311A Annual Financial and Budget Report, 2012-13 CCFS-311Q Quarterly Financial Status Report – Q3 and Q4, 2012-13 CCFS-311Q, Quarterly Financial Status Report – Q1 and Q2, 2013-14 CCFS-320 - Certification 2012-13 Apportionment Attendance Report – Annual Period, revised No- vember 1, 2013 CCFS-320 - Certification 2012-13 Apportionment Attendance Report – First Period, January 15, 2013 CCFS-320 - Certification 2012-13 Apportionment Attendance Report – Second Period, April 19, 2013 CCFS-320 - Certification 2012-13 Apportionment Attendance Report –Annual Period, July 15, 2013 CCFS-320 - Certification 2013-14 Apportionment Attendance Report – First Period, January 15, 2014 CCFS-320 - Certification 2013-14 Apportionment Attendance Report – Second Period, April 21, 2014 CEO Roundtable Presentation - 2013 Classified employee performance evaluation forms Collective Bargaining Agreement – CCC Federation of Certificated Employees, July 1, 2010 through June 30, 2013 Collective Bargaining Agreement – CCC Federation of Classified Employees, July 1, 2012 through June 30, 2014 Commission Revenues, 2013-14 Completed Work Orders Report, April 2013-April 2014 Compton CCD and El Camino College Compton Center Overarching Priorities, undated Compton CCD Consultant Service Agreement Compton CCD Custodial Machinery Inventory, March 2014 94 ACCJC Standard III Compton CCD Employees Policy and Procedures Handbook Compton CCD Guiding Principles for Planning & Budget, Spring 2011, June 15, 2011 Compton CCD Measure CC General Obligation Bond Audit Report, June 30, 2013 Debt Service Schedule - $30 million line of credit Draft Five-Year Budget Projection Assumptions (2012-13 through 2017-18) – Unrestricted General Fund, updated April 7, 2014 El Camino College 2012-2017 Comprehensive Master Plan Employee evaluation lists, 2012-13 Employee evaluation samples, 2012-13 Employee Work Calendar, 2013-14 Equipment Purchase Guidelines, revised February 19, 2013 Evaluation Procedure for District Administrators, June 7, 2011 Example of online add instructions, Fall 2013 Facilities and Planning Operations Work and Assignment Schedule 4-21-14 Final Budget 2012-13, September 11, 2012 Final Budget 2013-14, August 22, 2013 Financial Reports - Generated from Datatel, 2013-14 Financial Reports - Generated from PeopleSoft, 2013-14 Flyers for Roundtable Discussions at Progress Park, Carson Civic Center, Lynwood Travelodge, Compton Unified School District, Centennial High School and CCCD Form 6341B-1, Compton CCD Facilities Order Agreement, March 15, 2010 Form 6341C-1, Compton CCD Personal Services Agreement, March 15, 2010 Form 6701A-1, Compton CCD Facility Use Application, May 11, 2009 Form 6701A-5, Compton CCD Facility Reservation Guidelines, April 28, 2009 Form 6701A-6, Compton CCD Facility Usage Rules, April 28, 2009 Form 700 filings, January 1, 2013-December 31, 2013 Form 700 list, 2013-2014 Form 7112A, Personnel Assignment Request, March 15, 2010 FTE Projection FY 2009-14, March 25, 2014 FTES Goal and Actual, 2012-13 ACCJC Standard III 95 General ledger detail trial balance, July 2013 – March 2014 Independent Audit Report, June 30, 2013 Independent Audit Reports, prior years 2007-2012 Independent Contractor Payment Checklist with Website Reference Internal Operations Audit Plan – Priorities List, Updated June 30, 2014 Internal Operations Audit Plan –Priorities List, June 30, 2013 Internal Operations Review Plan, March 1, 2013 Keenan & Associates – 2012-13 Workers’ Compensation Program Keenan & Associates Self-Insured Claims Administration Agreement, July 1, 2012 – June 30, 2015 LACOE HRS District Payroll Schedule Reports from PeopleSoft, June 2013 – April 2014 Letter of Intent to the California Community Colleges Chancellor’s Office (CCCCO), September 28, 2012 - Mandate Block Grant Letter to State Chancellor’s Office regarding 50% Law, March 25, 2014 List of budget analyst duties Manager employee performance evaluation forms Master Agreement between Compton CCD and Foundation for Compton CCD, June 28, 2011 Memorandum of Understanding between the Compton Community College District and the CCC Federation of Classified Employees, December 17, 2013 Memorandum of Understanding between the Compton Community College District and the CCC Federation of Employees Certificated Unit Concerning the District Health Benefits and the Adoption of an Internal Revenue Code Section 125 Flexible Benefits Plan, December 17, 2013 Memorandum regarding Invoices without Approved Requisitions, April 21, 2014 Memorandum to Administrators, Faculty and Staff regarding 2013-14 Key Business Services De- partment Purchasing Deadlines Memorandum to Department Heads regarding Problem Invoices, April 21, 2014 Messages from the CEO Notice of Bid – Bid #CCC-011A Notice to Proceed – Bid CCC-011A, AMG & Associates, Inc., April 11, 2014 Notices of Intent to Award – Bid CCC-011A, December 9, 2013 Organization Chart, Business Services, July 1, 2013 Organization Chart, Maintenance and Operations, December 4, 2013 96 ACCJC Standard III Organization Chart, Management Information Systems, December 4, 2013 Organizational Chart, CCCD/ECCD CEC 2013-2014 Organizational Structure, December 4, 2013 Payroll Accounting Reports, classified and certificated, March 2014 Planning and Budget Committee Meeting Minutes, April 2013 – March 2014 Policies and Procedures - Accounts Payable Department – Policies and Procedures, October 16, 2012 Policies and Procedures - Payroll Department – Policies and Procedures, draft February 1, 2013 Policies & Procedures – Bursar’s Office – Cash Collections, February 1, 2013 Policies & Procedures - Credit Cards, October 2008 Policies & Procedures Manual - Business Services Budget Development, Monitoring and Mainte- nance, revised February 1, 2014 Policies and Procedures - Purchasing Department, revised February 1, 2013 Procedures - Capital Outlay Bond Funds Procedures, March 5, 2013 Procedures - Printing Class Rosters on MyECC Proof of publication – Bid #CCC-011A/Allied Health Building Purchase Order Terms and Conditions, April 9, 2013 Purchase Orders - AMG & Associates, Inc. Revolving Fund – Policies & Procedures, February 1, 2013 Rules and Regulations of the Classified Service, Compton CCD Personnel Commission, revised September 2005 S. Haigler, CPA Report on Result of Service Work, January 8, 2013 Sample Account Availability report, March 26, 2014 Sample blanket purchase order Sample budget transfers Sample monthly budget vs. actual communications from Business Services to other departments Sample pay earning detail reports Sample payroll deduction reports Sample student fee deposit records, February 2014 Scholarship Procedures, adopted December 14, 2012 School Dude Work Order Status Report, April 21, 2014 Schools Alliance for Workers’ Compensation Excess II Binder, 2013-14 ACCJC Standard III 97 SWACC 2013-14 Program Summary SWACC 2013-14 Program Year Renewal letter SWACC Property & Liability Program Structure, 2013-14 SWACC SAWCX II renewal presentation, 2013-14 Tentative Agreement Between the Compton Community College District and Federation of Classi- fied Employees Local 3486-1, December 3, 2013 Tentative Budget 2013-14, June 11, 2013 Total Compensation Systems, Inc. Actuarial Study of Retiree Health Liabilities as of March 1, 2013 Transportation Request, Amended September 27, 2013 Trial Balance 2014 General Fund Object Summary through period 9, April 8, 2014 Various budget communications to/from other departments Warrants Transferring Funds to Benefit Trust Company for the Futuris Public Entity Investment Trust, July 17, 2013 and March 31, 2014 WeTip flyer Work Orders, April 2013 to April 2014 Year-end cutoff dates 2012-13 memo, March 1, 2013 Year-end cutoff dates 2013-14 memo, January 30, 2014 Year-End Task List and Individual Staff Responsibility Other: Student Success Center tour Site walk and facilities observation Compton CCD board meeting, April 15, 2014 98 ACCJC Standard III Accrediting Commission for Community and Junior Colleges (ACCJC) Standard IV: Leadership and Governance A. Decision-Making Roles and Processes – The institution recognizes that ethical and effec- tive leadership throughout the organization enables the institution to identify institu- tional values, set and achieve goals, learn, and improve. 1. Institutional leaders create an environment for empowerment, innovation, and institutional excellence. They encourage staff, faculty, administrators, and students, no matter what their official titles, to take initiative in improving the practices, programs, and services in which they are involved. When ideas for improvement have policy or significant institution-wide implications, systematic participative processes are used to assure effective discussion, plan- ning, and implementation. 2. The institution establishes and implements a written policy providing for faculty, staff, administrator, and student participation in decision-making processes. a. Faculty and administrators have a substantive and clearly defined role in institutional governance and exercise a substantial voice in institutional policies, planning, and budget that relate to their areas of responsibility and expertise. Students and staff also have estab- lished mechanisms or organizations for providing input into institutional decisions. b. The institution relies on faculty, its academic senate or other appropriate faculty struc- tures, the curriculum committee, and academic administrators for recommendations about student learning programs and services. 3. Through established governance structures, processes, and practices, the governing board, administrators, faculty, staff, and students work together for the good of the institution. These processes facilitate discussion of ideas and effective communication among the institution’s constituencies. 4. The institution advocates and demonstrates honesty and integrity in its relationships with external agencies. It agrees to comply with Accrediting Commission standards, policies, and guidelines, and Commission requirements for public disclosure, self study and other reports, team visits, and prior approval of substantive changes. The institution moves expeditiously to respond to recommendations made by the Commission. 5. The role of leadership and the institution’s governance and decision-making structures and processes are regularly evaluated to assure their integrity and effectiveness. The institu- tion widely communicates the results of these evaluations and uses them as the basis for improvement. ACCJC Standard IV 1 2 ACCJC Standard IV Accrediting Commission for Community and Junior Colleges April Jan. July June Jan. July June April April 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard IV: Leadership Rating Rating Rating Rating Rating Rating Rating Rating Rating and Governance A. Decision-Making Roles and Processes Standard to be Addressed Communications - Community Relations and Governance Staff input into college operations is 1.3 1 2 2 4 7 6 7 7 7 encouraged. Community Collaboratives, Advisory Committees - Community Relations and Governance The board and president support partnerships and collaborations with 3.1 2 2 3 5 8 7 8 8 9 community groups, local agencies and businesses. The board and the president establish broad-based committees or councils to advise the college on critical college issues and operations as appropriate. The membership 3.2 of these collaboratives and councils 3 3 3 4 6 6 7 8 7 should reflect the full cultural, ethnic, gender and socioeconomic diversity of the student populations – Shared Governance, Academic Senate, etc. Community collaboratives and college Shared Governance, and Academic 3.3 Senate have identified specific 2 outcome goals that are understood by all members. The college encourages and provides the necessary training for collaborative and council members to understand the 3.4 3 basic administrative structure, program processes and goals of all college partners. Community collaboratives and college councils effectively fulfill 3.5 3 their responsibilities and provide a meaningful role for all participants. The standards in bold text are the identified subset of standards for ongoing reviews. ACCJC Standard IV 3 4 ACCJC Standard IV ACCJC Standard IV-A: Decision-Making Roles and Processes FCMAT Community Relations/Governance Standard 1.3 – Communications Professional Standard: Staff input into college operations is encouraged. Progress on Implementing the Recommendations of the Recovery Plan: 1. The Compton Center has a Consultative Council and two committees, Institutional Effective- ness and Planning and Budget, under the council. The center also has eight operational cam- pus committees: Facilities; Health and Safety; Technology; Enrollment Management; Student Success; Professional Development; Auxiliary Services; and Health Benefits. There are also four Academic Senate committees. All of the center’s standing committees are listed on one document that provides information regarding the composition of members and function of each committee. In addition, the center has a list of all these committees and the membership by group and the meeting days and times, which is helpful for ad hoc committees scheduling meetings and being able to avoid conflicts with standing committee days and times. During the prior review period, both of the committees directly under the Consultative Coun- cil (Institutional Effectiveness and Planning and Budget) had, under the leadership of the CEO with assistance from the special trustee, revised their mission and assumed more direct responsibility for program review oversight and its correlation with budget and planning. The center should continue the standing committee structure and ensure that the actions and deliberations of the committees are published and disseminated to help guarantee widespread communication. 2. The review team attended a Consultative Council meeting on March 26, 2014 at which most of the council members were present. This was not a regularly scheduled meeting, but was held at the request of the CEO so the team could meet with the council. The meeting began with short reports from each of the constituency groups present. The CEO then spoke about his plan for the budget, which included budget assumptions for five years and the intent to freeze faculty and classified positions beginning in 2015-16 to plan for a 7% reserve in 2017- 18. The CEO indicated he would attend the next Planning and Budget Committee meeting to get recommendations from the committee, and hopes to have a five-year budget to present at the June board meeting. This meeting did not include much discussion from the committee members. The Consultative Council meets regularly, and meeting minutes indicate that most members are present. However, the minutes for this review period did not include sufficient detail on the topics under discussion. Because this is the primary shared governance group at the cen- ter, and two key committees (Planning and Budget and Institutional Effectiveness) report to the council, the minutes should be more detailed so that interested parties know what tran- spires. 3. The Institutional Effectiveness Committee continues to work well in overseeing the program review function of the academic programs. Committee members indicated that one of the largest obstacles to working on and completing the program reviews was that data was not ACCJC Standard IV 5 always readily available. The committee now provides the research data, embedded in the program review form, to the writers of the program reviews, which has made a significant difference in completing the process. Only the academic programs have been reviewed by the Institutional Effectiveness Commit- tee. Student Services program reviews are finished but have not yet been reviewed. Business Services, Management Information Systems and Facilities department program reviews are also completed but have not been reviewed by senior management. The CEO’s and vice pres- ident’s offices have not yet done a program review. The program review process is clear, and the minutes of the Institutional Effectiveness Com- mittee meetings are detailed and provide specific information about the status of reviewed programs and the steps necessary if the review needs to be reworked. The committee’s cycle for program review is every three years. Interviews indicated that by next year the committee should be current and on track for the three-year cycle. The committee meets twice monthly, and meeting minutes show that five to seven of the nine members typically attend. The committee chairs indicated that for funding requests for spe- cific areas to be approved, the requested item (staff, equipment or other requests) must be in Plan Builder and, if the program review is due, it must also be included in that document. The center has made significant progress in the Institutional Effectiveness area by providing necessary data and a clear process for the review, meeting regularly with a clear agenda, and documenting the committee’s work through complete meeting minutes. However, the center needs to complete the program review process in all areas. 4. The review team attended a portion of a Planning and Budget Committee (PBC) meeting at which more than half of the members were present. The primary discussion item at the meeting was the issue of hiring several full-time faculty members this spring. The faculty representatives were concerned about that plan and suggested several alternatives including improving the adjunct salary schedule. Review of the meeting minutes for this review period revealed that the PBC meets monthly and considers issues such as enrollment management, cash flow, the internal audit plan, the budget calendar, budget assumptions, site improvements, other post-employment benefits plan, and other budget and planning issues. The nine-member committee is representative of the various constituent groups on campus, including students. 5. The center encourages the committee format for input from the various constituencies. How- ever, interviews with representative groups indicated that there is a perception by some that while input is sought, they do not see their ideas reflected in decisions. Some of this is a natu- ral outcome of not selecting particular ideas offered in the shared governance process. How- ever, to more fully embrace inclusive decision making, the center should explain the reason for the final decision once it has been made. As the center continues to work toward indepen- dence, it is important to establish habits and practices that foster broad communication. 6 ACCJC Standard IV 6. The CEO continues to set aside a weekly time for members of the campus community to meet with him informally on any matter of concern, to share ideas and ask questions. This bodes well for communication. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 2 July 2008 Rating: 2 June 2009 Rating: 4 January 2010 Rating: 7 July 2010 Rating: 6 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 7 ACCJC Standard IV-A: Decision-Making Roles and Processes FCMAT Community Relations/Governance Standard 3.1 – Community Collaboratives, Advisory Committees Professional Standard: The board and president support partnerships and collaborations with community groups, local agen- cies and businesses. Progress on Implementing the Recommendations of the Recovery Plan: 1. The outreach strategy for the Compton Center has been formalized in the Enrollment Man- agement Plan, and implementation is under way. The district has supported the implementa- tion by providing funding and staffing for the activities described in the plan. Although the Enrollment Management Plan continues to have a focus on outreach and recruitment, it was updated two years ago to include a strong emphasis on student retention. The Enrollment Management Committee develops marketing, recruitment and retention plans. The 2013-2014 Enrollment Management Plan describes the committee as the body that distributes college resources to fund projects that work to increase matriculations, student success, and retention on campus. The plan states, “The Enrollment Management Committee is committed to ensuring student success at El Camino College Compton Center and provid- ing funding to programs, departments, and individuals to support innovative approaches to student success.” Of the current nine objectives of the committee, eight refer to student suc- cess. However, the enrollment management and marketing plans include specific outreach strategies to engage local school districts and charter schools and provide information to mid- dle and high school students within the district’s boundaries. In general, the goals are specific and include measurable results and the costs associated with them as well as timelines and the responsible employee or office. 2. The CEO continues to make a priority of developing relationships with local businesses, and continues to build partnerships with community and civic organizations. The CEO informs the community of Compton Center activities and goals through meetings with church groups, business roundtables, and local councils. The CEO and vice president have hosted commu- nity roundtables in Carson, Paramount, Lynwood, and Compton. The agenda for these round- tables includes the process to accreditation, facilities master plan, and opportunities for com- munity participation in governance. Question and answer periods follow the presentations. 3. The special trustee has developed talking points for the Special Trustee’s Advisory Commit- tee members to use when speaking in the community. Points include information about the new partnership agreement, Bond Oversight Committee, facilities master plan, and before the election in November 2013, information on redistricting and the Board of Trustees election. 4. The members of the Board of Trustees also attend community meetings. The district should continue its outreach to community groups and the formation of partner- ships that will serve the district and its students. Board members also should continue to par- ticipate in community outreach with each of their constituencies. 8 ACCJC Standard IV Standard Implemented: Fully - Substantially April 2007 Rating: 2 January 2008 Rating: 2 July 2008 Rating: 3 June 2009 Rating: 5 January 2010 Rating: 8 July 2010 Rating: 7 June 2012 Rating: 8 April 2013 Rating: 8 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 9 ACCJC Standard IV-A: Decision-Making Roles and Processes FCMAT Community Relations/Governance Standard 3.2 – Community Collaboratives, Advisory Committees Professional Standard: The board and the president establish broad-based committees or councils to advise the college on critical college issues and operations as appropriate. The membership of these collaboratives and councils should reflect the full cultural, ethnic, gender and socioeconomic diversity of the student populations: Shared Governance, Academic Senate, etc. Progress on Implementing the Recommendations of the Recovery Plan: 1. The board/special trustee adopted Board Policy 2410 (10/20/09), Board Policies, Adminis- trative Regulations and Procedures, which states that employees and students shall have the opportunity to participate in the development of board policies and administrative regulations through a consultative process. The board/special trustee also adopted Board Policy 2510 (7/20/10), Participation in Local Decision Making. This policy states that, although the board is the ultimate decision maker, it is committed to ensuring that appropriate members of the district participate in developing policies and regulations. Additionally, the policy states that, except in emergency situations, the board will not take any action on matters subject to this policy until the appropriate constituent groups have been provided the opportunity to par- ticipate. Although these policies have been adopted, they are not fully operational because at present the special trustee is the decision maker. 2. The Consultative Council and its subcommittees are responsible for providing input for deci- sion-making. The membership of the Consultative Council consists of three faculty members (including the Academic Senate president and the certificated unit president), one student, two classified employees (one representative of the confidential employees and a classified unit representative), one manager, and a staff assistant. The vice president attends meetings, and the CEO serves as chair; these individuals are not members of the council. This form of the council was adopted two years ago and has been successful. The members receive reports on and consider such items as the construction projects, the de- velopment of the new memorandum of understanding (MOU) with the El Camino CCD, and the budget. The minutes of this committee are limited to a statement of the actions taken, and thus do not describe the discussion that occurred. It is not clear whether the council is mainly the recipient of reports or, in fact, engages in serious discussion about the issues presented. The CEO indicated that the council should evolve and hold other committees responsible for their duties. 3. The Institutional Effectiveness Committee, a committee of the Consultative Council, is charged with focusing on the program review to ascertain that the questions raised are being addressed and to ensure the consistency of documents. The committee reviews the documents and recommends revisions using a feedback template. The committee also is responsible for monitoring the recommendations made by FCMAT and reviewing the El Camino College Compton Center Educational Master Plan, Facilities Master Plan, Staffing Plan, and Technol- ogy Master Plan. 10 ACCJC Standard IV A review of the committee’s detailed minutes showed that the committee focused on program reviews. The quality of the program review documents has improved since the committee has taken an active role in their development. At the time of fieldwork, Student Service program reviews had been completed but not yet reviewed by the committee, Administrative Services was working on their program reviews, and those for the CEO and vice president’s offices had not been completed. The program reviews provide input to the budget allocation process, and committee members indicated they expect that all programs will be reviewed by the end of fall 2014. 4. The Planning and Budget Committee, a committee of the Consultative Council, serves as the steering committee for campuswide planning and budgeting. It ensures that planning and budgeting are integrated and that budget allocations are consistent with district goals, master plans, and program review documents. The detailed minutes of this committee reveal that the members discuss the issues. The committee consists of nine members; however, fewer than six members were present at eight of the last 14 meetings. The district should work to im- prove attendance at PBC meetings. 5. Advisory committees are required for all technical programs. If properly constituted, they can provide valuable advice for program changes and development. FCMAT reviewed minutes from four of the advisory committees. Topics such as job opportunities in the field, industry expectations, preparation of students, and suggestions made by industry representatives were discussed. The district should continue the use of advisory committees. 6. The Special Trustee’s Advisory Committee was established two years ago. The role of the committee is to provide advice to the special trustee regarding policy matters that affect the district and its operations; promote community awareness of the district’s efforts, focus on quality instruction, educational mission, fiscal stability, and ultimately accreditation; and foster community support for the district and the Compton Center. The number of members is not fixed; currently there are seven members. The committee’s goals for 2013 included participation in community activities, active participation in its own committee meetings, monitoring of fiscal responsibility, demonstrating support of the partnership agreement, and participation in training sessions. These goals were all in the process of being met at the time of the review team’s fieldwork. An examination of the committee meeting minutes revealed that the group considered a wide range of items consistent with its goals. The review team attended the March 26, 2014 Special Trustee’s Advisory Committee meet- ing and observed that the members in attendance were informed, engaged, and took their role as advisors seriously. The committee exhibited a model of excellent board conduct. The agen- da included an update on the center, 2014 committee goals and talking points, 2013 commit- tee evaluation results, and a presentation on recent audits. Several outspoken members of the audience addressed the committee during the appropriate time on the agenda, and also spoke at will from their seats throughout the meeting. The committee handled these interruptions professionally. Interviews with committee members indicated that they are participating in training activi- ties, including ethics, accreditation, and the Brown Act. ACCJC Standard IV 11 7. The center has established a shared governance committee structure to provide input to senior management for decision-making. Despite these active committees, the review team heard from all segments of the campus community, including students, classified staff, faculty, and managers, that at times senior management seems to listen but not hear what is shared. The perception of some is that minds are often already made up and the consultation process produces no changes. In any campus community, some individuals believe they have been heard only when they see their exact suggestions acted on immediately. However, during this review several individuals expressed concerns about shared governance. The district should continue to work to improve this perception. Standard Implemented: Partially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 3 June 2009 Rating: 4 January 2010 Rating: 6 July 2010 Rating: 6 June 2012 Rating: 7 April 2013 Rating: 8 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 12 ACCJC Standard IV Accrediting Commission for Community and Junior Colleges (ACCJC) Standard IV: Leadership and Governance B. Board and Administrative Organizations – In addition to the leadership of individuals and constituencies, institutions recognize the designated responsibilities of the govern- ing board for setting policies and of the chief administrator for the effective operation of the institution. Multi-college districts/systems clearly define the organizational roles of the district/system and the colleges. 1. The institution has a governing board that is responsible for establishing policies to assure the quality, integrity, and effectiveness of the student learning programs and services and the financial stability of the institution. The governing board adheres to a clearly defined policy for selecting and evaluating the chief administrator for the college or the district/system. a. The governing board is an independent policy-making body that reflects the public interest in board activities and decisions. Once the board reaches a decision, it acts as a whole. It advocates for and defends the institution and protects it from undue influence of pressure. b. The governing board establishes policies consistent with the mission statement to ensure the quality, integrity, and improvement of student learning programs and services and the resources necessary to support them. c. The governing board has ultimate responsibility for educational quality, legal matters, and financial integrity. d. The institution or the governing board publishes the board bylaws and policies specifying the board’s size, duties, responsibilities, structure, and operating procedures. e. The governing board acts in a manner consistent with its policies and bylaws. The board regularly evaluates its policies and practices and revises them as necessary. f. The governing board has a program for board development and new member orientation. It has a mechanism for providing for continuity or board membership and staggered terms of office. g. The governing board’s self-evaluation processes for assessing board performance are clearly defined, implemented, and published in its policies or bylaws. h. The governing board has a code of ethics that includes a clearly defined policy for dealing with behavior that violates its code. i. The governing board is informed about and involved in the accreditation process. j. The governing board has the responsibility for selecting and evaluating the college chief administrator (most often known as the president). The governing board delegates full responsibility and authority to him/her to implement and administer board policies without board interference and holds him/her accountable for the operation of the college. 2. The president has primary responsibility for the quality of the institution he/she leads. He/She provides effective leadership in planning, organizing, budgeting, selecting and developing personnel, and assessing institutional effectiveness. a. The president plans, oversees, and evaluates an administrative structure organized and staffed to reflect the institution’s purposes, size, and complexity. He/She delegates authority to administrators and others consistent with their responsibilities, as appropriate. ACCJC Standard IV 13 b. The president guides institutional improvement of the teaching and learning environment by the following: • establishing a collegial process that sets values, goals, and priorities; • ensuring that evaluation and planning rely on high quality research and analysis on external and internal conditions; • ensuring that educational planning is integrated with resource planning and distribu- tion to achieve student learning outcomes; and • establishing procedures to evaluate overall institutional planning and implementation efforts. c. The president assures the implementation of statutes, regulations, and governing board policies and assures that institutional practices are consistent with institutional mission and policies. d. The president effectively controls budget and expenditures. e. The president works and communicates effectively with the communities served by the institution. 3. DOES NOT APPLY – it addresses the multi-college district. 14 ACCJC Standard IV Accrediting Commission for Community and Junior Colleges April Jan. July June Jan. July June April April 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard IV: Leadership Rating Rating Rating Rating Rating Rating Rating Rating Rating and Governance B. Board and Administrative Organizations Standard to be Addressed Community Relations - Community Relations and Governance Board members refer informal 2.5 public concerns to the appropriate 3 3 3 5 7 6 7 8 8 staff for attention and response. Board members are actively involved 2.9 2 in building community relations. Policy - Community Relations and Governance The college has established a system 4.5 of securing staff and citizen input in 2 policy development and review. Board Roles/Boardsmanship - Community Relations and Governance Board members participate in orientation sessions, workshops, conventions and special meetings sponsored by board associations, 5.2 and have access to pertinent 1 1 3 5 7 6 6 6 6 literature, statutes, legal counsel and recognized authorities to understand duties, functions, authority and responsibilities of members. The board has established a vision/ mission and uses that vision/mission as a framework for college action 5.3 based on the identified needs of 3 3 3 6 7 7 8 8 7 the students, staff and educational community through a needs assessment process. The board makes decisions based on the study of all available data, 5.4 3 3 3 4 7 7 3 3 4 including the recommendations of the president. Functional working relations are 5.5 1 1 3 6 7 7 3 3 4 maintained among board members. The standards in bold text are the identified subset of standards for ongoing reviews. ACCJC Standard IV 15 Accrediting Commission for Community and Junior Colleges April Jan. July June Jan. July June April April 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard IV: Leadership Rating Rating Rating Rating Rating Rating Rating Rating Rating and Governance Individual board members respect the decisions of the board majority 5.6 1 1 3 6 7 6 3 3 4 and support the board’s actions in public. Functional working relations are 5.7 maintained between the board and 1 1 2 6 7 7 3 3 4 administration. The board publicly demonstrates 5.8 respect for and support for the 1 1 2 6 7 7 3 3 4 district staff. The board publicly demonstrates 5.9 respect for public input at meetings 1 1 2 6 7 7 5 4 5 and public hearings. Board members respect 5.10 confidentiality of information shared 1 1 1 5 7 8 8 8 8 by the administration. Board members do not involve themselves in operational issues 5.11 1 1 1 5 7 7 7 8 8 that are the responsibility of the president and staff. The board acts for the community 5.12 and in the interest of all students in 1 1 2 5 7 7 5 5 5 the district. Board Meetings - Community Relations and Governance An adopted calendar of regular meetings exists and is published 6.1 3 specifying the time, place and date of each meeting. The board agenda is made available to the public in the manner and 6.2 4 4 4 6 8 6 5 6 7 under the time lines prescribed by law. Board members prepare for board meetings by becoming familiar with 6.3 1 1 2 6 7 7 5 5 6 the agenda and support materials prior to the meeting. The standards in bold text are the identified subset of standards for ongoing reviews. 16 ACCJC Standard IV Accrediting Commission for Community and Junior Colleges April Jan. July June Jan. July June April April 2007 2008 2008 2009 2010 2010 2012 2013 2014 (ACCJC) Standard IV: Leadership Rating Rating Rating Rating Rating Rating Rating Rating Rating and Governance Board meetings are conducted 6.4 according to a set of bylaws adopted 1 by the board. Open and closed sessions are 6.5 conducted according to the Ralph 5 5 5 6 7 7 7 8 9 M. Brown Act. Board meetings proceed in a 6.6 businesslike manner while allowing 5 5 5 6 7 6 3 3 4 opportunity for full discussion. The Board has adopted bylaws for 6.7 the placement of items on the board 4 agenda by members of the public. Members of the public have an opportunity to address the board before or during the board’s consideration of each item of 6.8 4 4 4 7 8 7 7 7 8 business to be discussed at regular or special meetings and to bring before the board matters that are not on the agenda. Board meetings focus on matters 6.9 related to student educational 1 1 1 3 7 5 5 6 6 attainment. The standards in bold text are the identified subset of standards for ongoing reviews. ACCJC Standard IV 17 18 ACCJC Standard IV ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 2.5 – Community Relations Professional Standard: Board members refer informal public concerns to the appropriate staff for attention and response. Progress on Implementing the Recommendations of the Recovery Plan: 1. The majority of the elected board members are new to the district’s Board of Trustees. Due to redistricting, all five board seats were up for election in November 2013. Two of the previous members were re-elected and three members are new. The district has conducted a planned program of board training, and because of the election, a series of training and information sessions for board candidates prior to the election. This allowed the district to review the roles and responsibilities of the board as a whole and as individual board members. The team found the members of the Board of Trustees to be aware of their role regarding in- formal public concerns. However, board members should be vigilant in not directly engaging in conversations with members of the public during board meetings but directing their com- ments instead to the special trustee and district administration. Furthermore, individual board members cannot speak for or appear to be speaking for the entire board to the public. 2. An examination of the 2013-14 board meeting minutes did not reveal any instance of an in- formal public concern presented to the board. Interviews with district management staff also did not reveal concerns in this area. However, in the past, such concerns were referred to staff. Standard Implemented: Fully - Substantially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 3 June 2009 Rating: 5 January 2010 Rating: 7 July 2010 Rating: 6 June 2012 Rating: 7 April 2013 Rating: 8 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 19 ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.2 – Board Roles/Boardsmanship Professional Standard: Board members participate in orientation sessions, workshops, conventions and special meetings sponsored by board associations, and have access to pertinent literature, statutes, legal counsel and recognized authorities to understand duties, functions, authority and responsibilities of members. Progress on Implementing the Recommendations of the Recovery Plan: 1. The board/special trustee adopted Board Policy 2740 (12/15/09), Board Education. This pol- icy states that the board is committed to its ongoing development as a board and to a trustee education program that includes new trustee orientation. 2. A Board of Trustees election was held in November 2013. This election followed the redis- tricting process, thus all five seats were open. Three new members were elected to the board, and two former members were re-elected. The new members expressed a strong desire to re- ceive and participate in training on multiple subjects, including understanding their role. One of the 2014 board goals is to participate in a trustee education program. The district has developed a specific and thorough training agenda for board members. The training addresses the areas of expectations, roles, and responsibilities for board members and provides a frame- work for operations at board meetings. The orientation provides information on the Brown Act, and outlines unique situations in the governance of the Compton CCD, operating the Compton Center in partnership with El Camino CCD. 3. The board members and CEO share the expectation that professional development is critical to ensure understanding of the most pressing issues affecting community colleges, and that training to understand the roles and responsibilities of board members is necessary for the trustees to be fully effective. The board is not engaged in group training at this time; howev- er, individual members attend conferences. For example, members attended the Community College League of California (CCLC) conference during this review period. 4. At present, the role of the board is limited because it has no rights, duties or powers, but the board should continue to develop so it is ready to assume its complete role in the future. The board should continue its commitment to training and look for training opportunities that will help members fully understand the appropriate role and conduct of a board member at meet- ings and when dealing with the public. The members should also recognize that they cannot, as individuals, speak for or appear to speak for the board unless they are specifically delegat- ed to do so. 20 ACCJC Standard IV Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 3 June 2009 Rating: 5 January 2010 Rating: 7 July 2010 Rating: 6 June 2012 Rating: 6 April 2013 Rating: 6 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 21 ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.3 – Board Roles/Boardsmanship Professional Standard: The board has established a vision/mission and uses that vision/mission as a framework for college action based on the identified needs of the students, staff and educational community through a needs assessment process. Progress on Implementing the Recommendations of the Recovery Plan: 1. The Compton CCD has adopted a vision and mission statement (Board Policy 1200, District Mission Statement, 10/20/09) that serves as a framework for planning documents across the institution. This statement was developed with input from faculty and staff, students, admin- istrators, and the Board of Trustees. The document lays out the main themes that should be the strategic focus of the district for the short- and mid-term and should serve as the basis for allocating resources. During this review period, the mission statement has not been reviewed. The CEO and Board of Trustees should periodically revisit this statement to ensure that it reflects the district’s current needs and priorities for all faculty and students and use the state- ment to guide planning and budgeting decisions. A regular cycle for its review should be es- tablished. As recommended in previous reviews, a cycle should be developed for the review of all board policies and administrative regulations and procedures. 2. The Planning and Budget Committee, a committee of the Consultative Council, has as part of its charter to “assure that the planning and budgeting are interlinked and that the process is driven by the institutional priorities set forth in the Educational Master Plan and other plans adopted by the district. The PBC ensures that all plans are developed using data from program review and are linked to the Center’s mission statement and strategic directives. The PBC makes recommendations with respect to all global Center and District planning and budgeting issues.” The committee’s budget augmentation criteria include the center’s goals for meeting students’ needs and fostering student success. Standard Implemented: Partially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 3 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 8 April 2013 Rating: 8 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 22 ACCJC Standard IV ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.4 – Board Roles/Boardsmanship Professional Standard: The board makes decisions based on the study of all available data, including the recommendations of the president. Progress on Implementing the Recommendations of the Recovery Plan: 1. Board Policy 2740, Board Education (12/15/09), states that the Board of Trustees will engage in study sessions. An examination of board meeting agendas shows that, although study ses- sions have not been scheduled recently, reports to the board on district matters are scheduled frequently. The district should consider providing separate study sessions to the board mem- bers regarding detailed topics such as the budget. 2. The CEO and staff deliver background information and data in advance of public meetings to ensure the opportunity to review materials and ask questions. Staff members routinely pro- vide reports and presentations at board meetings. For example, the board has received reports on the status of accreditation, budget development, professional development, financial aid, audits, construction projects and student learning outcomes (SLOs). In addition, regular re- ports from the various college constituencies are scheduled. Staff should continue to provide reports to the board to help ensure its effectiveness as an advisory body. 3. The review team attended the March 25, 2014 Board of Trustees meeting. The board mem- bers acted in a professional manner at this meeting. Interviews and review of the 2013-14 board meeting minutes no longer revealed instances of board members exhibiting behavior that was inappropriate for a public session. Although agenda items can at times be extremely sensitive matters to board members, their conduct at meetings should remain professional. The Board of Trustees currently has no rights, duties or powers, and thus members may at times feel frustrated by the board’s advisory role and the fact that they do not sit at the dais for all meetings. However, it is critical that the members exhibit the preparation, decorum, and professionalism that would demonstrate their readiness to assume a full role when the district regains local authority to govern areas of operations. ACCJC Standard IV 23 Standard Implemented: Partially April 2007 Rating: 3 January 2008 Rating: 3 July 2008 Rating: 3 June 2009 Rating: 4 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 3 April 2013 Rating: 3 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 24 ACCJC Standard IV ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.5 – Board Roles/Boardsmanship Professional Standard: Functional working relations are maintained among board members. Progress on Implementing the Recommendations of the Recovery Plan: 1. Board members participate in public meetings in an advisory capacity. A Board of Trustees election was held in November 2013. This election followed the redistricting process, thus all seats were open. Three new members were elected to the board. Together with two re-elected members, the board is at its full membership of five. Interviews and review of the board meeting minutes indicated that the board is developing a functional working relationship. The board members need to continue to develop a coopera- tive working relationship to ensure they effectively fulfill their advisory role. 2. The orientation training and professional development agenda for new board members, which is included on the list of planned presentations that is attached to each board agenda, was designed to develop a cohesive team that understands its role and responsibilities. Both the local orientation and participation in the statewide conference of community college trustees should provide the board members with a solid foundation on which to build their functional working relations with one another. Interviews with the board members indicated that they feel a good working relationship is important and is developing. The review team attended the March 25, 2014 Board of Trustees meeting. The board mem- bers acted in a professional manner at this meeting. Interviews and review of the 2013-14 board meeting minutes no longer revealed instances of board members exhibiting behavior that was inappropriate for a public session. Although agenda items can at times be extremely sensitive matters to board members, their conduct at meetings should remain professional. 3. The board should work to fully understand the appropriate role and conduct of a board mem- ber both at meetings and when dealing with the public. The members should also recognize that they cannot, as individuals, speak for or appear to speak for the board unless they are specifically delegated to do so. Participation in training and professional development opportunities should be a routine ex- pectation for board members. It should help to enhance their ability to set the tone and direc- tion for the district and function cohesively as a board when the district regains local author- ity to govern areas of operations. 4. At the time of the review team’s fieldwork, only four regular meetings of the newly constitut- ed board had been conducted since the members took office in December 2013. The develop- ment of a good working relationship, respect for the majority opinion, and the general tenor of board meetings will become more evident in the months ahead. ACCJC Standard IV 25 Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 3 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 3 April 2013 Rating: 3 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 26 ACCJC Standard IV ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.6 – Board Roles/Boardsmanship Professional Standard: Individual board members respect the decisions of the board majority and support the board’s actions in public. Progress on Implementing the Recommendations of the Recovery Plan: 1. As of the November 2013 election, the elected board has three new members and two re- elected members. Having a fully elected board demonstrates that the community wants to be involved and engaged in the Compton Center and the district. The board members participate in public meetings in an advisory capacity. The board members need to continue to make progress in working together and with the special trustee to ensure they effectively fulfill this advisory role in preparation to assume a decision-making role in the future. The agenda for orientation, training, and professional development for the board should con- tinue to enhance their understanding of their roles and responsibilities, improve the board’s ability to set direction for the district, and heighten their ability to communicate in a profes- sional and respectful manner, with meeting discussion focused on relevant topics. 2. The board/special trustee adopted Board Policy 2715, Code of Ethics and Standards of Prac- tice, dated 11/16/2010 and revised 11/13/2012. The policy states in part, “Board members recognize that legal and effective functioning is by the board as a whole. District matters are not governed by individual actions of Board members. When acting as Board members, trust- ees speak and act on behalf of the district, not as individuals. Board members must use care not to misrepresent their individual opinions or actions as those of the Board.” The board needs to develop a coherent, unified voice and a cooperative working relationship. It must completely understand the recovery plan and be able to articulate it to the public. The board must also understand and support the new MOU that describes the relationship between the Compton Center, Compton CCD, and El Camino CCD. This is included in the board goals for 2014. 3. At the time of the review team’s fieldwork, only four regular meetings of the newly constitut- ed board had been conducted since the members took office in December 2013. The develop- ment of a good working relationship, respect for the majority opinion, and the general tenor of board meetings will become more evident in the months ahead. ACCJC Standard IV 27 Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 3 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 6 June 2012 Rating: 3 April 2013 Rating: 3 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 28 ACCJC Standard IV ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.7 – Board Roles/Boardsmanship Professional Standard: Functional working relations are maintained between the board and administration. Progress on Implementing the Recommendations of the Recovery Plan: 1. The CEO and special trustee continue to meet with and talk to board members to review op- erational issues. The elected board is also provided with extensive written material for each board meeting and for significant operational issues. 2. At the time of the review team’s fieldwork, only four regular meetings of the newly consti- tuted board had been conducted since the members took office in December 2013. Interviews with board members and staff indicated that, thus far, the relationship between the adminis- tration and board has improved. The development of a good working relationship with each other and with the administration, respect for the majority opinion, and the general tenor of board meetings will become more evident in the months ahead. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 3 April 2013 Rating: 3 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 29 ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.8 – Board Roles/Boardsmanship Professional Standard: The board publicly demonstrates respect for and support for the district staff. Progress on Implementing the Recommendations of the Recovery Plan: 1. At the time of the review team’s fieldwork, only four regular meetings of the newly consti- tuted board had been conducted since the members took office in December 2013. The re- view team attended the March 25, 2014 board meeting at which three members were present; members conducted themselves in an appropriate, professional manner. The development of a good working relationship with each other, staff, and administration; respect for the major- ity opinion; and the general tenor of board meetings will become more evident in the months ahead. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 3 April 2013 Rating: 3 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 30 ACCJC Standard IV ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.9 – Board Roles/Boardsmanship Professional Standard: The board publicly demonstrates respect for public input at meetings and public hearings. Progress on Implementing the Recommendations of the Recovery Plan: 1. With respect to public input, board meetings are usually conducted in a professional and businesslike manner, with the board serving in an advisory capacity. Professional develop- ment through conference attendance and in-service training should provide board members with the understanding of their responsibilities, allowing them to effectively fulfill their roles. 2. Board minutes showed that time for public comments is provided at meetings. It is important for board members to not directly engage in conversations with members of the public during board meetings but to direct their comments to the special trustee and district administration. The CEO should continue to ensure that opportunities for input are widely publicized, and when governing authority is returned, the board should maintain these practices. 3. At the time of the review team’s fieldwork, only four regular meetings of the newly constitut- ed board had been conducted since the members took office in December 2013. The response to public input will be become more evident in the months ahead. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 5 April 2013 Rating: 4 April 2014 Rating: 5 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 31 ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.10 – Board Roles/ Boardsmanship Professional Standard: Board members respect confidentiality of information shared by the administration. Progress on Implementing the Recommendations of the Recovery Plan: 1. The board does not participate in closed session discussions, and no concerns have been re- ported about board members breaching the confidentiality of information presented to them. The orientation and ongoing training agenda for board members includes information on the Brown Act and on confidentiality. Board members should continue to receive training in this area and continue to treat confidential information in an appropriate manner. Standard Implemented: Fully - Substantially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 1 June 2009 Rating: 5 January 2010 Rating: 7 July 2010 Rating: 8 June 2012 Rating: 8 April 2013 Rating: 8 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 32 ACCJC Standard IV ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.11 – Board Roles/ Boardsmanship Professional Standard: Board members do not involve themselves in operational issues that are the responsibility of the president and staff. Progress on Implementing the Recommendations of the Recovery Plan: 1. The board/special trustee has adopted several board policies that delegate operational issues to the appropriate staff. Board Policy 2200, Board Duties and Responsibilities (1/19/10), del- egates power and authority to the CEO to effectively lead the district and indicates that the board will respect the authority of the CEO by providing policy, direction, and guidance only to the CEO, who is responsible for the management of the district and its employees. Board Policy 2430, Delegation of Authority to the CEO (11/17/09), delegates executive responsibil- ity to the CEO for administering policies adopted by the board and executing all decisions of the board requiring administrative action. Board Policy 6100, Delegation of Authority (2/17/09), specifically delegates authority to the CEO to supervise the general business and fiscal affairs of the district. Board Policy 7110, Delegation of Authority, Human Resources (10/20/09), delegates to the CEO the authority to employ personnel, fix job responsibilities and perform other personnel actions subject to ratification by the board. With these adoptions, the board has in place the framework for meeting this standard. The team received no reports of board members being inappropriately involved in routine staff matters, and the board members indicated they were routing any operational concerns to appro- priate district personnel. This was confirmed by staff. The board should continue this practice. Standard Implemented: Fully - Substantially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 1 June 2009 Rating: 5 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 8 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 33 ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 5.12 – Board Roles/ Boardsmanship Professional Standard: The board acts for the community and in the interest of all students in the district. Progress on Implementing the Recommendations of the Recovery Plan: 1. The board/special trustee adopted Board Policy 2200, Board Duties and Responsibilities, dated January 19, 2010, which states in part that the board is committed to fulfilling its re- sponsibilities to represent the public interest. In representing the public interest, the board must speak with a coherent, unified voice. It is in the best interest of the community and students for the board to completely understand the recovery plan and be able to articulate it to the public. The board must also understand and support the revised MOU that describes the relationship between the Compton Center, Compton CCD, and El Camino CCD. 2. As the newly constituted board meets over the next several months, the members’ actions relative to this standard will become more evident. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 5 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 5 April 2013 Rating: 5 April 2014 Rating: 5 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 34 ACCJC Standard IV ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 6.2 – Board Meetings Legal Standard: The board agenda is made available to the public in the manner and under the time lines prescribed by law. (Government Code 54954.1, 54954.2) Progress on Implementing the Recommendations of the Recovery Plan: 1. Board agendas are posted 72 hours prior to the regular board meeting in a prominent place next to the Administration Building in compliance with the Government Code and Compton CCD board policy. Minutes from the previous regular meeting are also posted for public re- view. In addition, copies of the agenda are available at the board meetings. 2. In a review of the district website, the team found that the 2013-14 board meeting agendas and regular meeting minutes were posted on it; however, minutes were not posted for the 2013-14 special board meetings. The district should continue to ensure that agendas for all board meetings are posted in compliance with Government Code. 3. A schedule of 2013-14 board meeting dates appears on the Board of Trustees page of the dis- trict website, which allows interested members of the public and Compton CCD employees to plan their schedules should they wish to attend. Standard Implemented: Partially April 2007 Rating: 4 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 6 January 2010 Rating: 8 July 2010 Rating: 6 June 2012 Rating: 5 April 2013 Rating: 6 April 2014 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 35 ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 6.3 – Board Meetings Professional Standard: Board members prepare for board meetings by becoming familiar with the agenda and support mate- rials prior to the meeting. Progress on Implementing the Recommendations of the Recovery Plan: 1. The review team attended the regularly scheduled elected Board of Trustees meeting on March 25, 2014. The meeting was appropriately noticed and held to conduct regular busi- ness. The team also attended the regularly scheduled meeting of the Special Trustee’s Advi- sory Committee on March 26, 2014. At both meetings it was clear that the elected board and the advisory committee were prepared for the meetings. 2. The special trustee and the CEO indicated that the board is working hard to understand the is- sues and to work together as a board and not as five individuals. Because the board is limited to serving in an advisory capacity since a special trustee has been appointed and the educa- tional and student service programs fall under the purview of the El Camino CCD board, they must limit the areas they discuss and concern themselves with as a board. The elected board is engaged by the special trustee through the process of asking their opinion on items but does not have voting authority. As stated previously, the majority of the elected board is new and members are learning their roles. Some members are more vocal than others at meetings, but all appear to read their packets and meet with the CEO and special trustee for guidance when needed. As the new members become more familiar with district protocol and issues, they should be able to participate more fully in meetings. 3. With the appointment of the current special trustee in fall 2011, the elected board has gone through some changes regarding board meeting participation. They do not sit at the dais dur- ing all board meetings and do not attend closed session meetings. At the March 25, 2014 meeting, the members did sit at the dais, and the vice chair led the meeting for purposes of discussion. 4. The special trustee and the CEO are providing board training for the elected board. During this review period, members have been provided online training regarding board ethics and training regarding the Brown Act on March 10, 2014. Sexual harassment training was being scheduled at the time of the review team’s visit. In addition, the CEO and the elected board members attended the CCLC conference where they were able to work together and get to know each other. They also had the opportunity to meet with trustees from other community colleges, which will be helpful to them in their role with Compton CCD. Board members in- dicated they felt the trainings were helpful and appreciated having the opportunity to partici- pate in them. 5. During a prior review period, the special trustee sought applications from the community to serve on the Special Trustee’s Advisory Committee and provide advice. The stated pur- pose of the committee, as outlined in Assembly Bill 318, is as follows, “The CCCD Special Trustee’s Advisory Committee is organized to advise the Special Trustee with respect to the 36 ACCJC Standard IV management of the Compton Community College District.” During the last review, the Spe- cial Trustee’s Advisory Committee had 10 members. Currently there are seven members. The special trustee indicated there is no set number of members for the committee; however, to more fully represent all district areas, more members are being sought. The review team attended the committee meeting on March 26, 2014 and found it to be well-run and productive. Members were prepared on the agenda issues and asked pertinent questions. Interviews with two committee members indicated a clear sense of commitment to the district among the members. Members have varying backgrounds and represent different communities in the Compton CCD’s service area. The March 26, 2014 agenda of the Special Trustee’s Advisory Committee included several of the same items that the Board of Trustees will discuss, reports from the director of facili- ties planning and operations and the CEO, and budget information. Members of the campus community and the public were also present at the meeting. At the meeting, three members of the audience did not conduct themselves appropriately. Although the chair did a good job of attempting to restore order, some audience members were rude, disruptive and out of order. The CEO provided the Special Trustee’s Advisory Committee a list of subjects with some factual information about each of them and has encouraged committee members to share the information with the community. These subjects include the partnership with El Camino CCD, Compton CCD facilities, redistricting, and community engagement. The information was provided to help ensure consistent, factual information is shared with the community re- garding areas of potential interest and concern. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 2 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 5 April 2013 Rating: 5 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 37 ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 6.5 – Board Meetings Legal Standard: Open and closed sessions are conducted according to the Ralph M. Brown Act. (Government Code 54950 et seq.) Progress on Implementing the Recommendations of the Recovery Plan: 1. Closed session is held immediately after opening the board meeting. Open session occurs afterward and a report of any action taken in closed session is provided. The elected board members do not attend closed session at this time. 2. Information presented indicated that board meetings adhere to the Brown Act. Standard Implemented: Fully – Substantially April 2007 Rating: 5 January 2008 Rating: 5 July 2008 Rating: 5 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 8 April 2014 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 38 ACCJC Standard IV ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 6.6 – Board Meetings Professional Standard: Board meetings proceed in a businesslike manner while allowing opportunity for full discussion. Progress on Implementing the Recommendations of the Recovery Plan: 1. At the March 25, 2014 board meeting, the board conducted itself appropriately. However, of the five members on the elected board, two were absent. As previously mentioned, the major- ity of the board is new to their positions. Interviews with board members indicated concern by some about not being seated at the dais for every meeting and not being able to fulfill the duties of an elected board. Some of the tension experienced at meetings during previous vis- its was diminished. At this meeting board members were seated at the dais, and the special trustee asked the vice chair to lead the meeting, which included seeking individual feedback from each trustee on each agenda item. 2. During this review period, board members were to have completed a self-evaluation; how- ever, interviews with administrators indicated that only two members have completed the evaluation. Evaluation is a cornerstone of community colleges, and all segments are involved in some evaluation activities. The plan outlined in the previous review did not take place, and the CEO indicated that a self-evaluation process will be provided and completed at an open board meeting during the coming months. All elected board members should be in attendance at this meeting. The review team strongly recommends that the CEO and the board complete the self-evaluation process as it provides both important feedback to the board and the center, and it leads by example and demonstrates the importance of self-evaluation. 3. The Special Trustee’s Advisory Committee completed a self-evaluation, with six of the mem- bers participating. The evaluation examined the committee’s view of how they participate in community activities and events, how they participate in the Special Trustee’s Advisory Committee meetings, how they handle their fiscal responsibilities, whether and how they sup- port the partnership with El Camino CCD, and if they participate in special training. 4. The board meetings attended by the review team during the current and past several review periods have provided the opportunity for people to speak, as indicated in Board Policy 2370. Representatives from several organizations including the Academic Senate, the certificated union, the classified union, a classified staff representative, a faculty representative, and the Associated Student Body all have a place on the agenda for reports. This is part of the com- munication process between the Compton Center and the elected board, and the items were included on the March 25, 2014 board meeting agenda. 5. The civility at the March 25, 2014 board meeting was much better than it has been at meet- ings during some prior review periods. The ability to assess whether meetings routinely proceed in a businesslike manner is hampered due to the brevity of time the majority of the members have been on the board and the necessary information will become more evident in the months ahead. ACCJC Standard IV 39 Standard Implemented: Partially April 2007 Rating: 5 January 2008 Rating: 5 July 2008 Rating: 5 June 2009 Rating: 6 January 2010 Rating: 7 July 2010 Rating: 6 June 2012 Rating: 3 April 2013 Rating: 3 April 2014 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 40 ACCJC Standard IV ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 6.8 – Board Meetings Legal Standard: Members of the public have an opportunity to address the board before or during the board’s consid- eration of each item of business to be discussed at regular or special meetings and to bring before the board matters that are not on the agenda (Education Code 35145.5). Progress on Implementing the Recommendations of the Recovery Plan: 1. Board Policy 2350, Public Participation (10/20/09), outlines the three ways in which a mem- ber of the public may address the board. A member of the public may submit a request to address the board on a non-agenda item by presenting that request in writing within the first 10 minutes of the meeting. A request may be submitted to the CEO 18 days prior to a board meeting requesting that an item be placed on the agenda, as provided in Board Policy 2340, Agendas (10/20/09). A member of the public may submit a written communication to the board regarding an agenda item or request to speak on the item at the meeting; written com- munications regarding agenda items are to be received at least 24 hours prior to the meeting. 2. Board agendas and minutes indicate that the public is provided an opportunity to address the board at meetings. In addition, the review team’s observation of the March 25, 2014 meet- ing indicated that members of the public are given three minutes during the public comments portion of the meeting to address the board if they have submitted a written request; several individuals did so at this meeting. Members of the public also are allowed to address the board as items are presented throughout the meeting. Board members should continue to be provided training opportunities to ensure effective boardsmanship and the boundaries for ap- propriately responding to the public. Standard Implemented: Fully - Substantially April 2007 Rating: 4 January 2008 Rating: 4 July 2008 Rating: 4 June 2009 Rating: 7 January 2010 Rating: 8 July 2010 Rating: 7 June 2012 Rating: 7 April 2013 Rating: 7 April 2014 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 41 ACCJC Standard IV-B: Board and Administrative Organizations FCMAT Community Relations/Governance Standard 6.9 – Board Meetings Professional Standard: Board meetings focus on matters related to student educational attainment. Progress on Implementing the Recommendations of the Recovery Plan: 1. A review of board agendas and minutes revealed that each senior manager continues to have time on the agenda to discuss issues and accomplishments in their areas. The vice president of the Compton Center reports on academic affairs and student services, and presents items relating to student educational attainment. During the prior visit, the review team recom- mended that the district consider noting in the minutes significant items reported in the senior management reports as they relate to student educational matters so that center staff and the public reading the minutes might benefit from the information about Compton Center student successes. The team continues to recommend the incorporation of this information in the minutes because it is a good way to promote the center’s educational agenda. 2. The CEO reports at each board meeting on items of interest at the Compton Center and to the district, some of which touch on student educational attainment. 3. The CEO invites appropriate managers to discuss progress in their area as it affects student success at board meetings. For example, at the March 25, 2014 meeting, the vice president presented a report regarding full-time equivalent students (FTES) goals and actuals for 2013- 14, which was well-received by the special trustee and the elected board. Standard Implemented: Partially April 2007 Rating: 1 January 2008 Rating: 1 July 2008 Rating: 1 June 2009 Rating: 3 January 2010 Rating: 7 July 2010 Rating: 5 June 2012 Rating: 5 April 2013 Rating: 6 April 2014 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 42 ACCJC Standard IV Sources and Documentation Interviews and Meetings: Academic deans Associated Student Body members Board of Trustees members Chief executive officer Classified union president Faculty leaders (Academic Senate and certificated union) Faculty, staff and administrators Institutional Effectiveness Committee members Special trustee Special Trustee’s Advisory Committee members Superintendent/president, El Camino Community College District Vice president, El Camino College Compton Center Associated Student Body Council meeting, March 25, 2014 Board of Trustees meeting, March 25, 2014 Planning and Budget Committee meeting, March 25, 2014 Consultative Council special meeting, March 26, 2014 Special Trustee’s Advisory Committee meeting, March 26, 2014 District Documents: Board policies and administrative procedures regarding governance Compton Community College District Standing Committees 2013-2014, list revised February 3, 2014 Institutional Effectiveness Committee meeting agendas and minutes, April 2013-March 2014 Consultative Council meeting agendas and minutes, April 2013-March 2014 Planning and Budget Committee meeting agendas and minutes, April 2013-March 2014 CCCD/ECCD CEC 2013-2014 Organizational Structure, December 4, 2013 Agreement between the El Camino Community College District and the Compton Community Col- lege District (MOU), approved May 21, 2013 El Camino College – The Process to Accreditation – An Internal Planning Document, December 5, 2013 El Camino College Compton Community Educational Center 2013-2014 Enrollment Management Plan (no date) Board of Trustees meeting agendas, minutes, and supplementary material, April 2013-March 2014 Special Trustee’s Advisory Committee meeting agendas and minutes, April 2013-March 2014 Compton Community College District website (www.district.compton.edu) El Camino College Compton Center website (www.compton.edu) ACCJC Standard IV 43