Comprehensive Follow-Up Review

Compton Community College District Comprehensive Assessment Ninth Progress Report August 2015 Table of Contents Introduction and 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 ninth 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 Academic Achievement, Community Relations/Governance, Facilities Management, Financial Man- agement, and Personnel Management. FCMAT standards for the five operational areas have been associated with similar Accredit- “... the ACCJC accreditation ing Commission for Community and Junior Colleges (ACCJC) process is separate and distinct accreditation standards to assist the district with recovery and re- from the legislatively mandated gaining accreditation. However, the ACCJC accreditation process is separate and distinct from the legislatively mandated require- requirements of AB 318 and ments of AB 318 and assessment by FCMAT. assessment by FCMAT.” FCMAT is required to file written status reports on the district’s progress in implementing the recovery plan. The bill authorizes the Board of Governors of the California Community 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 rede- fined 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 president reports to the superintendent/president of El Camino CCD for the operational aspects of the Compton Center, including its instructional programs and student services. Business services, facilities, personnel, 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 now chaired by the CEO for the Comp- ton 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 ap- pointed 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 instructional procedures and systems has been challenging, including establishing the proper report- ing relationships, lines of communication, and the appropriate names and references for the Compton Center, operating under the auspices of the El Camino CCD. 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 in- tended 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. 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. 2 Fiscal Crisis and Management Assistance Team 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 development. (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 developed 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 appro- priate 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 sustain- able. (Scaled Score of 8) 9. All elements of the standard are fully and substantially implemented and have been sustained 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) Compton Community College District 3 Study Team The FCMAT team and partners for this ninth 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 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 • Michelle Plumbtree, Chief Management Analyst • Deborah Deal, CFE, CICA, Fiscal Intervention Specialist • Scott Sexsmith, Management Analyst • Debbie Martin, CPA, FCMAT Consultant Community Relations and Governance – College Brain Trust • Shirley Kelly, Retired Community College President • Peggy Moore, Retired Community College Vice President of Instruction 4 Fiscal Crisis and Management Assistance Team Executive Summary Summary of Progress As demonstrated in this ninth 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 officer (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 evaluate business office functions, develop and implement written processes and procedures 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 also remained with the district during this review period. Continuity and experience in this key leadership position has contributed to the continued improvement in facilities, maintenance and operations practices and progress in numerous Facilities Management standards. The role of the board is limited because it serves in an advisory capacity. However, the board has continued to make progress in developing functional working relationships with each other, the special trustee, administration and staff. The general tenor of board meetings has also improved markedly during this review period. The board needs to continue to develop these professional relationships and work to fully understand the appropriate role and conduct of a board member to ensure they effectively fulfill this advisory role and demonstrate their readiness to assume a decision- making role in the future. Compton Community College District 5 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 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 6 Fiscal Crisis and Management Assistance Team 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 ninth 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 us- ing 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 recovery and a return to local governance. This subset of standards is the focus of this ninth progress report and 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 success, 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 ninth 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 • 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 Compton Community College District 7 • 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 sdradnatS tesbuS ni lirpA lirpA lirpA enuJ yluJ .naJ enuJ yluJ .naJ lirpA lirpA lirpA lirpA enuJ yluJ .naJ enuJ yluJ .naJ lirpA 5102 4102 3102 2102 0102 0102 9002 8002 8002 7002 5102 4102 3102 2102 0102 0102 9002 8002 8002 7002 dradnatS CJCCA dna ,noissiM ,A-I **RN **RN 18.6 37.6 70.6 47.5 18.4 91.2 69.1 25.1 **RN **RN 0 0 0 0 3 52 62 62 *62 lanoitutitsnI ,B-I ssenevitceffE dradnatS CJCCA lanoitcurtsnI ,A-II ,B-II ;smargorP **RN **RN 00.7 37.6 62.6 74.5 04.5 88.2 44.2 57.1 **RN **RN 0 0 0 0 0 11 21 41 *51 troppuS tnedutS ,C-II dna ,secivreS gninraeL dna yrarbiL secivreS troppuS dradnatS CJCCA **RN **RN **RN 81.8 06.7 00.7 35.5 59.3 38.2 53.1 **RN **RN **RN 0 0 0 6 02 82 63 04 namuH ,A-III secruoseR dradnatS CJCCA 55.8 02.8 09.6 09.6 32.7 39.6 31.6 67.2 43.2 23.2 0 0 1 2 0 0 2 52 82 82 *04 lacisyhP ,B-III secruoseR dradnatS CJCCA ,ygolonhceT ,C-III 38.6 64.6 39.5 20.5 08.6 22.6 36.4 38.2 93.2 87.1 0 0 2 21 0 0 8 62 23 53 14 ,D-III dna secruoseR laicnaniF -VI dradnatS CJCCA gnikaM-noisiceD ,A ,sessecorP dna seloR 26.7 91.6 17.5 84.5 16.6 01.7 33.5 17.2 41.2 01.2 0 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 ** naht ssel detar dradnats laudividni on htiw ,xis a sehcaer aera lanoitarepo na ni sdradnats TAMCF fo tesbus eht fo gnitar egareva eht nehW ni ti edulcni ro aera eht weiver regnol on lliw TAMCF ,sraey cimedaca evitucesnoc owt rof sgnitar eseht deniatsus sah tcirtsid eht dna ,ruof a .stroper ssergorp erutuf 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 consecutive academic years during prior review periods, these areas were not reviewed by FCMAT nor included in this ninth 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 has been proactive and successful in seeking local funds for capital improvements as evidenced by the passage of Measure CC in November 2002, which authorized the issuance of $100 million in general obligation bonds, and the passage of Measure C for an additional $100 million in November 2014 at an approval rating of 78%. These bond measures 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. 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 complet- ing an interconnectivity agreement with Southern California Edison 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 10 Fiscal Crisis and Management Assistance Team new Central Plant chilled water system provides cooling in the Math/Science, Childcare, and Vocational Tech buildings while the building cooling programming continues. The project is in the close-out phase. 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. Retention Basin/Practice Field - The retention basin is complete, and the contractor in- stalled irrigation and hydroseeded the area. The project was completed in January 2015. Phase II – Utility Infrastructure Landscaping and irrigation along the main road, installation of fence panels in the north- east corner near the Greenleaf entrance and connection of domestic water, gas and sewer to the existing buildings is complete. The remaining outstanding item is the programming for the new lighting. Allied Health Building The California 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 project duration is 548 days. The project is in the closeout phase and is scheduled to be completed in December 2015. 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. 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 pro- posed changes. The district’s Technology Plan is integrated into the Comprehensive Master Plan. The Technology 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. 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 The district has a comprehensive Facilities Master Plan regarding the condition and assessment of all buildings. The plan includes components for energy efficiency, mechanical, electrical and fire alarm sys- tems, site utilities, technology, security and campus lighting. The Facilities Master Plan is a blueprint for the district to follow regarding new construction and maintenance requirements. 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. The stability of the district’s leadership team continues to contribute to the improvement in the Finan- cial Management standard ratings and influence the fiscal health of the district. Interviews, observations during fieldwork, and the review of supporting documentation show that the district has continued to make improvement and sustained or advanced its progress in all but one of the standards. The administration continues to work diligently to establish and communicate the lines of authority and proper chain of command throughout the organization. The continuing leadership demonstrated by the CEO and CBO provides an ongoing sense of stability for staff. Staff reported 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. The employees in the CBO and director of accounting positions have not changed during this re- view period, allowing the district to continue to maintain a strong, consistent leadership team in the Business Services Department and strengthen its ability to provide high quality services and make ongoing progress in the recovery process. Continued stability in this area will be essential to further strengthen operational procedures and to make sustainable progress in all areas managed by the Business Services Department. Senior management of the El Camino CCD continues to report high levels of confidence in the Compton CCD leadership team. The working relationships between the two institutions continue to be positive as a result of the consistency and strength of the current leadership team. Internal Control Environment, Fraud Detection and Internal Audit It remains a district priority to ensure that sound internal controls are established, reviewed, and monitored to deter and prevent material misstatements. The CEO remains committed to establishing an environment and culture that clearly communicates that fraud and other illegal acts will not be tolerated and that all allegations will be investigated. FCMAT continues to recommend that Compton CCD re-establish the internal audit function and adopt explicit board policies regarding an internal audit function to help regain momentum in establishing and monitoring proper internal controls in key operating areas. The internal audit plan, dated June 30, 2013, was developed to address the internal audit function. The plan identifies existing internal control weaknesses and outlines monitoring and processes and procedures updates 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 12 Fiscal Crisis and Management Assistance Team content area identified 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, independent of the business office, and should report to the CEO or the board/special trustee. The establishment of an audit committee could help to offset the loss of objectivity and neutrality cre- ated as a result of the lack of review by a third party. An audit committee would monitor the control structure and act as liaison between management and the internal audit function, and should be directly responsible to the CEO or board/special trustee to maximize the effectiveness of the control structure. Budget Development and Financial Accounting and Reporting The district continues to follow a structured budget development process based on a calendar of events and deadlines. The CBO is responsible for overseeing the budget development process and its resulting budget and is assisted by a budget analyst and one accountant responsible for categori- cal funds. Additional business office staff, such as the director of accounting and/or the accounting supervisor positons, should be cross trained in the budget process. In addition, the district should consider involving more staff members in the process, particularity with the projection of expendi- tures and the inclusion of expenditure plans. The district has policies and procedures in place to facilitate budget development and alignment of resources with district goals and objectives. The district now uses the TracDat software, rather than Plan Builder, to assist deans and individual departments in developing their budgets. Using this ap- plication, faculty and staff are guided through a process that correlates the overarching district goals, unit and area plans, and the district budget. Unit plans provided to FCMAT for review included one for the accounting department, which acknowledges recognition by the Business Services Depart- ment that improvement is needed in several areas. The unit indicates that it is unable to analyze resources and allocations to ensure proper alignment with strategic planning objectives. The district should continue to evaluate business office staffing levels to ensure there is enough staff and that the current staff have the training and skills necessary to accomplish the work required. The Planning and Budget Committee continued to meet regularly throughout the year and was provided information regarding the budget assumptions and projections. Discussion topics included the district’s budget, Five-Year Fiscal Management Plan, financial obligations associated with other postemployment benefits (OPEB) and the 2015-2016 Planning and Budget Calendar. Quarterly financial statements are presented for board/special trustee approval in a timely manner but lack detailed explanations for large variances that occur in revenues, other financing sources, expenditures, other outgo and cash borrowing. The district should provide a narrative to explain the variances between reporting periods. 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 extensive time necessary to perform the reconciliations monthly, reconciliations are only completed twice each year. The district should routinely reconcile the two systems throughout the year to ensure that transactions are accurate and recorded timely. Compton Community College District 13 Enrollment and Attendance The district has an established process for recording and reporting enrollment and attendance; however; there is an ongoing concern regarding the accuracy of some reports prepared and submit- ted to the state. The Enrollment Fee Revenue reports completed and submitted by the district for 2013-14 indicate errors may have occurred because it is a cumulative annualized report of total fees paid; therefore, the totals should increase from one reporting period to the next, but those reviewed by FCMAT declined. FCMAT could not assess whether this is an ongoing issue or an anomaly as reports for the 2014-15 second reporting period were not yet due at the time of fieldwork. The proce- dures for completing the report should be reviewed to ensure that reports are completed properly. The Apportionment Attendance report indicated that the district met its goal of 6,060 full-time equivalent students (FTES) for the 2013-14 fiscal year; however, to meet this goal the district bor- rowed 505 FTES from summer 2014. The FTES Goal and Actual report shows that 500 FTES will be borrowed from summer 2015 to use in fiscal year 2014-15. Although this is a standard practice used by California community colleges, caution should be used as summer FTES may eventually be exhausted by use in the prior fiscal year if borrowing continues to occur for several successive fiscal years. The district acknowledges that the use of summer FTES for prior year reports has been increasing, but a priority focused on student enrollment has been established with the goal of mitigat- ing this. Associated Student Body The district has adopted Board Policy 3600 and Administrative Regulation 3601; however, it is not following its policy and regulation in some areas. For example, evidence was not provided indicating that a list of all auxiliary organizations in good standing was provided to the board/special trustee or that the reviews of auxiliary organization procedures and practices had been conducted. The district should ensure that its board policies and administrative regulations are being followed and revise policies and regulations if they are no longer current. The district has developed an Associated Student Body Finance Code and Procedures Manual with written guidance on various operational procedures and best practices and recommends to staff that the FCMAT Associated Student Body Accounting Manual, Fraud Prevention Guide and Desk Reference be used as general guidance. Although the district has established procedures that require all journal entries, financial statements and bank reconciliations to be completed with management’s oversight, inconsistencies in practice were again identified during this review period. Bank reconcili- ations are prepared for each statement, but they are not always prepared timely, with adequate detail, and signatures and dates are sometimes missing. The district office should provide greater oversight of these activities, including review and sign off on all bank reconciliations, and ensure that funds are disbursed properly and timely. Maintenance and Operations The district has achieved stability in the leadership of the Maintenance and Operations Department and has retained the same employee as the director of facilities planning and operations during this review period. Ongoing and new modernization projects continue to be a significant focus for this position, while managing day to day operations of the department. The department utilizes a work order system shared with the El Camino Community College District, which has been economically advantageous. However, a shared system creates limitations in the district’s ability to maximize the benefits that exist with an independent system. Therefore, the system is only used to track work order requests and staff assignments by trade. 14 Fiscal Crisis and Management Assistance Team The Maintenance and Operations Department continues to have limited controls in place to track small tools and equipment. Since the last review the department has developed an Excel spreadsheet that lists known tools and equipment, which are now maintained in locked storage bins. Department staff check items out as needed. Although a list of tools and equipment has been developed, it is not up-to-date and routine physical inventories are not conducted. The district has continued the process adopted for facility use that includes rules, regulations and procedures regarding the use of civic centers. However, no updates to the fee schedule have been made, and documentation indicated that the district may not be charging the full rental value for all of its facility use agreements. Technology The district has begun to revise its technology plan. The current technology plan was prepared for the period 2011 through 2016 and was focused on rebuilding the infrastructure, which was extremely frail and vulnerable to failure. Staff reported that the infrastructure project is approximately 95% complete with only some minor fiber extensions left to be completed. Updates to the technology plan should include all identified critical limitations, include what is needed to incorporate and support advancing technologies such as wireless connectivity and user- provided devices, and should provide cost estimates and funding sources. Under the leadership of the technology management team, development of the plan update should be collaborative and incorpo- rate representation from all specialties. Considerable change in end user devices and applications has occurred since development of the 2011-16 technology plan, and the district faces ongoing changes in user needs. Updating and manag- ing equipment, applications and support has become a new focus and priority. Another priority of the technology department is replacing primary routers and switches in the network, which are ap- proximately 10 years old. The age of this hardware puts the district’s network at risk for failure. The district has developed a plan to address the network upgrade needs, and work is anticipated to begin in summer 2015. 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. Compton Community College District 15 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 continue to develop a cooperative working relationship with each other and with the special trustee and administrative staff to achieve improvement 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 district website and community roundtable meetings conducted by the CEO and vice president. The CEO continues to be committed to communicating information about the district, the campus facili- ties, 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 discussion. Because this is the primary shared governance group at the Compton Center, 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 transpires. A shared governance committee structure has been established to provide input to senior manage- ment; however, closing the communication loop is important so that people realize how their ideas are used in decision making. To more fully embrace inclusive decision making and provide for con- tinued improvement in communications, management should explain the reason for the final decision once it has been made, and representatives who receive the information should communicate it to their constituent groups. Community Relations Complaints received by the board are referred to the CEO for resolution, and board members are aware of their role regarding informal public concerns. It is important for the board to continue this practice and not to 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. During the prior review period all segments of the campus community, including students, classified staff, faculty, and managers, indicated that at times senior management seems to listen but not hear 16 Fiscal Crisis and Management Assistance Team what is shared. This situation has improved, and individuals reported that they felt their contributions are taken seriously and that senior management is listening and hearing. Board Roles/Boardsmanship 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 mem- bers that addresses the areas of expectations, roles and responsibilities, 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 continue to 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. The board has made significant progress and must continue to work as a unified whole, show respect for one another and support the decisions of the majority. The board needs to continue to 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 2014-15 board agendas and regular meeting minutes were posted to the district’s website; however, minutes were not posted for the special board meetings and had not been presented to the board/special trustee for approval. All board meeting minutes should be presented for approval at the subsequent regular board meeting. Members of the public have an opportunity to address both agenda and non-agenda items during board meetings. Beginning in July 2014, the elected board members have been seated at the dais for all board meet- ings, but they do not attend closed session. 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 April 21, 2015 Board of Trustees meeting. Board members acted in a professional manner at this meeting. The board meeting was conducted in a cordial and respect- ful manner, and members were clearly prepared to engage in meaningful discussion. Interviews and review of the 2014-15 board meeting minutes revealed an informed and interested board. Although agenda items can at times be extremely sensitive matters to board members, their conduct at meet- ings should remain professional. The best way for the Board of Trustees to demonstrate that it is able to assume typical board tasks, and to demonstrate its future ability for accreditation 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. However, it is critical that the members con- tinue to 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. 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 8 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 8 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 8 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 8 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 9 [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 7 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 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 10 munity Colleges. The college seeks state and local 2.3 6 6 7 10 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 9 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 10 capacity. [EC 15100] The college has developed a process to 2.11 4 4 4 8 9 10 9 8 10 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 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 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 9 funds is expended for maintenance and special repairs only. [EC 84660] The college maintains a plan for the 3.4 maintenance and modernization of its 1 1 2 8 8 8 8 8 9 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 10 ress of individual projects. Furniture and equipment items are 3.7 routinely included within the scope of 2 2 2 6 7 8 7 7 8 8 modernization 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating Rating Rating Rating Rating Rating Rating Rating Rating Rating Refurbishing, modernization, and new 3.8 construction projects take into ac- 1 1 2 7 8 8 7 8 9 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 9 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 9 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 9 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 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 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 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 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 8 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 9 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 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 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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. The standards in bold text are the identified subset of standards for ongoing reviews. 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 emergency planning requirements of three hazardous materials emergency response plans required in Cali- fornia: Hazardous Materials Business Plan, Hazardous Waste Generator Contingency Plan, and the Underground Storage Tank Emergency Response Plan and Monitoring Program. This plan is relied on to meet storage and usage quantities required by California state laws and regula- tions by the county of Los Angeles Certified Unified Program Agency. The plan identifies con- tact information including response and medical treatment facilities in case of an emergency. It identifies the Workplace Security Plan as the document used to coordinate evacuation. The plan also includes procedures for prevention, mitigation, and abatement of hazards, and lists emer- gency equipment to be available and employee training to be provided. 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. The Keenan & Associates consulting firm was scheduled to conduct the district’s hazardous material inventory the week of May 18 through May 22, 2015. 3. The district has contracted with Tremco and instituted the American National Standards In- stitute Z400.1-2003 for Material Safety Data Sheet preparation, which is a 16-section format. This format has been accepted in the United States as meeting compliance requirements of the Occupational Safety and Health Administration (OSHA) regulations. 4. An employee training plan is included in the 2013 Consolidated Contingency 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. 5. A March 2015 memo to staff regarding Material Safety Data Sheets (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. 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 April 2015 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. The district has created a key distribution chart that depicts the process for issuing and controlling keys for new employees and an exit plan for those who leave the dis- trict’s employ. 2. Rekeying had been incorporated in the district’s master plan, including the plan to rekey campus buildings with programmable key cards. Three buildings – the district’s Student Suc- cess Center (SSC), Central Plant and Management Information Systems – are finished and are equipped with programmable key card systems. The next building scheduled for rekeying is 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 vehicles to ensure the security of all district facilities and property. The review team was pro- vided documentation validating that the campus police control the disbursement of all keys for facilities and ensure the return of keys upon employee exit from employment. 4. The district has installed and activated 26 emergency “code blue” telephones strategically located throughout 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. Cooperation 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. The district has developed a graphic representation for the location of all security cameras and code blue telephones that is posted in each building for emergency response procedures for students, staff and faculty. 5. The district provided a sample completed Property and Equipment Release form that indi- cated the signed acceptance of district keys by an employee. 6. Interviews and documentation reviewed indicated that the district is moving toward key stan- dardization with the ASSA key system. The SSC and Central Plant have been completed ® using this system and the Allied Health Building is scheduled to be completed next. ACCJC Standard III 15 Standard Implemented: Fully – Substantially 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 April 2015 Rating: 8 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 campus. The maintenance and operations staff and the campus Police Department routinely inspect campus lighting conditions. Regular observations contribute to the timely repair of inoperative lighting and the installation of additional lighting where a need has been determined. 2. The Facilities Master Plan dated July 2012 identifies lighting design goals and includes exist- ing conditions and the proposed solutions for the entire campus. The plan has been completed and includes new lighting standards for entry points to the campus, parking areas, pedestrian pathways and stadium lighting. The lighting system is very sophisticated, and although the system is operational, the district is not satisfied that it is operating optimally. Therefore, the district has not released the final retainage to the contractor. 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. 4. Phase I photovoltaic (solar) panels for the Central Plant stadium lighting are installed and ap- proved by Southern California Edison. 5. The district was allocated $170,000 in Proposition 39 funds for fiscal year 2014-15. The ap- proved project proposes to upgrade the lights in the Vocational Technology Building with more energy efficient lights. At the time of FCMAT’s fieldwork, the district was reviewing the bids for this project and preparing to issue a Notice of Intent to Award to the successful bidder. ACCJC Standard III 17 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 April 2015 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 18 ACCJC Standard III 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 an Injury and Illness Prevention Program (IIPP) – hazard identifica- tion, 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. ACCJC Standard III 19 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 response equipment and supplies under their control, procedures for coordination with local emergen- cy response organizations, and hazardous waste generator training. 3. A March 2015 memo sent to staff regarding MSDS binders for each custodial closet indi- cated 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 IIPP, updated in October 2014, 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. Infor- mation provided to FCMAT indicates that inspections 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. The cleaning schedules provided to the review team include a list of the requirements to have MSDS available on the work site. 6. At the time of FCMAT’s fieldwork, a campuswide chemical inventory was scheduled to be completed in May 2015 in conjunction with Keenan & Associates. 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 April 2015 Rating: 8 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 1.12 - 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 was provided that reflects needed repairs and improvements for the 2014-15 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 director of facilities planning and operations that provided excellent visual confirmation of all the campus im- provements, including restrooms and doors, repairs and patches in concrete and asphalt sur- faces, rejuvenation of the cafeteria common area, lighting, landscape and the Student Success 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 October 2014, 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 district’s Program Effectiveness Summary, which addresses security, emergency pre- paredness, fire prevention, playground safety, chemical safety, forklift safety and training, asbestos, pest management and IIPP includes reporting of unsafe conditions and recommen- dations for corrective action. Standard Implemented: Fully - Substantially 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 April 2015 Rating: 8 ACCJC Standard III 21 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 22 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 dramatically, and site walks conducted with the director of facilities planning and operations demonstrated thorough cleaning and mainte- nance of most buildings. During FCMAT’s fieldwork, the campus was clear of litter. New flowerbeds have been installed in multiple areas and improved the overall campus aesthetics. 2. The maintenance department contracts annually with Advance Fire Extinguisher for all fire extinguishers to be serviced. The district provided a matrix of the location, quantity, size and manufacturer of fire extinguishers distributed throughout the campus. The utility maintenance workers are responsible for checking all fire extinguishers monthly, which includes dating and initialing the tags on each extinguisher. Fire extinguishers observed by FCMAT reflected current service and inspections. 3. The Work Schedule Detail Report dated March 2014 lists tasks that are to be completed to provide a safe, clean, and functional environment. FCMAT observed evidence that account- ability measures are in place to help ensure these procedures are followed and tasks are com- pleted. However, more follow-through from the Human Resources Office is needed in deal- ing with difficult employees. 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: 6 June 2012 Rating: 6 April 2013 Rating: 4 April 2014 Rating: 7 April 2015 Rating: 8 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 1.15 - 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 October 2014. The document specifies the fol- lowing 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 present new hazards. 2. The Director of Maintenance & Operations or designee will conduct periodic unsched- uled 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 requirements to fix or report unsafe conditions. Work order documentation and completion dates were reviewed by FCMAT for work orders from July 1, 2014 through March 31, 2015 that demonstrated evidence of reporting, and repairs were per- 24 ACCJC Standard III formed 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 re- quired, pending funding and orders completed. Standard Implemented: Fully - Substantially 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 April 2015 Rating: 8 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 1.18 - 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 dated 2014 establishes the mini- mum requirements pursuant to the Jeanne Clery Disclosure of Campus Security and Crime Statistics Act to maintain the following goals included in the plan: 1) to make every employ- ee aware of the potential for violence in the workplace, 2) to increase the employee’s ability to recognize 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 student’s 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. 26 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 April 2015 Rating: 10 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 27 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 condi- tioning repair, and roof repair as needed. 2. Southern California Gas conducted a flue gas analysis on March 17-19, 2015 for the boiler in the men’s and women’s gym. 3. The district conducted an energy analysis through Southern California Edison dated February 2015 for the controls, chillers and boilers throughout the campus. 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 April 2015 Rating: 9 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 1.24 - 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. Maintenance staff continue to receive professional development training for first aid, CPR, and automated external defibrillator (AED) objectives in accordance with the American Heart Association Heartsaver First Aid CPR AED program for the 2014-15 fiscal year. The director of facilities planning and operations completed the certification process. ACCJC Standard III 29 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 April 2015 Rating: 7 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 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 continues to conduct annual first aid training for maintenance and custodial em- ployees. Maintenance and custodial 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. 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 April 2015 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 31 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, lighting, landscaping, energy efficiency 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. 3. The district plans to update the Facilities Master Plan in the next 12 months. 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 April 2015 Rating: 10 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 2.3 - 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, and the passage of Measure C for an additional $100 million in November 2014 at an approval rating of 78%. These bond measures authorized funds to repair and renovate instructional classrooms and job training facilities, and upgrade security systems, electrical capacity, computer technology, energy ef- ficiency, and roofing systems. 2. The following Proposition 39 projects are in the approval or planning phases: Year 1 – The district was allocated $215,372 in Proposition 39 (California Clean Energy Jobs Act) funds for fiscal year 2013-14. Express Energy Services completed this lighting upgrade project last year. All close-out documentation for Year 1 was accepted by the state Year 2 – The district was allocated $170,000 in Proposition 39 funds for fiscal year 2014-15. The approved project will upgrade the lights in the Vocational Technology Building with more energy efficient lights. The district anticipates that the contract will go to the board/spe- cial trustee for approval in April 2015. Year 3 – The district’s proposed allocation is $137,000 in Proposition 39 funds for fiscal year 2015-16. The district has been in discussions with Southern California Edison and the Gas Company, and their consultants have provided the state with a proposed Year 3 project list. 3. The district continues to maximize local bond dollars with state funding for the infrastructure replacement capital outlay projects. The receipt of any new state funding and management of these projects continues to reside with El Camino CCD, which has the management responsi- bility to ensure that projects stay within scope and budget. ACCJC Standard III 33 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 April 2015 Rating: 10 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 2.5 - 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 hired a permanent director of facilities planning and opera- tions after operating with several interim facilities directors in the past. 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. The director has extensive experience working with the state regarding project funding and the Division of the State Architect’s Office. 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 April 2015 Rating: 9 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 2.6 - 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 2014-15 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 planning analysis as a decision-making tool to determine 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 April 2015 Rating: 9 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 2.10 - 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 2014-15 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 2014-15 Total Assessed Value $17,403,463,439 Statutory Debt Limit Factor 2.50% Bonding Capacity $435,086,586 Outstanding General Obligation Bonds (78,152,826) Available Bonding Capacity $356,933,760 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 April 2015 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 2.11 - 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 2014-15 assessed valuation is $17,403,463,439 and the district’s bonding capacity is esti- mated to be $435,086,586. 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 April 2015 Rating: 10 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 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 boundaries. 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 voters in November 2002, and Measure C authorized in November 2014. 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 four consecutive years of assessed value growth after experienc- ing two years of decline. 3. The estimated assessed valuation for fiscal year 2014-15, as provided by Keygent advisors, is $17,403,463,439. 4. The district has a report that includes assessed valuation history, land use analysis, residential parcel 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 April 2015 Rating: 10 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 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 2016-20 Five Year Construction Plan dated July 2014 includes a list of capital facilities projects prioritized in alignment with the 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 40 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 2014-15 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: 1. Student Success Center 2. Infrastructure Phase I & II 3. Management Information System (MIS) The Allied Health Building is under construction. 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 April 2015 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 3.4 - 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 ex- isted in its current location for six decades and has been distinguished by the high quality 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 technol- ogy. Analysis of the condition and cost to rehabilitate these facilities led to the identification 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 facilities. 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. • Reconcile directly into the Five-Year Capital Construction Plan. • Be a living document to be revisited regularly (revise as needed). 3. The district provided a maintenance plan with a budget of $500,134 for the 2014-15 fiscal year that included projects for electrical repair, building connectivity, safety fencing and other requested projects. 4. 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 main- tenance work order software to the planning budget including annual maintenance costs. 42 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 April 2015 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 3.6 - 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, through El Camino CCD, 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 proposals 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: 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. The district continues to await approval from DSA. 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 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 provides cooling in the Math/Science, Childcare, and Vocational Tech buildings while the building cooling programming continues. The project is in the closeout phase. 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. Retention Basin/Practice Field The retention basin is complete, and the contractor installed irrigation and hydroseeded the area. The project was completed in January 2015. Phase II – Utility Infrastructure Landscaping and irrigation along the main road, installation of fence panels in the northeast corner near the Greenleaf entrance and connection of domestic water, gas and sewer to the 44 ACCJC Standard III existing buildings is complete. The remaining outstanding item is the programming for the new lighting. Allied Health Building The California Department of Finance gave final approval for this project at the end of Feb- ruary 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 project duration is 548 days. The project is in the closeout phase and is scheduled to be completed in December 2015. Standard Implemented: Fully - Sustained 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 April 2015 Rating: 10 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 3.7 - 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. The district continues to include furniture and equipment items routinely with each new con- struction and modernization project. 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. 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 April 2015 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 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. 3. In 2014 AT&T performed a complete assessment of the district’s servers, life term of the servers, and security of the network, and made recommendations on the network and security including an assessment of campuswide Wi-Fi technologies. The goal is to provide Wi-Fi ac- cess anytime and anywhere to students on campus. 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 April 2015 Rating: 9 ACCJC Standard III 47 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 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. The director of facilities planning and operations served previously as a senior project man- ager for a construction management firm that worked with the district for several years. The director has extensive experience in construction planning and development and is extremely knowledgeable regarding DSA requirements for the application and submittal processes. 2. The district uses three separate architectural firms that have extensive knowledge of DSA re- quirements. 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 April 2015 Rating: 9 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 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 6600, 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, contracts, in- voices, warrants and cash flow statements by project. 3. Facilities 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 50 ACCJC Standard III 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 mainte- nance department, rather than in one centralized location. District staff verified that district- controlled plans have been moved to the Central Plant 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 April 2015 Rating: 8 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 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 52 ACCJC Standard III 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 de- mand. 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. 4. 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 and is waiting for written approval from Southern California Edison. 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 April 2015 Rating: 8 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 8.3 - 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. Four buildings have been added since construction of the original campus in 1953. 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 California Public Utili- ties Commission funds the incentive for the program. 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. A memorandum from the director of facilities planning and operations to the CEO, dated March 18, 2015, identifies the status of capital facilities projects planned and under construction. 5. The 2016-20 Five-Year Construction Plan narratives reflect the incorporation of best prac- tices training for staff, energy-efficient technology and energy management systems. 54 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 April 2015 Rating: 10 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 8.5 - Facilities Maintenance and Custodial - Adequate Maintenance Records and Inventories Professional Standard: Adequate maintenance records and reports are kept, including a complete inventory of supplies, ma- terials, tools, and equipment. All employees required to perform maintenance on the college sites are provided with 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. 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 has increased the efficiency of the maintenance staff by organizing schedules, tracking equipment and supply inventories, standardizing procedures and improving training and competency. However, interviews indicated that the inventory spread- sheet used to track minor equipment and tools is not comprehensive and up-to-date. 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 April 2015 Rating: 6 56 ACCJC Standard III 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 8.6 - 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. At the time of FCMAT’s fieldwork, most of the department’s employees were scheduled to be evaluated by April 2015. 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 help ensure that eval- uations 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 April 2015 Rating: 8 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 8.7 - 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 frequency, 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 April 2015 Rating: 8 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 8.8 - 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 tools and supplies needed to perform their duties; how- ever, in some instances employees had to share equipment, such as extractors and buffers. 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 April 2015 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 8.9 - 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 district provided a scheduled maintenance plan for the 2014-15 fiscal year that included projects totaling $500,134. Several of the projects included in the maintenance plan were for the repair or replacement of flooring and carpet in classrooms, restrooms and faculty lounges. 2. The director of facilities planning and operations implemented the Hillyard CCAP in fiscal year 2013-14 to determine campus facility custodial needs. The program continues to provide specific direction as to the frequency, method, supplies, equipment and time needed to com- plete 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 fre- quency of non-essential tasks is reduced. 3. 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. 4. 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. Standard Implemented: Fully - Substantially 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 April 2015 Rating: 8 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 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 has hired one student worker and one provisional worker who restock supplies in the men’s and women’s restrooms as part of their daily duties. 4. At the time of FCMAT’s fieldwork, some of the grounds areas had not been properly main- tained and weeded. District staff acknowledged the issue and indicated that plans were under- way to resolve the situation. 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 April 2015 Rating: 6 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 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 63 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. 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 64 ACCJC Standard III 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. The Facilities Master Plan de- tails the overhaul of the campus infrastructure and the demolition and construction of several structures, which are to be completed in the next few years. District staff report that the plans to improve 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 components 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 and Measure C) sources. Many of the requested projects will address some of the infrastructure problems, such as nonfunctioning sprinklers, but many replacements or upgrades to the in- frastructure cannot occur until a later phase of the Facilities Master Plan because of proposed construction and demolition of existing facilities. 3. Campus landscaping was greatly improved with projects completed for the driveway access, parking lots, etc. 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 April 2015 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 65 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 adopted Board Policy 6700, Civic Center and Other Facilities Use, dated March 17, 2009. The district updated the facilities usage policy that includes all administrative rules, regulations and procedures including Education Code Section 82537 regarding the use of civic centers, as of June 2009. The district is in the pro- cess of adopting a new facility fee schedule for civic center use. The policy and corresponding administrative regulations are accompanied by a fee schedule that lists fees for all facilities on the campus. The administrative regulation also identifies civic center permit categories and 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 66 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: Board policies and administrative regulations relative to physical resources CCCD/ECCD CEC 2014-15 organizational chart CCCD Audit Report for period ending June 30, 2014 CCCD Proposition 39 Financial & Performance Audit 2014 District Bonding Capacity 2015 District Assessed Valuation CCCD Fire Extinguisher Report 2014 CCCD Security Report 2014 CCCD Crime Statistics 2014 Asbestos and lead paint survey, 2007-08 CCCD Maintenance Report, March 2015 CCCD Allied Health Building Fusion Excel Workbook 2015 Consolidated Contingency Plan 2013 Custodial Machinery Inventory 2014 Facilities Planning and Operations assignment schedule 2014-15 CCCD Completed Work Order Report 2014-15 CCCD Work Order System Pie Chart CCCD Hazardous Prevention Form CCCD Cost Estimate Summary Report for Phase I Infrastructure ACCJC Standard III 67 Material Safety Data Sheets - email communications CCCD Solar Interconnection Application Chief Executive Officer - weekly updates for facilities, 2014-15 CCCD Safety Meeting minutes, 2014-15 CCCD Technology Plan 2012 CCCD Space Inventory Diagram 2010 School Dude Maintenance Work Order Documentation 2014 Safety Training Schedule 2013 CCC BOG Energy and Sustainability policy Classified Evaluation Form Facilities Committee Meeting notes and minutes, 2014 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 2016-20 Five Year Construction Plan, July 2014 Property and Equipment Release Form Program Effectiveness Summary Work Environment Expectations Financial activity reports, 2014-15 Memorandum, director of facilities planning and operations to the CEO, March 18, 2015 Other: Site walk/observation 68 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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. District staff exam- ined 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 technol- ogy, outdated 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, led by the dean of student learning in the Career and Technical Education Department. The district rec- ognizes 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 optic cable to meet high speed data connection requirements campuswide. Staff report that the upgrade is approximately 95% complete with only some minor fiber extensions needing to be complet- ed. The focus has now shifted to updating and managing user/end user equipment, applica- tions and support. Technology staff also indicated that the primary routers and switches in the network are ap- proximately 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 Math and Science building, which is expected to be modernized, and the row buildings, which are expected to be de- molished at some point. As the fiber deployment has progressed, some connections remain insufficient or unreliable. With the opening of the Student Success Center (SSC), the need to incorporate dedicated bandwidth and upgrade infrastructure and equipment in other buildings has become even more apparent, as there is a desire to incorporate virtualized labs in loca- tions other than the SSC. Staff stated this cannot take place without the upgrades. A major initiative to address the needed network upgrades is now planned, with work begin- ning in early summer 2015 and planned for completion in fall 2015. This initiative includes a comprehensive analysis of the data infrastructure, security analysis, replacement of core and edge switches, and 200 additional wireless access points. If approved, funding for this project will be provided by the district’s general obligation bonds. 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. It should also clearly present budget amounts and iden- ACCJC Standard III 7 tify funding sources. The plan update should be a collaborative project that incorporates rep- resentation from all specialties, and the technology management team should take an active role in the leadership of developing the plan. 2. The district has worked diligently to stabilize its technology infrastructure over the last sev- eral years to ensure its network is reliable. The district has a dedicated network server room located in the Management Information Systems (MIS) Department. The server room has a redundant cooling system and a generator power backup, ensuring the district’s ability to avoid disruptions in service and properly protect the equipment. While the server room pro- vides adequate space for district needs and houses recently replaced core MIS equipment, the district has not yet begun to refurbish the rest of the technology center as organized work- space for technology staff nor has a timeline been established for these improvements. 3. 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. Tapes are stored at the offsite loca- tion for five weeks and then brought back into the tape rotation. If the system requires resto- ration, only five weeks of data can be recovered. The technology staff reported they are de- veloping a disaster recovery system that will have real time disc-to-disc backup to El Camino Community College with the intent to backup critical data and, in the case of a disaster, to be able to recover access by making that data available on servers located at El Camino Com- munity College The data storage component is available for configuration but the servers have yet to be purchased and are not budgeted. The district had contracted with a vendor to configure the storage, but the vendor has gone out of business. Documentation of backup and restore procedures specific to the district along with related staff duties and responsibilities are nonexistent. The MIS Department should create written op- erational policies and procedures documenting essential duties of the technology services staff, including those related to systems backup. The district should review the five week backup cycle to determine if this short period is adequate in meeting its need for data recovery. 4. Technology staff reported that when vendors are selected for projects, the vendors are re- quired to provide system information (fixed asset, add, remove and change procedures, manuals, etc.) as part of the scope of work. All documentation, including written procedures, continues to be provided by El Camino CCD. Administration and oversight of technology services continue to be provided by an El Camino CCD staff member assigned to the Comp- ton campus as the manager of MIS. The position is paid by the Compton CCD and collabo- rates 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. 5. 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 ACCJC Standard III 6. The district’s nine-member Technology Committee includes management, faculty, staff and student representatives. The committee meets monthly and prepares minutes. The committee is working to identify needed upgrades and expansion of the network infrastructure including wireless access, security issues, cabling, and switch replacements. Long-term views, solu- tions and requests are more the focus than end user support issues. The committee includes individuals who have an understanding of technology including social media, cross-campus projects, and the need for long-range plans in addition to support for individual issues. 7. 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 uploaded to PeopleSoft. The Compton CCD continues to struggle working in two systems, as financial transactions are not updated timely into PeopleSoft. 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 gen- eral ledger. The business office continues to work at establishing a process for reconciliation of the two systems using spreadsheets reportedly used by the El Camino CCD for the same purpose. However, staff members continue to report that this has been a very time intensive process and ultimately the two systems are only reconciled two times each year. The district should continue efforts to routinely reconcile the information in the two systems. The district CBO and manager of MIS should work to identify potential interface applica- tions to automate data sharing between the El Camino CCD Datatel Colleague and LACOE PeopleSoft systems to determine the advantages, if any, of developing similar interface appli- cations for the Compton CCD Datatel Colleague 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 April 2015 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 9 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 campuswide hardware and software needs and should be updated. How- ever, with the establishment of a solid infrastructure adequate to support technology now in place, district technology staff are reviewing current inventories of computers and other technology equipment throughout the campus to determine the age and usefulness of existing devices. 2. Although the district has prepared an inventory of technology hardware, no ongoing replace- ment plan has been developed. Technology staff indicated a desire to consolidate the inven- tory data to provide a single comprehensive accounting that becomes the basis for a replace- ment schedule. As part of the technology group’s efforts to create an accurate inventory, they have recently upgraded their desktop/laptop management software to automatically produce these inventory lists. This project included upgrading from Symantec’s Altiris Deployment Solution (DS) 6.9 to Symantec Management Platform (SMP) 7.5, which allows the district to accurately inventory the Windows 7 computers. In addition to this feature, the new software allows technology staff to analyze the statistics generated related to the usage of software ap- plications installed on computers. This information will be of great use in reviewing software licensing counts, renewals and upgrades. Technology has a limited useful life and requires ongoing support and upgrades to ensure it remains functional. A comprehensive inventory and replacement schedule is essential to district operations and the educational programs. Increased dependency on technology is cre- ated as connectivity is enhanced and new equipment and software are acquired and installed. The district needs to develop a technology equipment replacement schedule that includes cost projections, and incorporate those projections into its multiyear financial projections, ensur- ing that resources are identified to support this investment in technology. Although a budget is prepared for the MIS Department, the district still lacks an ongoing budget commitment for routine replacement of 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. The district is preparing to replace approximately 130 outdated computers of the 189 utilized by staff. Approximately 95 of the computers being replaced utilize the Windows XP operating system, which is no longer sup- ported by Microsoft. The district is planning to utilize a vendor to help install these comput- ers and in migration of user data from the old computers to the new. The district is also preparing to replace 149 lab computers, which is approximately 75% of all lab computers. This work is scheduled for May 2015 following student graduation. Tech- 10 ACCJC Standard III nology staff reported that departments are responsible for the purchase of new and replace- ment computers and the old ones go to the MIS Department for repurposing or disposal. 4. Identifying a stable, reliable and ongoing funding source is among the greater challenges in addressing equipment replacement needs. Interviews indicated that the MIS manager was included in budget development discussions for the 2014-15 proposed budget, which resulted in a one-time allocation of $100,000 for staff and lab computer replacement. Although the district still lacks an official ongoing equipment replacement cycle, it has now implemented tools (Altiris upgrade) that will allow staff to more accurately generate reports on aging hard- ware, which in turn should help determine the replacement cycle components and the costs. District administration should continue to meet with the technology leadership to identify and discuss needs to sustain current technology and support identified technology improvements. The district should identify stable, reliable and ongoing funding source(s) to meet the tech- nology 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 April 2015 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 11 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 continued to be a challenge for the staff to seek and attend formal trainings related to sup- porting administrative systems. However, technology staff members have been extensively involved in the technology infrastructure upgrade project over the last several years and have benefited greatly from training from contractors and vendors engaged in the projects. The direct involvement of technology staff in the deployment and configuration of wireless networks, network switches, Voice over Internet Protocol phones, server virtualization, and a storage area network also served as a hands-on professional development vehicle. Vendors shared their knowledge with technology staff consistently throughout these projects. 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 computer- based training-on-demand options have been universally accepted by college staff, 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, and all district staff members are presented with opportunities to receive local training in ap- plications such as Windows 7, Excel, Word, and Web page maintenance. LACOE offers rou- tine annual trainings related to financial matters and student attendance. 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 April 2015 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 12 ACCJC Standard III Sources and Documentation Interviews: Account clerk Accountant Accounting technician Budget analyst Director of admissions and records Director of enrollment services Information systems engineer Manager of MIS, El Camino CCD Payroll specialist Purchasing technician Utility maintenance supervisor District Documents: El Camino College Compton Community Educational Center Technology Plan 2011-2016, June 13, 2012 Technology Committee meeting agendas and minutes, September and October 2014, February 2015 Student Lab Inventory Replacement Report, no date Staff and Faculty Windows Project Version 5, December 2014 Design for CMS 7.5 SP1 Version 1.2 (Symantec Upgrade), February 6, 2015 CDWG RFP 2014 - Windows XP - PC Migration Project, March 14, 2014 Technology Training Classes Offered, emails dated September 29, 2014; October 20, 2014; and No- vember 14, 2014 Statement of Work by ATT for Student Success Center, no date Statement of Work by OnX USA LLC for VMWare Configurations, August 10, 2014 Compton Community College Project Kickoff by OnX Presentation, January 9, 2015 Compton Center LRC Implementation Deployment Documentation, no date Commvault Backup Manual Excerpts, March 16, 2015 Compton Community College Backup Procedure New Server Infrastructure, no date Compton Community College District Infrastructure & Wi-Fi Project Technology Analysis and Pro- posal, February 19, 2015 Other: Student Success Center and MIS Building tour/observation ACCJC Standard III 13 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 9 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 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 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 7 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 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 8 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 7 board, staff and community are easily understood. 4 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 7 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 10 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 5 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 manner as unrestricted general fund 0 0 1 5 7 7 4 4 4 5 revenues and expenditures. Categori- cal program development is integrated with the college’s goals and is used to respond 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 5 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 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 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 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 7 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 6 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 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 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 7 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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 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 10 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 9 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 10 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 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 8 cordance with college policy. 14 ACCJC Standard III Accrediting Commission for April Jan. July June Jan. July June April April April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 10 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 5 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 April Community and Junior Colleges 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard III: Resources Rating 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 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, dated December 15, 2009, addresses the limitations and disclosure 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 Interest Disclosure, dated December 15, 2009, describes in detail the general requirements, designated employee positions, disclosure categories, gifts and hono- raria. 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 and administrative regulation demonstrates the district’s ongoing commitment to enhance its ethical and behav- ioral standards and provides a strong basis for an internal control environment that is condu- cive to preventing fraud, misappropriation of funds and other illegal activities. 2. The Compton CCD special trustee and CEO continue their commitment and diligence to ensure organizational expectations are communicated regularly to employees. Consistent in- tegrity 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. The continuing leadership demonstrated by the current CEO and CBO provides an ongoing sense of stability for staff. Staff expressed 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. Staff members continue to speak highly of the leadership. 3. The district has renewed its focus on routinely reviewing and updating board policy and ad- ministrative regulations. The administrative team has established a goal to review 15 or more each year, and FCMAT identified progress in this area based on interviews, review of district communications, and updated board policies and administrative regulations. The district should continue efforts to ensure that all board policies and administrative regulations are routinely reviewed, updated, developed and implemented; and the continued development of operational procedures should also occur to strengthen policy effectiveness. The district should ensure staff are informed and trained in all areas of change that affect their areas of responsibility. ACCJC Standard III 17 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 April 2015 Rating: 9 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. FCMAT was provided with an organizational chart for 2014-15 reflecting no change to the organizational structure since the last report. Each division in the organizational chart is sub- divided into its supporting departments. This chart provides direction for management and support staff by documenting clear lines of authority. As indicated during the previous reporting period, AR 3101, Management Organization Chart, issued March 15, 2010 does not reflect the most up-to-date organizational chart pro- vided to FCMAT. The chart in AR 3101 should be updated to reflect the actual structural de- lineation, lines of authority and reporting to the Compton CCD CEO and El Camino CCD or the regulation should be revised so that it does not incorporate such detail. 2. Employees interviewed continued to indicate that they understand the organizational report- ing structure for communication and they clearly understand the appropriate chain of com- mand. 3. The employees in the CBO and director of accounting positions have not changed since the last reporting period, allowing the district to continue to maintain a strong, consistent leader- ship team in the Business Services Department. The ongoing stability in department leader- ship continues to strengthen the ability to provide high quality services. 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 fis- cal 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 con- fidence in the Compton CCD leadership team. The working relationships between the two institutions continues to be positive as a result of the consistency and strength of the current leadership team. ACCJC Standard III 19 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 April 2015 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 has established and continues to use systematic evaluation instruments for all employee groups. The evaluation process for faculty has been modified since the prior review period and is defined in Article X of the collective bargaining agreement between Compton CCD and the certificated bargaining unit. Two evaluation formats have been established and agreed upon and include a Standard evaluation and a Specialized evaluation. The format and frequency of certificated staff evaluations depend on the position held, the duration of time in the position and other circumstantial factors. The foundation for the classified employee evaluation is established by the personnel com- mission 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 pro- cess if the employee is not satisfied with the evaluation. Further information is provided in the Guide to Evaluation of Performance in the Classified Service document prepared by the Compton CCD Human Resources Department. The 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, attendance and punctuality, safety and communication skills. The management evaluation document includes templates for basic, comprehensive and ad- ministrative evaluations. This standardized framework provides the necessary guidance for managers and ensures that the district’s overarching goals are addressed in the process. Perfor- mance evaluations are required annually for all management and classified employees. 2. 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. The review team selected and reviewed a sample of employee evaluations and continues to observe instances where the evaluator addresses specific areas of improvement and provides measurable goals to attain satisfactory results on future evaluations. At the time of FCMAT’s fieldwork, evaluations for the May 2014 review period had been completed for most em- ployees within the required timeframe, with a few exceptions. 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 acknowledge and encourage progress. District leaders understand their roles and the need to move through the appropriate stages ACCJC Standard III 21 of the evaluation process when performance weaknesses are identified but are consistently challenged by competing priorities on their time. Regular training regarding best practices for completing employee evaluations should continue to be conducted. 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 April 2015 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 solidification of the management hierarchy continues to improve the effectiveness and efficiency of management oversight of employees and their work. The recognition by staff and faculty of the management hierarchy in execution and oversight of daily staff as- signments continues to demonstrate the expectation of high integrity and ethical behavior throughout the organization. 2. The CBO continues to assume a leadership role and manages some routine tasks focused on budget development, financial projections and facilities accounting. The director of account- ing is primarily focused on financial accounting aspects of the department and continues to provide technical assistance and guidance to staff. Staff reported that while they work more closely with the director, the CBO continues to be involved in daily operations and provides leadership to the management team. The expectation of staff members to demonstrate their work product and provide an overview and backup documentation to support the work per- formed continues in the business office. 3. 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 To meet this objective, the development of written operational policies and procedures for business office functions has continued, although the intensity and speed with which they are developed has slowed. 4. Formal operational policies and procedures help to establish protocols for the completion, re- view and oversight process of each function in the business office. When properly designed, implemented and followed, written procedures improve the effectiveness of the internal con- trol structure and offer reasonable assurance that occurrences of fraud will be avoided. Staff reported that at times modifications to procedures or standardized forms are implemented, but communication of those changes does not take place. Training staff as changes in policies and procedures take place is essential to their successful implementation. 5. 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, ACCJC Standard III 23 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, 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. The district is exploring the formation of an audit committee that would include individuals outside of the business office. Compton CCD continues to work to discourage and detect fraud by developing and implementing applicable policies and procedures, and continues to partici- pate in the WeTip program and fraud hot line as the primary tools to communicate the presence of a fraud prevention program. 6. Establishing and maintaining a fraud prevention program is essential in fraud deterrence. The district operates a fraud prevention program that includes a fraud hot line, which allows anonymous tips about potential fraud. Although the administration has worked to increase awareness throughout the district of the WeTip program, FCMAT did not observe as many posters promoting the program throughout the campus during this review as were observed during the prior review. Program promotion through multiple postings throughout the cam- pus, including department and student notice boards, helps create program awareness and conveys a higher level of focus by the administration to fraud prevention. WeTip information can also be accessed by going to the district’s website. The district should consider making the WeTip link on its website home screen more prominent to help people understand the im- portance of the program. 7. 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. 8. During previous review periods, an 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. The distribution of some duties within the Business Ser- vices Department has changed during this review period, including those associated with accounts payable, and interviews with staff responsible for accounts payable indicated they are unaware if they have access to vendor demographic screens. Limiting access to financial system screens strengthens controls and reduces the opportunity for theft or misappropriation of funds. The district should review employee system access permissions to ensure they are consistent with and support established internal controls and that accounts payable staff have read-only access to vendor demographic screens. 24 ACCJC Standard III 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 April 2015 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 25 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 Business Services Department communicates with internal staff and user departments on their responsibilities for accounting procedures and internal controls in varying ways and at varying times throughout the year. Internally, the leadership team continues to develop and document procedures for routine accounting activities and generally incorporates participa- tion in that development by those staff members directly responsible for the task. 2. FCMAT reviewed several documents designed to provide information to employees and others on changes to board policy and business procedures established to strengthen internal controls. Among items reviewed were memorandums, emails and other communications that demonstrate efforts to inform and train internal staff and external departments on new or revised business procedures and responsibilities and revisions to board policy and adminis- trative regulations that incorporate elements of a financial consequence. Although the CBO reviews the development and/or revision of board policy and administrative regulations that incorporate aspects associated with accounting procedures and internal controls, all changes are not routinely communicated to employees. 3. The district does not maintain institutional (desk) procedure manuals for day-to-day tasks in the Business Services Department, but rather utilizes an internal network shared drive to retain electronic versions of established and draft processes and procedures, which are acces- sible to all Business Services staff. 4. Stability in the leadership team in the business office continues during this review period; however, focus on the development of documented processes and procedures for day-to-day operations has diminished slightly. Although there has been little change in business office staff, many report a shift in roles and responsibilities assigned to their positions. Change to procedures in the business office generally includes the involvement and input of the staff members affected; they are part of the development of the change. However, interviews in- dicated that many processes are seen as affecting only the tasks performed by top level ac- counting staff and as such, communications only take place when the change intersects with another process completed by non-management staff members during the course of their work. Documented procedures for routine tasks in the business office, including those man- aged by senior accounting staff, assist in communicating changes, identifying intersections with other tasks and providing reference resources to help guide staff through the learning 26 ACCJC Standard III process when duties are reassigned. Additionally, collaborative dialogue among business office staff in advance of changes could assist in identifying factors not considered prior to implementation and help alleviate frustrations experienced by staff that may not have been aware that any change affecting their work took place. 5. Interviews with staff identified a general sense that communications within the business of- fice and between the business office and other departments could be improved. Although internal staff reported that they feel they understand their responsibilities, lines of authority and resources available to them, they expressed a desire for more departmentwide collabora- tion. Interviews with staff external to the business office identified that departments may not effectively communicate details that affect multiple tasks, which was evidenced by reports of inconsistent application of changes to account coding for salaries and benefits between posi- tions managed by the Human Resources Department and budget and payroll managed by the Business Services Department. Inadequate or untimely communication of changes, such as proper account code assignment for personnel, results in reclassification entries and/or budget revisions, which in turn contributes to operational inefficiencies. These circumstances can also make it difficult for departments to effectively monitor and manage their budgets. 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 April 2015 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 approval, 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 are presented to the board/special trustee during board meetings throughout the fiscal year. While greater detail may be provided verbally dur- ing presentations, reports provided to the board/special trustee in board agenda materials or accessible through web links lack detail. Factors used for the basis of calculations, assump- tions used as the foundation for budget development and financial projections, and details associated with significant financial changes or variances from one period to the next should be provided with financial reports to demonstrate the foundation for financial decisions. Ma- terials prepared to communicate fiscal status to the board/special trustee should clearly com- municate the essential details contained in reports and projections. As indicated in prior reviews, while board agendas include items such as the quarterly 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. However, the state special trustee has invited the board to comment, ask questions and pro- vide input on each board agenda item prior to his taking action. FCMAT observed the board’s active participation at the March 24, 2015 board meeting. 3. The district continues to provide the board with routine updates for facilities planning and develo-p ment including those projects funded with Measure CC and Proposition 39 bond funds. Board me-et ing minutes and supplemental documentation provide descriptive and financial details for most item s presented. However, bond expenditure reports are presented as budget versus actuals and lack nar-ra tive support to provide the user with any information associated with the information presentedT.h e district should ensure narrative detail related to significant changes accompanies financial updates. 4. The CEO has historically engaged in communications to external public forums to provide updates on the district’s fiscal status, accreditation efforts and construction projects. FCMAT was provided flyers that indicate at least three roundtable discussions occurred during this review period. Topics included the accreditation process, facilities planning, and community participation in governance opportunities. 28 ACCJC Standard III 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 April 2015 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 BP 7700, Whistleblower Protection, on June 8, 2010 that requires the CEO to establish regulations regarding the reporting and investigation of suspected fraudu- lent 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. BP 7700 references AR 7701, Whistleblower Reporting Protocols, which was issued Sep- tember 6, 2013. The AR clearly encourages and provides guidance to individuals to report suspected incidents of unlawful activities, including the steps for reporting suspected acts and assurances to protect those who report from retaliation. The AR also provides for an investi- gative 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. 4. The district adopted BP 8400, Reporting of Crimes, on October 20, 2009 that requires the CEO to ensure, as required by law, that reports are prepared of all crimes committed on campus and reported to campus police, as well as arrests made for the same, that involve violence, hate violence, theft or destruction of property, illegal drugs, or alcohol intoxication. The policy requires the CEO to ensure that required reports of non-criminal acts of hate violence are prepared and made available as required by law, and indicates that the crime report information will be collected and distributed annually. 5. On September 19, 2014, the CBO sent a memorandum to staff reminding them of unlawful activities and reporting guidelines. The memo refers to the district’s whistleblower reporting protocols when individuals suspect incidents of unlawful activities by district employees in the performance of their duties, encouraging them to read AR 7701. The memo also reminds staff of the We Tip program where they may anonymously report information of any unlawful activity. Items listed that are reportable include academic fraud, drugs/ illegal substance, worke‐rs’ compensation fraud, discrimination, harassment, threats, safety violations, burglary and weapons. 30 ACCJC Standard III Standard Implemented: Fully - Substantially 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 April 2015 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 31 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 district continues to provide routine financial reports in many forums including meetings with the CEO, state trustee, board of trustees, cabinet, Planning and Budget Committee, and for many purposes including budget development study sessions, negotiations, financial pro- jections, project reporting and analysis. The details of materials presented are generally ap- propriate for the forums for which they are intended. Budget and financial information is con- sistent in structure, generally reported by fund and summarized by object code, and is com- monly accompanied by basic revenue and expense assumptions. Financial information for the unrestricted and restricted resources is presented separately in the proposed and final budgets for consideration and approval. Financial data for fiscal years is presented in three columns, one presenting financial data for the last fiscal year completed and audited, one presenting es- timated or unaudited year-end projections for the fiscal year under way, and one for the fiscal year under development. Greater object code detail is provided in the tentative budget, while amounts are presented by major object code in the final budget. Detailed district assumptions, projections, goals and plans are essential to providing readers a clear understanding of the ba- sis 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 chal- lenging. A summary of significant changes presented by major object code would help read- ers to interpret the changes in budget amounts from one period to the next. 2. 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 ten- tative budget. The district continues to meet regularly with the Planning and Budget Commit- tee, which is comprised of members from management, faculty, staff and student groups. Dis- cussion items include current budget, future budget, facility issues, enrollment plans, over- arching goals, budget assumptions and other business topics as determined by the committee. Meeting minutes indicate that the CBO actively presents budget and financial information to committee members and encourages dialogue and input; committee members review the content of budget materials and make inquiries demonstrating active participation; responses are provided where clarity is needed; and when necessary, matters that require additional re- search are brought back for further discussion at subsequent meetings. 3. 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. 32 ACCJC Standard III 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 April 2015 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 33 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, while recognizing the importance, does not plan to hire a dedicated internal audit position. FCMAT continues to recommend that Compton CCD re-establish the internal audit function to regain momentum in establishing and monitoring 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 El Camino CCD to implement an internal audit function. A staff member from the El Camino CCD busi- ness office selected and reviewed transactions, identified weaknesses and made recommenda- tions to Compton CCD for improvement. This practice was abandoned during a prior review period. Although the district does not employ an internal audit position, it remains a priority of the district to ensure that sound internal controls are established, reviewed, and monitored to deter and prevent material misstatement. The CEO remains committed to establishing 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 members of the leadership team in the Business Services Department have extensive experience as former auditors in community colleges, and the district has contended that this mitigates the need for a separate internal audit position. 2. An internal audit plan, dated June 30, 2013, was developed to address the internal audit func- tion. The Internal Operations Review 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 proce- dures 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. No changes to the plan have been made during this review period. The district reported that, while there have been no changes to this strategy, administration is evaluating the potential for establishing an audit committee that would be independent of the CBO. Effective internal auditing is vital to a strong control environment. To be effective, the inter- 34 ACCJC Standard III 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 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 monitor the control structure and act as liaison between man- agement and the internal audit function. Establishing an audit committee that would function independently of the CBO and report directly to the CEO or board of trustees/special trustee would mitigate the concerns noted above. 3. The district has hired an independent external auditor to conduct a review and analysis of the Bursar’s Office internal control system for cash collections, evaluate the system for weak- nesses and susceptibility to potential misappropriation, and propose improvements where ap- plicable. That review is estimated to occur in April 2015. 4. The district has not adopted explicit policies establishing an internal audit function. 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 April 2015 Rating: 4 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 35 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 Internal Operations Review Plan, dated June 30, 2013, was designed to identify existing in- ternal controls and monitor and update processes and procedures in the district business office . 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, atten- tion within 24 months. Although a status update of initial priorities was developed in June 2014, the district has not updated the priorities list to identify new areas of focus since June 30, 2013 . 2. FCMAT was not provided with an updated Status Report of the Internal Operations Audit Plan - Priorities List, since the one dated June 30, 2014. The June 30, 2014 Status Report reflected progress through April 7, 2014 on the following priority areas: payroll benefits, pay- roll clearance fund, state income tax filings, federal income tax filings, fuel tax filings, con- flicts of interest, whistle blower program, and capital assets/equipment inventory. 3. Although the district does not staff an internal audit position, it has engaged external profes- sional services to assist in mitigating fraud risk and identifying control weaknesses in the Bursar’s Office, as discussed in Standard 4.1. All findings and internal control weaknesses identified in the review should be presented to the board of trustees/special trustee. Actions taken to mitigate findings identified in the review should be clearly communicated and docu- mented in board agenda documentation and discussed with cabinet; these issues should also be discussed with audit committee members when the committee is established. 4. The district should continue efforts focused on routinely reviewing and monitoring systems and procedures established to identify weaknesses in the internal control structure. Follow- through in the development of processes and procedures that mitigate 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 April 2015 Rating: 4 36 ACCJC Standard III 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 37 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. BP 6200, Budget Preparation, was revised and approved on October 24, 2014 to reflect an increase of the unrestricted general fund reserve level from 5% to 10%. This policy provides that the CEO solicit recommendations from the cabinet and Planning and Budget Committee, and that the budget development process include: • Support of the district’s master and educational plans • Budget assumptions presented to the board for review • Budget projections that address long-term goals and commitments Board policy also mandates budget study sessions to be scheduled for board members and a public hearing to be scheduled “in which interested persons may appear and address the Board regarding the proposed budget or any item in the proposed budget.” The accompanying administrative regulation, AR 6201, Budget Calendar, states that the CEO directs that the budget for each fiscal year be prepared within a defined process and timeline with various phases for preliminary budget development to final budget adoption. Budget as- sumptions must be finalized by January 31 with a narrative that describes the overall goals and objectives of the district that have primary consideration in the budget development pro- cess. In accordance with AR 6201, the assumptions shall include: • Forecast beginning balance and directions regarding the goals and objectives for the end- ing balance • Projection for cost of living adjustment • Forecasts for FTES, FTEF and revenue • Forecast and impact of collective bargaining • Standardized formulas and ratios to be used in allocating funding among departments • Assumptions about and material changes in the district’s debt capacity and the commu- nity’s capacity for general obligation bonds • Guidance regarding drawing down the line of credit 2. The 2014-15 budget calendar was approved at the March 25, 2014 board meeting and budget assumptions at the April 14, 2014 board meeting. A tentative budget for the 2014-15 fiscal 38 ACCJC Standard III year was presented to the board/special trustee for approval at the June 11, 2014 board meet- ing. The district’s final budget for 2014-15 was presented to the board/special trustee on Sep- tember 9, 2014. Board minutes for both the tentative and final budget reflect that the hearing was properly noticed on the previous agenda and the regular meeting adjourned for the public hearing as required by the California Code of Regulations Title 5, sections 58301 and 58305. The presentation of both the tentative and final budgets included budget assumptions with a three-year financial projection. During the December 16, 2014 board meeting, a five-year fiscal management plan was pre- sented for discussion and approval. 3. Minutes indicate that during the October 21, 2014 board meeting, the special trustee dis- cussed the elected board of trustees’ 2014 goals. These goals include a section for fiscal responsibilities to study, review and provide input on the 2014-15 budget; study and review the 2013-14 audit report; monitor the 2014-15 budget; and to study and be responsive to the impact of fiscal changes that may occur nationally, locally, and/or at the state level. 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 April 2015 Rating: 7 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. BP 6200 describes the budget development process and establishes that the annual budget “shall support the District’s master and educational plans.” BP 6200 was revised December 16, 2014 to reflect an increase of the district’s unrestricted general fund reserve to 10%, dou- bling the California Community Colleges Chancellor’s Office recommended reserve level of not less than 5%. 2. Budget management is the responsibility of the CEO in accordance with BP 6250 and AR 6251. This policy requires board approval for changes between major object code classifica- tions. A review of agenda items for regularly scheduled board meetings indicates that they reflect the approval of budget transfers with supporting documentation. 3. BP 6300 provides for fiscal management in accordance with principles contained in the Cali- fornia Code of Regulations, Title 5, Section 58311 and the California Community Colleges Budget and Accounting Manual. Standard Implemented: Fully - Sustained 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 April 2015 Rating: 10 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. Compton CCD has established board policies, administrative regulations and written docu- mentation that facilitate budget development and allocates resources in alignment with dis- trict goals and objectives. 2. The budget development process is well developed with supporting documentation to guide the pr-o cess in both board policy and department manuals. Individual unit plans are submitted to departme nt deans for review, and deans work with the CEO and/or vice president prior to submission of th e plans to the Planning and Budget Committee and Consultative Council for information and review . The CEO consults with the special trustee before final approval. 3. The Planning and Budget Committee reviews unit and area plans to ensure proper alignment with overarching district goals and objectives. The district is no longer using the Plan Builder software program and is now utilizing a Web-based interactive data-driven software program, TracDat, to align organizational goals and objectives with performance results for each unit and department for unrestricted and categorical funds. TracDat allows faculty and staff the ability to make the connection between program and budget. The software provides quantita- tive measurements for outcomes and the ability to take action for improvement in a timely fashion. Division faculty and campuswide training opportunities were provided on three dates in October and November 2013 and five dates from February through May 2014 focus- ing on the basics of using the TracDat software and entering performance reports from each unit plan. 4. The overarching goals and priorities for the 2014-15 budget process and two unit plans, in- cluding a draft Program Review Plan Accounting, were provided to FCMAT as documenta- tion to demonstrate that the established process is connected to objectives and priorities as defined in this standard. According to the Program Review Plan Accounting document, the Business Services Department provides support by ensuring funding to support the district’s mission, vision, values and goals through timely processing of invoices; accurate reporting; managing the budget; ensuring that the district meets its required reserve levels; planning for long-term needs; and is transparent with budget development. Yet, throughout this document the department recognizes the following areas for improvement multiple times: ACCJC Standard III 41 1. Process invoices timely 2. Reconcile fund, account balances, bank balances timely 3. Reconcile the district’s two financial systems timely 4. Analyze accounting data 5. Lack of day-to-day management and oversight of district categorical budgets Detailed information in this document articulates a major concern with the inability to pro- cess vendor invoices timely, reconcile account and bank balances, reconcile the two account- ing systems; prepare analysis of quarterly accounting data; and a general lack of day-to-day management and oversight of categorical budgets. Interviews indicated that the business office is unable to analyze resources and allocations to ensure they are aligned with strate- gic planning objectives and that the budget reflects college priorities in accordance with this standard. The district should continue to evaluate business office staffing levels to ensure there is enough staff and that the current staff have the training and skills necessary to accomplish the work required and to support the district’s mission, vision, values and goals. 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 April 2015 Rating: 5 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 CBO has primary responsibility to prepare initial projections of revenue for the gen- eral operating budget. The process begins with a calculation of full-time equivalent students (FTES) and cost of living adjustment estimates from the Governor’s January budget propos- al. The budget assumptions for the 2014-15 tentative budget were presented at the April 14, 2014 board meeting. After the state budget had been approved, the assumptions were updated and included in the final budget, which was approved September 9, 2014. The administrative team reported that enrollment is a priority and concentrated efforts are under way to examine student enrollment data. For the 2014-15 final budget, enrollment in- creased but the number of classes per student decreased, causing a reduction in FTES of ap- proximately 500. According to data analyzed by the CEO, approximately 40% of students are taking six units or less. The district anticipates borrowing 500 FTES from summer 2015 to balance the 2014-15 fiscal year. The CEO has a plan to stabilize FTES by 2016-17 by attracting more students to generate more revenue. Two new programs will be added to the list of class offerings: cosmetology and a fire academy. A partnership with the local K-12 school district starting in fall 2015 will allow high school students to earn their AA degree concurrently with high school graduation and will also generate additional FTES. 2. The CBO and budget analyst are primarily responsible for budget development with assistance from the accountant for categorical funds. The CBO prepares department allocations for initial distribution. The budget analyst and CBO complete the input process in the financial software. The CEO recognizes that the budget process is evolving and that more needs to be done to incorporate approved unit plans that link to the district’s overarching goals and objectives into the final budget. The CBO, hired in 2012, has provided stability in the Business Services Department; however, the budget process should include cross training of other department personnel such as the director of accounting and/or the accounting supervisor positions. The district should also consider involving more staff members in the process, particularly with the projection of expenditures and the inclusion of expenditure plans. 3. As indicated in the previous review, the district should include assumptions for all funds in the narrative section of the tentative and final budgets. In addition, the district has responsi- ACCJC Standard III 43 bility over associated student body funds, which should be an integral component of the bud- get process and presentation. 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 April 2015 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. Quarterly financial reports were presented to the board/special trustee in a timely manner during this review period, but continue to lack detailed explanations for large variances that occur in revenues, other financing sources, expenditures, other outgo and cash borrowing. For example, the most recent reporting periods in 2014-15 from September 30, 2014 to De- cember 31, 2014 showed an increase in unrestricted revenues of $160,044 and an increase in unrestricted expenditures of $306,954 with no explanation for the change. 2. The district should communicate quarterly financial statement variances and changes to the board/special trustee and ensure that presentation materials, supporting documentation and detailed narratives accompany all reports and are made available in the board agendas and other financial links on the district’s website. 3. The 2012-13 annual independent audit included restatements in the general and child devel- opment funds. The 2013-14 audit did not include any fund balance restatements. 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 April 2015 Rating: 5 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 45 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 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 expenditures or modify the budget (departmental budget holders). Departmental budget holders are expect- ed to review budget status reports at least monthly from the Datatel system and report any discrepancies to the CBO for review. Interviews disclosed that departmental budget holders have online access to the Datatel financia l system and can review and/or print a hard copy of their budget report independently. Depar-t ments may request financial reports from staff in the Business Services Department.W hile de- partmental budget holders indicated they reviewed their budgets, some noted difficulties resulting from the delay in budget modifications associated with salary and benefit distributions that are submitted to the Human Resources Department using PersonnelA ctivity Report (PAR) forms. 2. Complicating the issue of budget monitoring are departments not following established purchas- ing procedures, which requires the preparation of purchase orders for expenditures.T he use of purchase orders ensures that sufficient funds are available in the budget to make each purchas e and encumber the budget prior to the purchase taking place.W hile the district’s financial system blocks the creation of new requisitions if insufficient resources are available in the budget to support the expenditure, these controls are ineffective when bypassed by staff. Although the CBO has discussions with staff members that fail to follow district procedures, followed up by a letter outlining the process to use for future purchases, violations continue to occur. 3. The Business Services manual states that twice each fiscal year managers are offered cam- puswide budget review by the CBO. This training has not taken place during the last two fiscal years, 2013-14 and 2014-15 respectively. The CBO and director of accounting hold managers responsible for their budgets and monitoring their departmental reports and offer individual training/assistance as needed on request. 4. 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 auto- matically reconcile and only PeopleSoft is audited by the district’s external auditors. 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 46 ACCJC Standard III uploads into Datatel and the extensive time necessary to perform the reconciliations monthly, reconciliations are only completed twice each year. 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 April 2015 Rating: 6 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 8.5 – 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. Position control is the system used to control and track all relevant information for all posi- tions approved by the board of trustees/special trustee, including the assigned pay schedule, work days and other qualification criteria. Each approved position should be uniquely iden- tifiable by a position number. Each new position created and approved is set up in position control and likewise, any position eliminated by the district (one that the district will no lon- ger staff in the future) should be removed from the system. Position control allows a district to track all approved positions, staffed and unstaffed. As employees are hired for a position, they are assigned the appropriate position number. It should only be possible to commit each position number to one full assignment, although multiple employees could be assigned a partial assignment. It is best practice for the data maintained in the position control system to be used as the foundation for the district’s budget and to drive payroll. Salaries and benefits are the single largest expenditure in the general fund operating budget, totaling approximate- ly 75% for the district in 2014-15. As such, it is essential that the information managed in the position control system is routinely matched to the budget and payroll data. 2. The district has adopted, revised, and implemented regulations to appropriately control and track positions but has difficulty with the implementation of proper procedures to effectively monitor position control. Administrative regulations detail the requirements for obtaining ap- proval to establish a new position or fill an existing position. The administrative procedures detail the steps and workflow necessary to process the requirements and communicate the ac- tions to the necessary departments. The process also incorporates a check and balance system that ensures compliance and review of position control actions. 3. The district has implemented procedures to establish new positions that are added to the bud- get. Interviews with district administrators and staff, however, identify a lack of appropriate management oversight to ensure that the position control records are routinely updated and reconciled. The director of accounting that oversees the budget analyst responsible for the maintenance of position control is not familiar or involved with this function, and the CBO lacks the time necessary to review the work. Interviews indicated that the budget analyst has only recently eliminated several positions from the system that were vacant and will remain unfilled. The district should compare budgeted positions with active position control records and make necessary adjustments at least annually. 4. During this review period, the budget analyst assumed the responsibility for reconciling posi- tion control. Interviews with business office staff indicated that more than 100 positions that were closed for budgeting purposes remained open in the position control system and were recently eliminated. This took a considerable amount of time and analysis. A reliable posi- 48 ACCJC Standard III tion control system must be maintained throughout the fiscal year to prevent over- or under- budgeting by including only those positions that have been district-approved. In addition, a reliable position control system prevents a district from omitting from the budget routine an- nual expenses such as substitutes and estimated costs for employee salary schedule step and/ or column changes. 5. The district uses two systems for position control, Datatel and PeopleSoft. While Adminis- trative Procedure 6252A calls for a budget technician to perform a weekly review of the dif- ferences between the two systems, this task is not routinely performed. Interviews with staff indicated that these systems are only reconciled as time permits and at year end. Although the district’s audit historically cited findings associated with the reconciliation of the two sys- tems, no findings were cited in the 2013-14 audit. 6. Interviews with employees indicated that the Business Services Department recognizes there are several areas for improvement in its annual business department unit plan. Although not specifically mentioned in the unit plan, the district should reconcile position control with records in human resources and they should agree with budgeted salary and benefit informa- tion. The district should continue to evaluate business office staffing levels to ensure there is enough staff and that the current staff have the training and skills necessary to accomplish the work required. 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 April 2015 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 49 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 narratives to the budget reports presented to the board of trustees/special trustee clearly identify one-time revenues and expenditures. These narratives provide sufficient documenta- tion to demonstrate that the district has sustained a reliable system and process for this stan- dard. 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 April 2015 Rating: 10 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 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. The district has an established process for recording and reporting enrollment and attendance; however; there is an ongoing concern regarding the accuracy of some of the reports prepared and submitted to the state. Compton CCD’s first (P1) Estimated Enrollment Fee Revenue report for fiscal year 2013-14 (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, a reduction in revenue of $188,236 over the time period January to April 2014. The final Actual Enrollment Fee Revenue report due on September 15, 2014 was submitted to the state on September 16, 2014. The total actual fees at that time were $916,735. Compton CCD’s first (P1) Estimated Enrollment Fee Revenue report for fiscal year 2014-15 (CCFS-323) due on January 15, 2015 was submitted to the state timely. The total estimated fees at that time were $907,745. The second (P2) Estimated Enrollment Fee Revenue report is due on April 15, 2015. At the time of FCMAT’s fieldwork, this report was not yet due. In fiscal year 2013-14, 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 Sections 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. P2 for fis- cal year 2014-15 was not yet due at the time of FCMAT’s fieldwork, so analysis could not be completed as to whether the cumulative report issues described above have been corrected. 2. A review of the 2013-14 CCFS-320 Apportionment Attendance report, Annual Recalculation Period, showed a total of 6,060 full-time equivalent students (FTES), which was the district goal for the fiscal year. Five hundred and five FTES from summer 2014 were used in the fis- cal year 2013-14 report to meet the FTES goal of 6,060. Three hundred sixteen FTES from summer 2014 were brought forward to fiscal year 2014-15. The district’s FTES Goal and Actual report shows that 500 FTES will be borrowed from summer 2015 to use in fiscal year 2014-15. The use of summer FTES in either fiscal year is a standard practice in California community colleges. However, the district should review established FTES goals as the use of summer FTES for prior year reports increased over the past two years: 174 FTES summer 2013 used in 2012-13; 505 FTES summer 2014 used in 2013-14. Continued use of this prac- tice may result in a deficit in summer FTES available for use in the current fiscal year. ACCJC Standard III 51 The CCFS-320 report was due to the Chancellor’s Office on November 1, 2014, and was electronically submitted on November 7, 2014 and signed by the CEO on November 13, 2014. This report is prepared by the El Camino CCD academic affairs analyst/attendnace consultant and is reviewed and signed by the Compton CCD CEO. 3. The Compton Center follows El Camino CCD’s student drop policy for nonpayment. Stu- dents 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 stu- dent fees going back a number of years are automatically withheld from state refund checks. 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 April 2015 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 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 processes, forms and systems, which are consistent with industry standards and are designed to ensure that student attendance is accurately recorded and reported. The CCFS-320 Appor- tionment Attendance reports are prepared by the El Camino academic affairs analyst/atten- dance consultant. The CCFS-323 Enrollment Fee Revenue reports are prepared by Compton CCD. 2. The 2013-14 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. The CBO and the CEO signed and dated this report on October 6, 2014 and October 9, 2014, re- spectively. The due date for this report was October 10, 2014. The 2013-14 third quarter 311-Q was certified one day late, on May 16, 2014. The CBO and CEO signatures are dated May 15, 2014 and May 19, 2014, respectively. The 2013-14 311-Q for the fourth quarter was electronically certified and signed by the due date of August 15, 2014. The 2014-15 first quarter 311-Q was electronically submitted on November 18, 2014, which was three days late. Signatures of the CBO and CEO are dated November 11, 2014 and November 18, 2014, respectively. The 2014-15 second quarter 311-Q, due by February 15, 2015, was not provided to FCMAT at the time of fieldwork. The district should ensure that state reports are executed properly and filed timely. 3. The 2013-14 CCFS-323 Actual Enrollment Revenue report for 2013-14 was submitted on September 16, 2014, but was due September 15, 2014. The 2014-15 CCFS-323 report for P1 was filed timely. At the time of FCMAT’s fieldwork the 2014-15 P2 was not yet due. In the prior review period the P1 and P2 reports filed for 2013-14 included P1 revenue greater than that reported on the P2. As indicated in Standard 11.1, analysis on whether this has been corrected for 2014-15 could not be performed. Because this is a cumulative report the accuracy of the information reported in the prior review period is questionable. The CBO should review the accuracy of all reports prior to submission and ensure the accuracy of the information provided. The district should ensure that state reports are executed properly and filed timely. 4. Compton CCD’s 2014-15 Final Budget incorporates a projection of 6,242 FTES. Interviews with El Camino CCD staff and Compton’s management indicated that Compton continues to rely on “borrowing” from summer FTES to meet its cap, which maximizes state funding in any single fiscal year. FTES from summer term can be used in either fiscal year. Although ACCJC Standard III 53 this is a standard business practice used by California community colleges, caution should be used as summer FTES may eventually be exhausted by use in the prior fiscal year if borrow- ing continues to occur for several successive fiscal years. The administrative team reported that enrollment is a priority and anticipates eliminating the need for borrowing by the 2016- 17 fiscal year. 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 April 2015 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 54 ACCJC Standard III 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 entries as evidenced through the removal of material weakness findings from the 2011-12, 2012-13 and 2013-14 annual audits. The district should continue its efforts by ensuring the director of accounting or CBO continues to review and approve all journal entries and other accounting corrections prior to posting to the financial system. Note 15 in the June 30, 2014 annual audit report indicated that the district implemented GASB 65. Note 15 also states, “Additionally, the financial statements reflect corrections of accumulated accounting errors …which were discovered and corrected by management.” This indicates the business office leadership’s technical understanding 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. In prior independent audits, there were findings that indicated many instances of incorrect TOPS coding were found and cor- rected for audit purposes, but not corrected in the district’s financial system. This finding was not repeated in fiscal years 2012-13 or 2013-14, indicating a clearer understanding and over- sight of TOPS code application. Misclassification of activity could directly affect the 50% law calculations. Interviews with staff indicated that management made references to the BAM throughout the year but no training was provided during this and the last review period. The district should ensure that all applicable staff members receive training on the use of the BAM. 3. The district has continued to reduce the number of audit findings reported in the annual audit, with no findings in the June 30, 2014 audit report. The systematic reduction of findings in each of the last three fiscal years demonstrates ongoing improvement in financial manage- ment and oversight. 4. Individual departments have online access to print financial reports for monitoring purposes. 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. The CBO conducts a quarterly budget to actuals variance review in conjunction with financial reporting ACCJC Standard III 55 activities to identify any areas that appear to be problematic and require further review. 5. Each year, business office staff attend LACOE’s annual year-end closing trainings. LACOE provides written procedures for monthly/annual closing processes, and the Business Services Department has continued developing written processes and procedures for individual tasks, including a year-end closing checklist. Closing documents are published and accessible by all staff on a shared network drive. The CBO indicated that staff will once again attend the LACOE year-end training for 2014-15. The district has established a routine year-end cutoff date for purchasing, and two notifica- tions were sent to all staff informing them of the March 28, 2015 unrestricted general fund purchasing cutoff for the 2014-15 fiscal year. 6. Interviews with management indicated that a semi-annual reconciliation process has been es- tablished between Datatel and PeopleSoft. The El Camino CCD has provided Compton with spreadsheets used for this task. Review of the electronic spreadsheets and paper documenta- tion at the time of fieldwork confirm that reconciliations are completed twice yearly. The district should routinely reconcile the two systems throughout the year to ensure that transac- tions are accurate and recorded timely. 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 April 2015 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 56 ACCJC Standard III 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 dis- trict. On July 1, 2014 the CBO issued a memorandum to the CEO that indicates he reviews cash weekly by receiving a daily cash balance report and updates the cash flow projection monthly to reflect prior month actuals. A 2014-15 cash flow projection was completed in Oc- tober 2014. The district repaid $3.9 million in tax revenue anticipation notes (TRANs) bor- rowed in spring 2014; $1.95 million was repaid in October and $1.95 million in November 2014. Interviews with the CBO indicated no additional TRAN would be needed in fiscal year 2014-15. Review of the updated cash flow document confirmed no additional TRAN would need to be issued for fiscal year 2014-15. FCMAT was not provided with a cash flow projec- tion for 2015-16, but staff reported that they do not anticipate the need for a TRAN. 2. Although the strength and technical knowledge of the Business Services Department’s man- agement team continues to increase with stability of leadership that possess strong account- ing and auditing backgrounds, review of a sample of revolving fund bank reconciliations indicate not all are completed in a timely manner. The July and August 2014 Union Bank ac- count 0561 reconciliations have no preparation date and were reviewed on October 31, 2014. The July and August Union Bank account 0588 reconciliations also have no preparation date and were reviewed on November 17, 2014. Review of the January 2015 Union Bank account 0588 reconciliation indicates the preparation date of February 11, 2015 and review date of February 12, 2015. This more recent reconciliation shows improvement in the timeliness of preparation and review. Interviews with management and staff indicated that a new ac- countant has been hired as of January 2015; reconciliation duties have now moved back to the staff, allowing management more time to supervise staff and increase focus on processes and procedures. The district should ensure bank reconciliations are completed and reviewed monthly to identify and resolve any issues timely and to maintain better cash management 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 and procedures mirror AR 6301. Clearing account bank statements from April through November 2014 were provided, and re- view of these statements and reconciliations revealed compliance with AR 6301. ACCJC Standard III 57 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). Documentation was shared with the review team that indicated staff are recon- ciling the district’s cash in the county treasury monthly. 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, 2014 is estimated at $13.91 million. The district expressed no 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 April 2015 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 58 ACCJC Standard III 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 en- sure the timely and accurate processing of payroll. Progress on Implementing the Recommendations of the Recovery Plan: 1. The Payroll Department continues to maintain procedure standards in payroll processing. However, interviews continue to indicate that a lack of consistent oversight and supervi- sion exists. 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. However, staff reported that they are taking more time to review their work to ensure all items are cor- rect. 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 prop- er internal controls and to protect district assets. 2. Human Resources and Payroll department staff are provided an opportunity to discuss board agenda items, LACOE issues, PERS/STRS matters, and process improvement ideas during monthly meetings. These meetings are conducted to discuss personnel items approved by the board/special trustee, after which the floor is open for discussion on other topics. Although these meetings are held monthly, interviews with staff indicated concern regarding a lack of communication about staffing changes that affect payroll. On February 27, 2015, an email was sent to all managers regarding payroll procedures and how to avoid payroll problems. 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. Routine reconciliation continues to be a challenge due to the amount of time that passes between the pr-o cessing of each payroll and the upload from PeopleSoft to Datatel by El Camino CCD . 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. ACCJC Standard III 59 6. The budget analyst is responsible for reconciling position control to payroll. Inconsistency in completing routine reconciliations between position control and payroll records contin- ued during this review period. Although efforts continue in the business office to clean up the data stored in position control, interviews indicated this remains a work in progress. 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 pay- roll errors. 7. Department supervisors authorize overtime and compensatory time. AR 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 Febru- ary 1, 2013. No updates to this draft were provided to FCMAT during this review period. 8. The district has implemented a process for expediting payroll deduction payments to ven- dors. Previously payroll deduction checks were processed and then mailed to vendors. Now, a detailed deduction register is run, then the vendors are contacted with the information and payment is sent electronically. 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 April 2015 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 60 ACCJC Standard III 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. Consistency in business practices and oversight are an important role of the leadership in the business office. Staff continue to express confidence in the district’s administrative team. Documentation provided to the review team also indicates that management continues to re- view and approve much of the work performed by business office staff; however, as indicated elsewhere in this report, oversight is still lacking in some areas. Staff reported that the CBO and the director of accounting routinely request supporting documentation and/or clear expla- nation from staff regarding their work during the review process. Reports prepared for sub- mission to any agency must be reviewed by management to help ensure accuracy and con- firm that all costs associated with the program are included. Staff reported that management continues to review reports before they are distributed. FCMAT noted management approval on many of the documents provided during this review period, which demonstrates ongoing improvement in this process. 2. Although the momentum has slowed, the CBO and the director of accounting continue their efforts in developing and implementing operational processes and procedures for business office tasks. 3. 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: 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 de- posited in the Associated Student Body for Compton Community College District accounts; 25% of the net funds may be deposited in theA uxiliary Services fund to support student pro- grams 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 Com- munity College District accounts to be used for student scholarships (seeA R 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- ACCJC Standard III 61 bursement to these funds had occurred for the 2014-15 fiscal year, as of the March 24, 2015 general ledger detail trial balance. Management should provide ongoing routine oversight of all accounting activities and ensure funds are properly and regularly disbursed. 4. Stability in the CBO and director of accounting positions has contributed greatly to the prog- ress made in the comprehensive financial standards. The CBO and director of accounting continue to work to improve oversight in the business office, provide guidance and training to staff, and establish improved business practices by developing and implementing operational processes and procedures for several operational areas in the department. 5. The CBO and director of accounting perform many high level accounting tasks. In January 2015, the district hired an accountant who is being trained to complete bank reconciliations and Datatel to PeopleSoft reconciliations. These tasks were previously done by the director of accounting. Delegation of these duties to a staff accountant should allow more time for management review and oversight. 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 April 2015 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 62 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. A year-end closing memo for the 2013-14 fiscal year was distributed to employees on June 4, 2014. Although year-end closing memos for the 2014-15 fiscal year had not been distrib- uted at the time of FCMAT’s fieldwork, memos and procedures for purchasing cutoff dates had been sent to district employees. Staff and management reported that a closing checklist is posted on the Business Services internal shared drive. Interviews indicated that the CBO and director of accounting perform the predominant share of tasks associated with year-end closing; however, the Business Services Department staff members are clear on their respon- sibilities for year-end closing. The CBO and director of accounting should continue to pro- vide guidance, oversight and supervision for year-end closing and play an active role in the process, assisting staff when necessary. 2. The district continues to follow year-end closing procedures and schedules for PeopleSoft systems established by LACOE. FCMAT reviewed the CCCD Accounting Training Manual, prepared by Vasquez & Co., LLC. This manual outlines the processes of the Business Servic- es 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. 3. The district has continued to reduce the number of findings in the annual audit report, which demonstrates ongoing improvement and adherence to accounting procedures. The number of audit findings between 2011-12 and 2012-13 declined, and the district had no findings in the 2013-14 audit report. However, the 2012-13 audit report included two findings, 2013-3 and 2013-4, related to timely reconciliation of cash and payroll clearing accounts, respectively. Documentation reviewed by FCMAT during this review period does not support the timely preparation and review of all reconciliations, which are essential components of year-end closing procedures. Interviews with management and staff indicated a new accountant has been hired as of January 2015; reconciliation duties have now moved back to the staff, al- lowing management more time to supervise staff and increase focus on processes and proce- dures. ACCJC Standard III 63 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 April 2015 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 64 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. Interviews with staff and review of documentation, including the equipment purchase guide- lines, accounts payable department policies and procedures, purchase orders for AMG Associ- ates, Inc., and the independent performance audit report for the period ended June 30, 2014, indicated procedures are in place to ensure approval of purchase orders is obtained before con- struction start dates, payment process sheets are signed by Business Services Department staff, and payments are made timely. The established accounts payable policy and procedures for capital and bond expenditures specifically require all expenditures to be reviewed and approved by the CBO and/or des- ignated individuals, which was substantiated through management interviews and review of documentation provided by the district. The procedures further require specific payment processing forms that identify invoices as Measure CC and State Capital Outlay Projects. The CBO has sole control over all aspects of financial accounting and reporting of the bond projects. All work should be reviewed and approved by an additional staff or management employee to help ensure that internal controls are maintained. 2. The district’s Measure CC general obligation bond financial statement findings for the years ending June 30, 2013 and 2014 identified no deficiencies or material weaknesses. The re- ports included one finding in each fiscal year. The June 30, 2013 and June 30, 2014 findings both cited an exception to Education Code Sections 15280 and 15282. Per Section 15280, the Citizens’ Bond Oversight Committee is required to issue regular reports on the results of its activities and make available the minutes of committee proceedings on the district’s website. The June 30, 2013 audit indicates that although eight meetings were held during the year, only four committee meetings were posted for public record. The June 30, 2014 audit indicates that although six meetings were held during the year, only two committee meetings were posted for public record. Also, in both fiscal years, the district’s Citizens’ Bond Over- sight Committee website did not reflect representation from two of the committee groups (business organization and enrolled student) required per Education Code Section 15282. Although agendas for bond committee meetings are posted and available on the district’s website, meeting minutes are not made available. The district should update the website with all available information related to the Citizens’ Bond Oversight Committee so it is available for public review. 3. During the last review period, the Citizens’ Bond Oversight Committee members listed on the website were those who served on the committee during the 2011-12 fiscal year. No ACCJC Standard III 65 changes have been made during this review period. Financial and performance audit reports for Measure CC general obligation bonds are posted on the district’s website for fiscal years 2009-10 through 2013-14. The Citizens’ Bond Oversight Committee annual reports are only posted through 2013. The 2014 annual report should be added to the website. 4. 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. 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 April 2015 Rating: 7 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 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 board/special trustee adopted BP 3600, Auxiliary Organizations, and AR 3601, Auxiliary Organization Protocols, on March 16, 2010. However, the district is not following its policy and regulation in some areas as indicated below. 2. BP 3600, Auxiliary Organizations, gives the board the authority to recognize and approve auxiliary organizations established to provide the district supportive services, specialized pro- grams and functions identified in Title 5. The policy explains requirements for such organiza- tions to be approved, and states that all recognized auxiliary organizations must comply with Education Code provisions as follows: • The composition of a board of directors and the way in which it conducts its meetings; • Conducting an annual audit; • Employing its work force; • Expending and appropriating its funds, and keeping its records. Based on BP 3600, the auxiliary organizations recognized by the Compton Community Col- lege District are: • Foundation for the Compton Community College District • Associated Student Body Compton Community College District • Patrons Association 3. AR 3601, Auxiliary Organization Protocols, outlines the way that auxiliary organizations must conduct business, which is a requirement of Board Policy 3600. The AR requires that an annual report be submitted to the board of directors of the auxiliary organization and the CEO by September 15 of each year, and that the report include the follow- ing: • All financial statements required to be filed with the state Chancellor’s Office • A comparison of budgeted and actual expenditures • A description of major accomplishments of the organization • A description of improvements proposed for operation of the organization FCMAT requested but was not provided evidence that this required report is filed annually. ACCJC Standard III 67 The AR states that the CEO shall annually provide to the Board ofT rustees a list of all auxiliary organizations in good standing. A review of the board meeting minutes did not show that the list was provided during this review period. The AR also states that “All auxiliary organization pro- cedures and practices shall be reviewed to determine compliance with Education Code Sections 72670 et seq., and the policies, rules and regulations of the Board of Governors, and of the Dis- trict. The CEO shall designate the individual to conduct this review, which shall be conducted at the end of the first complete fiscal year after its establishment and at least once every three years thereafter.” FCMAT requested but was not provided evidence of these reviews. The district should ensure that board policies and administrative regulations are being fol- lowed in a timely and complete manner, and revise policies and regulations if they are no longer current. 4. In addition to maintaining a district specific Associated Student Body Finance Code and Pro- cedures Manual with written guidance on various operational procedures and best practices, the business office also recommends the FCMAT Associated Student Body Accounting Man- ual, Fraud Prevention Guide and Desk Reference for use as general guidance. FCMAT also recommends the addition of language to BP 3600 to explain that the FCMAT manual supple- ments the district’s board policy or procedures on student organizations and booster auxiliary organizations. Sample board policy language is as follows: The Governing Board adopts on an ongoing basis the most recent Fiscal Crisis and Man- agement Assistance Team (FCMAT) Associated Student Body Accounting Manual, Fraud Prevention Guide and Desk Reference as Compton Community College’s ASB Manual. In the event of any conflict between the most recent FCMAT Associated Student Body Ac- counting Manual, Fraud Prevention Guide and Desk Reference and Compton Community College’s ASB processes or procedures, the policies and procedures established by Comp- ton Community College will prevail. This verbiage allows the district flexibility and clarity to follow its own specific policies and procedures that may differ from those in the FCMAT manual. 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 April 2015 Rating: 5 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 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 district is ultimately responsible for all activities of the associated student body (ASB); as such, board policy, procedures and internal controls must be established by the district to facilitate those duties. Additionally, an appropriate degree of financial oversight and routine follow-up of the activities of the ASB are also essential to ensure that established procedures are followed. A significant level of oversight and support from the district’s business office is critical to ensure that student body funds are handled appropriately. District business office staff are responsible for general oversight of student body activities. In this capacity, the business office staff should: • Serve as a resource and answer questions from the ASB staff. • Develop and update the district’s ASB manual, policies and procedures based on input from those staff responsible for ASB, student organizations and district auditors. The questions asked throughout the year and the findings noted by the auditors should also be taken into consideration when updating the policies and procedures manual. • Provide training at least annually on the district’s procedures. This includes providing new staff members and student council members with copies of the district’s ASB manual and training during the year. • Make periodic visits to the ASB office to review the ASB procedures in operation and an- swer questions. It is a good practice to visit with those responsible for ASB at least once a year and more often if the ASB appears to have problems or continues to have audit findings year after year. • Obtain and review financial reports from the ASB at least quarterly. • Review the reconciled bank statements for all ASB accounts regularly, preferably month- ly. • Work with the ASB staff to respond to problems and audit findings noted by the auditors in the annual audit, and develop corrective actions to resolve the issues. • Follow up on all issues regarding the administration of student organizations. • Develop accounting procedures for recording and controlling the student body organiza- tion’s financial transactions. • Periodically review procedures to ensure they conform to prescribed accounting pro- cedures, taking into consideration any input from ASB staff, student organizations and district auditors when updating policies and procedures. Routine monitoring of ASB activities and funds is lacking. The district was unable to demon- strate that the business office provides annual training, obtains and reviews financial reports ACCJC Standard III 69 at least quarterly or conducts periodic reviews of ASB activities and business practices. Busi- ness office administration acknowledged the lack of a prioritized focus in this area. 2. Although journal entries, financial statements and bank reconciliations are completed with management’s oversight, inconsistencies in this oversight continue during this review period. Although FCMAT was provided bank reconciliations for each statement, they are not al- ways prepared timely, with adequate detail, and signatures and dates are sometimes missing. Management should ensure staff complete bank reconciliations within 30 days of statement receipt to facilitate early identification of errors or questions and provide for proper cash management. Management should also review and sign off on all bank reconciliations. 3. The business office has developed a comprehensive Associated Student Body Finance Code and Procedure Manual for ASB staff, which supplements the FCMAT Associated Student Body Accounting Manual, Fraud Prevention Guide and Desk Reference to address district specific issues as they occur. 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 April 2015 Rating: 5 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 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 continues to prepare a five-year projection for the unrestricted general fund. Mul- tiyear projections allow the district to analyze the effects of assumptions over multiple years and include economic and agency specific factors affecting changes in FTES, revenue and expenditures. Multiyear financial projections (MYFP) are intended to provide management with the time necessary to make appropriate budgetary adjustments to ensure that the district maintains an adequate fund balance and fiscal solvency. The details considered and incorporated into an MYFP are based on factors known at the time of preparation and are essential to the accuracy of the projection in any given year presented. The modification of factors in each year of the projection, such as the projected change in FTES, inclusion and subsequent elimination of one-time revenue sources and/ or expenditures can have a significant effect on the results of the projection if not taken into account. FCMAT was provided with a draft Five-Year Fiscal Management Plan updated December 4, 2014, which was presented to the CEO for discussion purposes in the 2015-16 budget development process. This plan provides key assumptions intended for use in budget development. The revision dates provided in the plan indicate that it is routinely updated to reflect identified changes. Key assumptions associated with revenue and expenditure changes are considered over a multiyear period, including changes in long-term debt obligations, oth- er postemployment benefit (OPEB) obligations, and the repayment of the line of credit. How- ever, an updated MYFP that incorporated these assumptions was not provided, and FCMAT was not provided with an MYFP with updated assumptions prepared for any other point in time during the review period. Additionally, there has been no change to the CCCD Five-Year Budget Assumptions work- book posted on the district’s website since FCMAT’s last review. The online version of this document is dated August 29, 2012, and the detail contained in it is dramatically different than that of the projections currently relied on by the administration. The district should en- sure that financial documents on the website are routinely posted and/or updated to include the most current information. Although not addressed in subsequent audits, the need for bud- getary information for multiple years was also recognized by the district’s auditors and for- malized in finding 2012-1 from the audited financial statements for 2011-12. 2. While the preparation of an MYFP is something that the district 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 MYFPs for the child development, bond in- ACCJC Standard III 71 terest 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 assumptions 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. 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 April 2015 Rating: 4 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 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. Through June 2014, the district was self-insured for workers’ compensation for the first $500,000 of each claim and participates in the School Alliance for Workers’ Compensation Excess II Joint Powers Authority to provide excess coverage. In May 2014, the district com- mitted to changing from being self-insured for workers’ compensation to contracting with the Protected Insurance Program for Schools and Community Colleges Joint Power Authority (PIPS) for workers’ compensation reinsurance protection effective July 1, 2014, which is ad- ministered by Keenan & Associates. Prior to the shift to PIPS, the district contracted with Bay Actuarial Consultants for periodic actuarial services. The actuarial study considers frequency of claims, average claim amount, size of loss distributions and loss development patterns. The most recent report dated May 6, 2013 shows projected unpaid losses of $2,687,816. This same amount is reflected in the Statement of Net Position in the annual audit report dated June 30, 2014. Note 12 of the audit report shows assets available to pay claims at June 30, 2014 total $3,038,359. The district re- mains liable for any claims submitted prior to the change to PIPS. FCMAT was not provided with any documentation that quantifies any outstanding financial obligation for losses associ- ated with claims not covered by the PIPS program. 2. The Governmental Accounting Standards Board (GASB) issued Accounting Standards 43 and 45 for other postemployment benefits (OPEB) in July 2004. This pronouncement re- quires employers who provide other postemployment benefits to employees to recognize the expense and related liabilities in the annual financial statements. As of June 30, 2014, the district plan consists of 83 retirees and beneficiaries that receive benefits, and 204 active plan members. Interviews with administrators and with Planning and Budget Committee members indicated that the district has implemented a plan to prefund future contributions in addition to the mandatory pay-as-you-go costs associated with postemployment benefits through mutual agreements between the district, the Planning and Budget Committee and the bargaining units. This agreement establishes an irrevocable trust to fully fund postemployment ben- efits over 20 fiscal years. According to the June 30, 2014 audit report, the district provided $250,000 to establish a GASB Statement No. 43 trust with the Futuris Public Entity Invest- ment Trust to be administered by Keenan & Associates. The expected annual contribution of $250,000 increases to $1.4 million in 2029 following the final payment of the district’s state loan. These amounts may be amended by the district and bargaining units by mutual agree- ment. In accordance with GASB Statement No. 45, the district reported the following obliga- tion in Note 11 to the audited financial statements for the year ended June 30, 2014: ACCJC Standard III 73 Net OPEB obligation, beginning of year $4,870,808 Annual Required Contribution 1,517,534 Interest on net OPEB obligation 292,248 Adjustment to annual required contribution -28,835 Contributions -674,596 Net Unfunded OPEB Obligation $5,977,159 According to the latest actuarial report by Total Compensation Systems, Inc., dated July 25, 2013, the total pay-as-you-go plan annual estimates are $669,799 in 2014-15, $733,081 in 2015-16 and $804,061 for 2016-17. 3. Negotiations for the classified bargaining unit are in process for the 2014-15 fiscal year. Ne- gotiations with the certificated bargaining unit were settled for the 2012-13 fiscal year dur- ing this review period, but discussions have not yet begun for the 2013-14 or 2014-15 fiscal years. The classified unit’s 2014-15 initial proposal to the district was sunshined at the August 19, 2014 board meeting. The district’s initial proposal was sunshined at the September 9, 2014 board meeting. At the time of FCMAT’s fieldwork, initial proposals for the certificated unit had not been sunshined. Standard Implemented: Fully - Sustained 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 April 2015 Rating: 10 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 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 process for collective bargaining is consistent with industry standards. The administra- tion and special trustee take into consideration not only compensation, but other contractual language. Factors other than compensation are reviewed and considered for negotiations when re-openers create opportunity for revision and when the entire contract expires and is open for negotiations. As an example, the procedures and tools used for evaluating faculty were revised through the collective bargaining process for the 2012-13 year that concluded in June 2014, and the agreement was ratified October 21, 2014. During this review period, the CBO was added as a member of the district’s certificated and classified bargaining teams, although no meetings had convened with the certificated bar- gaining unit for 2014-15 contract discussions. The inclusion of the CBO during all collective bargaining sessions helps ensure that the financial impact of all discussions and potential de- cisions is considered and evaluated prior to agreement between the parties. Because the elected board serves in an advisory capacity, members are not present in closed session board meetings and do not provide their input on these matters until tentative agree- ments are presented in open session. 2. An agreement was ratified between the district and certificated bargaining unit for 2012-13 at the October 21, 2014 regular board meeting. The tentative agreement incorporated language modifications not only to compensation, but changes to Article X Evaluation Procedures. At the time of FCMAT’s fieldwork, negotiations with the certificated bargaining unit for the 2013-14 and 2014-15 fiscal years had not yet begun. 3. During this review period, the district settled negotiations with the classified bargaining unit for the 2013-14 fiscal year. The district and classified bargaining unit also began negotiations for the 2014-15 fiscal year, but at the time of FCMAT’s fieldwork, a settlement had not been reached. ACCJC Standard III 75 The initial bargaining proposal of the Compton Community College Federation of Classified Employees incorporated minor language modifications in articles not pertaining to compen- sation. The bargaining unit’s compensation proposal requested a 5%, 3%, and 2% across the board wage increase for the 2014-15, 2015-16 and 16-17 fiscal years, respectively. The proposal also included an increase in the district’s annual maximum health benefit contribu- tion to $14,400 and an increase of the annual maximum for waiver of benefits from $7,000 to $8,000. The district sunshined its initial proposal for the classified unit at the September 9, 2014 board meeting; however, very limited detail was provided in the board meeting min- utes. 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 76 ACCJC Standard III 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 continues to contract with the Statewide Association of Community Colleges Joint Powers Authority (SWACC) for the property and liability insurance coverage admin- istered by Keenan & Associates. Premiums for the period July 1, 2014 to July 1, 2015 are $289,884 and provide coverages for general, liability, property, crime, equipment breakdown, and excess liability. Additional premiums are charged for risk management services. 2. In May 2014, the district committed to changing from being self-insured for workers’ com- pensation with excess coverage through the Schools Alliance for Workers’ Compensation Excess II JPA to contracting with the Protected Insurance Program for Schools and Commu- nity Colleges Joint Power Authority (PIPS) for workers’ compensation reinsurance protection effective July 1, 2014. PIPS is administered by Keenan & Associates through a resolution passed at the district’s May 20, 2014 board meeting. PIPS is a self-insurance program that in- tegrates risk transfer to reinsurers and risk retention by its self-insured members. This struc- ture provides catastrophic protection up to $155 million per occurrence and frequency protec- tion up to $1 million per occurrence in excess of a 99% actuarial confidence level. Although the district has moved to the PIPS program for workers’ compensation coverage, it is still obligated to pay for prior claims submitted under the former self-insurance program. FCMAT was not provided with any documentation estimating the projected liability for un- paid losses associated with claims not covered by PIPS. 3. SWACC’s excess property and liability JPA, Schools Association For Excess Risk (SAFER), approved at the April 18, 2014 board meeting, requires all participating districts to train 80% of their leadership/supervisory staff, and all new hires, on mandatory reporting requirements. The district continues to contract with Keenan & Associates for employee training services, which include those related to mandatory reporting. All employees are required to complete online training courses for child abuse mandatory reporting, sexual harassment, confiden- tiality, and facility emergency training. Communications are sent to department managers through email regarding participation requirements. The Human Resources Department is able to monitor the status of completion using a due date report and communicates with the manager and employee when the required training has not been completed. Staff acknowl- edged their participation in these trainings during interviews with the review team. 4. Districts are required to post Mandated Reporter Requirements posters at each district lo- cation, and FCMAT observed these postings during its site visit. SAFER also strongly en- courages all covered agencies to pursue additional measures to further mitigate child abuse ACCJC Standard III 77 exposures; however, nothing was provided to the review team that demonstrated additional measures are implemented by the district. 5. The district continues to maintain an employee safety program and has a safety committee as discussed in Standard 1.25 of the Physical Resources section of this report. Standard Implemented: Fully - Sustained 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 April 2015 Rating: 10 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 78 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; although interviews with staff indicated that the district may benefit from main- taining its own licensed version of the software to maximize use of the system. The system allows the Maintenance and Operations Department to document, access and track mainte- nance requests including detailed information associated with each request such as descrip- tion, location, status, time taken to complete the work, cost of materials 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. However, additional modules, not available on the El Camino CCD system, are necessary to achieve this goal. The district continues to use the system for a very narrow purpose of recording work order requests and managing basic staff assignments by trade. 2. Signs are posted throughout the campus providing information on how to report maintenance 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 re- quest 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 efficiency 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. 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 April 2015 Rating: 8 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 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. AR 6701, Civic Center and Other Facilities Use, addresses the fol- lowing: • 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 continues to report that they are confident about the process for managing facility use agreements. Review of transactions indicate that in general terms, the district follows proce- dures as established for submission, review and approval of facility use agreements. 3. AR 6701, Section 8.B. states, “Rental fees are to be based on standard personnel, equipment, and incidental costs for standard set-ups and events expected attendance. These schedules are to be reviewed and updated annual each April and published July 1st of each year.” However, no updates to the fee schedule have been made. Staff reported that the district is evaluating the current fee schedule for facility use but has not yet developed and proposed an updated schedule. Review of sample supporting documentation indicated that the district may not be charging the full rental value for facilities as listed in the rental fee schedule provided in Administra- 80 ACCJC Standard III tive Procedure 6701A. For example, in at least one agreement, fees were waived in part. AR 6701, Section 8.D. states, “Failure to collect fees according to the approved fee schedule is an illegal gift of public funds.” The district should ensure that the established board policy, administrative regulations and administrative procedures are followed, and make any neces- sary revisions to the policy, regulations and/or procedures where deemed appropriate. 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 April 2015 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 18.4 – Maintenance and Operations Fiscal Controls Professional Standard: The Maintenance Department follows standard college purchasing protocols. Open purchase or- ders 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. The district continues to follow procedures established for purchase requisitions and purchase orders, which have been implemented by the district as best practices to improve purchas- ing controls and reduce incidents of unauthorized purchases. The district does not maintain a warehouse to stock large quantities of supplies because of space limitations. Rather, the Maintenance and Operations Department relies on routine orders as needed from custodial supply vendors. The district continues to use blanket purchase orders (POs) for restocking supplies, making this process relatively simple. Blanket POs are created in Datatel annually for routine operational purchasing. They are established for the entire fiscal year and list the names of staff members who are permitted to place orders and/or authorize payment. The system allows blanket POs to be established and adjusted as necessary through a purchase 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. POs cannot be increased if unencumbered balances are insufficient in the account line. Interviews with purchasing staff indicated that the director of facilities planning and opera- tions has a greater understanding of the budget, and the allocation of funds for blanket POs for the Maintenance and Operations Department has improved during this review period. 2. The district utilizes an electronic purchase requisition system. After a requisition is initiated in the system, it is routed electronically for required authorizations and preparation of a pur- chase order by the purchasing technician. When the requisition is received by the Purchasing Department, it is reviewed and a PO number is assigned. The purchasing technician verifies account coding and ensures that information provided on vendor quotes is reflected correctly on the PO and includes appropriate pricing, tax, shipping, etc., and tries to mitigate any is- sues 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/ratification. 82 ACCJC Standard III Standard Implemented: Fully - Sustained 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 April 2015 Rating: 10 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 83 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. While the Maintenance and Operations Department has an established process for safe- guarding materials such as cleaning supplies and custodial materials, it has historically been challenged to control the access and use of tools and equipment for maintenance. During the current review period, interviews with staff and management indicated that storage bins for small tools and equipment are being used to safeguard these items and to control access. Small tools and equipment for maintenance and grounds are secured in bins and items are checked out as needed. Interviews with management indicated no instances of theft have oc- curred during this review period. A separate bin is used for maintaining a centralized supply of custodial cleaning products and supplies, and Maintenance and Operations Department supervisors are the only staff members with keys to this storage facility. 2. The Maintenance and Operations Department does not have a formal inventory system for tracking small tools and equipment; however, the department continues to work on imple- menting a system to track these items. At present, items are checked out based on an honor system, i.e., use and return. Interviews with management and supporting documentation in- dicate that while a list of tools and equipment has been prepared, it is not up-to-date and no routine physical inspection takes place to ensure all items remain at the district. Small tool inventories should be sufficiently detailed to account for items purchased by the department and should be updated as items are lost, damaged or otherwise disposed of. Physical invento- ries should take place at least annually, and the documented inventory lists should be updated accordingly and dated. Management indicated that the district has contracted with AssetWorks and anticipates an inventory will be completed by June 30, 2015. However, typically this type of engagement includes fixed assets over a specified dollar threshold, which may not include small tools. 3. 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. No further progress in finalizing the draft AR 6552, Fixed Asset Control System, was demonstrated by the district during this review period. This ad- ministrative regulation has been in draft form since 2009. AR 6535, Use of District Equip- ment, was finalized September 6, 2013. This administrative regulation clearly describes the responsibilities of each employee related to the custody, use and authority associated with district equipment under their control. 84 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 April 2015 Rating: 5 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard III 85 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 2014-15 state budget again included funding for the California Community College Mandate Block Grant. The district continued to opt in to the Mandate Block Grant and re- ceived $169,680 for the 2014-15 fiscal year. Districts are able to file annual claims for mandates not included in the block grant. Payment for these claims would be received at some future time as the state continues to withhold re- imbursement for these and some prior years’ claims. 3. The district no longer engages consultant services for preparation of mandated cost claims that are not included in the block grant, nor is the district filing such 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 April 2015 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 86 ACCJC Standard III Sources and Documentation Interviews: Academic affairs analyst/attendance consultant, 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 members Dean of human resources Director of accounting Director of admissions and records Director of enrollment services Director of facilities planning and operations Director of fiscal affairs Event coordinator/scheduler Information systems engineer Manager of MIS, El Camino CCD Payroll specialists Planning and Budget Committee members Purchasing agent Purchasing technician Senior administrative assistant ACCJC Standard III 87 Shipping/receiving technician Special trustee Utility maintenance supervisors Vice president administrative services, El Camino CCD District Documents: 2013-14 LACOE Year-End Closing Workshop-General Ledger Materials 2013-14 LACOE Year-End Closing Manual 2014-15 Adopted Budget Cover Letter, August 25, 2014 2014-15 Final Budget, September 9, 2014 2014-15 Final Budget Narratives and Assumptions 2015-16 Tentative Budget (all funds) Narratives and Assumptions 2015 Elected Board of Trustees’ Goals, March 3, 2015 2015-16 Overarching Priorities, undated A Guide to the Evaluation of Employee Performance in the Classified Service, Office of Human Resources (no date) Accounts Payable User Manual Administrative Evaluation Schedule 2014-2015, November 7, 2014 Administrator employee performance evaluation forms Analysis of Compliance with the 50 Percent Law, 2014-2015 Budget Year Analysis of Proposed Contract Increases – 2014-15 through 2017-18 ASB 2014-15 Account Availability Report, March 5, 2015 ASB 2014-15 General Ledger Detail Trial Balance Report, March 24, 2015 Attendance Procedures Draft, revised May 15, 2012 Bank reconciliations and statements for various accounts, April 2014 - February 2015 Bay Actuarial Consultants Actuarial Review of the Compton CCD Workers’ Compensation Program, draft May 6, 2013 Board meeting agendas and minutes, April 2014 - April 2015 Board policies and administrative regulations and procedures regarding finance and district opera- tions Budget to Actual Report, December 31, 2013 88 ACCJC Standard III Budget to Actual Report, March 31, 2014 Budget to Actual Report, June 30, 2014 Bursar’s Collections for Student Fees, January 2015 (Datatel) Business Services – Budget Development, Monitoring, and Maintenance Policies and Procedures Manual (various revision dates based on procedure) California Community Colleges Chancellor’s Office 2014-15 Mandated Programs Block Grant Pay- ments Exhibit B-4e, December 16, 2014 Cash Flow FY 2015, January 28, 2015 CCFS-311A Annual Financial and Budget Report, 2013-14, November 18, 2014 CCFS-311Q Quarterly Financial Status Report – 2013-2014 Q3, March 31, 2014 CCFS-311Q Quarterly Financial Status Report – 2013-2014 Q4, June 30, 2014 CCFS-311Q Quarterly Financial Status Report – 2014-2015 Q1, September 30, 2014 CCFS-311Q, Quarterly Financial Status Report – 2014-2015 Q2, December 31, 2014 CCFS-320 - Apportionment Attendance Report - 2013-2014 Annual, July 15, 2014 CCFS-320 - Apportionment Attendance Report - 2013-2014 Recalc., November 7, 2014 CCFS-320 - Apportionment Attendance Report - 2014-2015 P1, January 16, 2015 CCFS-323 2014 Actual Enrollment Fee Revenue, September 15, 2014 Certificated employee performance evaluation forms 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 College Mission and Strategic Initiatives, February 3, 2015 Combined Line of Credit Debt Service Schedule, June 1, 2009 Compton CCD Accounting Proposed Training Manual, Vasquez & Co. LLC Compton CCD Associated Student Body Finance Code and Procedures Compton CCD Budget and Planning Timeline: Planning Year 2014-2015, April 22, 2014 Compton CCD Budget and Planning Timeline: Planning Year 2015-2016 Compton CCD and El Camino CCC 2014-2015 Planning and Budget Calendar Compton CCD and El Camino CCC 2015-2016 Planning and Budget Calendar ACCJC Standard III 89 Compton CCD-El Camino CCC Planning Process flowchart, February 25, 2013 Compton CCD Consultant Service Agreement Compton CCD Employees Policy and Procedures Handbook Compton CCD Measure CC General Obligation Bond Audit Report, June 30, 2014 Compton CCD Payroll Reporting Schedules 2013-2014 Compton CCD Payroll Reporting Schedules 2014-2015 Compton CCD Program Review Accounting Services, draft January 17, 2013 Compton CCD Program Review Management Information Systems, draft February 20, 2009 Communications to Faculty re: Spring 2015 Opening Day, January 13, 2015 Communications to Staff re: Attendance, March 25, 2015 Communications to Staff re: Budget Management and Transfers, various dates Communications to Staff re: Employee Payroll Issues, February 27, 2015 Communications to Staff re: Revised Budget Transfer Form, January 15, 2014 Communications to Staff re: procedures for proper internal controls to be in place on the following areas: laptop computer and mobile equipment; invoices without approved requisitions; unlawful activity ad reporting guidelines; and payroll issues, February 2014 through February 2015 Communications to Staff re: Year-End Closing 2013-2014, June 4, 2014 Daily Cash Balance Report, March 9, 2015 Draft Equipment Purchase Guidelines, February 19, 2013 El Camino College-Division Learning Outcomes Assessment Coordinating Committee Meeting (DLOACC) Minutes, February 13, 2014 El Camino College DLOACC meeting minutes, September 25, 2013 reflecting TracDat training schedule of dates: October 22, November 5, and November 22, 2013 Employee evaluation lists, 2013-14 Employee evaluation samples, 2013-14 Employee Work Calendar 2014-15, March 12, 2015 Enrollment Audit Roster-Fall 2014, January 14, 2015 Enrollment Summary Spring 2015 as of March 12, 2015 Enrollment Trends Report Spring 2014, January 15, 2014 Enrollment Trends Report Spring 2015, January 15, 2015 Ethics Training Workshop Certificate of Completion-CBO, November 20, 2014 90 ACCJC Standard III Evaluation Procedure for District Administrators, June 7, 2011 Facilities Planning and Operations Inventory List Facilities Planning and Operations Work Order Request Reports 2015 Facilities Planning and Operations 2014-2015 Completed Work Order Samples Facilities Project-Notice Calling for Bids-Bid #CCC-011A/Allied Health Building, October 3, 2013 Facilities Project-Bid Advertisement Daily Breeze-CCC-011A/Allied Health Building Facilities Project-Bid Results Board Agenda Item, Allied Health Building, November 13, 2013 Facilities Project-Notice of Intent Letter, Allied Health Building, December 9, 2013 Facilities Project-Project Award Letter Allied Health Building, December 18, 2013 Facilities Project-Notice to Proceed Letter, Allied Health Building, April 11, 2014 Facilities Project-Change Order Sample Form Facility Use Agreement Requests Communication Samples Facility Use Agreement Executed Permit Samples Financial Reports - generated from PeopleSoft, 2014-15 Fiscal Management Self-Assessment Checklist Compton 2015 Fiscal Management Self-Assessment Checklist Compton 2015 Board Presentation, January 20, 2015 Five-Year Budget Fiscal Management Plan (2013-14 through 2017-18) – Unrestricted General Fund, draft December 4, 2014 Form 6341B-1, Compton CCD Facilities Order 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 Annual Statement of Economic Interests 2014-15 Deadline Memo, March 2, 2015 Form 700 2014-2015 Filed List Form 700 Annual Statement of Economic Interests 2013-14 Deadline Memo, March 5, 2014 FTES Goal and Actual FY 2010-11 through 2014-15, January 16, 2015 Independent Audit Report, June 30, 2014 Handbook for Classified Employees 7th Edition, August 2008 Internal Operations Audit Plan – Priorities List, June 30, 2013 Internal Operations Review Plan, March 1, 2013 ACCJC Standard III 91 Internal Operations Audit Plan - Priorities List Status Report, June 30, 2014 LACOE HRS District Payroll Schedules, July 2014 - April 2015 LACOE HRS Position Control Manual, Vol. 2, 2012 Letter of Intent to the California Community Colleges Chancellor’s Office, August 30, 2014 – FY 2015 Mandate Block Grant Letter explaining the need for a review of the Bursar’s Office internal control and the reporting pro- cess and structure to do so, pursuant with the 2013 Internal Audit Plan, February 12, 2015 List of bank accounts Memorandum to the CBO re: Step By Step Reconciliation of Position Control, July 1, 2014 Memorandum to the CEO re: Cash Flow Monitoring, July 1, 2014 Memorandum to the CEO re: Five Year Fiscal Management Plan Development, July 1, 2014 Memorandum to the CEO re: Other Postemployment Benefits (OPEB) Plan, March 1, 2013 Memorandum to Faculty re: Attendance Accounting Instructions for Spring 2015, January 13, 2015 Memorandum to Staff re: 2013-14 Requisition Cut-Off Dates, Year-End Closing, January 30, 2014 Memorandum to Staff re: 2013-14 Year-End Closing, June 4, 2014 Memorandum to Staff re: 2014-15 Requisition Cut-Off Dates, January 30, 2015 Memorandum to Staff re: 2014-15 Requisition Cut-Off Dates, Year-End Closing Reminder, March 13, 2015 Memorandum to Staff re: Classified Employee Performance Evaluations, March 25, 2015 Memorandum to Staff re: Facilities Physical Inventory (no date) Memorandum to Staff re: Invoices without Approved Requisitions, April 21, 2014 Memorandum to Staff re: Problem Invoices, April 21, 2014 Memorandum to Staff re: Requisition Cut-Off Dates Reminder, March 19, 2014 Memorandum to Staff re: Restricted Program Training, March 11, 2014 Memorandum to Staff re: Unlawful Activity and Reporting Guidelines, September 19, 2014 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 Object Code Guidelines, February 3, 2015 Organization Chart, Business Services, July 1, 2013 92 ACCJC Standard III Organization Chart, Maintenance and Operations, December 4, 2013 Organization Chart, Management Information Systems, December 4, 2013 CCCD/ECCD CEC 2014-2015 Organizational Structure (no date) Payroll Accounting Reports, various months Payroll Audit Reports, various months PIPS Renewal Structure, 2014-15 PIPS Memorandum of Coverage, 2014-15 PIPS Services and Resources, 2014-15 Planning and Budget Calendar, 2014-15 Planning and Budget Committee roles and responsibilities, 2014-15 Planning and Budget Committee meeting agendas and minutes, April 2014 - March 2015 PeopleSoft Position Control Template Policies and Procedures - Accounts Payable Department, November 1, 2012 Policies and Procedures - Purchasing Department, revised February 1, 2013 Policies and Procedures - Capital Outlay Bond Funds, March 8, 2013 Policies and Procedures - Contract Change Order, February 1, 2013 Procedures - Online Add Process Spring 2015 Procedures - Printing Class Rosters on MyECC Professional Consulting Services Agreement for Internal Control Review of Bursar’s Operation Cash Controls Protected Insurance Program for Schools & Community Colleges (PIPS) 2014-15 Program Summary Purchase Order Listing for board/special trustee approval, April 2014 - February 2015 Purchase Order Terms and Conditions Purchasing Guidelines, January 1, 2015 Rules and Regulations of the Classified Service, Compton CCD Personnel Commission, revised September 2005 Safe Colleges Training Planner, Keenan & Associates, September 9, 2014 Sample Open Purchase Orders Sample Budget Transfers, June 2014 - March 2015 Sample Expenditure Transfers, June 2014 - March 2015 ACCJC Standard III 93 Schedule of Other Postemployment Benefits (OPEB) - District’s Funding Plan Self-Insured Claims Administration Agreement, July 1, 2012 - June 30, 2015 by Keenan & Associ- ates, June 8, 2012 Special Trustee’s Advisory Committee meeting agendas, January 12 and March 9, 2015 Spring Semester 2015 Important Dates For Faculty Spring Semester 2015 Short Term Class Calendar, January 9, 2015 Student Attendance Accounting Manual (SAAM), California Community Colleges Chancellor’s Of- fice, January 2001 SWACC 2014-15 Program Summary, by Keenan & Associates, July 1, 2014 SWACC 2014-15 Memorandum of Coverage, by Keenan & Associates SWACC 2014-15 Program Year Renewal letter SWACC letter re: Mandatory Reporting Requirements, July 2, 2014 SWACC letter re: 2014-15 WeTip Membership, May 14, 2014 SWACC Property & Liability Claims Reporting 2014-15 SWACC and PIPS Renewal Presentation, 2014-15, by Keenan & Associates, June 5, 2014 SWACC Services and Resources, 2014-15 Total Compensation Systems, Inc. Actuarial Study of Retiree Health Liabilities as of March 1, 2013, July 25, 2013 TracDat Training Schedule, February 13, 2014 Various budget communications to/from other departments WeTip Poster/Flyer Year-End Closing Task List Other: Site walk and facilities observation Compton CCD board meeting, March 24, 2015 Compton CCD website (www.district.compton.edu) 94 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 April 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard IV: Leadership Rating 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 8 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 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 8 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 whose purpose, as stated in the Compton CCD Standing Committees document, is “To review materials provided from the various committees designated as committees of the Consultative Council and provide recommenda- tions to the CEO. The committee members will be the leadership from each campuswide con- stituent group and will meet on a weekly basis.” The two committees that directly function in the governance area are Institutional Effectiveness and Planning and Budget. These commit- tees have their own purpose or mission. The Institutional Effectiveness Committee is to review and provide recommendations about each of the program reviews to strengthen and support programs and program analysis. The committee is also responsible for reviewing the following: El Camino College Compton Center Educational Master Plan, Facilities Master Plan, Staffing Plan and Technology Master Plan, to ensure these plans and all program reviews are consistent, aligned and current. The committee is to monitor the status of these documents and review the responses to FCMAT recommendations. The Planning and Budget Committee serves as the steering committee for campuswide plan- ning. This committee ensures that planning and budgeting functions 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 committee ensures that all plans are developed using data from program reviews and are linked to the center’s mission statement and strate- gic initiatives. It makes recommendations on all global center and district planning and bud- geting issues. The committee reports all of its activities to the campus community. These two institutional committees are linked together for all critical functions of planning, budgeting and making recommendations to the chief executive officer (CEO). The committees comprise the shared governance function at the center and involve all constituency groups. See Standard 3.2 for additional information regarding the council and these committees. 2. The center also has eight operational campus committees: Facilities; Health and Safety; Tech- nology; Enrollment Management; Student Success; Professional Development; Auxiliary Services; and Health Benefits. There are also four Academic Senate committees. The com- mittees have appropriate purpose statements, which also provide the membership list for each committee. All of these are also 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, 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. The list also provides helpful guiding principles for the operation of the committees. ACCJC Standard IV 5 In 2013 both the Institutional Effectiveness Committee and the Planning and Budget Com- mittee revised their mission and assumed more direct responsibility for program review over- sight and its correlation with budget and planning. This model seems to be working well, and during this review period, the committees appear to be more comfortable in their governance roles. 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 wide- spread communication. 3. The review team attended a Consultative Council meeting on April 20, 2015 at which most of the council members were present. The CEO reviewed the April 21, 2015 board of trustees meeting agenda. In addition, representatives gave reports and a facilities update was provided. 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. Part of the intent of meeting minutes is to memorialize actions and recommendations; however, they should also provide a brief explanation and/or reasons for the recommendations, which will help to establish intent and provide some background information for future leaders. Because this is the primary shared governance group at the center, and two key committees (Planning and Budget and Institutional Effectiveness) report to the council, the minutes should be more detailed. 4. The Institutional Effectiveness Committee continues to work well in overseeing the program review function of the academic programs. Although the data issues reported in the past seem to be resolved, there are still problems with the committee getting acceptable program review documents for individual programs. The template for the reviews is self-explanatory, easy to follow, and appropriate for the process. Committee members reported that some of the program reviews do not have the rigor they require for approval of the document and must be returned, sometimes more than once, so that corrections may be made. Because the budget is dependent on program review (requests for funding are supported by the analysis in the program review documents), lack of an approved program review can impact the budget for the program. The committee is grappling with ways to ensure that program review docu- ments are more rigorous, data driven and timely. The center should continue to work on ways to make the process timelier by ensuring that program documents are rigorous and complete when submitted. 5. Program reviews for several academic programs (e.g., Child Development and English) are complete; others are in various stages of completion. The program reviews for the library and Student Success Center are approved and have been reviewed by senior management. 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; however, this time frame is not always adhered to because some program reviews are submitted several times before being approved. The com- mittee meets regularly and also provides individual help with program reviews that must be resubmitted. 6 ACCJC Standard IV The center continues to make 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. How- ever, the center needs to work on ways to ensure that program reviews are submitted to the committee in a more complete fashion to move through the approval process more success- fully. 6. The review team met with some members of the Planning and Budget Committee on April 21, 2015. Interviews indicated that the committee is on task and working hard to help ensure the center completes its mission. Review of the meeting minutes for this review period revealed that the Planning and Budget Committee 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. Discussions with committee members indicated agreement that they are appropriately con- sulted. However, some concern was expressed about many decisions being made in the summer when the faculty are off work. This is primarily because the state budget is approved in the summer, which may impact the committee’s opportunity to have robust discussions about budget matters. As the center moves forward to become an accredited institution, these tim- ing issues will become more important. The center should develop a process that provides an opportunity for committee members to attend budget discussions that occur during the sum- mer. 7. The center encourages the committee format for input from the various constituencies. How- ever, interviews with representative groups indicated a perception by some that while input is sought, they do not see their ideas reflected in decisions. Some of this is a natural outcome of not selecting particular ideas offered in the shared governance process. Interviews also indi- cated that some of the representatives do not inform their constituent groups of the decisions and the background surrounding them. To more fully embrace inclusive decision making and provide for improved communication, the center should explain the reason for the final decision once it has been made, and representatives who receive the information should com- municate the information to their constituent groups. As the center continues to work toward independence, it is important to continue to establish habits and practices that foster broad communication. 8. 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. ACCJC Standard IV 7 Standard Implemented: Fully - Substantially 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 April 2015 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 8 ACCJC Standard IV 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 three years ago to include a strong emphasis on student retention. A new plan was developed during spring 2015. The Enrollment Management Committee develops marketing, recruitment and retention plans. The 2015-2018 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 to provide information to middle and high school students within the district’s boundaries. In general, the goals are spe- cific, include measurable results and the costs associated with them, as well as timelines and the responsible employee or office. An examination of the plan funding showed that half the funds are dedicated to outreach and community relations/public information. The committee is examining new programs (e.g., Fire Academy, Early College High School, and Cosmetol- ogy) that would increase the number of students who enroll in the Compton Center. 2. The CEO continues to make a priority of developing relationships with local businesses and build- ing 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 community roundtables in the local communities. The agenda for these roundtables includes the process to accreditation, facilities master plan, and opportunities for community participation in governance. Question and answer periods follow the presentations. The CEO also informed the local communities about the district’s general obligation bond, Measure CC. The first high school principals’ breakfast, hosted by Comp- ton CCD and attended by the CEO, highlighted what is happening at the Compton Center with an emphasis on the First Year Experience program. 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 issues such as the pro- cess to accreditation and Measure CC. ACCJC Standard IV 9 4. The members of the Board of Trustees also regularly 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. 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 10 ACCJC Standard IV 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, Administra- tive Regulations and Procedure, which states that employees and students shall have the op- portunity to participate in the development of board policies and administrative regulations through a consultative process. Board Policy 2410 was revised on August 13, 2014. 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 con- stituent groups have been provided the opportunity to participate. 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 three years ago and has been successful. The council meets weekly. The members receive reports on and consider such varied items as construction projects, the budget, progress toward accreditation, naming of campus streets, smoking policy and updates of committees. Some meetings provide for reports from the various constituencies, although frequently a constituency has no report to give. The 2014-15 goals include improving com- munication and campus climate, addressing board policies and procedures, and maintaining and strengthening relationships between El Camino College and the Compton Center. The minutes of this committee are mostly 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. Ad- ditionally, there is little evidence of discussion of the current goals. More detailed minutes would allow nonmembers to understand the actions of the council. The CEO indicated that the council should evolve and hold other committees responsible for their duties. ACCJC Standard IV 11 3. The Institutional Effectiveness Committee, a committee of the Consultative Council, is charged with focusing on the program review to ascertain that the questions are being ad- dressed and to ensure the consistency of documents. The membership of the committee consists of two managers, four faculty members, two classified staff, and one student. The committee reviews the documents and recommends revisions using a feedback template. The committee also is responsible for monitoring the recommendations made by FCMAT that are related to the charge of the committee and reviewing the El Camino College Compton Center Educational Master Plan, Facilities Master Plan, Staffing Plan, and Technology Master Plan. A review of the committee’s detailed minutes showed that the committee focused on program reviews. The committee frequently returns program reviews to the authors for changes. Many reviews were cited for “missing the necessary rigor,” and the suggestions for improvement of the documents were often quite specific. The committee has accepted all but two reviews from 2014 after revisions were made. A new cycle will begin in 2015. The quality of the pro- gram review documents has improved since the committee has taken an active role in their development and review. The program reviews are used in making budget allocations. 4. The Planning and Budget Committee, a committee of the Consultative Council, serves as the steering committee for campuswide planning and budgeting. The membership of the commit- tee consists of two managers, four faculty members, two classified staff, and one student. It ensures that planning and budgeting are integrated and that budget allocations are consistent with district goals, master plans, and program review documents. Recent actions include ap- proval of the 2014-15 budget, the changes in BP 6200 Budget Preparation, the payment to the California Community Colleges Chancellor’s Office for the cosmetology program liability, and the Five Year Fiscal Management Plan (2013-18). The committee requested more infor- mation before final consideration of the transfer of funds to other postemployment benefits (OPEB). The detailed minutes of this committee reveal that the members discuss the issues. The committee is struggling with the issue of the lack of faculty attendance at meetings held during the summer when budget information is available and important decisions are made regarding the next academic year’s budget. A suggestion has been made by the committee to appoint alternates; however, members recognize the importance of consistent attendance of the same people. An effort should be made to find individuals who can be available for these important summer meetings. Committee members recognize their role is advisory; however, they stated that they are genu- inely being consulted and that important items are brought to them for consideration. 5. Advisory committees are required for all technical programs. If properly constituted, they can provide valuable advice for program changes and development. Topics such as job opportuni- ties in the field, industry expectations, preparation of students, and suggestions made by in- dustry representatives are usually discussed. Interviews indicated that the goal is to have each committee meet twice a year. The district should continue the use of advisory committees, and notes from the committee meetings should be made available on the center’s website. 6. The Special Trustee’s Advisory Committee was established three 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 12 ACCJC Standard IV quality instruction, educational mission, fiscal stability, and ultimately accreditation; and foster community support for the district and the Compton Center. The description of the committee was revised in March 2015 to include the statement, “Election of officers shall be conducted during the first meeting of each calendar year.” The number of members is not fixed; however, there are to be at least seven. There are currently eight members including the student member. The committee’s goals for 2014 included participation in community activities, active par- ticipation 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 con- sistent with its goals. The draft of the committee’s goals for 2015 is essentially an update of its 2014 goals. Members of the committee have completed a self-evaluation, which indicated they generally either agreed strongly or agreed that they had met the goals of the committee. Interviews with committee members indicated they are participating in training activities, including ethics, accreditation, and the Brown Act. They also indicated that good communi- cation exists between them and the CEO and the special trustee. Members expressed concern with the length of time required in the accreditation process; however, they basically under- stand the process. Members also expressed that the current membership is committed and cohesive. An examination of the minutes for the last year revealed that some meetings lacked a quorum. The review team attended the April 20, 2015 Special Trustee’s Advisory Committee meeting 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 agenda included a presentation on the center’s eligibility application for accreditation, an update on the center including attendance data, an examination of the center’s overarching priorities and goals, information on Assembly Bill 968, and plans for community outreach. 7. Recently the CEO held a Strategic Planning Summit. Approximately 35 people attended. This was the first step in the formation of a Strategic Planning Committee with a membership of about 40 individuals. Information provided to the review team indicated that the commit- tee will work in small groups to develop ideas on such topics as the vision, mission, plan- ning process at the center, and the center’s committee structure. It is envisioned as a working group that develops a strong connection between planning and budget. The actual meetings are planned to take place at various community centers. 8. The center has established a shared governance committee structure to provide input to senior management for decision-making. FCMAT’s eighth progress report stated, “Despite these active committees, the review team heard from all segments of the campus community, including students, classified staff, fac- ulty, 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 ACCJC Standard IV 13 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, dur- ing this review several individuals expressed concerns about shared governance. The district should continue to work to improve this perception.” During this review period, this situation has improved. All constituents reported that they felt their contributions are taken seriously and that senior management is listening and hearing. The CEO meets regularly with the president of the Academic Senate, and deans indicated they are able to provide a bridge in communication between the faculty and upper manage- ment. The students stated that they are listened to and get results. Several individuals at all levels of the organization indicated that feedback to constituencies needs improvement. It is the responsibility of the members of the various committees and councils to ensure they represent their constituents and report back to them about discussions and decisions. Closing the communication loop is important so that people realize how their ideas are used in decision-making. The CEO should also consider some form of direct com- munication with faculty and staff via newsletter or center-wide meetings. This could offer an opportunity to provide a more consistent message rather than simply relying on the explana- tions of various committee members. Standard Implemented: Fully - Substantially 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 April 2015 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale Not Fully 14 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 or 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 15 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. 16 ACCJC Standard IV Accrediting Commission for Community and Junior Colleges April Jan. July June Jan. July June April April April 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard IV: Leadership Rating 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 9 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 7 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 8 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 6 including the recommendations of the president. Functional working relations are 5.5 1 1 3 6 7 7 3 3 4 7 maintained among board members. The standards in bold text are the identified subset of standards for ongoing reviews. ACCJC Standard IV 17 Accrediting Commission for Community and Junior Colleges April Jan. July June Jan. July June April April April 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard IV: Leadership Rating 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 6 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 7 administration. The board publicly demonstrates 5.8 respect for and support for the 1 1 2 6 7 7 3 3 4 7 district staff. The board publicly demonstrates 5.9 respect for public input at meetings 1 1 2 6 7 7 5 4 5 7 and public hearings. Board members respect 5.10 confidentiality of information shared 1 1 1 5 7 8 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 9 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 6 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 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 8 the agenda and support materials prior to the meeting. The standards in bold text are the identified subset of standards for ongoing reviews. 18 ACCJC Standard IV Accrediting Commission for Community and Junior Colleges April Jan. July June Jan. July June April April April 2007 2008 2008 2009 2010 2010 2012 2013 2014 2015 (ACCJC) Standard IV: Leadership Rating 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 9 M. Brown Act. Board meetings proceed in a 6.6 businesslike manner while allowing 5 5 5 6 7 6 3 3 4 7 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 9 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 8 attainment. The standards in bold text are the identified subset of standards for ongoing reviews. ACCJC Standard IV 19 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 board/special trustee has adopted Board Policy 2200, Board Duties and Responsibilities (1/19/10), which lists the board’s responsibilities and indicates that the board is to provide policy, direction and guidance to the CEO who is responsible for management of the district and its employees. 2. The majority of the elected board members are relatively new to the district’s Board of Trust- ees. 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. Interviews with board members indicated that they are aware of their role regarding informal public concerns and route any operational concerns to appropriate district personnel. A re- view of the board meeting minutes revealed an instance of a member specifically noting that she had received a request from a member of the public and would turn the information over to the CEO. The board should continue this practice. 3. Interviews with district management staff did not reveal concerns in this area, and the review team received no reports of board members being inappropriately involved in routine staff matters. 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 20 ACCJC Standard IV 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. Members continue to express a strong desire to receive and participate in training on multiple subjects, including understanding their role. One of the 2015 board goals is to participate in a trustee education program. The district has developed a specific and thorough training agenda for board members. The board received training on ethics and sexual harassment during this review period. 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. Individual members attend conferences. For example, members attended the Community College League of California (CCLC) conference during this review period. Additionally, all members attended the CCLC Effective Trusteeship and Board Chair Workshop. Two members also attended the CCLC Legislative Conference. Interviews with board members revealed their continued desire for training. 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. ACCJC Standard IV 21 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 April 2015 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 5.3 – 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 it reflects the district’s current needs and priorities for all faculty and students and use the statement to guide planning and budgeting decisions. A regular cycle for its review has been established, and as recommended in previous reviews, a three-year cycle has been developed for the re- view of all board policies and administrative regulations and procedures. Appropriate offices have been given review assignments, and the Consultative Council will review the process. 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 Planning and Budget Committee ensures that all plans are devel- oped using data from program review and are linked to the Center’s mission statement and strategic directives. The committee 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: Fully - Substantially 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 April 2015 Rating: 8 ACCJC Standard IV 23 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 5.4 – 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. In addition, at the time of FCMAT’s fieldwork a 2015-16 budget workshop was scheduled for April 28, 2015. The district should also consider providing separate study ses- sions to the board members regarding other detailed topics. 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. In addition, regular reports 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 April 21, 2015 Board of Trustees meeting. The board members acted in a very professional manner at this meeting. Interviews and review of the 2014-15 board meeting minutes revealed an informed and interested board. 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 April 2015 Rating: 6 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 25 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 continuing to develop a functional working relationship. The board members need to continue to develop a cooperative working relationship to ensure they effectively fulfill their advisory role. 2. Board members’ participation in the statewide conference of community college trustees should provide the board members with a solid foundation on which to build functional working relations with one another. Interviews with the board members indicated that they feel a good working relationship is important and is continuing to develop. 3. The review team attended the April 21, 2015 Board of Trustees meeting. The board members acted in a very professional manner at this meeting. Interviews and review of the 2014-15 board meeting minutes revealed an interested and informed board. Although agenda items can at times be extremely sensitive matters to board members, their conduct at meetings should remain professional. 4. The board should continue to work to fully understand the appropriate role and conduct of a board member both at meetings and when dealing with the public. 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. 5. Beginning in July 2014, the board members were seated at the dais for all meetings. Inter- views with individual board members indicated that this change has resulted in a more en- gaged and positive board. One member stated it is the “best board so far.” Another said that sitting at the dais “improved how we see ourselves and how the community sees us.” And a third member noted that “change is incremental and now how do we move from where we are to where we want to be?” All the members indicated that the tone of meetings is no lon- ger adversarial. It is critical that the members continue to exhibit the preparation, decorum, and professionalism that will demonstrate their readiness to assume a full role when the dis- trict regains local authority to govern areas of operations. 26 ACCJC Standard IV 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 April 2015 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 27 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 the progress they have made 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 use care not to misrepresent their individual opinions or actions as those of the Board.” The board needs to continue to develop a coherent, unified voice and a cooperative working relationship. It must completely understand the recovery plan, the MOU that describes the relationship between the Compton Center, Compton CCD and El Camino CCD, and the pro- cess to accreditation and be able to articulate them to the public. 3. See Standard 5.5 item #5. 28 ACCJC Standard IV 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 April 2015 Rating: 6 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 5.7 – 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 documentation for each board meeting and for significant operational issues. 2. The members of the Board of Trustees are able to discuss issues in advance of the board meetings with the CEO and, thus, are well informed about the issues. 3. The team observed, and interviews with administration confirmed, that the board members ask pertinent questions and are respectful and engaged at board meetings. Interviews with board members and staff also indicated that the working relationship between the administra- tion and board is functional and professional. 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 April 2015 Rating: 7 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 5.8 – 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. The review team attended the April 21, 2015 board meeting at which four members and the student trustee were present. Board members conducted themselves in an appropriate, profes- sional manner. The development of a good working relationship with each other, staff, and administration; respect for district staff; respect for the majority opinion; and the general tenor of board meetings has improved markedly during this review period. 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 April 2015 Rating: 7 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 5.9 – 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 conducted in a professional and businesslike manner, with the board serving in an advisory capacity. Professional development through conference attendance and in-service training should continue to 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 and that public comments are frequent. It is important that board members not directly engage in conversa- tions with members of the public during board meetings but instead direct their comments to the special trustee and district administration. The board members evidenced appropriate behavior in this regard at the April 21, 2015 meeting attended by the team. The CEO should continue to ensure that opportunities for input are widely publicized, and when governing au- thority is returned, the board should maintain these practices. 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 April 2015 Rating: 7 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 5.10 – 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 April 2015 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 5.11 – 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. 2. The team received no reports of board members being inappropriately involved in routine staff matters, and the board members indicated they route any operational concerns to appropriate district personnel. This was confirmed by staff. A review of the board meeting minutes revealed an instance of a member specifically noting that she had received a request from a member of the public and would turn the information over to the CEO. 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 April 2015 Rating: 9 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 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; the MOU that describes the relationship between the Compton Center, Comp- ton CCD and El Camino CCD; and the process to accreditation, and be able to articulate them to the public. 2. 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. 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 April 2015 Rating: 6 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 6.2 – 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. The district has recently moved to an electronic, paperless system for providing meeting agendas and sup- porting documents to the board members. 2. District administration reported that agendas are posted at least 24 hours prior to special board meetings as required by Government Code Section 54956. 3. In a review of the district website, the team found that the 2014-15 board meeting agendas, regular meeting minutes, and supplementary materials were posted. However, on the signage in front of the CEO’s office the actual date was not indicated for the board meeting held on April 21, 2015. The posted information included the month but not the date. 4. At the time of FCMAT’s fieldwork, minutes for the May 12, July 1, September 17, and October 20, 2014 special board meetings had not been presented to the board/special trustee for approval. All board meeting minutes should be presented for approval at the subsequent regular board meeting. 5. A schedule of board meeting dates appears on the Board of Trustees page of the district web- site, 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 April 2015 Rating: 7 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 36 ACCJC Standard IV 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 April 21, 2015. The meeting was appropriately noticed and held to conduct regular business. The team also attended the regularly scheduled meeting of the Special Trustee’s Advisory Com- mittee on April 20, 2015. At both meetings it was clear that the elected board and the advi- sory committee were prepared for the meetings. 2. The special trustee and the CEO indicated that the board members continue to work hard to understand the issues 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 educational 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 board is engaged by the special trustee through the process of asking their opinion on items but they do not have voting authority. As stated previously, the majority of the elected board has been in their positions for a little over a year. During this review period, the board members have grown in their roles, ask more pertinent questions and engage in civil and productive discourse at meetings. It appears that all members read the board meeting materi- als, and they meet with the CEO and special trustee for guidance when needed. The members seem more at ease in their roles and discuss and debate issues with each other at board meet- ings. Two of the five board seats are up for election in November 2015. 3. With the appointment of the current special trustee in fall 2011, the elected board has gone through some changes regarding board meeting participation. Beginning July 2014, the elect- ed board members have been seated at the dais for all board meetings, which is important to both the elected board and the community. They do not make motions, vote on agenda items, or attend closed session meetings; however, the members freely discuss agenda items and make recommendations to the special trustee. 4. The special trustee and the CEO are continuing to provide board training for the elected board. Interviews with board members indicated that the trainings are helpful and well- received. Interviews and discussion at the April 21, 2015 board meeting also indicated their continued interest in professional development training. 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 purpose of the committee, as outlined in Assembly Bill 318 and stated in the Special Trustee’s Advisory Committee document dated March 24, 2015, is as follows: “The CCCD Special Trustee’s Ad- visory Committee is organized to advise the Special Trustee with respect to the management of the Compton Community College District.” Currently the committee has eight members. ACCJC Standard IV 37 Committee meetings are coordinated by an elected chair and vice chair, and are led by the chair. The review team attended the committee meeting on April 20, 2015 and found it to be well- run and productive. Seven members were present, were prepared on the agenda issues, and asked pertinent questions. Interviews with three 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 April 20, 2015 agenda of the Special Trustee’s Advisory Committee included several of the same items that the Board of Trustees will discuss and reports from the constituency groups in attendance (Academic Senate, classified employee organization, Associated Stu- dent Body, and certificated employee organization). In addition, a very thorough report was presented on enrollment at the Compton Center, including trends and ideas for increasing en- rollment in areas where certain categories of students are declining, such as males under age 25. Interviews with administrators indicated that all members of the committee completed their self-evaluations. Information on the progress toward accreditation was discussed during the process with the suggestion that committee members share this with their communities so that correct information is presented. 6. Interviews with elected board members and members of the Special Trustee’s Advisory Com- mittee indicated that both groups are working collaboratively with one another and are com- mitted to making progress with the accreditation issue. Standard Implemented: Fully - Substantially 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 April 2015 Rating: 8 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 6.5 – 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. 3. See Standard 6.2. 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 39 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 April 21, 2015 board meeting, the board conducted itself appropriately. Four of the members were present and one was absent. Of the four members present, one had to leave the meeting early. As previously mentioned, the majority of the board is relatively new to their positions, with three of the five members elected for the first time in November 2013. Inter- views with board members revealed that while there is still concern about not being a fully functioning board (e.g., not making and seconding motions and not attending closed session), members are aware of the progress being made and the opportunity for more input. At this meeting, the special trustee asked the board president to lead the meeting and trustees were given the opportunity for input on each agenda item. The board members were engaged in the meeting and appeared comfortable with their roles. The tension experienced at meetings during previous visits was no longer apparent. The meeting was organized and conducted in a professional manner with members listening to one another, the special trustee, and the CEO. There was a variety of action and discussion items on the agenda, and oral reports from all constituency groups and the senior manage- ment team comprised much of the meeting. 2. During the last review period, board members were to have completed a self-evaluation; however, interviews with administrators indicated that only two members did. During this re- view period, all five members completed the self-evaluation. This bodes well for the future of the board in accepting their responsibilities and functioning professionally. 3. 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 at Board Meetings, dated October 20, 2009. 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 communication process between the Compton Center and the elected board, and the items were included on the April 21, 2015 board meeting agenda. 4. The professional protocol used at the April 21, 2015 board meeting was much better than it has been at meetings during some previous review periods. Board members were clearly pre- pared, stayed on topic, and asked questions if uncertain. 40 ACCJC Standard IV 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 April 2015 Rating: 7 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 6.8 – 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 April 21, 2015 meeting 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; two indi- viduals did so at this meeting. Members of the public also are allowed to address the board as items are presented throughout the meeting. 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 April 2015 Rating: 9 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully 42 ACCJC Standard IV 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 his or her areas. The vice presi- dent of the Compton Center reports on academic affairs and student services, and presents items relating to student educational attainment. In the past, the review team recommended that the district consider noting in the minutes significant items reported in the senior man- agement reports as they relate to student educational matters so that center staff and the pub- lic 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 and, when appropriate, the special trustee and others, report at each board meeting on items of interest at the Compton Center and to the district, some of which touch on student educational attainment. For example, at the April 21, 2015 meeting the dean of student learn- ing presented a report on the Tri-City Adult Education Consortium. 3. The CEO invites appropriate personnel to discuss progress in their area as it affects student success at board meetings. For example, at the April 21, 2015 meeting the Academic Senate representative passed out a program from the Academic Awards Tea that was held on April 19 to honor students. The information provided indicated that the event was well attended and included department scholarship, honors, and foundation scholarship recipients. A review of the 2014-15 board minutes found that most meetings include reports on activities or programs that involve student learning and student achievement. Standard Implemented: Fully - Substantially 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 April 2015 Rating: 8 0 1 2 3 4 5 6 7 8 9 10 Implementation Scale: Not Fully ACCJC Standard IV 43 44 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 Planning and Budget 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, April 21, 2015 Board of Trustees meeting, April 21, 2015 Consultative Council special meeting, April 20, 2015 Special Trustee’s Advisory Committee meeting, April 20, 2015 District Documents: Board policies and administrative regulations and procedures regarding governance Compton Community College District Standing Committees, list revised April 8, 2015 Institutional Effectiveness Committee meeting agendas and minutes, April 2014-March 2015 Consultative Council meeting agendas and minutes, April 2014-March 2015 Planning and Budget Committee meeting agendas and minutes, April 2014-March 2015 CCCD/ECCD CEC 2014-2015 Organizational Structure (no date) 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, Spring 2015 ACCJC Standard IV 45 El Camino College Compton Community Educational Center 2013-2014 Enrollment Management Plan (no date) El Camino College Compton Community Educational Center 2015-2018 Enrollment Management Plan (no date) El Camino College Compton Center 2015-2016 Overarching Priorities Board of Trustees meeting agendas, minutes, and supplementary material, April 2014-March 2015 Special Trustee’s Advisory Committee meeting agendas and minutes, April 2014-March 2015 Special Trustee’s Advisory Committee document, revised March 24, 2015 Compton Community College District website (www.district.compton.edu) El Camino College Compton Center website (www.compton.edu) 46 ACCJC Standard IV