Comprehensive Review

Oakland Unifi ed School District Assessment and Recovery Plan Third Progress Report September 30, 2005 Administrative Agent Larry E. Reider Offi ce of Kern County Superintendent of Schools Chief Executive Officer Thomas E. Henry Oakland Unified School District Assessment and Recovery Plan Third Progress Report September 30, 2005 Submitted by the Fiscal Crisis & Management Assistance Team Executive Summary Introduction This report, dated September 30, 2005, is the third report provided for the Oakland Unified School District by the Fiscal Crisis and Management Assistance Team (FCMAT), and reports the progress made by the Oakland USD in addressing the recommendations of the Oakland Unified School District Assessment and Recovery Plan first developed for the district by FCMAT in January 2000. This report provides data to the district, community and Legislature to assist the district in achieving fiscal solvency, building the necessary capacity within the district to pro- mote student learning, and returning to local governance. Senate Bill 39, signed into law on May 30, 2003, required the Superintendent of Public Instruc- tion to assume all the legal rights, duties and powers of the Governing Board of the Oakland Unified School District and to appoint an administrator to act on his behalf in the school district. The bill appropriated $100 million as an emergency loan to the Oakland Unified School District to cover cash flow needs, the district’s structural budget deficit, and to mitigate the impact of future deficit spending. The district requested $65 million of the $100 million on June 4, 2003 in order to make the June payroll and cover the severe negative cash position of the district. The remainder of the $100 million authorized by the legislation remains available to the district as a line of credit. The emergency loan is amortized over a 20-year period. Senate Bill 39 also required that FCMAT prepare an improvement plan for the school district by July 1, 2003, by updating the Oakland USD Assessment and Recovery Plan developed by FCMAT for the district in January 2000. Senate Bill 39 required FCMAT to report on the imple- mentation of the improvement plan beginning in September 2003 and continuing with six-month progress reports in March 2004 and September 2004. On July 1, 2003, FCMAT reported to the Superintendent of Public Instruction that the January 2000 Oakland USD Assessment and Recovery Plan prepared for the district remained a viable improvement plan, but that the ratings for the professional and legal standards first reported in January 2000 needed to be updated in order to provide new baseline data to determine the prog- ress made by the district over time. On September 30, 2003, FCMAT issued the Oakland USD Assessment and Recovery Plan Update that provided updated ratings, based on an assessment of district operations in summer 2003, for each professional and legal standard first reported in January 2000. The Recovery Plan Update also included the assessment of several additional standards that reflected new laws or regulations that became effective subsequent to January 2000. The Recovery Plan Update also established criteria, developed in collaboration with the California Department of Education, for the district’s eventual return to local governance and identified a priority sub-set of the total array of professional and legal standards for the district to focus on in its recovery. In March 2004 FCMAT provided the First Six-Month Progress Report of the Oakland Unified School District’s efforts to address the recommendations in the identified priority sub-set of legal and professional standards. Ratings for the standards reflected the progress made by the district since the September 30, 2003 Recovery Plan Update was issued. Executive Summary 5 In September 2004 FCMAT provided the Second Six-Month Progress Report assessing the district’s progress to address the recommendations in the identified sub-set of 135 legal and professional standards. Ratings for the standards reflected the progress made by the district since the March 30, 2004 First Six-Month Progress Report was issued. Senate Bill 39 required FCMAT to conduct ongoing monitoring reports only through September 2004. Assembly Bill 2525, Chaptered on September 29, 2004, provided authorization for FCMAT to utilize any of its 2003-04 unexpended funds to develop an annual progress report for the Oakland USD. This September 30, 2005 Third Progress Report assesses the district’s prog- ress in addressing the recommendations in the identified sub-set of legal and professional stan- dards and reflects the progress made by the district since the Second Six-Month Progress Report was issued by FCMAT a year ago on September 30, 2004. It is anticipated that FCMAT will continue to monitor the district’s progress for the district’s eventual return to local governance, whether in six-month progress intervals or annual progress intervals. At the time of this report, however, there is neither legislation nor funds identified to continue the assessment and monitoring process for the 2005-06 school year. Steps are currently underway to address the issue. The findings presented in this progress report represent a snapshot of the district at a specific period in time. The district has continued its work to address the recommendations in the Assessment and Recovery Plan since the data-gathering for this report. 6 Executive Summary Study Guidelines FCMAT’s approach to implementing the statutory requirements of SB 39 is based upon a com- mitment to a standards-based, independent and external review of the Oakland Unified School District’s operations. FCMAT performed the initial assessment of the district in fall 1999 and de- veloped the improvement plan in collaboration with five other external providers selected through a competitive process. Professionals from throughout California contributed their knowledge and applied the identified legal and professional standards to the specific local conditions found in the Oakland Unified School District. The initial assessment was reported to the district in a document entitled Oakland Unified School District Assessment and Recovery Plan, January 31, 2000. The five provider agencies again contributed their expertise in assisting FCMAT to conduct the follow-up reviews of the district. • The Assessment and Recovery Plan Update, September 30, 2003 provided updated ratings of the standards first reported in January 2000. • The Assessment and Recovery Plan, First Six-Month Progress Report, March 30, 2004 reflected the district’s progress in addressing the legal and professional standards in the six month period since September 2003. • The Assessment and Recovery Plan, Second Six-Month Progress Report, September 30, 2004 reflected the district’s progress since March 2004. • This Assessment and Recovery Plan, Third Progress Report, September 30, 2005 reflects the district’s progress since the last progress report was issued a year ago. Prior to beginning work in the district in 1999, FCMAT adopted five basic tenets to be incor- porated in the assessment and improvement plans. These tenets were based on previous assess- ments conducted by FCMAT in school districts throughout California and a review of data from other states implementing external reviews of troubled school districts. These tenets formed the basis of FCMAT’s continued work in the district. The five basic tenets are: 1. Use of Professional and Legal Standards FCMAT’s experience indicates that for schools and school districts to be successful in program improvement, the evaluation, design and implementation of improvement plans must be stan- dards-driven. FCMAT has noted positive differences between an objective standards-based approach versus a nonstandards-based approach. When standards are clearly defined, reachable, and communicated, there is a greater likelihood they will be measured and met. In order to participate in the process of the Oakland Unified School District review, potential providers responded to a Request for Applications (RFA) that identified these standards as the basis of assessment and improvement. Moreover, the providers were required to demonstrate how the FCMAT-identified standards would be incorporated into their work. It is these standards on which the improvement plans for the Oakland district were based. The standards, while iden- tified specifically for the Oakland Unified School District, are benchmarks that could be readily utilized as an indication of success for any school district in California. Every standard was measured on a consistent rating format, and each standard was given a scaled score from zero to 10 as to its relative status of completeness. The following represents a defini- tion of terms and scaled scores. The single purpose of the scaled score is to establish a baseline Executive Summary 7 of information by which the district’s future gains and achievements in each of the standard areas can be measured. 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 appropriate adjustments are taking place. (Scaled Score of 7) Fully Implemented (Scaled Score of 8-10) A fully implemented standard is complete relative to the following criteria. 8. All elements of the standard are fully and substantially implemented and are sustainable. (Scaled Score of 8) 9. All elements of the standard are fully and substantially implemented and have been 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) 2. Conduct an External and Independent Assessment FCMAT employed an external and independent assessment process in the development of the Oakland Unified School District assessment and improvement plans. FCMAT’s reports represent findings and improvement plans based on the external and independent assessments from various professional agencies. The following five agencies assisted in the initial January 31, 2000 report, the subsequent September 30, 2003 update report, and the progress reports of March 2004, September 2004, and September 2005: • California School Boards Association (CSBA) – Community Relations and Governance • Schromm and Associates – Personnel Management • Curriculum Management Systems, Inc. (formerly CA Curriculum Management Audit Center) – Pupil Achievement • MGT of America – Facilities Management • School Services of California – Financial Management 8 Executive Summary Collectively, the five professional agencies that assisted FCMAT constitute FCMAT’s providers in the assessment process. Their external and independent assessments serve as the primary basis for the reliability, integrity and credibility of the review. 3. Utilize Multiple Measures of Assessment For a finding to be considered legitimate, multiple sources need to be utilized to provide the same or consistent information. The assessments and improvement plans were based on multiple measures. Testing, personal interviews, group meetings, public hearings, observations, review and analysis of data all provide added value to the assessment process. The providers were required to utilize multiple measurements as they assessed the standards. This process allowed for a variety of ways of determining whether the standards were met. All school district operations with an impact on student achievement, including governance, fiscal, personnel, and facilities were reviewed and included in the improvement plan. 4. Empower Staff and Community The development of a strong professional development plan for the board and staff is a critical component of an effective school district. All FCMAT reports include the importance of a comprehensive professional development plan. The success of the improvement plans and their implementation are dependent upon an effective professional and community development process. For this reason, the empowerment of staff and community is one of the highest priorities, and emphasizing this priority with each of the five partners was critical. As a result, a strong training component for board, staff and administration is called for consistently throughout the report. Of paramount importance is the community’s role of local governance. The absence of parental involvement in education is a growing concern nationally. A key to success in any school district is the re-engagement of parents, teachers, and support staff. Parents care deeply about their children’s future and most want to participate in improving the school district and enhancing student learning. The community relations section of the reports provide necessary recommendations for the community to have a more active and meaningful role in the education of its children. 5. Engage Local, State and National Agencies It is critical to involve various local, state and national agencies in the recovery of the district. This was emphasized through the Request for Applications (RFA) process, whereby state- recognized agencies were selected as partners to assist with the assessment and improvement process. City and county interests, professional organizations, and community-based organizations all have expressed and shown a desire to assist and participate in the improvement of the Oakland Unified School District. Executive Summary 9 Study Team The study team was composed of the following members: For the Fiscal Crisis & Management Assistance Team – Administration and Report Writing Roberta Mayor Leonel Martínez For the California School Boards Association –Community Relations and Governance Ben Bartos Holly Jacobson Diane Green Martin Gonzalez Dan Walden Marge Peterson For the Curriculum Management Systems, Inc. – Pupil Achievement William Streshly Eve Proffitt Olive McArdle Susan Burleson Penny Gray James Scott For Schromm Associates – Personnel Management Richard A. Schromm Jack M. Weinstein Charles Diggs For MGT of America – Facilities Management Maureen Lyon Karin Bloomer Dave Teater For School Services of California – Financial Management Jerry Twomey John Gray 10 Executive Summary Summary of Principal Findings and Recommendations Section Two of this report provides an in-depth review of the progress made by the district on the recommendations made in the identified sub-set of standards reported in the January 2000 Oakland Unified School District Assessment and Recovery Plan, the September 2003 Assessment and Recovery Plan Update, and the Progress Reports issued in March 2004 and September 2004. The following is a summary of the general findings and recommendations that are presented in greater detail by operational area in Section Two of this report. This September 2005 Assessment and Recovery Plan, Third Progress Report represents data collection and analysis at a specific point in time. FCMAT review teams visited the district in May and August 2005. This report was presented to the Oakland Unified School District and Superintendent of Public Instruction on September 30, 2005 and formally presented to the dis- trict advisory board at a board meeting in mid-October 2005. GENERAL OVERVIEW A little more than two years have passed since state receivership began in the Oakland Unified School District and the district continues to make progress in addressing the recommendations of the Assessment and Recovery Plan. The average ratings in the five operational areas reflect reasonable and positive gains. • The district has been reorganized from district office operational areas to service areas, providing a focus on greater service to the sites and the community. • The district has made efforts to provide written documentation of job functions and operational procedures to provide consistency of services. • The district has initiated a standards-based performance emphasis in evaluation of district employees. • Many board policies have been updated and approved and are available for viewing on the district web site. • The district has implemented a results-based budgeting process. This process, in its second year of implementation, requires site administrators to make site decisions to effectively utilize their limited resources. • Many new staff members have been hired to fill district office vacancies. Although this creates significant training needs, the new staff demonstrates great enthusiasm and future leadership potential. • Communication in the district, both internally and externally, has improved. Greater emphasis is being placed on a service orientation. • Board members believe they work better as a team. They continue to work toward addressing the needs of their trustee areas. Executive Summary 11 • The district has updated the Facilities Master Plan to provide long-range guidance for addressing the district’s facilities needs. • The district increased monitoring of special education expenditures, made appropriate program modifications and reduced slightly the size of the special education program encroachment to the general fund. • The district successfully passed a parcel tax on March 2, 2004 that provides supple- mentary funds for district programs. The district continues to face a myriad of problems that will take time to remedy. Many of these same problems were noted in the March 2004 and September 2004 progress reports, and con- tinue to challenge the district. • The size of the district deficit and previous deficit spending patterns continue to require time for the district to redress. Expenditures surpassed revenues in the 2004- 05 budget year and will continue to do so in 2005-06. • The district’s student enrollment continues to decline, further decreasing the district’s incoming revenues. • The district has filled many of its management vacancies with staff new to the district and new to school district operations. The new staff members face a learning curve that may affect the district’s efforts to achieve a speedy fiscal recovery. Developing staff capability in all operational areas remains a continuing challenge. • Although administrative technology systems have greatly improved, the district must still address inadequacies in its technology systems. In addition, an appropriate student information system is needed to replace the inadequate SASI system. • Student academic performance continues to improve, but scores remain lower than the state average at every grade level. • The district has not completed negotiations with several bargaining units. The issue of uncapped employee health benefits continues to be problematic. The district’s fiscal recovery plan relies on contract agreements to mitigate the impact of health benefits on future budgets. The district has undertaken a number of educational reform efforts and must take some time to measure the effectiveness of the initiatives that have been implemented. The speed with which results-based budgeting was initiated and the ongoing creation of small schools in the district have caused some initial operational difficulties. It remains to be seen if these reforms will provide improvement in student performance while sufficiently addressing the district’s fiscal difficulties. A summary of the progress made in each of the five school district operational areas is provided on the next several pages. Additional information is available in Section Two of this report where the individual standards identified for ongoing assessment are discussed in greater detail. 12 Executive Summary COMMUNITY RELATIONS AND GOVERNANCE The Oakland Unified School District has demonstrated sustained progress during the past year in the area of Community Relations and Governance. The district has continued its efforts to strengthen overall communications, to improve outreach to parents and community members and to build upon relationships with community organizations and businesses in Oakland. The latest reorganization of district office staff has resulted in greater focus on service to school sites. The board has indicated a willingness to work more closely with the administration and continues to represent the interests of the community. Communications The Public Information Office has been restructured and the responsibilities are now part of the job of the Communications Director. The goal and objectives set forth in the communications and marketing plan adopted in February 2004 continue to be implemented effectively, although some community members noted that there appears to be a need for additional outreach to non- English media outlets. The district has continued many of its successful communications strategies, such as site visits by the state administrator, e-mail bulletins, and maintenance of the updated district web site, which includes a new staff and department directory. The district has also successfully used a series of Town Hall meetings to keep parents and the community informed about the district’s multi-year fiscal recovery plan, as well as other issues such as a discussion of the schools identified for pro- gram improvement. Additional ways to inform parents about important school information have included ads on AC Transit buses and stops, an innovative informational campaign in the local Yellow Pages and continued outreach to the faith-based community. Parent-Community Relations In the past year, the district has made concerted outreach efforts to inform parents of the multi- year fiscal recovery plan and related activities through Town Hall meetings. The district has also employed new strategies such as mandatory registration at certain grade levels to ensure that parents know about activities going on in the schools. The district’s continuing “Attend and Achieve” campaign also aims to involve parents in improving student attendance. As noted in previous reports, the district continues to face the challenge of increasing the in- volvement of underrepresented and disenfranchised parents and community members. While the district has identified efforts to step up its outreach in this area, including the provision of child- care and translation services at some meetings, additional strategies specifically focused on these groups are still necessary in order to increase their engagement. Collaboratives/District Advisory Councils/School Site Councils The district has made strong progress in engaging with community collaboratives and businesses in the Oakland community. Working with the Oakland Community Organizations (OCO) and with leaders of industry, the district has built relationships to engage its partners not just in local schools, but also in other educational efforts across the district. In the past year, the district more clearly defined the statutory objectives of the site and district councils through policy, revised School Site Council and English Learner Advisory Committee handbooks, and training provided to the members of these committees and councils. Executive Summary 13 However, even with these efforts, there is still not a strong demonstration of progress in the areas of district and school site councils and committees. The overall effectiveness of district and site councils varies and continues to be largely determined by the leadership of the principal at each site. Recruitment by principals appears to be the district’s most effective strategy at garnering members for these groups. Policy The district has demonstrated sustained progress in the area of policy. Over the past year, the district reviewed and adopted a large number of policies and completed the process of updating its policy manual. District policies are now up to date and reflect current law, including two policies that are mandated by law to be annually reviewed. The policy manual continues to be maintained online and can be accessed in the district office lobby via public access computers. The district also has in place a plan to regularly review policies that require revision or updating, with the involvement of district office staff from a variety of departments. Board Roles/Boardsmanship In its advisory status, the board has continued to demonstrate a desire to be involved in the direction of the district and engaged in discussions with the state administrator about district initiatives and decisions. The members of the board have reiterated their willingness to work cooperatively with the state administrator in the school district’s recovery. Board members have indicated that they are able to make the distinction between presenting personal views as opposed to representing the board or the district. Individual members of the board demonstrate a dedication to the communities they represent and to improving education in Oakland. Relationships among individual board members remain functional, courteous and respectful. Board Meetings Board meetings run efficiently with a shared focus on fiscal recovery and student achievement. Conduct at board meetings among board members and among members and staff continues to be generally characterized as respectful. The district continues to hold board study sessions and public forums in order to solicit feedback and allow for the discussion of important issues. The board has initiated one additional meeting per month to provide for further discussion and commentary. Meeting attendance among board members remains uneven, as does the degree of preparation for these meetings by individual members. The board members feel that opportunities for meaningful input before decisions occur is not always afforded to them. Board members should endeavor to consistently attend board meetings and workshops and continue to enhance their understanding of, and commitment to, effective governance roles. In Summary The review of Community Relations and Governance included the assessment of 26 selected professional and legal standards of performance. Of the 26 standards, 23 are partially implemented, with ratings between one and seven, and three standards are fully implemented with ratings of 8 or better. The average rating of the subset of 26 standards in this operational area in September 2003 was 3.92 on a scale of 1 to 10 with 10 the highest score possible. The average rating in March 2004 was 4.54 and the average rating in September 2004 was 5.73. The average rating in September 2005 is 6.42. 14 Executive Summary The ratings of the standards in this operational area, as of this September 30, 2005 progress re- port, average 6.42 and all identified standards have scores of four or greater. This area of school district operations may be appropriate for the governing board of the Oakland Unified School District to assume. PERSONNEL MANAGEMENT Since the last FCMAT report in September 2004, the Human Resources Division has again been reorganized. This new reorganization includes 23 full-time equivalent (FTE) positions provid- ing human resources services. In September 2003 the division had 51.60 full-time equivalent positions. The latest reorganization included the assignment of particular personnel functions to other divisions. Labor relations functions have been transferred to Legal Services, and benefits functions have been moved to Risk Management under the Business Division. At the time of the review team’s visit in August, 17 of the 23 employees were new hires or new to their positions. Many employees have less than two months on the job and lack any previ- ous educational and/or human resources experience. Staff stability and consistency of services continue to be a problem. Training of the division staff will be essential. Organization, Planning and Communications The Human Resources Division, at its July retreat, developed a Mission Statement. Many proce- dures have been written for each of the job classifications within the division. Communication among Human Resources staff members has greatly improved. A monthly activ- ity calendar has been drafted and needs some revisions to better serve the leadership team in the planning process. The Division holds both weekly leadership team and general staff meetings. Other weekly meetings are held with the Site Team Managers’ staff. Employee Recruitment, Selection and Orientation The “Strategic Recruitment Plan 2005-2006” identifies certificated recruitment events throughout the United States and internationally. The district held a Teacher Recruitment Fair on May 14, 2005, at Claremont Middle School. A reference check form has been developed, and the form is planned to be required as a part of the hiring process. The classified recruitment and selection process continues to function without any written procedures or clear processes in place. All staff members responsible for classified recruitment are new and in the process of becoming familiar with current practices. Steps have been taken to purchase a new applicant tracking software package and to shift to a requirement that all applications be submitted online. A new Web-based spreadsheet is now available to site administrators that indicates where Human Resources is in filling a specific vacancy. Operational Procedures and Use of Technology The division has compiled a binder that includes all available job descriptions. Many of the job descriptions are unapproved, outdated drafts. For a number of job classes, there is no job description. A process and time line needs to be established for identifying those classifications for which a board-approved job description exists and those classifications for which a job description needs to be developed and adopted. Executive Summary 15 In the review and update of job descriptions, attention needs to be directed to the Americans with Disabilities Act (ADA) compliance for job qualifications and identification of essential duties. Personnel involved in the interview process needs to be trained on ADA compliance requirements. The district’s use of the Bi-Tech Integrated Financial Administrative Solution software has been affected by its decision to implement site-based Results-Based Budgeting (RBB). Under RBB, school site decisions are based on dollars rather than number of employees (FTEs). However, the Bi-Tech System still uses position control numbers and identified approved positions. The shift from FTEs to dollars has created some new issues for site administrators, such as the need to reduce staff as budget priorities change. The division has significantly increased its use of technology and is training staff in its use. Establishing a Web-based communication system for use within the office and by school sites provides timely information. Evaluation and Due Process Assistance Discipline and due process workshops are planned. The Legal Division staff will continue to provide this training. The Executive Officer of Schools has the responsibility for monitoring the completion and quality of employee evaluations. The Human Resources Division must also take a leading role in monitoring the process and reporting to Cabinet. Employer/Employee Relations and Benefits The Legal Division has developed and uses the “Oakland Unified School District Negotiations Timeline” for monitoring ongoing activities and actions related to negotiations. Site-level administrators and district administrators serve on negotiating teams and on various subcommittees. The Risk Management Office in the Business Services Division continues to operate and improve a return to work program. In conjunction with a consultant, Risk Management has developed a listing of essential job functions for most positions. Also, a number of temporary job descriptions have been created for employees who are partially disabled. When the Risk Manager position is filled, periodic worker’s compensation reports should be provided. Information should include occupational areas and/or job sites experiencing high claims. At the time of the review team’s visit, four bargaining unit contracts were still open. The four employee organizations included the Building Construction Trades Council of Alameda County; the Service Employees International Union, Local 790, AFL-CIO; the Brotherhood of Teamsters, Auto Truck Drivers, Local 70; and the Oakland Education Association. The role of Human Resources at the bargaining table has been reduced to appearing only when needed. In Summary The review of Personnel Management included the assessment of 25 selected professional and legal standards of performance. All of the 25 standards are partially implemented with ratings between one and seven. The average rating of the sub-set of 25 standards in this operational area in September 2003 was 2.64 on a scale of 1 to 10 with 10 the highest score possible. The average rating in March 2004 was 2.80 and the average rating in September 2004 was 3.96. The average rating in September 2005 is 4.56. 16 Executive Summary PUPIL ACHIEVEMENT The district continues to make progress toward implementing the Pupil Achievement recommendations of the Recovery Plan. The district leadership has a clear vision of where the district should be headed. Moreover, faculty members in the district are aware of this vision and appear willing to work toward improving operations. Notable progress is being made in instructional program management based on the systematic use of data. Data bases are growing and becoming more refined. The budgeting of resources in the district is becoming increasingly curriculum-driven and results-based. Control of Resources, Programs, and Personnel District instructional planning continues to be guided by the Oakland Unified School District Instructional Framework. The Framework provides direction for district operations in separate plans—Assessment, Professional Development, Results-Based Budgeting, Equity, and Curriculum. The board has adopted the Assessment part of the Instructional Framework. This part of the plan calls for assessment to be aligned with textbook adoptions in the core subject areas. District administrators continue to indicate their support for maintaining alignment between standards, practices, and assessments. District planning processes and procedures lack important quality components necessary for consistent management and control of resources. However, sound planning in key areas of the district is evident, and the review team observed movement toward established goals as a result of this planning. The board has adopted a policy that acknowledges long-range planning as an integral component of the growth and development of the district. Some training has been provided for administrators and instructional staff pertaining to the development of the site Single Plan for Student Achievement. This process includes analyzing data and setting goals for student achievement. However, the process is not comprehensive as it does not adequately address all the critical components of an effective planning system or the capacity to assess the needs of the school as a whole. The Table of Organization has not been updated. It is slated for total revision as part of the current district redesign process. District personnel are working on new job descriptions consistent with the new district design. Clear and Valid Objectives for Students A comprehensive curriculum management plan has not yet been developed. The formal plan is slated to be constructed as part of the district redesign process. In lieu of formal curriculum guides, the district administration adopted several standards-based textbook series. The textbooks approved by the state are well aligned with the state’s standards and the state’s assessment instruments. The inherent lack of focus of a textbook curriculum has been addressed by the district staff by developing Pacing Guides to give teachers the necessary specificity and direction. The district’s need to rapidly reform its instructional operations made the adoption of a textbook curriculum a sound strategy. The review team visited the classrooms of 22 schools across the district and observed that the textbook curriculum strategy had apparent teacher support and was resulting in teaching directed at the California Standards. Adoption and subsequent district-wide implementation of the Open Court and High Point instructional programs, along with Harcourt Math and the comprehensive Executive Summary 17 benchmark assessment systems, have at the elementary level notably addressed the lack of cohesion, feedback, and staff development described in the 2000 Recovery Plan. However, none of the standards-based textbooks and scope and sequence documents analyzed by the review team contained enough information to enable teachers to develop complete and comprehensive work plans to guide their teaching. When the review team compared English/language arts and mathematics instruction in district classrooms to the California standards, 66 percent of instruction observed in the 180 classrooms was at grade level, 21 percent below grade level, 3 percent above grade level, and 11 percent not on standard. The highest percentage of below-level instruction was observed at the middle schools (52%). Program Development and Implementation The special education policy manual has been completed. Training for staff regarding compliance issues has been initiated. Non-public school placements have been reduced. Progress has been made toward recovering dollars lost due to inaccurate accounting and reporting, addressing staffing in a definitive manner, reviewing non-public school placements, and reviewing transportation costs. A master plan is still in the process of being developed. Overdue IEPs and triennials have been substantially reduced. However, numerous potential compliance issues within the programs remain. The district has made progress developing a sound staff development program. The board approved a staff development policy and an administrative regulation. Professional development in the district is still not linked to staff appraisals. However, plans to conduct training for new and aspiring principals related to teacher supervision and administrative performance continue to evolve with the district redesign plan. The district received an exit report and closure from the Comité on February 3, 2005. An agreement was signed calling for the continued implementation and monitoring of programs to improve the education of English Language Learners. Progress has been made enforcing the provisions of the Voluntary Resolution Plan; however, no evidence was provided to indicate that personnel were being held accountable through timely evaluations. Use of Assessments to Improve Programs The district continues to make progress toward building a comprehensive assessment, data, and accountability system. All principals continue to be trained in the use of data and assessment with assistance from the executive directors. The district provides data disaggregated by race/ethnicity, gender, socioeconomic factors, and language. The data are available in usable form to gauge operational performance and to improve instructional programs and decision-making. The assessments, however, do not include all required subjects at all grade levels. The present focus of assessments is on reading/ language arts and math. The Comité Exit Report indicated that there is a continuing weakness in assessments used for the English Language Development curriculum. Student achievement continues to be a major concern. Although test scores have increased slightly this year, the district still has a large percentage of schools performing in deciles 1, 2, or 18 Executive Summary 3 on the CST. During 2004-2005, 13 schools were identified as Year 4 Program Improvement Schools sanctioned under the No Child Left Behind Act (NCLB) for not making Adequate Yearly Progress. Plans are underway to close or restructure those schools. Student achievement based on STAR 2005 results continues to remain below state and district expectations. Improved Organizational Productivity The district is implementing a results-based budgeting (RBB) system. The Budget Planning Manual has been finalized and the system is operational. The planning manual does not contain procedures for cost/benefits analysis nor procedures and criteria for evaluating the consequences of eliminating programs. Also, the review team found no directives prohibiting school-based decisions that cause inequities among schools in course offerings, materials, and practices. Principals are receiving training for their expanded role in the RBB process. When fully functioning, the system has the potential to significantly increase the district’s educational productivity. In Summary The review of Pupil Achievement included the assessment of 30 selected professional and legal standards of performance. All of the 30 standards are partially implemented with ratings between one and seven. The average rating of the sub-set of 30 standards in this operational area in September 2003 was 2.47 on a scale of 1 to 10 with 10 the highest score possible. The average rating in March 2004 was 3.40 and the average rating in September 2004 was 4.20. The average rating in September 2005 is 4.57. Executive Summary 19 FINANCIAL MANAGEMENT The district continues to experience turnover in its management and staff in both the Business and Personnel Departments. This turnover, coupled with the district’s reorganization of the entire management structure, results in a loss of management continuity. Newer staff members are learn- ing their jobs and thus are less focused on addressing the issues and recommendations identified in the recovery plan. They are also unfamiliar with the status of the district’s prior efforts to address the recommendations. While the new organizational structure may prove to be effective for both financial and educational management, in the short-term the many staff changes have resulted in the district making little progress in addressing the standards during this reporting period. In the previous review a year ago, progress was noted in areas such as the development of poli- cies and procedures. The district finalized its Business Services Guide during the current review period. However, the guide will need to be reviewed and revised to ensure that it is aligned with the current reorganization of the management functions. Other positive items noted are the provision of training to accounting staff in areas such as SACS and year-end closing, the implementation for the 2005-06 year of a new attendance/student infor- mation system, and the commitment of $7 million for the upgrade of IFAS, the financial/person- nel system. However, in other areas, such as the establishment of a fully implemented, integrat- ed, and accurate position control system that gives the district control over personnel costs, the district has made little progress. The issue of greatest concern for the district is its structural deficit and the need to reduce ex- penditures to the level that revenues can support. While the district appears to have reduced the operating deficit, the deficit has not been eliminated and it is not certain that the district can achieve the level of expenditure reductions it is projecting for the 2005-06 and 2006-07 fiscal years. With the ongoing enrollment decline, cost pressures for items such as benefits, insurance, utilities, and automatic cost increases for step and column movement, the district will be pressed to keep the deficit from growing again in the out-years. Further, since the vast majority of expen- diture reductions have resulted from wage and benefit concessions negotiated with the various employee bargaining groups, there will be growing pressure each year to grant some level of compensation increase. The deficit continues to be exacerbated by the district’s steep and ongoing decline in enrollment, which shows no evidence of abating. The enrollment decline by itself requires the district to reduce expenditures every year, so as to prevent the structural deficit from increasing. Other significant issues related to the operating deficit include: • Resolving prior year audit findings related to state and federal categorical funds. • Maintaining the large number of small school sites, given the continuing declining enrollment. • Reducing staffing to a level that can be supported by current revenues. • Preventing other district funds from encroaching on the district’s general fund. • Determining if results-based budgeting, which poses significant challenges in the areas of budget development and monitoring, provides greater student achievement at lower cost as projected. 20 Executive Summary The district’s fiscal recovery plan is a tool to move the district toward financial stability. The plan assumes that the district will be able to either negotiate or unilaterally impose a cap on health benefit costs. If the district is not able to obtain a cap on health benefits, the district could be in- curring $4 million or more annually of additional health benefit costs that are not included in the recovery plan. The plan also assumes that if 13 Program Improvement schools that are in Year 4 are converted to charter schools, the conversion could be structured to be cost neutral to the district. As the 13 schools serve more than 7,000 students, if the district’s assumption is incorrect, the financial loss from converting these schools to charters could be very significant. The district must link its day-to-day management activities with the fiscal recovery plan, and actively monitor its financial status and the accuracy of the assumptions on which the plan is built. Budget Development and Monitoring The district’s budget development process is now more actively managed by the Budget and Finance Departments. The district is doing a better job of documenting the information and basic assumptions used in building the budget. Therefore, the district’s budget should be more accu- rate. Since the district had not closed its books at the time of the FCMAT review, a comparison of budget-to-actual revenues and expenditures could not be made. However, a comparison of the district’s adopted budget to the estimated actuals showed an increase of $33 million in revenues and $40 million in expenditures. While changes in the budget are to be expected, these are sig- nificant variances. After the books are closed, the district should evaluate the differences between budget and actuals, identify the areas where the district is not accurately budgeting, and make changes in procedures to more accurately budget revenues and expenditures. The budget and budget process are still heavily dependent on the knowledge and involvement of the senior administrators. Further complicating this process is the turnover in staff, the reor- ganization of the management structure, and the migration to “results-based budgeting,” which decentralizes a significant portion of the budget development process. This change makes the budget development process more difficult to manage. Therefore, the district needs strong poli- cies, procedures, and systems in place to ensure that the budget is accurate, meets standards, and sustains any progress made. The district is still not fully utilizing position control, which compromises its ability to budget, monitor, and control personnel expenditures. Given the exceptionally large percentage of the budget that personnel costs comprise, this could put the district at significant risk. Accounting Policies, Procedures, and Controls The key to monitoring and controlling the budget is the ability to produce accurate and timely financial information. The turnover in management and staff, the reorganization of the manage- ment structure for business functions, and the high number of employees without school district experience make continued training in this area necessary to build staff capacity. Further, the district has not consistently evaluated its employees to identify and address capacity and training issues. Supervisors and managers still appear to be very busy dealing with various issues and emer- gencies that seem to arise with relative frequency. As a result, accounting staff are not closely supervised nor is their work reviewed often on any meaningful basis. Until policies and proce- Executive Summary 21 dures are in place, training has been completed, systems improved, and staff’s technical capacity increased, close monitoring, supervision, and review by the accounting supervisors and managers is critical in order to ensure the timely and accurate recording and reporting of financial transac- tions. Management Information Systems The district recently converted to a new financial management system and implemented the hu- man resources/payroll module. However, it was reported that staff are still not using all the avail- able system capabilities, positions are being tracked outside of the position control system, and system controls were being circumvented. Critical information related to seniority and creden- tialing is not yet fully loaded onto the system. Thus, while some progress has been made, there are still many areas in which the district needs to significantly improve. The district is moving forward with plans to implement a new student attendance and informa- tion system for the 2005-06 year. The district also has committed $7 million to address ongoing problems with the IFAS personnel/financial system. Special Education The district has historically run a significant deficit in its special education program. Currently, the district is attempting to better control costs by reducing NPS/NPA placements, controlling staffing ratios and the number of staff, recouping costs for LCI and charter school students, and improving the intervention and assessment processes. In addition, the district is taking steps to reduce transportation costs for the special education program. Nevertheless, the district continued to run a large deficit in the 2004-05 fiscal year and anticipates the deficit to continue in 2005-06. In Summary The review of Financial Management included the assessment of 30 selected professional and legal standards of performance. Of the 30 standards, 29 are partially implemented and one stan- dard is not yet implemented. The average rating of the sub-set of 30 standards in this operational area in September 2003 was 0.73 on a scale of 1 to 10 with 10 the highest score possible. The average rating in March 2004 was 2.00 and the average rating in September 2004 was 2.83. The average rating in September 2005 is 3.10. 22 Executive Summary FACILITIES MANAGEMENT The Oakland Unified School District (OUSD) Facilities Management Division is committed to improving facility operations throughout the district. Over the past year, the district has imple- mented several new and innovative district-wide initiatives, including a transition to small autonomous schools and a site-based budgeting approach known as results-based budgeting. These initiatives are still in the infancy stages, making it difficult to fully understand how they will impact Facilities Management in the years to come. Continuing Problems of Graffiti and Vandalism Since the FCMAT reviews of Oakland USD began, the district has made substantial progress in addressing the issues of vandalism and graffiti. However, this continues to be the most signifi- cant issue faced by the district, and graffiti removal remains the number one priority for painting crews. Over the past year, the district has implemented the following policies: • Custodians are assisting with graffiti removal painting. • Sites are allocated graffiti removal painting hours. Sites not requiring the allocated number of hours for graffiti removal may apply these hours to site beautification. Those sites exceeding the allocated number of graffiti removal hours are “charged- back” for excess hours. • Anti-graffiti/vandalism student groups have been organized and are proactive and effective in the fight against graffiti/vandalism. • Sites experiencing the most severe incidents of graffiti (usually in restrooms) are slated for modernization which entails wrapping the interior of the restroom in ceram- ic tile. The Facilities Management Division is making a concerted effort to meet the district’s mainte- nance needs, but cannot be held solely responsible for making the district’s buildings clean, safe, and productive learning environments. A large percentage of the graffiti and vandalism in the schools occurs inside district buildings during school hours, and could therefore be prevented by improved supervision. Combating graffiti and vandalism must be a coordinated effort among principals, custodians, teachers, students, parents, and community members. Graffiti and vandal- ism will continue to divert resources from other educational priorities. Facilities Master Plan The district has updated its Facilities Master Plan and is scheduled to present this plan at the September 2005 Board meeting. This plan will serve as a blueprint for guiding facilities-related decisions. The district expanded the scope of the Facilities Master Plan to more thoroughly address FCMAT standards and department goals. The expanded scope of the plan includes: • Hiring a team of engineers to visit all school sites to determine the status of each site’s infrastructure and make recommendations concerning future needs. • Development of a matrix capturing all sites’ facilities needs district-wide and indicat- ing the prioritization of future repairs and improvements. • Establishment of a Facilities Utilization Committee which applies district school load- ing standards to all sites and identifies excess space on an annual basis. • Development of annual capital improvement budgets on a project-by-project basis. • Reestablishment of the Facilities Advisory Committee. Executive Summary 23 The district reestablished the Citizen’s Oversight Committee which meets on a regular basis and provides advice and feedback to the Board on all facilities-related issues. Buildings and Grounds The district implemented an eight-module comprehensive training course for custodians, and will continue to conduct training on a biannual basis. The team visited numerous district buildings and noted that the Custodial Services Department has made progress. Custodial staff has made an effort to meet industry cleanliness standards and all sites visited reflected this effort. The Facilities Management Division has also focused attention on the improvement of site grounds. The review team observed improved grounds conditions – less trash, landscaping well maintained, exterior lighting replaced and/or operative, and fewer missing fire extinguishers. In addition, steady progress has been made to ensure that each site has a functioning fire alarm system. Preventative Maintenance The Facilities Management Division has been effective at addressing the recovery plan’s recom- mendations. However, deferred and preventative maintenance continue to pose substantial issues. The level of vandalism and graffiti experienced throughout the district requires an inordinate amount of time to be spent on routine maintenance, thus leaving little or no resources for deferred and preventative maintenance. Presently, the focus of deferred maintenance is roofs, paving, and restroom upgrades. This maintenance takes place primarily during the summer months. Preventative maintenance is virtually nonexistent. The review team emphasized the need to either upgrade or replace the Computerized Maintenance Management System (CMMS) presently used by the district. An improved system would enable the district to efficiently man- age projects; deferred, preventative, and routine maintenance; track inventory, generate and track work orders; and track all labor and associated costs. In Summary The review of Facilities Management included the assessment of 24 selected professional and legal standards of performance. All of the 24 standards are partially implemented with ratings between one and seven. The average rating of the sub-set of 24 standards in this operational area in September 2003 was 1.46 on a scale of 1 to 10 with 10 the highest score possible. The average rating in March 2004 was 2.96 and the average rating in September 2004 was 3.58. The average rating in September 2005 is 4.52. 24 Executive Summary Returning the District to Local Governance Several conditions need to be met for the district’s eventual return to local governance. Senate Bill 39, Perata, Statutes of 2003, provided clarity, conditions and intent regarding the return of the designated legal rights, duties and powers to the Governing Board. The authority of the Superintendent of Public Instruction (SPI) and his administrator designee shall continue until the SPI determines that the conditions of subdivision (e) of SB 39 are satisfied. The Superinten- dent of Public Instruction has sole authority to decide when the return of legal rights, duties and powers to the Governing Board occurs. SB 39 provides specific and direct responsibilities to FCMAT in assisting the Superintendent of Public Instruction and the Oakland Unified School District with recovery. These duties include the following: 1. FCMAT shall prepare an improvement plan for the Oakland Unified School District by updating the January 2000 comprehensive assessments and recovery plans of the district. 2. Based upon the progress reports, FCMAT shall recommend to the Superintendent of Public Instruction those designated functional areas of school district operation that it determines are appropriate for the Governing Board of the school district to assume. 3. FCMAT shall file written status reports that reflect the progress the district is making in meeting the recommendations of the improvement plans. 4. FCMAT, after consultation with the state administrator, determines that for at least the immediately previous six months the district made substantial and sustained progress in the following functional areas: 1. Community Relations and Governance 2. Pupil Achievement 3. Financial Management 4. Personnel Procedures 5. Facilities Management As required by SB 39, FCMAT updated the ratings of all of the standards assessed in the Oakland Unified School District Assessment and Recovery Plan developed for the district in January 2000. The Assessment and Recovery Plan Update completed in September 2003 provided the updated ratings for all of the standards and also included the assessment of several additional standards that became applicable subsequent to the initial assessment conducted in 2000. The September 2003 Assessment and Recovery Plan Update also identified criteria and provided an implementation plan, based upon a smaller sub-set of standards, for the district’s recovery. FCMAT selected the sub-set of standards to be targeted for the ongoing six-month progress reports in collaboration with the California Department of Education (CDE) and the appointed State Administrator. The standards were selected as having the most probability to assist the district with recovery. The selected standards are identified in the Tables of Standards in Section Two of this report. A descriptive narrative of the progress made in addressing the recommenda- tions of each of the selected standards is also provided in Section Two of this report. Executive Summary 25 The September 2003 Assessment and Recovery Plan Update reported updated scaled scores for all of the standards to provide an accurate measure of the district’s status regarding recovery at that time. Each standard was measured for completeness and a relative scaled score from zero (not met) to ten (fully met) was applied. An average of the scores of the selected sub-set of standards in each operational area was determined. The averages of the scaled scores reported in September 2003 became the baseline of data against which the district’s progress could be measured over time. Six-month progress reports issued in March 2004 and September 2004, and this annual report issued in September 2005, indicated the district’s progress in implementing the recommendations in the identified sub-set of standards. The Oakland Unified School District is not required to reach a scaled score of 10 in every selected standard, but the district is expected to make steady progress that can be sustained, as substantial and sustained progress is a requirement of SB 39. It is reasonable to expect that the district can reach an average rating of at least a six in each of the five operational areas identi- fied in SB 39. In collaboration with the California Department of Education, FCMAT established the following criteria to measure the district’s progress. When the average score of the sub-set of standards in a functional area reaches a level of six, and it is considered to be substantial and sustainable, and no individual standard in the sub-set is below a four, FCMAT will recommend to the Superintendent of Public Instruction that this particular condition of SB 39 has been met and that this operational area could be returned to the Governing Board. The final authority to return governance authority to the district board lies with the Superintendent of Public Instruction. Senate Bill 39 suggests an incremental return of powers to the district. Subject to progress, a functional area of school district operations may be recommended for return to the Governing Board of the school district by the SPI. The ultimate return of legal rights, duties and powers is based upon the SPI’s concurrence with the assessment of his administrator designee and FCMAT that the future compliance by the district with the improvement plans and the multiyear financial recovery plan is probable. 26 Executive Summary Implementation Plan FCMAT updated and assessed 416 professional and legal standards for the September 30, 2003 Recovery Plan Update, providing an in-depth review of 138 of these standards in five operational areas. Based on this work, a sub-set of standards in each operational area was identified to assist the district in successfully achieving recovery and return to local governance. This sub-set of standards has become the focus of the ongoing progress reviews conducted in the district. Al- though all professional and legal standards utilized in the comprehensive assessment process are important to any district’s success, focusing on this identified sub-set of standards will enable the Oakland Unified School District to more quickly achieve a return to local governance. FCMAT, in collaboration with the California Department of Education and the State Adminis- trator, identified the following sub-set of 135 standards in the five operational areas that will be reviewed during each periodic progress review. 26 standards in Community Relations and Governance 25 standards in Personnel Management 30 standards in Pupil Achievement 30 standards in Financial Management 24 standards in Facilities Management These standards are addressed in-depth in each of the five operational areas in Section Two of this report. They are also identified in bold print in the Table of Standards displayed at the end of each operational area section. In collaboration with the California Department of Education, FCMAT established the following criteria to measure the district’s progress. When the average score of the sub-set of standards in an operational area reaches a level of six and it is considered to be substantial and sustainable, and no individual standard in the sub-set is below a four, FCMAT will recommend to the Super- intendent of Public Instruction (SPI) that this particular condition of SB 39 has been met and that this operational area could be returned to the Governing Board. Subject to progress, functional areas of school district operations may be recommended for return on an incremental basis to the Governing Board of the school district by the SPI. The ultimate return of legal rights, duties and powers will be based upon the SPI’s concurrence with the assessment of his administrator designee and FCMAT that the future compliance by the district with the improvement plans and the multiyear financial recovery plan is probable. September 30, 2003 Assessment and Recovery Plan Update Report: The average of the sub-set of standards in each operational area in the September 30, 2003 report is indicated below. These ratings provided a base line of data against which the district’s prog- ress could be measured over each subsequent review period. Community Relations/Governance: average rating 3.92, with 6 standards under a 4. Personnel Management: average rating 2.64, with 15 standards under a 4. Pupil Achievement: average rating 2.47, with 25 standards under a 4. Financial Management: average rating 0.73, with 29 standards under a 4. Facilities Management: average rating 1.46, with 23 standards under a 4. Executive Summary 27 March 30, 2004 First Six-Month Progress Report: The average of the sub-set of standards in each operational area in the March 30, 2004 report is indicated below. These averages can be compared to the baseline averages reported in the September 30, 2003 report to determine the progress made by the district in the six months since the previous report. Community Relations/Governance: average rating 4.54, with 3 standards under a 4. Personnel Management: average rating 2.80, with 15 standards under a 4. Pupil Achievement: average rating 3.40, with 17 standards under a 4. Financial Management: average rating 2.00, with 29 standards under a 4. Facilities Management: average rating 2.96, with 17 standards under a 4. September 30, 2004 Second Six-Month Progress Report: The average of the sub-set of standards in each operational area in the September 30, 2004 report is indicated below. These averages can be compared to the averages reported in the previous reports to determine the progress made by the district in the interval since the last report. Community Relations/Governance: average rating 5.73, with 1 standard under a 4. Personnel Management: average rating 3.96, with 9 standards under a 4. Pupil Achievement: average rating 4.20, with 6 standards under a 4. Financial Management: average rating 2.83, with 25 standards under a 4. Facilities Management: average rating 3.58, with 10 standards under a 4. September 30, 2005 Third Progress Report: The average of the sub-set of standards in each operational area as of this September 30, 2005 report is indicated below. These averages can be compared to the averages reported in the previ- ous reports to determine the progress made by the district over time, and in the interval since the last report was issued in September 2004. Community Relations/Governance: average rating 6.42, with 0 standards under a 4. Personnel Management: average rating 4.56, with 5 standards under a 4. Pupil Achievement: average rating 4.57, with 4 standards under a 4. Financial Management: average rating 3.10, with 20 standards under a 4. Facilities Management: average rating 4.52, with 4 standards under a 4. 28 Executive Summary The district continues to make reasonable progress in all five operational areas. Average Average Average Average Stds Stds Stds Stds Operational Rating Rating Rating Rating < 4 < 4 < 4 <4 Area Sept March Sept Sept Sept Mar Sept Sept 2003 2004 2004 2005 2003 2004 2004 2005 Comm Rel & 3.92 4.54 5.73 6.42 6 3 1 0 Governance Personnel 2.64 2.80 3.96 4.56 15 15 9 5 Management Pupil 2.47 3.40 4.20 4.57 25 17 6 4 Achievement Financial 0.73 2.00 2.83 3.10 29 29 25 20 Management Facilities 1.46 2.96 3.58 4.52 23 17 10 4 Management Incremental Return of Legal Rights, Duties and Powers to the Governing Board The operational area of Community Relations and Governance has met the criteria of an average of 6.0 or greater with no individual standard less than a four. The ratings of the standards in this operational area, as of this September 30, 2005 progress report, average 6.42 and all identified standards have scores of four or greater. FCMAT has determined that this area of school district operations may be appropriate for the governing board of the Oakland Unified School District to assume. FCMAT therefore recommends to the Superintendent of Public Instruction that consid- eration be given to the return of this operational area to the district governing board. Continuing Assessment Reports Senate Bill 39 required FCMAT to conduct ongoing monitoring reports only through September 2004. Assembly Bill 2525 provided authorization for FCMAT to conduct an annual monitoring report for September 2005. It is anticipated that FCMAT will continue to monitor the district’s progress for the district’s eventual return to local governance. At the time of this report, however, there is neither legislation nor funds identified to continue the assessment and monitoring process for the 2005-06 school year. Steps are currently underway to address the issue. Executive Summary 29 30 Executive Summary Background of FCMAT’s Involvement in the District The information presented here chronologically summarizes FCMAT’s involvement with the Oakland Unified School District beginning in spring1999. Oakland USD Assessment and Recovery Plan, January 31, 2000 On April 14, 1999 the Oakland Unified School District Board of Directors voted unanimously to ask for a comprehensive audit from the Fiscal Crisis and Management Assistance Team. The vote was contingent upon Senator Don Perata acquiring funds from the state legislature to conduct the study. Assembly Bill 1115 allocated $750,000 to FCMAT to conduct the comprehensive assess- ment for the district in five major operational areas. FCMAT utilized a Request for Applications (RFA) process to identify competent agencies in California to assist with the comprehensive assessment. The agencies selected to assist in the process were: • California School Boards Association (CSBA) – Community Relations and Gover- nance • Schromm and Associates – Personnel Management • California Curriculum Management Audit Center (CCMAC), an affiliate of the Asso- ciation of California School Administrators (ACSA) – Pupil Achievement (CCMAC is now Curriculum Management Systems, Inc.) • School Services of California – Financial Management • MGT of America – Facilities Management After months of field work in the district, the FCMAT comprehensive assessment was presented to the district on January 31, 2000 under title Oakland Unified School District Assessment and Recovery Plans. The report provided an assessment of 379 professional and legal standards in five operational areas, and rated each standard on a scale of 1 (not implemented) to 10 (fully implemented, sustained) as to their relative status of completeness. Neither the Oakland Board of Directors nor Assembly Bill 1115 requested or required any sub- sequent monitoring of the district’s work to implement the recommendations contained in the Assessment and Recovery Plan. However, in the report FCMAT identified several key standards in each operational area that the district should focus on during the first six months following the presentation of the report. Follow-Up Report for Oakland Unified School District, March 9, 2000 On March 9, 2000 FCMAT provided the Oakland Unified Superintendent with a follow-up report on several areas of district operations. This report, in the form of a management letter, was sent as FCMAT was concerned about the district’s ability to fund multi-year agreements. This follow-up report addressed several fiscal and operational issues and made several recommenda- tions for improvement, including the following: the need for the district to decrease staff when enrollment decreases; reconcile payroll records to position control records; begin to address the 2000-01 budget shortfall that would occur if reductions were not made; prepare multi-year financial projections relative to any district negotiated bargaining agreements; adopt a consistent method of reporting charter school enrollment; monitor student attendance systems; monitor the budget to actual expenditures on a regular basis. Executive Summary 31 Oakland Unified SELPA Review, September 13, 2000 In March 2000 FCMAT was invited by the Oakland Unified School District Superintendent to conduct a review and analysis of the district’s special education programs, services and admin- istrative support structure. The review included the areas of the budget, staffing levels, programs offered, student population, student performance and achievement, program compliance, student discipline, and facilities. The district further requested that FCMAT focus on the additional areas of the management information systems, transportation, non-public school placement (NPS), student assessment and student study teams, teacher recruitment and support, certificated staff credential status, class size and caseload, 504 accommodation, revenue maximization, service delivery structure, and administrative support structure. The Management Assistance SELPA Review for the Oakland USD was provided to the district on September 13, 2000. The report noted that the district had numerous unresolved compliance issues and that 30 percent of students had overdue IEPs or triennial assessments. The special education program encroached significantly on the district’s general operating fund, far exceed- ing the statewide average, and strategies to contain costs had not been implemented. The district was making significant expenditures in the area of nonpublic school placements. FCMAT was not requested to provide additional assistance or to conduct any follow-up reviews of the district’s efforts to implement the recommendations in the special education SELPA review. Alameda COE Appointed Fiscal Advisor In October 2002, the Alameda County Superintendent of Schools requested FCMAT to provide management assistance to the Oakland Unified School District. On October 11, 2002, the county office disapproved the district’s 2002-03 budget, declared a “lack of going concern” and appoint- ed FCMAT as the county office’s fiscal advisor to the district. The County Superintendent also requested the FCMAT Board of Directors to declare that a fiscal emergency existed in the district under Education Code Section 42127.8(e). On October 20, 2002, the FCMAT Board, after hearing testimony on the district’s fiscal condition took action declaring that a fiscal emergency existed in the Oakland Unified School District. This action by the FCMAT board allowed FCMAT to direct its resources to assist the district and enabled FCMAT to assign fiscal and technology staff to provide hands-on assistance to district personnel in the business office and with the district’s data-management systems. The district was unable to close its books for the 2001-02 fiscal year. Working daily in the district, FCMAT ultimately assisted the district in closing the 2001-02 fiscal books and developing the budget for fiscal year 2002-03. FCMAT also subsequently assisted the district in developing the 2003-04 budget. The district’s ending fund balance for 2001-02 was a negative $31 million. FCMAT initially projected a negative ending fund balance for 2002-03 of more than $70 million including all of the components of fund balance. The 2 percent reserve requirement for 2002-03 of approxi- mately $8 million was not budgeted. FCMAT concluded that the district would require an emer- gency loan to address the budget issues accumulated in the 2001-02 and 2002-03 fiscal years and expected to continue into the 2003-04 fiscal year. FCMAT, the Alameda COE and the Oakland USD ultimately determined that the district may need an emergency loan in the amount of $100 million. 32 Executive Summary At a special board meeting on January 22, 2003, the Oakland Unified Board of Directors con- sidered Board Resolution No. 0203-0143 requesting a state emergency loan in an amount to be determined by FCMAT as the county appointed Fiscal Advisor. That resolution failed. Board Resolution No. 0203-0140 providing for a state loan, the appointment of a State Trustee, and other provisions, was subsequently passed by the board. On February 20, 2003 Senator Don Perata requested the Oakland Unified Board of Directors to submit a formal request for a specific loan amount by April 2, 2003 for inclusion in a bill that he would carry to the legislature. On March 27, 2003 the Oakland Unified Board of Directors approved Board Resolution No. 0203- 0226 requesting a state emergency loan in the amount of $100 million. State Administration of the Oakland USD On May 30, 2003 the Governor signed Senate Bill 39 (Perata) into law. The bill appropriated $100 million as an emergency loan to the Oakland Unified School District. The bill required the Superintendent of Public Instruction to assume all the legal rights, duties and powers of the Gov- erning Board of the Oakland Unified School District and to appoint an administrator to act on his behalf in the school district. The bill further required FCMAT to prepare an improvement plan for the school district by updating the comprehensive Oakland Unified School District Assessment and Recovery Plan developed by FCMAT for the district in January 2000, and to report on the implementation of the improvement plan beginning in September 2003 and continuing with six-month progress reports in March 2004 and September 2004. A state administrator was appointed to the district effective June 16, 2004. The state administra- tor requested fiscal assistance from FCMAT for the district’s finance department. Beginning July 1, 2003, one full-time equivalent staff member on loan from FCMAT, under the direction of the State Administrator, provided on-site assistance and training for the finance department staff and served as a senior fiscal manager for the district. This FCMAT on-site assistance ended on June 30, 2004. July 1, 2003 Report to the Superintendent of Public Instruction FCMAT prepared a report for the Superintendent of Public Instruction (SPI) on July 1, 2003 in- dicating that the January 2000 Assessment and Recovery Plan developed for Oakland Unified re- mained a viable plan of improvement, but that the professional and legal standards first assessed in January 2000 needed to be “re-benched” in order to provide the new baseline data needed to determine progress made by the district over time. FCMAT’s general review of the Assessment and Recovery Plan indicated that the findings and recommendations identified in January 2000 were still applicable to the district’s recovery. However, new standards, not developed or included in January 2000, were now applicable to the district’s recovery and needed to be included and assessed. Scaled scores assigned to standards in January 2000 were not indicative of progress that may have occurred in the intervening years and were in need of revision. FCMAT’s July 1, 2003 report to the SPI described the process FCMAT would employ to up- date the January 2000 Assessment and Recovery Plan in the two months remaining before the September 2003 deadline in the legislation. FCMAT successfully reconvened the study team members who participated in the initial Assessment and Recovery Plan to assist with the ongoing Executive Summary 33 assessment of the district’s progress since that time. FCMAT study teams conducted their work in the district during August and September 2003. Assessment and Recovery Plan Update, September 2003 Senate Bill 39 required that FCMAT prepare an improvement plan for the school district by updating the comprehensive Oakland Unified School District Assessment and Recovery Plan developed in January 2000. FCMAT was required to report on the implementation of the im- provement plan beginning in September 2003 and continuing with six-month progress reports in March 2004 and September 2004. The Oakland USD Assessment and Recovery Plan Update, provided on September 30, 2003, provided the Oakland Unified School District with the results of FCMAT’s systemic, comprehen- sive assessment in five areas of district operations: 1. Community Relations and Governance 2. Personnel Management 3. Pupil Achievement 4. Financial Management 5. Facilities Management The report reviewed all of the original standards assessed in the January 2000 report, added new standards that had since become applicable, and provided current rating scores for each of the standards. Several selected standards were reviewed in-depth and findings and recommendations developed to provide guidance to the district for implementing the standards. In collaboration with the California Department of Education and the State Administrator, FCMAT identified a sub-set of the professional and legal standards to address in follow-up six- month progress reviews. These standards were identified to assist the district to focus on a fewer number of standards with the most probability that, if addressed successfully, would lead to the district’s recovery. FCMAT’s updated assessment of the Oakland Unified School District indicated that the district continued having difficulty meeting many of the basic legal and professional standards. The report noted that many of the issues identified in the updated report could not be remedied in a short period of time, and many of them would require collaboration with community and em- ployee groups. First Six-Month Progress Report, March 2004 In January and February 2004, FCMAT study teams conducted several visitations to the district office and various school sites, reviewed documents, and interviewed district staff, advisory board members, parents, students and community members to assess the district’s progress in addressing the recommendations of the Assessment and Recovery Plan. A FCMAT representative also attended several community forums to solicit community input first hand and to further explain FCMAT’s role in the district’s recovery process. A FCMAT representative also participated in regular status meetings with the district, Alameda County Office of Education, and the California Department of Education. 34 Executive Summary Second Six-Month Progress Report, September 2004 In May, August and September 2004, FCMAT study teams visited the district and various school sites, reviewed documents prepared by the district staff, interviewed district staff, advisory board members, parents, students and community members to assess the district’s progress in address- ing the recommendations of the identified sub-set of standards in the Assessment and Recovery Plan in the six-month period since the March 2004 report. Third Progress Report, September 2005 Senate Bill 39 required FCMAT to conduct ongoing monitoring reports for the Oakland Unified School District only through September 2004. As the California Department of Education de- sired that FCMAT continue to monitor the district’s progress for the district’s eventual return to local governance, Assembly Bill 2525, Chaptered on September 29, 2004, provided authorization for FCMAT to utilize any of its own 2003-04 unexpended funds to develop an annual progress report for the Oakland USD. This September 30, 2005 report assesses the district’s progress to address the recommendations in the identified sub-set of legal and professional standards and reflects the progress made by the district since the Second Six-Month Progress Report was issued by FCMAT a year ago on Sep- tember 30, 2004. It is anticipated that FCMAT will continue to monitor and report on the district’s progress, whether in six-month progress intervals or annual progress intervals. At the time of this report, however, there is neither legislation nor funds identified to continue the assessment and monitor- ing process for the 2005-06 school year. Steps are currently underway to address the issue. Executive Summary 35 36 Executive Summary COMMUNITY RELATIONS AND GOVERNANCE Summary of Findings and Recommendations The Oakland Unified School District has demonstrated sustained progress during the past year in the area of Community Relations and Governance. The district has continued its efforts to strengthen overall communications, to improve outreach to parents and community members and to build upon relationships with community organizations and businesses in Oakland. The latest reorganization of district office staff has resulted in greater focus on service to school sites, but these changes still need to be adequately communicated to parents and the community in order to further their understanding of how the district operates. The board has indicated a willingness to work more closely with the administration and continues to represent the interests of the commu- nity. While progress in the area of boardsmanship has been demonstrated, the board still contin- ues to question how to best operate under advisory status. The board is attempting to define its role and level of engagement, while welcoming the opportunity to resume governing authority in this area. Communications The district continues to pursue stronger communications, both to district and site staff, as well as parents and the community at large. The Public Information Office has been restructured and the responsibilities are now part of the job of the Communications Director. The goal and objec- tives set forth in the communications and marketing plan adopted in February 2004 continue to be implemented effectively, although some community members noted that there appears to be a need for additional outreach to non-English media outlets. The district has continued many of its successful communications strategies, such as site visits by the State Administrator, e-mail bulletins, and maintenance of the updated district Web site, which includes a new staff and department directory. The district has also successfully used a series of town hall meetings to keep parents and the community informed about the district’s multiyear fiscal recovery plan, as well as other issues such as a discussion of the schools identified for pro- gram improvement. Additional ways to inform parents about important school information have included ads on AC Transit buses and stops, an innovative informational campaign in the local Yellow Pages and continued outreach to the faith-based community. Progress has been sustained in the area of district spokespersons, as board members are clear about when they are acting as spokespersons on behalf of the district and when they are repre- senting individual views. General perceptions of communications from the district have been more positive than in prior progress reports. A specific example cited by the district of improved communication was the process and need for school closures. As noted in the September 2004 progress report, it is still important for the district to implement a plan to monitor the effective- ness of its efforts to communicate internally and externally. Parent-Community Relations The district has made additional efforts to improve outreach to parents and the community at large. These initiatives have been highly successful in some cases, but in others have not had a significant impact. Outreach to increase involvement in local schools is an issue faced by school districts everywhere, but the execution of outreach plans can be especially challenging in districts that are as diverse and as large as Oakland USD. In the past year, the district has made Community Relations 1 concerted outreach efforts to inform parents of the multiyear fiscal recovery plan and related activities through town hall meetings. The district has also employed new strategies such as mandatory registration at certain grade levels to ensure that parents know about activities going on in the schools. The district’s continuing “Attend and Achieve” campaign also aims to involve parents in improving student attendance. As noted previously, the district continues to face the challenge of increasing the involvement of underrepresented and disenfranchised parents and community members. While the district has identified efforts to step up its outreach in this area, including the provision of child care and translation services at some meetings, additional strategies specifically focused on these groups are still necessary in order to increase their engagement. The district has worked to maintain a fair and effective complaint process, and should ensure that parents and community members are aware of the valuable resource of the Office of the Ombud- sperson. Administrators have also undergone regular training on the complaint procedures. As recommended in prior reports, training on the complaint procedures should be evaluated to deter- mine its effectiveness and whether any additional efforts will be needed to reach other audiences. Collaboratives/District Advisory Councils/School Site Councils The district has made strong progress in engaging with community collaboratives and businesses in the Oakland community. Working with the Oakland Community Organizations (OCO) and with leaders of industry, the district has built relationships to engage its partners not just in local schools, but also in other educational efforts across the district. In the past year, the district more clearly defined the statutory objectives of the site and district councils through policy, revised School Site Council and English Learner Advisory Committee handbooks, and training provided to the members of these committees and councils. However, even with these efforts, there is still not a strong demonstration of progress in the areas of district and school site councils and committees. The extent to which parent members un- derstand the council’s goals remains somewhat inconsistent. Furthermore, the makeup of these groups remains little changed from prior reports, despite the district’s outreach efforts to encour- age greater ethnic diversity on the committees and councils. The overall effectiveness of district and site councils varies and continues to be largely determined by the leadership of the principal at each site. Additional training has been conducted in the past year, but greater communication between the district-level and site-level councils and committees is still required. Recruitment by principals appears to be the district’s most effective strategy at garnering members for these groups. There is also still a need for greater availability of interpreters to facilitate participation by non-English-speaking or limited-English-speaking members. Policy The district has demonstrated sustained progress in the area of policy. Over the past year, the district reviewed and adopted a large number of policies and completed the process of updat- ing its policy manual. District policies are now up to date and reflect current law, including two policies that are mandated by law to be annually reviewed. The policy manual continues to be maintained online and can be accessed in the district office lobby via public access computers. The district also has in place a plan to regularly review policies that require revision or updating, 2 Community Relations with the involvement of district office staff from a variety of departments. This process should be continued and monitored to allow for adequate input from staff and the public and to ensure that the dissemination of new or revised policies that affect staff and other stakeholders is effec- tively implemented. Board Roles/Boardsmanship In its advisory status, the board has continued to demonstrate a desire to be involved in the direc- tion of the district and engaged in discussions with the State Administrator about district initia- tives and decisions. The members of the board have reiterated their willingness to work coopera- tively with the state administrator in the school district’s recovery. Board members have indi- cated that they are able to make the distinction between presenting personal views as opposed to representing the board or the district. Individual members of the board demonstrate a dedication to the communities they represent and to improving education in Oakland. Relationships among individual board members remain functional, courteous and respectful. On the whole, board members continue to struggle balancing how to act in an advisory capacity while still providing appropriate oversight for when local governance authority is restored. The board and administra- tion have participated in governance training and additional governance workshops are planned for the future. Board Meetings Board meetings run efficiently with a shared focus on fiscal recovery and student achievement. Conduct at board meetings among board members and among members and staff continues to be generally characterized as respectful. The district continues to hold board study sessions and public forums in order to solicit feedback and allow for the discussion of important issues. The board has initiated one additional meeting per month to provide for further discussion and com- mentary. Meeting attendance among board members remains uneven, as does the degree of preparation for these meetings by individual members. The board is eager to take on additional authority, and struggles with its advisory status. Mem- bers feel that opportunities for meaningful input before decisions occur is not always afforded to them. Board members should endeavor to consistently attend board meetings and workshops and continue to enhance their understanding of, and commitment to, effective governance roles. To enhance the capacity of the board to resume governance authority, the administration should continue its relationship with the board leadership in developing agendas and providing adequate information, communication and support to the board. Current Status The ratings of the standards in this operational area, as of this September 30, 2005 progress re- port, average 6.42 and all identified standards have scores of four or greater. This area of school district operations may be appropriate for the governing board of the Oakland Unified School District to assume. Community Relations 3 4 Community Relations 1.1 Communications Professional Standard Information is communicated to staff at all levels in an effective and timely manner. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has sustained its focus on internal communications. As mentioned pre- viously in the September 2004 progress report, the district’s communications plan (see Standard 1.3) sets a primary strategic goal to “improve two-way communication among all internal audiences, departments and school sites regarding school district policies, services, strategic plans, program priorities and activities.” The district has continued to utilize a number of communications strategies to com- municate with internal audiences, including the weekly e-mail messages on events within the district; the monthly “Staff Connections” newsletter included with district paychecks to staff; and visits to school sites by the State Administrator and individual board members. There are indications from the district office staff that the internal system of meetings has continued to allow the district to more effectively communi- cate with a unified voice. The principals' advisory group in particular has facilitated two-way communications between the sites and the district office. The new staff and department directory has been maintained, and electronic communications continue to be a more integrated part of the overall communications efforts. Furthermore, the redesigned layout of the district’s Web site provides an easier way to access informa- tion. The district has successfully implemented parts of its communications plan, and has made adjustments as warranted. The district should formalize a mechanism for moni- toring the effectiveness of its efforts. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 3 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 New Rating: 7 Implementation Scale: Community Relations 5 1.2 Communications Professional Standard Staff input into school and district operations is encouraged. Progress on Implementing the Recommendations of the Recovery Plan 1. The primary vehicle for staff input on district and school operations remains feedback to site administrators, who in turn provide the information to the executive officers at the district office. A principals' advisory group provides input and feedback on topics to the state administrator. The staff also provides input during the state administrator’s visits to school sites and at board meetings. In the past year, the district has also en- couraged the staff to attend the community town hall forums on the multiyear fiscal recovery plan and other topics, including the designation of schools in “program im- provement.” The district also plans to implement “listening events” this fall to develop positive two-way communications between the district administration and school site staff. Union representatives continue to have an opportunity to provide input at board meetings, and have engaged in meetings with the State Administrator. The district has demonstrated continued progress in this area, and should continue to seek feedback from staff at all levels on a regular basis in order to ensure that there are adequate avenues to share input. Standard Implemented: Partially January 2000 Rating: 3 September 2003 Rating: 3 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 New Rating: 7 Implementation Scale: 6 Community Relations 1.3 Communications Professional Standard The district has developed and implemented a comprehensive plan for internal and external com- munications, including media relations. Progress on Implementing the Recommendations of the Recovery Plan 1. In February 2004 the district adopted a “Strategic Communication and Marketing Plan 2003-2005.” The plan continues to serve as a framework for the district to address both internal and external goals, strategies and action steps for communication. The plan includes: • Numerous action steps to enhance communications with internal audiences • Methods to expand community outreach and involvement • Strategies to foster a working relationship with local media The implementation of strategies for two-way internal communications is discussed in Standards 1.1 and 1.2. Examples of external communication strategies include the district’s ongoing efforts to involve the community in its “Attend and Achieve” campaign to emphasize the importance of student attendance. The district has produced parent letters and parent/ student handbooks in four languages to provide information regarding the opening of the school year. A series of town hall meetings have been held on the topics of fiscal recovery, schools identified for program improvement, and the involvement of com- munity groups. These town hall meetings have occurred in regions around the district, and have generally been hosted by board members with the State Administrator as the featured speaker. The turnout at these events is generally characterized as strong. The district also plans to implement “listening events” this fall to engage smaller groups in discussion, and plans to work collaboratively with community groups in order to involve more people in the process. The fact that high-profile district actions such as school closures have been proactively discussed and communicated has been cited as an example of improved communications. Both internal and external strategies, including the use of written materials and pre- sentations at multiple board meetings, community forums and staff workshops, con- tinue to be utilized in an effort to help people understand initiatives and changes that affect the district. The enhancements to the district Web site have provided a Web resource that is easier to use, and one that contains information that is consistently updated. While the com- munications plan also includes strategies to address media relations, some parents noted that additional outreach to non-English media may be required. Community Relations 7 2. No specific opportunities for the board to enhance its skills in working with the news media have been cited in the past year. Formal or informal educational opportunities designed to facilitate effective implementation by the board of the communications plan continue to be recommended. However, individual board members indicate that the town hall meetings have been an effective way of keeping local communities en- gaged in districtwide activities. A new position of Communications Director has been created as part of a restructur- ing of the district office. The Public Information Office no longer exists, and the new reporting structure allows for an enhanced program of district communications and public relations. The district has noted that positive front-page articles have been published regarding activities at the end of the school year, school construction and STAR test results. An area of particular emphasis for the Communications Director should continue to be the strengthening of the district’s relationships with the news media. The Communications Director should also be responsible for ensuring that the district’s communications plan is updated and revised as necessary. Standard Implemented: Partially January 2000 Rating: 3 September 2003 Rating: 4 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 New Rating: 7 Implementation Scale: 8 Community Relations 1.5 Communications Professional Standard The district has established and adheres to procedures for communications with the media, in- cluding identification of district contacts and spokespersons. Progress on Implementing the Recommendations of the Recovery Plan 1. As noted in prior progress reports, the district has distributed guidelines for press calls and a memorandum to principals, department heads and managers regarding the media policy. The district’s policy manual includes elements of the district’s communications plan and the staff demonstrates a clear understanding that the State Administrator serves as the district’s primary spokesperson. Board members have also made an effort to make a clear distinction between when they speak on their own behalf and when they speak on behalf of the entire board and represent an official district position. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 3 September 2004 Rating: 5 September 2005 New Rating: 7 Implementation Scale: Community Relations 9 2.4 Parent-Community Relations Professional Standard Parents’ and community members’ complaints are addressed in a fair and timely manner. Progress on Implementing the Recommendations of the Recovery Plan 1. As noted in the March 2004 progress report, the district has in place state-compli- ant complaint procedures. The description for the Office of Ombudsperson has been updated to include responsibility in the areas of uniform complaint procedures (UCP), Title IX complaints and complaints related to the Williams settlement. The office of- fers written materials in five languages and UCP and Williams UCP forms are avail- able on the district’s Web site in both English and Spanish. The district’s Office of the Ombudsperson continues to be seen as an invaluable resource, and in an effort to ensure that more parents are notified of their rights to complain, a new brochure describing the office is being developed for distribution. 2. There was no evidence that board members attempt to resolve complaints that should otherwise be referred to the administration. 3. The district has conducted training for administrators on the complaints process to en- sure that complaints are resolved consistent with the law. The district should consider whether this training should occur as a standalone workshop, rather than as a small part of administrator orientation. Additionally, the district has conducted training ses- sions for school site councils on the complaint procedures. The job responsibilities for the Chief of Community Accountability include the cre- ation of a customer satisfaction survey that should also serve as a way to determine the extent to which the complaints of parents and community members are addressed. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 4 March 2004 Rating: 6 September 2004 Rating: 6 September 2005 New Rating: 7 Implementation Scale: 10 Community Relations 2.7 Parent-Community Relations Professional Standard Parents and community members are encouraged to be involved in school activities and their children’s education. Progress on Implementing the Recommendations of the Recovery Plan: 1. In the past year, the Oakland USD has continued to pursue a number of activities to encourage involvement by parents and community members. The district had 100% participation in the “Principal for a Day” program this year; a new system of mandatory school registration has been implemented, which requires parents to visit the school site. The district also continues to reach out to the community to reduce truancy as part of the “Attend and Achieve” campaign. While individual sites have been making efforts to engage a broader cross-section of parents into school activities, there is not yet a strategic, districtwide approach to encourage greater involvement of underrepresented and disenfranchised parents and community members in the schools. The creation of the new position of Chief of Community Accountability is a positive step toward greater engagement by parents and the community, and should result in a strategic, districtwide approach to enhance parent and community involvement. These efforts toward additional outreach, however, are still in the planning stages. As these initiatives are implemented, the district must also continue to focus on strategies which will enhance involvement of non-English-speaking parents. Standard Implemented: Partially January 2000 Rating: 6 September 2003 Rating: 6 March 2004 Rating: 6 September 2004 Rating: 6 September 2005 New Rating: 6 Implementation Scale: Community Relations 11 3.2 Collaboratives/District Advisory Councils/School Site Councils Professional Standard Community collaboratives and district and school advisory councils all have identified specific outcome goals that are understood by all members. Progress on Implementing the Recommendations of the Recovery Plan 1. The district revised the School Site Council (SSC) and English Learner Advisory Committee (ELAC) handbooks last year to further clarify the statutory objectives of the site and district councils. The district has a policy on the establishment of School Site Councils (see Standard 3.7). Again this school year, additional training for mem- bers of school site councils will be offered, with the goal of increased monitoring of site plans by each SSC. Also this year, school site councils have been asked to monitor student attendance to evaluate the connection between truancy and loss of funding. 2. The extent to which parents who serve on the councils/committees understand their roles is determined largely on a site-by-site basis, depending upon the leadership and training provided by the principal. Last year, the district offered multiple training classes to help members clearly understand the purpose and goals of the site councils, and such a training session will be provided again this year. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 New Rating: 5 Implementation Scale: 12 Community Relations 3.3 Collaboratives/District Advisory Councils/School Site Councils Professional Standard The membership of community collaboratives and district and school advisory councils reflects the full cultural, ethnic, gender and socioeconomic diversity of the student population. Progress on Implementing the Recommendations of the Recovery Plan 1. While the district has maintained efforts to reach out to a more diverse group of par- ents from a variety of ethnic backgrounds, success has been difficult to achieve. Even with programs to provide childcare and translation at meetings, recruiting parents for site councils continues to rely mainly on efforts by individual principals. Furthermore, it continues to be somewhat uncertain when an interpreter might be needed for a particular meeting. Parents still cite instances in which non-English-speaking parents have attended meetings where no interpreter was available, and it was too late to sum- mon an interpreter. Therefore, it is still recommended that the district consider having an emergency on-call pool of interpreters to accommodate such situations when pos- sible. The district has made concerted efforts to expand outreach to the diverse community in Oakland beyond the district and site councils. Working with leaders of industry in Oakland and with the Chamber of Commerce, the district saw 100% participation in the “Principal for a Day” program this year. As part of the “Attend and Achieve” cam- paign, the district has collaborated with the City of Oakland, the County of Alameda and five police departments to address the issue of student truancy. Regular meetings and discussion occur between the State Administrator and the local chapter of the NAACP. The district is also making strides to further engage the community through the cre- ation of a new position within the district office, the Chief of Community Account- ability. One of the primary identified responsibilities for this job is to improve the functionality of the district’s advisory committees by bringing in segments of the com- munity that have not been engaged by past outreach efforts. The goal of this plan is to increase accountability to the community with the understanding that more voices and a broader diversity of membership can lead to more effective leadership. Members of the board have also hosted town hall meetings throughout the district on the multiyear fiscal recovery plan as a way to reach out to more community members and a more diverse audience. Community Relations 13 Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 New Rating: 4 Implementation Scale: 14 Community Relations 3.5 Collaboratives/District Advisory Councils/School Site Councils Professional Standard Collaborative and advisory council processes are structured in such a way that there is a clear, meaningful role for all participants with appropriate input from parents, members of the commu- nity and agency policymakers. Progress on Implementing the Recommendations of the Recovery Plan 1. The revised SSC and ELAC handbooks provide thorough information to members regarding both the legal context in which the councils/committees operate and the processes to which they should adhere (see Standard 3.2). At the beginning of the last school year, the district staff conducted 12 training sessions in locations across the district for members of school site councils and English learner advisory councils. The training provided information about the establishment of SSC and ELACs, the role these councils play, the responsibilities of individual members of these groups and an overview for conducting effective meetings. A number of the sessions were trans- lated, with several sessions provided in Chinese, Spanish and Vietnamese. The district should continue to provide training to council members to help participants clearly understand their role. While SSC and ELAC groups generally meet statutory compliance, the need for ad- ditional training of members should remain a priority so that the sites have a uniform understanding of their roles. Council/committee organization and success are still largely dependent upon the leadership of the principal. 2. Council/committee members continue to voice their concern about the difficulty in convincing parents to attend meetings if they are not actually voting members. Coun- cils/committees would benefit from greater participation and input from a wide variety of parents, which should be a goal of the Chief of Community Accountability. Standard Implemented: Partially January 2000 Rating: 6 September 2003 Rating: 6 March 2004 Rating: 6 September 2004 Rating: 6 September 2005 New Rating: 7 Implementation Scale: Community Relations 15 3.6 Collaboratives/District Advisory Councils/School Site Councils Professional Standard Community collaboratives and district and school advisory councils effectively fulfill their re- sponsibilities (e.g., research issues, develop recommendations, etc.). Progress on Implementing the Recommendations of the Recovery Plan 1. The district revised the handbooks for SSCs and ELACs last year and these updated guides serve as a resource for site councils/committees. 2. As noted in previous reports, the effectiveness of these groups still varies significantly from site to site. The district has implemented a plan for additional training for site councils, which occurred last year, and another series of training sessions is sched- uled to occur again during this school year. These training workshops should serve to provide participants with a greater understanding of their responsibilities. The district should continue to conduct these trainings at several different school sites in order to maximize attendance from throughout the district. While the District Advisory Committee and District English Learner Advisory Com- mittee comply with statutory requirements, the members do not uniformly report back to their respective site councils/committees of the activities of the district-level com- mittees. The members of these committees still need to be encouraged to provide two- way communications from the district committees to the sites. Principals continue to play a critical role in ensuring that site councils/committees un- derstand and fulfill their responsibilities. Further principal training could be one way to work toward a more uniform commitment to and understanding of the critical role of these groups. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 4 September 2005 New Rating: 4 Implementation Scale: 16 Community Relations 3.7 Collaboratives/District Advisory Councils/School Site Councils Legal Standard Policies exist for the establishment of school site councils for schools that participate in School- Based Program Coordination. (EC 52852.5) Progress on Implementing the Recommendations of the Recovery Plan 1. In 2004, the district adopted a revised policy on the establishment of school site councils. District policies are currently in the process of being updated and revised to reflect current law, with adoption scheduled for the end of August. The district appears to be using its available resources to monitor changes in law in order to ensure that the policy remains accurate and meets district needs. This monitoring should be sustained as an ongoing process for the district. Standard Implemented: Fully - Substantially January 2000 Rating: 6 September 2003 Rating: 6 March 2004 Rating: 5 September 2004 Rating: 8 September 2005 New Rating: 9 Implementation Scale: Community Relations 17 4.1 Policy Professional Standard Policies are written, organized and readily available to all members of the staff and to the public. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has substantially updated its policies (see Standard 4.2), using the policy indexing system provided by the California School Boards Association. 2. Adopted polices are made available to the staff and the public through the district’s Web site and computer access is available in the district office lobby for those who do not have computers. The district should continue to promote awareness about policies for district staff by offering workshops on accessing policies online. As previously noted, the district should periodically monitor that all stakeholders have sufficient notice, access and un- derstanding of policies that affect them in order to ensure consistent implementation. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 5 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 New Rating: 7 Implementation Scale: 18 Community Relations 4.2 Policy Professional Standard Policies and administrative regulations are up to date and reflect current law and local needs. Progress on Implementing the Recommendations of the Recovery Plan 1. The district is in the process of updating and revising 82 policies by the end of August 2005. 2. The district has implemented a system of policy review that involves both staff and the board, and this system should be sustained. As part of the policy review process, it is recommended that the board be provided additional opportunities to engage in the policy-setting process. Since the bulk of the policy manual has been revised, the dis- trict is utilizing a process in which a more manageable number of policies are submit- ted to the board at regular intervals. Standard Implemented: Fully - Substantially January 2000 Rating: 2 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 7 September 2005 New Rating: 8 Implementation Scale: Community Relations 19 4.3 Policy Professional Standard The board has adopted all policies mandated by state and federal law. Progress on Implementing the Recommendations of the Recovery Plan 1. The district plans to update, revise and adopt 82 policies by the end of August 2005. The district must continue to update its policies as frequently as necessary in order to reflect changes in law. 2. The district has access to policy resources that identify new policy mandates. As it continues to work toward instituting its policy development process, it should place a high priority on monitoring and responding to policy mandates. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 6 September 2005 New Rating: 7 Implementation Scale: 20 Community Relations 4.4 Policy Legal Standard The board annually reviews its policies on intradistrict open enrollment and extracurricular and cocurricular activities. (Education Code 35160.5) Progress on Implementing the Recommendations of the Recovery Plan 1. The district last reviewed and adopted the policies on intradistrict open enrollment and extracurricular and cocurricular activities in July 2004. The annual review and update of these policies is scheduled to occur by the end of August 2005. Pursuant to law, staff should continue to ensure that these policies are submitted to the board annually for review. Standard Implemented: Fully - Substantially January 2000 Rating: 0 September 2003 Rating: 3 March 2004 Rating: 3 September 2004 Rating: 7 September 2005 New Rating: 8 Implementation Scale: Community Relations 21 4.5 Policy Professional Standard Existing board policies are reviewed regularly with the involvement of the staff. Progress on Implementing the Recommendations of the Recovery Plan 1. The district office staff has recommended 82 policies to be adopted by the end of August 2005. In the current calendar year, the staff previously recommended 15 adop- tions or revisions of policies, including the areas of personnel, business, student and family rights, high school graduation requirements and a policy on student abuse of steroids. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 5 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 New Rating: 7 Implementation Scale: 22 Community Relations 5.4 Board Roles/Boardsmanship Professional Standard Functional working relations are maintained among board members. Progress on Implementing the Recommendations of the Recovery Plan 1. The relationships among board members continue to be characterized as functional, courteous and respectful. Board members are generally regarded by the administra- tion and by each other as highly intelligent and dedicated, and unified in their desire to serve students, improve student achievement, recover from the district’s fiscal crisis and regain governing authority. The current leadership of the board is credited by a majority of board members and the administration as making positive efforts to publicly demonstrate a willingness to work cooperatively and collaboratively with the State Administrator in achieving the district’s goals. However, some members of the board have cited the lack of clarity and agreement about their advisory role as having caused communications to suffer. 2. In addition to scheduled meetings, the board has continued to meet with the State Ad- ministrator and other district office staff for retreats and study sessions. These sessions have focused on issues such as the multiyear fiscal recovery plan and the reorganiza- tion of staff and job responsibilities at the district office. The board and administration continue to work with outside consultants to develop a specific, ongoing governance training program. It continues to be generally accepted that the board has gained a stronger understanding of the traditional fiscal oversight role, although individual board members have expressed a desire for additional training to assist in reading and understanding budget materials. 3. Participation by members of the board in the FCMAT progress report process contin- ues to be an avenue for board assessment. As part of the ongoing governance training program in which the board has engaged, the board should develop mechanisms to regularly assess progress in this area, such as conducting a self-assessment. Standard Implemented: Partially January 2000 Rating: 5 September 2003 Rating: 4 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 New Rating: 7 Implementation Scale: Community Relations 23 5.5 Board Roles/Boardsmanship Professional Standard Individual board members respect the decisions of the board majority and do not undermine the board’s actions in public. Progress on Implementing the Recommendations of the Recovery Plan 1. In their current advisory capacity, board members do not typically vote on matters before the board. The State Administrator has clear authority to make decisions and take actions. Due to this circumstance, it continues to be difficult to adequately assess the commitment of board members to respect majority decisions made at meetings. During the past year, there has been no evidence to suggest that the board has worked to publicly undermine any decisions of the State Administrator. At meetings, the members of the board provide commentaries, express their opinions on issues and ask questions of the administration. The board has expressed a desire to have an opportu- nity for more significant input in advance of decisions being made. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 6 September 2005 New Rating: 6 Implementation Scale: 24 Community Relations 5.6 Board Roles/Boardsmanship Professional Standard Functional working relations are maintained between the board and administrative team. Progress on Implementing the Recommendations of the Recovery Plan 1. Regular board meetings continue to be held, as well as special meetings, retreats and working sessions. The role of the advisory board is primarily determined by the State Administrator. Although the State Administrator has made some efforts to involve the board in its advisory capacity, the board has reiterated its desire to have the opportu- nity to provide more meaningful input before decisions are made. Overall, the board members continue to express a desire to be more engaged in the governance of the district and to have greater opportunity for substantive discussion about important issues of policy. The board is eager to resume governing authority of the district and has initiated one additional meeting per month to provide for further discussion and commentary on district issues. Members of the board have again ex- pressed frustration over what they perceive to be a lack of utilization, engagement and support of the board by the administration. They continue to represent the view that the district as a whole and the administration would benefit by more consultation with the board, as elected representatives of the community. However, attendance at board meetings remains uneven by board members, as has the degree of preparation for these meetings by individual members. It must be reiterated that board members should endeavor to consistently attend board meetings and work- shops and continue to enhance their understanding of, and commitment to, effective governance roles. To enhance the capacity of the board to resume governance author- ity, the administration should continue its relationship with the board leadership in developing agendas and providing adequate information, communication and support to the board. 2. The board has continued to meet with the State Administrator in retreats and study sessions, and the board and administration are working with an outside consultant to strengthen the board’s overall governance capabilities. As the board moves closer to regaining some governing authority, it is imperative that efforts be made to develop agreements and protocols regarding appropriate board-administration roles and rela- tionships. 3. Overall, relations between the board and administration appear to have strengthened over the past year. The board officers have demonstrated a desire to work more col- laboratively and cooperatively with the administration. Individual board members continue to report positive, professional working relations on a personal level with the State Administrator, although individual board members appear to have met less frequently with the state administrator during the past year than observed during prior reports. Board members and parents continue to note the State Administrator’s per- sonal responsiveness and integrity. Community Relations 25 Most board members continue to express a desire to receive more frequent and detailed communications from the administration. Members of the board have reiterated their desire for the administration to devote more time to building understanding and acceptance from the board, so that reform initiatives like results-based budgeting and the reorganization of district office staff can be sustained in the district over time and after local authority is restored. As previously noted, it is recommended that the board and administrator reach an agreement about protocols and processes in order to sustain a long-term functional working relationship. Standard Implemented: Partially January 2000 Rating: 6 September 2003 Rating: 4 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 New Rating: 6 Implementation Scale: 26 Community Relations 5.7 Board Roles/Boardsmanship Professional Standard The board publicly demonstrates respect for and support for district and school site staff. Progress on Implementing the Recommendations of the Recovery Plan 1. Board members have evidenced a continued awareness of the way in which their statements and demeanor influence staff morale and the public’s perception of the district. In general, board members demonstrate respect for staff making presentations at meetings and frequently praise staff for exceptional work. Members of the board served as hosts at each of the local town hall meetings held by the State Administrator on the multiyear fiscal recovery plan, program improvement and other topics of districtwide interest. Additionally, the administrator and many members of the board continue to make visits to school sites. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 4 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 New Rating: 6 Implementation Scale: Community Relations 27 5.9 Board Roles/Boardsmanship Professional Standard Board members respect confidentiality of information. Progress on Implementing the Recommendations of the Recovery Plan 1. As noted in previous reports, less information of a confidential nature, such as in- formation related to negotiations or personnel, has been shared with the board since the state assumed governing authority over the district. This fact makes it difficult to fully assess progress on this standard. The board continues to meet in closed session primarily to review student discipline matters and some legal matters such as those related to property transactions. The board no longer voices concerns about breaches of confidentiality occurring. 2. Board members have not received recent training and/or information directly related to confidentiality. The recommendation stands that the board receive this training, as well as continue to consult legal counsel as needed with questions regarding the ap- propriate disclosure of information. Standard Implemented: Partially January 2000 Rating: 6 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 New Rating: 5 Implementation Scale: 28 Community Relations 5.11 Board Roles/Boardsmanship Professional Standard No individual board member attempts to exercise any administrative responsibility. Progress on Implementing the Recommendations of the Recovery Plan 1. The division of board and staff roles has been clearly articulated by the State Adminis- trator and generally continues to be adhered to by the board. In general, board mem- bers work through the State Administrator, and there were no noted attempts by the board to directly advise staff or to exercise administrative responsibilities in the past year. As the district makes progress toward regaining governing authority in some areas, there should be specific board discussions or workshops aimed at reaching a common understanding on appropriate board roles, both under a State Administrator and when local authority is fully restored. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 3 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 New Rating: 6 Implementation Scale: Community Relations 29 5.13 Board Roles/Boardsmanship Professional Standard The board acts for the community and in the interests of all students in the district. Progress on Implementing the Recommendations of the Recovery Plan 1. In general, board members have been working in collaboration with district admin- istration to engage members of the community by hosting town hall meetings. Many individual board members have continued their outreach efforts to the communities in their local trustee areas and to the Oakland community at large by holding regular community meetings, visiting school sites and attending school and district events. While some community members have expressed concerns that issues of politics sometimes take precedence over matters of student achievement, these concerns are far more muted than they once were. Interviews with board members indicate that the individual members maintain a sincere desire for the district to focus on serving the needs of all students. As mentioned in prior progress reports, the board consists of individuals who bring a breadth of individual experience and expertise, and who reflect the cultural and ethnic diversity of the district. Individual members of the board generally have strong sup- port from the members of the public who reside within their trustee areas. In the past year, one member of the board has changed, and the newly installed board member is participating in training on the role of the board. 2. The majority of the board appears to be actively engaged in building positive sup- port for the district and its programs. The board has had opportunities to discuss the district’s strategic plan and provide input at meetings, although much of this work has been driven by the administration and staff. In general, board members express support for the overall direction the district is taking in terms of promoting student achievement, such as with the shift to results-based budgeting and updating the district’s equity plan. While board members have voiced their apprehension, their concerns often have more to do with the process for decision-making rather than the decisions themselves. In some respects, the State Administrator has been able to implement certain policies that had long been priorities of the OUSD board and com- munity. 30 Community Relations Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 6 September 2005 New Rating: 6 Implementation Scale: Community Relations 31 6.3 Board Meetings Professional Standard Board members are prepared for board meetings by becoming familiar with the agenda and sup- port materials prior to the meeting. Progress on Implementing the Recommendations of the Recovery Plan 1. Attendance at board meetings in the past year has not been regular or consistent for all members. Many meetings begin without a quorum, as members are not prompt in showing up for meetings. Board members continue to attribute this lack of participa- tion to frustration about their perceived lack of meaningful engagement by the admin- istration (see Standard 5.6). Regular attendance by members is essential to strengthen- ing communication between the board and administration. The level of meeting preparation continues to vary among board members. Observa- tions of meetings and interviews with administrators indicate that not all board mem- bers appear to consistently review board materials in advance of meetings. Individual board members cited difficulty in using the Internet to obtain board materials. This situation can be resolved through direct communication between members of the board and the district administration about alternate means of disseminating board materials. However, individual members continue to invest a significant amount of time con- ducting board-related work, even though the board is currently advisory in nature and members receive no compensation for their time. The members of the board have actively engaged their communities in the district’s series of town hall meetings on the multiyear fiscal recovery plan and on schools identified for program improvement. 2. Board members continue to feel that the amount and scope of materials provided to them in advance of meetings vary. Several board members have expressed a desire for materials to be presented within a broader fiscal context and to be tied into the five areas of the FCMAT progress reports. Standard Implemented: Partially January 2000 Rating: 7 September 2003 Rating: 5 March 2004 Rating: 5 September 2004 Rating: 5 September 2005 New Rating: 5 Implementation Scale: 32 Community Relations 6.4 Board Meetings Professional Standard Board meetings are conducted in a business-like manner while allowing opportunity for full discussion. Progress on Implementing the Recommendations of the Recovery Plan 1. The board has a set of rules for meeting conduct. The board bylaws should be includ- ed in the regular review and update of district policies. 2. Conduct at meetings among board members and among members and staff remains respectful. The administration generally feels that meetings are functioning efficiently and achieving their purpose. On the other hand, a high degree of frustration remains among board members who perceive that key decisions are made in advance of meet- ings and that the opportunity for substantive input at meetings is not provided, nor are opinions truly considered. Observations of board meetings reveal that members have opportunities to comment on agenda items and to ask questions. To facilitate maximum opportunities for board and public engagement, the administration should consider ensuring agendas are structured so that major topics are placed on one meeting agenda for presentation and discussion, and on a subsequent agenda for action. Only in cases of urgency, when an expedited action is needed, would an item be both discussed and decided at the same meeting. 3. The board president and vice president have not yet participated in formal training or education in running effective board meetings, but there is general agreement that meetings are run effectively. In this district, a significant amount of responsibility for building cohesiveness among the board is placed on the board leaders; training or skill-building in this area might also be considered. Standard Implemented: Partially January 2000 Rating: 6 September 2003 Rating: 4 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 New Rating: 6 Implementation Scale: Community Relations 33 6.8 Board Meetings Professional Standard Board meetings focus on matters related to student achievement. Progress on Implementing the Recommendations of the Recovery Plan 1. Board meetings appear to focus on fiscal recovery as well as matters related to student achievement. Observations of meetings and a review of agendas indicate that staff pre- sentations often relate to achievement, the implementation of results-based budgeting, districtwide plans for the start of the school year, facilities plans, and the multiyear fiscal recovery plan, as well as other pertinent topics. As the district continues with initiatives to revise the educational delivery system, it is essential that board meetings continue to provide opportunities for public presentation and discussion about these items. Board members expressed frustration that regular board meetings were not utilized for extensive policy discussions. The board continues to express its desire to have the op- portunity to provide more meaningful input before decisions are made. The board has also begun to hold additional meetings to allow for greater discussion of policy issues. The district should continue to engage the community by holding town hall meetings, public forums and study sessions on critical issues, whenever possible. 2. While the meetings are run by the board leadership, the State Administrator continues to play the most significant role in determining what items are on the agenda. The State Administrator has a strong working relationship with the board president on setting the agendas for board meetings, and it appears that agendas continue to reflect a strong alignment between meeting topics and the priorities of the district. As noted in prior progress reports, the board has not been engaged in discussions about topics such as contract approvals, which occasionally took up considerable time at meetings in the past. Standard Implemented: Partially January 2000 Rating: Not Assessed September 2003 Rating: 4 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 New Rating: 7 Implementation Scale: 34 Community Relations Table of Standards for Community Relations/Governance Community Relations 35 ��������������������������������������������������������������������������������������������������������������������� ��������������������������������������������������������������������������������������������������������������������� NR Indicates standard not reviewed 36 Community Relations Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating Information is communicated to staff at all levels in an 1.1 effective and timely manner. (Reworded since the 2000 2 3 5 6 7 report) Staff input into school and district operations is encour- 1.2 3 3 5 6 7 aged. The district has developed and implemented a compre- hensive plan for internal and external communications, 1.3 3 4 5 6 7 including media relations. (Reworded since the 2000 report) News releases are prepared and made available simultane- 1.4 5 7 NR NR NR ously to all appropriate news media. The district has established and adheres to procedures for communications with the media, including identifi- 1.5 0 0 3 5 7 cation of district contacts and spokespersons. (Reworded since the 2000 report) Board spokespersons are skilled at public speaking and 1.6 communication and are knowledgeable about district pro- 2 2 NR NR NR grams and issues. Annual parental notice of rights and responsibilities is provided at the beginning of the school year. This notice 2.1 is provided in English and in languages other than English 9 9 NR NR NR when 15 percent or more speak another language. (EC 48980) A school accountability report card is issued annually for 2.2 5 7 NR NR NR each school site. (EC 35256) The district has developed and annually disseminated uniform complaint procedures. (California Code of Regula- 2.3 9 9 NR NR NR tions, Title 5, Section 4621) (Reworded since the 2000 report) Parents’ and community members’ complaints are ad- 2.4 1 4 6 6 7 dressed in a fair and timely manner. Board members refer informal public concerns to the ap- 2.5 4 4 NR NR NR propriate staff for attention and response. 2.6 (Renumbered as Standard 5.14) NR NR Parents and community members are encouraged to be 2.7 involved in school activities and their children’s educa- 6 6 6 6 6 tion. (Reworded since the 2000 report) The district has established procedures for visitor registra- tion and posts registration requirements at each school 2.8 4 4 NR NR NR entrance. (PC 627.2, 627.6) (Reworded since the 2000 report) Board members are actively involved in building commu- 2.9 4 5 NR NR NR nity relations. ��������������������������������������������������������������������������������������������������������������������� ��������������������������������������������������������������������������������������������������������������������� NR Indicates standard not reviewed Community Relations 37 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The board and Superintendent support partnerships and 3.1 collaborations with community groups, local agencies and 5 6 NR NR NR businesses. (Reworded since the 2000 report) Community collaboratives and district and school advi- 3.2 sory councils all have identified specific outcome goals 4 4 4 5 5 that are understood by all members. The membership of community collaboratives and district and school advisory councils reflects the full cul- 3.3 1 1 2 3 4 tural, ethnic, gender and socioeconomic diversity of the student population. The district encourages and provides the necessary training for collaborative and advisory council members to under- 3.4 4 3 NR NR NR stand the basic administrative structure, program processes and goals of all district partners. Collaborative and advisory council processes are structured in such a way that there is a clear, mean- 3.5 ingful role for all participants with appropriate input 6 6 6 6 7 from parents, members of the community and agency policymakers. Community collaboratives and district and school advisory councils effectively fulfill their responsibilities 3.6 4 4 4 4 4 (e.g., research issues, develop recommendations, etc.). (Reworded since the 2000 report) Policies exist for the establishment of school site coun- cils for schools that participate in School-Based Pro- 3.7 6 6 5 8 9 gram Coordination. (EC 52852.5) (Reworded since the 2000 report) The school site council develops a Single Plan for Stu- dent Achievement at each school applying for categorical 3.8 9 9 NR NR NR programs through the consolidated application. (EC 64001) (Reworded since the 2000 report) School plans are comprehensive and have sufficient con- 3.9 9 9 NR NR NR tent to meet the statutory requirements. (EC 64001) The school site council annually reviews the school plan 3.10 and the board annually approves or disapproves all site 4 4 NR NR NR councils’ plans. (EC 64001) Policies are written, organized and readily available to 4.1 4 5 5 6 7 all members of the staff and to the public. Policies and administrative regulations are up to date 4.2 2 4 4 7 8 and reflect current law and local needs. The board has adopted all policies mandated by state 4.3 4 4 4 6 7 and federal law. The board annually reviews its policies on intradistrict 4.4 open enrollment and extracurricular and cocurricular 0 3 3 6 8 activities. (EC 35160.5) ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd 38 Community Relations Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating Existing board policies are reviewed regularly with the 4.5 4 5 5 6 7 involvement of the staff. The district has established a system of securing citizen 4.6 2 3 NR NR NR input in policy development and district operation. The board supports and follows its own policies once they 4.7 1 3 NR NR NR are adopted. Each board member meets the eligibility requirements of 5.1 10 10 NR NR NR being a board member. (EC 35107) Board members participate in orientation sessions, work- 5.2 shops, conventions and special meetings sponsored by 4 4 NR NR NR board associations. Pertinent literature, statutes, legal counsel and recognized authorities are available to and utilized by the board to 5.3 6 6 NR NR NR understand duties, functions, authority and responsibilities of members. Functional working relations are maintained among 5.4 5 4 5 6 7 board members. Individual board members respect the decisions of the 5.5 board majority and do not undermine the board’s ac- 4 4 4 6 6 tions in public. (Reworded since the 2000 report) Functional working relations are maintained between 5.6 6 4 5 6 6 the board and administrative team. The board publicly demonstrates respect for and sup- 5.7 4 4 5 6 6 port for district and school site staff. The board demonstrates respect for public input at meet- 5.8 4 5 NR NR NR ings and public hearings. Board members respect confidentiality of information. 5.9 6 4 4 5 5 (Reworded since the 2000 report) The board does not involve itself in operational issues that 5.10 are the responsibility of the superintendent and staff. 6 6 NR NR NR (Reworded since the 2000 report) No individual board member attempts to exercise any 5.11 1 3 4 5 6 administrative responsibility. The board evaluates the performance of the superintendent 5.12 regularly on criteria which will encourage student achieve- 8 8 NR NR NR ment. The board acts for the community and in the interests 5.13 4 4 4 6 6 of all students in the district. The district has identified the needs of the students, staff 5.14 and educational community through a needs assessment 5 5 NR NR NR process. (Previously numbered 2.6) An adopted calendar of regular meetings exists and is pub- 6.1 lished specifying the time, place and date of each meeting. 10 10 NR NR NR (EC 35140) ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd Community Relations 39 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The board agenda is made available to the public in the manner and under the timelines prescribed by law. (EC 6.2 9 10 NR NR NR 54954.1, 54954.2) (Reworded since the 2000 report) Board members are prepared for board meetings by be- 6.3 coming familiar with the agenda and support materials 7 5 5 5 5 prior to the meeting. Board meetings are conducted in a business-like man- 6.4 ner while allowing opportunity for full discussion. 6 4 5 6 6 (Reworded since the 2000 report) Open and closed sessions are conducted according to the 6.5 9 9 NR NR NR Ralph M. Brown Act. (GC 54950 et seq.) The board has adopted bylaws for the placement of items 6.6 10 10 NR NR NR on the board 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 6.7 item of business to be discussed at regular or special meet- 9 10 NR NR NR ings, and to bring before the board matters that are not on the agenda. (EC 35145.5) Board meetings focus on matters related to student 6.8 achievement. New 4 5 6 7 (Added since the 2000 report) ��������������������������������������������������������������������������������������������������������������������� ��������������������������������������������������������������������������������������������������������������������� NR Indicates standard not reviewed 40 Community Relations PERSONNEL MANAGEMENT Summary of Findings and Recommendations Since the last FCMAT report in September 2004, the Human Resources Division has again been reorganized. This new reorganization includes 23 full-time equivalent (FTE) positions providing human resources services. In September 2003 the division had 51.60 full-time equivalent posi- tions. In July 2004 the division had 42 FTE employees and in November 2004 division staff was further reduced to 35 FTE employees. The latest reorganization included the assignment of particular personnel functions to other divi- sions. Labor relations functions have been transferred to Legal Services, and benefits functions have been moved to Risk Management under the Business Division. The newly reorganized Human Resources Division is led by an Executive Officer, three site team managers, a Credentials Manager, a Recruiting Supervisor, and an Information Analyst. These positions are referred to as the Leadership Team. At the time of the review team’s visit in August, 17 of the 23 employees were new hires or new to their positions. Staff stability and con- sistency of services continue to be a problem. Training of the division staff will be essential. The Human Resources Division sent approximately 400 certificated layoff notices in the spring because of uncertainty about 13 school sites becoming charter schools. When only two sites were designated charter schools, no teachers had to be laid off. Results-Based Budgeting (RBB) begins its second year of implementation. Human Resources and Fiscal Services personnel, along with site administrators, have had significant training on the process. New Human Resources staff members will need to understand the process as it relates to staffing of schools. Many staffing issues will be tied to collective bargaining agreements or other program regulations such as those in special education, Title I, and School Improvement. At the time of the review team’s visit, four bargaining unit contracts were still open. The four employee organizations included the Building Construction Trades Council of Alameda County; the Service Employees International Union, Local 790, AFLC-CIO; the Brotherhood of Team- sters, Auto Truck Drivers, Local 70; and the Oakland Education Association. The role of Human Resources at the bargaining table has been reduced to appearing only when needed. An Intern Specialist was hired during the summer to develop written procedures for the various functions used in Human Resources to carry out its responsibilities, with flow charts indicating the activities from beginning to end. Additionally, internal procedures have been written for all position classifications in Human Resources. This will provide a staff member with a good por- tion of the desk procedures manual he or she will be preparing. The Human Resources Division leadership team has recognized the importance of providing training to all staff. Many employees in the office have less than two months experience on the job and lack any previous educational and/or human resources experience. Staff training needs to be ongoing. Personnel Management 1 Organization, Planning and Communications The Human Resources Division’s most recent reorganization reduced staff from 35 to 23. Most staff members (17 of 23) were new to Human Resources having less than 45 days on the job at the time of the team’s visit. Several consultants contributed to developing the direction for the Human Resources operations. The Human Resources Division, at its July retreat, developed a mission statement. Many procedures have been written for each of the job classifications within the division. Plans for the Human Resources staff to develop individual goals and objectives are scheduled to begin in October 2005 for the June 2006 rating period. Communication among Human Resources staff members has greatly improved. A monthly activ- ity calendar has been drafted and needs some revisions to better serve the leadership team in the planning process. The Human Resources Division holds both weekly leadership team and general staff meetings. Other weekly meetings are held with the Site Team Managers’ staff. Employee Recruitment, Selection and Orientation The “Strategic Recruitment Plan 2005-2006” identifies certificated recruitment events through- out the United States and internationally. The district held a teacher recruitment fair on May 14, 2005, at Claremont Middle School. The division should determine the results of all recruit- ment efforts, identifying recruitment location, number of applications received, number of offers made, number of employees involved and cost of each recruitment activity. A reference check form has been developed, and the form is planned to be required as a part of the hiring process. The classified recruitment and selection process continues to function without any written pro- cedures or clear processes in place. All staff members responsible for classified recruitment are new and in the process of becoming familiar with current practices. Steps have been taken to purchase a new applicant tracking software package and to shift to a requirement that all applica- tions be submitted online. A new Web-based spreadsheet is now available to site administrators that indicates where Human Resources is in filling a specific vacancy. Along with the need for written procedures is the need for training of staff on classified selection procedures, interview techniques, and documentation requirements. Operational Procedures and Use of Technology The division has compiled a binder that includes all available job descriptions. Many of the job descriptions are unapproved, outdated drafts from an earlier Ewing Company audit. A number of job classes lack a job description. A process and time line needs to be established for identifying those classifications for which a board-approved job description exists and those classifications for which a job description needs to be developed and adopted. A procedure has been developed for handling requests to review revised job descriptions. A process and time line for updating all existing job descriptions needs to be developed. The district has appropriate policies and forms for the Family and Medical Leave Act (FMLA). Appropriate posters are posted in the district office. However, there is no process to ensure the required postings at the schools and other work locations. 2 Personnel Management In the review and update of job descriptions, attention needs to be directed to the Americans with Disabilities Act (ADA) compliance for job qualifications and identification of essential duties. The board policy on nondiscrimination needs to have the job title listed for the person identi- fied to hear ADA complaints. Personnel involved in the interview process needs to be trained on ADA compliance requirements. The district’s use of the Bi-Tech Integrated Financial Administrative Solution software has been affected by its decision to implement site-based Results-Based Budgeting (RBB). Under RBB, school site decisions are based on dollars rather than the number of employees (FTEs). Howev- er, the Bi-Tech System still uses position control numbers and identified approved positions. The shift from FTEs to dollars has created some new issues for site administrators, such as the need to reduce staff as budget priorities change. The division has significantly increased its use of technology and is training staff in its use. Establishing a Web-based communication system for use within the office and by school sites provides timely information. Given the large number of new staff and their minimal school per- sonnel experience, ongoing training is needed. Evaluation and Due Process Assistance A great deal of training has taken place during the summer to familiarize the new staff members with the procedures to be implemented under the new reorganization. Discipline and due process workshops are planned. The Legal Division staff will continue to provide this training. The Executive Officer of Schools has the responsibility for monitoring the completion and quality of employee evaluations. The Human Resources Division must also take a leading role in monitoring the process and reporting to cabinet. Employer/Employee Relations and Benefits The Legal Division has developed and uses the “Oakland Unified School District Negotia- tions Timeline” for monitoring ongoing activities and actions related to negotiations. Site-level administrators and district administrators serve on negotiating teams and on various subcommit- tees. The Risk Management Office in the Business Services Division continues to operate and im- prove a return to work program. In conjunction with a consultant, Risk Management has devel- oped a listing of essential job functions for most positions. A number of temporary job descrip- tions also have been created for employees who are partially disabled. This information helps medical providers make return to work decisions. For a brief period, the prior Risk Manager prepared periodic worker’s compensation reports com- paring the current year’s activity with the previous two years. Although the reports were useful, additional information should be included on occupational areas and/or job sites experiencing high claims. The reports should be continued when the new Risk Manager starts. Personnel Management 3 4 Personnel Management 1.5 Organization and Planning Professional Standard The division has established goals and objectives directly related to the district’s goals that are reviewed and updated annually. Progress on Implementing the Recommendations of the Recovery Plan 1. The newly reorganized Human Resources Division has been working on completing the development of a vision statement and goals and objectives by early October. The following mission statement was adopted by the Human Resources staff at its July 15 retreat: "We are here to facilitate creation of the most effective learning environment for Oakland students through the professional delivery of value-added service and support in the development of the human capital available to the Oakland Public School System." 2. An August 1, 2005 memorandum on 2005-06 performance planning (goals and objec- tives) described plans for the Human Resources staff to review tools for setting perfor- mance goals and objectives. The tools under development include the following: • Description of performance planning time line • Performance evaluation form • Performance self-assessment form • Professional development scorecard • Job descriptions 3. The goals and objectives developed by Human Resources staff are scheduled for implementation beginning in October 2005. 4. At the present time, Human Resources Division staff members have no personal writ- ten goals and objectives. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 5 September 2005 Self-Rating: 5 September 2005 New Rating: 5 Implementation Scale: Personnel Management 5 1.6 Organization and Planning Professional Standard Individual staff members have developed goals and objectives in their areas of responsibility and also a personal professional development plan. Progress on Implementing the Recommendations of the Recovery Plan 1. The Human Resources Division has issued a memorandum that lists “tools that will be used for setting performance goals and objectives (both personal and professional goals) and managing performance for the October 2005-June 2006 rating period.” At- tached to the memorandum was the following: • A description of performance planning with time line • A performance evaluation form • A performance self-assessment form • A professional development score card • Job descriptions 2. At present, the Human Resources Division staff has no written personal professional development goals. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 5 September 2005 New Rating: 4 Implementation Scale: 6 Personnel Management 1.7 Organization and Planning Professional Standard The division has a monthly activities calendar and accompanying list of ongoing Human Re- sources activities to be reviewed by staff at planning meetings. Progress on Implementing the Recommendations of the Recovery Plan 1. The Human Resources Division does not actively use a monthly activities calendar for ongoing activities. A draft of a Human Resources Annual Calendar/Checklist was presented to the review team, but the present format needs revision. The name of the person responsible for each activity needs to be added. 2. The Human Resources Division holds division leadership planning meetings. A monthly activities calendar would allow for the planning of appropriate resources needed to complete various projects, identify the staff members responsible for com- pletion, and target dates. Standard Implemented: Partially January 2000 Rating: 3 September 2003 Rating: 3 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 4 September 2005 New Rating: 3 Implementation Scale: Personnel Management 7 2.2 Communications: Internal/External Professional Standard The Human Resources and Business divisions have developed and distributed a menu of services that includes the activities performed, the individual responsible, and the telephone numbers where they may be contacted. Progress on Implementing the Recommendations of the Recovery Plan 1. The newly reorganized Human Resources Division has developed a Directory of Services as of July 2005. This three-page document lists the members of the Human Resources Department, the Human Resources Support and Services (HRSS) team's responsibilities to site administrators, site team contact information, and service team designations (school site listings with the Human Resources staff contact person). This information was prepared for the August 15, 2005, administrators' retreat and will also be placed on the district’s Web site. On August 18 and 19, the Human Re- sources site team members have appointments with their assigned site administrators to provide human resources services. 2. The last printing of the Directory (Menu) of Services was January 2005. The district and Human Resources in particular have implemented division reorganizations and personnel changes that will require the directory to be updated. This update is being planned, and the directory should be provided in hard copy to all school and work sites in addition to being posted on the district's Web site. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 3 March 2004 Rating: 6 September 2004 Rating: 7 September 2005 Self-Rating: 8 September 2005 New Rating: 7 Implementation Scale: 8 Personnel Management 2.5 Communication: Internal/External Professional Standard The Human Resources Division holds regularly scheduled staff meetings. Progress on Implementing the Recommendations of the Recovery Plan 1. The Human Resources Division's Executive Officer has weekly meetings with his leadership team. This group includes the Executive Officer, three site team managers, the Credential, Classification and Compensation Supervisor, the Recruiting Supervi- sor, the Human Resources Information Analyst and the Administrative Assistant. The Administrative Assistant prepares minutes of these meetings. 2. The Executive Officer also has weekly meetings with his site team managers and weekly meetings with all the site team members. 3. Site team managers have weekly meetings with their respective team members. 4. Divisionwide meetings for all staff members are held each Tuesday afternoon. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 4 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 Self-Rating: 6 September 2005 New Rating: 7 Implementation Scale: Personnel Management 9 3.7 Certificated Recruitment and Selection Professional Standard A summary or evaluation of the results of the year’s recruitment efforts is provided in written form. Progress on Implementing the Recommendations of the Recovery Plan 1. The “Strategic Recruitment Plan, 2005-2006 School Year” was submitted to the Oakland Unified School District Board on January 12, 2005. This document outlined planned recruiting events throughout the United States and internationally. The district planned recruiting visits to locations such as New York, Michigan, Maryland, Louisi- ana, Texas, Minnesota, Oregon, and Washington. International visits included Argen- tina, Chile, the Philippines, Spain and Mexico. The document also lists a variety of plans, with the goal of meeting the “high needs” areas of math, science, special education and bilingual education by June 2005 for the 2005-06 school year. The district was not successful in attracting a significant number of candidates hired from the national visits. Approximately 20 teachers were hired as a result of international visits. The need remains to develop a summary report of the effectiveness of the recruitment activities that includes the following: • Each recruitment location visited • The number of interviews conducted • The number of offers made • The number of people employed from each venue • The cost of the recruitment activity The district held a Teacher Recruitment Fair on May 14, 2005, at Claremont Middle School. It was reported to be a successful event, with most schools participating. The review team did not receive the results of the fair, including the number of applicants, resumes or hires. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: 10 Personnel Management 3.9 Certificated Recruitment and Selection Professional Standard The district systematically initiates and follows up on experience and reference checks on all ap- plicants being considered for employment. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has developed a standard reference check form, but there is no require- ment that this form be submitted to Human Resources as a part of the hiring process. The Human Resources Generalist will assume responsibility to ensure accountability by performing at least two reference checks. The generalist may perform reference checks personally or may delegate the checks to a Human Resources assistant. The generalist also may accept reference checks performed by a principal or hiring man- ager if they are completed using the district's reference check form. In all cases, the reference check documentation will be retained in the Human Resources services and support unit. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 3 March 2004 Rating: 3 September 2004 Rating: 5 September 2005 Self-Rating: 7 September 2005 New Rating: 6 Implementation Scale: Personnel Management 11 4.2 Classified Recruitment/Selection Legal Standard Employment procedures and practices are conducted in a manner that ensures equal employment opportunities. Written hiring procedures are provided. (Education Code 44100-44105.) Progress on Implementing the Recommendations of the Recovery Plan 1. Human Resources posts all classified vacancies within the district and on the Ed-Join Web site and has recently renewed its contract to allow postings on HotJobs. A dis- trict job line refers interested applicants to Ed-Join so they can file an online applica- tion. The Human Resources Division staff is in the process of shifting from use of a paper application to accepting only online applications and has placed three computers in the administrative building lobby for use by applicants. 2. There are no written internal procedures describing the process for advertising and filling vacancies. Union contracts generally have language requiring the posting of vacancies for a specific minimum number of days. Human Resources has recently purchased a new applicant tracking software package called Searchsoft that will be- come an integral part of the recruitment process. 3. The Human Resources Division staff has not yet developed written procedures that describe the classified recruitment and selection process. A new online tracking system has been implemented that allows site administrators to check on the status of their vacancies and on the processing of selected applicants. As has been the case for the past two years, much is planned, but little has been accomplished. 4. No training on the classified hiring process has been provided to the district staff in- volved in this function. 5. The Human Resources Division staff does not generally participate in the interview process for classified positions. Standard Implemented: Partially January 2000 Rating: 6 September 2003 Rating: 6 March 2004 Rating: 4 September 2004 Rating: 4 September 2005 Self-Rating: 4 September 2005 New Rating: 4 Implementation Scale: 12 Personnel Management 5.2 Employee Induction and Orientation Professional Standard The Human Resources Division provides orientation handbooks for new employee orientation in all classifications: substitutes, teachers and classified employees. Progress on Implementing the Recommendations of the Recovery Plan 1. The current classified employees’ handbook that is distributed to new classified em- ployees needs to be updated. The goal is to have revised handbooks completed and distributed by October 15, 2005. 2. A Site Team Manager has been assigned responsibility for developing and updating new certificated personnel handbooks. The Substitute Handbook has been completed and is ready for distribution. Distribu- tion is scheduled at the August Institute. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 4 March 2004 Rating: 5 September 2004 Rating: 5 September 2005 Self-Rating: 5 September 2005 New Rating: 5 Implementation Scale: Personnel Management 13 6.2 Operational Procedures Professional Standard Human Resources Division nonmanagement staff members have individual desk manuals for all of the personnel functions for which they are held responsible. Progress on Implementing the Recommendations of the Recovery Plan 1. A Human Resources Manager has been assigned to develop and implement desk man- uals for all nonmanagement Human Resources staff. A Summer Associate was hired to assist the Human Resources Services and Support (HRSS) employees in developing the process documentation for each HRSS function and position. 2. Team meetings for the specific purpose of developing desk manuals are needed and are not regularly scheduled at present. Because desk manual documents are new, staff members are not in the habit of using them as a reference. 3. Desk manual information has been created for managers, generalists and assistants and consist of the following: • An overview of the job description and how the job is incorporated into the newly designed HRSS team organization. • Relevant process definitions and mapping, for reference while performing a func- tion. • Guides to perform the functions assigned to that class of employee. • Helpful hints on performing the work, including useful reference documents. • Performance evaluation templates that will be the basis of employee reviews of October 2005. Cross training will continue to take place as implementation of desk manuals is completed. All the assistants have been cross trained in the fingerprinting operations procedures. 4. Most of the HRSS staff members have been hired within the last 40 days. These em- ployees have not had access to training programs outside the district. 5. The desk manual material delineates the responsibilities for staff members in Human Resources. 14 Personnel Management Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 0 September 2004 Rating: 0 September 2005 Self-Rating: 4 September 2005 New Rating: 4 Implementation Scale: Personnel Management 15 6.3 Operational Procedures Professional Standard The Human Resources Division has an operations procedures manual for internal department use in order to establish consistent application of personnel actions. Progress on Implementing the Recommendations of the Recovery Plan 1. An HRSS Manager has been designated the manager in charge of operational proce- dures. Additionally, a Summer Associate was hired to help Human Resources em- ployees develop process documentation for each Human Resources function. 2. All principle Human Resources functions have been documented in detail, and the flow process has been mapped. Processes documented include the following • The staffing projection process • The recruiting process • The hiring process • Employee "on-boarding (including tuberculosis testing, fingerprinting)" • The substitute staffing process and use of the substitute system (SEMS) • The performance evaluation process • The professional development process • The grievance process • Unemployment processing • The credentialing process • The classification process • Personnel file management 3. Process mapping and documentation have been based on California state regulations, applicable legal standards and federal regulations. The Human Resources staff has not consistently committed itself to implementing proposed improvements. Human Resources Division staff meetings need to provide opportunities to brainstorm strate- gies for process implementation and improvement. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 1 September 2004 Rating: 2 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: 16 Personnel Management 6.4 Operational Procedures Professional Standard The Human Resources Division has a process in place to systematically review and update job descriptions. These job descriptions should be in compliance with the Americans with Disabili- ties Act (ADA) requirements. Progress on Implementing the Recommendations of the Recovery Plan 1. The Human Resources Services and Support staff have begun to develop a formalized process to systematically review and update position descriptions. The Credentials Classification and Compensation Supervisor has been assigned to develop descrip- tions. A written procedure entitled “Position Description Development and Revision” will be used in developing new job descriptions. Many job descriptions have been modified or altered over the last several years, and many are missing. 2. The current plan is to develop a protocol to solicit feedback from existing employ- ees regarding their specific duties and responsibilities and all other data needed for a comprehensive job description. Revised and new job descriptions will be updated to reflect the Americans with Disabilities Act (ADA) and Federal Labor Standards Act (FLSA) exempt or nonexempt status. Standard Implemented: Partially January 2000 Rating: 5 September 2003 Rating: 1 March 2004 Rating: 1 September 2004 Rating: 1 September 2005 Self-Rating: 1 September 2005 New Rating: 1 Implementation Scale: Personnel Management 17 6.6 Operational Procedures Professional Standard The Human Resources Division has procedures in place that allow for both personnel and payroll staff to meet regularly to solve problems that develop in the processing of new employees, clas- sification changes and employee promotions. Progress on Implementing the Recommendations of the Recovery Plan 1. Job responsibilities for all Human Resources staff have been developed and are cur- rent and available. The Human Resources operations staff conducts routine, ad hoc communication such as “hand-to-hand” delivery of paperwork appropriate to Payroll staff members and frequent e-mail communications with the Payroll staff to address time-sensitive items. One of the Human Resources new staff members was formerly a Payroll staff person, has Payroll knowledge, and will facilitate a stronger relationship/coordination between the departments. 2. The Fiscal Department is in the process of hiring its Payroll staff. Human Resources is developing a task force (Payroll/Human Resources) to address related issues, e.g., employee set up, transition and employee exit. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 1 September 2004 Rating: 4 September 2005 Self-Rating: 4 September 2005 New Rating: 4 Implementation Scale: 18 Personnel Management 7.6 State and Federal Compliance Legal Standard Duties to be performed by all persons in the classified service and other positions not requiring certification are fixed and prescribed by the governing board. (Education Code § 45109.) Progress on Implementing the Recommendations of the Recovery Plan 1. After reviewing the Ewing classification study, Human Resources has determined that the job descriptions are too outdated to be implemented. Human Resources has compiled a binder that includes all available job descriptions, including the unadopted Ewing study drafts. Steps need to be taken to determine which job descriptions are still missing and which are for positions that no longer exist. 2. The responsibility for ensuring that there is a job description for every classification has recently been assigned to a supervisor who has been on the job for less than a month. As a result, Human Resources has not yet started the process of updating man- agement and classified job descriptions that were not included in the Ewing study. 3. Human Resources plans to develop the procedures and time lines to review existing job descriptions to determine those that are missing and those in need of revision. Hu- man Resources has developed written procedures for creating new job classifications. These procedures cover the format and the type of information that must be included. 4. The Human Resources staff submits new, proposed job descriptions to the board and includes on each description the date it was adopted by the board. Standard Implemented: Partially January 2000 Rating: 6 September 2003 Rating: 6 March 2004 Rating: 2 September 2004 Rating: 2 September 2005 Self-Rating: 2 September 2005 New Rating: 2 Implementation Scale: Personnel Management 19 7.8 State and Federal Compliance Legal Standard Current position descriptions are established for each type of work performed by certificated and classified employees. (Education Code § 35020.) Progress on Implementing the Recommendations of the Recovery Plan 1. Human Resources has determined that the proposed job descriptions developed by the Ewing Study are too outdated to be adopted. In the fall of 2005, a process and time line will be developed to identify classifications that lack job descriptions and deter- mine descriptions that need to be updated. 2. A plan will be developed in the fall of 2005 to update all management job descrip- tions. 3. Once Human Resources has determined that there is a job description for all classifi- cations, a process needs to be developed to ensure the job description remains current. Human Resources has developed a procedure for handling individual requests for position review. 4. When job descriptions are adopted by the board, the date of adoption is included on the job description. Because the board also approves revisions to existing job descrip- tions, the date the revision was approved also should be included on the job descrip- tion. Standard Implemented: Partially January 2000 Rating: 6 September 2003 Rating: 6 March 2004 Rating: 2 September 2004 Rating: 2 September 2005 Self-Rating: 2 September 2005 New Rating: 2 Implementation Scale: 20 Personnel Management 7.12 State and Federal Compliance Legal Standard The district is in compliance with the Family and Medical Leave Act (FMLA), including posting the proper notifications. Progress on Implementing the Recommendations of the Recovery Plan 1. The district updated board policies during July and August 2004. In January 2005, the Human Resources staff was provided with training on the requirements of the Family and Medical Leave Act (FMLA). Since the training, a number of key staff members have been replaced, and new staff members need to be trained. The Human Resources staff has developed forms for implementation of FMLA; however, there are no written procedures describing how to process a request. The district’s administration building has posters on most main bulletin boards describing an employee’s rights under the act. There is no process to ensure similar postings are included at work sites throughout the district. 2. Human Resources needs to incorporate the FMLA module into its human resources software package. The plans are for this module to be installed during the 2005-06 school year. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 4 March 2004 Rating: 2 September 2004 Self-Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 3 September 2005 New Rating: 3 Implementation Scale: Personnel Management 21 7.13 State and Federal Compliance Legal Standard The district is in compliance with the Americans with Disabilities Act (ADA) of 1990 in applica- tion procedures, hiring, advancement or discharge, compensation, job training and other items, conditions and privileges of employment. Progress on Implementing the Recommendations of the Recovery Plan 1. The district used different descriptors on its classified and certificated applications to describe its nondiscrimination compliance with the Americans with Disabilities Act (ADA). The certificated application uses the word “disability,” and the classified ap- plication refers to “physical or mental disability.” 2. The classified and certificated application packets include a voluntary employment data form. The form contains a question asking the applicant if he/she has any current or former physical or mental impairment that substantially limits at least one major life activity. This statement should be reviewed with district counsel to ensure that it does not need to be more narrowly worded to reflect the job for which the application is being made. 3. The district no longer requires a physical examination for new employees. 4. The Human Resources staff has not reviewed employee job descriptions to ensure compliance with the ADA. As the new applicant tracking software is installed, the ADA-compliant job descriptions reportedly will be entered in the system. However, no information was available on how the job descriptions will be made ADA compli- ant before they are entered in the system. 5. The district’s legal office has indicated that it is planning to conduct ADA training for all employees involved in hiring in the fall of 2005. 6. Human Resources files medical information for all new hires separate from the em- ployee’s personnel file. Medical information on employees who have been with the district for several years is removed from personnel files if and when employees make a request to review these files. 7. The Human Resources staff was not aware of any information that is currently shared with interviewers on questions regarding ADA. In the past, when issues have arisen regarding work place accommodation, the interviewer has contacted Human Resourc- es directly for direction. 22 Personnel Management Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 5 March 2004 Rating: 5 September 2004 Rating: 5 September 2005 Self-Rating: 4 September 2005 New Rating: 4 Implementation Scale: Personnel Management 23 8.1 Use of Technology Professional Standard An online position control system is utilized and is integrated with the payroll/financial systems. Progress on Implementing the Recommendations of the Recovery Plan 1. The district’s decision to initially use the position control capabilities of the Integrated Financial Administrative Solution (IFAS) software has changed with the implemen- tation of Results Based Budgeting (RBB). The Business Division has shifted from control by FTEs to control by dollars at each school site. The IFAS software has a position control component that still relies on assigning each position a unique position control number. This system still provides a control mecha- nism that can be used by Human Resources for filling existing positions. Although site-based RBB has been in use for more than a year, some issues still need to be resolved. With the shift from FTEs to dollars, the school sites have become much more concerned about having higher-paid teachers assigned to their staffs. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 5 September 2004 Rating: 5 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: 24 Personnel Management 8.4 Use of Technology Professional Standard The Human Resources Division has in place a program of providing funds and time for staff training and skill development in the use of computers. Progress on Implementing the Recommendations of the Recovery Plan 1. Human Resources has made the increased use of technology and training a high prior- ity for 2004-05 and 2005-06. For 2005-06, a training budget of more than $80,000 has been adopted for a staff of 23. A group has been created within Human Resources to develop a training plan for all employees. Individuals also have been asked to sub- mit their professional development needs. During the past year, employees have received training in the use of computers for the Substitute Employee Management System, Fingerprinting Operator’s procedures, Human Resources Web-based database, entry and retrieval of data in the Integrated Financial Administrative Solution (IFAS), and use of the new Office 2003 software. Additional training is planned on the use of the new Searchsoft Applicant Tracking System once it is installed. The high number of new staff members and their minimal experience in Human Re- sources and the California K-12 educational system creates a need for comprehensive, ongoing professional training. The Human Resources Division has also implemented a Microsoft library with com- pact discs that employees may check out to take home for training. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 1 March 2004 Rating: 1 September 2004 Rating: 3 September 2005 Self-Rating: 5 September 2005 New Rating: 5 Implementation Scale: Personnel Management 25 9.7 Staff Training Professional Standard The division develops handbooks and materials for all training components. Progress on Implementing the Recommendations of the Recovery Plan 1. Handbooks and training materials have been issued for all workshops and training ses- sions. A great deal of training for Human Resources staff occurred prior to the reor- ganization and employment of Human Resources team members. The Legal Division has responsibility for preparing a Train-the-Trainer Sexual Harassment Prevention Module for use by the new Human Resources team. Training is planned for Septem- ber. Human Resources will then train its respective central office departments and networks. The new Human Resources team and continuing Human Resources staff have par- ticipated in a considerable amount of training during July 2005. Topics included the following: • Personality temperament training • The Automated Communications Exchange System (AES) • No Child Left Behind compliance (information distribution) • Posting jobs on Ed-Join and searching for jobs on Ed-Join • How to use the Live Scan/fingerprinting machine • "On-boarding" • Substitute system training • Beginning Teacher Support and Assistance (BTSA) Discipline and due process workshops are continuing, and appropriate materials are provided. The Legal Division staff will provide the training. A great deal of training information has been provided to the new Human Resources staff, and it will take some time for the staff to incorporate this training into the Hu- man Resources system. Standard Implemented: Partially January 2000 Rating: 3 September 2003 Rating: 3 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating: 6 September 2005 New Rating: 6 Implementation Scale: 26 Personnel Management 10.1 Evaluation/Due Process Assistance Professional Standard The Human Resources Division provides a process for the monitoring of employee evaluations and the accountability reporting of their completion. Progress on Implementing the Recommendations of the Recovery Plan 1. Employee evaluation monitoring procedures are in the process of being developed. Executive officers of the Schools Division are responsible for monitoring the comple- tion and quality of the evaluations. The Human Resources staff is responsible for notifying sites when certificated evalua- tions are not submitted by their due dates. There is no indication that a summary report is shared with the cabinet showing the number of employee evaluations completed by school and the number that are less than satisfactory. 2. The implementation of the evaluation calendar document provides a time line (due dates) for new small schools, a 10-month calendar for new small schools, and certifi- cated employee evaluations. Workshop materials from outside consulting firms indicates that training was provided to site administrators in the following areas: • Classified employee forms and protocols (documentation) • Certificated employee forms and protocols (documentation) • The Classified Employee Evaluation and Discipline Manual • The Certificated Employee Evaluation and Discipline Manual Human Resources partnered with the Legal Division to conduct Notice of Unprofes- sional Conduct and Peer Assistance and Review Training in December with all princi- pals and again in June at individual network meetings. There is no formalized process to communicate, train and monitor employee evalua- tions for classified employees. 3. During the conversion to Integrated Financial Administration Solutions (IFAS), the former Human Resources system was “turned off” and has not accepted performance review information from Human Resources. There is an immediate need to finish loading the IFAS module on performance management. Personnel Management 27 Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating: 5 September 2005 New Rating: 5 Implementation Scale: 28 Personnel Management 12.2 Employer/Employee Relations Professional Standard The Human Resources Division involves site-level administrators in the bargaining and labor relations decision-making process. Progress on Implementing the Recommendations of the Recovery Plan 1. The Legal Division has developed and uses the Oakland Unified School District Ne- gotiations Timeline for monitoring ongoing activities and actions related to negotia- tions. Site-level and district-level administrators serve on negotiation teams and on various subcommittees. The Oakland Education Association negotiations with the State Me- diator included the District Teams of General Counsel (Chief Negotiator), Chief Busi- ness Officer, Executive Officer of Human Resources, High School Network Executive Director, supported by the site administrator/acting Director for Adult Education, Coordinator and Director of Early Childhood Education, and Director of Small/Au- tonomous Schools. The district’s proposal for a 2005-06 school calendar was developed by a subcommit- tee composed of executive directors, site administrators from elementary, middle and high schools, and labor relations. Bargaining committees have been established for negotiations with the following six bargaining units: the American Federation of State, County and Municipal Employees (AFSCME), the building trades, the Oakland Child Development Paraprofessional Association (OCDPA), the Service Employees International Union (SEIU), Local 790, the American Federation of Teachers (AFT) and the Teamsters. 2. Prior to commencing negotiations with SEIU (Local 790), the AFSCME and the building trades, communication via memoranda went to site administrators and de- partment managers for input and recommendations. The “Oakland Unified School District Negotiations Timeline” includes appropriate sections for receiving input for negotiating proposals for each contract. 3. Labor relations updates are provided in the monthly “Staff Connections” newsletter. A formal process to communicate arbitration decisions and contract changes needs to be further developed. Personnel Management 29 Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating: 6 September 2005 New Rating: 6 Implementation Scale: 30 Personnel Management 13.9 Employee Benefits/Workers’ Compensation Professional Standard The district’s Workers’ Compensation experiences and activities are reported periodically to the Superintendent’s cabinet. Progress on Implementing the Recommendations of the Recovery Plan 1. Beginning in November 2004, the Risk Manager prepared a report every two months that showed claims activity, settlements and dollars spent for the current year and the two prior years. The report was provided to the head of Business Services. The report does not address which occupation or work sites may be generating the claims or if any other factors may be affecting claim frequency. The reports also do not show how widely the information was shared. The reports stopped in April 2005, when the Risk Manager left the district. The new Risk Manager should continue the practice of preparing periodic reports and the reports should include information about occupations and job sites, including higher- than-expected claims activity and possible recommendations/action to mitigate future claims. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 0 September 2004 Rating: 4 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: Personnel Management 31 13.12 Employee Benefits/Workers’ Compensation Professional Standard The district has provided the third party administrator with a copy of all current job descriptions and updates them, if needed, quarterly. Progress on Implementing the Recommendations of the Recovery Plan 1. In the past, Human Resources has provided the Worker’s Compensation Office with a copy of the available job descriptions. Many job descriptions are missing or extreme- ly outdated. In the past year, Risk Management contracted with an outside vendor to develop a listing of essential functions (duties) for most job classifications. These new listings are used by the district’s third-party claims administrator and medical provid- ers to determine the employees' ability to return to work and what, if any restrictions may be required. As the district adopts new job classifications, risk management will need a process to ensure a listing of essential functions is also prepared and provided to the third party administrator. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 4 September 2005 New Rating: 4 Implementation Scale: 32 Personnel Management 13.13 Employee Benefits/Workers’ Compensation Professional Standard The Workers’ Compensation Unit is actively involved in providing injured workers with an op- portunity to participate in a modified duty program. Progress on Implementing the Recommendations of the Recovery Plan 1. The district’s Risk Management Department that reports to the Business Division implemented a return-to-work program in October 2004. The program includes a set of detailed written procedures and governing time lines. The program allows employ- ees with temporary, partial disabilities to return to work in a modified position for up to 90 days. The Risk Management Office reviews doctors’ work restrictions to find a suitable placement. Risk Management has developed job specifications with physical demands for temporary work assignments for employees who cannot return to their regular positions. All employees were notified of this program in a November “Staff Connections” newsletter from the State Administrator. In order to assist doctors in making medical determinations regarding a patient’s abil- ity to return to his/her regular position, Risk Management has developed a listing of the essential functions (duties) for most classifications. The Risk Management Department maintains a listing of all employees who are off work due to an on-the-job injury and the status of their claims. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 0 September 2004 Rating: 6 September 2005 Self-Rating: 7 September 2005 New Rating: 7 Implementation Scale: Personnel Management 33 34 Personnel Management Table of Standards for Personnel Management Personnel Management 35 ��������������������������������������������������������������������������������������������������������������������� ��������������������������������������������������������������������������������������������������������������������� ���������������������������������� ���������������������������������� 36 Personnel Management Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating An updated, detailed policy and procedures man- 1.1 ual exists which delineates the responsibilities 2 2 NR NR NR and operational aspects of the personnel office. The district has clearly defined and clarified roles for board and administration relative to 1.2 2 3 NR NR NR recruitment, hiring, evaluation, and dismissal of employees. The division has developed a Mission Statement 1.3 that sets clear direction for human resources 7 8 NR NR NR staff. The division has an organizational chart and a functions chart that include the names, posi- 1.4 6 6 NR NR NR tions and job functions of all staff in the Human Resources Division. The division has established goals and objec- 1.5 tives directly related to the district’s goals 2 2 3 5 5 that are reviewed and updated annually. Individual staff members have developed goals and objectives in their areas of responsi- 1.6 1 1 2 3 4 bility and also a personal professional devel- opment plan. The division has a monthly activities calendar and accompanying list of ongoing Human 1.7 3 3 3 3 3 Resources activities to be reviewed by staff at planning meetings. The division head is a member of the Superin- 1.8 tendent’s Cabinet and participates in decision 10 10 NR NR NR making early in the process. The Human Resources Division utilizes the lat- 2.1 est technological equipment for incoming and 2 5 NR NR NR outgoing communications. The Human Resources and Business Divisions have developed and distributed a menu of ser- 2.2 vices which includes the activities performed, 0 3 6 7 7 the individual responsible, and the telephone numbers where they may be contacted. The Human Resources Division provides an annual report of activities and services provided 2.3 0 0 NR NR NR during the year. The Human Resources Division staff is cross 2.4 2 2 NR NR NR trained to respond to client need without delay. The Human Resources Division holds regu- 2.5 4 4 5 6 7 larly scheduled staff meetings. Various publications are provided on a number 2.6 5 6 NR NR NR of subjects to orient and inform various clients. ��������������������������������������������������������������������������������������������������������������������� ��������������������������������������������������������������������������������������������������������������������� ���������������������������������� ���������������������������������� Personnel Management 37 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The governing board will provide equal oppor- tunities for all persons without regard to race, 3.1 color, creed, sex, religion, ancestry, national 6 6 NR NR NR origin, age, or disability. Education Code 44100- 44105. Employment procedures and practices are con- ducted in a manner that ensures equal employ- 3.2 4 6 NR NR NR ment opportunities. Written hiring procedures are provided. The job application form requests information 3.3 that is legal, useful, pertinent, and easily under- 5 7 NR NR NR stood. The Human Resources Division recruitment plan 3.4 includes a training component for the district 0 4 NR 5 NR recruitment team. The recruitment plan identifies placement cen- ters, colleges and publications where there are 3.5 3 5 NR 7 NR significant numbers of candidates to meet the district’s diverse needs. The recruitment plan provides a cost estimate 3.6 (included in the division budget) for the recruit- 5 7 NR NR NR ment program. A summary or evaluation of the results of the 3.7 year’s recruitment efforts is provided in writ- 0 4 4 5 5 ten form. 3.8 Selection procedures are uniformly applied. 5 6 NR NR NR The district systematically initiates and fol- lows up on experience and reference checks 3.9 2 3 3 5 6 on all applicants being considered for employ- ment. The district appropriately monitors teacher as- 3.10 signments and reports as required under Educa- 0 5 NR NR NR tion Code 44258.9. The governing board will provide equal employ- ment opportunities for persons without regard 4.1 to race, color, creed, sex, religion, ancestry, na- 7 7 NR NR NR tional origin, age, or disability. Education Code 44100-44105. Employment procedures and practices are conducted in a manner that ensures equal 4.2 employment opportunities. Written hiring 6 6 4 4 4 procedures are provided. Education Code 44100-44105. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ �������������������������������������������������������������������� �������������������������������������������������������������������� 38 Personnel Management Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The job applicant form requests information that 4.3 7 7 NR NR NR is legal, useful, pertinent, and easily understood. The recruitment plan identifies various recruit- 4.4 ment sources utilized in the search process for 2 5 NR NR NR the numerous position classifications. The district systematically initiates and fol- 4.5 lows-up on all applicants being considered for 5 5 NR NR NR employment. Appropriateness of required tests for a specific 4.6 10 10 NR NR NR position is evident. A summary of the recruitment efforts for the 4.7 0 0 NR NR NR year is provided in written form. 5.1 Initial orientation is provided for all new staff. 4 7 NR NR NR The Human Resources Division provides orientation handbooks for new employee 5.2 2 4 5 5 5 orientation in all classifications: substitutes, teachers and classified employees. The Human Resources Division has developed a 5.3 video of the district’s activities and expectations 0 2 NR NR NR for new employee orientation. Personnel files are complete, well organized, and 6.1 2 3 NR NR up-to-date. Human Resources Division nonmanagement staff members have individual desk manuals 6.2 0 0 0 0 4 for all of the personnel functions for which they are held responsible. The Human Resources Division has an opera- tions procedures manual for internal depart- 6.3 0 0 1 2 5 ment use in order to establish consistent application of personnel actions. The Human Resources Division has a process in place to systematically review and update 6.4 job descriptions. These job descriptions 5 1 1 1 1 should be in compliance with the Americans with Disabilities Act (ADA) requirements. The Human Resources Division provides an 6.5 office environment with appropriate furniture, 7 9 NR NR NR equipment and materials. The Human Resources Division has proce- dures in place that allow for both personnel and payroll staff to meet regularly to solve 6.6 0 0 1 4 4 problems that develop in the processing of new employees, classification changes and employee promotions. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ �������������������������������������������������������������������� �������������������������������������������������������������������� Personnel Management 39 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating Wage and salary determination and ongoing implementation are handled without delays and 6.7 5 5 NR NR NR conflicts (substitutes, temporary employees, stipends, and shift differential, etc.) Regulations or agreements covering various 6.8 7 7 NR NR NR types of leaves are fairly administered. Personnel staff members attend training ses- sions and workshops to keep abreast of the most 6.9 6 6 NR NR NR current acceptable practices and requirements facing personnel administration. The Human Resources Division provides em- ployees with appropriate forms for documenting 6.10 10 10 NR NR NR requested actions (i.e., leave, transfers, resigna- tions, and retirements). Established staffing formulas dictate the as- 6.11 signment of personnel to the various sites and 7 7 NR NR NR programs. Policies and regulations exist regarding the 7.1 10 10 NR NR NR implementation of fingerprinting requirements. The governing board requires every employee to present evidence of freedom of tuberculosis as 7.2 10 10 NR NR NR required by state law. Education Code §§ 44839 and 49406. No person shall be employed as a teacher’s aide unless that person has passed the basic reading, 7.3 writing and mathematics skills proficiencies 9 9 NR NR NR required for graduation from high school. Educa- tion Code § 45361.5 A clear implemented policy exists on the pro- 7.4 hibition of discrimination. Government Code § 8 8 NR NR NR 11135. All certificated persons hold one or more valid certificates, credentials or life diplomas that al- 7.5 low the holder to engage in the school services 3 6 NR NR NR designed in the document. Education Code § 44006. Duties to be performed by all persons in the classified service and other positions not re- 7.6 quiring certification are fixed and prescribed 6 6 2 2 2 by the governing board. Education Code § 45109. Professional growth requirements for mainte- 7.7 nance of a valid teaching credential exist. Educa- 10 10 NR NR NR tion Code § 44277. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ���������������������������������� ���������������������������������� 40 Personnel Management Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating Current position descriptions are established for each type of work performed by certifi- 7.8 6 6 2 2 2 cated and classified employees. Education Code § 35020. The district has established a process by which all required notices/in-service training has been performed and documented, i.e., child abuse 7.9 7 7 NR NR NR reporting, blood-borne pathogens, Hepatitis B vaccination, etc. Education Code § 44691 and Government Code § 8355. The district is in compliance with the Title IX policies on discrimination and Government Code 7.10 7 7 NR NR NR § 12950 (a) posting requirements concerning harassment or discrimination. The district is in compliance with the Consoli- 7.11 dated Omnibus Budget Reconciliation Act of 5 7 NR NR NR 1986 (COBRA) The district is in compliance with the Family 7.12 and Medical Leave Act (FMLA), including 2 4 2 3 3 posting the proper notifications. The district is in compliance with the Ameri- cans with Disabilities Act (ADA) of 1990 in application procedures, hiring, advancement 7.13 4 5 5 5 4 or discharge, compensation, job training and other items, conditions and privileges of employment. The district has identified exempt and nonex- empt employees and has promulgated rules and 7.14 regulations for overtime, which are in compli- 3 3 NR NR NR ance with the Fair Labor Standards Act (FLSA) and California statutes. An online position control system is utilized 8.1 and is integrated with the payroll/financial 0 0 5 5 5 systems. The Human Resources Division provides an automated substitute calling system. The system 8.2 should have the ability to input and retrieve data. 6 6 NR NR NR Data should be distributed to site and program managers. The Certificated and Classified Departments of 8.3 the Human Resources Division have in place an 4 4 NR NR NR applicant tracking system. The Human Resources Division has in place a program of providing funds and time for staff 8.4 0 1 1 3 5 training and skill development in the use of computers. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ Personnel Management 41 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The Human Resources Division utilizes the lat- est technology to provide staff and clients with 8.5 4 5 NR NR NR improved communication (e.g., voice mail, fax, and e-mail). The Human Resources Division has computer- ized its employee database system including, but 8.6 not limited to, credentials, seniority lists, evalu- 4 4 NR NR NR ations, personnel by funding source, program, location, and Workers’ Compensation benefits. The district has developed a systematic program 9.1 for identifying areas of need for in-service train- 4 5 NR NR NR ing for all employees. The district shall make provisions for depart- ment-directed staff development activities, in- 9.2 cluding a plan for “buy back” days for certificat- 4 6 NR NR NR ed and classified employees. Education Codes: 52000, 52034(g), and 44579-44579.4. Teachers and other professional school services 9.3 personnel are provided diversity training. Educa- 3 4 NR NR NR tion Code §44560. The district has adopted policies and regulations 9.4 regarding the recognition and reporting of sexual 7 7 NR NR NR harassment. Government Code 12940. The district provides training for all management 9.5 and supervisory staff responsible for employee 3 7 NR NR NR evaluations. The district provides training opportunities to 9.6 managers and supervisors in leadership develop- 4 5 NR NR NR ment and supervision. The division develops handbooks and materi- 9.7 3 3 4 5 6 als for all training components. The Human Resources Division provides a process for the monitoring of employee evalu- 10.1 0 4 4 5 5 ations and the accountability reporting of their completion. Standards for management and supervisors will be developed and implemented to ensure that 10.2 2 6 NR NR NR adequate levels of supervision will be provided at all levels within the district. A clear policy and practice exists for the written 10.3 evaluation and assessment of certificated em- 5 8 NR NR NR ployees. Education Code § 44663 The evaluation process is a regular function re- 10.4 lated to each employee involving criteria related 2 5 NR NR NR to the position. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ �������������������������������������������������������������������� �������������������������������������������������������������������� 42 Personnel Management Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The Human Resources Division has developed 10.5 an evaluation handbook for management and 2 8 NR NR NR supervisory training. The Human Resources Division has developed 10.6 due process training for managers and supervi- 3 5 NR NR NR sors. The Human Resources Division has developed 10.7 a process for providing assistance to marginal 0 4 NR NR NR employees (remediation). The district has developed a plan to address a Peer Assistance and Review Program (PAR). 10.8 0 8 NR NR NR Education Codes 44498, 44500-44508, 44662, and 44664. The Human Resources Division has developed a program for retirement counseling, including 11.1 5 5 NR NR NR STRS counseling, PERS counseling and “life after retirement.” The Human Resource Division has developed 11.2 2 7 NR NR NR recognition programs for all employee groups. The Human Resources Division has available 11.3 to employees various referral agencies to assist 3 3 NR NR NR those employees in need. 12.1 Salary schedules and benefits are competitive. 3 4 NR NR NR The Human Resources Division involves site- 12.2 level administrators in the bargaining and 4 4 4 5 6 labor relations decision-making process. The Human Resources Division provides all managers and supervisors (certificated and clas- 12.3 sified) training in contract management with 5 7 NR NR NR emphasis on the grievance process and adminis- tration. The Human Resources Division provides a clearly defined process for the bargaining with 12.4 8 8 NR NR NR its employee groups (e.g., traditional and inter- est-based). The Human Resources Division has a process in place that provides management and the Board 12.5 of Education with information on the impact of 7 7 NR NR NR bargaining proposals (e.g., fiscal, staffing, man- agement flexibility, and student outcomes). The Human Resources Division provides clearly 12.6 defined forms and procedures in the handling of 7 7 NR NR NR grievances for its managers and supervisors. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ �������������������������������������������������������������������� �������������������������������������������������������������������� Personnel Management 43 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating Bargaining proposals and negotiated settlements are “sunshined” in accordance with the law to allow public input and understanding of the cost 12.7 implications and, most importantly, the effects 5 7 NR NR NR on the children in the district. Education Code § 3547 and 3547.5, and Government Code § 41242. The district systematically has examined the feasibility of implementing the provisions of the 12.8 law that provides for increasing the minimum 5 8 NR NR NR teacher’s salary to $32,000. Education Code § 45023.4. The district has its self-insured workers’ com- pensation programs reviewed by an actuary in 13.1 4 7 NR NR NR accordance with Education Code Section 17566 and filed with the County Office of Education. Employee benefits are well understood by employees through periodic printed communica- 13.2 2 6 NR NR NR tions provided by the Human Resources Divi- sion. Employees are provided reasonable notice of when coverage for dependents will end, and 13.3 9 10 NR NR NR the documentation needed to continue coverage beyond the normal termination date. Employees are provided immediate notifica- tion that premiums due under COBRA were not 13.4 0 6 NR NR NR received timely and coverage stopped as of date specified. Human Resources employees provide new hires with a detailed explanation of benefits, the effective date of coverage, along with written 13.5 6 8 NR NR NR information outlining their benefits and when enrollment forms must be returned to implement coverage. Timely notice of annual open enrollment period 13.6 0 8 NR NR NR is sent to all eligible employees. Employees are provided the state’s injury report form (DWC Form 1) within one working day 13.7 8 8 NR NR NR of the district having knowledge of an injury or illness. The district notifies the third party administra- tor of an employee’s claim of injury within five 13.8 6 6 NR NR NR working days of having knowledge and forwards a completed Form 5020 to them. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ �������������������������������������������������������������������� �������������������������������������������������������������������� 44 Personnel Management Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The district’s Workers’ Compensation experi- 13.9 ences and activities are reported periodically 0 0 0 4 5 to the Superintendent’s cabinet. The district does not pay temporary disability 13.10 benefits during those times when an employee is 6 7 NR NR NR in an extended nonpay status. The Workers’ Compensation Unit maintains the California OSHA log for all work sites and 13.11 10 10 NR NR NR a copy is posted at each work site during the month of February as required. The district has provided the third party administrator with a copy of all current job 13.12 2 2 3 4 4 descriptions and updates them, if needed, quarterly. The Workers’ Compensation Unit is actively involved in providing injured workers with 13.13 0 0 0 6 7 an opportunity to participate in a modified duty program. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ �������������������������������������������������������������������� �������������������������������������������������������������������� Personnel Management 45 46 Personnel Management PUPIL ACHIEVEMENT Summary of Findings and Recommendations In May 2005, a review team conducted an on-site assessment of the progress the Oakland Uni- fied School District has made implementing the Pupil Achievement recommendations of the Oakland Unified School District Assessment and Recovery Plan, distributed in January 2000, and updated in September 2003. To determine the extent of the district’s progress to improve student achievement, the review team examined district documents and interviewed members of the administration, the faculty, and other key personnel directly involved with the design and delivery of curriculum in the dis- trict’s schools. In addition, a sample of the district’s classrooms were visited to observe instruc- tion and to establish a context for the information gleaned from the documents and interviews. A follow-up visit was conducted in August to assess the progress made by the district since the May visit. The district continues to make progress toward implementing the Pupil Achievement recom- mendations of the Recovery Plan. The district leadership has a clear vision of where the district should be headed. Moreover, faculty members in the district are aware of this vision and appear willing to work toward improving operations. Notable progress is being made toward the estab- lishment of instructional program management based on the systematic use of data. Data bases are growing and becoming more refined. The budgeting of resources in the district is becoming increasingly curriculum-driven and results-based. Control of Resources, Programs, and Personnel The district has not yet compiled a comprehensive set of board policies that provides a clear op- erational framework for the management of curriculum. District instructional planning continues to be guided by the Oakland Unified School District Instructional Framework. The Framework provides direction for district operations in separate plans—Assessment, Professional Develop- ment, Results-Based Budgeting, Equity, and Curriculum. The board has adopted the assessment part of the Instructional Framework. This part of the plan calls for assessment to be aligned with textbook adoptions in the core subject areas. District administrators continue to indicate their support for maintaining alignment between standards, practices, and assessments. District planning processes and procedures lack important quality components necessary for consistent management and control of resources. However, sound planning in key areas of the district is evident, and the review team observed movement toward established goals as a result of this planning. The board has adopted a policy that acknowledges long-range planning as an integral component of the growth and development of the district. Some training has been pro- vided for administrators and instructional staff pertaining to the development of the site Single Plan for Student Achievement. This process addresses some components of an effective planning system, namely, analyzing data and setting goals for student achievement. However, the process is not comprehensive as it does not adequately address all the critical components of an effective planning system or the capacity to assess the needs of the school as a whole. Pupil Achievement 1 The table of organization has not been updated. It is scheduled for total revision as part of the current district redesign process. District personnel are working on new job descriptions consis- tent with the new district design. Clear and Valid Objectives for Students A comprehensive curriculum management plan has not yet been developed. The formal plan is slated to be constructed as part of the district redesign process. However, it is currently being developed and purportedly includes the quality components of a curriculum management plan as recommended by FCMAT. In lieu of formal curriculum guides, the district administration adopted several standards-based textbook series. The textbooks approved by the state are well aligned with the state’s standards and the state’s assessment instruments. The inherent lack of fo- cus of a textbook curriculum has been addressed by the district staff by developing pacing guides to give teachers the necessary specificity and direction. The district’s need to rapidly reform its instructional operations made the adoption of a textbook curriculum a sound strategy. The review team visited the classrooms of 22 schools across the district and observed that the textbook curriculum strategy had apparent teacher support and was resulting in teaching directed at the California Standards. Adoption and subsequent district-wide implementation of the Open Court and High Point instructional programs, along with Harcourt Math and the comprehensive benchmark assessment systems, have at the elementary level notably addressed the lack of cohe- sion, feedback, and staff development described in the 2000 Recovery Plan. However, none of the standards-based textbooks and scope and sequence documents analyzed by the review team contained enough information to enable teachers to develop complete and comprehensive work plans to guide their teaching. When the review team compared English/language arts and mathematics instruction in district class- rooms to the California standards, 66 % of instruction observed in the 180 classrooms was at grade level, 21 % below grade level, 3 % above grade level, and 11 % not on standard. The highest per- centage of below-level instruction was observed at the middle schools (52%). Program Development and Implementation The leadership of the district’s special education programs is addressing several priority prob- lems in the program. The policy manual has been completed. Training for staff regarding com- pliance issues has been initiated. Nonpublic school placements have been reduced. Progress has been made toward recovering dollars lost due to inaccurate accounting and reporting, addressing staffing in a definitive manner, reviewing nonpublic school placements, and reviewing transpor- tation costs. A master plan is still in the process of being developed. Overdue IEPs and trienni- als have been substantially reduced. However, numerous potential compliance issues within the programs remain. The district has made progress developing a sound staff development program. The board ap- proved a staff development policy and an administrative regulation. The policy and regulations call for the creation of a plan; however, the existing plan is inadequate in that it does not meet the requirements specified in Pupil Achievement standard 1.7. Professional development in the dis- trict is still not linked to staff appraisals. However, plans to conduct training for new and aspir- ing principals related to teacher supervision and administrative performance continue to evolve with the district redesign plan. 2 Pupil Achievement The district received an exit report and closure from the Comité on February 3, 2005. An agreement was signed calling for the continued implementation and monitoring of programs to improve the education of English Language Learners. Progress has been made enforcing the provisions of the Voluntary Resolution Plan; however, no evidence was provided to indicate that personnel were being held accountable through timely evaluations. Use of Assessments to Improve Programs The district continues to make progress toward building a comprehensive assessment, data, and accountability system. Presently the district has met sixteen of the twenty quality characteristics of a comprehensive program and student assessment plan recommended in the 2000 assessment and recovery report. All principals continue to be trained in the use of data and assessment with assistance from the executive directors. The district provides data disaggregated by race/ethnicity, gender, socioeconomic factors, and language. The data are available in usable form to gauge operational performance and to im- prove instructional programs and decision-making. The assessments, however, do not include all required subjects at all grade levels. The present focus of assessments is on reading/language arts and math. The Comité Exit Report indicated that there is a continuing weakness in assess- ments used for the English Language Development curriculum. Student achievement continues to be a major concern. Although test scores have increased slightly this year, the district still has a large percentage of schools performing in deciles 1, 2, or 3 on the CST. During 2004-2005, 13 schools were identified as Year 4 Program Improvement Schools sanctioned under the No Child Left Behind Act (NCLB) for not making Adequate Yearly Progress. Plans are underway to close or restructure those schools. Student achievement based on STAR 2005 results continues to remain below state and district expectations. Improved Organizational Productivity The district is successfully implementing a results-based budgeting (RBB) system. The Budget Planning Manual has been finalized and the system is operational. The planning manual does not contain procedures for cost/benefits analysis nor procedures and criteria for evaluating the conse- quences of eliminating programs. Also, the review team found no directives prohibiting school- based decisions that cause inequities among schools in course offerings, materials, and practices. Principals are receiving training for their expanded role in the RBB process and are developing their first results-based budgets. When fully functioning, the review team concluded that the sys- tem has the potential to significantly increase the Oakland Unified School District’s educational productivity. Pupil Achievement 3 4 Pupil Achievement 1.1 Curriculum Management—Policy Professional Standard The district, through its adopted policy, provides a clear, operational framework for the manage- ment of the curriculum. Progress on Implementing the Recommendations of the Recovery Plan 1. The review team was not presented with a comprehensive set of board policies that provides a clear, operational framework for the management of curriculum. Some policies related to curriculum design and delivery have been revised, but these poli- cies do not provide for the overall management of a coherent curriculum plan for the district. Policies deal with separate subjects or programs, are generic in nature, and don’t relate to a district vision for curriculum management. To fully comply with this professional standard, district staff must develop and implement a comprehensive set of policies that guide curriculum design and delivery. a. The Oakland Unified School District Instructional Framework that will be re- vised during the current district redesign process lays out basic assumptions about student achievement and the context for learning. This document adheres to some elements of setting a direction for the district in that it specifies that the state standards are the framework for the design of curriculum, and that implementation is through state-adopted texts, professional development with follow-up coach- ing, and assessment data collection used to monitor program implementation. The OUSD Instructional Framework is designed to provide the district with direction in separate plans: assessment, professional development, Results-Based Budget- ing, equity, and curriculum. However, there is no linkage between the Instruc- tional Framework and the district goals and objectives in the Strategic Alignment Plan. The district also lacks a system designed to monitor and review the curricu- lum cycle. To fully comply with this standard, district personnel need to develop a comprehensive curriculum management plan, ensuring a clear link between the design and implementation of curriculum and the strategic goals in the district Strategic Alignment Plan. The plan needs to establish a curriculum development cycle as well as a cycle for the periodic review of curriculum by the board (see Standards 1.2 and 2.3a). b. A policy has not been developed that links organizational structures: the job descriptions (roles and responsibilities) with the table of organization (account- ability relationships). A table of organization dated 2003-2004 is the most recent table available. This table of organization is scheduled for revision as part of the district redesign taking place in July 2005. To fully comply with this professional standard, district personnel need to develop a policy that links separate elements of the organizational structure, such as job descriptions (roles and responsibilities) and the Table of Organization (accountability relationships). A revised Table of Organization needs to be completed. Pupil Achievement 5 c. The Board of Directors has adopted a policy (BP 0400) that acknowledges plan- ning as a necessary component of managing the district. The policy does not address long-range planning or the component of comprehensive planning neces- sary to achieve implementation. To fully comply with this professional standard, district personnel need to develop a policy that at a minimum meets the Curricu- lum Management Audit criteria for planning. These characteristics are presented in Exhibit 1.1.1 below. Exhibit 1.1.1 Curriculum Management Audit Characteristics of Comprehensive Planning Design and Delivery: 1. Describes the philosophical framework for the design of the curriculum (e.g., standards-based, results-based, competency-based) 2. Specifies the roles and responsibilities of the district and campus staff as they relate to the design and delivery of curriculum. 3. Presents the format and components of alignment for the curriculum. 4. Directs how state and national standards will be included in the curriculum. 5. Identifies the design of a comprehensive staff development program linked to curriculum design and delivery. Review: 6. Identifies a periodic cycle of curriculum review for all grades and subject area courses. 7. Describes the timing, scope, and procedures for curricular review 8. Presents procedures for monitoring curriculum implementation and effectiveness. Assessment: 9. Specifies overall assessment procedures to determine curriculum effectiveness. 10. Describes the approaches by which tests and assessment data will be used to strengthen curriculum and instruction. Dissemination: 11. Establishes a communication plan for the process of curriculum design and delivery, as well as celebrations of progress and quality. d. The district has not adopted a policy that requires K-12 alignment among the curriculum goals and objectives (written), teacher delivery techniques and strate- gies in the classroom (taught), and districtwide assessments (tested). The review team members were not presented with revised courses of study showing align- ment among these components. To fully comply with this professional standard, the district staff needs to develop a policy to ensure alignment among the written, taught, and tested curriculum and to ensure the monitoring and evaluation of that alignment. 6 Pupil Achievement e. A policy requiring vertical and horizontal articulation throughout the grades and among the instructional levels has not been developed. To fully comply with this standard, the district staff needs to develop a policy to ensure the articulation and coordination of the written curriculum, its delivery (instruction), and all instruc- tional resources throoughout grades K-12. f. A board policy (BP 4131) addresses the need for and role of professional devel- opment for the certificated staff in relation to student achievement. The policy requires the district to develop a professional development plan for teachers and other staff members involved in the instructional process. The review team was presented with a staff development plan for certificated staff, but no plan for clas- sified employees. The plan for certificated employees is not comprehensive, is not well understood by key stakeholders, is not strategically used to guide district staff development, and does not provide for evaluation of the effects of its implementa- tion. To fully comply with this professional standard, district personnel need to design a policy that describes and requires a comprehensive plan for professional development of certificated and classified employees. g. A policy establishing clear expectations for monitoring the curriculum at all levels of the school district has not been adopted. The district administration has enacted practices for monitoring the implementation of specific adoptions such as Open Court, High Point, and Harcourt Math throughout most grades and courses, but not for the implementation of academic standards in any subject. To fully comply with this professional standard, district personnel need to develop a policy that establishes clear expectations and processes for the implementation of standards across the entire curriculum and for the monitoring of instruction by staff at all levels of the district. h. The board has adopted a policy on student assessment (BP 6162.5). The policy does not address current practices within the district and is not accompanied by an administrative regulation for the deployment of a district assessment plan. A partial district assessment plan is included in the Instructional Blueprint but is not referenced in board policy (BP 6162.5) as the source of direction for assessment within the district. To fully comply with this professional standard, district person- nel need to design a policy that establishes an assessment plan that provides for the comprehensive assessment of student performance on academic standards in all subjects at all grade levels. The assessment plan needs to address how that data will be used to evaluate all levels of the system, including the district as a whole, and needs to address how the plan itself will be evaluated. 2. The review team was not presented with a policy requiring the Superintendent or the State Administrator to approve all administrative bulletins in order to enable more rap- id response to organizational problems and to empower top administrators to act more efficiently and effectively. The district staff indicated that this is happening in practice, but no policy requires it. To fully comply with this standard, district personnel need to develop a policy to ensure efficient and effective administration of the district. Pupil Achievement 7 3. There is no established process to provide training for administrative staff on policy implementation. To fully comply with this standard, district personnel need to estab- lish a plan that formalizes a training program for administrative staff on policy imple- mentation. 4. The review team was not presented with a plan for monitoring the implementation of policy at all levels of the school district. There is no formal expectation that principals provide training for site staff and monitor the staff implementation of policy. To fully comply with this standard, district staff need to establish a plan that ensures the imple- mentation of policy at all levels of the school district. Include specific processes for holding administrators responsible for implementing policies and ensuring that school site staff understand and follow policies. 5. The review team was not presented with any indication that district policies were evaluated for adequacy. To fully comply with this standard, the district staff need to develop a policy that establishes the regular evaluation of policy adequacy. 6. The table of organization has not been revised to reflect current reporting relation- ships. Concurrent with the revision of the table taking place during district redesign efforts, the district staff needs to delineate those roles and relationships within the district that are related to or support student achievement. Reporting relationships at all levels should be clarified to ensure specificity of focus on student achievement. 7. Personnel working on the district redesign model reported a districtwide revision of job descriptions to match the new roles identified during the district redesign. The review team was not presented with the revised job descriptions. To fully comply with this professional standard, district personnel need to update all job descriptions for certificated and classified personnel to reflect the criteria presented in the Curriculum Management Audit Report (2000) and to reflect district operations. The district also should ensure that job descriptions include appropriate linkages to curriculum and instruction and match the organizational chart. 8. District administrators presented an Instructional Framework that indicates that state standards are the written curriculum of the district. Evidence of implementation indicates an emphasis on the use of adopted texts versus the implementation of state standards. To fully comply with this professional standard, the district personnel need to design a curriculum management plan that establishes mastery of state standards as the learning outcome for all students. 9. District administrators have taken some steps to monitor evaluations of the admin- istrative and instructional staff to ensure that they provide feedback to improve the delivery of instruction. These steps include training for principals and instructional facilitators on textbook adoptions and instructional practices related to implementa- tion. Through formal evaluations and informal collaboration, principals and teachers receive feedback aimed at improving the delivery of instruction to implement adopted textbooks. To fully comply with this professional standard, the district staff needs 8 Pupil Achievement to establish processes for monitoring the implementation of state standards within instructional delivery and provide professional development for principals and instruc- tional facilitators in strategies that emphasize improved instruction to reach mastery of grade level standards. 10. As part of the district initiative to implement Results-Based Budgeting, administrators did a cost/benefit analysis of the Teachers on Special Assignment (TSA) and devel- oped a strategic reduction of centralized TSAs as new textbook implementations be- come institutionalized. The role of some TSAs has evolved to providing feedback and modeling for teachers. A cost/benefit analysis has not been performed for the com- pliance TSAs who support site administrators with issues related to compliance with state and federal regulations. Principals’ feedback indicates that their role is valued. The district staff needs to continue to monitor the cost/benefit of TSAs and take steps to ensure that their role supports and augments the improved delivery of instruction. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating 4 September 2005 New Rating: 4 Implementation Scale: Pupil Achievement 9 1.2 Student Objectives – Core Curriculum Content Professional Standard The district has clear and valid objectives for students, including the core curriculum content. Progress on Implementing the Recommendations of the Recovery Plan 1. District administrators state that development of the Curriculum Management Plan is part of the district redesign process. To fully implement this professional standard, the district must develop a Curriculum Management Plan that includes the elements recommended by FCMAT. These elements are presented below: a. The district’s philosophical approach to the curriculum; b. A curriculum review cycle for all disciplines; c. A consistent curriculum format; d. Delineation of responsibilities for curriculum related to decision-making for dis- trict administrators, principals, teachers, district and school committees; e. Expectations for the delivery of the curriculum; f. Instructions for monitoring the curriculum that include specific procedures and criteria for principals and other staff; g. Timing, scope, team membership, and procedures for curriculum review and adoption; h. Selection procedures for instructional resources; i. A process for integrating technology into the curriculum; j. A process for communicating curriculum revisions to the Board, staff, and com- munity. The district continues to develop board policies and administrative regulations utiliz- ing the California School Board Association (CSBA) templates. Exhibit 1.2.1 lists the board-approved policies for instruction and the status of administrative regulations for these policies. 10 Pupil Achievement Exhibit 1.2.1 Status of District Board Policies and Administrative Regulations Curriculum Management, May 2005 Admin. Regulations Board Policies in Instruction Present BP 6000 Concepts and Roles NO BP 6141 Curriculum Development and Evaluation NO BP 6142.92 Mathematics Instruction NO BP 6142.9 Reading/Language Arts Instruction YES BP 6142.93 Science Instruction NO BP 6143 Courses of Study YES BP 6161 Equipment, Books and Materials NO BP 6161.1 Selection and Evaluation of Instructional Materials YES BP 6190 Evaluation of the Instructional Program NO Board policy 6141 Curriculum Development and Evaluation was approved by the board with the intent of incorporating it into the Curriculum Management Plan. Administrative regulations for this policy must be developed and refined to reflect the district’s needs. Board policy and administrative regulation 6161.1 provides an operational framework for selecting and evaluating instructional materials that could be inserted into the Curriculum Management Plan. The district developed a process for selecting and implementing California standards-based English/language arts textbooks in Fall, 2004, for English/language arts. The district document describing this process included a specific time frame, a list of activities, the people responsible for each activity, and updates on the status of each activity. Activities in the process included the rating of materials against state standards, publisher presentations, pi- loting of materials, voting, recommendation to the State Administrator, ordering of materials, professional development, and implementation at school sites. While this process is comprehensively detailed for this instance of textbook adoption, full imple- mentation of this professional standard requires that this process for selection and implementation of textbooks be written into a Curriculum Management Plan and be utilized systemwide for all textbook adoptions. Policies and administrative regulations for instruction as a group will provide a clear, operational framework for a Curriculum Management Plan. 2. As stated in earlier progress reports, the district’s curriculum philosophy, the Instruc- tional Blueprint, includes an alternative to FCMAT’s recommendation to develop curriculum guides. The district has adopted California standards-based textbooks as its curriculum with pacing guides developed to address the inadequacies of a textbook curriculum. FCMAT accepted the district’s alternative to the FCMAT curriculum monitoring process and has reviewed the district-adopted California standards-based Pupil Achievement 11 textbooks using the five basic minimum audit criteria for guides to determine whether they contained the elements of each of the five criteria that support effective delivery of the curriculum. To determine quality, the review team examined three scope and sequence documents (pacing guides) presented by Oakland Unified School district personnel for examination by the review team. Earlier versions of two of these docu- ments, Algebra I and Pre-Algebra (Algebra B), were examined in May 2004 and have since been revised by district personnel to better meet the needs of Oakland Unified teachers and students. One scope and sequence examined, Math 6/7, is new. The revised and new documents and corresponding textbooks were examined as a set. The review team analysis found that the ratings for these documents remained the same as in the earlier examination. The criteria are listed in Exhibit 1.2.2. Exhibit 1.2.2 - Curriculum Guide Audit Criteria Description Clarity and Validity of Objectives 0 no goals/objectives present 1 vague delineation of goals/learner outcomes One 2 states tasks to be performed or skills/concepts to be learned 3 states for each objective the what, when (sequence within course/grade), how actual standard is performed, and amount of time to be spent learning Congruity of the Curriculum to Testing/Evaluation 0 no evaluation approach 1 some approach of evaluation stated Two 2 states skills, knowledge, concepts which will be assessed 3 each objective is keyed to district and/or state performance evaluation Delineation of the Prerequisite Essential Skills, Knowledge, and Attitudes 0 no mention of required skill 1 states prior general experience needed Three 2 states prior general experience needed in specified grade level 3 states specific documented prerequisite or description of discrete skills/ concepts required prior to this learning (may be a scope and sequence across grades/courses Delineation of the Major Instructional Tools 0 no mention of textbook or instructional tools 1 names the basic text/instructional resource(s) Four 2 names the basic text/instructional resource(s) and supplementary materials to be used 3 states for each objective the “match” between the basic text/instructional resource(s) and curriculum objective Clear Linkages (Strategies) for Classroom Use 0 no linkages cited for classroom use 1 overall, vague statement on linkage for approaching the subject Five 2 provides general suggestions on approach 3 provides specific examples on how to approach key concepts/skills in the classroom 12 Pupil Achievement The document sets were assigned values of zero to three on each of the five criteria. A maximum of 15 points is possible, and sets of documents receiving a rating of 12 or more points are considered strong or adequate. The mean ratings for each criterion and the mean for the total ratings were then calculated. Exhibit 1.2.3 shows the team’s ratings of standards-based textbook teacher editions and revised and new scope and sequences (pacing guides). Exhibit 1.2.3 - Rating of California Standards Based Textbooks With Revised or New Scope and Sequence (Pacing Guides) Presented to the FCMAT Grades 6-12 2004 and 2005 District One Two Three Four Five Total Grades 6-12 Textbooks and Pacing Grade (Obj) (Asmt) (Pre) (Res) (App) Rating Revised or New Scope and Guide Level Sequence (Pacing Guides) 04 05 04 05 04 05 04 05 04 05 04 05 04 05 Prentice Hall Algebra 1 9-12 Yes Rev. 2 2 2 2 1 1 3 3 3 3 11 11 Prentice Hall Pre-Algebra 8-12 Yes Rev. 2 2 2 2 1 1 3 3 3 3 11 11 (Algebra B) McDougall Mathematics Concepts and Skills 6-7 2 2 1 1 2 2 3 3 3 3 11 11 No New Grades 6-12 Mean Totals 2 2 1.67 1.67 1.331.33 3 3 3 3 11 11 Exhibit 1.2.3 shows the following: • Each of the three textbooks and scope and sequence documents retain the same rating of 11 as in the earlier analysis. • The strongest criteria across the three document sets remain the delineation of instructional tools, with a mean score of 3, and linkages for classroom use, with a mean score of 3. The standards-based textbook teacher editions provide specific examples of how to approach key concepts/skills in the classroom. The grades 6-7 McDougall Mathematics Concepts and Skills textbook teacher editions also provide, as mandated by the California Department of Education, instructional strategies for English language learners, students at risk in mathematics, and stu- dents who are ready for more challenging learning. • The weakest criteria continue to be delineation of the prerequisite essential skills, knowledge, and attitudes (mean total of 1.33), and congruity of the curriculum to testing/evaluation (mean total of 1.67). None of the documents examined keyed each skill or standard to a district and/or state performance evaluation. Each of the standards should be clearly keyed to district and state assessments in the district pacing guides. None of the documents states specific prerequisites or gives a de- scription of the discrete skills/concepts required prior to this learning. Pupil Achievement 13 • None of the standards-based textbooks and scope and sequences analyzed by the review team in this report contains enough information to provide teachers with complete and comprehensive work plans to guide their teaching. Full implemen- tation of this professional standard requires that the pacing guides and scope and sequence documents for all board adopted standards-based textbooks be revised to meet the curriculum guide components audit criteria as defined in Exhibit 1.2.2. 3. The district continues to produce documents that address the professional standard for developing, adopting, implementing, and monitoring programs and interventions that are aligned with district priorities and student learning goals. The district’s board policy 6190 Evaluation of the Instructional Program states, “The Superintendent or designee shall review the effectiveness of district programs, both the core curriculum and consolidated programs, in meeting desired outcomes for the children they are intended to serve. Based on these evaluations, the Board shall take appropriate actions to maintain the effectiveness of programs and, as needed, to improve the quality of education that district students receive.” The district’s move to Results-Based Budgeting has resulted in positive steps toward aligning budget allocations with curriculum priorities so that initiatives can be sus- tained or terminated based solely on their effects on student achievement. However, no district-sanctioned formal process has been presented yet that includes the compo- nents of a screening process recommended by FCMAT. Full implementation of this professional standard requires that the district develop administrative regulations as an operational framework for the systemwide monitoring of programs and interven- tions. These regulations must include the assignment of one administrator to oversee and coordinate the proposing, reviewing, adopting, implementing, and monitoring of programs and interventions throughout all departments. In addition, these regula- tions must define a formal districtwide screening process for all district programs that includes the following components and characteristics: • A statement of alignment with established district priorities; • Alignment with the curriculum; • A description of the program/intervention; a list of required resources and funding sources; • Budget; • Evaluation; • Programmatic results; and • Criteria for renewal. 4. District administrators state that refining Web site databases used by intervention and externally funded programs, and their proposed integration with the student achieve- ment database to evaluate intervention programs, are a projected part of the district redesign process. Full implementation of this professional standard requires these da- tabases to include all of the components recommended by FCMAT (see Professional Standard 1.17). 14 Pupil Achievement Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 4 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 Self-Rating 6 September 2005 New Rating: 6 Implementation Scale: Pupil Achievement 15 1.3 Allocation of Resources Professional Standard The district directs its resources fairly and consistently to accomplish its objectives. Progress on Implementing the Recommendations of the Recovery Plan 1. Since the last report, the Budget Planning Manual has been finalized to implement Re- sults-Based Budgeting (RRB), and the system is operational but in a transition phase. 2. Several FCMAT budget-related recommendations have not been addressed: a. Processes and criteria for evaluating the consequences of funding or not funding programs have not been developed. In addition, no instructions have been devel- oped directing the staff to routinely gather and present data describing the cost and benefits of various programs. b. Formal cost/benefit analyses are not included in budget decisions. 3. Instructions for using budget worksheets are included in the budget manual and principals report that they are adequate. 4. When fully functioning, Results-Based Budgeting holds the potential for eliminat- ing many inequities cited in the FCMAT progress report. An equity policy must be adopted by the board. 5. Requiring staff to comply with the Voluntary Resolution Plan deadlines has not been effectively addressed by the district administrators. 6. The review team was still unable to detect a clear link between compliance with dead- lines and personnel evaluations. 7. The review team found no directives prohibiting school-based decisions that cause inequities among schools in course offerings, materials, and practices. The Perfor- mance Management System currently under development, however, is a positive step toward guaranteeing equity in instructional programs. An operational definition of equity is emerging, although no formal board action to adopt a definition has been initiated. 8. The following actions must be taken to fully comply with the professional standard: • Revise the budget manual to include (1) processes and criteria for evaluating the con- sequences of funding or not funding programs and (2) provide guidance for including cost/benefit analyses in budgetary decision-making processes. 16 Pupil Achievement • Issue a district directive requiring the staff to comply with deadlines in the Voluntary Resolution Plan. • Write and approve an equity policy that: 1. Defines the term “equity” and differentiates it from “equality.” 2. Provides guidance regarding equity responsibilities of the staff. 3. Prohibits school-based decisions that cause inequities in course offerings, materi- als, and practices. 4. Specifies responsibilities for implementing equity in district operations. 5. Incorporates accountability for equity actions in the personnel evaluation process. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 5 September 2005 New Rating: 4 Implementation Scale: Pupil Achievement 17 1.4 Multiple Assessments – Program Adjustment Professional Standard The district has adopted multiple assessment tools, including diagnostic assessments, to evaluate, improve, or adjust programs and resources. Progress on Implementing the Recommendations of the Recovery Plan 1. The district continues to make progress toward building a comprehensive assessment, data, and accountability system. Assessment data are accessible on the district’s data portal. However, the district remains deficient in four of 20 characteristics required for a comprehensive student assessment program (see Exhibit 1.4.1). a. Formative assessments for English/language arts and mathematics are occurring at all levels of the system and are underway for ELD, social studies, and science. Data rosters for Open Court/Foro Abierto Reading, High Point, and Harcourt Math have been implemented across the district. Limited diagnostic assessments, along with some comparative and longitudinal data, were presented to the review team. In 2004-05, the district began its first year of implementation for the sec- ondary Holt English/language arts program. The review team was not provided with summative (data aggregate) assessments and/or evaluations related to student achievement in core subjects at all grade levels. b. Specific assessment procedures determining curriculum effectiveness and analysis are evolving. The district held “Date with Data Nights” for executive directors, principals, site coaches and instructional facilitators, which included professional training around the Open Court data. Training for the new student information sys- tem called Edusoft was also provided. The district intends to implement the Edusoft reading and math assessment modules in all elementary schools in 2005-06. c. The district continues to make progress aligning assessments to the core curricu- lum areas. However, assessments still do not address all the required subjects at all grade levels. There was nothing to show when benchmark assessments are occurring within the core subject pacing schedules. For 2004-05, the district mandated diag- nostic and end-of-year assessments in English/language arts for all middle and high school students and is implementing benchmark assessments for the majority of math courses administered four times a year. Assessments are provided for history at 11th grade, and for science at grades 6 and 8. The Comité Exit Report dated Febru- ary 3, 2005, indicated that there is continued weakness in the assessments connected to the English Language Development curriculum. d. There was no indication that the OUSD Assessment, Data and Accountability Plan is undergoing ongoing evaluation. Although board policy 6162.5 on Student Assess- ment was adopted July 2004, policy regulations for implementing the assessment plan have not been developed. The plan as it exists does not specify how the effectiveness of the assessment systems will be measured, who will be responsible for accessing the information, what procedures will be used for accessing information, how often this will occur, or what will happen as a result (student outcomes/district goals). 18 Pupil Achievement The following table summarizes the district’s progress toward the development of a comprehensive program and student assessment plan. Exhibit 1.4.1: Characteristics of a Comprehensive Program and Student Assessment Plan And FCMAT’s Assessment of District Plan FCMAT Rating Characteristic Adequate Inadequate 1. Describe the philosophical framework for the design of the program and students assessment plan (formative, alignment, X all subjects all grades, link to mission). 2. Gives appropriate direction through policy and administrative X regulations. 3. Provides ongoing needs assessment to establish goals of student assessment and program assessment. X 4. Provides for assessment at all levels of the system (organization, program, student). X 5. Identifies the multipurposes of assessment, types of assessments, appropriate data sources. X 6. Provides a matrix of assessment tools, purpose, subjects, type of student tested, time lines, etc. X 7. Controls for bias, culture, etc. X 8. Specifies the roles and responsibilities of the board, central office staff, and school-based staff. X 9. Directs the relations between district and state assessments. X 10. Specifies overall assessment procedures to determine curriculum effectiveness and specifications for analysis. X 11. Directs the feedback process; assures proper use of data. X 12. Specifies how assessment tools will be placed in curriculum X guides. 13. Specifies equity issues and data sources. X 14. Identifies the parameters of a program assessment. X 15. Provides ongoing training plan for various audiences on X assessment. 16. Presents procedures for monitoring assessment design and use. X 17. Establishes a communication plan for the process of student and program assessment. X 18. Provides ongoing evaluation of the assessment plan. X 19. Specifies facility and housing requirements. X 20. Describes budget ramifications, connections to resource X allocations. Pupil Achievement 19 2. Regularly scheduled academic conferences with the network executive directors are providing more assistance and training to principals, instructional facilitators, and teachers. Principals have attended the “Date with Data Nights” and are continuing to receive assistance from the data coaches and instructional facilitators. There is no in- dication that the training is effective in making a positive impact on classroom instruc- tion. To fully comply with this professional standard, the district must fully implement all 20 characteristics required for a comprehensive student assessment program. This requires: • The implementation of assessments at all grade levels for all required subjects, including science, social studies, and English Language Development. • The presentation and evaluation of fully implemented core curriculum diagnostic assessments, data comparatives, and follow-up longitudinal studies in the core subjects at all levels. • The presentation and evaluation of the formative and summative (data aggregate) assessments and/or reports related to student achievement for all required subjects at all grade levels that demonstrate the effectiveness of the standards-based in- struction for individual achievement, programs, and/or interventions at the organi- zational level. This includes the following: − Requiring that the district and schools use quantitative and qualitative in- formation in developing school improvement plans. − Requiring the use of formative and summative assessment for program development and implementation. − Prioritizing programs to be evaluated and establishing time lines. • The revision of pacing guides for all required subjects for elementary and second- ary schools so time lines for benchmark assessments are included. • Ongoing evaluations of the Oakland Unified School District Assessment, Data and Accountability Plan to determine the progress and effectiveness of the plan’s implementation based on data/factual information. • The evaluation of such assessment trainings as “Date with Data Nights” and Oakland’s Data Conference that include the number of attendees/schools as well as summaries that have conclusions about the impact on classroom instruction based on the schools’ data/factual information. 20 Pupil Achievement Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 5 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 Self-Rating: 8 September 2005 New Rating: 6 Implementation Scale: Pupil Achievement 21 1.5 Preparation of Students—Expectations for Practices Professional Standard Expectations and practices exist to improve the preparation of students and to build a school structure with the capacity to serve all students. Progress on Implementing the Recommendations of the Recovery Plan 1. Expectations for high levels of student achievement were established in the 5-Year Strategic Alignment Plan. This plan established key results for student learning to be achieved by 2007. The district continues to monitor student progress toward achieve- ment of these key results. A report provided the board with an update on actions that have been taken to move toward the goals established by this plan. Student achieve- ment data on state and local measures indicate that achievement of the key results (70% proficiency) will require accelerated efforts. The district continues to reorganize schools as small schools, as charter schools, and as reconstituted schools to address student achievement. To fully comply with this professional standard, the district must support the key results by developing a comprehensive curriculum management plan according to the 11 criteria established in the Curriculum Management Audit Report (2000) (See Exhibit 1.1.1). The district should use the plan to focus principals, assistant principals, and other educational administrators on maintaining high quality curriculum and instruction and on monitoring implementation of the plan to ensure the achievement of key results. 2. Currently there has been no official reduction in the administrative duties of principals to provide them with increased time to be in classrooms. As part of the new redesign, the support staff are to manage operational functions at school sites in order to provide the principals with more time to provide instructional leadership and make frequent classroom walk-throughs. To fully comply with this standard, the district staff needs to reduce principals’ administrative duties to provide them with sufficient time to spend half the day in classrooms, supporting and monitoring the delivery of curriculum for improved student achievement. 3. Training for administrators, instructional facilitators, and teachers on special assign- ment (TSAs) has focused on the following areas: coaching teachers in delivering the adopted textbook curriculum; interpreting and responding to student performance data in instruction; the professional development of teachers, and the design of student achievement goals and action steps in each site’s single plan for student achieve- ment. The district should continue to provide professional development for princi- pals and instructional administrators on the improvement of instruction and student achievement. This training must focus on best practices in all content areas, so that all students can master the state standards for which they are held accountable on high- stakes tests. 22 Pupil Achievement 4. The district staff reported that the district redesign will include communication to the district staff and community regarding the expectation of a high-quality curricu- lum and instructional program. District personnel reported that during the redesign’s building phase, a broad-based effort will be initiated to engage all stakeholders in understanding the new design, new roles, and new expectations. To fully comply with this standard, the district staff need to establish processes that involve stakeholders from both the certificated and classified staff as well as parents and community repre- sentatives in district redesign efforts. This level of involvement from various stake- holder groups will increase support for district expectations of high-quality curriculum and instruction. 5. The State Administrator provides regular reports to the board on planning activities and their results as they pertain to the attainment of district goals and objectives estab- lished in the 5-Year Strategic Alignment Plan. 6. The district has not adopted a planning process that meets the 11 criteria described in the Curriculum Management Audit Report (2000). The 5-Year Strategic Alignment Plan and the Instructional Framework operate in concert with one another, but not as integrated plans with a singular focus on student achievement. To fully comply with this standard, district personnel need to develop a planning process that meets the 11 criteria in the Curriculum Management Audit Report (2000) and use this process to incorporate all existing plans into a cohesive focus on student achievement. (see also Standard 1.1). 7. Reports have been presented to the board on planning activities related to the Stabi- lization, Recovery and Renewal Plan and to the Instructional Framework. These re- ports included an update on actions taken to move toward improved student achieve- ment. 8. Some training has been provided for administrators and the instructional staff pertain- ing to the development of the site Single Plan for Student Achievement. This process is not comprehensive and does not adequately address the 11 critical components of an effective planning system as identified in the Curriculum Management Audit Report (2000). To fully comply with this standard, district personnel need to provide training for all administrators and key instructional staff members pertaining to understanding and adhering to the critical components of an effective planning system; building ca- pacity to be able to effectively address the components of planning as they assess the needs of individual sites, departments, and the district; and setting realistic goals and performance-based objectives that are measurable and are evaluated. 9. A task force has not been established to incorporate all existing plans. To fully comply with this standard, district personnel need to appoint a task force to incorporate all existing plans, grants, and endeavors in the district into one long-range district plan. The district should ensure that this plan matches the vision, philosophy, and goals established in board policy, and meets the mission established in the 5-Year Strategic Alignment Plan. The district also should eliminate any practices that conflict with or divert resources from the mission and strategic goals of the district. Pupil Achievement 23 Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 3 March 2004 Rating: 4 September 2004 Rating: 4 September 2005 Self-Rating 6 September 2005 New Rating: 4 Implementation Scale: 24 Pupil Achievement 1.6 Assessment Tools –Direction for Improvement Professional Standard The assessment tools are clear measures of what is being taught, and they provide direction for improvement. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has assessment tools for language arts and mathematics through grade 12. However, there are no assessments for the physical or social sciences except Ameri- can history and more recently world history, and none for courses outside core subject areas. Further, the district has not reached its announced goal of full implementation of the assessment system during school year 2004-2005. There was a district assess- ment plan, but it did not contain a schedule for the development and implementation of assessments for all classes and subjects. 2. Test scores remain below state expectations. Although some principals and teachers stated that students did not perform well on state tests because of unfamiliarity with test-taking procedures, there was indication that the district complied with the FCMAT recommendation to develop and use test guides to promote student familiarity and comfort with high-stakes testing environments. In order to fully comply with the professional standard, the district must prepare a com- prehensive assessment plan that includes a schedule for the development and implemen- tation of tests for all subject areas and courses. This effort should include the following: a. The issuance of a directive that a substantial proportion of teacher-prepared and other tests for students must be administered using the format, procedures, and other contextual elements that mirror high-stakes testing in order to promote stu- dent familiarity with that testing environment. b. The preparation and distribution of test guides to students and teachers that explain and demonstrate the contextual elements of high-stakes testing and provide detailed instructions to help students perform successfully in that environment. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 1 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 6 September 2005 New Rating: 4 Implementation Scale: Pupil Achievement 25 1.7 Staff Development – Improved Instruction/Curriculum Professional Standard Staff development provides staff with the knowledge and the skills to improve instruction and the curriculum. Progress on Implementing the Recommendations of the Recovery Plan The new policy, administrative regulation, and job descriptions that emphasize staff development responsibilities show substantial improvement since the last FCMAT progress report. 1. Regarding employee coverage, evaluations, reporting, and resources, FCMAT found the following: a. The staff development policy (BP 4131) does not cover noncertificated staff. b. Board policy 4131 satisfies FCMAT requirements for evaluation of staff develop- ment. c. Adequate reporting of staff development progress and evaluation is provided for in board policy 4131 and in job descriptions for Manager of School Improvement and for the executive officers of School Networks and Instructional Services. d. The review team was unable to determine if staff development funding was ad- equate because the planning document was not comprehensive (See paragraph 2, which follows). 2. The district lacks a staff development plan consistent with FCMAT recommendations, including a mission statement, planning\budgeting time line relationships, action plans identifying strategies, strategy evaluation criteria, cost estimates, and those respon- sible for strategy execution. A formal plan is needed due to the scope of the program and to ensure continuity in the event of key personnel changes. 3. New job descriptions for positions cited above, and for content coaches, School Improvement Manager, and School Improvement Coach, all establish responsibilities for staff development and satisfy the applicable FCMAT requirement. Links between staff development, teacher performance, and student achievement are provided in board policy 4131 and in the performance measures (metrics) for several of the job descriptions previously cited, also satisfying the applicable FCMAT requirement. In order to fully comply with the professional standard, the district must modify board policy 4131 to include noncertificated (classified) employees or establish a separate policy dealing with staff development for those employees. In addition, the deficien- cies cited in paragraph 1 must be addressed, and a staff development plan must be prepared that includes the elements in paragraph 2. 26 Pupil Achievement Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 3 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 4 September 2005 New Rating: 4 Implementation Scale: Pupil Achievement 27 1.8 Staff Development – Purpose, Goals, and Evaluation Professional Standard Staff development demonstrates a clear understanding of purpose, written goals, and appropriate evaluations. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has made progress on crafting a sound staff development program. The board approved a staff development policy and an administrative regulation. The poli- cy states that the purpose of staff development is to “maximize student learning” by providing opportunities for certified staff members to “enhance their instructional and classroom management skills and increase their knowledge of academic content in the core curriculum.” It does not address staff development for noncertificated employ- ees. The policy also requires the Superintendent to “develop a district staff develop- ment plan that is coordinated with school improvement objectives and plans . . .” The existing staff development plan does not contain the elements specified in Professional Standard 1.7. 2. Progress has been made on the recommendation to develop a written requirement that staff development offerings be evaluated to determine if they are having the intended effect on student achievement. Board policy 4131 provides for “continual evaluation of the benefits of [staff development] activities to staff and students.” Further, the following job descriptions contain essential tasks or performance measures (metrics) that require evaluation of satisfaction with — and classroom effectiveness of — staff development: Executive Officer—School Networks, Executive Officer—Instructional Services, Manager of School Improvement, School Improvement Coach. (Perfor- mance measures for principal and assistant principal positions had not been developed at the time of the FCMAT visit.) In order to fully comply with this standard, the district must accomplish the following: a. Modify Board Policy 4131 to provide staff development for noncertified employ- ees or establish a separate policy covering those employees. b. Prepare a staff development plan that supports board policy 4131 and contains the elements in Professional Standard 1.7. 28 Pupil Achievement Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 4 September 2005 New Rating: 4 Implementation Scale: Pupil Achievement 29 1.9 Evaluations – Improving Job Performance Professional Standard Evaluations provide constructive feedback for improving job performance. Progress on Implementing the Recommendations of the Recovery Plan 1. Plans are underway to implement a new performance management system as a part of the district’s redesign process. Revised evaluation forms and/or criteria for cer- tificated teachers and administrators were not presented to the review team. There continues to be no formal written criteria that relate the evaluation process to a knowl- edgeable use of assessment tools or curriculum guides. a. New forms for conducting academic conferences were designed and have been implemented to help executive directors provide consistent communication with principals regarding site priorities/objectives, action plans, success indicators, and monitoring processes. b. The knowledgeable use of test data, test guides, and curriculum guides, which includes the use of pacing guides, has not been formally added to the criteria for teacher supervision or administrator evaluations. 2. The review team was not presented with evaluation criteria or documents that refer to the knowledgeable use of test data, test guides, and curriculum guides. Limited for- mal training on evaluation procedures has been provided to administrators and teach- ers (see Pupil Achievement Standard 1.1). To fully implement this professional standard, the district must revise the current evalua- tion criteria for certificated teachers and administrators so there is a clear linkage be- tween the evaluation process and a knowledgeable use of assessment tools and curricu- lum guides. Formal training on evaluation is required. The knowledgeable use of test data, test guides, and curriculum guides must be added to the evaluation criteria. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 1 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 3 September 2005 New Rating : 3 Implementation Scale: 30 Pupil Achievement 1.10 Variety of Instructional Strategies– Student Diversity Professional Standard Teachers use a variety of instructional strategies and resources that address their students’ diverse needs. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has not yet developed and implemented a staff development plan. Full implementation of this professional standard requires a comprehensive staff develop- ment plan that is consistent with FCMAT recommendations (see Professional Standard 1.7). New board policy on staff development has been approved by the board. Board policy 4131 on staff development calls for “a district staff development plan that is coordinated with school improvement objectives and school plans established by indi- viduals who are closest to the classroom and most knowledgeable about the needs of the school and its students.” 2. Several opportunities for district-mandated staff development as well as site-based training continue to be provided to teachers at all levels. Some of these staff develop- ment activities include Holt Literature and Language Arts (grades 6-12), High Point, Secondary ELD, Differentiating Curriculum, Data Analysis for Grouping Students Based on Skill Need for Instruction, and AVID. Board policy 4131 requires that “the Superintendent or designee shall provide a means for continual evaluation of the ben- efit of these activities to staff and students.” Teachers state, and principals corroborate, that they modify instructional plans according to student needs and successes. When 42 teachers were asked if they use SDAIE strategies in their classroom, more than 90 percent answered positively. Of those who answered positively, a few were not famil- iar with the term “SDAIE” but provided examples of sheltered strategies they use in their classroom similar to SDAIE strategies. 3. The district continues to focus on assessment feedback discrepancies as evidenced in the district’s “Collaborative Inquiry Cycles” and “Reading First Collaborative Inquiry Cycles” for grade level/learning teams at most schools. Full implementation of this professional standard requires the district to take formal steps to ensure that assess- ment feedback discrepancies are systematically addressed at every school. Pupil Achievement 31 Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 1 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating 5 September 2005 New Rating: 4 Implementation Scale: 32 Pupil Achievement 1.12 California Standards for the Teaching Professional Professional Standard The standards developed by the California Standards for the Teaching Profession are present and supported (California Commission on Teacher Credentialing and California Department of Education, July, 1997). Progress on Implementing the Recommendations of the Recovery Plan 1. The district has developed and adopted several board policies supporting the Califor- nia Standards for the Teaching Profession. These policies are listed in Exhibit 1.12.1. Exhibit 1.12.1 - Board Policies Supporting the California Standards for the Teaching Profession, May 2005 BP 4112.2 Certification BP 4400 California Standards for the Teaching Profession BP 4112.21 District Interns BP 4112.24 Teacher Qualifications Under The No Child Left Behind Act BP 4115 Evaluation/Supervision BP 4131 Staff Development In addition to the adoption of these new board policies, site administrators are being trained to work with new teachers. Summer training institutes have been implemented for all teachers focusing on the California Standards for the Teaching Profession. The district support staff utilizes observation forms that are based upon on these standards. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 5 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 Self-Rating 7 September 2005 New Rating: 7 Implementation Scale: Pupil Achievement 33 1.13 Instructional Plans – Modification and Adjustment Professional Standard Teachers modify and adjust instructional plans according to student needs and successes. Progress on Implementing the Recommendations of the Recovery Plan 1. Staff activities to promote equity continue. However, the district lacks an equity pol- icy that defines the term “equity,” specifies responsibilities, and provides the rationale and guidance for adjusting instructional plans and for reallocating resources to meet student needs. 2. Staff members report many instructional modifications based on student performance data. Modifications include after-school/weekend tutoring, peer coaching, reteach- ing, use of manipulatives to reteach, homework modifications and assistance, revising students’ schedules for more exposure to core curriculum, and the use of computer- assisted learning. 3. Equity roles and responsibilities of the staff have still not been specified. 4. State-approved textbooks and local pacing guides constitute the district’s curriculum guides and are used in all core courses. Teachers’ editions and supplemental materi- als of K-8 standards-based textbooks meet state and FCMAT requirements to provide strategies for diverse learners. High school students are accommodated through after- school tutoring, a two-year algebra class for students at risk in mathematics, a two- course requirement of regular English, and High Point English for students at risk and for English-language learners. Advance Placement courses are available for students who are ready for more challenging learning. Standards-based textbooks have been purchased for all K-12 core courses, but not for all noncore courses. Full assessment of district efforts in this area cannot be completed until textbooks have been selected for all courses. In order to fully comply with this professional standard, the district must approve an equity policy that defines the term, provides the rationale and guidance for equity ac- tions, and assigns equity responsibilities. 34 Pupil Achievement Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 5 September 2005 New Rating: 4 Implementation Scale: Pupil Achievement 35 1.14 Learning Goals and Instructional Goals Professional Standard Challenging learning goals and instructional plans and programs for all students are evident. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has approved board policy (BP 6000 Concepts and Roles) that states, “The Governing Board desires to provide a rich, research-based curriculum that motivates every student to succeed.” The review team visited 22 schools (different than those visited in January or May 2004) to assess whether or not the district-adopted California standards-based textbooks and pacing guides are being used by the teachers to teach the challenging California English/language arts and mathematics standards for the grade level or course. Exhibit 1.14.1 shows the difference between the selection of classrooms visited in May 2005 when compared to classrooms visited in January and May 2004. Exhibit 1.14.1- Comparison of English/Language Arts and Mathematics Classrooms Visited in 2005 with Data from Classrooms Visited in January and May of 2004 # of Classrooms Visited Total Classrooms Percent Grade API from Color of Total Level Color January May May Code Visited to Classrooms Span Code 2004 2004 2005 Date Visited K-5 Blue 7 10 21 38 6.07% Green 22 54 36 112 17.9% Yellow 50 66 49 165 26.4% Orange 27 57 24 108 17.2% Subtotals 106 187 130 423 67.6% K-8 Yellow 3 3 .5% 5-6 Yellow 6 6 1% 6-8 Green 10 10 1.6% Yellow 36 22 6 64 10.2% Orange 16 4 21 41 6.5% Subtotals 62 35 27 124 19.8% 9-12 Yellow 23 7 30 4.8% Orange 13 19 32 5.1% No Code 10 3 4 17 2.7% Subtotals 46 10 23 79 12.6% Totals 214 232 180 626 (Grand total classrooms visited) 36 Pupil Achievement Exhibit 1.14.1 shows that 67.6 percent (N = 423) of the total classroom observations to date were in elementary schools as compared to approximately 32.4 percent (N = 203) of the classroom observations in secondary schools (secondary data includes K-8, 5-6, 6-8 and 9-12 schools). Exhibit 1.14.2 shows the results of the data collected from observations at the schools during the May 2005 visit. Exhibit 1.14.2 - Results of Observations - May 2005 Pupil Achievement 37 napS leveL edarG edoC roloC IPA detisiV sloohcS fo # devresbO sessalC htaM dna ALE fo # Calibration (Alignment) of Instruction to the California Standards Classrooms Where Students Were Off Task noitcurtsnI leveL edarG evobA noitcurtsnI edarG tA leveL noitcurtsnI leveL edarG woleB toN noitcurtsnI dradnatS ainrofilaC # % # % # % # % # % K-5 Blue 2 21 0 0% 16 76% 2 10% 3 14% 3 14% Green 5 36 0 0% 28 78% 5 14% 3 8% 0 0% Yellow 4 49 3 6% 34 69% 6 12% 6 12% 11 22% Orange 3 24 0 0% 20 83% 2 8% 2 8% 0 0% Subtotal 14 130 3 2% 98 75% 15 12% 14 11% 14 11% 6-8 Yellow 1 6 0 0% 0 0% 3 50% 3 50% 1 17% Orange 3 21 1 5% 8 38% 11 52% 1 5% 0 0% Subtotal 4 27 1 4% 8 30% 14 52% 4 15% 1 4% 9-12 Orange 3 19 1 5% 10 53% 7 37% 1 5% 0 0% No Code 1 4 0 0% 3 75% 1 25% 0 0% 0 0% Subtotal 4 23 1 4% 13 57% 8 35% 1 4% 0 0% Total 22 180 5 3% 119 66% 37 21% 19 11% 15 8% Exhibit 1.14.2 illustrates the following: • When the review team compared English/language arts and mathematics instruc- tion in district classrooms to the California standards, 66% of instruction observed in the 180 classrooms was at grade level, 21% below grade level, 3% above grade level, and 11% not related to a standard. The highest percentage of instruction at grade level occurred in elementary classrooms (75%) and high school class- rooms (57%). The highest percentage of instruction considered below grade level (52%) was observed in classrooms of middle schools coded orange. In one middle school, 50% of instruction observed was not aligned with California Standards. Full implementation of this professional standard requires the district to develop and implement a curriculum management plan (see Professional Standard 1.2) with clear expectations that the curriculum be challenging for students at all levels. In addition, the approach to curriculum development must include a com- prehensive needs assessment, a systematic review of each instructional program every 4 to 6 years, the development and revision of curriculum pacing guides, and the adoption of all curriculum (California standards-based textbooks) by the board. Further, a systemwide process must be implemented requiring administra- tors at all schools to frequently monitor the level of instruction at all grade levels and facilitate opportunities for teachers to gain the expertise needed in adjusting instruction to ensure challenging curriculum for all students. 2. Exhibit 1.14.3 shows the data collected when 42 mathematics and English/language arts teachers from elementary, middle school, and high schools were asked if they use the district pacing guides or scope and sequence to help guide their instructional plan- ning. Exhibit 1.14.3 - Teacher Responses to “Do You Use the District Pacing Guides (Scope and Sequence) to guide your Instructional Planning?” May 2005 Elementary Middle School High School Teachers (N=26) Teachers (N=10) Teachers (N=6) English/LA Mathematics English/LA Mathematics English/LA Mathematics Yes No Yes No Yes No Yes No Yes No Yes No 13 0 13 0 2 3 5 0 0 3 3 0 As noted in Exhibit 1.14.3, all 26 of the elementary teachers responded with a yes when asked if they used the district pacing guides. Middle school mathematics teach- ers responded with a yes and middle school English/language arts teachers’ responses were divided. The three high school English teachers said they did not use the scope and sequence provided with the Holt materials. The three high school mathematics teachers responded with a yes. The discrepancy between English and math teach- ers at the secondary level may be due to the short time the English teachers have had access to the new Holt English/language arts materials. Some stated that the district pacing guide or scope and sequence was used as a general guide and that they had the flexibility to adjust it to meet diverse student needs. Many secondary teachers stated that the mathematics and English/language arts scope and sequence took the students through the materials too quickly and didn’t allow teachers to engage in concept building and reteaching when necessary prior to the district assessments. To fully implement this professional standard, the district must require pacing guides to be implemented consistently for all core subject areas at all grade levels. The dis- trict must also develop a process to continuously review and revise pacing guides in all subject areas based on district and state assessment data to reflect districtwide and site-based diverse student needs (see Performance Standard 2.3[a]). 38 Pupil Achievement Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating 5 September 2005 New Rating: 5 Implementation Scale: Pupil Achievement 39 1.15 Utilization of Assessment Information Professional Standard The administration and staff utilize assessment information to improve learning opportunities for all students. Progress on Implementing the Recommendations of the Recovery Plan 1. Board policy BP 6162.5 on student assessment was adopted July 14, 2004. The policy states, “The effectiveness of the schools, teachers and district shall be evaluated in part on the basis of these student assessments.” 2. There is increased use of student assessment data to improve instruction at all levels, including the secondary schools. Most of the Reading First elementary schools are using data through Cycles of Inquiry, and most high schools are beginning to use in- depth analyses of the language arts and math benchmark data in an effort to increase CAHSEE pass rates. “Date with Data Nights,” held with principals, Instructional Facilitators, TSAs and teachers, have provided in-depth training with Open Court data. The district’s data coaches are continuing to assist 34 schools. The district has not considered how coaches are spending their time or whether the use of time and/or training is making a difference. Most teachers are dependent on site administrators, data coaches, TSAs, and instruc- tional facilitators for obtaining data from the district’s Data Portal and/or the newly in- stituted Edusoft system. During academic conferences, executive directors are helping principals use the data. More teachers are using the data rosters and cluster analyses to identify specific areas of weakness for students needing intervention. More schools are accessing detailed and comparative data for Open Court Reading, High Point, Foro Abierto, and CELDT. Assessments for ELD, the middle and high school math, social studies and science are continuing to be developed and used. An examination of Holt, High Point, and math assessment data for the schools re- vealed the district is continuing to make progress in providing extensive rosters with more in-depth, detailed CST results. The district continues to work towards its equity goals by providing data relative to the performance of under-represented ethnic groups based on results from the CELDT, CST, and CAHSEE Strand Reports. 3. Date with Data nights, the Oakland Data Conference, Edusoft training, ongoing academic conferences where assessment data are discussed, and other mini in-service trainings with data coaches are providing administrators with greater support for us- ing data. The diagnosis of data at the secondary level is beginning to emerge through learning community meetings at some of the high schools. 4. In order to fully implement this professional standard the district must: • Fully implement the student data information system and promote use of the com- parison and longitudinal assessments. 40 Pupil Achievement • Evaluate the use of coaching time and staff development related to the use of as- sessment data to determine if they are having a positive effect on improved stu- dent achievement. • Implement the recommendations in Pupil Achievement Standard 1.4 with an em- phasis on utilization of the assessment information to improve learning opportuni- ties for all students. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 2 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating: 7 September 2005 Rating: 6 Implementation Scale: Pupil Achievement 41 1.17 Goals and Grade-Level Performance Standards Professional Standard Goals and grade-level performance standards based on a common vision are present. Progress on Implementing the Recommendations of the Recovery Plan 1. Board policy 6190, Evaluation of the Instructional Program, mandates a systemwide district core and consolidated program evaluation process. The policy states, “The Su- perintendent or designee shall review the effectiveness of district programs, both the core curriculum and consolidated programs, in meeting desired outcomes for the chil- dren they are intended to serve.” BP 6190 requires the district’s use of data reporting protocols using color-coded rankings (red, orange, yellow, green, and blue) to provide uniformity of reporting. Full implementation of this professional standard requires the design and development of administrative regulations defining a common evaluation and reporting format to be utilized for all district instructional programs that include as major components: cost analysis, program integration, evaluation cycle time line, and program effectiveness data. 2. Board policy 6190 also states that the Superintendent or designee “shall provide the board and the community with regular reports on student progress toward board- established standards of expected achievement at each grade level in each area of study. Based on these evaluations, the board shall take appropriate actions to maintain the effectiveness of programs and, as needed, to improve the quality of education that district students receive.” Full implementation of this professional standard requires provisions in policy or regulations for annual review of the evaluations for each pro- gram, including a cost analysis, a description of how particular programs interact with other programs and data on that program effectiveness. 3. District administrators state that a projected part of the district redesign process is the refinement of Web site databases used by intervention and externally funded pro- grams, and the proposed integration with the student achievement database to evaluate intervention programs. Full implementation of this professional standard requires the creation of a database of supplemental programs composed of the following elements recommended by FCMAT: • The name of the program • Purpose and the district goals it supports • Number of students directly served • Funding source • Funds available • Allocation of funds within the program • Costs of program per student • Expected stability of funding • Degree of learning achieved (or not achieved) • Resulting action for improvement, including program termination, if appropriate. 42 Pupil Achievement Further, use of a consistent data protocol throughout the programs will allow for more meaningful comparisons. 4. District administrators state that a process for setting clear expectations and allocating the necessary resources to the designated supplemental program coordinators so they can be successful in the day-to-day implementation of programs is part of the district redesign process and Results-Based Budgeting. Full implementation of the standard requires the district to develop and implement such a process. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 3 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating 6 September 2005 New Rating: 5 Implementation Scale: Pupil Achievement 43 1.21 Professional Development Linked to Evaluation Professional Standard Professional development is linked to personnel evaluation. Progress on Implementing the Recommendations of the Recovery Plan 1. There appears to be no link between professional development and staff appraisals. Plans to train new and aspiring principals related to teacher supervision and adminis- trative performance continue to evolve under the new performance management sys- tem and district redesign plan. Training began with the Oakland Leadership Academy in March 2004, but was delayed due to organizational changes in the Human Resourc- es Department. 2. The district’s Professional Development Plan, approved in 2004, was a first step in formalizing the linkage of staff development to evaluation. Attendance documentation relative to the schools’ staff development and the Bins and Binders process provide principals with data to include in the evaluation process. Most principals and teachers have attended the AB 75 and AB 466 five-day training tied to the adopted standards- based textbooks. A significant number of schools are working with consultants and outside providers to receive training regarding differentiated instruction. As stated in the district’s Professional Development Plan, “All mandatory training programs will be accompanied by site follow up through grade-level/department team meetings and coaching.” The district continues to be in the formative stages of training in differen- tiated instruction, and has also newly implemented the monthly Network professional development workshops for principals and others in leadership roles. Under the rede- sign plan, the district continues to work toward a plan that provides differing levels of opportunities for professional development depending on the academic success of the school. Intensive coaching support is underway for administrators at the state-moni- tored (SAIT), “yellow” and “orange” schools, while more autonomy in the selection of professional development is being given to the new small schools or new small autonomous interconnected schools (NSAS/NSAIS). 3. Job descriptions at the management level have been revised to include more staff de- velopment components (see Pupil Achievement 1.7). However, there are no changes in the personnel evaluation forms or criteria documents related to staff development linkages to the performance appraisal of administrators and teachers. To fully comply with this standard the district must formalize the linkage of staff de- velopment to the evaluation of administrators and teachers. Formal training should be required. The district’s new redesign plan must clearly outline this process. 44 Pupil Achievement Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 3 September 2005 Rating: 3 Implementation Scale: Pupil Achievement 45 1.23 Initial Student Placement—Procedures Professional Standard Initial placement procedures are in place to ensure the timely and appropriate placement of all students with particular emphases being placed on students with special needs. Progress on Implementing the Recommendations of the Recovery Plan 1. The district received an exit report and closure from Comité on February 3, 2005. As a part of the closure, the Oakland Unified School District signed an agreement for the continued implementation and monitoring of Programs to Improve the Education of English Learners in the district. OUSD agreed to address the lack of full implemen- tation of the ELD curriculum and of assessments tied to the curriculum, the lack of structured ELD instruction in the secondary mainstream classes, and the quality and degree of identified target interventions in the secondary programs. 2. The district utilized a Results-Based Budgeting process for the 2005-06 budgets at the school levels. Staff development continues to be offered through monthly meetings for EL staff regarding best practices for EL students. TSAs for monitoring review the bins and binders on a regular basis for compliance issues. TSAs for EL programs at the middle and high schools monitor EL placements in courses during the first months of school each year and work with the schools to place EL students in appropriate classes according to their identified levels. In order for the district to fully comply with this professional standard, the district must establish a process to monitor course enrollments at the site level with the site decision makers using EL data to make appropriate course placements. Further, all teachers who work with EL students must receive training in the strategies to meet the needs of EL students enrolled in their core curriculum courses. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 3 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating: 7 September 2005 New Rating: 5 Implementation Scale: 46 Pupil Achievement 1.25 Instructional Materials – Student Accessibility Professional Standard The district will ensure that all instructional materials are accessible to all students. Progress on Implementing the Recommendations of the Recovery Plan 1. With the adoption of grades 6-12 English/language arts textbooks (Holt Literature and Language Arts) in spring of 2004, and implementation beginning in fall of 2004, all core subject areas have adopted and implemented standards-based textbooks, further ensuring that California standards-based core materials are accessible to all students. 2. Teachers of the core subject areas confirmed that they had standards-based textbooks for all their students, including English-language learners. However, evaluation and refinement of the alignment of the textbooks to the California standards and to district and state assessments is not consistently implemented in all core subject areas on an ongoing basis. Full implementation of this professional standard is complete when accessibility of instructional materials is being sustained with high quality, a process is in place for continuous refinement, and ongoing evaluation is conducted. Standard Implemented: Partially January 2000 Rating: 5 September 2003 Rating: 6 March 2004 Rating: 6 September 2004 Rating: 7 September 2005 Self-Rating 7 September 2005 New Rating: 7 Implementation Scale: Pupil Achievement 47 1.27 Planning Process - Focus and Connectivity Professional Standard The district planning process ensures focus and connectivity to increased student productivity. Progress on Implementing the Recommendations of the Recovery Plan 1. The board is provided with planning activities and their results to monitor the attain- ment of district goals and objectives established in the 5-Year Strategic Alignment Plan and the Instructional Framework. A report entitled “Bridging from Strategic Vision to Operational Plans” in April 2004 linked the progress on the Strategic Align- ment Plan in terms of the strategic vision, operational and business plans, and the instructional blueprint. 2. A planning process has not been developed that meets all the 11 criteria in the Curric- ulum Management Audit Characteristics (Standard 1.1). The 5-Year Strategic Align- ment Plan meets several of the criteria, but does not address evaluation processes for action steps, plan integration with the newly developed plans within the Instructional Framework, monitoring of the plan’s effectiveness, or stakeholder commitment. The plans developed within the Instructional Framework are missing specific action plans and the same elements as previously mentioned. To fully comply with this profession- al standard, the district staff need to develop a planning process that provides focus, relates to increased student productivity and meets all the 11 criteria in the Curriculum Management Audit Characteristics. 3. Some training has been provided for administrators and instructional staff pertaining to the development of the site Single Plan for Student Achievement. This process addresses some components of an effective planning system: analyzing data and set- ting goals for student achievement. This process is not comprehensive, as it does not adequately address all the critical components of an effective planning system, nor is the process comprehensive enough to assess needs of the school as a whole. To fully comply with this standard, district personnel need to provide training for administra- tors and instructional staff in the essential elements of effective planning. 4. A task force has not been established to incorporate all existing plans into one long- range district plan. To fully comply with this standard district staff need to appoint a task force to incorporate all existing plans, grants, and endeavors in the district into one long-range district plan. The district also should ensure that this plan matches the vision, philosophy, and goals established in board policy, and meets the mission established in the 5-Year Strategic Alignment Plan. Any practices that conflict with or divert resources from the district’s mission and strategic goals should be eliminated. 48 Pupil Achievement Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 3 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating 4 September 2005 New Rating: 4 Implementation Scale: Pupil Achievement 49 1.28 Human Resources Practices Professional Standard Human resources practices support the delivery of sound educational programs. Progress on Implementing the Recommendations of the Recovery Plan 1. A redesign plan has been drafted for the Human Resources Division that includes a major redesign of roles and functions within the department and a belief in a customer service model. While the plan does not specifically address strategic goal statements to address the issues of teacher absenteeism, turnover rate, and credentials, the rede- sign aims for a system where such problems will be addressed. To fully comply with this professional standard, district personnel need to establish specific goals that ad- dress the issues of teacher absenteeism, turnover rate, and proper credentials. 2. There is no systematic data collection, interpretation, or use of information regard- ing systems attitudes or climate. To fully comply with this standard, district personnel need to establish systems and require systematic data collection, interpretation, and use of information regarding issues utilizing attitude surveys, climate studies, and exit interviews. 3. A collective-bargaining consultant has not been retained by the district to address con- tractual impediments to goals and objectives. Some consulting time has been used to support classified negotiated issues, but this is on a limited basis. No consultation is in place for certificated contractual monitoring. District staff should consider retaining a collective-bargaining consultant to address contractual impediments. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 1 September 2004 Rating: 1 September 2005 Self-Rating: 2 September 2005 New Rating 2 Implementation Scale: 50 Pupil Achievement 2.3(a) Management Professional Standard A process is in place to maintain alignment between standards, practices and assessment. Progress on Implementing the Recommendations of the Recovery Plan 1. District administrators continue to indicate their support for the importance of main- taining alignment between standards, practices, and assessments. The following two board policies have been developed and, when taken as a whole, provide a link to the Curriculum Management Plan (See Standard 1.2): • Board policy 6161.1, Selection and Evaluation of Instructional Materials, calls for the board to adopt instructional materials that are “aligned with the development and evaluation of the district’s curriculum.” Administrative regulation 6161.1 states, “When the Governing Board has certified that all students have been pro- vided with standards-aligned instructional materials in the core curriculum areas, the district may use any remaining program funds for the purposes specified in Education Code 60242. (Education Code 60119, 60422).” • Board policy 4400 California Standards for the Teaching Profession also refers to alignment of instructional practices to the written curriculum when it states “The California Standards for the Teaching Profession delineate the professional ex- pectations for teachers in the State of California. The Superintendent or designee will monitor the evaluation, professional development and new teacher support processes to ensure that they are in alignment with the California Standards for the Teaching Profession.” Neither of these two policies refers specifically to the alignment of curriculum and instruction to assessment. To fully implement this professional standard, the Gov- erning Board must adopt one policy that specifically establishes an expectation that district administrators and teachers maintain alignment between the California Con- tent Standards, instructional practices, and district and external assessments. In addi- tion, the district must develop an administrative regulation for this policy that clearly defines how the alignment of curriculum, instructional practice, and assessment is to be implemented. 2. The district should still develop a Curriculum Management Plan that includes the ele- ments recommended by FCMAT (see Professional Standard 1.2). 3. The district has adopted California standards-based textbooks as the district curricu- lum with pacing guides developed to address shortfalls of a curriculum driven solely by textbooks (See Standard 1.2). The pacing guides are especially important in the alignment of standards, instructional practices, and assessments in providing teach- ers with information not contained in the textbooks themselves about the correlation between the textbooks and local and state assessments. Board policy 6141, Curricu- lum Development and Evaluation states “Curriculum development and evaluation Pupil Achievement 51 will therefore be an ongoing process in the district, routinely supported by planned allocations of resources and staff time.” Additional revision of pacing guides in the area of mathematics has taken place and reflects teacher input about the time needed to teach certain skills. At the middle school and high school level, the math scope and sequence documents (pacing guides) have been revised to reflect the state testing schedules for the CST and CAHSEE, as well as the needs of teachers and students. Full implementation of this professional standard requires that the district implement a process that continually reviews and revises all pacing guides to maintain alignment of curriculum, instruction and district and state assessment in meeting the learning needs of students. All pacing guides must include clear information for teachers indicating the state standards being taught and tested on both district and state assessments. The actual description of the California standard being taught must be included with the number of the standard. This is especially important at the high school level where the textbooks are not always California standards-based. Priority must be given to aligning district adopted textbooks that are not California standards-based to the state standards and assessments. The district must require that pacing guides be used by teachers as a guide for ensuring alignment to the district assessment schedule and to focus on districtwide areas of weakness. In addition, the district must expect schools to make further revisions to these district pacing guides utilizing school-level results of district and state student assessment. This more localized work will ensure that identified areas of weakness for specific student populations are given the instructional time needed for mastery. 4. District administrators have reported the status of the alignment between standards, practices, and assessments to the board. To fully implement this professional standard, the board must receive regularly scheduled reports over a number of years of the sta- tus of the alignment between standards, practices, and assessments. Standard Implemented: Partially January 2000 Rating: Not Reviewed September 2003 Rating: 2 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating 5 September 2005 New Rating: 5 Implementation Scale: 52 Pupil Achievement 2.6(a) Standards Professional Standard The Governing Board has adopted and the district is implementing the California State Standards and assessments. Progress on Implementing the Recommendations of the Recovery Plan 1. The board has adopted policies (BP 6161, BP 6161.1, BP 6161.11) requiring the board to approve all new instructional materials. The grades 6-12 Holt Literature and Lan- guage program and six programs for world language courses were approved by the board in 2004. However, the board has not formally adopted the State Content Stan- dards. To fully implement this professional standard, the State Content Standards must be adopted formally by the board. 2. The district’s alternative to FCMAT’s recommendation to develop curriculum guides is adopting California standards-based textbooks as the district curriculum with pacing guides. Because of the Oakland Unified School District’s unique circumstances, this alternative was accepted by FCMAT. The review team has reviewed the textbooks and pacing guides based on five basic minimum quality criteria (see Standard 1.2). Full implementation of this professional standard requires that the district curriculum (California standards-based textbooks and corresponding pacing guides or scope and sequence) be aligned in content and context to the State Content Standards and as- sessments. The following elements must be included in the California standards-based textbook and/or the corresponding pacing guide or scope and sequence for each core subject area, grade level, or course for full implementation of this standard: a. State for each objective what the objective is, the sequence within the course/ grade, and how the actual standard is performed as well as the amount of time to be spent learning each standard. b. Key each objective to district and state assessments. c. State specific prerequisites or describe the discrete skills/concepts required prior to this learning (this may be a scope and sequence across K-12). d. State for each objective the “match” between the basic text/instructional resource(s) and the curriculum objective. e. Provide specific examples of how to approach key concepts/skills in the class- room. Pupil Achievement 53 Standard Implemented: Partially January 2000 Rating: Not Reviewed September 2003 Rating: 2 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating 5 September 2005 New Rating: 5 Implementation Scale: 54 Pupil Achievement 3.1 English Language Learners Professional Standard The identification and placement of English language learners into appropriate courses is con- ducted in a timely and effective manner. Progress on Implementing the Recommendations of the Recovery Plan 1. Multiple professional development opportunities were offered during 2005-06. At- tendance for the professional development did not include all teachers. Monitoring reports from Secondary English Language Learner (ELL) TSAs indicate that second- ary ELL classroom teachers fail to implement differentiated instruction for all ELL students, and the quality of the secondary instructional program does not match state requirements. Reports have been sent to principals regarding this status; however, there was no indication of further implementation at the school level. Strategies for all multifunded programs (particularly special education) have not been addressed. 2. The district continues to provide Foro Albierto [Open Court] at the elementary level and High Point at the secondary level for language arts materials. Incorporated into these programs are an assessment linkage, pacing guides, and some materials. Moni- toring reports of the secondary program indicate that not all ELLs are receiving the appropriate instructional support and materials based on their specific needs. No monitoring evidence was presented at the elementary level to provide guidance. The December 2004 Agreement between OUSD and the California Department of Educa- tion and OCR at the federal level indicates that assessments for the elementary pro- gram must be provided to assist with the monitoring of the curriculum. District per- sonnel do not have a process for monitoring the progress of ELL students to ensure a comparable progress in academic achievement with other peers at the elementary and secondary level. . 3. The district has developed a data portal for community access, which provides data about district schools and student performance. Parent information continues to be disseminated through spring enrollment meetings held at school sites, newsletters, and routine documents. Parents have received notice of some supplemental programs such as summer school and after school tutoring, but full explanations of the programs were not provided. A district DELAC committee meets periodically, but minutes of these meetings were not provided to the review team. 4. The counselors have received memoranda and have had discussions at a meeting re- garding the High Point program and how to use data from CELDT and CST for place- ment of ELL students in courses. However, TSA monitoring indicates that placements for courses are not reflective of assessment data, and students are reassigned in classes in October each year. 5. There was no indication that individual student profiles are utilized in making course placement decisions for students; however, the district’s data roster provides much of the data ordinarily contained in individual student profiles. Pupil Achievement 55 6. The Bins and Binders process continues to be utilized for equity checks. However, no data were presented that focused on individual course and program equity checks. The district indicated these checks would occur once the Results-Based Budgeting was implemented. 7. The district utilizes the Bilingual Student Assessment Center as the process for the identification of ELL learners. The center conducts the initial evaluations, monitors the reclassification process, and conducts the reclassification to ensure it happens. Information is provided to the schools about the appropriate level placement of ELL students. However, information from TSAs indicate that ELL students continue to be placed in courses without full utilization of data, with changes in courses being necessary during the first months of school in order to appropriately place students in courses. The district continues to reference the ELL Master Plan as the current process for placing ELL students; however, the review team found little indication that this process was being implemented at the school level. In order to fully comply with the recommendations for this professional standard, the dis- trict must accomplish the following: • Develop a process for monitoring ELL students to ensure they have success rates in academic progress comparable to their peers. • Fully implement differentiated strategies based on student need in all classrooms to narrow the achievement gap between ELL and general education students. • Develop a process for ensuring that multiple forms of data, including classroom, district, and state assessments, are utilized for placing students in appropriate courses by school level personnel. • Implement the monitoring of differentiated quality classroom instruction at the school site using the state quality standards for EL programs. • Ensure that all teachers receive training on diverse learning and that strategies are implemented in all classrooms for closing the achievement gap between ELL students and general education students. • Develop an individual student profile form and process to be utilized in conjunc- tion with the district’s data rosters in focusing on individual ELL student needs in all classes. 56 Pupil Achievement Standard Implemented: Partially January 2000 Rating: Not Reviewed September 2003 Rating: 3 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: Pupil Achievement 57 3.2 English Language Learners Professional Standard Programs for English-language learners comply with state and federal regulations and meet the quality criteria set forth by the California Department of Education. Progress on Implementing the Recommendations of the Recovery Plan 1. The district continues to work on the implementation of the Master ELL Plan in the schools, but the review team received no indication of further action steps. 2. The secondary EL program has utilized TSAs to monitor the implementation of the High Point program at the secondary level. Classroom observations and school re- ports are provided to schools as a means of monitoring the programs. Secondary TSAs maintain notebooks of monitoring each secondary school High Point Program. Evi- dence of follow through at the school level was not provided. No comparable process was presented by the elementary staff. 3. Schools are using the Results-Based Budgeting process this year for the 2005-06 bud- get. The ELL department continues to maintain a small budget for minimal additional allocations. 4. Instructional facilitators at the schools in the Reading First program and TSAs for Secondary and Elementary ELL programs continue to work with classroom imple- mentation and provide professional development for teachers. No evidence was pre- sented to address individual students’ lack of English proficiency at the school level. Observations from the High Point monitoring reports continue to confirm the lack of differentiation of instruction to address ELL needs. Classroom implementation is noted as a weakness in the Comité exit report and December 2004 agreement. 5. The Secondary TSAs complete three classroom observations of EL classrooms dur- ing the year. Follow up explanations were provided on the reports and shared with principals and the teachers. No evidence of addressing the follow up issues within the school was provided. The elementary programs did not present observation data regarding implementation. 6. No additional activities to address the achievement gap recommendations of this stan- dard were provided to the review team during the May visit. 7. At the elementary level a document continues to be developed to address the levels of grammatical forms and functions to utilize with each Foro Abierto lesson; however, no training or implementation has occurred. 58 Pupil Achievement 8. Site council meetings and district parent advisory committee meetings continue to be utilized for information dissemination. The district has prepared a Web portal about the school progress reports for community use. Specific information about programs remains the same. The schools hold meetings each spring to inform parents of the programs in each school. 9. A district site services database compiles statistics of site programs, but does not pro- vide budget information. 10. The district has an office for DELAC and a calendar for several meetings during the year. However, the minutes for these meetings were not provided. The staff at school sites mentioned that there is some parent involvement in developing site plans. 11. A district data portal is available to all stakeholders for information about various school programs. A few ELL trainings were offered on cultural diversity, but no data was available regarding attendance or training content. 12. Each department of instructional services has some form of monitoring as a function and employs TSAs or instructional facilitators to monitor site implementation. The level of monitoring instructional strategies for multifunded students is minimal. TSAs for the secondary High Point had classroom observations documented in twice per year reports. The instructional departments have provided training to principals and teacher leaders on the use of data to improve instruction. Special education person- nel monitor IEPs for compliance issues and report to the schools. No monitoring of the achievement gap for special education or ELL students is taking place at this time. Title I monitoring consisted of limited High Point monitoring at the secondary level. The progress reports of Open Court, Harcourt, Foro Abierto, and High Point comprise the majority of achievement progress reports. 13. Minimal additional progress has been made in training counselors or teachers to help students understand their educational options. Professional development agendas indicate that the topic has been offered to teachers and counselors. Attendance records indicate that small numbers of volunteers attended sessions. High Point packets are available to counselors explaining the ELL options. 14. Minimal additional progress has been made to help teachers improve strategies for di- verse learning styles. Records show monthly offerings were made available to teach- ers in differentiating instruction to meet student needs and learning styles. Plans are being made for additional trainings on the use of data for instructional planning and differentiated instruction. Plans to implement the December 2004 Agreement for the Comité exit were shared with the review team. Pupil Achievement 59 15. Teachers on special assignment continue to monitor the Bins and Binders. A data system designed to allow executive directors and other administrators direct access to monitor the progress of schools is available, and data reports are printed. However, the total benchmark plan has not been implemented. Open Court assessments, Har- court assessments, High Point assessments, and algebra assessments provide teachers with the opportunity for benchmarking student achievement; however, Foro Abierto does not provide for the monitoring of elementary ELL programs. Teachers report inconsistency in utilizing the assessments. 16. Reports are sent to principals and directors monthly and provide the status of students with regard to CST, CELDT, academic data, attendance, suspension and curriculum unit assessments. The charts are color-coded to provide visual representation of class profiles, school profiles, progress, and movement. In some schools, the data are dis- cussed at grade-level meetings and department meetings. Inconsistent use of data is recognized by administrators. Professional development continues to be offered, and TSA monitoring efforts are used to determine how data are used. 17. No additional progress has been made toward using individual student profiles for placement. In order to fully implement this recommendation, the district must first design the individual student profile, train teachers and counselors in the use of it, and implement the placement of ELL students in courses based on the use of its data. 18. There was no indication that efforts have been made to improve the use of data rosters to individualize instruction. 19. TSAs continue to check the Bins and Binders in the schools. No additional data were presented to demonstrate that all courses and programs were checked for equity. 20. No additional information was presented to the review team to update a master profes- sional development plan for integrating differentiated instruction and compliance is- sues related to achievement gaps. Once the equity plan was approved for the district, no additional effort was made on this recommendation. There continue to be numer- ous staff working with different pieces of staff development without a holistic focus. 21. No additional evidence was presented to demonstrate further progress in the develop- ment of a data system to assess the effectiveness of EL programs. In order to fully comply with this professional standard, the district must complete the fol- lowing actions: • Develop a plan for student placement and the monitoring of such to ensure that every ELL student has full access to the core curriculum and to ensure schools are held accountable. • Monitor the budget and personnel assignment process to ensure that additional resources assist these schools with delayed progress in academic achievement. 60 Pupil Achievement • Develop a plan that details the responsibilities and expectations for the use of academic achievement data of ELL learners for teachers, principals, and central staff. Instructional decisions must be demonstrably close in alignment with data sources. • Develop and train teachers in a process using individual student data to individu- alize instruction. Teachers should be held accountable for demonstrating this individualization. • Train the TSAs and administrative staff to design and implement a system to check all programs and all courses to ensure equity for all students. The checks must extend beyond the compliance reports and the categorical programs to include all programs and courses offered by the district. Tracking data must be maintained to determine if patterns of inequity exist. • Review, update, and implement the master professional development plan and es- tablish a monitoring process to ensure a focus on academic achievement is estab- lished and achievement gaps are addressed as a priority in the training of all staff. • Develop and implement a system of program evaluation for review and revision of all programs including the ELL program. The evaluation system must include multiple sources of data, including anecdotal data, to demonstrate that programs contribute directly to increased student achievement. • Provide evidence that parents are full partners in the decision-making process of site councils, the school advisory committees, and the district ELL advisory com- mittee. Standard Implemented: Partially January 2000 Rating: Not Reviewed September 2003 Rating: 3 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: Pupil Achievement 61 3.3 Special Education Professional Standard Individual education plans are reviewed and updated on time. Progress on Implementing the Recommendations of the Recovery Plan 1. The district continues to contract with an outside specialist to assist with certain components of the special education program. Interviews and documents indicated that there is an updated procedures manual for the district. Additional records show that referrals and placements are being documented; however, there is no indication that the district has a systematic review strategy for addressing issues. The district has implemented a Web-based IEP form. Staff members generally are satisfied with the new procedures. 2. A revised IEP format with updated written procedures indicates that there is a coor- dinated and articulated assessment and IEP process. Trainings have occurred during the year to make teachers and psychologists aware of the need for keeping triennials current. Principals have received monthly overdue lists, and their supervisors are provided with triennial and IEP information for discussion at principal meetings. 3. The district has a procedure to maintain updated IEPs. Past-due IEPs now number 270 and triennials number 185, which is the lowest number the district has ever had, ac- cording to one administrator. 4. An online data system is available in the special education division. It is not available to the schools and the other divisions. 5. The district continues to utilize the process started in the fall in which the Executive Director PEC works with the Psychologist Coordinator to send a monthly paper report of IEPs that are due to the principals and area assistants, who provide them to teach- ers. However, the schools do not assume responsibility for the maintenance of current IEPs. 6. A new IEP form has been developed for next year. The district is developing new data bases but they do not include special education data (except for some attendance, financial and other business data). The special education division has an updated data- base separate from the district information, and communication between the two divi- sions is not occurring regarding these data. According to data submitted to the review team in August, there are 270 IEPs (down from 2,434) and 185 triennials (down from 748) due by June 30. These numbers include IEPs or triennials due in July. 7. The Special Education Director is working with human resources to seek credentialed teachers. Fewer noncredentialed teachers were utilized for 2004-05. 8. The schools continue to receive IEP monthly reports, but there was no indication that the district utilizes corrective action plans for noncompliant sites. 62 Pupil Achievement 9. The Executive Director is working with Human Resources personnel to develop a recruiting plan. 10. A draft board policy holding schools accountable for special education programs has been submitted for adoption in August. 11. A district procedure has been developed governing the selection of a district advisory committee to review special education program issues and performance data. In order for the district to fully comply with this standard, the district must perform the following: • Continue to implement and monitor the district procedure for maintaining updated IEPs. • Develop a process for implementing the Web-based IEP with mandated imple- mentation in the schools. • Develop a database with all IEPs, triennials, and other necessary data. This data- base should be made available to sites for access and maintenance and should be designed so that sites can consistently update information. • Develop a district procedure mandating that all teachers and administrators receive professional development on resolving special education compliance issues and on implementing the corresponding solutions such as maintaining current IEPs and triennials. Standard Implemented: Partially January 2000 Rating: Not Reviewed September 2003 Rating: 3 March 2004 Rating: 4 September 2004 Rating: 4 September 2005 Self-Rating: 5 September 2005 New Rating: 5 Implementation Scale: Pupil Achievement 63 3.4 Special Education Professional Standard Programs for special education students meet the least restrictive environment provision of the law and the quality criteria and goals set forth by the California Department of Education. Progress on Implementing the Recommendations of the Recovery Plan 1. Substantial progress has been made toward preventing overdue IEPs since last May (See Pupil Achievement 3.1) Schools received notice to have updated IEPS and trien- nials when students moved, but there is no indication that this has become a common practice. 2. The coordination and flow of student services from one level to another has been articulated and improved through the regular meetings of teachers scheduled from February through June. 3. There is no indication that the recommendation to hold principals accountable was being addressed. The same paper process and letters occur; the principal evaluation instrument has not changed. The change requires negotiations with the principals union. 4. The review team received documents and information in August to support the ex- istence of a plan for addressing the evaluation process and triennials in a systematic fashion. 5. Interview data indicated that the use of software report-writing material had been ex- plored, but the software has not been implemented. The Executive Director reported that the Woodcock Johnson software had recently been purchased. Some progress is being made as a result of the purchase. 6. The Executive Director indicated that special education training had covered the issue of IEP committees and eliminating unnecessary assessments; however, there is no indication that assessment reductions have occurred. 7. The district continues to monitor the numbers of assessments by psychologists each month. There is no indication that individual psychologists are provided with guid- ance if they perform below district expectations. 8. Special education forms were revised and will be entered into a computerized system and utilized next fall. 9. The district continues to implement successful strategies to reduce backlogs. 64 Pupil Achievement 10. In the last FCMAT progress report, the Executive Director shared a draft policy on “special circumstance aides;” but there is no indication that this policy was imple- mented over the past school year. 11. The Executive Director continues to work on addressing the placement of students to and from group homes and outside agencies. No formal plan was presented; however, a process was described and meetings with parents have been held. 12. The Executive Director continued the compliance focus with trainings and school monitoring this year. 13. There is no indication that communication to the staff has emphasized the high prior- ity placed on legal compliance since the last progress report. 14. There is no indication that principals and coordinators have conferred on special edu- cation program evaluations. 15. The Executive Director has provided the updated policies that were developed this year by the district. A budget process has been designed to address district resource allocation. 16. There is no indication that the SELPA and program directors have been involved in budget development and implementation. 17. A budget for special education for 2004-05 was presented to the review team, meeting the previous recommendation. 18. The Executive Director works with schools, the advisory panel, and consulting staff on monitoring the growth of special education and the resources necessary. 19. Progress has been made on coordination with the juvenile justice system. The execu- tive officers meet three times per year with juvenile justice officials. 20. The district plans to address core curriculum and instructional strategies. However, there is no indication that the suggested strategies have been implemented. 21. The district continues to keep some records of referrals that were made through the psychological testing process, and documentation indicates whether the referral re- sulted in a placement recommendation. 22. The district implemented an autism program that has enrolled several students from nonpublic schools. As each annual review is performed, the nonpublic placement is reviewed, resulting in some reduction in the number of nonpublic placements. Prog- ress continues to be made, but the recommendation has not been fully met. 23. No progress was made toward the development of innovative practices. Pupil Achievement 65 24. Program reviews were being held in May and June, but there has been no major shift from special day classes to less restrictive environments. 25. The Executive Director presented a budget with caseload allocations included. Some additional progress has been made, but the recommendation has not been fully met. 26. A district special education philosophy has been published and widely distributed in the Special Education Administrative Handbook. 27. Since the last progress report, substantial progress has been made regarding the devel- opment of a special education recruitment plan. The district has hired 42 new special education teachers. Only one vacancy remained unfilled on August 25. 28. No additional progress has been made toward reforming the student review team process. The special education staff believes the SST is rightfully a general education function. 29. The Executive Director continues to work on priority areas within the special educa- tion program. The policy manual has been completed, and staff training on compli- ance issues has been initiated. Letters are sent to teachers who are noncompliant with IEPs and triennials However, the program as a whole has not been totally reviewed, and a special education plan has not been developed. 30. Working with the consultant, the Executive Director has addressed some issues to maximize the district’s special education funding, such as recovering dollars lost to inaccurate accounting and reporting, addressing staffing in a more definitive manner, reviewing nonpublic school placements, and reviewing transportation costs. A master plan is still being developed. In order to fully comply with the professional standard, the district must accomplish the following activities: • Revise the evaluation plan and hold principals accountable for overdue IEPs and triennials within their schools. • Identify, purchase, and require implementation of software to assist with report writing for evaluations. • Develop a procedure for reviewing the need for unnecessary triennial assessments. • Hold psychologists accountable for psychological assessments and eliminate posi- tions that do not comply. • Develop and implement a plan for IEP review that eliminates the backlog of re- views in the spring. The district also should monitor monthly compliance of IEPs held and adhere to consequences when IEPs are overdue. 66 Pupil Achievement • Complete the total special education program review and develop a three-year plan for improving the quality of all aspects of the program. The district also should involve the Special Education Advisory Committee in the process and ensure that all stakeholders have input into the plan and assume responsibility for its implementation. • Design a communication plan in which the schools and all program coordinators have an effective system for working together. • Develop and implement a plan for the total reduction of nonpublic placements and include the criteria for nonpublic placement decisions as a part of the plan. • Notify all the staff of the criteria for providing classes with aide positions. • Develop best practice policies and strategies for special education classrooms. The district also should disseminate, train, and monitor these practices and strate- gies with the staff and evaluate the effectiveness of change within the classrooms. • Develop a monitoring system for all aspects of the special education program. Further, the district should ensure that all stakeholders have clear responsibility for their roles, and implement consequences as necessary for lack of compliance. • Develop a way for the schools to access and update the special education central database and to assist with monitoring and compliance issues. Standard Implemented: Partially January 2000 Rating: Not Reviewed September 2003 Rating: 1 March 2004 Rating: 2 September 2004 Rating: 2 September 2005 Self-Rating: 5 September 2005 New Rating: 4 Implementation Scale: Pupil Achievement 67 4.1 High School Exit Examination – Pre-Exam Intervention Professional Standard A process to identify struggling students and intervene with the additional support necessary for them to pass the exit examination is well developed and communicated to teachers, students, and parents. Progress on Implementing the Recommendations of the Recovery Plan 1. The staff has taken actions and deployed resources to prevent students from failing the California High School Exit Examination (CAHSEE). 2. The staff has not implemented the FCMAT recommendation to develop a comprehen- sive written plan and set of procedures to (1) identify students who, because of their past academic performance, are at risk of failing one or more sections of the CAHSEE on their first attempts and (2) provide effective interventions for those students. Instead, the district CAHSEE Intervention Plan is focused on assisting students who have already failed the CAHSEE. For example, the CAHSEE Math Project, Purpose and Theory of Action, August 2004, begins with: “Assess student’s math mastery as measured by CAHSEE to pinpoint each student’s learning strengths and gaps….” To fully comply with the professional standard, the district must develop an interven- tion plan that contains comprehensive written procedures to identify and provide inter- ventions for students who are at risk of failing one or more sections of the CAHSEE on their first attempt. Standard Implemented: Partially January 2000 Not Reviewed September 2003 Rating: 0 March 2004 Rating: 1 September 2004 Rating: 2 September 2005 Self-Rating: 4 September 2005 New Rating: 3 Implementation Scale: 68 Pupil Achievement 4.2 II/USP—HPSG – Measurement of Student Achievement Progress Professional Standard Grant recipients are collecting required data to measure progress of student achievement. Progress on Implementing the Recommendations of the Recovery Plan 1. Board policy 6190, Evaluation of the Instructional Program, was adopted July 14, 2004. This regulation requires the review of the effectiveness of district programs through “regular reports on student progress toward board-established standards of expected achievement at each grade level in each area of study.” All schools are identified according to five performance bands based on the California Academic Per- formance Index. Schools designated as “orange” receive more intensive evaluation to ascertain whether academic progress is being made in the following areas: 1) The school as a whole and with all significant ethnic groups; 2) The individual students; and 3) An environment conducive to learning. a. The district is collecting assessment data on its data portal and the newly imple- mented Edusoft student information management system with data on STAR, CST, CAT6, CELDT, and CAHSEE. The integration of both data systems is still underway. The district is using the five school performance bands as accountabil- ity criteria for evaluating the core and consolidated instructional programs. b. Low-performing schools continue to receive the same data as the other district schools to measure student progress. There is no indication that this data is mak- ing a difference in instruction. c. The principals and teachers at the lower-performing schools are receiving more coaching and staff development support. The lowest-performing schools are be- ing closed and/or restructured under the district’s redesign plan. 2. The district continues to produce a variety of assessment reports to indicate broad- based levels of proficiency for student achievement. However, there are no reports that diagnose specific strengths or weaknesses in the core subjects or trends of improve- ment related to programs and instruction. 3. Data still continue to be made available in limited ways relative to social studies and science. More support and training in the use of assessment is underway for the sec- ondary principals and teachers. To fully comply with this standard, the district must take the following action: • Fully integrate and systematically use assessment data from an integrated student management information system that includes all grades, levels, and required sub- ject areas. Pupil Achievement 69 • Provide assessment reports that not only include demographic and ethnic group assessment data, but also include diagnostic, comparative, and longitudinal data to enable the lowest-performing schools to take appropriate corrective action. • Provide in-depth analysis reports that assist the lowest-performing schools in monitoring, adjusting and improving instruction and student achievement at those schools. Standard Implemented: Partially January 2000 Rating: Not Reviewed September 2003 Rating: 5 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 Self-Rating: 6 September 2005 New Rating: 6 Implementation Scale: 70 Pupil Achievement 4.3 II/USP—HPSG – Progress Toward Meeting/Exceeding Goals Professional Standard Grant recipients are meeting or exceeding goals as identified in action plans. Progress on Implementing the Recommendations of the Recovery Plan 1. The district had a large percentage of schools performing in decile 1, 2, or 3 on the 2003 CST (over 68 schools); this percentage includes schools that received II/USP grants. As stated by staff, “The needs of the II/USP and other low-performing schools are being addressed through planning, development, and the implementation of intense support structures.” The district has implemented its accountability plan through school closure and the redesign process aligned with NCLB. During 2004- 05, 13 schools were identified as Year 4 Program Improvement Schools, sanctioned under NCLB for not making adequate yearly progress (AYP). Plans are currently underway to close or restructure those schools. Eight other schools (two of which are also sanctioned under NCLB) also failed to make adequate progress on the Academic Performance Index (API) and are working with School Assistance Intervention Team (SAIT), level I providers. The state-approved SAIT providers are working with the district and schools to implement corrective actions based on the degree to which the state’s nine essential components for the elementary, middle, and high schools are in place. Some of the intensive support includes more attention to the core subjects, namely use of required materials and intervention programs, more staff development related to standards-based instruction (AB 466 and AB75), more assistance from Reading First and other content coaches for math and English/language arts, improved use of collaborative planning time, and the dedication of resources to meeting SAIT’s required corrective actions. The SAIT and PI 4 schools are in the early stages of cor- rective action. Student achievement based on STAR 2004 results continues to remain below state and district expectations. 2. Comparative data and analyses, useful to the grant recipient II/USP schools, are lim- ited. Trend data and schoolwide subgroup item analysis in the core subject areas that would assist schools in diagnosing student/program needs are available on a limited basis. There is a lack of coordination between planning and the action taken as a re- sult of academic conferences and the Single Site School Improvement Plans. To fully comply with this standard, the district must accomplish the following: • Provide intensive support to all schools performing in deciles 1-4 on the Academ- ic Performance Index and/or not meeting AYP and API school wide and subgroup growth targets. • Provide comparative data and analyses, including trend and diagnostic data, in the core subject areas, grades 2-12. Pupil Achievement 71 • Coordinate priority goals, action plans, and measured results established through aca- demic conferences with those identified in Single Site School Improvement Plans. Standard Implemented: Partially January 2000 Rating: Not Reviewed September 2003 Rating: 1 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 4 September 2005 New Rating: 4 Implementation Scale: 72 Pupil Achievement 4.4 II/USP—HPSG – Leadership for Underperforming Schools Professional Standard Principals and teachers in underperforming schools and/or in schools under mandated improve- ment programs are provided special training and support by the district; improvement plans are monitored. Progress on Implementing the Recommendations of the Recovery Plan 1. The lower-performing schools are receiving more coaching and technical support from within the district and through external providers and consultants. The redesign plan is underway and emphasizes improved instructional leadership, flexibility and supportive conditions, performance cultures, and shared responsibility between the schools and the district. The focus is on the instructional framework, professional development, school leadership development, and PD planning support. a. The district’s data portal and Edusoft system indicate there are continuing efforts to present quantifiable, comparative student achievement data in district reports; however, the II/USP schools still do not receive data that include narrative find- ings and conclusions with illustrations, charts, or graphs. b. Reporting practices that evaluate the schools’ academic progress continue to be minimal. A 2004 II/USP end-of-the-year district evaluation/impact report was not available. c. The Single Site Plans include goals, action steps, and time lines with minimal at- tention given to end-of-year progress reports. Recently, however, principals were asked to review their school’s progress through formal presentations to the school board. d. Executive directors continue to meet twice a month with principals–once a month for operational meetings and a second time for training and follow-up. The Principal’s Network that includes the most number of underperforming schools has fewer schools reporting to its executive director. New academic conference forms were designed to include priority objectives, action plans, and measures of success. Principals were trained in their use. e. Data that would identify specific academic and intervention needs common to the lowest performing schools were not presented to the review team. 2. The guidelines for principals to use in evaluating their schools’ progress, linked to the administrative appraisal process, have not been revised (See Standard 1.9). Proce- dures and a time line have not been formalized. Pupil Achievement 73 3. The Team continues to receive limited information about specific intervention plans or programs beyond Reading First and High Point for the elementary, middle, or high schools. An effort is underway at the middle and high schools to provide double peri- ods in support of ELL and/or students who have not passed the CAHSEE. There are no written guidelines relative to the evaluation of this assistance or whether the sup- port is having an effect on improved student achievement. 4. Through regularly scheduled meetings with the principals, Network executive direc- tors are continuing to informally identify common needs of the lowest-performing schools and increase the opportunity for those schools to align their priority academic goals with those of the district. To fully comply with this standard, the district must accomplish the following: • Fully implement the redesign plan and stabilize support for the lowest performing schools by providing consistent expectations for the implementation of the Single Site School Improvement Plans, technical support for standards-based instruction, training, and the continuance of fully credentialed teachers. • Require annual End-of-the-Year District Evaluation/Impact Reports for the schools designated “yellow,” “orange,” and/or those scoring in Deciles 1, 2, or 3. • Require quantifiable, comparative student achievement data in district reports that include narrative findings and conclusions with illustrations, charts or graphs. • Require written guidelines for principals to use to evaluate their schools’ progress. • Evaluate the implementation of intervention programs to determine whether pro- grams are having an impact on improved student achievement. • Identify the common needs of the lowest performing schools through feedback derived from the newly designed academic conference action plan forms coupled with the Single Site School Plans’ progress reports. Standard Implemented: Partially January 2000 Rating: Not Reviewed September 2003 Rating: 3 March 2004 Rating: 4 September 2004 Rating: 4 September 2005 Self-Rating: 4 September 2005 Rating 4 Implementation Scale: 74 Pupil Achievement Table of Standards for Community Relations/Governance Pupil Achievement 75 ��������������������������������������������������������������������������������������������������������������������� ��������������������������������������������������������������������������������������������������������������������� NR Indicates standard not reviewed NR Indicates standard not reviewed 76 Pupil Achievement Pupil Achievement Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The district through its adopted policy pro- 1.1 vides a clear, operational framework for man- 2 2 3 4 4 agement of the curriculum. The district has clear and valid objectives 1.2 for students, including the core curriculum 2 4 5 6 6 content. The district directs its resources fairly and 1.3 0 2 3 4 4 consistently to accomplish its objectives. The district has adopted multiple assessment tools, including diagnostic assessments, to 1.4 2 5 5 6 6 evaluate, improve, or adjust programs and resources. Expectations and a practice exist to improve the preparation of students and to build a 1.5 0 3 4 4 4 school structure with the capacity to serve all students. The assessment tools are clear measures of 1.6 what is being taught and provide direction for 0 1 3 4 4 improvement. Staff development provides staff with the 1.7 knowledge and the skills to improve instruc- 2 3 3 4 4 tion and the curriculum. Staff development demonstrates a clear 1.8 understanding of purpose, written goals, and 1 2 3 4 4 appropriate evaluations. Evaluations provide constructive feedback for 1.9 0 1 2 3 3 reviewing job performance. Teachers use a variety of instructional strate- 1.10 gies and resources that address their students’ 0 1 3 4 4 diverse needs. Students are engaged in learning, and they are 1.11 able to demonstrate and apply the knowledge and 0 1 NR NR NR skills. The standards set forth in the California Stan- dards for the Teaching Profession are present 1.12 and supported (California Commission on 1 5 5 6 7 Teacher Credentialing and California Depart- ment of Education, July, 1997). Teachers modify and adjust instructional plans 1.13 0 2 3 4 4 according to student needs and success. There is evidence that learning goals and instructional plans and programs are challeng- 1.14 0 2 3 4 5 ing for all students. (Reworded since the 2000 report) ��������������������������������������������������������������������������������������������������������������������� ��������������������������������������������������������������������������������������������������������������������� NR Indicates standard not reviewed NR Indicates standard not reviewed Pupil Achievement Pupil Achievement 77 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The administration and staff utilizes assess- 1.15 ment information to improve learning oppor- 0 2 4 5 6 tunities for all students. A common vision of what all students should 1.16 know and be able to do exists and is put into 0 1 NR NR NR practice. Goals and grade-level performance standards 1.17 0 3 4 5 5 based on a common vision are present. Every elementary school has embraced the 1997 1.18 California School Recognition Program Stan- 2 2 NR NR NR dards. Efforts will be made by the district to partnership 1.19 with state colleges and universities to provide ap- 8 8 NR NR NR propriate courses accessible to all teachers. Administrative support and coaching is provided 1.20 2 2 NR NR NR to all teachers. Professional development is linked to person- 1.21 0 0 2 3 3 nel evaluation. Collaboration exists between higher education, 1.22 district, professional associations, and community 8 8 NR NR NR in providing professional development. Initial placement procedures are in place to ensure the timely and appropriate placement 1.23 1 3 4 5 5 of all students with particular emphases being placed on students with special needs. Clearly defined discipline practices have been es- 1.24 tablished and communicated among the students, 7 7 NR NR NR staff, board, and community. The district will ensure that all instructional 1.25 5 6 6 7 7 materials are accessible to all students. The district has adopted a plan for integrating 1.26 2 4 NR NR NR technology into the curriculum. The district planning process ensures focus 1.27 and connectivity to increased student produc- 0 3 3 4 4 tivity. Human resources practices support the deliv- 1.28 1 1 1 1 2 ery of sound educational programs. AIDS prevention instruction occurs at least once in junior high or middle school and once in high 2.1 0 4 NR NR NR school and is consistent with the CDE’s 1994 health framework (EC51201.5). On a yearly basis the district notifies all eleventh and twelfth grade students regarding the Califor- 2.2 9 9 NR NR NR nia High School Proficiency Examination (Title 5, 11523, EC48412). ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd 78 PPuuppiill AAcchhiieevveemmeenntt PPuuppiill AAcchhiieevveemmeenntt Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating Class time is protected for student learning 2.3 2 2 NR NR NR (EC32212). A process is in place to maintain alignment 2.3a between standards, practices and assessments. New 2 4 5 5 (Added since the 2000 Report) Categorical and compensatory program funds 2.4 supplement and do not supplant services and ma- 5 5 NR NR NR terials to be provided by the district (Title 53940). A requirement is in place for passing the basic 2.5 skills proficiency examination by instructional 10 10 NR NR NR aides. (EC45344.5, EC545361.5) The general instructional program adheres to all 2.6 5 6 NR NR NR requirements put forth in EC51000-52950. The Governing Board has adopted and the district is implementing the California state 2.6a New 2 4 5 5 standards and assessments. (Added since the 2000 Report) All incoming kindergarten students will be admit- ted following board-approved policies and admin- 2.7 10 10 NR NR NR istrative regulations (EC48000-48002, 48010, 498011). The district shall inform parents of the test scores 2.8 of their children and provide general explanation 10 10 NR NR NR of these scores (EC60720 and 60722). The district shall be accountable for student results by using evaluative information regarding 2.9 the various levels of proficiency and allocating 1 3 NR NR NR educational resources to assure the maximum ed- ucational opportunity for all students (EC60609). Student achievement will be measured using standardized achievement tests and a variety of 2.10 1 3 NR NR NR measurement tools, i.e., portfolios, projects, oral reports, etc. (EC60602, 60605). The identification and placement of English- language learners into appropriate courses is 3.1 New 3 3 4 5 conducted in a timely and effective manner. (Added since the 2000 Report) Programs for English-language learners com- ply with state and federal regulations and meet 3.2 the quality criteria set forth by the California New 3 3 4 5 Department of Education. (Added since the 2000 Report) Individual education plans are reviewed and 3.3 updated on time. New 3 4 4 5 (Added since the 2000 Report) ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd PPuuppiill AAcchhiieevveemmeenntt PPuuppiill AAcchhiieevveemmeenntt 79 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating Programs for special education students meet the least restrictive environment provision of the law and the quality criteria and goals set 3.4 New 1 2 2 4 forth by the California Department of Educa- tion. (Added since the 2000 Report) A process to identify struggling students and intervene with additional support necessary to pass the exit examination is well-developed 4.1 New 0 1 2 3 and communicated to teachers, students and parents. (Added since the 2000 Report) II/USP grant recipients are collecting required data to measure progress of student achieve- 4.2 New 5 5 6 6 ment. (Added since the 2000 report) II/USP grant recipients are meeting or exceed- 4.3 ing goals as identified in action plans. New 1 3 3 4 (Added since the 2000 Report) Principals and teachers in underperforming schools and/or in schools under mandated improvement programs are provided special 4.4 New 3 4 4 4 training and support by the district; improve- ment plans are monitored. (Added since the 2000 Report) ��������������������������������������������������������������������������������������������������������������������� ��������������������������������������������������������������������������������������������������������������������� NR Indicates standard not reviewed 80 Pupil Achievement FINANCIAL MANAGEMENT Summary of Findings and Recommendations While the district is working to address its structural budget problem, it continues to experience turnover in its management and staff in both the Business and Personnel departments. This turn- over, coupled with the district’s reorganization of the entire management structure, has resulted in a loss of management continuity. Newer staff members are learning their jobs and so are less focused on addressing the issues and recommendations identified in the recovery plan. They are also unfamiliar with the status of the district’s prior efforts to address the recommendations. While the new organizational structure may prove to be effective for both financial and educa- tional management, in the short-term the many staff changes have resulted in the district making little progress in addressing the standards during this reporting period. In the previous review, progress was noted in areas such as the development of policies and procedures. The district finalized its Business Services Guide during the current review period. However, with the reorganization of the management functions across the district, the guide will need to be reviewed and revised to ensure that it is consistent with the current structure and process. Other positive items noted are the provision of training to accounting staff in areas such as SACS and year-end closing, the implementation for the 2005-06 year of a new attendance/student infor- mation system, and the commitment of $7 million for the upgrade of IFAS, the financial/person- nel system. However, in other areas, such as the establishment of a fully implemented, integrat- ed, and accurate position control system that gives the district tight control over personnel costs, the district has made little progress. The issue of greatest concern for the district is its structural deficit and the need to reduce expen- ditures to the level that revenues can support. While the district appears to have reduced the op- erating deficit, the deficit has not been eliminated and it is not certain that the district can achieve the level of expenditure reductions it is projecting for the 2005-06 and 2006-07 fiscal years. Even with the reductions projected by the district, given its ongoing enrollment decline, cost pressures for items such as benefits, insurance, utilities, and automatic cost increases for step and column movement, the district will be pressed to keep the deficit from starting to grow again in the out- years. Further, given that the vast majority of expenditure reductions have resulted from wage and benefit concessions negotiated with the various employee bargaining groups, there will be growing pressure each year to grant some level of compensation increase. The deficit continues to be exacerbated by the district’s steep and ongoing decline in enrollment, which shows no evidence of abating. The enrollment decline by itself requires the district to reduce expenditures every year, so as to prevent the structural deficit from increasing. Other significant issues related to the operating deficit include: • Resolving prior year audit findings related to state and federal categorical funds. • Maintaining the large number of small school sites, given the continuing declining enrollment. • Reducing staffing to a level that can be supported by current revenues. Financial Management 1 • Preventing other district funds from encroaching on the district’s general fund. • Determining if results-based budgeting, which poses significant challenges in the areas of budget development and monitoring, provides greater student achievement at lower cost as projected. The district’s fiscal recovery plan is a tool to move the district toward financial stability. How- ever, any change in the underlying assumptions contained in the fiscal recovery plan will affect the viability of the plan and the district’s ability to achieve fiscal solvency. The plan assumes that the district will be able to either negotiate or unilaterally impose a cap on health benefit costs. If the district is not able to obtain a cap on health benefits, the district could be incurring $4 mil- lion or more annually of additional health benefit costs that are not included in the recovery plan. The plan also assumes that if 13 Program Improvement schools that are in Year 4 are converted to charter schools, the conversion could be structured to be cost neutral to the district. As the 13 schools serve more than 7,000 students, if the district’s assumption is incorrect, the financial loss from converting these schools to charters could be very significant. The district must link its day-to-day management activities with the fiscal recovery plan, and actively monitor its financial status and the accuracy of the assumptions on which the plan is built. Budget Development and Monitoring The budget is a school district’s single most important planning document. It is the key document that correlates a district’s educational goals and priorities with the financial resources available and budgeted to meet those goals. The budget is the primary vehicle by which a district explains to staff, parents, and the community its financial plan for meeting educational goals. The budget is also the key document for controlling district finances and ensuring fiscal solvency. Therefore, the development of the budget and its monitoring during the course of the fiscal year are two of the most important financial management activities that a district performs. The district’s budget development process is now more actively managed by the Budget and Fi- nance Departments. The oversight conducted by management staff provides a critical review and evaluation of budget information and assumptions. Further, it appears that the district is doing a better job of documenting the information and basic assumptions used in building the budget. Therefore, the district’s budget should be more accurate. Since the district had not closed its books at the time of the FCMAT review, a comparison of budget-to-actual revenues and expenditures could not be made. However, a comparison of the district’s adopted budget to the estimated actuals showed an increase of $33 million in revenues and $40 million in expenditures. While changes in the budget are to be expected, these are sig- nificant variances. After the books are closed, the district should evaluate the differences between budget and actuals, identify the areas where the district is not accurately budgeting, and make changes in procedures to more accurately budget revenues and expenditures. The district has established some formal budget policies and procedures. Nevertheless, the qual- ity of the budget and budget process is still heavily dependent on the knowledge and involve- ment of the senior administrators. Further complicating this process is the turnover in staff, the reorganization of the management structure, and the migration to “results-based budgeting,” 2 Financial Management which decentralizes a significant portion of the budget development process. This change makes the budget development process more difficult to manage. Therefore, the district needs strong policies, procedures, and systems in place to ensure that the budget is accurate, meets standards, and sustains any progress made. The district is still not fully utilizing position control, which compromises its ability to budget, monitor, and control personnel expenditures. Given the exceptionally large percentage of the budget that personnel costs comprise, this could put the district at significant risk. Accounting Policies, Procedures, and Controls The key to monitoring and controlling the budget is the ability to produce accurate and timely fi- nancial information. Accounting policies, procedures, and controls are the tools used by districts to ensure that transactions are processed timely and accurately, financial information is reported appropriately and is free from misstatement, and assets are protected from theft or misappropria- tion. The district has made some progress in improving its accounting processes by: • Improving staff capacity by revising job qualifications to require greater education and technical knowledge. • Providing staff training regarding the Standardized Account Code Structure (SACS) and year-end closing. • Providing resource materials for staff by providing a copy of the California School Accounting Manual (CSAM) to all accounting staff and formalizing its Business Ser- vices Guide. While these items may increase staff’s technical skill and capacity, the turnover in management and staff, the reorganization of the management structure for business functions, and the high number of employees without school district experience make continued training in this area necessary to build staff capacity. Further, while the revised job duties/descriptions identify per- formance metrics for staff and anticipate annual evaluations and staff training, the district has not consistently evaluated its employees to identify and address capacity and training issues. Annual staff evaluations are integral to establishing high expectations for employee job performance. The evaluations also help to facilitate the development of effective annual training plans for indi- vidual staff members, and for the department as a whole. Supervisors and managers still appear to be very busy dealing with various issues and emergen- cies that seem to arise with relative frequency. As a result, accounting staff are not closely super- vised nor is their work reviewed often on any meaningful basis. Clearly, until policies and proce- dures are in place, training has been completed, systems improved, and staff’s technical capacity increased, close monitoring, supervision, and review by the accounting supervisors and managers is critical in order to ensure the timely and accurate recording and reporting of financial transac- tions. Financial Management 3 Management Information Systems A necessity for managing district finances is an appropriate and effectively utilized management information system. Integrated budget, financial, and personnel systems assist the district in pre- paring and monitoring its budget, projecting and controlling personnel costs, and recording and reporting accurate financial information in a timely manner. In the past, the district operated with antiquated and ineffective non-integrated systems which contributed to the lack of timely and ac- curate financial information, and undermined budgetary controls. The district recently converted to a new financial management system and implemented the human resources/payroll module. However, it was reported that staff are still not using all the available system capabilities, positions are being tracked outside of the position control system, and system controls were being circumvented. The district needs to develop documentation and implement security controls. Critical information related to seniority and credentialing is not yet fully loaded onto the system. Thus, while some progress has been made, there are still many areas in which the district needs to significantly improve. The district is moving forward with plans to implement a new student attendance and informa- tion system for the 2005-06 year. The district also has committed $7 million to address ongoing problems with the IFAS personnel/financial system. Special Education Special education is typically one of the largest categorical programs operated by a school district. Legal requirements, unique program needs, and insufficient funding make the financial management of this program problematic. In fact, most districts’ special education expenditures exceed their special education revenues. This “encroachment” of special education costs on un- restricted general fund revenues is virtually unavoidable. Nevertheless, as excess program costs use the districts’ relatively scarce unrestricted general fund money, minimizing encroachment is important for all districts. The district has historically run a significant deficit in its special education program. Currently, the district is attempting to better control costs by reducing NPS/NPA placements, controlling staffing ratios and the number of staff, recouping costs for LCI and charter school students, and improving the intervention and assessment processes. In addition, the district is taking steps to reduce transportation costs for the special education program. Nevertheless, the district continued to run a large deficit in the 2004-05 fiscal year and anticipates the deficit to continue in 2005-06. The district is in a particularly difficult position since it needs to reduce its special education general fund encroachment. However, such a reduction may violate federal maintenance-of- effort requirements. In turn, this could result in the district losing federal funds, which would then result in increased general fund encroachment. 4 Financial Management 1.2 Internal Control Environment—Governing Board and Audit Committee Participation Professional Standard The district should have an audit committee to: (1) help prevent internal controls from being overridden by management; (2) help ensure ongoing state and federal compliance; (3) provide assurance to management that the internal control system is sound; and, (4) help identify and cor- rect inefficient processes. [SAS-55, SAS-78] Progress on Implementing the Recommendations of the Recovery Plan The district did not implement the general recommendation regarding the establishment of an audit committee or any of the related recommendations regarding the following: • Defining the reporting relationship for the audit committee • Determining the composition of the audit committee • Establishing the audit committee’s charge • Determining the frequency of the audit committee’s meetings • Establishing the authority of the audit committee However, the district has established board policy 3460 that addresses the role of an audit committee, should one be formed. Nevertheless, the district still needs to implement the original recommendation to form a standing audit committee based on the following considerations: 1. Reporting Lines The audit committee would exist at the pleasure of the district’s Governing Board and Superintendent. Organizationally, the committee stands apart from all other district departments and functions. Any internal auditors, whether district employees or contracted audit firms, should report to the audit committee on a regular basis. The Governing Board and Superintendent should establish a charter and bylaws for the audit committee that define the following: a. Functions and objectives b. How members are appointed c. Terms for members d. Voting and quorum requirements e. How the members are to involve and communicate with district management and the Governing Board 2. Composition Typically, an audit committee is composed of five to seven people. Ideally, committee members should have business or legal backgrounds. While the committee may include members from the district, those district members should not dominate it. Rather, to ensure independence, the committee should have a majority of its members from outside the district. In accordance with district policy, minimal compensation and expense reimbursements may be given to committee members. Financial Management 5 4. Committee Charge Typically the audit committee’s charge is to perform the following: a. Oversee the independent audit and reporting process. This includes the selection of the independent auditor, preferably through a bid process that focuses primarily on qualifications before price. b. Ensure timely attention is paid to control and compliance weaknesses. The external and internal auditors should communicate all findings to the committee. Management is responsible for responding to the findings as part of the resolution process. c. Encourage legal and ethical conduct of management and employees through the audit process. The audit committee, through its assignments to internal audit staff or by its evaluation of external audit findings, should ensure management and staff are accountable for adherence to board policy regarding legal and ethical conduct. d. Increase confidence in the financial reporting process. The audit committee helps to ensure that the financial reports are adequately reviewed and accurately stated, as verified by the auditors. e. Provide an annual report to the Governing Board, Superintendent, and management. The report should identify significant issues related to financial statements, the annual audit and internal audits (including findings), and the audit committee’s recommendations. 5. Frequency of Meetings There are obvious reasons during the year that the audit committee should meet, such as the following: a. To select the independent auditor. This may not be an annual task, since most agencies have multiyear contracts for audit services. b. To meet with the independent auditor to review the audit findings. This is an annual task that includes followup on prior audit findings. c. To meet with management regarding the audit findings and resolutions resulting from external and internal audits. d. To meet with the internal auditor to make annual work assignments and to review the internal audit reports. 6. Committee Authority Any organization brings with it various political realities and the potential for misdirected agendas. While there is the potential for the audit committee to overstep its delegated powers, the committee process in its nonpublic setting involves primarily behind-the-scenes work. The committee has the responsibility to sift through the facts for accuracy and offer management an opportunity to act on these facts and/or resolve issues. 6 Financial Management Standard Implemented: Not Implemented January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 0 September 2004 Rating: 0 September 2005 Self-Rating: 0 September 2005 New Rating: 0 Implementation Scale: Financial Management 7 1.6 Internal Control Environment—Hiring Policies and Practices Governing Financial Management and Staff Professional Standard The district should have procedures for recruiting capable financial management and staff, and hiring competent people. [SAS-55, SAS-78] Progress on Implementing the Recommendations of the Recovery Plan 1. The district has not implemented the recommendation to formally document and adopt policies and procedures for the recruiting and hiring process to ensure that candidates are appropriately evaluated and possess the required knowledge and skill. The district is revising its organizational structure, job descriptions, and the hiring process. As a result, the development and adoption of the needed changes is still in process. The district previously took steps to improve the hiring process with the goal of at- tracting and retaining qualified and technically proficient staff. The district created new job classifications/job descriptions for positions such as Deputy Superintendent, Chief Financial Officer, Financial Services Officer, Fiscal Services Manager, Fis- cal Analyst, Information Technology Officer, and Risk Management Officer, to align them with the actual tasks performed. However, the district is currently in the process of completely restructuring all administrative functions, including those for financial management. To date, the district has redesigned approximately half of the functions related to financial services. The new job descriptions were created and employees were required to reapply for their jobs. In addition, the positions were posted outside the district. The goal was to ensure that employees have sufficient education, techni- cal knowledge, and experience to successfully perform the required duties. The hir- ing process included panel interviews that used a formal evaluation sheet, reference checks, and verification of education, certifications, and other credentials. This has resulted in some changes at the working level. However, it is too soon to draw any conclusions regarding the effect on increasing staff skill, proficiency, and productivity. Job descriptions are still being developed for the remaining fiscal areas, such as ac- counts payable, grants management, and risk management. Once the job descriptions have been completed, the district will repeat the process of advertising for the posi- tions, having staff reapply, and interviewing and checking references and credentials for candidates. The district also finalized its Business Services Guide, which contains some general guidance regarding the hiring process, but it contains little detail that would ensure that employees have the necessary credentials and qualifications. In previous reviews, the Business Department was considering the implementation of a process to test core competencies for entry-level positions; however, such a process has not been imple- mented to date. While the board policies include general statements about hiring, there is nothing that is sufficiently detailed to guide the hiring process to ensure that staff possess the required skills. 8 Financial Management 2. The district has not implemented the recommendation to provide formal training to its managers and supervisors regarding the legal and technical aspects of the hiring process, conducting hiring interviews, and evaluating the qualifications of candidates. This training should be provided to all supervisors and managers who will be involved in the hiring process. 3. The district has not implemented the recommendation to establish formal policies and procedures that fulfill the following functions: • Require the verification of credentials, work history, references • Identify the department/employee responsible for verification • Establish the process, methods, and forms used for verification For recent hires, the district appears to be checking references and credentials, with reference checking performed by the Human Resources Department and additional checking for management positions done by the Chief Financial Officer. In addition, the Business Services Guide identifies the requirements for items such as fingerprint- ing and tuberculosis testing. However, there is nothing to indicate that the district has adopted and implemented formal policies and procedures related to verifying creden- tials, work history, and references of employment candidates. The business office should work with the Personnel Department to develop formal policies and procedures regarding the verification of employment history, credentials, and references for employment candidates. Those policies and procedures should establish a consistent system for background and reference checks that designates the employee responsible to perform the checks, what checks are to be made, and how the results of the checks are to be documented. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 6 September 2005 New Rating: 4 Implementation Scale: Financial Management 9 1.7 Internal Control Environment—Employee Performance Appraisals Professional Standard All employees should be evaluated on performance at least annually by a management-level em- ployee knowledgeable about their work product. The evaluation criteria should be clearly com- municated and, to the extent possible, measurable. The evaluation should include a followup on prior performance issues and establish goals to improve future performance. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has not implemented the recommendation to require and ensure that all business office employees be evaluated at least annually, and that such evaluations adequately measure job skill and performance related to the individual job. The district’s board policies do not address annual evaluations for classified employ- ees; however, the Business Services Guide recognizes the need for annual evaluations at a minimum. The new job descriptions that have been written to date identify items to be used for the measurement of performance, but the actual instruments and docu- ments, such as customer surveys and service-level agreements, have not yet been developed. When implemented, the goal will be to evaluate all employees annually, after the close of the fiscal year. However, these items were not implemented for the 2004-05 fiscal year. The district should implement the recommendation to work with Personnel staff to ensure that all staff is evaluated at least annually. The evaluation of staff should be the responsibility of each supervisor and manager, and the completion of those evalua- tions should be one of the criteria on which the individual supervisors/managers are evaluated. The district needs to implement a process to track and monitor outstanding evaluations for all employees. In addition, to the extent that the district intends to use customer surveys, a process needs to be developed to distribute, collect, and aggregate the information contained in the surveys, so that information can be used by supervi- sors/managers in the evaluation process. The evaluation process and related form(s) should be adequate to evaluate the employ- ee’s skills and performance related to his/her specific job. The evaluation also should identify areas for future improvement and establish goals and methods related to the improvement areas. The evaluation, and specifically any areas identified for improve- ment, ideally should relate to the staff training plan developed for the employee. . 10 Financial Management Standard Implemented: Partially January 2000 Rating: 3 September 2003 Rating: 2 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 5 September 2005 New Rating: 3 Implementation Scale: Financial Management 11 2.4 Inter- and Intra-Departmental Communications—Communication of Il- legal Acts Professional Standard The district should have formal policies and procedures that provide a mechanism for individu- als 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 partially implemented the recommendation to adopt board policies and administrative regulations regarding its commitment to the following: • Ensuring legal and ethical conduct by all employees • Implementing a system of policies and procedures to prevent and detect fraud. The administrative regulations outline 11 examples of conduct or activities that would be defined as fraud, financial impropriety, or irregularities. These examples, while not all encompassing, provide some of the basic concepts for district staff. The regulations also discuss disposition of instances of substantiated fraudulent activity. 2. The district implemented the recommendation to adopt the Business Services Guide to provide information and guidance to staff on the handling of job duties, transactions, and processes within the business office. However, the guide itself does not address the illegal acts and the reporting of those acts, and training has not been provided regarding the manual and its use. If it is utilized by staff, this guide should help to strengthen internal processes and controls. While the guide provides the basic concepts and legal requirements for busi- ness office operation, it is not sufficiently detailed on the actual processing of transac- tions or how to handle suspected instances of fraud. The district should supplement the Business Services Guide with desk manuals for the various jobs/functions. The desk/procedures manuals should establish procedures that provide sufficient controls to reduce the likelihood that fraudulent activity could occur and not be detected in the normal processing of transactions. Appropriate activi- ties include separation of duties, supervision and review of work, adequate ongoing job training, job rotations, and mandatory vacation policies. In addition, the manual should identify red flags for fraud and the appropriate steps to be taken. In addition, the district is in the process of scheduling staff training regarding fraud. It is anticipated that CASBO will provide staff training. 3. The district has not implemented the recommendation to establish a hot line for re- porting suspected fraud. 12 Financial Management The district should implement an anonymous fraud hot line that provides easy access for reporting suspected fraudulent activity. The hot line should be a function of the Internal Audit Unit. All hot line calls should be logged, evaluated by the internal audit manager, prioritized, and assigned for investigation. The Internal Audit Unit would be responsible for coordinating activities with the other district and external entities. 4. The district has not implemented the recommendation to establish an internal audit unit that is organizationally independent. The district should establish an Internal Au- dit Unit that is organizationally independent and reports either to the Superintendent or the audit committee. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 0 September 2004 Rating: 2 September 2005 Self-Rating: 2 September 2005 New Rating: 2 Implementation Scale: Financial Management 13 4.2 Internal Audit—Organization and Management of Internal Audit Func- tions Professional Standard Qualified staff should be assigned to conduct internal audits and be supervised by an independent body, such as an audit committee. Progress on Implementing the Recommendations of the Recovery Plan The district has not implemented the recommendation to establish an independent audit function to review and evaluate district programs and operations on an ongoing basis. The district indicat- ed that it hoped to have an internal audit function in place by the 2006-07 fiscal year; however, it may outsource the function. In the prior progress report, the district was in the process of drafting an Internal Control Manual which was intended to outline the concepts of internal control and include audit items to be used in the basic review of various accounting areas. The information could be used as a basic starting point for internal audits. However, with the turnover in district staff and the reorganization of the business departments, the status of the manual is unclear. The district should implement the recommendation to establish an independent internal audit function that is staffed by qualified employees and that is under the direction of an independent body, such as an audit committee. Specifically, it should complete the following: 1. The board should adopt policies establishing an internal audit function. The policies should address necessary qualifications for both the manager/supervisor and staff posi- tions. The minimum qualifications should include a four-year degree and CPA, CIA, CISA, or CFE certification, or equivalent audit experience. 2. The Internal Audit Unit should have from one to three staff members. One position should have supervisory/management experience and be responsible for the daily oversight and management of work. Duties for this manager position would include the following: • Serving as liaison to the Superintendent, CBO, Audit Committee, and board • Preparing the annual audit plan • Scheduling work and coordinating with the other departments • Supervising work and reviewing work papers to ensure adherence to profes- sional standards • Evaluating employees and preparing training plans to ensure compliance with continuing professional education requirements 14 Financial Management 3. The Internal Audit Manager should present reports to the audit committee or the board. In addition, the manager should provide periodic progress reports for projects currently in process. 4. The audits should follow standards established by the Institute of Internal Auditors. In addition, the department should do the following: • Use planning memoranda to plan and manage audits • Use standard audit programs • Have standard requirements for workpaper documentation, cross-referencing, and maintenance of workpaper files • Have policies and procedures regarding sampling methodologies and materials. • Provide draft reports to the department/sites/programs being audited in order to obtain comments and additional information • If draft findings are not resolved, the department’s comments should be in- cluded in the final report Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 0 September 2004 Rating: 1 September 2005 Self-Rating: 1 September 2005 New Rating: 1 Implementation Scale: Financial Management 15 4.4 Internal Audit—Organizational Placement and Establishment of Workplan Professional Standard Internal audit functions should be designed into the organizational structure of the district. These functions should include periodic internal audits of areas at high risk for noncompliance with laws and regulations and/or at high risk for monetary loss. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has not made any additional progress in implementing the recommenda- tion to establish an independent audit function to review and evaluate district pro- grams and operations on an ongoing basis. 2. The district should implement the recommendation to establish an internal audit func- tion that is independent of all operation areas and staff. Accordingly, the internal audit function should have reporting responsibility to the audit committee and Superinten- dent/State Administrator. The Internal Audit Unit should develop an annual workplan identifying areas of previous noncompliance that are otherwise considered high risk, and have the plan approved by the audit committee. Additional requests for review should be initiated by a request to the audit committee, which will either approve or disapprove such requests. In addition, the audit committee should be able to authorize additional reviews to be made by the internal audit staff during the course of the year. Such reviews should utilize items, such as professional and state accounting standards, laws and regulations, categorical program requirements, and the district’s policies and procedures, in identifying evaluative criteria and standards for internal audits conduct- ed. Standard Implemented: Partially January 2000 Rating: New September 2003 Rating: 0 March 2004 Rating: 0 September 2004 Rating: 1 September 2005 Self-Rating: 1 September 2005 New Rating: 1 Implementation Scale: 16 Financial Management 5.6 Budget Development Process (Policy)—Projection of the Net Ending Balance Professional Standard The district must have an ability to accurately reflect their net ending balance throughout the budget monitoring process. The first and second interim reports should provide valid up dates of the district’s net ending balance. The district should have tools and processes that ensure that there is an early warning of any discrepancies between the budget projections and actual revenues or expenditures. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has partially implemented the prior recommendation to establish written policies regarding fiscal operations, monitoring, and the closing process to improve control over transactions and the quality of budget monitoring. It is important for the district to establish policies and procedures regarding the re- quirement to monitor and evaluate budgeted and actual revenues and expenditures during the course of the fiscal year, and to determine the effect on the projected net ending balance. Specifically, items that discuss budget development, monitoring, in- terim reporting, and the projection of net ending balances include: • Board policies—3000, 3100, 3460 • Administrative regulations—3100, 3460 • Business Services Guide—Chapter 5 In addition, the district provided formal training regarding the year-end closing pro- cess, adopted the year-end closing checklist adopted by the Alameda County Office of Education, and established internal deadlines and cut-off dates. None of the items developed to date provide detailed information with regard to the actual process and procedures established by the district to ensure that the activities are occurring appropriately, accurately, and timely. Turnover in the business office's management personnel and the reorganization of business/financial functions have negatively affected the process for preparing and monitoring the budget. Essentially, all the management staff has changed in the last six months. Responsibilities will have to be defined, and the new staff will have to become familiar with district systems and processes. The district should continue to develop/update policies, administrative regulations, and business processes. Most critically, the district should formalize the processes, forms, timing, and responsibility for budget development, monitoring, and projec- tion of the net ending balance throughout the year. The district should monitor the budget and projected net ending balance not only at the interim reporting periods, but on a monthly basis. If implemented with appropriate staff training, the new/updated policies and procedures should help to provide greater oversight and control over the processing of financial transactions and the monitoring of the budget. Financial Management 17 2. The district prepared a third interim report for the 2004-05 fiscal year, and likely will be required to file a third interim report for the 2005-06 fiscal year. Interim reports, particularly a third interim, provide the district with a specific window to update its projections and evaluate its projected net ending balances. For the 2004-05 fiscal year, differences between the net ending balances projected in the interims and the unaudited actuals could not be evaluated since the district had not closed its books when the review visit occurred in late August. However, the district’s interim reports showed a significant change in net ending bal- ances from the original budget due to changes in beginning fund balances, projected revenues and expenditures, and other sources (draw down of the state loan). These changes show that the district is attempting to monitor changes throughout the year, but could also indicate ongoing issues in the budget development process. As financial information is corrected, the staff is further trained, policies and procedures imple- mented, and supervision and monitoring increased, the district should be better able to project revenues, expenditures, and fund balances. At this time, the effectiveness and accuracy of the district's monitoring cannot be evaluated, particularly in light of the large turnover in management staff and the wholesale reorganization of the financial functions. The district's policies should specifically require the preparation of a third interim report for future fiscal years. The third interim report should be used to forecast prob- lems and to more accurately project the net ending balance for the year-end closing so that the district has advance knowledge of the issues that could be faced. The policies should also require that the third interim report reflect revenues and ex- penditures through April 30, and be delivered to the Governing Board in open session no later than May 31. While this third interim report has a shorter deadline than other interim reports, the time line is required in order to provide the district with advance notice regarding the year-end balances. 3. The district has implemented the recommendation to provide in-house training to Governing Board members regarding the financial reporting process and how to in- terpret the information contained in the reports. This was performed at a board retreat provided to explain the district’s second interim report. The Governing Board should be encouraged to take formal training related to finan- cial reporting and how to read financial reports — such as the interim reports — and the characteristics of such reporting that are vital focal points. Such training can be obtained through various organizations, such as the California School Boards Associa- tion and the California Association of School Business Officials. In addition, district fiscal staff should continue to provide in-house training to Board members, and provide study sessions as necessary for items such as the budget and financial statements. 18 Financial Management Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 5 September 2005 New Rating: 4 Implementation Scale: Financial Management 19 6.1 Budget Development Process (Technical)—Technical Methodologies Used to Forecast Preliminary Budget Revenues and Expenditures Professional Standard The budget office should have a technical process to build the preliminary budget that includes: the forecast of revenues, the verification and projection of expenditures, the identification of known carry over and accruals, and the inclusion of expenditure plans. The process should clearly identify onetime sources and uses of funds. Reasonable Average Daily Attendance (ADA) and Cost of Living Adjustment (COLA) estimates should be used when planning and budgeting. This process should be applied to all funds. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has partially implemented the prior recommendation to formalize its bud- get development process in a procedures manual and also to have desk manuals for each position that specify how the various tasks should be carried out. The district has adopted a Business Services Guide, which has a section relating to the district budget and a Budget Planning Manual. These guides provide good high- level information regarding budget concepts relating to revenues (various revenue sources) and expenditures (components and factors affecting expenditures), as well as organization and presentation of budget information. The guides are not quite detailed enough to function as a desk manual or guide specifically tailored for the district. The district has developed desk manuals for some budget/accounting functions; however, it did not provide a manual that specifically addressed budget development and moni- toring functions for the central office staff. That type of reference material would help to increase the efficiency and accuracy of the preparation of budget data, and also provide a resource to maintain continuity in the case of staff turnover. Complicating the budget development process is the district's conversion to the Re- sults-Based Budgeting process, which shifts a significant amount of responsibility for site and department budgets to the site/department administrators. For the develop- ment of the 2005-06 site budgets, the district has implemented an online software tool that provides necessary revenue and expenditure information. Principals were provid- ed with training, a user manual and an online tutorial, and were specifically assigned fiscal staff to assist in the process. The determination of the actual revenue amounts, salary, benefits, and other support costs was made by the budget office. These amounts were provided to the site ad- ministrators, who then made budget/resource allocation decisions for their individual sites. Once all site budgets were completed, the district uploaded the information to the IFAS system. The 2005-06 fiscal year will be only the second year of the district’s conversion to Results-Based Budgeting. The district’s books were not closed at the time of FCMAT's visit, so the results from the first year were not fully known. No evaluation can be made at this time regarding the adequacy of controls or the district's ability to monitor and control its budget in the new environment. 20 Financial Management Given the increased number of individuals involved in developing and monitoring the budget, it is important for the district to implement sufficient controls and develop a comprehensive manual covering all facets of budget development and monitoring specifically related to the Results-Based Budget approach. 2. The district has partially implemented prior recommendations to address problems related to the human resources/payroll module of the Bi-Tech integrated financial sys- tem. The district has been implementing the Bi-Tech integrated financial system over the last several years. The financial reporting modules (general ledger, accounts payable, accounts receivable, purchasing, and human resources/payroll) were previously imple- mented. At the time of the prior review, the implementation of the human resources/payroll module was one of the most basic elements and functions, and a significant amount of work still needed to be done to fully implement it. Tasks still to be accomplished at the time included the following: • Entering seniority information into the system • Entering credentialing information into the system • Formalizing, documenting, and communicating the payroll process and time lines • Formalizing, documenting, and communicating human resource processes and time lines • Developing and documenting security codes • Identifying and developing needed payroll reports • Verifying and correcting payroll calculations in the system • Providing ongoing training for payroll and human resources staff to ensure they fully understand their responsibilities, the system capabilities, and the interaction of the two functions The district has made some progress on addressing these areas; however, most of the areas are still in the process of being addressed. For example, classified seniority information for food service workers is not on the system; Payroll continues to experi- ence problems particularly related to garnishments, year-end payments and accruals; and the human resources/payroll process has not been comprehensively documented and communicated. Financial Management 21 Implementation of recommendations has been complicated by significant turnover in the management and staff of both the Payroll and Human Resources departments and the restructuring of the entire management structure of the district. It is not clear with the new online RBB budget tool how the district coordinates and integrates with the Human Resources system’s position budgeting function to develop the 2005-06 budget. While the district is attempting to verify personnel data, it ap- pears that there are still questions as to the quality and accuracy of position data in the system. This would hinder the district’s ability to accurately budget and control FTEs and the related salaries and benefits. The district needs to fully implement the recommendations to complete the following: • Implement position control and position budgeting via the IFAS system • Review and correct position data in the system • Enter seniority information into the system • Enter credentialing information into the system • Develop standard position/personnel reports The district’s reorganization will also affect how budget development and monitoring for the Special Education Department will be handled. The district needs to document and communicate the revised policies and procedures to ensure that it accurately proj- ects revenues and expenditures, and monitors the budget throughout the year. Standard Implemented: Partially January 2000 Rating: 3 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 4 September 2005 New Rating: 3 Implementation Scale: 22 Financial Management 7.3 Budget Adoption, Reporting and Audits—AB 1200 Quality Assurance Pro- cesses Professional Standard The district should have procedures that provide for the development and submission of a district budget and interim reports that adhere to criteria and standards and is approvable by the Alameda County Office of Education (ACOE). Progress on Implementing the Recommendations of the Recovery Plan 1. The district submitted its budget and interim reports on a timely basis for the 2004-05 fiscal year, but the 2005-06 budget was not submitted timely. The interim reports still included errors and questions regarding its information and assumptions. The 2005- 06 budget did not include information for all the funds, and many of the district’s assumptions were not documented. While the district's performance has improved, it still has problems with interim reporting. These problems reflect issues with the tech- nical skill of staff and the information produced by the financial system. The interim reports and budget continue to show the district’s structural deficit in both the current and projected years. In order for the district to be financially viable without obtaining additional loans, it must aggressively address the ongoing gap between its revenues and expenditures. This is particularly important given the district’s steep and ongoing enrollment decline. The district is also facing cash flow issues. Given these factors the district needs to continue to improve its financial report- ing processes by documenting policies and procedures, providing staff training, and increasing supervision and monitoring. These efforts should help the district monitor its financial condition and prepare timely and accurate reports for the county office. Timely and accurate information will help the district make the necessary financial adjustments to balance its budget and build its reserve. Even with accurate financial information, the district must exhibit the will to make the necessary expenditure cuts to return to fiscal health. The county office also should continue its close review of the district’s budget and in- terim reports. This review should help the district ensure that its financial information is accurate by identifying errors or unusual data. Financial Management 23 Standard Implemented: Partially January 2000 Rating: 7 September 2003 Rating: 0 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 5 September 2005 New Rating: 3 Implementation Scale: 24 Financial Management 7.7 Budget Adoption, Reporting and Audits – Audit Administration and Reso- lution, Audit Resolution Legal Standard The district should include in its audit report, but not later than March 15, a corrective action for all findings disclosed as required by Education Code section 41020. Progress on Implementing the Recommendations of the Recovery Plan 1. Since the district’s audit report for the 2003-04 fiscal year was not released as a draft until August 2005, it could not comply with the Education Code requirement. How- ever, the district stated that it will respond to the audit findings contained in the draft. In the past, the district has assigned each of the findings to a specific manager/admin- istrator for resolution and implementation of corrective action. In addition, the district used a tracking schedule for the findings and the implementation of planned corrective action to assist in managing the process. However, it is not clear how the district will continue the process, given the turnover in staff and the reorganization of the financial functions. Because a significant number of findings in the 2003-04 audit were repeated from the 2002-03 audit, it does not appear that the district is making significant prog- ress in implementing effective corrective action plans. However, in corrective action plans provided to the county office in the spring of 2005, the district indicated that it will correct many of the findings during the 2005-06 fiscal year. The district should respond to the audit findings contained in the draft 2003-04 audit report. Once the report is finalized, the district should identify in detail the corrective action planned for each finding and submit that information to the county office within the 90-day period. The district also should implement necessary corrective measures to resolve all findings identified in its annual audit. Standard Implemented: Partially January 2000 Rating: 3 September 2003 Rating: 0 March 2004 Rating: 0 September 2004 Rating: 3 September 2005 Self-Rating: 3 September 2005 New Rating: 3 Implementation Scale: Financial Management 25 7.9 Budget Adoption, Reporting and Audits—Compliance with Financial Reporting Requirements of GASB 34 Legal Standard The district must comply with Governmental Accounting Standard No. 34 (GASB 34) for the pe- riod ending June 30, 2003. GASB 34 requires the district to develop policies and procedures and report in the annual financial reports on the modified accrual basis of accounting and the accrual basis of accounting. Progress on Implementing the Recommendations of the Recovery Plan 1. Consistent with GASB 34, the district prepared both funds and governmentwide finan- cial statements for the 2003-04 fiscal year via the Standardized Account Code Structure (SACS) year-end reporting software. In addition, review of the 2003-04 draft audit report confirms that the district utilized the GASB 34 format for financial reporting. The audit disclosed several instances, principally related to fixed assets — proper record- ing and capitalization of assets, asset valuation and records, depreciation calculation, etc.—in which the district did not comply with the provisions of GASB 34. The district indicated that it is having an inventory of assets completed and wants to have an asset system in place by the end of the 2005-06 fiscal year. This means that the district will again be out of compliance for the 2004-05 fiscal year. The draft audit report did not contain the required Management Discussion and Analy- sis (MD&A); however, the district prepared the required MD&A for the 2002-03 audit and stated that it will do so for the 2003-04 audit. The audit states that the condition of records maintained was not sufficient to allow the auditors to express an opinion on the district’s financial statements. Significant issues related to documentation and controls call into question the district’s ability to produce sufficient, accurate, and timely information to manage financial operations. 2. The district once again has had significant turnover in its financial management team and staff, and has reorganized essentially all of its financial operations. While the new management staff appear motivated, the turnover hinders the district’s ability to make and continue improvements in financial accounting in the short term. 3. The district should specifically address the fixed asset issues related to GASB 34 implementation identified in the audit report. Additionally, the district needs to con- tinue its efforts to improve financial accounting and reporting by doing the following: • Providing ongoing staff training to increase technical proficiency • Implementing formal accounting policies and procedures, including desk manuals • Providing ongoing supervision of employees and periodic review of work • Reviewing workflow and system controls in the IFAS system. 26 Financial Management Standard Implemented: Partially January 2000 Rating: New September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 2 September 2005 Self-Rating: 3 September 2005 New Rating: 2 Implementation Scale: Financial Management 27 7.10 Budget Adoption, Reporting and Audits—Interim Reports and Projection of Ending Fund Balance Professional Standard The first and second interim reports should show an accurate projection of the ending fund balance. Material differences should be presented to the Board of Education with detailed explanations. Progress on Implementing the Recommendations of the Recovery Plan 1. For the 2004-05 year, the district updated its projected ending balance at all three interim reporting periods. This information was provided to the State Administrator and Board of Education at a board meeting, including a board retreat to review the second interim report. The information provided included identifying major changes in revenues and expenditures such as salary expenditures, benefit costs, indirect costs, and reserve requirements. The reported changes in revenues, expenditures, and ending fund balance show that the district is actively monitoring the budget. However, the significant change in num- bers during the course of the year indicates that budgeting and monitoring processes still need to be improved. The district should continue to monitor its revenues and expenditures on an ongoing basis in order to allow it to accurately project its ending fund balances. Revisions to revenues, expenditures, and ending fund balances should be provided to the Board of Education with supporting information and an explanation of the changes. The district should formalize the process for monitoring its budget, preparing the interim reports, and presenting the information to the board. Standard Implemented: Partially January 2000 Rating: New September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 5 September 2005 New Rating: 4 Implementation Scale: 28 Financial Management 8.1 Budget Monitoring—Encumbrance of Overexpenditures Professional Standard All purchase orders are properly encumbered against the budget until payment. The district should have controls in place that ensure adequate funds are available prior to incurring financial obligations. Progress on Implementing the Recommendations of the Recovery Plan 1. The district is in the process of implementing the recommendation to monitor site expenditures and hold administrators accountable for their budgets. The district is implementing a report to identify sites where the expenditures are exceeding the budget. While the district intends to evaluate site administrators on their performances annually, including financial management, it is not clear what the consequences will be for poor performance and what effect this will have on controlling expenditures. 2. The district has not implemented the recommendation to discontinue the practice of processing paper budget transfers since sufficient controls have not been established in the IFAS financial system to prevent administrators and managers from transfer- ring funds between resources — whether inadvertent or intentional. The district needs to implement adequate controls in the financial system to prevent administrators and managers from transferring funds between resources. 3. The district has not implemented the recommendation to adopt policies to prohibit the overriding of budgetary controls in the financial system and ensure that administrators and managers do not have system authority to override budget blocking. The current Associate Superintendent for Business was not aware of the system’s override capabilities, but stated that no employee had been authorized to override the system control. The district still needs to develop formal policies to prohibit system overrides. In addition, the district needs to ensure that system controls cannot be over- ridden, since this would allow transactions to be processed without leaving an audit trail. This leaves the system open to manipulation or misuse that would be difficult to identify or trace to a specific individual and constitutes a significant control weakness. The district will research the matter to determine if any employees still maintain the system authority to override system controls and any disclosed will have the authority removed. 4. The district has implemented the recommendation to budget substitute and overtime/ extra-duty costs at the site level. 5. The district has partially implemented the recommendation to end the practice of “pre- receiving” items at year end. The district indicated that it has eliminated the ware- house’s year-end practice of entering purchases as “received” on the financial system, even though the items have not been delivered. However, there does not appear to be a written policy regarding this area, and the practice may still be occurring at the site level. Financial Management 29 The district should adopt a formal policy to prohibit the year-end practice of entering purchases as “received” on the financial system when the items have not been deliv- ered. The staff should be made aware of the policy, and employees violating the policy in the future should be subject to disciplinary action. 6. The district still has staff purchasing items and contracting for services without a pur- chase order. As a result, funds are not encumbered prior to purchase or initiation of the contract, and budget overruns may occur. The district has issued a policy/procedure prohibiting the practice; however, because the policy was not issued until May 2005, its effect will not be known until the end of the 2005-06 fiscal year. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 2 September 2005 Self-Rating: 4 September 2005 New Rating: 3 Implementation Scale: 30 Financial Management 8.2 Budget Monitoring—Monitoring of Department and Site Budgets Professional Standard There should be budget monitoring controls, such as periodic reports, to alert department and site managers of the potential for overexpenditure of budgeted amounts. Revenue and expenditures should be forecast and verified monthly. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has not fully implemented the recommendation to utilize an integrated position control system and, as a result, control of FTEs and personnel costs is weak- ened. Positions and FTEs are still tracked by departments outside of the system on spreadsheets. To date, it is not clear that the process is more efficient or that informa- tion is more timely and accurate. While the position control function is intended to reside within the budget office, the way the system is currently set up allows Human Resources staff access and the abil- ity to modify position control. Given that personnel costs are the largest part of the district’s budget, and the district has a history of problems with budget overruns and controls being circumvented or overridden, the district must ensure that duties are ap- propriately segregated and that access to the system is carefully controlled. The district has developed an add-on program to perform site budgeting instead of uti- lizing the IFAS system. While this program may be an effective way to do site budget- ing, it calls into question the benefits of the system and results in another process for which procedures and controls must be established. The district should complete its implementation of the human resources/payroll sys- tem as quickly as possible. Priority items include fully implementing position control and position budgeting; establishing security controls, and adequately separating the responsibility for position control from personnel; documenting the system; providing user documentation/desk manuals; and providing ongoing training for staff. The district should also monitor system modifications or implement other measures to identify when security protocols are changed or overridden. 2. The district has not implemented the recommendation to investigate instances in which transactions were processed with insufficient funds available in the budget. It also has not determined why transactions were allowed to be processed and budgetary control overridden and who was responsible for these actions. The district established for the 2004-05 year, a “negative budget report” to specifically highlight sites/ depart- ments that are exceeding their budget, in order to take prompt corrective action and provide a record for evaluating the budget management of site/department administra- tors. Financial Management 31 The district financial system has budget blocking capabilities that will prevent budgets from being overrun. However, while the district is in the process of establishing poli- cies and procedures to ensure that system overrides are minimized and can be autho- rized only by specified management staff, those policies and procedures have not yet been formalized nor are they in place. The district should implement policies and procedures regarding budgetary control and prevent budget overruns and the override of the financial system controls. 3. The district should implement formal policies and procedures regarding budget moni- toring and the monthly review of site/department budgets at the resource level. The district needs to establish standardized budget reports for use by the staff in monitor- ing budgets and expenditures to ensure the accuracy and consistency of the informa- tion used by the staff. 4. The district has implemented the recommendation to forge a closer and more active working relationship between the Special Education Department and Fiscal Services, and there is monthly monitoring of the special education budget. However, the district has not implemented the recommendation to establish formal written policies and pro- cedures to preclude the department from hiring staff or entering into contracts without budget review and approval. The district should continue its monitoring of special education revenues and expendi- tures to prevent budget overruns. The district should also formalize the budget moni- toring process and responsibilities of the special education and budget offices. Part of this process should be monthly meetings between special education, budget, and personnel staff. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 4 September 2005 New Rating: 3 Implementation Scale: 32 Financial Management 8.4 Budget Monitoring—Position Control Professional Standard The district uses an effective position control system, which tracks personnel allocations and expenditures. The position control system effectively establishes checks and balances between personnel decisions and budgeted appropriations. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has not implemented the recommendation to ensure that the position con- trol system is completely functional and to provide the needed level of security and control. The district still needs to complete its implementation of the human resources/payroll system, particularly related to the position control function. 2. The district’s implementation of the human resources/payroll system provided it with the capability to operate a fully integrated position control and position budgeting sys- tem. The district still has not moved to a fully integrated position control system and, as a result, control of FTEs and personnel costs is still weak. It appears that FTEs and positions have not been fully reconciled with vacant/eliminated positions or closed on the system. Other positions are on the system without budgets, and site and funding information is not completely accurate. This situation has been complicated by the district’s implementation of Results-Based Budgeting. In addition, positions and FTEs are commonly tracked on spreadsheets by sites and departments outside of the system. The district needs to fully implement the integrated position control system. To the extent possible, the district also should validate the accuracy of position control information, particularly related to funding codes and FTEs, and closing/removing positions that have been eliminated. In addition, the district needs to ensure that the budget development process utilizes the position control system and that information is accurately integrated with the Results-Based Budgeting process, and the online tool used by site administrators. 3. The district has not implemented the recommendation to improve control over posi- tions by restricting the access of personnel staff to the position control screens and preventing them from being able to enter and modify data. As a result, sufficient ac- cess controls are not in place. The district needs to adequately segregate the personnel and position control functions and restrict the access of personnel staff. While the district has a task force to modify personnel requisitions, the task force has not completed its work to date. The district should implement the recommendation to streamline the personnel process by consolidating personnel forms to the extent pos- sible. Financial Management 33 4. The district did not implement the recommendation to validate the personnel/position control data, such as the number of authorized, filled, and available positions and account coding, prior to that information being transferred to the new system. Some validation has taken place through the results-based budgeting process, but it does not appear that all data has been verified. The district should validate all positions on its system to ensure accuracy, particularly related to location, FTE, and funding source. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 2 March 2004 Rating: 2 September 2004 Rating: 2 September 2005 Self-Rating: 3 September 2005 New Rating: 3 Implementation Scale: 34 Financial Management 8.5 Budget Monitoring—Management of the Routine Restricted Maintenance Account Professional Standard The routine restricted maintenance account should be analyzed routinely to ensure that income has been properly claimed and expenditures are within the guidelines provided by the State De- partment of Education. The district budget should include specific budget information to reflect the expenditures against the routine maintenance account. Progress on Implementing the Recommendations of the Recovery Plan 1. The district implemented the recommendation to review its calculation of the required routine restricted maintenance contribution to ensure that it is meeting its 3% obliga- tion. 2. The district did not implement the recommendation to implement policies and proce- dures that require the review, analysis, and monitoring of expenditures to ensure that all expenditures meet the state’s guidelines to qualify as routine restricted maintenance expenditures. However, the current procedures include review of the maintenance budget and expenditures by the Facilities Director, and specifically assigned budget and accounting staff. Standard Implemented: Partially January 2000 Rating: Not Assessed September 2003 Rating: 1 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 5 September 2005 New Rating: 4 Implementation Scale: Financial Management 35 10.1 Investments—Investment Policy and Quarterly Approvals Legal Standard The Governing Board must review and approve, at a public meeting and on a quarterly basis, the district’s investment policy. [GC 53646] Progress on Implementing the Recommendations of the Recovery Plan 1. The district implemented the prior recommendation to develop a formal investment policy by adopting board policy 3430 related to investment of funds. 2. The district’s board policy 3430 addresses an annual review of the investment policy by the Governing Board. However, the policy should more explicitly state that the board must formally reauthorize the formal policy for the investment of surplus funds each year. 3. The district did not implement the recommendation to adopt a formal policy requiring that quarterly investment reports be provided in accordance with Government Code section 53646. The district should formalize the quarterly reporting requirement in its investment policy. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 4 September 2005 Self-Rating: 4 September 2005 New Rating: 4 Implementation Scale: 36 Financial Management 11.1 Attendance Accounting—Accuracy of Attendance Accounting System Professional Standard An accurate record of daily enrollment and attendance is maintained at the sites and reconciled monthly. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has implemented the prior recommendation to establish an attendance ac- counting/student information system and has chosen Eagle software as its new system. The system is scheduled to be implemented for the 2005-06 fiscal year. As part of the conversion process, mandatory training was provided to all site atten- dance clerks. To ensure that the clerks attended the mandatory training, they were pro- vided with their system passwords only when they attended the training. The benefit of the new system and the effectiveness of the district's training and supervision with regard to the accuracy and timeliness of the system's attendance information will not be known until the end of the 2005-06 year. For 2004-05, the district operated with an outdated version of the SASI system. That version could not accommodate the recording and reporting of information for more than 99 school sites even though the district operates approximately 112 sites. As a re- sult, the district had to combine the data for some sites, then separate the information again to report accurately for all of its school sites. The need to manipulate the data increases the likelihood that errors were made in recording and reporting attendance data for the 2004-05 fiscal year. The 2003-04 audit report disclosed numerous instances of clerical and mathematical errors in recording attendance information at the site level, errors between attendance reported to CDE and attendance summaries, and discrepancies between school at- tendance summaries and the district’s attendance summary. As these procedures were not materially revised for the 2004-05 fiscal year, it is likely that year will also contain some attendance reporting errors. Because the new attendance system will utilize a Scantron system similar to the previ- ous system, the district should establish policies and procedures to ensure that this information is accurately recorded, corrections are made timely, and site and district information are reconciled in order to eliminate the reporting errors that occurred in prior years. 2. The district has not implemented the recommendation to formally establish the ac- curate and timely completion and submission of attendance reports as an evaluative criterion in the annual reviews of teachers and principals. The district is monitoring which sites are not sending attendance information to the district office on a timely basis, and this appears to have improved the level of compliance. While the incidence of late information appears to be abating, it still is a material problem. There has been no action to date to link the monitoring data with the annual review process. Financial Management 37 3. The district has implemented the prior recommendation to continue the process of having a person at each site verify student absences with the parent/guardian on the same day. The district also has implemented the prior recommendation to vigorously pursue its positive student attendance initiative and has placed particular emphasis on students with excessive excused and unexcused absences. A substantial part of the ef- fort is focused on identification and tracking of students with attendance problems and utilizing truancy notices, student attendance review teams, and the Student Attendance Review Board (SARB). 4. The district implemented the prior recommendation to inform parents and site staff of the difference between a parent-approved absence that is excused according to Educa- tion Code and board policy definitions and one that is unexcused and subject to com- pulsory education legal actions. This information was distributed in a letter to parents, is included in the parent handbook, and is available in the district’s updated board policies and administrative regulations on the district Web site. These policies address both student absences and truancy. The district also continues operating a public infor- mation campaign aimed at improving student attendance. 5. The district did not implement the recommendation to develop attendance reports to identify independent study absences of less than five consecutive school days to ensure no apportionment is inadvertently claimed.The district should implement this recommendation. 6. The district did not implement the recommendation to replace/repair/service all atten- dance hardware, including scanners, to ensure that the equipment is in good working condition. Equipment failures result in late and inaccurate attendance reporting. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 3 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: 38 Financial Management 11.4 Attendance Accounting—Instructional Time Requirements Professional Standard At least annually, the district should verify that each school bell schedule meets instructional time requirements for minimum day, year and annual minute requirements. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has implemented the prior recommendation to institute a formal pro- cess that documents that bell schedules meet instructional time requirements for the 2004-05 year. For that year, the executive directors had the responsibility to verify that the bell schedules and school calendar resulted in the district meeting the various instructional time requirements related to number of days, minimum days, and annual minutes. The executive directors then submitted the bell schedules for each school to the business office, showing their calculation/verification of compliance with legal requirements. A dedicated Fiscal Analyst in the business office reviewed all the bell schedules for compliance with longer day/longer year (minute) requirements. As a result of the reorganization of the business office, the procedures will be changed for 2005-06. For the current year, primary responsibility for bell schedules rests with site administrators. The district has provided detailed instructions and forms to as- sist in the preparation. The executive officers will have the primary responsibility for verifying that school sites are meeting the legal requirements. The school associate assigned for each school site will then be responsible for also verifying the bell sched- ules and school calendars. The effectiveness of the above-mentioned procedures is not known at this time. It is relevant to note that the district’s 2003-04 audit contained several findings related to instructional days and time. Until the audit of the 2004-05 year is completed, it is not known how effective these procedures will have been. 2. The district has not implemented the recommendation to establish a process to verify that each student is scheduled for the minimum day in order to qualify for apportion- ment purposes. The district should continue its recently established process of having the business office verify instructional time and holding executive directors responsible for ensur- ing that instructional time requirements are met. The district should also formalize this process in the Business Services Guide and the procedures manual provided to site administrators. The procedures should identify what occurs if instructional time requirements are not met. Financial Management 39 Standard Implemented: Partially January 2000 Rating: 6 September 2003 Rating: 6 March 2004 Rating: 3 September 2004 Rating: 5 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: 40 Financial Management 12.2 Accounting, Purchasing and Warehousing—Accounting Procedures, Timely and Accurate Recording of Transactions Professional Standard The district should timely and accurately record all information regarding financial activity for all programs (unrestricted and restricted). Generally Accepted Accounting Principles (GAAP) require that in order 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 essential function of the district’s financial management. Progress on Implementing the Recommendations of the Recovery Plan 1. The district’s 2003-04 audit report identified several significant issues in the recording of financial transactions and the maintenance of supporting documentation. These is- sues resulted in the State Controller’s Office (SCO) disclaiming an opinion on whether the financial statements were fairly stated in accordance with GAAP. This is a signifi- cant statement about prior problems in the district’s accounting processes, procedures, systems, controls, and management oversight. During the latter part of the 2002-03 fiscal year and the 2003-04 fiscal year, the district began to implement the prior recommendation to reorganize the Accounting Depart- ment and increase the overall technical proficiency and skill level of staff. In addi- tion, the district has completed draft policies and procedures for most fiscal functions, which were to be implemented in the 2004-05 fiscal year. However, since the 2003-04 audit identifies a significant number of findings related to internal controls and fi- nancial reporting, the district’s progress has been limited. Further assessment cannot be made until the 2004-05 audit is completed. Since the district has had turnover in almost every financial management position in each of the last three years, it is likely that progress will be slow. Each turnover impedes the implementation and enforce- ment of procedures, establishment of consistent lines of authority and responsibility, establishment of reasonable expectations for staff competency and performance, and provision of adequate and consistent supervisory review and oversight. 2. The district did not implement the recommendation to undertake a comprehensive program to improve staff’s technical capacity to ensure that work is processed timely and accurately and supports appropriate financial reporting. Every accounting staff member has been provided with a copy of the California School Accounting Manual (CSAM). The district still needs to perform a skills/train- ing assessment for all fiscal employees and develop an annual training plan for each staff member to improve technical skills and professional knowledge. This training plan should be supported with annual, or preferably semiannual, performance reviews that assess current performance and status of training. Financial Management 41 These reviews then provide the basis to upgrade the employee training plan. The indi- vidual training plans should be reviewed in aggregate form to develop an overall train- ing plan for the business office so that training can be scheduled and provided in the most efficient and cost-effective manner. In addition, all business services employees should be evaluated at least annually. The evaluations should include consideration of the training needs/plans and progress in meeting training goals. 3. The district has partially implemented the recommendation to establish formal pro- cesses and procedures and desk manuals regarding accounting functions The district has adopted a Business Services Guide that provides good overview information for most business areas. The district was also drafting a desk manual for most account- ing areas/transactions/responsibilities; however, as a result of the turnover in staff and the reorganization of the business office, the status of those manuals is unclear. The district needs to finalize its desk procedure manuals covering all areas, distribute the manuals to staff, and provide training regarding the organization and use of the manu- als. 4. The district has not implemented the recommendation to implement effective provi- sions to ensure that transactions are supported by appropriate documentation and accurately recorded in the proper account for the correct fiscal year. The district is clearly having problems addressing this issue given the SCO’s disclaimer of opinion for the 2003-04 financial statements based on the district’s recording errors and lack of sufficient supporting documentation for many items, including accounts payable. While many of the ongoing problems originated in prior years, the district needs to take steps to immediately address the issues. Because recording errors and insufficient documentation are a continuing problem, the district is not making sufficient progress in addressing the issues and implementing recommendations. The district was reviewing the status of work in accounts payable as part of the clos- ing process for 2004-05 and intends to take steps to ensure that all payments are authorized appropriately and processed timely, that there is adequate supporting docu- mentation for all payments, and that such documentation is maintained and properly filed for 2004-05 and beyond. The effectiveness of that process is not known since the books are still being closed. 5. Because of the ongoing issue of staff capacity and the large workload requirements on the senior administrators, it is not clear how much review and supervision is occur- ring. This concern is heightened due to the recent turnover in the management staff, which requires the district to clearly define the roles and responsibilities for each man- ager and to inform all staff members of the appropriate relationships for review and authorization of work. The district needs to quickly and clearly define the responsibili- ties of the managers, inform staff of the organizational lines, and increase the technical capacity of staff. 42 Financial Management 6. With regard to the year-end closing process, the district staff received training from a public accounting firm and are using the materials provided by ACOE to guide the closing process. In addition, the district established a year-end closing schedule that started in April and included activities, responsibilities, a calendar, and a time line for the activities, and imposed early cutoffs for transactions, particularly those related to payroll. However, it is not clear that the district will meet the statutory deadline for closing the books for 2004-05. Standard Implemented: Partially January 2000 Rating: 9 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 4 September 2005 New Rating: 3 Implementation Scale: Financial Management 43 12.3 Accounting, Purchasing and Warehousing—Accounting Procedures: Cash Professional Standard The district should forecast its revenues and expenditures and verify those projections on a monthly basis in order to adequately manage its cash. In addition, the district should reconcile its cash to bank statements and reports from the county treasurer on a monthly basis. Standard accounting practice dictates that, in order to ensure that all cash receipts are deposited timely and recorded properly, cash be reconciled to bank statements on a monthly basis. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has partially implemented the prior recommendation to perform monthly reconciliations on a timely basis and to monitor and update cash forecasts on a month- ly basis. In the past, the district reconciled its cash records to those of the ACOE on a monthly basis. Because ACOE does not receive timely information from the Alameda County Treasurer’s Office, the county office's information is typically one month in arrears. This issue has not yet been resolved. The district should continue to work with ACOE and the Alameda County Treasurer to establish a process that produces timelier bank statements. The district previously adopted formal procedures for the processing of bank state- ments and reconciliations. The topic is addressed generally in the Business Services Guide and in more detail in the cash receipts/reconciliation portion of the desk man- ual. Between these two documents, the district has established specific guidance for performing cash reconciliations. The district is in the process of reorganizing its Business Services functions. As a result, the district will be reviewing this area and developing new cash reconciliation procedures during the 2005-06 fiscal year. In developing new procedures, the district should consider the previously established procedures and evaluate their applicability for the revised organizational structure. 2. The district has partially implemented the prior recommendation to review changes in anticipated revenues and expenditures on a monthly basis to ensure that the assump- tions for cash flow projections are accurate. The district informally considers antici- pated expenditures in its monthly cash needs, but a formally documented analysis of cash is not performed on a monthly basis, and the process and procedures for perform- ing the cash analysis have not been formalized. The district anticipates cash shortages at various points during the 2005-06 fiscal year, and there have been discussions with the County Treasurer regarding a cash loan to address its cash needs. 44 Financial Management The district needs to implement procedures requiring revenues and expenditures to be reviewed on a monthly basis to identify changes that will affect cash needs and/or available cash. This information should then be incorporated into the monthly process of updating the cash flow projections. Because the district anticipates cash shortages, it is imperative that it formalize its policies and procedures regarding cash flow monitoring and projections to ensure that this function is performed timely and accurately. This will ensure that the district has sufficient liquidity to meet its financial obligations, including payroll. Standard Implemented: Partially January 2000 Rating: 7 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 4 September 2005 New Rating: 3 Implementation Scale: Financial Management 45 12.4 Accounting, Purchasing and Warehousing—Accounting Procedures: Payroll Professional Standard The district’s payroll procedures should be in compliance with the requirements established by the ACOE, unless fiscally independent (Education Code Section 42646). Standard accounting practice dictates that the district implement procedures to ensure the timely and accurate process- ing of payroll. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has not implemented the recommendation to log all payroll errors/issues occurring each month as well as identify the cause of the problem and the steps taken to correct it. This would help prevent recurrence. The district implemented the Bi-Tech/IFAS human resources/payroll module in Janu- ary 2004. While it appears to have made progress in improving its payroll operations, the district continues to have problems in accurately and completely processing pay- roll each pay period. The problems appear to result from the need to correct software issues related to coding and garnishments, erroneous personnel/payroll information in the employee master file, reporting errors from sites and departments, and entry and processing errors by the Payroll Department. In addition, the district had issues related to running year-end payrolls and accruals. The district is committing $7 million to upgrading/fixing the Bi-Tech IFAS system in order to improve the accuracy in pro- cessing financial transactions and reporting financial information, including payroll. Those expenditures have not yet occurred, nor has the plan for upgrading the financial system been developed to date. In order to correct these problems, the district should log all payroll errors/issues oc- curring each month, including the cause of the error and the measures/steps taken to correct the error. Each item should be classified as a system issue, a personnel issue, or a payroll issue, in order to track the source of the problems so that effective action can be taken to prevent recurrent problems. Potential corrective actions could include program modifications, additional staff training, job rotation, increased supervisory re- view, personnel file cleanup, or increased review and sign-off on payroll error reports by the responsible supervisor/manager. The district also should implement a formal payroll reconciliation process for each payroll run. 2. The district has not implemented the recommendation to track incomplete and un- timely payroll forms over a period of time to identify the problem worksites. Further, the district has not implemented policies and procedures to hold administrators and managers responsible for ensuring that paperwork for their staff is submitted timely. The district is implementing a policy for the 2005-06 year that will require site admin- istrators/managers to sign for the release of checks if problems in processing a pay- check originated at the site/department level. The goal is to track problems in payroll documentation submitted, make administrators aware of any problems occurring, and 46 Financial Management hold them responsible for the timeliness, accuracy, and completeness of payroll infor- mation submitted by their staff. If these policies and procedures are formally docu- mented, disseminated, and enforced, they should be adequate to address the recom- mendation. 3. Previously, the district had partially implemented the recommendation that all em- ployee overtime be properly approved and monitored to ensure that the cost remains within budget and that all time claimed is legitimate. With the change to Results-Based Budgeting, the primary responsibility will shift to site administrators, with the issue still to be addressed for departments. All overtime must be approved by the fiscal advisors or the Chief Financial Officer. However, it does not appear that the process has been formalized in policies and procedures. The district should formalize the policies and procedures regarding who must review and approve overtime. In addition, the procedures should require a budget amount to be available to pay for the overtime. 4. The district has partially implemented the prior recommendation to fully implement the Bi-Tech IFAS human resources/payroll module. However, the following still need to be completed: • Entering seniority information into the system • Entering credentialing information into the system • Formalizing, documenting, and communicating the payroll process and time lines • Formalizing, documenting, and communicating human resource processes and time lines • Developing and documenting security codes and other controls to ensure data integrity • Identifying and developing needed payroll reports • Verifying and correcting payroll calculations on the system In addition, the district should continue to develop documentation, training materials (and provide training), and desk manuals, and establish workflow rules and security levels. 5. The district has not implemented the recommendation to utilize a districtwide auto- mated substitute calling system that is integrated within the human resources/payroll system. Financial Management 47 The system was supposed to be implemented by the end of 2004. The district intends to have the system implemented during the 2005-06 year; however, such a system is not in place. An interface can result in increased efficiencies and reduction of errors. If the two systems are able to interface, those systems will automatically pay substitutes, update employee leave balances, and dock employee’s pay as necessary. In addition, the district would be able to reconcile substitute time and pay to the central office sys- tem to ensure that only authorized transactions are processed. Using an event number on the substitute-calling system would ensure that categorical budgets are charged for substitute pay only when authorized. The district would also be able to reconcile employee’s leave time to the substitute pay event. The district should continue its efforts to implement the integrated, districtwide sub- calling system as soon as possible. Standard Implemented: Partially January 2000 Rating: 3 September 2003 Rating: 3 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 4 September 2005 New Rating: 3 Implementation Scale: 48 Financial Management 12.5 Accounting, Purchasing and Warehousing—Accounting Procedures, Su- pervision of Accounting Professional Standard Standard accounting practice dictates that the accounting work should be properly supervised and work reviewed in order to ensure that transactions are recorded timely and accurately, and allow the preparation of periodic financial statements. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has partially implemented the prior recommendation to establish formal policies, procedures, and internal controls regarding the processing and reporting of financial transactions. The district has completed a Business Services Guide and some desk manuals; however, the materials do not cover all areas. In addition, given the restructuring of the business functions, it is not clear that the Business Services Guide and desk manuals are aligned with the organization, positions, and processes that are currently being implemented. The district should review the Business Services Guide and the desk manuals prepared to date to ensure that they are aligned with the new organizational structure. The dis- trict should also ensure that the policies, procedures, and internal controls in the guide facilitate appropriate checks and balances so that accounting transactions and process- es are timely and appropriate. In reviewing those policies, procedures, and controls, the management should ensure that they focus on supervision, review, and monitoring of staff work. The district should implement the procedures as soon as possible and provide training to familiarize the staff with the organization and use of the manual, with specific emphasis on each employee’s specific area of responsibility. 2. The district has taken some steps to implement the prior recommendation to improve staff capacity and technical skill. The district has reorganized the Business Department and has made efforts to improve the basic skill level of the staff through establishing new jobs/job descriptions, in- creasing minimum qualifications, identifying general performance metrics, and mak- ing the staff reapply for positions. In addition, the staff has been provided training in areas such as SACS and year-end closing procedures, and all accounting staff mem- bers have been provided with a copy of the California School Accounting Manual (CSAM). While the reorganization of the Business Department may improve performance in the short-term, the reorganization and high turnover among management and staff affects the district’s ability to show significant progress in the actual performance of financial accounting functions. It appears that a high level of demand is still placed on the se- nior administrators and middle managers with regard to solving problems and actually performing staff work. It is not clear that supervision and monitoring are occurring consistently throughout the department. Financial Management 49 The district should continue efforts to improve the technical skills and capacities of staff and supervisors through its hiring practices and staff training program. In addi- tion, the district needs to make sure that the ratio of supervisors and managers to staff is appropriate to allow for the high level of supervision, review, and monitoring that the staff require. Standard Implemented: Partially January 2000 Rating: 9 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 5 September 2005 New Rating: 3 Implementation Scale: 50 Financial Management 12.7 Accounting, Purchasing and Warehousing—Accounting Procedures, Year- end Closing Professional Standard Generally Accepted Accounting Principles dictate that, in order to ensure accurate recording of transactions, the district should have standard procedures for closing its books at fiscal year end. The district’s year end closing procedures should be in compliance with the procedures and requirements established by the ACOE. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has partially implemented the prior recommendation to formalize year- end closing policies and procedures and begin planning for year-end closing in April or May. The Business Services Guide that the district adopted references the CSAM for year-end closing procedures, and all accounting staff members have been provided with a copy of the CSAM. In addition, the district has essentially adopted the ACOE closing calendar, worksheets, and checklist for use by its staff. The district arranged for its accounting staff to attend training on year-end closing in preparation for the 2004-05 year end. For 2005-06, the district has established a calendar of important dates for district employees, which includes cut-off dates for purchase orders and receiving. In the past, the district’s inability to process transactions accurately and timely during the course of the fiscal year affected its ability to close the books on time. At the time of FCMAT's fieldwork in mid-to-late August, the district had not closed its books, so no conclusion could be drawn regarding whether the general accounting processes have improved, whether the training on year-end closing was effective, or whether the September 15 deadline will be met. However, the reorganization and turnover in man- agement and staff could complicate the process and affect the district’s ability to close its books on time. While the CSAM and ACOE year-end closing information are good resources, the dis- trict should establish formal policies and procedures that encompass both the CSAM and ACOE information, as well as specific information related to the district’s orga- nizational structure, financial accounting system, and standard reports and forms. The goal is to provide the clearest information possible to guide the work that staff must perform to successfully close on a timely basis. Financial Management 51 Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 0 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 5 September 2005 New Rating: 4 Implementation Scale: 52 Financial Management 12.10 Accounting, Purchasing and Warehousing—System Controls to Prevent and Detect Errors and Irregularities Professional Standard The accounting system should have an appropriate level of controls to prevent and detect errors and irregularities. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has partially implemented the prior recommendation regarding the verifi- cation of invoices to be processed without a purchase order. Contracts are still entered into and purchases are still being made without a purchase order. As a result, funds are not being encumbered for these contracts and purchases, which results in accounts potentially exceeding their budgets. The current process is for the accounts payable staff processing the invoice to contact the administrator re- sponsible for the purchase and require him or her to approve payment and identify the account code for billing purposes. The invoice is then processed as a direct pay, and the administrator is instructed to follow the standard purchasing process in the future. To the extent that these types of items are not identified each month in a standard reviewed by the accounting manager, there is no assurance that the appropriate autho- rization and coding is provided. There is no true accountability for the administrators violating the purchasing procedures and weakening budget control. The district intends to implement policies and procedures for the 2005-06 year that will require the contract unit to encumber funds for all approved contracts prior to the date of receipt of the goods or services. For those contract services or purchases obtained without a purchase order, the district has established Fiscal Procedure FP 002-04/05 that informs site administrators and managers that the bills will not be paid. The district should enforce its Policy FP 002-04/05 and implement procedures to require a purchase order and the encumbrance of funds for all contracts and purchases. The district should formalize these policies and procedures in the Business Services Guide, and the district’s purchasing and contracts manual, and ensure that all site ad- ministrators and managers are aware of the policy. The district should also establish a monthly report of invoices received for payment without purchase orders in order to identify administrators/managers who are not complying with the policies and procedures so that corrective action can be taken. This report should be reviewed monthly by the Controller and referrals made to the Associate Superintendent, Business Services, for action in those instances where site/ department administrators repeatedly do not follow purchasing procedures. 2. The district has not implemented the recommendation to have the manager pick a sampling of invoices and review the backup for appropriateness and completeness as part of the standard review of the warrant listing. Financial Management 53 The district should implement the prior recommendation to have the Accounts Payable Manager pick a sampling of invoices and review the backup for appropriateness and completeness as part of the standard monthly review of the warrant listing. Standard Implemented: Partially January 2000 Rating: 6 September 2003 Rating: 2 March 2004 Rating: 2 September 2004 Rating: 2 September 2005 Self-Rating: 3 September 2005 New Rating: 3 Implementation Scale: 54 Financial Management 14.1 Multiyear Financial Projections—Computerized Multiyear Projection Professional Standard A reliable computer program that provides reliable multiyear financial projections is used. Progress on Implementing the Recommendations of the Recovery Plan 1. Previously, the district had implemented the prior recommendation to use commercial software that is tailored to the district environment and has greater projection preci- sion than the previous in-house model to develop its multiyear financial projections. It now appears that the district is no longer using the commercial software and is using Excel to prepare its multiyear projections. In addition, it is not clear which staff mem- bers are responsible for making financial projections. Excel can be used to perform multiyear projections. However, given the large number of variables related to revenue and expenditure projections in school finance, using Excel requires the district staff to be responsible for ensuring that all appropriate fac- tors are included in the spreadsheet calculations and included appropriately from year- to-year as circumstances change. Further, it is not clear that the staff responsible for the projections have detailed training in making multiyear projections and construct- ing an appropriate spreadsheet model. Beyond performing the multiyear projections required for budget and interim reporting and the district’s recovery plan, it is not clear how frequently the district makes multiyear projections to evaluate the financial effects of pending management decisions. The district should implement the following, original recommendations: • Utilize commercial software to make multiyear financial projections. • Utilize the software to analyze the financial effects of pending management decisions, such as salary adjustments or enhancements, changes in health ben- efits programs offered, staffing additions or reductions, and any other items that could have significant financial implications. • Make financial projections that cover periods from three-to-five years into the future. Financial decisions that are feasible in the shorter term (current and two subsequent years) could become unsupportable over the longer period. Therefore, the district should utilize the software to obtain the most informa- tion possible when making major management decisions. • Train the financial staff responsible for utilizing the software and making fi- nancial projections to ensure that the software is used effectively and financial projections are accurate. Financial Management 55 If the district is going to continue to use Excel for its financial projections, it should ensure that the staff member making the projections is well trained in all aspects of budget development, state funding, categorical programs, and year-to-year changes in the various items. In addition, the spreadsheet itself should be reviewed/tested periodi- cally to ensure that formulas and relationships are still valid and correct. Standard Implemented: Partially January 2000 Rating: 3 September 2003 Rating: 0 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 3 September 2005 New Rating: 3 Implementation Scale: 56 Financial Management 14.2 Multiyear Financial Projections—Projection of Revenues, Expenditures and Fund Balances Legal Standard The district annually provides a multiyear revenue and expenditure projection for all funds of the district. Projected fund balance reserves should be disclosed. [EC 42131] The assumptions for revenues and expenditures should be reasonable and supportable. Progress on Implementing the Recommendations of the Recovery Plan 1. The district did not implement the recommendation to provide projections for all ma- jor funds for a more complete picture of its fiscal status. The district should implement this recommendation and use the projections as a management tool in planning the operations and required budget allocations for expected service levels for its various programs. The projections should also be used to identify potential fiscal issues and to craft appropriate responses. 2. The district has partially implemented the recommendation to achieve greater preci- sion and provide additional information about its multiyear financial projections by specifically defining the general assumptions used. It does not appear that the district has made measurable progress since the last review. The district could be more de- tailed and provide more specificity by analyzing program/resource and object/subob- ject code categories of revenues and expenditures and the assumptions associated with each. The district’s Business Services Guide and Budget Manual provide some infor- mation and guidance on information to be addressed in preparing the budget, which would benefit the accuracy of multiyear projections. However, multiyear projections are not specifically addressed. In building its budget and making its financial projections, the district should make a more detailed analysis of revenues and expenditures by program/resource and object/ subobject. As more information about program/resource revenues and expenditures becomes available, the projections should be revised and the change in assumptions identified and explained. This process should be formally identified in the district’s Business Service Guide and/or desk manuals. 3. The district has partially implemented the prior recommendation to improve the accuracy of its projections by improving its financial management practices. The district completed the basic implementation of the new human resources/payroll module in 2004. However, the district continues to have problems with payroll, position control/position budgeting, and the completeness and accuracy of personnel data. The issue has been complicated by reorganization of the district’s administrative departments, turnover in staff in both the business and personnel offices, and the implementation of Results-Based Budgeting. It is not certain that the quality of information is materially improved; however, the district has committed $7 million to address problems and improve the IFAS system. Financial Management 57 One of the district's greatest needs is to complete the upgrade of the IFAS system so that it provides timely and accurate information in a secure environment with suffi- cient internal controls. The district also needs to continue to validate the system data and ensure that subsequent changes to the personnel/position control information is done appropriately. In addition, given the turnover in staff, the district needs to invest in ongoing staff training to ensure that the staff are sufficiently skilled with the system to perform their duties timely and accurately. The district should then use the system information as the basis for budgeting and multiyear projections. 4. The district has taken steps to improve its supervision of the accounting and budget functions so that transactions are recorded and reported in a timely manner. Specifi- cally, the district has provided resource documents, such as the Business Services Manual and the California School Accounting Manual, and has provided employees with training regarding SACS, which should help to ensure that transactions are ap- propriately recorded. This will help improve the quality of accounting work, reduce the number of errors, and improve the information used in budget monitoring. The restructuring of the business functions and the turnover in staff raise concerns that any progress made may be lost in the short-term. This item will need to be evaluated in fu- ture reviews to assess progress made in controlling accounting and budget functions. In the short-term, it is likely that much of the control exercised will still be dependent on the extensive efforts of the senior administrators/managers. The district needs to implement systems and procedures with more effective controls and improve the tech- nical capacity of staff and first-level supervisors. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 1 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 4 September 2005 New Rating: 3 Implementation Scale: 58 Financial Management 16.1 Multiyear Impact of Collective Bargaining Agreements—Measurement and Evaluation of Agreement Implementation Costs and Assurance of Notice to the Public Professional Standard The State Administrator/Governing Board must ensure that any guideline that they develop for collective bargaining is fiscally aligned with the instructional and fiscal goals on a multiyear ba- sis. The State Administrator/Governing Board must ensure that the district has a formal process where collective bargaining multiyear costs are identified and expenditure changes/reductions are identified and implemented as necessary prior to any imposition of new collective bargain- ing obligations. The State Administrator/Governing Board must ensure that there is a validation of the costs and the projected district revenues and expenditures on a multiyear basis so that the fiscal resources are sufficient to fund collective bargaining settlements on an ongoing basis. The public should be informed about budget reductions that will be required for a bargaining agree- ment prior to any contract acceptance by the Governing Board. The public should be given an opportunity to comment. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has partially implemented the recommendation to establish policies and procedures that require that potential bargaining positions be identified prior to the start of negotiations. The district currently identifies its bargaining positions prior to negotiations; however, there is still no board policy or procedure requiring that this be completed. Similarly, the district has all settlement items analyzed by the budget and accounting offices to identify both current and ongoing costs and the effect on the district’s financial position. This requirement is not documented in formal policies and procedures. The district has implemented the recommendation to have financial management staff involved in the negotiation process to ensure that fiscal issues are clearly delineated for the negotiator, State Administrator/Superintendent, and Governing Board. The district should establish a formal policy to that effect. 2. The district has partially implemented the recommendation that any proposed settle- ments should be analyzed by the budget and accounting offices to ensure that the district can fund the obligations on both a current-year and ongoing basis. However, there is still no formal policy or procedure requiring such review and analysis. 3. The district did not implement the recommendation to establish a policy that would preclude the adoption of a proposed settlement, if such settlement can only be fi- nanced by implementing offsetting expenditure reductions, until the necessary reduc- tions have been identified and adopted. 4. The district has not implemented policies that preclude the Superintendent from negotiating an agreement on labor contracts without the involvement of the district’s negotiating team and fiscal management. Financial Management 59 Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 4 September 2005 Self-Rating: 5 September 2005 New Rating: 4 Implementation Scale: 60 Financial Management 19.2 Food Service Fiscal Controls—Program Compliance Professional Standard The district should operate the food service programs in accordance with applicable laws and regulations. Progress on Implementing the Recommendations of the Recovery Plan 1. The district implemented the prior recommendation to have the Food Services pro- gram reviewed for compliance with legal and regulatory requirements. The program was last reviewed by the CDE Nutrition Services Division in November 2003 and has not been reviewed since, due to workload issues at CDE. It is anticipated that the district’s program will be reviewed sometime during the 2005-06 year. 2. The cafeteria fund has been deficit spending for the last several years, and based on the district’s 2004-05 estimated actuals and 2005-06 budget, it appears that the pro- gram may have an operating deficit as high as $1 million in 2004-05 and $500,000 in 2005-06. In addition, it appears that year-end expenditures for 2004-05 will be approximately $500,000 higher than originally budgeted. Since the district had not closed its books at the time of the review, the 2004-05 number could not be con- firmed. This leaves the program with essentially no reserves and with the district making a contribution of approximately $500,000 per year. Factors contributing to the program’s fiscal issues is the need to repay the general fund approximately $200,000 annually for 20 years for a prior loan, and the retention of the meals-for-needy pupils funding in the general fund. The district needs to evaluate the Food Services program and the controls over expen- ditures and inventory in order for the program to become self-supporting, even with- out the meals-for-needy pupils funding and the loan repayment. The district needs to provide ongoing monitoring of the Food Services program to be sure it continues to improve its operations and controls and to ensure compliance with all laws, regulations, and reporting requirements. Specifically, the district must have policies, procedures, and controls that ensure the following: a. The program continue to identify and obtain applications for all students eli- gible for free/reduced meals and increase its participation rates. b. The program office and school sites maintain adequate eligibility documenta- tion. c. New sites establish base-year data for eligibility purposes. d. Amounts claimed for reimbursement are supported by the summarized meals counts and the supporting site meal counts. Financial Management 61 e. Expenditures are accurately budgeted, purchases are properly authorized, and budgets are not exceeded. f. Purchases are properly received, inventory records are accurately maintained, access to inventory is controlled, and physical inventory is taken monthly. As the program eliminates its deficit and builds reserves, the district should consider using those funds to install a point-of-sale system at all school sites to provide better management of sales, meal counts, eligibility, inventory, reimbursement, and general accounting and reporting. In addition, it appears that there are vacancies in the management of the Food Ser- vices program. Given the size of the program, the large and growing number of sites it serves, and the problems with compliance in the recent past, it is imperative that the program have a strong, knowledgeable, and active Director of Food Services to ensure that the program operates in compliance with all laws and regulations, and does not have an operating deficit. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 4 September 2005 New Rating: 3 Implementation Scale: 62 Financial Management 22.1 Special Education—Cost and Quality Professional Standard The district should actively take measures to contain the cost of special education services while still providing an appropriate level of quality instructional and pupil services to special education pupils. Progress on Implementing the Recommendations of the Recovery Plan 1. The district is making a concerted effort to better manage the special education pro- gram, control costs and general fund encroachment, and hold staff accountable. Spe- cific activities have included the following: • Training for site administrators regarding interventions, referrals to special edu- cation, individualized education plans (IEPs), and classroom implementation. • Tracking of IEPs and annual and triennial reviews to reduce the number of late reviews—currently using a standalone computer based IEP program. However, approximately 8.5% to 9% of IEPs are still out of compliance. • A review of NPS/NPA placements to reduce the number of placements and cost of these services. For 2004-05, the district moved approximately 30 stu- dents back to district programs. • Reducing legal fees by handling most issues in-house. • The assignment of dedicated business staff — 0.5 FTE budget staff and 0.5 FTE accounting staff — to provide accounting and budget support for the special education program. In addition, for 2005-06, the district plans to shift some class schedule times to reduce the number of bus routes by 25 to 30 routes, reduce transportation for nonsevere high school students, and limit the number of after-school drop off points to help control costs. In addition, for 2006-07, the district intends to track all student information in the new student information system, including information for special education stu- dents, such as IEPs. While these changes are positive and should help to improve the operation and man- agement of the department long term, the district still has significant issues. The spe- cial education encroachment is from $17 million to $18 million, a significant burden for a district in fiscal distress. Enroachment will need to be reduced within the param- eters of the federal maintenance-of- effort requirements unless the district can obtain a waiver from both the state and federal departments of education. The department still faces challenges with potential overidentification of students with speech disabilities and with not exiting students from special education in a timely manner, both of which drive up the district’s cost and encroachment. Financial Management 63 2. The district has not implemented the recommendation to formally address the findings and recommendations contained in the FCMAT special education report. While the district has made changes and informally addressed some of the items in the FCMAT report, it has not established a formal process where the findings were prioritized, an action plan created, responsibility assigned to specific managers, and periodic reports made to the State Administrator. To a great extent, the immediate job of managing the day-to-day operations of the Special Education Department, addressing the fiscal problems of the department, and attempting to ensure legal compliance have made difficult the task of establishing a formalized process. The district is clearly attempting to address the various issues. In addition, the district has been working with CDE to improve its program and achieve compliance. A corrective action plan that prioritizes issues, assigns responsibility, and establishes accountability through ongoing monitoring and periodic reporting to the State Administrator would facilitate the district’s efforts to resolve its significant prob- lems. Given that the district has addressed some of its issues, it should consider having FCMAT conduct a followup review to evaluate its progress. Based upon the findings and recommendations of the followup report, the district should implement a corrective action plan that prioritizes findings and recommendations, assigns responsibility for each item to a specific manager, and provides for periodic monitoring and reporting to the State Administrator. This approach will assist the district in efficiently effecting neces- sary changes. 3. The district had previously addressed the recommendation to have the Special Educa- tion Department work with the personnel and budget offices to identify and reconcile all its positions, FTEs, and salary and benefit costs. The department still tracks its po- sitions separately and does not use information from the IFAS system due to concerns about the accuracy and timeliness of information. This is indicative of ongoing issues with the district’s implementation of position control and the information maintained in the personnel and position control systems. The district needs to reconcile the personnel information currently maintained by the Special Education Department to the personnel/position control records. Once recon- ciled, all personnel actions should be processed through position control in the budget office and then through personnel. Ultimately, the district needs to operate with only one database for personnel/positions. This will ensure that all departments and admin- istrators are operating with the same information and will reduce the administrative burden of maintaining and reconciling multiple databases. 4. The district has not implemented the prior recommendation to have the Special Edu- cation Department, in conjunction with the budget office, evaluate its methods for projecting enrollment to ensure that all students are correctly identified. The district has been attempting to operate and staff its special education programs more effective- ly. Once the projected student population has been identified, a critical evaluation of student needs should be undertaken to determine the most effective manner for locat- ing and operating the special education programs. 64 Financial Management 5. The district has informally implemented the recommendation to have both the Special Education Department and budget office work to develop a realistic budget each year and closely monitor the budget throughout the year. However, neither department has established policies and procedures that formalize the relationship and process for joint budget development and monitoring. Such formalization is necessary to ensure that any progress made in the current year is carried forward and sustained in future years. As the Business and Special Education departments develop and finalize their proce- dures, those procedures should specifically include the joint/collaborative process for budget development and monitoring of the special education program. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 3 September 2005 Self-Rating: 4 September 2005 New Rating: 4 Implementation Scale: Financial Management 65 66 Financial Management Table of Standards for Financial Management Financial Management 67 JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ���������������������������������� NNN�RRR� �III�nnn�ddd�iii�ccc�aaa�ttt�eee�sss� �sss�ttt�aaa�nnn�ddd�aaa�rrr�ddd� �nnn�ooo�ttt� �rrr�eee�vvv�iii�eee�www�eee�ddd� NNNRRR IIInnndddiiicccaaattteeesss ssstttaaannndddaaarrrddd nnnooottt rrreeevvviiieeewwweeeddd 6666688888 FFiinnaanncciiaall MMaannaaggeemmeenntt JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg Integrity and ethical behavior are the product of the district’s ethical and behavioral standards, how they are communicated, and how they are reinforced in practice. All management- 1.1 level personnel should exhibit high integrity 7 4 NR NR NR and ethical values in carrying out their responsibilities and directing the work of others. [Statement Auditing Standards (SAS) -55, SAS-78] The district should have an audit committee to: (1) help prevent internal controls from being overridden by management; (2) help ensure ongoing state and federal compliance; 1.2 0 0 0 0 0 (3) provide assurance to management that the internal control system is sound; and, (4) help identify and correct inefficient processes. [SAS-55, SAS-78] The attitude of the Governing Board and key administrators has a significant affect on an organization’s internal control. An appropriate 1.3 attitude should balance the programmatic and 3 0 NR NR NR staff needs with fiscal realities in a manner that is neither too optimistic nor too pessimistic. [SAS-55, SAS-78] The organizational structure should clearly identify key areas of authority and 1.4 responsibility. Reporting lines should be clearly 4 2 NR NR NR identified and logical within each area. [SAS- 55, SAS-78] Management should have the ability to evaluate 1.5 job requirements and match the requirements to 2 0 NR NR NR the employee’s skills. [SAS-55, SAS-78] The district should have procedures for recruiting capable financial management 1.6 2 2 3 4 4 and staff, and hiring competent people. [SAS-55, SAS-78] All employees should be evaluated on performance at least annually by a management-level employee knowledgeable about their work product. The evaluation 1.7 criteria should be clearly communicated 3 2 2 3 3 and, to the extent possible, measurable. The evaluation should include a follow-up on prior performance issues and establish goals to improve future performance. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNNRRR IIInnndddiiicccaaattteeesss ssstttaaannndddaaarrrddd nnnooottt rrreeevvviiieeewwweeeddd NNNRRR IIInnndddiiicccaaattteeesss ssstttaaannndddaaarrrddd nnnooottt rrreeevvviiieeewwweeeddd FFiinnaanncciiaall MMaannaaggeemmeenntt 6666699999 JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg The responsibility for reliable financial reporting resides first and foremost at the district level. Top management sets the tone 1.8 and establishes the environment. Therefore, 2 0 NR NR NR appropriate measures must be implemented to discourage and detect fraud (SAS 82; Treadway Commission). The business and operational departments should communicate regularly with internal staff and all user departments regarding their responsibilities for accounting procedures and internal controls. The communications should be written whenever possible, particularly when it (1) affects many staff or user groups; 2.1 (2) is an issue of high importance; or, (3) 3 2 NR NR NR when the communication reflects a change in procedures. Procedure manuals are necessary to communicate responsibilities. The departments also should be responsive to user department needs, thus encouraging a free exchange of information between the two (excluding items of a confidential nature). The financial departments should communicate regularly with the Governing Board and community on the status of district finances and the financial impact of proposed expenditure 2.2 decisions. The communications should be 7 4 NR NR NR written whenever possible, particularly when it affects many community members, is an issue of high importance to the district and board, or reflects a change in policies. The Governing Board should be engaged in understanding globally the fiscal status of the 2.3 district, both current and as projected. The 8 0 NR NR NR Governing Board should prioritize district fiscal issues among the top discussion items. The District should have formal policies and procedures that provide a mechanism for 2.4 individuals to report illegal acts, establish 0 0 0 2 2 to whom illegal acts should be reported and provide a formal investigative process. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd 7777700000 FFiinnaanncciiaall MMaannaaggeemmeenntt JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg Develop and use a professional development plan, i.e., training business staff. The development of the plan should include the input of business office supervisors and managers. The staff development plan should 3.1 0 0 NR NR NR at a minimum identify appropriate programs officewide. At best, each individual staff and management employee should have a plan designed to meet their individual professional development needs. Develop and use a professional development plan for the in-service training of school site/ department staff by business staff on relevant 3.2 business procedures and internal controls. The 2 2 NR NR NR development of the plan should include the input of the business office and the school sites/ departments, and be updated annually. The Governing Board should adopt policies establishing an internal audit function that 4.1 0 0 NR NR NR reports directly to the Superintendent and the audit committee or Governing Board. Qualified staff should be assigned to conduct internal audits and be supervised 4.2 0 0 0 1 1 by an independent body, such as an audit committee. Internal audit findings should be reported on a timely basis to the audit committee, Governing 4.3 Board and administration, as appropriate. 0 0 NR NR NR Management should then take timely action to follow up and resolve audit findings. Internal audit functions should be designed into the organizational structure of the district. These functions should include periodic internal audits of areas at high 4.4 New 0 0 1 1 risk for non-compliance with laws and regulations and/or at high risk for monetary loss. (Added since the 2000 Report) The budget development process requires a policy-oriented focus by the Governing Board to develop an expenditure plan, which fulfills the district’s goals and objectives. The 5.1 Governing Board should focus on expenditure 4 0 NR NR NR standards and formulas that meet the district goals. The Governing Board should avoid specific line item focus, but should direct staff to design an overall expenditure plan focusing on student and district needs. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd FFiinnaanncciiaall MMaannaaggeemmeenntt 7777711111 JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg The budget development process includes 5.2 input from staff, administrators, board and 8 0 NR NR NR community. Policies and regulations exist regarding budget 5.3 6 2 NR NR NR development and monitoring. The district should have a clear process to analyze resources and allocations to ensure 5.4 that they are aligned with strategic planning 6 0 NR NR NR objectives and that the budget reflects the priorities of the district. Categorical funds are an integral part of the budget process and should be integrated into the entire budget development. The revenues and expenditures for categorical programs must be reviewed and evaluated in the same manner as unrestricted General Fund revenues and expenditures. Categorical program development should be integrated with the district’s goals and should be used to respond 5.5 2 2 NR NR NR to district student needs that cannot be met by unrestricted expenditures. The superintendent, superintendent’s cabinet and fiscal office should establish procedures to ensure that categorical funds are expended effectively to meet district goals. Carry-over and unearned income of categorical programs should be monitored and evaluated in the same manner as General Fund unrestricted expenditures. The district must have an ability to accurately reflect their net ending balance throughout the budget monitoring process. The first and second interim reports should provide valid up dates of the district’s net 5.6 0 0 2 3 4 ending balance. The district should have tools and processes that ensure that there is an early warning of any discrepancies between the budget projections and actual revenues or expenditures. The district should have policies to facilitate development of budget that is understandable, 5.7 meaningful, reflective of district priorities, and New 0 NR NR NR balanced in terms of revenues and expenditures. (Added since the 2000 Report) ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd 7777722222 FFiinnaanncciiaall MMaannaaggeemmeenntt JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg The budget office should have a technical process to build the preliminary budget that includes: the forecast of revenues, the verification and projection of expenditures, the identification of known carry over and accruals, and the inclusion of expenditure 6.1 plans. The process should clearly identify 3 0 2 3 3 onetime sources and uses of funds. Reasonable Average Daily Attendance (ADA) and Cost of Living Adjustment (COLA) estimates should be used when planning and budgeting. This process should be applied to all funds. An adopted budget calendar exists that meets legal and management requirements. At a 6.2 minimum the calendar should identify statutory 8 8 NR NR NR due dates and major budget development activities. Standardized budget worksheets should be used in order to communicate budget requests, 6.3 7 7 NR NR NR budget allocations, formulas applied and guidelines. The district should adopt its annual budget within the statutory time lines established by Education Code Section 42103, which requires that on or before July 1, the Governing Board must hold a public hearing on the budget to 7.1 8 8 NR NR NR be adopted for the subsequent fiscal year. Not later than five days after that adoption or by July 1, whichever occurs first, the Governing Board shall file the budget with the county superintendent of schools. [EC 42127(a) Revisions to expenditures based on the State Budget should be considered and adopted by the Governing Board. Not later than 45 days after the Governor signs the annual Budget 7.2 Act, the district shall make available for 5 0 NR NR NR public review any revisions in revenues and expenditures that it has made to its budget to reflect funding available by that Budget Act. [EC 42127(2) and 42127(i)(4)] The district should have procedures that provide for the development and submission 7.3 of a district budget and interim reports 7 0 3 3 3 that adhere to criteria and standards and is approvable by the county office of education. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd FFiinnaanncciiaall MMaannaaggeemmeenntt 7777733333 JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg The district should complete and file its interim budget reports within the statutory deadlines 7.4 4 0 NR NR NR established by Education Code Section 42130, et seq. The district should arrange for an annual audit 7.5 (single audit) within the deadlines established 8 8 NR NR NR by Education Code Section 41020. Standard management practice dictates the use 7.6 0 0 NR NR NR of an audit committee. The district should include in its audit report, but not later than March 15, a 7.7 3 0 0 3 3 corrective action for all findings disclosed as required by Education Code Section 41020. The district must file certain documents/reports with the state as follows: • J-200 series - (Education Code Section 42100) 7.8 • J-380 series – CDE procedures 3 2 NR NR NR • Interim financial reports - (Education Code Section 42130) • J-141 transportation report (Title V, article 5, Section 15270) The district must comply with Governmental Accounting Standard No. 34 (GASB 34) for the period ending June 30, 2003. GASB 34 requires the district to develop policies 7.9 and procedures and report in the annual New 0 2 2 2 financial reports on the modified accrual basis of accounting and the accrual basis of accounting. (Added since the 2000 Report) The first and second interim reports should show an accurate projection of the ending fund balance. Material differences should 7.10 New 0 2 3 4 be presented to the board of education with detailed explanations. (Added since the 2000 Report) ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd 7777744444 FFiinnaanncciiaall MMaannaaggeemmeenntt JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg Education Code Section 410209(c)(d)(e)(g) establishes procedures for local agency audit obligations and standards. Pursuant to Education Code Section 41020(h), the district should submit to the county superintendent of 7.11 schools in the county that the district resides, New 0 NR NR NR the State Department of Education, and the State Controller’s Office an audit report for the preceding fiscal year. This report must be submitted “no later than December 15.” (Added since the 2000 Report) All purchase orders are properly encumbered against the budget until payment. The district should have controls 8.1 in place that ensure adequate funds are 0 0 2 2 3 available prior to incurring financial obligations (Reworded since the 2000 Report) There should be budget monitoring controls, such as periodic reports, to alert department and site managers of the potential for 8.2 0 0 2 3 3 overexpenditure of budgeted amounts. Revenue and expenditures should be forecast and verified monthly. Budget revisions are made on a regular basis 8.3 and occur per established procedures and are 8 2 NR NR NR approved by the board. The district uses an effective position control system, which tracks personnel allocations and expenditures. The position control 8.4 4 2 2 2 3 system effectively establishes checks and balances between personnel decisions and budgeted appropriations. The routine restricted maintenance account should be analyzed routinely to ensure that income has been property claimed and expenditures within the guidelines provided 8.5 by the State Department of Education. The New 1 2 3 4 district budget should include specific budget information to reflect the expenditures against the routine maintenance account. (Added since the 2000 Report) ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd FFiinnaanncciiaall MMaannaaggeemmeenntt 7777755555 JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg The district should monitor both the revenue limit calculation and the special education calculation at least quarterly to adjust for any 8.6 differences between the financial assumptions New 0 NR NR NR used in the initial calculations and the final actuals as they are known. (Added since the 2000 Report) The district should be monitoring the site 8.7 reports of revenues and expenditures provided. New 0 NR NR NR (Added since the 2000 Report) The district budget should be a clear manifestation of district policies and should 9.1 2 0 NR NR NR be presented in a manner that facilitates communication of those policies. Clearly identify onetime source and use of 9.2 5 3 NR NR NR funds. The Governing Board must review and approve, at a public meeting and on a 10.1 0 0 2 4 4 quarterly basis, the district’s investment policy. [GC 53646] An accurate record of daily enrollment and 11.1 attendance is maintained at the sites and 4 3 4 5 5 reconciled monthly. Policies and regulations exist for Independent Study, Home Study, inter/intradistrict 11.2 5 5 NR NR NR agreements and districts of choice, and should address fiscal impact. Students should be enrolled by staff and entered 11.3 into the attendance system in an efficient, 7 7 NR NR NR accurate and timely manner. At least annually, the district should verify that each school bell schedule 11.4 meets instructional time requirements for 6 6 3 5 5 minimum day, year and annual minute requirements. Procedures should be in place to ensure that attendance accounting and reporting 11.5 8 6 NR NR NR requirements are met for alternative programs, such as ROC/P and adult education. The district should have standardized and mandatory programs to improve the attendance 11.6 0 3 NR NR NR rate of pupils. Absences should be aggressively followed-up by district staff. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd 7777766666 FFiinnaanncciiaall MMaannaaggeemmeenntt JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg School site personnel should receive periodic and timely training on the district’s attendance 11.7 4 3 NR NR NR procedures, system procedures and changes in laws and regulations. Attendance records shall not be destroyed until 11.8 after the third July 1 succeeding the completion 4 4 NR NR NR of the audit (Title V, CCR, Section 16026). The district should make appropriate use of short-term independent study and Saturday 11.9 school programs as alternative methods for 8 6 NR NR NR pupils to keep current on classroom course work. The district should adhere to the California School Accounting Manual (CSAM) and Generally Accepted Accounting Principles (GAAP) as required by Education Code Section 12.1 9 0 NR NR NR 41010. Furthermore, adherence to CSAM and GAAP helps to ensure that transactions are accurately recorded and financial statements are fairly presented. The district should timely and accurately record all information regarding financial activity for all programs (unrestricted and restricted). Generally Accepted Accounting Principles 12.2 (GAAP) require that in order for financial 9 0 2 3 3 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 essential function of the district’s financial management. The district should forecast its revenue and expenditures and verify those projections on a monthly basis in order to adequately manage its cash. In addition, the district should reconcile its cash to bank statements and reports from the county treasurer 12.3 7 0 2 3 3 reports on a monthly basis. Standard accounting practice dictates that, in order to ensure that all cash receipts are deposited timely and recorded properly, cash be reconciled to bank statements on a monthly basis. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd FFiinnaanncciiaall MMaannaaggeemmeenntt 7777777777 JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg The district’s payroll procedures should be in compliance with the requirements established by the Alameda County Office of Education, unless fiscally independent 12.4 3 3 3 3 3 (Education Code Section 42646). Standard accounting practice dictates that the district implement procedures to ensure the timely and accurate processing of payroll. Standard accounting practice dictates that the accounting work should be properly supervised and work reviewed in order to 12.5 9 0 2 3 3 ensure that transactions are recorded timely and accurately, and allow the preparation of periodic financial statements. Federal and state categorical programs, either through specific program requirements or through general cost principles such as OMB 12.6 Circular A-87, require that entities receiving 9 0 NR NR NR such funds must have an adequate system to account for those revenues and related expenditures. Generally accepted accounting practices dictate that, in order to ensure accurate recording of transactions, the district should have standard procedures for closing its 12.7 books at fiscal year-end. The district’s 2 0 3 3 4 year-end closing procedures should be in compliance with the procedures and requirements established by the Alameda County Office of Education. The district should comply with the bidding requirements of Public Contract Code Section 20111. Standard accounting practice dictates that the district have adequate purchasing and warehousing procedures to ensure that only 12.8 properly authorized purchases are made, that 2 2 NR NR NR authorized purchases are made consistent with district policies and management direction, that inventories are safeguarded, and that purchases and inventories are timely and accurately recorded. The district has documented procedures for the receipt, expenditure and monitoring of all construction-related activities. Included in 12.9 8 2 NR NR NR the procedures are specific requirements for the approval and payment of all construction- related expenditures. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd 7777788888 FFiinnaanncciiaall MMaannaaggeemmeenntt JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg The accounting system should have an 12.10 appropriate level of controls to prevent and 6 2 2 2 3 detect errors and irregularities. The Governing Board adopts policies and procedures to ensure compliance regarding 13.1 how student body organizations deposit, invest, 5 5 NR NR NR spend, raise and audit student body funds. [EC 48930-48938] Proper supervision of all student body funds shall be provided by the board. [EC 48937] This supervision includes establishing responsibilities for managing and 13.2 5 5 NR NR NR overseeing the activities and funds of student organizations, including providing procedures for the proper handling, recording and reporting of revenues and expenditures. In order to provide for oversight and control, the California Department of Education 13.3 recommends that periodic financial reports be 0 0 NR NR NR prepared by sites, and then summarized by the district office. In order to provide adequate oversight of student funds and to ensure the proper handling and reporting, the California Department of 13.4 Education recommends that internal audits 0 0 NR NR NR be performed. Such audits should review the operation of student body funds at both district and site levels. A reliable computer program that provides 14.1 reliable multiyear financial projections is 3 0 3 3 3 used. The district annually provides a multiyear revenue and expenditure projection for all funds of the district. Projected fund balance 14.2 2 1 3 3 3 reserves should be disclosed. [EC 42131] The assumptions for revenues and expenditures should be reasonable and supportable. Multiyear financial projections should be prepared for use in the decision-making 14.3 process, especially whenever a significant 0 0 NR NR NR multiyear expenditure commitment is contemplated. [EC 42142] Comply with public disclosure laws of fiscal obligations related to health and welfare 15.1 benefits for retirees, self-insured workers 2 2 NR NR NR compensation, and collective bargaining agreements. [GC 3540.2, 3547.5, EC 42142] ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd FFiinnaanncciiaall MMaannaaggeemmeenntt 7777799999 JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg When authorized, the district should only use nonvoter approved, long-term financing such as certificates of participation (COPS), revenue bonds, and lease-purchase agreements 15.2 (capital leases) to address capital needs, and not 0 0 NR NR NR operations. Further, the general fund should be used to finance current school operations, and in general should not be used to pay for these types of long-term commitments. For long-term liabilities/debt service, the district should prepare debt service schedules and identify the dedicated funding sources to make those debt service payments. The district should project cash receipts from the dedicated revenue sources to ensure that it will have sufficient funds to make periodic debt 15.3 6 3 NR NR NR payments. The cash flow projections should be monitored on an ongoing basis to ensure that any variances from projected cash flows are identified as early as possible, in order to allow the district sufficient time to take appropriate measures or identify alternative funding sources. The State Administrator/Governing Board must ensure that any guideline that they develop for collective bargaining is fiscally aligned with the instructional and fiscal goals on a multiyear basis. The State Administrator/Governing Board must ensure that the district has a formal process where collective bargaining multiyear costs are identified and expenditure changes/ reductions are identified and implemented as necessary prior to any imposition of new collective bargaining obligations. The 16.1 State Administrator/Governing Board 2 0 2 4 4 must ensure that there is a validation of the costs and the projected district revenues and expenditures on a multiyear basis so that the fiscal resources are sufficient to fund collective bargaining settlements on an ongoing basis. The public should be informed about budget reductions that will be required for a bargaining agreement prior to any contract acceptance by the Governing Board. The public should be given an opportunity to comment. (Reworded since the 2000 Report). ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd 8888800000 FFiinnaanncciiaall MMaannaaggeemmeenntt JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg There should be a process in place for fiscal input and planning of the district technology plan. The goals and objectives of the technology plan should be clearly defined. The 17.1 5 3 NR NR NR plan should include both the administrative and instructional technology systems. There should be a summary of the costs of each objective and a financing plan should be in place. Management information systems must support users with information that is relevant, timely, and accurate. Needs assessments must be performed to ensure that users are involved in the definition of needs, development of system specifications, and selection of appropriate systems. Additionally, district standards must 17.2 be imposed to ensure the maintainability, 5 5 NR NR NR compatibility, and supportability of the various systems. The district must also ensure that all systems are compliant with the new Standardized Account Code Structure (SACS), year 2000 requirements, and are compatible with county systems with which they must interface. Automated systems should be used to improve accuracy, time liness, and efficiency of financial and reporting systems. Needs assessments should be performed to determine what systems are candidates for automation, whether standard hardware and software systems are available to meet the need, and whether or not the district would benefit. 17.3 Automated financial systems should provide 5 5 NR NR NR accurate, timely, relevant information and should conform to all accounting standards. The systems should also be designed to serve all of the various users inside and outside the district. Employees should receive appropriate training and supervision in the operation of the systems. Appropriate internal controls should be instituted and reviewed periodically. Cost/benefit analyses provide an important basis upon which to determine which systems should be automated, which systems best meet defined needs, and whether internally 17.4 9 5 NR NR NR generated savings can provide funding for the proposed system. Cost/benefit analyses should be complete, accurate, and include all relevant factors. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd FFiinnaanncciiaall MMaannaaggeemmeenntt 8888811111 JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg Selection of information systems technology should conform to legal procedures specified in the Public Contract Code. Additionally, there should be a process to ensure that needs analyses, cost/benefit analyses, and financing 17.5 plans are in place prior to commitment of 9 6 NR NR NR resources. The process should facilitate 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 should be supported by implementation and training plans. The cost of implementation and training should be 17.6 9 4 NR NR NR included with other support costs in the cost/ benefit analyses and financing plans supporting the acquisition. Food service software should permit point- of-sale transaction processing for maximum 17.7 New 0 NR NR NR efficiency. (Added since the 2000 Report) Administrative system users should be adequately trained in the use of administrative systems and should receive periodic training 17.8 New 0 NR NR NR updates to ensure that they remain aware of system changes and capabilities. (Added since the 2000 Report) Business office computers, computer screens, operating systems, and software applications 17.9 used for administrative system access should be New 2 NR NR NR kept up to date. (Added since the 2000 Report) The district has a comprehensive risk management program. The district should have a program that monitors the various 18.1 aspects of risk management including workers 3 3 NR NR NR compensation, property and liability insurance, and maintains the financial well being of the district. The district should have a work order system that tracks all maintenance requests, the worker 18.2 5 5 NR NR NR assigned, dates of completion, labor time spent and the cost of materials. The district should control the use of facilities 18.3 and charge fees for usage in accordance with 4 3 NR NR NR district policy. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd 8888822222 FFiinnaanncciiaall MMaannaaggeemmeenntt JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. JJaann.. SSeepptt.. MMaarrcchh SSeepptt.. SSeepptt.. SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 SSttaannddaarrdd ttoo bbee aaddddrreesssseedd 22000000 22000033 22000044 22000044 22000055 rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg rraattiinngg The maintenance department should follow standard district purchasing protocols. Open 18.4 purchase orders may be used if controlled by 0 0 NR NR NR limiting the employees authorized to make the purchase and the amount. District-owned vehicles should only be used for 18.5 district purposes. Fuel should be inventoried 3 3 NR NR NR and controlled as to use. Vending machine operations are subject to policies and regulations set by the State Board of Education. All contracts specifying these 18.6 2 2 NR NR NR should reflect these policies and regulations. An adequate system of inventory control should also exist. [EC 48931] Capital equipment and furniture should 18.7 be tagged as district-owned property and 7 7 NR NR NR inventoried at least annually. The district should adhere to bid and force account requirements found in the Public Contract Code (Sections 20111 and 20114). These requirements include formal bids for 18.8 0 0 NR NR NR materials, equipment 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. Materials and equipment/tools inventory should be safeguarded from loss through appropriate 18.9 New 0 NR NR NR physical and accounting controls. (Added since the 2000 Report) In order to accurately record transactions and to ensure the accuracy of financial statements for the cafeteria fund in accordance with generally accepted accounting principles, the district should have adequate purchasing and warehousing procedures to ensure that: • Only properly authorized purchases are made consistent with district 19.1 3 3 NR NR NR policies, federal guidelines, and management direction. • Adequate physical security measures are in place to prevent the loss/theft of food inventories. • Revenues, expenditures, inventories, and cash are recorded timely and accurately. The district should operate the food service 19.2 programs in accordance with applicable laws 0 0 3 3 3 and regulations. ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd NNRR IInnddiiccaatteess ssttaannddaarrdd nnoott rreevviieewweedd FFiinnaanncciiaall MMaannaaggeemmeenntt 8888833333 Jan. Sept. March Sept. Sept. Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating rating rating rating rating rating In the process of reviewing and approving Charter schools, the district should identify/ establish minimal financial management and reporting standards that the Charter school will follow. These standards/procedures will provide some level of assurance that finances will be 20.1 9 6 NR NR NR managed appropriately, and allow the district to monitor the Charter. The district should monitor the financial management and performance of the charter schools on an ongoing basis, in order to ensure that the resources are appropriately managed. The district should have procedures that provide for the appropriate oversight and management of mandated cost claim reimbursement filing. Appropriate procedures would cover: the identification of new mandates for which the district might be eligible for 21.1 reimbursement; identification of changes to 2 2 NR NR NR existing mandates; training staff regarding the appropriate collection and submission of data to support the filing of mandated costs claims; forms, formats, and time lines for reporting mandated cost information; and, review of data and preparation of the actual claims. The district should actively take measures to contain the cost of special education services 22.1 while still providing an appropriate level of 0 0 2 3 4 quality instructional and pupil services to special education pupils. ��������������������������������������������������������������������������������������������������������������������� ��������������������������������������������������������������������������������������������������������������������� NR Indicates standard not reviewed NR Indicates standard not reviewed 8888844444 FFiinnaanncciiaall MMaannaaggeemmeenntt FACILITIES MANAGEMENT Summary of Findings and Recommendations The Oakland Unified School District (OUSD) Facilities Management Division is committed to improving facility operations throughout the district. Over the past year, the OUSD has been implementing several new and innovative districtwide initiatives, including a transition to small autonomous schools and a site-based budgeting approach known as Results-Based Budgeting. These projects are still in the beginning stages; thus, it is difficult to fully understand how they will affect the Facilities Management Division in the years to come. Continuing Problems of Graffiti and Vandalism Since the FCMAT reviews began, the district has made substantial progress in addressing the issues of vandalism and graffiti. However, this continues to be the most significant issue faced by the district, and graffiti removal remains the number-one priority for painting crews. Over the past year, the district has implemented the following policies: • Custodians are assisting with graffiti removal painting. • Sites are allocated graffiti removal painting hours. Sites not requiring the allocated number of hours for graffiti removal may apply these hours to site beautification. Those sites exceeding the allocated number of graffiti removal hours are “charged- back” for excess hours. • Anti-graffiti/vandalism student groups have been organized and are proactive and very effective in the fight against graffiti/vandalism. • Sites experiencing the most severe incidents of graffiti (usually in restrooms) are slated for modernization which entails wrapping the interior of the restroom in ceram- ic tile. The Facilities Management Division is making a concerted effort to meet the district’s mainte- nance needs, but cannot be held solely responsible for making the district’s buildings clean, safe, and productive learning environments. A large percentage of the graffiti and vandalism in the schools occurs inside district buildings during school hours, and could therefore be prevented by improved supervision. Combating graffiti and vandalism must be a coordinated effort among principals, custodians, teachers, students, parents, and community members. Graffiti and vandal- ism abatement procedures, responsibilities, and consequences must be defined and documented ensuring that all involved parties are working toward a common goal. The battle against graffiti and vandalism will continue to divert resources from other educational priorities. Facilities Master Plan The district has updated its Facilities Master Plan and is scheduled to present this plan at the Sep- tember 2005 Board meeting. This plan will serve as a blueprint for guiding facilities-related deci- sions. The district expanded the scope of the Facilities Master Plan to more thoroughly address FCMAT standards and department goals. The expanded scope of the plan includes the following: • Hiring a team of engineers to visit all school sites to determine the status of each site’s infrastructure and make recommendations concerning future needs. • Developing a matrix capturing all sites’ facilities needs districtwide and indicating the prioritization of future repairs and improvements. Facilities Management 1 • Establishing a Facilities Utilization Committee which applies district school loading standards to all sites and identifies excess space on an annual basis. • Developing annual capital improvement budgets on a project-by-project basis. • Re-establishing the Facilities Advisory Committee. In addition, based on FCMAT’s recommendation, the district reestablished the Citizen’s Over- sight Committee, which meets on a regular basis and provides advice and feedback to the board on all facilities-related issues. Buildings and Grounds The district implemented an eight-module comprehensive training course for custodians, and will continue to conduct training on a biannual basis. The FCMAT review team visited numerous district buildings and noted that the Custodial Services Department has made progress. Custodial staff has made an effort to meet industry cleanliness standards and all sites visited reflected this effort. The Facilities Management Division has also focused attention on the improvement of site grounds. The review team observed improved grounds conditions — less trash, landscaping well maintained, exterior lighting replaced and/or operative, and fewer missing fire extinguishers. In addition, steady progress has been made to ensure that each site has a functioning fire alarm system. Preventative Maintenance Overall, the Facilities Management Division has been very effective at addressing the recovery plan’s recommendations. However, deferred and preventative maintenance continue to pose substantial issues. The level of vandalism and graffiti experienced throughout the district requires an inordinate amount of time to be spent on routine maintenance thus leaving little or no re- sources for deferred and preventative maintenance. Presently, the focus of deferred maintenance is roofs, paving, and restroom upgrades. This maintenance takes place primarily during the sum- mer months. Preventative maintenance is virtually nonexistent. The review team emphasized the need to either upgrade or replace the Computerized Maintenance Management System (CMMS) presently used by the district. An improved system would enable the district to efficiently man- age projects; deferred, preventative, and routine maintenance; track inventory, generate and track work orders; and track all labor and associated costs. 2 Facilities Management 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/ adequacy of such lighting to ensure safety while activities are in progress in the evening hours. Outside lighting should provide sufficient illumination to allow for the safe passage of students and the public during after-hours activities. Lighting should also provide security personnel with sufficient illumination to observe any illegal activities on campus. Progress on Implementing the Recommendations of the Recovery Plan 1. All light fixtures appeared to be operating. No fixtures were found to lack bulbs. Both the Director of Buildings and Grounds and the Director of Custodial Services indi- cated that site-level staff now has a better understanding of who is responsible for light bulb replacement. Custodians are using six- to eight-foot-long ladders to change accessible light bulbs, and staff members from Buildings and Grounds are replac- ing bulbs higher than the eight-foot height. The Director of Custodial Services sent a memo to site administrators and custodians delineating responsibility for light bulb and fixture replacement. School office managers should continue to print copies of outstanding work orders for the site each week and share these with the Custodian. 2. The district is presently operating with only three electricians. Light fixtures are being replaced on an “as-needed” basis by the Buildings and Grounds electricians. The fix- tures installed as replacements have vandalism-proof lenses. During site visits, it was noted that many fixtures had been replaced. 3. The district in conjunction with PG&E is presently installing additional security light- ing that is intended to be vandal proof and more durable. These lights are high-pres- sure sodium lights that have a long life (more than 25,000 hours), consistent perfor- mance, and are economic to operate. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: Facilities Management 3 1.8 School Safety – Graffiti and Vandalism Abatement Plan Professional Standard The district has a graffiti and vandalism abatement plan. The district should have a written graffiti and abatement plan that is followed by all district employees. The district provides district employees with sufficient resources to meet the requirements of the abatement plan. Progress on Implementing the Recommendations of the Recovery Plan 1. It appears that the district has made progress in the fight against graffiti and vandal- ism. The Assistant Superintendent of Facilities reports that a great deal of the graffiti occurs during regular school hours. As recommended earlier, it is imperative that the district document a graffiti and vandalism abatement plan and that this plan be dis- tributed to all sites. In addition, the district should conduct informational or training sessions to ensure that all staff members responsible for supporting the plan clearly understand their roles and responsibilities. 2. The Facilities staff continues to perform well in responding to most of the district’s maintenance needs. However, it is important to note that the facilities staff is limited and has little effect on graffiti and vandalism prevention. Presently, Facilities has 12 painters, all of whom are involved in graffiti removal. The division is implementing measures to address the problem of graffiti including the following: a. Allocating graffiti removal painting hours to each site. If the site has reduced graffiti and does not expend its hours on graffiti removal, it may use the re- maining hours for site beautification such as classroom painting, etc. If the site exceeds the allocated number of painting hours, they are “charged back” for the painting services. Allocating painting hours by site is intended to serve as an incentive for schools to be more proactive in the fight against graffiti and vandalism. b. Custodians are now assisting with graffiti removal painting. c. Sites experiencing the most severe incidents of graffiti in the restrooms will be targeted for restroom modernization, which includes wrapping the interior (floors, walls) in ceramic tile. This will lessen the need for repainting. Pres- ently, five campuses are scheduled for this tile wrapping. 3. Anti-graffiti student groups have been organized and are very proactive in the battle against graffiti. Regular meetings are held, and student involvement is high. 4 Facilities Management Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 1 September 2004 Rating: 1 September 2005 Self-Rating: 6 September 2005 New Rating: 2 Implementation Scale: Facilities Management 5 1.12 School Safety – Inspection and Correction of Unsafe Buildings Legal Standard Building examinations are performed, and required actions are taken by the Governing Board upon report of unsafe conditions [EC 17367]. Progress on Implementing the Recommendations of the Recovery Plan 1. Custodians are presently conducting day-to-day inspections and reporting areas of concern to the site secretary. The site Secretary generates a work order to the Build- ings and Grounds Division, which prioritizes and conducts the repair. The Grounds Division reports the status of the work order to the site Secretary, but this information often is not communicated to the Custodian. It is important that this information be reported to the Custodian to avoid problems such as duplication of reports. 2. The district has not yet developed a standard building inspection form. The Buildings and Grounds Director indicated the district is waiting for the state to define the inspec- tion parameters. The district should have a documented building inspection form and standards, and all custodians should be trained regarding these standards. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 1 March 2004 Rating: 4 September 2004 Rating: 4 September 2005 Self-Rating: 7 September 2005 New Rating: 6 Implementation Scale: 6 Facilities Management 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 conditions that would create a fire hazard [CCR Title 5 Section 633]. Progress on Implementing the Recommendations of the Recovery Plan 1. The district continues to make progress regarding the fire alarm systems. The district has contracted with an engineering firm to ensure fire code compliance and internal consistency of the fire system. The district continues to either install new systems or upgrade existing systems. As sites are remodeled, life/safety upgrades are the top pri- ority. 2. Fewer extinguishers were missing than in previous reviews. However, the Director of Custodial Services explained that the site staff often continues to remove extinguish- ers as a means of preventing vandalism. Many middle and high schools were missing fire hoses. The Director of Custodial Services explained that due to vandalism issues, the Oakland Fire Department has endorsed the removal of fire box hoses and is capa- ble of connecting hoses should the need arise. There continues to be a need to imple- ment procedures to reduce the incidents of vandalism. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating: 7 September 2005 New Rating: 7 Implementation Scale: Facilities Management 7 1.16 School Safety – Fire Extinguishers and Inspection Information Available Legal Standard Appropriate fire extinguishers exist in each building and current inspection information is avail- able [CCR Title 8 Section 1922(a)]. Progress on Implementing the Recommendations of the Recovery Plan 1. The Custodial Services Department has implemented a system and trained custodial site supervisors to check fire extinguishers monthly. Custodians check the extinguisher tags to confirm that they are full and up to date. Information about missing or expired extinguishers is communicated to the contracted firm through the Custodial Services Department. 2. More extinguishers are present in the required stations. At the elementary sites toured, all extinguishers were present and tagged properly. There was improvement in this area at the middle- and high-school levels, however, vandalism of fire boxes and re- moval of extinguishers by the site staff continue to be problems. The Director of Cus- todial Services reported that the city/county has approved the removal of fire hoses due to the vandalism. In some instances, schools have installed cameras in school hallways to monitor student activity and lessen the incidents of vandalism. Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 4 March 2004 Rating: 4 September 2004 Rating: 4 September 2005 Self-Rating: 7 September 2005 New Rating: 4 Implementation Scale: 8 Facilities Management 1.24 School Safety – Conduct of Periodic Safety Training for Employees Professional Standard The district conducts periodic safety training for employees. District employees should receive periodic training on the safety procedures of the district. Progress on Implementing the Recommendations of the Recovery Plan 1. The Director of Custodial Services coordinated with the Risk Management Depart- ment to schedule a six-hour health and safety training module for custodial staff. All new employees are trained on the contents of the Injury Illness Prevention Plan and the responsibilities assigned to them during new employee orientation. Retraining on a revised or new code of safe practices will be provided whenever the employee is given a new job assignment; a new substance, process, procedure or piece of equipment is introduced; or the site administrator, director, or supervisor is made aware of a new or previously unrecognized hazard. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 3 March 2004 Rating: 3 September 2004 Rating: 5 September 2005 Self-Rating: 7 September 2005 New Rating: 6 Implementation Scale: Facilities Management 9 2.1 Facility Planning – Maintenance of a Long-Range Facilities Master Plan Professional Standard The district should have a long-range school facilities master plan. Progress on Implementing the Recommendations of the Recovery Plan 1. The Director of Facilities reports that the original scope (Phase I) of the Facilities Master Plan update is in final draft form and will be presented to the Board in Sep- tember. It is important to note that the district is involved in a massive reorganization initiative and is presently changing from central governance management to site-based management. This reorganization has affected the components of the Master Plan. The following components are included in Phase I of the update: • Facilities survey condition, site analysis, and interpretation for all school sites. • Site visits and gathering of assessment information from all school sites via an extensive questionnaire. • Updated site diagrams for all district sites. • Feasibility of implementing multiple small schools on 34 school sites. In addition, the district expanded the master plan to more thoroughly address FCMAT standards and department goals. This expansion is Phase II, which includes: • A team of engineers (civil, mechanical, plumbing, and electrical) and a roofing consultant are in the process of visiting all school sites to determine the status of each site’s infrastructure and make recommendations concerning future needs. Recommendations will include life-cycle analyses of building systems, present and future cost estimates for completing the recommended repairs, and replacements over a five-year period. • Development of a matrix that will capture all site facilities needs districtwide, and allow for the prioritization of future repairs and improvements based on agreed upon priorities. • The district has established a Facilities Utilization Committee that applies district school loading standards to all sites and identifies excess space on an annual basis. All requests for space from departments are routed through this committee, which makes recommendations to the Board/State Administrator concerning the utilization of excess space throughout the district. • The Facilities Utilization Committee works in conjunction with the larger Site Intervention Team. This team handles all programs including, but not limited to, small schools, internal and external charters, and No Child Left Behind interventions. • Annual capital improvement budgets are developed on a project-by-project basis that links cash balances to budgets. Each year, the budget includes a cash flow of revenue and expenditure for a three-year period. 2. In September 2004, Facilities Advisory Committee meetings were re-established and have been scheduled on a regular basis. 10 Facilities Management Standard Implemented: Partially January 2000 Rating: 4 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 7 September 2005 New Rating: 5 Implementation Scale: Facilities Management 11 2.4 Facility Planning – Existence of a District Facility Planning Committee Professional Standard The district has created a Citizens’ Oversight Committee to ensure the appropriateness of expen- ditures related to the recent passage of the district’s local school bond measure. In essence, this committee will function as an advisory/facility planning type of committee. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has reestablished the Citizens’ Oversight Committee. The Assistant Super- intendent of Facilities oversees these meetings. This committee meets regularly and reviews the status of school sites and recommends closure, reassignment, etc. This committee reviews all facility-related issues that go before the board. The committee provides advice and feedback only. It does not have the power to approve or disap- prove. 2. The district must formalize bylaws and procedures for the Citizens’ Oversight Com- mittee. This should be undertaken immediately, so that committee members, the com- munity, and the school board understand the scope of the committee’s responsibilities. The Facilities Department should create a handbook for the Citizens’ Oversight Com- mittee to provide the following information: • Who should serve and how they should be appointed. • The scope of responsibility and decision-making authority of the committee (as defined by bond language and board policy). • Procedures for conducting meetings and providing input on facility-related planning. • Documented criteria for prioritization of facility projects, to be established in the Facilities Master Plan. Standard Implemented: Partially January 2000 Rating: 3 September 2003 Rating: 0 March 2004 Rating: 4 September 2004 Rating: 3 September 2005 Self-Rating: 7 September 2005 New Rating: 5 Implementation Scale: 12 Facilities Management 2.6 Facility Planning – Implementation of an Annual Capital Planning Budget Professional Standard The district should develop and implement an annual capital planning budget. Progress on Implementing the Recommendations of the Recovery Plan 1. The Facilities Master Plan will address facility modernization and will incorporate an implementation plan for this modernization on a districtwide basis. However, the Master Plan does not address deferred or preventative maintenance issues. 2. Although progress has been made, the written capital construction and renovation projects budget has yet to be coordinated with a written deferred maintenance projects budget. The district should develop a systematic approach of integrating the two plan- ning and funding processes. Standard Implemented: January 2000 Rating: 1 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 5 September 2005 Self-Rating: 7 September 2005 New Rating: 5 Implementation Scale: Facilities Management 13 2.17 Facility Planning – Priorities and Scheduling of Projects Professional Standard The district has established and utilizes an organized methodology of prioritizing and scheduling projects. Progress on Implementing the Recommendations of the Recovery Plan 1. The prioritization of projects presently is accomplished by scoring the facilities. The current prioritization list was developed in 2000. The district is expecting a new general obligation bond in 2006-07 that will be distributed equally over the next five years. The board should create documented policies, procedures, and criteria regard- ing prioritization and capital projects. The district has prepared a comparative matrix that evaluates all school facilities in the district. This matrix evaluates all building sys- tems at each of the schools, site utilization, site capacity, and other parameters. Based on this matrix, the district is in the process of developing a facilities plan and prioritiz- ing projects on a districtwide basis. Standard Implemented: Partially January 2000 Rating: Not Assessed September 2003 Rating: 1 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 6 September 2005 New Rating: 4 Implementation Scale: 14 Facilities Management 2.18 Facility Planning – Equity of Distribution of Facility Funding Professional Standard The district should distribute facility funding in an equitable manner to all communities served and to all school levels. Progress on Implementing the Recommendations of the Recovery Plan 1. Although the district created a model for educational specifications at the elementary school level, there are no educational specifications for new small schools. The Facili- ties Department continues to believe that generic specifications would be of limited use and relevance in light of the district’s move toward small, unique, and specialized schools. FCMAT continues to believe it is important for the district to develop stan- dards to compare and balance facility decisions. 2. The district presently prioritizes projects based on greatest need. With the adoption of the Facilities Master Plan, the priority list will be based on objective criteria. Once prioritization is established based on this criteria, the distribution of facility funding will become more equitable. Standard Implemented: Partially January 2000 Rating: Not Assessed September 2003 Rating: 1 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 6 September 2005 New Rating: 4 Implementation Scale: Facilities Management 15 3.10 Facilities Improvement and Modernization — Plan for Maintenance and Modernization Exists Legal Standard The district maintains a plan for the maintenance and modernization of its facilities [EC 17366]. Progress on Implementing the Recommendations of the Recovery Plan 1. The draft Facilities Master Plan identifies, prioritizes, and coordinates modernization projects, deferred maintenance projects, and all other projects. This Master Plan will be submitted to the Governing Board for approval in September 2005. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 7 September 2005 New Rating: 5 Implementation Scale: 16 Facilities Management 3.12 Facilities Improvement and Modernization – Deferred Maintenance Projects are Actively Managed Professional Standard The district actively manages the deferred maintenance projects. The district should review the five-year Deferred Maintenance Plan annually to remove any completed projects and include any newly eligible projects. The district should also verify that the expenses performed during the year were included in the state approved five-year Deferred Maintenance Plan. Progress on Implementing the Recommendations of the Recovery Plan 1. Currently, the focus of deferred maintenance projects is roofs, paving, and restroom upgrades. The deferred maintenance priority is determined as requests are made from the individual sites. Deferred maintenance projects should be coordinated between Facilities and Buildings and Grounds and should be integrated with other capital con- struction projects. 2. Both the Citizens’ Oversight Committee and the Facilities Utilization Committee are once again active, and should address the deferred maintenance issue on an annual basis. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 5 September 2004 Rating: 6 September 2005 Self-Rating: 8 September 2005 New Rating: 6 Implementation Scale: Facilities Management 17 6.3 Special Education Facilities – Adequacy for Instructional Program Needs Professional Standard The district provides facilities for its special education programs that provide appropriate learn- ing environments in relation to educational program needs. Progress on Implementing the Recommendations of the Recovery Plan 1. The Master Plan contains special education loading standards and these standards are being implemented. The Facilities Division has identified sites where special educa- tion space exists and, depending on enrollment, space is set aside for programs at all schools. When modernizing facilities, the first two areas of focus are fire safety and handicap accessibility. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 3 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating: 7 September 2005 New Rating: 6 Implementation Scale: 18 Facilities Management 8.3 Facilities Maintenance and Custodial – Tracking Energy Consumption Professional Standard The district should create and maintain a system to track utility costs and consumption, and to report on the success of the district’s energy program. Progress on Implementing the Recommendations of the Recovery Plan 1. The district has not yet selected or implemented energy management software to ac- curately track and monitor utility usage at the site level. It should do so without delay, and ensure that adequate support is allocated for successful implementation. This includes consideration of appropriate staffing and funding levels. 2. The district has not yet implemented procedures for regular review of energy usage trends or corresponding policies for follow-up actions. These should include incen- tives for sites that show effective or improving practices, and enhanced education for sites that show need for improvement. The district should also conduct a cost-benefit analysis (based on square footage calculations), to determine whether implementing a resource conservation program would be worthwhile. This type of program would include some capital outlay for items such as switches, valves, and control hardware, as well as establishing a Resource Conservation Manager position. Standard Implemented: Partially January 2000 Rating: Not Assessed September 2003 Rating: 0 March 2004 Rating: 2 September 2004 Rating: 2 September 2005 Self-Rating: 4 September 2005 New Rating: 2 Implementation Scale: Facilities Management 19 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, materials, tools, and equipment. All employees required to perform maintenance on school sites should be 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 Custodial Services Department has prepared and documented an eight-module training curriculum for custodial staff. The following training modules have been implemented: seasonal cleaning, customer service and site relations, and safety training. 2. The Department of Buildings and Grounds is experiencing a work-order backlog of approximately 2,000 work orders. In many instances, these work orders are gener- ated by Buildings and Grounds staff as opposed to site staff. Work-order requests are expected to increase as custodians continue to inspect sites. As work orders are com- pleted, the status of the work is entered into the existing Computerized Maintenance Management System (CMMS). The Director of Buildings and Grounds is then able to generate a report of completed and outstanding work orders, but this report is not communicated back to the building sites. 3. The Department of Buildings and Grounds has completed an inventory of district equipment by site, which should be updated annually. 4. The Custodial Services Department replaces equipment on an as-needed basis. Pres- ently, the custodial department has a surplus of supplies that is being sent to the vari- ous sites on an as-needed basis. When this surplus is depleted, supplies will be ordered at the school site and will be funded through the school’s budget. In light of this new approach to ordering custodial supplies, the Director of Custodial Services will focus on product quality control and product consistency for the sites. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 1 March 2004 Rating: 3 September 2004 Rating: 4 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: 20 Facilities Management 8.6a Facilities Maintenance and Custodial – Procedures for Evaluation of Cus- todial Staff Professional Standard Procedures are in place for evaluating the work quality of custodial staff. The quality of the work performed by the custodial staff should be 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. Recent union negotiations resulted in substantial restructuring of the custodial ser- vices. The title of Head Custodian has been reinstated and will be awarded on a knowledge/performance basis as opposed to a seniority basis. Principals will now be responsible for custodian evaluations with the as-needed assistance of the Director of Custodial Services. Principals will receive documentation of industry cleaning stan- dards  custodial service levels  to aide them when evaluating custodial staff. The FCMAT review team informed the Director of Custodial Services that the acceptable industry cleanliness standard is Custodial Service Level 2  Orderly Tidiness. It was noted that one Custodian cleaning approximately 18,000 to 20,000 square feet should be able to achieve this standard in eight hours with the proper tools and equipment. Presently, district custodians are required to clean approximately 25,000 square feet in an eight-hour period, making it less likely that they can reach this standard. As the district reaches economic balance, the number of custodians hired per site should be considered by these industry standards. 2. The newly negotiated contract allows custodians to perform maintenance (spot) paint- ing. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 1 September 2004 Rating: 3 September 2005 Self-Rating: 6 September 2005 New Rating: 4 Implementation Scale: Facilities Management 21 8.6b Facilities Maintenance and Custodial – Procedures for Evaluation of Maintenance Staff Professional Standard Procedures are in place for evaluating the work quality of maintenance staff. The quality of the work performed by the maintenance staff should be 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 Director of Buildings and Grounds indicates that department staff members are evaluated using the district’s evaluation form. The standards used for the evalua- tion align with union descriptions. Managers from the Department of Buildings and Grounds have received a copy of the documented evaluation standards and the evalua- tion form. Standard Implemented: Partially January 2000 Rating: 2 September 2003 Rating: 0 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 6 September 2005 New Rating: 5 Implementation Scale: 22 Facilities Management 8.8 Facilities Maintenance and Custodial – Implementation of a Preventative Maintenance Plan Professional Standard The district has an effective preventive maintenance program. The district should have a written preventive maintenance program that is scheduled and followed by the maintenance staff. This program should include verification of the completion of work by the supervisor of the mainte- nance staff. Progress on Implementing the Recommendations of the Recovery Plan 1. Preventative maintenance remains a concern. The district has not yet developed or documented a formal, written Preventative Maintenance Plan. It has an inventory of the number and types of equipment that would fall under the plan. The district under- takes limited preventative maintenance activities primarily with HVAC (heating, ven- tilation, air conditioning) equipment; however the extent of the current documented plan is a listing of summer projects by trade shop. As previously recommended, the comprehensive plan should include the tasks to be completed, the responsible staff position, and the schedule for completion. The plan should also include procedures for tracking repairs to specific pieces of equipment. 2. The district maintains a Computerized Maintenance Management System (CMMS) with relatively minimal capabilities. Because the current system does not prompt the user to undertake preventative maintenance activities, these activities can be over- looked. The CMMS should automatically generate preventative maintenance work orders based on a preventative maintenance schedule. These should become priority work orders. The district should consider upgrading or replacing the current CMMS. (See Standards 8.11 and 8.12 for more on the CMMS). Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 1 September 2004 Rating: 1 September 2005 Self-Rating: 1 September 2005 New Rating: 1 Implementation Scale: Facilities Management 23 8.9/8.10 Facilities Maintenance and Custodial – All Buildings, Grounds, and Bathrooms are Maintained Professional Standard Toilet facilities are adequate and maintained. All buildings and grounds are maintained [CCR Title 5 Section 631]. Progress on Implementing the Recommendations of the Recovery Plan 1. While visiting a sample of school sites, the FCMAT review team observed improved grounds conditions at the schools visited. 2. The Custodial Services Department has introduced an eight-module custodial training program with expected training taking place two times per year. To date, two modules of training have been conducted; Module Four: Seasonal Cleaning; and Module Six: Customer Service and Site Relations. 3. The FCMAT review team observed operating, well maintained, clean restrooms at sites throughout the district. In many instances, restroom stalls were made of a com- posite material, making graffiti clean-up an easier process. In addition, restrooms at five sites that get the most graffiti are scheduled to receive ceramic tile surrounds. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 2 September 2004 Rating: 4 September 2005 Self-Rating: 7 September 2005 New Rating: 5 Implementation Scale: 24 Facilities Management 8.11 Facilities Maintenance and Custodial – Implementation of a Planned Program Maintenance System Professional Standard The district has implemented a Planned Program Maintenance System. The district should have a written Planned Program Maintenance System that includes an inventory of all facilities and equipment that will require maintenance and replacement. This program should include 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. The district does not yet have a written Planned Program Maintenance System. The Department of Buildings and Grounds has an inventory that identifies and tags all items of value within the district. The identification includes the serial number and type of equipment, but does not differentiate age, repair history, anticipated life expec- tancies, anticipated replacement time lines, or replacement costs. That research and documentation must still take place. 2. The district’s current CMMS does not have the capacity to maintain comprehensive equipment inventory information. The district’s current inventory of equipment is maintained in a separate database. The district should consider a future allocation of funding to acquire a new CMMS. A more sophisticated system would be able to inte- grate inventory with life expectancies, costs, and replacement schedules. 3. The Director of Buildings and Grounds has not yet prepared an annual report that projects anticipated equipment repairs and replacements for the next five years. The report should identify projected costs and other necessary resources with a clear action plan for making the identified improvements. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 1 March 2004 Rating: 1 September 2004 Rating: 1 September 2005 Self-Rating: None Provided September 2005 New Rating: 1 Implementation Scale: Facilities Management 25 8.12 Facilities Maintenance and Custodial – Assignment of Work Orders Professional Standard The district has a documented process for assigning routine work orders on a priority basis. Progress on Implementing the Recommendations of the Recovery Plan 1. As noted in previous reviews, the district would benefit greatly by upgrading its CMMS. This will become increasingly important as the district implements site-based budgeting and oversight. 2. Buildings and Grounds presently prioritizes projects 1, 2, or 3, according to the fol- lowing levels of need: 1 - Emergency 2 - Requires prompt attention (maintenance should take place within two weeks) 3 - Requires attention (maintenance should take place within 60 days). Standard Implemented: Partially January 2000 Rating: Not Assessed September 2003 Rating: 1 March 2004 Rating: 4 September 2004 Rating: 5 September 2005 Self-Rating: 7 September 2005 New Rating: 7 Implementation Scale: 26 Facilities Management 9.6 Instructional Program Issues – Plan to Maintain Equality/Equity of Dis- trict Facilities Legal Standard The district has developed and maintains a plan to ensure equality and equity of its facilities throughout the district [EC 35293]. Progress on Implementing the Recommendations of the Recovery Plan 1. The Facilities Master Plan will be presented to the board in September for review and approval. 2. The district has reinstated the Citizens’ Oversight Committee, but has not formalized the policies and procedures for its function. Standard Implemented: Partially January 2000 Rating: 1 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 7 September 2005 New Rating: 4 Implementation Scale: Facilities Management 27 10.2 Community Use of Facilities – Compliance with Civic Center Act for Community Use Professional Standard Education Code section 38130 establishes terms and conditions of school facility use by commu- nity 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 has surveyed other districts such as San Jose, Fremont, Hayward, and Elk Grove, to compare current rates per hour for facilities as well as employee costs. The district is proposing new rates and hopes to have them adopted by the board in fall 2005. 2. The joint use agreement in effect does not expire until 2007. Upon expiration the dis- trict will re-evaluate the agreement. As recommended in the 2000 report, the district should establish a biannual schedule for review of civic center policies, procedures and forms, including fees and charges. 3. As a community service, PG&E is conducting a rate study. Depending on the scope of the study, the district may be able to determine site utility rates based on square footage, and more adequately determine current utility costs associated with use of the facilities. Based on the direct cost findings, the district may deem it appropriate to revise and publish updated charges. Standard Implemented: Partially January 2000 Rating: 5 September 2003 Rating: 3 March 2004 Rating: 3 September 2004 Rating: 3 September 2005 Self-Rating: 6 September 2005 New Rating: 4 Implementation Scale: 28 Facilities Management 11.3 Communication – Communication of District Standards and Plans Professional Standard The district should provide clear and comprehensive communication to staff of its standards and plans. Progress on Implementing the Recommendations of the Recovery Plan 1. Supervisors should check in with staff on an ongoing basis to ensure that all staff members understand what is expected of them and are implementing standards as required. 2. Newsletters continue to keep staff abreast of current progress and planned facilities projects. 3. The district should use public relations staff and district publications to inform both the public and district staff regarding the contents of the Facilities Master Plan and generate both public and internal plan acceptance. Standard Implemented: Partially January 2000 Rating: 0 September 2003 Rating: 2 March 2004 Rating: 3 September 2004 Rating: 5 September 2005 Self-Rating: 7 September 2005 New Rating: 5 Implementation Scale: Facilities Management 29 30 Facilities Management Table of Standards for Facilities Management Facilities Management 31 The identified subset of standards appears in bold print. Narratives for these standards are provided in this report. ���������������������������������� ���������������������������������� 32 Facilities Management Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating All school administrators should be thoroughly familiar with the California Department of Education, Civil Defense and Disaster Planning 1.1 Guide for School Officials, 1972. [EC 32000- 8 8 NR NR NR 32004, 32040, 35295-35297, 38132, 46390- 46392, 49505, GC 3100, 8607, CCR Title 5 §550, 560, Title 19 §2400] The district includes the appropriate security devices in the design of new buildings as well 1.2 1 3 NR NR NR as in modernized buildings. [EC 32020, 32211, 35294-35294.9, 39670-39675] Demonstrate that a plan of security has been developed, which includes adequate measures of safety and protection of people and property. 1.3 [EC 32020, 32211, 35294-35294.9] 3 4 NR NR NR A comprehensive school safety plan exists for the prevention of campus crime and violence. [EC 35294-35294.9] Ensure that the custodial and maintenance staff are regularly informed of restrictions pertain- ing to the storage and disposal of flammable or 1.4 0 3 NR NR NR toxic materials. [EC 49341, 49401.5, 49411, F&AC 12981, H&SC 25163, 25500-25520, LC 6360-6363, CCR Title 8 §5194] The district has a documented process for the issuance of master and sub-master keys. A dis- 1.5 trictwide standardized process for the issuance 0 6 NR NR NR of keys to employees must be followed by all district administrators. Bus loading and unloading areas, delivery areas, and parking and parent loading/unloading areas are monitored on a regular basis to ensure 1.6 6 6 NR NR NR the safety of the students, staff and community. Students, employees and the public should feel safe at all times on school premises. Outside lighting is properly placed and monitored on a regular basis to ensure the operability/adequacy of such lighting to ensure safety while activities are in progress in the evening hours. Outside lighting should 1.7 provide sufficient illumination to allow for 0 2 3 4 5 the safe passage of students and the pub- lic during after-hours activities. Lighting should also provide security personnel with sufficient illumination to observe any illegal activities on campus. The identified subset of standards appears in bold print. Narratives for these standards are provided in this report. ���������������������������������� ���������������������������������� Facilities Management 3333 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The district has a graffiti and vandalism abatement plan. The district should have a written graffiti and abatement plan that 1.8 is followed by all district employees. The 3 1 1 1 2 district provides district employees with suf- ficient resources to meet the requirements of the abatement plan. Each public agency is required to have on file written plans describing procedures to be em- 1.9 ployed in case of emergency. [EC 32000-32004, 5 5 NR NR NR 32040, 35295-35297, 38132, 46390-46392, 49505, GC 3100, 8607] [CCR Title 8, §3220] Each elementary and intermediate school at least once a month, and in each secondary 1.10 school not less than twice every school year, 2 5 NR NR NR shall conduct a fire drill. [EC 32000-32004, 32040, CCR Title 5 §550] Maintenance/custodial personnel have knowl- edge of chemical compounds used in school programs that include the potential hazards and 1.11 0 3 NR NR NR shelf life. [EC 49341, 49401.5, 49411, 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 the governing 1.12 2 1 4 4 6 board upon report of unsafe conditions. [EC 17367] Each school which is entirely enclosed by a fence or partial buildings must have a gate of sufficient size to permit the entrance of am- 1.13 10 10 NR NR NR bulances, police and fire fighting equipment. Locking devices shall be designed to permit ready entrance. Sanitary, neat and clean conditions of the school premises exist and the premises are 1.14 1 1 4 5 7 free from conditions that would create a fire hazard. [CCR Title 5 §633] The Injury and Illness Prevention Program 1.15 (IIPP) requires periodic inspections of facilities 0 0 NR NR NR to identify conditions. [CCR Title 8 §3203] Appropriate fire extinguishers exist in each 1.16 building and current inspection information 5 4 4 4 4 is available. [CCR Title 8 §1922(a)] All exits are free of obstructions. [CCR Title 8 1.17 5 5 NR NR NR §3219] TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. �������������������������������������������������������������������� �������������������������������������������������������������������� 3344 Facilities Management Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating Requirements are followed pertaining to under- 1.18 ground storage tanks. [H&SC 25292, CCR Title 10 10 NR NR NR 26 §477, Title 23 § 2610] All asbestos inspection and asbestos work completed in the US is performed by Asbestos 1.19 Hazard Emergency Response Act (AHERA) 5 7 NR NR NR accredited individuals. [EC 49410.5, 40 CFR Part 763] All playground equipment meets safety code regulations and is inspected in a timely fash- ion as to ensure the safety of the students. [EC 1.20 2 2 NR NR NR 44807, GC 810-996.6, H&SC 24450 Chapter 4.5, 115725- 115750, PRC 5411, CCR Title 5 §5552] Safe work practices exist with regard to boiler 1.21 7 10 NR NR NR and fired pressure vessels. [CCR Title 8 §782] Materials Safety Data Sheets are maintained. 1.22 [EC 49341, 49401.5, 49411, F&AC 12981, LC 1 2 NR NR NR 6360- 6363, CCR Title 8 §5194] The district maintains a comprehensive employ- ee safety program. Employees are made aware 1.23 of the district safety program and the district 3 3 NR NR NR provides in-service training to employees on the requirements of the safety program. The district conducts periodic safety train- ing for employees. District employees should 1.24 2 3 3 5 6 receive periodic training on the safety proce- dures of the district. The district should conduct periodic first aid 1.25 2 1 NR NR NR training for employees assigned to school sites. The district should have a long-range school 2.1 4 2 3 4 5 facilities master plan. The district should possess a California State 2.2 Department of Education Facilities Planning 10 10 NR NR NR and Construction Guide (dated 1991). 2.3 The district should seek state and local funds. 7 6 NR NR NR The district has created a Citizens Oversight Committee to ensure the appropriateness of expenditures related to the recent passage 2.4 of the district’s local school bond measure 1 0 4 3 5 (Measure M). This committee will function as an advisory facility planning committee. (Reworded since the 2000 report.) TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. �������������������������������������������������������������������� �������������������������������������������������������������������� Facilities Management 3355 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The district should have a properly staffed and 2.5 1 4 NR NR NR funded facility planning department. The district should develop and implement 2.6 1 2 3 5 5 an annual capital planning budget. The district should have standards for real 2.7 property acquisition and disposal. [EC 39006, 5 5 NR NR NR 17230- 17233] The district seeks and obtains waivers from the 2.8 State Allocation Board for continued use of its 2 4 NR NR NR non-conforming facilities. [EC 17284, 17285] The district has established and utilizes a selec- 2.9 tion process for the selection of licensed archi- 6 5 NR NR NR tectural/engineering services. [GC 17302] The district should assess its local bonding 2.10 10 10 NR NR NR capacity. [EC 15100] The district should develop a process to deter- 2.11 4 4 NR NR NR mine debt capacity. The district should be aware of and monitor the 2.12 assessed valuation of taxable property within its 10 6 NR NR NR boundaries. The district should monitor its legal bonding 2.13 10 10 NR NR NR limits. [EC 15100, 15330] The district should collect statutory school fees. 2.14 10 4 NR NR NR [EC 17620, GC 65995, 66000] The district should consider developing an asset 2.15 3 1 NR NR NR management plan. The district has pursued state funding for joint- use projects through the filing of applications 2.16 N/A 3 NR NR NR through the Office of Public School Construc- tion and the State Allocation Board. The district has established and utilizes an 2.17 organized methodology of prioritizing and New 1 3 3 4 scheduling projects. (Added since the 2000 report.) The district should distribute facility funding 2.18 in an equitable manner to all communities New 1 3 3 4 served and to all school levels. (Added since the 2000 report.) The district has a restricted deferred main- tenance fund and those funds are expended for maintenance purposes only. The deferred 3.1 maintenance fund should be a stand-alone fund 6 4 NR NR NR reflecting the revenues and expenses for the major maintenance projects accomplished dur- ing the year. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. �������������������������������������������������������������������� �������������������������������������������������������������������� 3366 Facilities Management Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The district has pursued state funding for deferred maintenance - critical hardship needs by filing an application(s) through the Office of Not 3.2 5 NR NR NR Public School Construction and the State Allo- rated cation Board. [State Allocation Board Regula- tion §1866] The district applies to the State Allocation 3.3 Board for facilities funding for all applicable 4 5 NR NR NR projects. The district consistently reviews and monitors 3.4 its eligibility for state funding so as to capitalize 7 7 NR NR NR upon maximal funding opportunities. The district establishes and implements interim housing plans for use during the construction 3.5 10 10 NR NR NR phase of modernization projects and/or addi- tions to existing facilities. The district has established and maintains a 3.6 system for tracking the progress of individual 1 7 NR NR NR projects. Furniture and equipment items are routinely 3.7 included within the scope of modernization 10 10 NR NR NR projects. The district obtains approval of plans and speci- fication from the Division of the State Architect and the Office of Public School Construction 3.8 10 8 NR NR NR (when required) prior to the award of a contract to the lowest, responsible bidder. [EC 17263, 17267] All relocatables in use throughout the district 3.9 3 3 NR NR NR meet statutory requirements. [EC 17292] The district maintains a plan for the mainte- 3.10 nance and modernization of its facilities. [EC 1 1 3 4 5 17366] The annual deferred maintenance contribution is made correctly. The district should annually 3.11 transfer the maximum amount that the district 10 10 NR NR NR would be eligible for in matching funds from the state. The district actively manages the deferred maintenance projects. The district should re- view the five-year deferred maintenance plan annually to remove any completed projects 3.12 and include any newly eligible projects. The 1 1 5 6 6 district should also verify that the projects performed during the year were included in the state-approved, five-year deferred main- tenance plan. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. �������������������������������������������������������������������� �������������������������������������������������������������������� Facilities Management 3377 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating Staff within the district is knowledgeable of 3.13 procedures within the Office of Public School 8 8 NR NR NR Construction (OPSC). Staff within the district is knowledgeable of 3.14 procedures within the Division of the State 10 8 NR NR NR Architect (DSA). The district maintains an appropriate structure 4.1 for the effective management of its construction 1 6 NR NR NR projects. Change orders are processed and receive prior approval from required parties before being 4.2 0 3 NR NR NR implemented within respective construction projects. The district maintains appropriate project re- 4.3 6 4 NR NR NR cords and drawings. Each Inspector of Record (IOR) assignment is 4.4 10 7 NR NR NR properly approved. The district complies with formal bidding pro- 5.1 10 10 NR NR NR cedures. [GC 54202, 54204, PCC 20111] The district has a procedure for requests for 5.2 quotes/proposals. [GC 54202, 54204, PCC 5 10 NR NR NR 20111] The district maintains files of conflict of interest statements and complies with legal require- 5.3 8 6 NR NR NR ments. Conflict of interest statements should be collected annually and kept on file. The district ensures that biddable plans and specifications are developed through its licensed 5.4 1 5 NR NR NR architects/engineers for respective construction projects. The district ensures that requests for progress 5.5 6 6 NR NR NR payments are carefully evaluated. The district maintains contract award/appeal 5.6 10 10 NR NR NR processes. [GC 54202, 54204, PCC 2011] The district maintains internal control, security, and confidentiality over the bid submission 5.7 and award processes. [GC 54202, 54204, PCC New 10 NR NR NR 20111] (Added since the 2000 report.) The district complies with California Depart- 6.1 ment of Education (CDE) requirements relative 5 5 NR NR NR to the provision of Special Education facilities. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. �������������������������������������������������������������������� �������������������������������������������������������������������� 3388 Facilities Management Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The district provides facilities for its Special Education programs which ensure equity with 6.2 other educational programs within the district 3 3 NR NR NR and provides appropriate learning environments in relation to educational program needs. The district provides facilities for its Special Education programs which provide appro- 6.3 2 3 4 5 6 priate learning environments in relation to educational program needs. The district applies for state funding for class size reduction facilities. The district should Not 7.1 10 NR NR NR apply for class size reduction facilities funding rated annually. The district has provided adequate facilities for 7.2 the additional classes resulting from the imple- 4 6 NR NR NR mentation of Class Size Reduction (CSR). The district has complied with CDE suggested space requirements relative to the provision of 7.3 7 7 NR NR NR educational environments for the implementa- tion of Class Size Reduction (CSR). The district has developed a plan for the provi- 7.4 sion of permanent facilities in which to house 3 4 NR NR NR its CSR programs. An Energy Conservation Policy should be ap- proved by the board of education and imple- 8.1 10 1 NR NR NR mented throughout the district. (Reworded since the 2000 report.) An energy analysis should be completed for 8.2 each site. 10 0 NR NR NR (Reworded since the 2000 report.) The district should create and maintain a system to track utility costs and consumption 8.3 and to report on the success of the district’s New 0 2 2 2 energy program. (Added since the 2000 report.) Cost-effective, energy-efficient design should be a top priority for all district construction 8.4 1 6 NR NR NR projects. (Reworded since the 2000 report.) The district should be in discussion and work- 8.4a ing as a team with agencies that can provide New 4 NR NR NR professional assistance and funding. (Added since the 2000 report.) The district should act toward improving the 8.4b energy efficiency of all sites, including those New 2 NR NR NR not included in the local bond. (Added since the 2000 report.) TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. �������������������������������������������������������������������� �������������������������������������������������������������������� Facilities Management 3399 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The district should analyze the possibility of using alternative energy sources as a means to 8.4c reducing the financial impact of utilities on the New 7 NR NR NR district. (Added since the 2000 report.) Adequate maintenance records and reports are kept, including a complete inventory of supplies, materials, tools and equipment. All employees required to perform maintenance on school sites should be provided with 8.5 2 1 3 4 5 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. Major areas of custodial and maintenance responsibilities and specific jobs to be per- formed have been identified. Custodial and 8.6 maintenance personnel should have written job 1 2 NR NR NR descriptions that delineate the major areas of responsibilities that they will be expected to perform and will be evaluated on. Procedures are in place for evaluating the work quality of custodial staff. The quality of the work performed by the custodial staff 8.6a should be evaluated on a regular basis using 1 1 1 3 4 a board-adopted procedure that delineates the areas of evaluation and the types of work to be evaluated. 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 should 8.6b 2 0 3 3 5 be evaluated on a regular basis using a board-adopted procedure that delineates the areas of evaluation and the types of work to be evaluated. Necessary staff, supplies, tools and equipment for the proper care and cleaning of the school(s) are available. In order to meet expectations, 8.7 schools must be adequately staffed and staff 2 1 NR NR NR must be provided with the necessary supplies, tools and equipment as well as the training as- sociated with the proper use of such. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. �������������������������������������������������������������������� �������������������������������������������������������������������� 4400 Facilities Management Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The district has an effective preventive main- tenance program. The district should have a written preventive maintenance program 8.8 that is scheduled and followed by the main- 1 1 1 1 1 tenance staff. This program should include verification of the completion of work by the supervisor of the maintenance staff. Toilet facilities are adequate and maintained. 8.9/ All buildings and grounds are maintained. 1 1 2 4 5 8.10 [CCR Title 5 § 631] (Reworded/combined since the 2000 report.) The district has implemented a planned program maintenance system. The district should have a written planned program maintenance system that includes an inven- tory of all facilities and equipment that will 8.11 1 1 1 1 1 require maintenance and replacement. This program should include purchase prices, anticipated life expectancies, anticipated re- placement timelines and budgetary resources necessary to maintain the facilities. The district has a documented process for assigning routine repair work orders on a 8.12 New 1 4 5 7 priority basis. (Added since the 2000 report.) The district has developed a plan for attractive- 9.1 8 1 NR NR NR ly landscaped facilities. The goals and objectives of the technology plan should be clearly defined. The plan should in- clude both the administrative and instructional 9.2 7 2 NR NR NR technology systems. There should be a summa- ry of the costs of each objective and a financing plan should be in place. The governing board shall provide a warm, healthful place in which children who bring 9.3 7 8 NR NR NR their own lunches to school may eat their lunch. [EC 17573, CCR Title 5 §14030] The governing board of every school district shall provide clean and operable flush toilets 9.4 7 8 NR NR NR for the use of pupils. [EC 17576, CCR Title 5 §14030] The district has plans for the provision of 9.5 extended-day programs within its respective 8 8 NR NR NR school sites. [EC 17264] TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. TThhee iiddeennttiififieedd ssuubbsseett ooff ssttaannddaarrddss aappppeeaarrss iinn bboolldd pprriinntt.. NNaarrrraattiivveess ffoorr tthheessee ssttaannddaarrddss aarree pprroovviiddeedd iinn tthhiiss rreeppoorrtt.. �������������������������������������������������������������������� �������������������������������������������������������������������� Facilities Management 4411 Jan. Sept. March Sept. Sept. Standard to be addressed 2000 2003 2004 2004 2005 rating rating rating rating rating The district has developed and maintains 9.6 a plan to ensure equality and equity of its 1 2 3 3 4 facilities throughout the district. [EC 35293] All schools shall have adequate heating and 9.7 1 5 NR NR NR ventilation. All schools shall have adequate lighting and 9.8 7 7 NR NR NR electrical service. Classrooms are free of noise and other barriers 9.9 10 6 NR NR NR to instruction. [EC 32212] The learning environments provided within 9.10 respective school sites within the district are 1 5 NR NR NR conducive to high quality teaching and learning. Facilities within the district reflect the standards 9.11 2 2 NR NR NR and expectations established by the community. The district should have a plan to promote com- 10.1 10 10 NR NR NR munity involvement in schools. Education Code Section 38130 establishes terms and condition of school facility use by community organizations, in the process 10.2 requiring establishment of both “direct cost” 5 3 3 3 4 and “fair market” rental rates, specifying what groups have which priorities and fee schedules. Districts should maintain comprehensive re- 10.3 cords and controls on civic center implementa- 2 2 NR NR NR tion and cash management. The district’s public information office should coordinate a full appraisal to students, staff and 11.1 10 5 NR NR NR community of the condition of the district’s facilities. The district should apprise students, staff and 11.2 community of efforts to rectify any substandard 8 4 NR NR NR conditions. The district should provide clear and com- 11.3 prehensive communication to staff of its 0 2 3 5 5 standards and plans. All stakeholder groups should be directly 11.4 involved in a meaningful manner regarding the 8 3 NR NR NR district’s facilities. The identified subset of standards appears in bold print. Narratives for these standards are provided in this report. ���������������������������������� ���������������������������������� 4422 Facilities Management