Comprehensive Review Personnel Management

Compton Unified School District Personnel Management Comprehensive Review February 1999 Administrative Agent Larry E. Reider Office of Kern County Superintendent of Schools Chief Executive Officer Thomas E. Henry INTRODUCTION Background Any organization, particularly one the size of the Compton Unified School District, will acknowledge that the employees of the system are its most valuable asset. The recruitment, selection, orientation, training, salary, and benefits provided to the work force will contribute greatly to the effectiveness of the organization. The Human Relations and Employee Development Division of the Compton Unified School District has the responsibility to oversee these necessary functions. The Human Relations and Employee Development Division is composed of three separate, but interre- lated, offices: • Certificated Personnel • Classified Personnel • Employer-Employee Relations The Classified Personnel Office functions under Merit System Rules which are governed by a Personnel Commission Board. The three offices are responsible to the Associate Superintendent of Human Rela- tions and Employee Development who reports directly to the Superintendent. At this time, he reports to the State-appointed Administrator. The Human Relations and Employee Development Division provides personnel services to approxi- mately 3,026 employees. This figure is made up of 144 certificated administrators, 34 classified admin- istrators, 1,236 certificated non-management personnel, 21 classified confidential employees, and 1,591 classified non-management personnel. There are four recognized bargaining units which represent employees of the Compton Unified School District: • Compton Education Association represents certificated, non-management employees. • California School Employees Association, Chapter 30, represents many classified non-manage- ment employees. • Supervisory Employees Union, Local 347, represents classified supervisors. • Police Officers Association represents classified public safety officers. Purpose An Audit Team was established to visit the Compton Unified School District to review the quantity and quality of services provided by the Human Relations and Employee Development Division. The team was charged with the responsibility of establishing industry standards of acceptable practices. Ninety- eight specific measurable standards were developed through FCMAT input and the expertise of the consultants. After standards were established, the Audit Team gathered information regarding how the Human Relations and Employee Development Division of the Compton Unified School District addressed each identified standard. The assessment methods used by the Audit Team included reviewing internal opera- tions and interviewing users of services to determine the effectiveness of specific activities. Personnel Management Introduction i Key factors examined included, but were not limited to, the Division’s written and applied procedures, compliance with state and federal regulations, timely and accurate processing of personnel actions, organizational planning and goal setting, and effective labor relations. Study Team Richard A. Schromm, Project Director Jack M. Weinstein, Project Manager Deberie L. Gomez, Project Consultant Cynthia M. LeBlanc Michael J. Keebler Bernice M. Hardee Audit Guidelines The audit began with a team of five members visiting the Compton Unified School District Human Resources and Employee Development Division in early June 1998 for three days. A team of six mem- bers returned the following week for three additional days. During these visits, the team interviewed or talked with over 100 individuals. The methodology used in the audit consisted of first interviewing all providers of personnel services. Individuals were asked to identify their duties and responsibilities. They were asked which functions they felt they performed well and which ones they were unable to perform. They were also asked about areas where improvement could be made. The audit team solicited input and advice about how to en- hance services and skills from employees who were interviewed. The second group interviewed included users of services provided by the Human Resources and Em- ployee Development Division. These “customers” were also asked which services were provided accu- rately and efficiently, which were not provided as expected, and how they would improve service. The Audit Team also solicited and received input and suggestions from bargaining unit representatives and from the Association of California School Administrators. During the first phase of the audit, 12 major human resources areas and 96 standards were reviewed. The next phase of the audit required that the audit team members examine all operational procedures used to address the 96 standards. Audit team members requested and reviewed a large amount of docu- ments and other information provided by HRED personnel and others. Audit Team members required documentation for all areas under review. Team members prepared written findings individually. The team then met as a group for three days to discuss and analyze the data and prepare preliminary recovery plans. Additional visits were made to Compton Unified School District to gather information that members of the Audit Team requested. Additional individual and group work was required to process data and finalize recovery plans and recommendations. ii Personnel Management Introduction Summary of Findings and Recommendations The Compton Unified School District Human Relations and Employee Development Division has, over a number of years, allowed poor practices to develop. Staff members have not been trained to adhere to properly administered human resources procedures. The audit revealed numerous standards of profes- sional activities that need vast improvement. The Audit Team received many documents which were not current. In addition, many legally sound processes and procedures are not firmly in place. The audit report has a great number of findings and recommendations followed by recovery plans which would challenge the most ambitious human resources staff. The following is a brief summary of the findings and recommendation of the Audit Team. 1. Organization and Planning The District does not have updated Board Policies and Administrative Regulations, nor does it have updated Commission Rules and Regulations. Both of these deficiencies need immediate correction. The HRED needs to publish and distribute a mission statement reflecting the division’s goals. There needs to be division, department and individual staff member annual goal setting with accomplishments recog- nized as part of each employee’s annual performance evaluation. Individual professional goals should be included. The HRED division needs to provide monthly calendars of activities and the names of persons respon- sible for completion. Regularly scheduled staff meetings where written operational procedures can be incorporated into the agenda need to be provided. 2. Communications: Internal/External Technology does not exist for effective communication. The Human Relations and Employee Develop- ment Division’s methods of communication with school sites, with division personnel, and with depart- ment personnel is limited to the telephone, fax and copier. Persons interviewed expressed frustration and concern that it is difficult to communicate with employees in the Human Relations and Employee Development division. Both the employees of the division and the customers indicate that voice mail and E-mail are needed. Identification of resources to upgrade the technology in the Human Relations and Employee Development division is essential. 3. Certificated Recruitment and Selection Within the last several years, Human Relations and Employee Development has improved in the area of certificated recruitment. The 1997-98 Office of Certificated Personnel End of Year Report identifies many accomplishments. The recruitment of bilingual teachers from Spain and the intern program are examples of this effort. The team was not provided with a written, comprehensive recruitment plan. Written procedures for the selection and hiring process from the initial contact with the applicant to the placement of the applicant are needed. 4. Classified Recruitment and Selection The classified recruitment and selection process in the Compton Unified School District needs refine- ment. The classified application form and other employment forms should be revised to comply with current laws and designed to be user-friendly. Eligibility lists should be established in a timely manner, and out-of-class and provisional assignments should be reduced. Communication from Human Relations and Employee Development staff members with applicants, district department heads, principals, and Personnel Management Introduction iii others needs improvement. Tests required under Personnel Commission rules need to be consistently reviewed for appropriateness, and a procedure for developing tests as positions become vacant should be designed. The district needs to review current clerical tests and consider purchasing a software program that allows for testing in various computer software programs. A formal, written procedure identifying the person responsible in the areas of eligibility lists, testing, applicant communication, recruitment, interviewing, and selection should be developed and implemented. Position control appears to be maintained manually which makes it difficult for HRED staff members to accurately identify vacant positions that comply with staffing formulas. An on-line position control and applicant track system should be implemented. A formal process for collecting data from a software program database for the Personnel Commission End of Year Report needs to be developed to assure consistency and accuracy of information being reported. 5. Employee Orientation It was reported on numerous occasions that the district does not provide adequate orientation programs for new employees. Employee handbooks need to be available for new employees and a legally sound orientation process needs to be established. During the Audit Team visit, steps were being taken to develop or revise handbooks for certificated, classified and substitute employees. The use of a video presentation would enhance the orientation program and assure that all employees receive required information regarding their rights under the FMLA, ADA, FLSA, and other state and federal laws. 6. Operational Procedures Human Relations and Employee Development staff members in Compton Unified School District are systematically organizing personnel files to comply with legal guidelines. The district should review the feasibility of installing an electronic document imaging system for personnel files and develop consis- tent procedures for filing documents. The installation of an EDMS would solve storage and space problems. The current configuration of the Division makes it difficult for staff members to effectively complete tasks and communicate with each other. Desk manuals should be developed for all Human Relations and Employee Development positions. In addition, an HRED procedures manual should be developed and distributed for use by all HRED staff as well as site principals, department heads, office managers, and others. The manual would clearly explain policies and procedures for leaves of absence, salary placement, and other issues. The manual should be kept accurate, current and consistent. Position descriptions for classified employees need to be revised to reflect actual duties of positions, comply with the Americans with Disabilities Act, and other legal requirements. A process should be established for continuous review and revision of position descriptions when the need arises, or as new positions are developed. 7. State and Federal Compliance Compton Unified School District is currently open to legal exposure in most of the areas examined under state and federal regulations. The entire 4000 Series of the Board Policy Manual is out-of-date. Specifically, new or updated policies and administrative regulations are needed to address fingerprinting, tuberculosis testing, nondiscrimination and fair and equal opportunity in employment, sexual harass- ment, Family Medical Leave Act leaves, and overtime. The district also must develop specific written procedures for fingerprinting, tuberculosis testing follow-up, credential monitoring, position description iv Personnel Management Introduction development and updates, tracking the training and notification on mandated topics, sexual harassment complaint processing, implementing the Family Medical Leave Act and the Americans With Disabilities Act, and implementing the overtime provisions of policy and collective bargaining agreements. All of the District’s employment applications require revisions to diminish the risks of legal exposure currently inherent in their language. 8. Use of Technology Human Relations and Employee Development is generally lacking technology. The human resources databases are managed by the Los Angeles County Office of Education. The personnel/payroll systems are not integrated, and there is no position control. The staff knows very little about the Los Angeles County Office of Education’s databases and how they can be used for data entry, tracking, and reporting information. There is no applicant tracking through the LACOE system, or through a stand-alone sys- tem. An automated substitute management system has been installed and is operational. However, it will require additional space, upgrades and more training to reach its maximum capability. There is voice mail, but it is limited to the top administrators. Similarly, access to the Internet and E-mail is limited. Most of the desk computers are old and lack sufficient memory and speed, and the screens are too small for daily use in human resources. There are not enough functional fax machines or laser printers. There is no document imaging system for file storage. A fingerprint Live Scan machine has been ordered and is scheduled for installation. Staff members will be trained on appropriate fingerprinting procedures with the new equipment. Human Relations and Employee Development needs a long-range plan for overcoming the lack of technology by adding equipment, upgrading equipment, or replacing old equipment. 9. Staff Training More comprehensive training opportunities should be developed for Human Relations and Employee Development staff members, as well as district managers and supervisors. Some progress has been made during the past year with training having been provided in evaluation, documentation, sexual harass- ment, child abuse reporting, etc. However, the training sessions were not attended by all individuals who are required to be trained in these areas. The district needs to assure full inclusion of staff affected by training programs. The district has contracted with the Los Angeles County Office of Education to provide staff training and should continue this involvement. Necessary financial resources should be provided to continue and augment training programs. Diversity training should be developed to prepare staff to understand and effectively relate to the history, culture and current problems of Compton stu- dents and their environment. Training in progressive discipline and due process should continue and the District needs to develop training components for interpersonal relations, conflict resolution, cultural diversity, sensitivity, and team building. Handbooks and training materials have generally been provided to participants in training sessions. This practice should continue. 10. Evaluation/Due Process During the past two years, the HRED Division has placed emphasis on employee evaluations and man- agement training. More evaluation and due process training activities have been implemented during the past year with more scheduled in the future. There is a need to provide handbooks to participants as part of the training of administrators and supervisors. The Division must monitor the evaluation process to hold evaluators accountable for employee evaluations. There was an identified need for more due pro- Personnel Management Introduction v cess training and the establishment of a plan of action to be used in dealing with ineffective employees. 11. Employee Services HRED should continue to coordinate retirement counseling with the LACOE and establish a calendar for employees who wish to receive retirement planning services. The district should develop and calen- dar a program where employees can discuss options available to them after retirement, i.e. substituting, part-time work, travel, fishing, etc. The district does not have a formal recognition program for all employee groups. They could consider options such as a broad-based committee involving all groups including retirees to develop a recognition program as an ongoing activity of the Compton Unified School District. Compton Unified School District has an employee assistance program through the Los Angeles County Office of Education. Information about the EASE program should be distributed to employees on an annual basis in a newsletter, flyer, or other type of communication. Flyers and notices should also be posted on employee bulletin boards and in District and school offices. Written notifications of benefit entitlement and options for employees are distributed. HRED and Risk Management could provide better services to employees by establishing regular meetings to identify and resolve problems with the benefit programs. 12. Employer-Employee Relations The employer-employee relations function of the Human Resources Division is critical and ongoing. Each meeting between administrators from the district and leaders of the employee organizations has the potential of modifying the district budget, education policy, or both. Prior to returning decision-making authority to the Board of Trustees, it is imperative that the district has firmly in place an administrative process which accurately projects the fiscal and policy impacts of each and every collective bargaining proposal, originating from both the District and employee organizations. The Superintendent, District Negotiator, and Legal Counsel must meet regularly with the Board of Trustees to review the collective bargaining process and the continuous impact of this process on the District’s policies and budget. Current salary schedules and benefit entitlements for employees in Compton are not competitive with other school districts in Los Angeles County. Through budgeting and collective bargaining processes, the district should find ways to address this situation. The Division should increase its efforts to involve site level administrators in the negotiating process and establish a more effective training program for all supervisors and managers in the area of contract management. In addition, a process should be estab- lished, whereby parents and community members are specifically involved in the review of collective bargaining proposals to assess the impacts on students, parents, and the community. vi Personnel Management Introduction 1.1 Organization and Planning Professional Standard An updated and detailed policy and procedures manual exists which delineates the responsibilities and operational aspects of the personnel office. Sources and Documentation 1. District’s Policy Manual 4000 Series 2. Personnel Commission Rules and Regulations 3. Interviews with HRED personnel 4. Interviews with central office department personnel 5. Interviews with District and program personnel Findings 1. The district’s policy and procedures manual shows most of the 4000 series having to do with personnel issues was adopted on September 28, 1982. The section on management rights was adopted in June, 1974 and revised in May, 1976. These policies do not reflect Education Code changes since 1982. 2. The Personnel Commission Rules and Regulations were adopted in June 1970 and were last updated in1987. The Director of Classified Personnel has obtained input from two classified personnel directors outside of the district. They have identified approximately 50 suggested changes. They have been referred to legal counsel for review. The Director of Classified Person- nel indicated that revisions and changes will be presented to the Personnel Commission by Octo- ber 1998. Recommendations and Recovery Steps Update the 4000 Series of Board Policies and Administrative Regulations and update the Personnel Commission Rules and Regulations. 1. Contract with the California School Boards Association or other agency to update the Board Policies and Administrative Regulations. 2. Work with the State Merit System Association to complete the update of the Commission Rules and Regulations. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 1 ➤ 0 1 2 3 4 5 6 7 8 9 10 1.2 Organization and Planning Professional Standard The district has clearly defined an clarified roles for Board and Administration relative to recruitment, hiring, evaluation, and dismissal of employees. Sources and Documentation 1. District’s Policy Manual 4000 Series 2. Personnel Commission Rules and Regulations 3. District and Employee Groups’ Collective Bargaining Agreements Compton Education Association California School Employees Association Compton Supervisory Employees Union 4. Interviews with HRED personnel 5. Interviews with District and program personnel Findings 1. The district’s Policy Manual 4000 Series has sections related to recruitment, hiring, evaluation, and dismissal of certificated and classified employees. The last adoption was dated September 28, 1982, or earlier. 2. The Personnel Commission Rules and Regulations define the recruitment and hiring process for the classified work force. 3. Collective bargaining agreements address transfers and evaluation procedures. Recommendations and Recovery Steps The district must bring both the District Policy Manual 4000 Series and the Commission rules and regulations up-to-date to reflect current legal mandates. 1. Contract with the California School Boards Association or other agency to update the Board Policies and Administrative Regulations. 2. Work with the State Merit System Association to complete the update of the Commission Rules and Regulations. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 2 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 1.3 Organization and Planning Professional Standard The division has developed a Mission Statement that sets clear direction for personnel staff. Sources and Documentation 1. Written Mission Statement with core values (undated) 2. Interviews with HRED personnel Findings 1. Division Mission Statement: “To provide support services to Human Relations/Personnel to the Community of the Compton Unified School District.” The Mission Statement was followed by a listing of the following core values: a. To provide timely and efficient service to everyone. b. To provide open and honest communication to everyone. c. If you receive the problem/inquiry, you own it. d. To perform my job to the best of my ability. e. To assist others in the Division when assistance is necessary 2. The Mission Statement is not dated and it was reported that it has not been distributed outside HRED. Recommendations and Recovery Steps The division to review Mission Statement and core values annually. 1. Review and revise, date, publish and distribute the Division’s Mission Statement annually. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 3 ➤ 0 1 2 3 4 5 6 7 8 9 10 1.4 Organization and Planning Professional Standard The Division has an organizational chart and a functional chart which include the names, positions and job functions of all staff in HRED. Sources and Documentation 1. Management Organization 1997/98 (dated June 26, 1997) 2. Job function document (undated) 3. Interviews with HRED personnel. Findings 1. The Division has a Management Organization Chart for 1997/98. It provides the reporting rela- tionships of the Divisions, Management, Analysts, Administrative Intern, and Administrative Assistant personnel. 2. No evidence of an organizational chart that includes all positions and reporting relationship. 3. No evidence of a functional chart for HRED staff. Recommendations and Recovery Steps Provide an accurate division management chart listing the major functions for which staff members are responsible. 1. Develop and maintain an organizational chart for the HRED Division. 2. Develop a functions chart which includes position titles, names and major functions of all person- nel office staff. 3. Update annually. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 4 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 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. Sources and Documentation 1. Management Review and Recovery Plan Document, November 1997, Dr. Randolph E. Ward, State Administrator 2. 1997-98 Certificated Personnel Goals and Objectives 3. 1997-98 Classified Personnel Goals and Objectives 4. 1997-98 Employee/Employer Relations Goals and Objectives Findings 1. As part of the District’s Management Review and Recovery Plan, the State Administrator wrote in November 1997 that each division Associate Superintendent’s recovery plans are identified as performance evaluation goals and objectives for the 1997-98 school year. 2. The Office of Certificated Personnel Recovery Plan Goals and Objectives include eleven major areas of need and fifty-two specific actions. 3. The Office of Classified Personnel Recovery Plan Goals and Objective include fifteen major areas of need and seventy-three specific actions. 4. The Office of Employer/Employee Relations Recovery Plan Goals and Objectives include 4 major areas of need and nineteen specific actions. Recommendations and Recovery Steps Continue establishment of major division goals on an annual basis, with individual staff members assigned to prepare similar annual goals with objectives. These annual goals will center around staff members’ responsibilities and personal professional development plans. 1. Develop written goals by August 15 annually. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 5 ➤ 0 1 2 3 4 5 6 7 8 9 10 1.6 Organization and Planning Professional Standard Individual staff members have developed goals and objectives in their areas of responsibility and a personal professional development plan. Sources and Documentation 1. Recovery Plan for HRED (November 1, 1997) 2. Recovery Plan for Classified (November 1, 1997) 3. 1998/99 School Year Goals and Objectives Based on Recovery Plan and Strategic Alignment (June 25, 1998) 4. Recovery Plan /Goals and Objectives, 1998/99 (June 29, 1998) 5. Recovery Plan/Goals and Objectives, 1998-99 (July 15, 1998) Findings 1. The visiting committee was provided copies of the goals and objectives of the three service com- ponents of the HRED Division for the 1997-98 and 1998-99 school years. a. For 1997-98, the goals for Certificated Personnel included eleven areas of need with fifty-one specific actions. In 1998-99, there were fourteen areas of need and fifty-two specific actions. b. For 1997-98, the goals for Employer/Employee Relations included three areas of need and sixteen specific actions. In 1998-99, there were four areas of need and 19 specific actions. c. For 1997-98, the goals for Classified Personnel included fifteen areas of need with seventy-six specific actions. In 1998-99, there were twelve areas of need and twenty-one specific actions. d. Professional development plans were not evident for individuals in the three Director positions. e. There was no evidence of statements of goals and objectives for individuals other than the Division Directors. Recommendations and Recovery Steps Continue the practice of having individual mana-gement personnel establish annual goals. 1. Develop management goals and objectives on an annual basis. 2. Include the activities which relate to personal professional development in the annual goals of management. 3. Include goals for Associate Superintendent. 4. Standardize the format for goals and objectives. Establish the practice that each member of the personnel staff annually establish goals for the specific activities for which they are responsible. The attainment of identified goals to be measurable and recog- nized as part of each employee’s annual evaluation. 1. Each employee in the division will establish annual goals which are mutually agreed upon with the supervisor including personal professional goals. Successful completion of identified goals to be measured in performance evaluations. 6 Personnel Management Assessment and Recovery Plan Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 7 ➤ 0 1 2 3 4 5 6 7 8 9 10 1.7 Organization and Planning Professional Standard The Division has monthly activities and calendars and accompanying lists of ongoing Human Relations and Employee Development Division activities to be reviewed by staff at planning meetings. Sources and Documentation 1. Five-page calendar (undated) 2. Interviews with HRED personnel 3. Personnel Office Responsibilities (undated) Findings 1. There is a list of activities called “Personnel Office Responsibilities” which included an annual calendar. This calendar was developed on a monthly basis indicating items going to the Board; “must do” items, and “should do” items. The document also provided a listing of ongoing or intermittent duties that the personnel office staff would need to address. 2. There was no evidence of a month-to-month calendar of activities related to each individual office within the Division, i.e. classified, certificated, and employer/employee relations. Recommendations and Recovery Steps Employee Development - Continue to develop a monthly activities calendar and accompanying list of ongoing Human Relations Division’s activities to be reviewed by staff at planning meetings. Meetings to be held on a regularly scheduled basis. Development of written operational procedures can be incorpo- rated into the agenda of these meetings. 1. Develop an annual calendar of major monthly activities to be completed by staff that identifies major, ongoing activities. 2. Provide the date the activity must be completed on the monthly calendar and the name of the person or position responsible for completion. 3. Develop a specific monthly calendar for each major function, i.e. classified, certificated, em- ployer/employee relations. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 8 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 1.8 Organization and Planning Professional Standard The Division head is a member of the Superintendent’s Cabinet and participates in decision making early in the process. Sources and Documentation 1. Organizational chart (June 26, 1997) 2. Interviews with HRED personnel Findings 1. The Human Relations and Employee Development Division head is a member of the State Administrator’s Cabinet. Executive Cabinet and General Cabinet meetings are held each Monday. Recommendations and Recovery Steps Continue participation in the decision making process at the Cabinet level. 1. The HRED Division Head should remain as a Cabinet-level position. Standard Implemented: Fully – Sustained Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 9 ➤ 0 1 2 3 4 5 6 7 8 9 10 2.1 Communications: Internal/External Professional Standard The Personnel Division utilizes the latest technological equipment for incoming and outgoing communi- cations. Sources and Documentation 1. Interviews with HRED personnel. 2. Interviews with central office department personnel 3. Interviews with district and program personnel 4. Audit team observations Findings 1. The Division primarily uses the telephone, fax, and copier for internal and external communica- tions. 2. The District has a Home Page on the Internet where job opportunities for both classified and certificated are listed identifying position, requirements, salaries, and application information. 3. Only the Internet E-mail address for the Director of Certificated Personnel is listed. 4. HRED employees do not have voice mail. 5. Customers and staff interviewed indicated that voice mail and E-mail would assist with communi- cations. 6. Only the Directors of EER, Certificated and Classified Personnel use E-mail. 7. Numerous interviews indicated that the best way to communicate is by fax, or by standing outside an HRED administrator’s door, or by contacting a particular individual. Recommendations and Recovery Steps Develop short and long-range plans to bring the latest technology into HRED to provide better commu- nication with clients and staff. 1. Implement voice mail and E-mail throughout the District. 2. Develop procedures for the appropriate use of voice mail technology to avoid use as a sophisti- cated answering machine. Require that calls left for HRED staff be returned within a maximum of 24 hours. 3. Identify a management information systems person dedicated to HRED to develop and implement a plan to bring the HRED office staff in line with modern technology. This would include up- grades in hardware and soft-ware, installation of E-mail, calendar planning, staff training, expan- sion and maintenance of the Web Page, and working with LACOE to establish links for more efficient service. 10 Personnel Management Assessment and Recovery Plan 4. Technology training to be a personal professional goal for all HRED staff. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 11 ➤ 0 1 2 3 4 5 6 7 8 9 10 2.2 Communications: Internal/External Professional Standard The Personnel and Business Divisions have developed and distributed a menu of services which in- cludes the activities performed, the individual responsible, and the telephone numbers where they may be contacted. Sources and Documentation 1. Interviews with HRED staff 2. 1997-98 telephone directory 3. Job function document (undated) Findings 1. The district publishes a telephone directory that includes the names and classifications of HRED staff with telephone extensions. 2. The Division has a list of job functions with the names of staff responsible. 3. The district does not have a menu of services Recommendations and Recovery Steps Prepare and distribute an alphabetical menu of services, responsible person, phone number, and E-mail address. 1. Develop and distribute a menu of services. Obtain samples from other districts to assist in devel- opment of Compton document. Standard Implemented: Not Implementation Scale: ➤ Not Fully 12 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 2.3 Communications: Internal/External Professional Standard The Personnel Division provides an annual report of activities and services provided during the year. Sources and Documentation 1. 1997-98 Year-End Report 2. Recovery Plan for HRED (dated November 1, 1997) Findings 1. HRED provides a Year-End Report which provides information regarding the accomplishment of specific objectives of the recovery plan for 1997-98. 2. There was no evidence of a comprehensive annual report detailing functions, services and accom- plishments. Recommendations and Recovery Steps Develop a comprehensive annual report which describes Division services, functions and accomplish- ments for internal and external customers. 1. Assign a staff person to complete the report. 2. Record monthly activities and services of the Division. Scan in documents and review at staff meetings. When technology is updated, Division personnel can enter activities and services into computer database. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 13 ➤ 0 1 2 3 4 5 6 7 8 9 10 2.4 Communications: Internal/External Professional Standard The Personnel Division staff is cross-trained to respond to client need without delay. Sources and Documentation 1. Interviews with HRED personnel 2. Chart listing personnel who are cross-trained and areas of training 3. Interviews with central office and department personnel 4. Interviews with district and program personnel Findings 1. The Division has a list of staff members and the areas in which they have been cross-trained. 2. Internal and external customers perceive that when employees are absent, no one knows how to perform the duties of their jobs. 3. It is not clear who or which department is responsible for staff development. 4. Individual HRED personnel are not aware of their relationship to the entire Division. 5. Cross-training is not adequate. Recommendations and Recovery Steps Develop a plan for cross-training that provides each individual with the ability to understand his or her relationship to the entire Division. 1. Contact three large school districts for information about cross-training. 2. Provide cross-training within the context of the whole Division for HRED employees. 3. Designate a staff development officer. 4. Use group training sessions for Division as a method of cross-training. 5. Allow employees to substitute for each other for planned absences as a method of cross-training. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 14 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 2.5 Communications: Internal/External Professional Standard The Personnel Division holds regularly scheduled staff meetings. Sources and Documentation 1. Interviews with HRED personnel 2. Documents provided in the Audit Team binder Findings 1. The Associate Superintendent schedules weekly meetings with the three directors and the two senior personnel analysts. 2. Department meetings are scheduled to be held every two months. 3. Interviews indicated that directors do not hold regularly scheduled meetings with staff members. Recommendations and Recovery Steps Weekly staff meetings must be held by all Directors. 1. Establish a calendar with the regular weekly staff meetings noted. 2. Assign a person to maintain the calendar and send out staff meeting reminders and action minutes. When technology is updated, this can be computerized. 3. Directors of Business and HRED to develop a regular meeting schedule for both departments. Train identified payroll and personnel employees in meeting facilitation skills so that meetings will remain on topic and be effective. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 15 ➤ 0 1 2 3 4 5 6 7 8 9 10 2.6 Communications: Internal/External Professional Standard Various publications are provided on a number of subjects to orient and inform its various clients. Sources and Documentation 1. Interviews with HRED personnel 2. Interviews with central office department personnel 3. Interviews with District and program personnel 4. Documents provided in the Audit Team binder 5. Direct observation Findings 1. The Division has a teacher recruitment packet, a substitute teacher handbook purchased from an external source, and an intern handbook available to orient and inform. 2. Forms are available in the lobby. 3. Interviews of customers indicate that there is an improved look of professionalism of memos, recruitment materials, and exhibits at job fairs. 4. Employee handbooks are currently being developed for both certificated and classified employees. Recommendations and Recovery Steps Continue to provide required publications to orient and inform. 1. Contact California School Boards Association and select districts to obtain information to assist in the development of meaningful and informative publications. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 16 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 3.1 Certificated Recruitment and Selection Legal Standard The governing board will provide equal opportunities for all persons without regard to race, color, creed, sex, religion, ancestry, national origin, age, or disability. Education Code 44100-44105 Sources and Documentation 1. Interviews with HRED personnel 2. Board Policies and Administrative Regulations - Series 4000 3. Recovery Plan Document Revised April 4, 1997 4. Audit Document, Compton Unified School District 5. Samples of job announcements Findings 1. The District’s recruitment and selection policy states that equal employment opportunities will be provided for all persons. The 4000 Series of Board Policies and Administrative Regulations were adopted on September 28, 1982. 2. The Recovery Plan document dated April 4, 1997 indicates that the district would begin to moni- tor and revise district procedures to be in compliance with legal requirements beginning in March 1997. 3. Required State and Federal laws, including OSHA and Workers’ Compensation, are posted at sites and departments. 4. The Confidential Data Form requests information regarding reasonable accommodation, yet, the form states that it will be used for statistical purposes only. 5. There is no “Equal Opportunity Employer” statement shown on the Confidential Data Form, the Currently Accepting Applications Form, and the Job Announcement Form. 6. Interview panels are provided in-service training regarding appropriate questions and techniques prior to talking with job applicants. 7. The Applicant Data Form is kept separate from the application to avoid discrimination in the employment selection process. Recommendations and Recovery Steps The governing board provides for equal employment opportunities; however, processes and procedures need revision. 1. Review and revise Series 4000 of the Board Policies and Administrative Regulations. 2. Remove the reasonable accommodation information from the Confidential Data Form since this form is to be retained for statistical purposes only. 3. Add “An Equal Opportunity - Affirmative Action Employer” statement to the Confidential Data form, the Currently Accepting Applications Form and the Job Announcement Form. Personnel Management Assessment and Recovery Plan 17 4. Develop an interactive, on-line employment application to be included on the district’s Web Page. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 18 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 3.2 Certificated Recruitment and Selection Professional Standard Employment procedures and practices are conducted in a manner which assures equal employment opportunities. Written hiring procedures are provided. Sources and Documentation 1. District Board Policies 4111.1(a), 4211.1, 4111.1(b), 4111.1(c), 4111.1(d), 4111.1(e), 4111.1(f), and 4111.2 2. Interviews with HRED personnel 3. Interviews with central office department personnel 4. Interviews with district and program personnel Findings 1. The district’s Board Policy 4111.1(a)-(f), Certificated/Classified Affirmative Action: Recruitment and Selection, that contains language that is no longer required. There is appropriate language regarding non-discrimination in employment. 2. Numerous interviews indicated that there is improvement in employment procedures and practices which assure equal employment opportunities. Recommendations and Recovery Steps Employment policies, procedures and practices must be current, in writing and distributed widely to internal and external customers. 1. Contract with the California School Boards Association or another agency to assist in updating Board Policies. 2. Develop written hiring procedures. Review procedures with specific attention to details that will help eliminate actual or perceived discrimination. For example, interview panels should include three or more people including as much diversity as possible. Ensure that qualifications are job- related. 3. Place procedures and practices on the Division’s Web Page. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 19 ➤ 0 1 2 3 4 5 6 7 8 9 10 3.3 Certificated Recruitment and Selection Professional Standard The job application form requests information which is legal, useful, pertinent, and easily understood. Sources and Documentation 1. District certificated job application form 2. District administrative job application form Findings 1. The certificated and administrative application forms have questions that are not appropriate. Recommendations and Recovery Steps Update application forms to be in compliance with current laws. 1. Revise application form to comply with legal requirements. Include the Equal Employment Opportunity statement on applications. Submit draft applications to legal counsel for review prior to printing. Review applications annually for compliance. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 20 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 3.4 Certificated Recruitment and Selection Professional Standard The Personnel Division recruitment plan includes a training component for the district recruitment team. Sources and Documentation 1. Interviews with HRED personnel 2. District teacher candidate assessment form 3. District Offer of Employment form 4. 1997/98 End of Year Report for the Office of Certificated Personnel Findings 1. The Office of Certificated Personnel (OCP) has a Teacher Candidate Assessment form used to assess candidates. 2. The OCP provides an Offer of Employment form to secure the commitment of an applicant to be employed in Compton Unified upon satisfaction of requirements noted on the form. 3. There is no evidence of a formal recruitment plan summarizing recruitment sources, training of recruitment team, resources needed, and evaluation of efforts. Recommendations and Recovery Steps Develop a recruitment plan that addresses all aspects of recruiting including, but not limited to, the intern program; the instructional aide professional development program; college/university recruitment activities; recruitment team development; developing student interest in teaching such as Teacher Acad- emy and current and projected staffing needs. 1. Adapt, develop and implement a plan that addresses the specific needs of Compton. 2. Develop and train recruitment teams representing the diversity of the district to be assigned to recruit at specific locations for the next three years. 3. Identify high school graduates who attend college and are interested in teaching. Assign staff to stay in contact with students as they progress through college and recruit them for the Intern Program. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 21 ➤ 0 1 2 3 4 5 6 7 8 9 10 3.5 Certificated Recruitment and Selection Professional Standard The recruitment plan identifies placement centers, colleges and publications where there are significant numbers of candidates to meet the District’s diverse needs. Sources and Documentation 1. 1997-98 recruitment schedule 2. Interviews with HRED personnel 3. Interviews with central office department personnel 4. Interviews with District and program personnel 5. 1997-98 Office of Certificated Personnel End of Year Report Findings 1. The 1997-98 recruitment schedule provides information regarding the activity, date, who attended, contact, number of recruits, and cost. 2. Persons interviewed indicated an improved effort to recruit bilingual candidates. The 56 teachers hired from Spain for the 1997-98 school year is evidence of this. 3. The Director of Certificated Personnel contacted surrounding districts to determine the best location to recruit for teachers. 4. The Office of Certificated Personnel (OCP) established a Teacher Intern Program with six partici- pants for 1997-98. 5. The OCP recruited and hired 26 “Teach for America” teachers. 6. The OCP recruited and hired 30 teachers from Spain. 7. The OCP participated in 36 recruitment fairs across the United States. 8. The OCP established partnerships with local colleges and universities to establish pre-intern and instructional assistant training programs. 9. There is no recruitment plan. Recommendations and Recovery Steps The Division must develop and implement a recruitment plan. 1. Adapt, develop and implement a plan that addresses the specific needs of Compton. 2. Develop and train recruitment teams representing the diversity of the District to be assigned to recruit at specific locations for the next three years. 3. Identify high school graduates who attend college and are interested in teaching. Assign staff to 22 Personnel Management Assessment and Recovery Plan stay in contact with students as they progress through college and recruit for the Intern Program. 4. Contact professional organizations and publishers to assist in identifying culturally diverse recruit- ment resources. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 23 ➤ 0 1 2 3 4 5 6 7 8 9 10 3.6 Certificated Recruitment and Selection Professional Standard The recruitment plan provides a cost estimate (included in the division budget) for the recruitment program. Source and Documentation 1. 1997-98 recruitment schedule Finding 1. The 1997-98 recruitment schedule indicates cost estimates of $15,800 for activities related to recruitment; however, the specific components of expenditures are not indicated. Recommendations and Recovery Steps Develop a cost estimate for a comprehensive recruitment plan. 1. Determine the cost of implementing a comprehensive recruitment plan and include in the HRED budget. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 24 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 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. Source and Documentation 1. 1997-98 End of Year Report Finding 1. A summary of the results of the year’s recruitment efforts was provided in the 1997-98 End of Year Report. Recommendations and Recovery Steps Continue providing the End of Year Report. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 25 ➤ 0 1 2 3 4 5 6 7 8 9 10 3.8 Certificated Recruitment and Selection Professional Standard Selection procedures are uniformly applied. Sources and Documentation 1. Interviews with HRED personnel 2. Interviews with central office department personnel 3. Interviews with district and program personnel 4. Office of Certificated Personnel Pro- cedures Handbook Revised Fall 1997 5. Documents in Audit Team binder Findings 1. Selection procedures are not uniformly applied, particularly for administrators. 2. In the Office Procedures Handbook, there is a description of the application processing and inter- view procedures for teachers/ certificated personnel. 3. A document describing the Art of Hiring has been produced. Recommendations and Recovery Steps Update and uniformly apply selection procedures. 1. Develop and place hiring procedures and practices in writing for all certificated personnel. Dis- tribute widely. Include a flow chart describing step-by-step procedures and person responsible for each step. 2. Provide training for managers regarding hiring procedures including forms to be used in the selection process. Standard Implemented: Not Implementation Scale: ➤ Not Fully 26 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 3.9 Certificated Recruitment and Selection Professional Standard The District systematically initiates and follows up on experience and reference checks on all applicants being considered for employment. Sources and Documentation 1. Telephone contact form 2. Interviews with HRED personnel 3. Direct observations Finding 1. It was reported and observed that at least one telephone reference is obtained for each applicant being employed. Recommendations and Recovery Steps Assign more personnel to work on reference and experience checks for potential employees. 1. Develop written procedures designating responsible persons to complete reference checks prior to employment. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 27 ➤ 0 1 2 3 4 5 6 7 8 9 10 3.10 Certificated Recruitment and Selection Legal Standard The district limits the number of certificated persons on CBEST waiver. Education Code 44252.5 Sources and Documentation 1. Documents in Audit Team binder 2. 1997-98 End of Year Report Findings 1. The State Administrator and the Advisory School Board have adopted a policy to only hire bilin- gual, special education, mathematics, and science teachers on CBEST waivers. 2. The number of teachers on CBEST waiver decreased from 62 to 15. 3. The number of teachers on CBEST waiver was 15 on 07/12/98. 4. The District provides CBEST training six times a year. 5. County Office auditing takes place every four years. The next audit is scheduled for the year 2000. Recommendations and Recovery Steps Limit the number of persons who are employed on CBEST waiver. 1. Continue to provide CBEST training. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully 28 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 4.1Classified Recruitment and Selection Legal Standard The governing board will provide equal employment opportunities for persons without regard to race, color, creed, sex, religion, ancestry, national origin, age, or disability. Education Code 44100-44105 Sources and Documentation 1. Interviews with HRED personnel 2. Board Policies and Administrative Regulations -Series 4000 3. Recovery Plan Document Revised April 4, 1997 4. Audit Document, Compton Unified School District 5. Application for Employment - Personnel Commission (undated) 6. Confidential Data Form (undated) 7. Samples of Job announcements 8. Applicant Data Form (undated) Findings 1. The district’s recruitment and selection policy states that equal employment opportunities will be provided for all persons. The 4000 Series of Board Policies and Administrative Regulations were adopted on September 28, 1982. 2. The Recovery Plan document dated April 4, 1997 indicates that the district would begin to moni- tor and revise District procedures to be in compliance with legal requirements beginning in March, 1997. 3. Required State and Federal laws, including OSHA and Workers’ Compensation, are posted at sites and departments. 4. Job announcements contain the statement: “Handicapped — If you require special accommoda- tions due to a legal handicap, at any point in the examination process, please inform the Personnel Commission Office prior to the examination date so that accommodations can be made.” 5. The Confidential Data Form requests information regarding reasonable accommodation, yet, the form states that it will be used for statistical purposes only. 6. There is no “Equal Opportunity Employer” statement shown on the Confidential Data Form, the Currently Accepting Applications Form, and the Job Announcement Form. 7. Interview panels are provided in-service training regarding appropriate questions and techniques prior to talking with job applicants. 8. The Applicant Data Form is kept separate from the application to avoid discrimination in the employment selection process. Personnel Management Assessment and Recovery Plan 29 Recommendations and Recovery Steps The governing board provides for equal employment opportunities; however, processes and procedures need revision. 1. Review and revise Series 4000 of the Board Policies and Administrative Regulations. 2. Remove the “handicapped” statement from the job announcement. The form titled, “Testing/ Employment Accommodations for Disabled Veteran Status/ Convictions Report,” is used to identify applicants who may need reasonable accommodation. 3. Remove the reasonable accommodation information from the Confidential Data Form since this form is to be retained for statistical purposes only. 4. Add “An Equal Opportunity - Affirmative Action Employer” statement to the Confidential Data form, the Currently Accepting Applications Form and the Job Announcement Form. 5. Develop an interactive, on-line employment application to be included on the district’s Web Page. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 30 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 4.2 Classified Recruitment and Selection Legal Standard Employment procedures and practices are conducted in a manner which assures equal employment opportunities. Education Code 44100-44105 Sources and Documentation 1. Interviews with HRED personnel 2. Series 4000 of Board Policies and Administrative Regulations. 3. Audit Document, Compton Unified School District Findings 1. The district’s employment procedures and practices provide equal employment opportunities for all persons. 2. Vacancies are published for 15 working days in accordance with Personnel Commission regula- tions. 3. Vacancy announcements are distributed to all sites, as well as to community organizations. 4. Interest cards can be completed by applicants for future vacancies. 5. Job advertisements are placed infrequently in the Los Angeles Times due to cost. Ads are more often placed in the Long Beach Press-Telegram. 6. Vacancies are posted on the district’s Web Site. 7. The district utilizes other Web Sites for posting job vacancies. 8. Translation needs arise during the employment and examination process. 9. A job hot line number has been established. 10. It was reported that employment procedures are inconsistent. 1 1. Perceptions exist that there is discrimination against and favoring Hispanics for different job categories as well as discrimination favoring African Americans and against whites. No empirical evidence confirmed the perceptions. Recommendations and Recovery Steps Continue employment practices that assure equal employment opportunities. 1. Hold district staff accountable to maintain fair, consistent, and equitable hiring practices. 2. Translator to be available to assist with questions/information regarding the employment process. Personnel Management Assessment and Recovery Plan 31 Standard Implemented: Partial Implementation Scale: ➤ Not Fully 32 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 4.3 Classified Recruitment and Selection Legal Standard Recruitment and selection for classified service are delegated to the Personnel Commission. Education Code 45240-45320 Sources and Documentation 1. Interviews with HRED personnel 2. Audit Document, Compton Unified School District Finding 1. The Personnel Commission approves all classified new hires, promotions, assignments, trans fers, demotions, and separations for confirmation by the State Appointed Administrator. Note: Only one Commissioner position was in place at the time of the audit. Recommendations and Recovery Steps The authority returns to the Commission once the powers are returned to the district. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 33 ➤ 0 1 2 3 4 5 6 7 8 9 10 4.4 Classified Recruitment and Selection Professional Standard The job applicant form requests information which is legal, useful, pertinent, and easily understood. Sources and Documentation 1. Interviews with HRED personnel 2. Job Application Form 3. Job advertisements Findings 1. The Application for Employment from the Personnel Commission of the Compton Unified School District asks: “Do you require reasonable accommodations to perform the work for which you are applying? Do you require special test accommodations?” 2. The Application for Employment asks the applicant to authorize inquiry into medical history. 3. Some positions are being posted with a bilingual requirement. Recommendations and Recovery Steps The job applicant form needs to be revised to comply with current laws and to be more user-friendly. 1. Revise the job application form to be adaptable to electronic format. 2. Change the reasonable accommodation information on the job application to: “Can you perform the essential functions of the position for which you are applying with or without reasonable accommodation?” 3. Remove the request for authorization to inquire into an applicant’s medical history from the job application form. 4. Post positions as “bilingual preferred” instead of “bilingual required.” Standard Implemented: Not Implementation Scale: ➤ Not Fully 34 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 4.5 Classified Recruitment and Selection Legal Standards The Personnel Commission shall prepare an eligibility list of qualified candidates for each classified position which is open, indicating the top three candidates. Education Code 45272-45278 Sources and Documentation 1. Interviews with HRED personnel 2. Audit Document, Compton Unified School District Findings 1. Eligibility lists are not provided in a timely manner and Personnel Commission regulations are not being followed. Provisional employees often work in positions for long periods of time. Current employees also work out of classification in open positions for long periods of time. 2. There are few eligible applicants for many classified positions. Recommendations and Recovery Steps Develop a consistent process for building eligibility lists including specific, published time lines. 1. Establish eligibility lists in a timely manner. 2. Reduce out-of-class assignments and provisional assignments to be the exception instead of the rule when a vacancy occurs. 3. Develop and implement classified recruitment programs to attract qualified, competent applicants. 4. Test and report status to applicants on an ongoing basis. Standard Implemented: NotI mplementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 35 ➤ 0 1 2 3 4 5 6 7 8 9 10 4.6 Classified Recruitment and Selection Professional Standard The district systematically initiates and follows up on all applicants being considered for employment. Sources and Documentation 1. Interviews with HRED personnel 2. Audit Document, Compton Unified School District Findings 1. Classified vacancies are not filled in a timely manner 2. Applicant tracking for classified staff is not utilized. 3. Consistent and timely follow-up with applicants does not occur. 4. Turn around time for filling positions is extensive. 5. There is a lack of communication to sites and departments regarding the status of applicants. 6. Eligibility lists are not current. 7. There is no master plan in place for recruitment and follow-up with applicants. 8. The turnover rate for classified staff is high. 9. The personnel action form #106 is not processed in a timely manner. Recommendations and Recovery Steps Initiate and follow-up on applicants being considered for employment. 1. Establish a formal plan for classified recruitment that includes follow-up methods and procedures for retaining qualified applicants until positions can be filled. Include specific recruitment meth- ods and plans. 2. Establish applicant tracking for accurate and timely processing of potential employees. 3. Schedule tests in a timely manner, notify applicants at least a week in advance of test dates, and keep eligibility lists current. 4. Initiate procedures for consistent communication with sites and departments regarding the status of classified positions and applicants. 5. Review and revise the process and approvals required for personnel action form #106. 36 Personnel Management Assessment and Recovery Plan Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 37 ➤ 0 1 2 3 4 5 6 7 8 9 10 4.7 Classified Recruitment and Selection Professional Standard Appropriateness of required tests for a specific position is evident. Sources and Documentation 1. Interviews with HRED personnel 2. Review of tests for clerical classified employees 3. Review of tests for other classifications of employees 4. Audit Document, Compton Unified School District Findings 1. The typing test for clerical staff is adequate. 2. There are no professionally developed, validated tests to determine skill levels in various com- puter software programs such as Excel, Word, Windows, Access, and other programs. 3. Employees interviewed indicated that tests for jobs often do not reflect the actual tasks or skills needed for the positions. 4. The Audit Document indicates that Personnel Commission staff work with the Appointing Au- thorities and other technical subject-matter experts to validate the content of examinations used in the selection process. 5. The Audit Document indicates that Personnel Commission staff continuously revise and update testing materials to assure that tests accurately measure job duties and requirements. 6. Tests that were reviewed indicate that some are current and appropriate while others need to be updated. Recommendations and Recovery Steps Develop tests that are appropriate for specific positions. 1. Review all current tests and compare with similar tests in other merit districts for appropriateness. 2. Purchase QWIZ or a similar software program to allow for testing of proficiency and skill level in various software programs. 3. Obtain information and input from District managers and employees on the appropriateness of tests for specific positions. Establish a formal method for consistently obtaining suggestions and utilizing them to assure that tests for classified positions are valid and accurately measure an applicant’s ability to perform the essential functions of classified positions available within the District. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 38 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 4.8 Classified Recruitment and Selection Professional Standard The classified recruitment under the merit system provides for an accurate annual report to the Personnel Commission Board of the employment data for the new hires. Sources and Documentation 1. Interviews with HRED personnel 2. Audit Document, Compton Unified School District 3. Personnel Commission Year End Report 1996/97 4. Personnel Commission Year End Report 1997/98 5. Personnel Commission Year End Report 1994/95 Findings 1. An annual report is provided to the Personnel Commission Board of the employment data for the new hires. 2. The 1994/95 Year End Report indicates that 40 eligibility lists were established. The report does not state how many eligible applicants were placed on these lists. 3. The 1996/97 report indicates that 37 eligibility lists were established with 440 eligible applicants being placed on these lists. 4. The 1997/98 report indicates that 90+ eligibility lists were established with 1,084 eligible appli- cants being placed on these lists. This means that eligibility lists have more than doubled in one year and that eligible applicants have increased by 644. This data indicates that sufficient appli- cants exist for classified positions; however, it was reported by those interviewed that jobs are not filled in a timely manner, and employees are working out-of-class or in provisional positions due to a lack of applicants. 5. The Classification Eligibility List dated June 4, 1998 shows sufficient applicants for all but two positions. Only one applicant was listed for Budget Manager and Accounting Specialist. 6. The 1997/98 Year End Report indicates a need to interview and select for an open Personnel Analyst position. In June 1998, this position was still open and had been open for over a year. 7. The 1997/98 Year End Report indicates that limited term assignments have been reduced to less than 20; however, interviews indicated that there has been no significant change. Recommendations and Recovery Steps Provide an accurate annual report to the Personnel Commission Board of the employment data for the new hires. 1. Develop computerized process for gathering data and reporting information for annual report so that analysis is consistent from year-to-year. Personnel Management Assessment and Recovery Plan 39 Standard Implemented: Partial Implementation Scale: ➤ Not Fully 40 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 5.1 Employee Orientation Professional Standard Initial orientation is provided for all new staff. Sources and Documentation 1. New Teacher Orientation Agenda dated September 2, 1997 2. New Principals Orientation Agenda dated August 13, 1997 3. Substitute Teacher Orientation Agenda dated September 2, 1997 4. Interviews with HRED personnel 5. Interviews with central office department personnel 6. Interviews with District and program personnel Findings 1. It was reported on numerous occasions that the district did not provide adequate orientation programs for its new employees. Sample comments included: “orientation of employees needs to be more formalized; too much left to others; no orientation for new managers; greater time needs to be spent with new teachers right out of college; handbook distribution should be a part of any orientation for new employees; mentors need to assist in certificated orientation programs and follow-up as needed.” 2. Adult education does its own orientation of new employees which covers expectations, atten- dance, payroll, and other issues. 3. Employee packets are distributed at new teacher orientations. 4. The new teacher orientation held on September 2, 1997 was well received. 5. Classified employees are most likely given their district orientations by supervisors. Comments included the fact that instructional aides and attendance clerks are provided more extensive orientations. 6. New employees do not receive adequate information about benefits. The Risk Management Analyst indicated that benefits will be included in the planning of future orientation sessions. Recommendations and Recovery Steps Develop processes and procedures for thorough and complete new employee orientations. 1. Develop a document to be signed by the new employee that lists all the forms completed and information/handouts received. This record should be filed as proof of an individual’s receipt of pertinent information. 2. Develop orientation programs to include information about district expectations, employees rights and responsibilities, and how to succeed in the Compton Unified School District. The develop- ment, implementation and presentation of comprehensive orientation programs should include mentor teachers, site administrators, classified supervisors, and others Personnel Management Assessment and Recovery Plan 41 Standard Implemented: Partial Implementation Scale: ➤ Not Fully 42 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 5.2 Employee Orientation Professional Standard The Personnel Division provides orientation handbooks for new employee orientation in all classifica- tions: substitutes, teachers and classified employees. Sources and Documentation 1. Classified Employee Handbook Revision 1987 2. Classified Personnel Commission Orientation Handbook Draft 1998 3. New Certificated Employee Packet June 1998 4. Interviews with HRED personnel 5. Interviews with central office department personnel 6. Interviews with district and program personnel Findings 1. In June, the Audit Team was provided with a Classified Employee Handbook which was last revised in 1987. 2. In June, the Director of Classified Personnel provided the Audit Team with a draft copy of a Classified Personnel Orientation Handbook entitled “Compton Unified School District - Promot- ing Service, Team Work, and Partnerships in Progress.” 3. The district does not have a Certificated Employee Handbook, but the Director of Certificated Personnel was in the process of developing one. 4. The Audit Team was furnished with an agenda used at a Substitute Teacher Orientation program held on September 2, 1997. The program was developed by the Office of Certificated Personnel. It was reported that a purchased document was given to new substitutes. The title of this docu- ment is: “Sub Survival - A Handbook for the Substitute Elementary Teacher.” Recommendations and Recovery Steps Provide employee handbooks for certificated, classified and substitute employees. These handbooks would provide pertinent information to new employees about district expectations of employees and their rights as employees. These handbooks to be used as part of a new employee orientation program. 1. Revise and distribute classified handbook to all new classified employees. 2. Develop and distribute a certificated employee handbook to all new teachers in the district. 3. Develop and distribute a substitute teachers employee handbook. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 43 ➤ 0 1 2 3 4 5 6 7 8 9 10 5.3 Employee Orientation Professional Standard The Personnel Division has developed a video of the district activities and expectations for new em- ployee orientation. Source and Documentation 1. Interviews with HRED personnel Finding 1. There was no evidence provided to indicate the present use or any immediate plans for the future use of a video orientation program for new employees. Recommendations and Recovery Steps Purchase or develop a video tape presentation which can be used as part of the orientation for new employees. This video would provide a standard presentation of the State, Federal and District regula- tions that every employee must know. 1. Provide a video taped orientation program to all new employees either in individual or group presentations. 2. The Association of California School Administrators has developed a new employee orientation video that the district could review for use in new employee orientations. This video, or an equivalent one, would be cost effective and cover all legal issues for new employees. Standard Implemented: Not Implementation Scale: ➤ Not Fully 44 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 6.1 Operational Procedures Professional Standard Personnel files are complete, well-organized and up-to-date. Sources and Documentation 1. Interviews with HRED personnel 2. Review of personnel files on June 17 and 18, 1998 Findings 1. One employee and one intern are responsible for personnel files. They are systematically organiz- ing the files and procedures. Medical information is being removed and filed in a separate, locked file. Fingerprints are being removed, and pre-employment confidential information is being removed and kept in a separate area. 2. In the past, many personnel files have been lost or misplaced and still cannot be found. 3. Files for employees who have separated from the district are stored and microfilmed after two years. 4. A file check-out system is in place and is being followed. The Associate Superintendent/HR must approve an employee’s request to review his or her own personnel file. 5. Personnel files for administrators are stored in the Associate Superintendent/HR’s office. Recommendations and Recovery Steps Continue organizing personnel files and filing information in appropriate areas. 1. Review the feasibility of installing an electronic document imaging system to store personnel file information on a computer software database. During a conversion process to electronic filing, it is likely that lost or misplaced files will be recovered. In addition, electronic filing will solve storage problems and assure that files are always available and accessible for those who need to review them. Daily back-ups of electronically imaged files should be kept on site and off site so that in case of a disaster such as a fire, electronic documents are retained. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 45 ➤ 0 1 2 3 4 5 6 7 8 9 10 6.2 Operational Procedures Professional Standard Personnel Division non-management staff members have individual desk manuals for all of the person- nel functions for which they are held responsible. Source and Documentation 1. Interviews with HRED personnel Findings 1. Current desk manuals for individual personnel functions do not exist. 2. Structured training regarding individual job functions does not occur for new hires in the person- nel Division. 3. Personnel Division employees do not receive training regarding the overall functions in a person- nel office. As a result, employees often do not know why they are completing tasks or how their duties relate to the overall functions of the personnel office and the district. 4. Personnel Division employees report that they sometimes do not know what is expected of them, and they often must guess about how to do things the right way after they are disciplined for doing them the wrong way. Supervisors often do not discuss appropriate and correct processes and procedures. 5. Personnel Division employees report that too many people are responsible for the same tasks. Recommendations and Recovery Steps Develop personnel desk manuals for each position to identify specific functions, responsibilities, and time lines. 1. Designate a Personnel Division employee as the Operations Manager responsible for determining overall functions and assignments for positions in the personnel office. 2. Hold regular staff meetings with Personnel Division employees to establish a process and proce- dure for developing desk manuals for each position. 3. Establish a cross-training program so that more than one employee has knowledge of a position. This would help train new hires, cover areas of responsibility during absences, and provide more promotional opportunities. 4. Send employees to training programs such as the ACSA Personnel Institute or Personnel Academy to provide staff members with skill development to efficiently perform personnel office functions. Standard Implemented: Not Implementation Scale: ➤ Not Fully 46 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 6.3 Operational Procedures Professional Standard The Personnel Division has an operation procedures manual for internal department use in order to establish consistent application of personnel actions. Source and Documentation 1. Interviews with HRED personnel Findings 1. An operation procedures manual for internal department use does not exist. 2.There is a lack of consistency in processes, i.e. actions taken when an applicant falsifies his/her application or has convictions precluding school district employment. Some employees are kept in their positions; others are terminated. 3. The lack of a procedures manual results in reports not being completed in a timely and accurate manner. Recommendations and Recovery Steps Develop an operations procedures manual for internal use by the Personnel Division to establish consis- tent application of personnel actions. 1. Designate a Personnel Division employee as the Operations Manager with the assigned responsi- bility to develop and maintain an operations procedures manual for internal department use and external use by managers and supervisors. 2. Develop a process for consistent application of personnel rules for legal and procedural reasons. 3. List specific personnel functions and required reports in the operations manual with time lines and responsible person. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 47 ➤ 0 1 2 3 4 5 6 7 8 9 10 6.4 Operational Procedures Professional Standard The Personnel Division has a process in place to systematically review and update job descriptions. These job descriptions shall be in compliance with the Americans With Disabilities Act (ADA) require- ments. Sources and Documentation 1. Interviews with HRED personnel 2. Review of position descriptions on June 17 and 18, 1998 Findings 1. A process to systematically review and update job descriptions is not in place. 2. In June, 1998, position descriptions were not in compliance with the ADA in that essential func- tions and physical requirements were not identified. The Director of Classified Personnel said that Ewing & Company has been retained to update job descriptions to be in compliance with the ADA. A meeting was scheduled with Bill Ewing, Consultant, to discuss the process for updating job descriptions. 3. New position classifications, or changes in job titles or function, are not communicated to staff members. 4. Changes in titles and job classifications are not made in a timely manner in the payroll/personnel system which results in delays in appropriate pay. Recommendations and Recovery Steps Develop a systematic process for review and updating of position descriptions to accurately reflect duties and responsibilities and comply with the ADA. 1. A Personnel Division staff member should be identified to systematically review and update job descriptions as positions become vacant. This person should work closely with department heads and site administrators to determine essential functions and job requirements. 2. Negotiate new position classifications, or changes in job titles or functions with bargaining units. 3. Develop procedures to assure that changes in employee position descriptions by managers or supervisors are communicated to and approved by the human resources office. 4. Process changes in job title or classification in a timely manner to avoid delays in pay or other personnel actions. Standard Implemented: Not Implementation Scale: ➤ Not Fully 48 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 6.5 Operational Procedures Professional Standard The Personnel Division provides an office environment with appropriate furniture, equipment and materials. Sources and Documentation 1. Interviews with HRED personnel. 2. Personal observations Findings 1. The Senior Personnel Analyst is housed in two offices and manages two departments in two separate places for two entities. 2. The file room is small and cramped. 3. The personnel office configuration precludes effective, immediate communication among staff members. 4. Computer hardware and software are outdated. 5. District-wide voice mail and E-mail do not exist. 6. Four people share one laser printer requiring extra time waiting for documents to print. 7. Sufficient work space is lacking for many employees. 8. Adequate space is not available for interviewing and testing. Interview panels have had to be canceled due to lack of space. 9. Fundamental supplies and equipment are needed to help complete tasks such as a rubber stamp showing approval of fingerprints. Recommendations and Recovery Steps Review configuration of personnel offices, furniture, equipment, and materials to determine the most efficient use of resources. 1. Review duties and responsibilities of Personnel Division staff members to determine effective office configuration. An outside consultant could be used to determine utilization of space taking work flow into consideration. 2. Investigate feasibility of purchasing an electronic document imaging system which would elimi- nate the need for numerous file cabinets and create additional space for personnel. 3. Upgrade computer hardware and software and install district-wide E-mail and voice mail. 4. Purchase additional laser printers which will result in a time/cost savings. Personnel Management Assessment and Recovery Plan 49 5. Establish a dedicated testing/ interviewing area so that applicants will receive courteous, comfort- able accommodations when applying for positions. 6. Authorize employees to purchase fundamental supplies or equipment with the approval of the immediate supervisor when the cost does not exceed $100. Standard Implemented: Not Implementation Scale: ➤ Not Fully 50 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 6.6 Operational Procedures Professional Standard The Personnel Division has procedures in place which allow for both personnel and payroll staff to meet regularly to solve problems which develop in the process of new employees, classification changes and employee promotions. Sources and Documentation 1. Interviews with HRED personnel 2. Interviews with District and program personnel Finding 1. Non-management payroll and personnel staff members do not hold regular meetings to resolve or discuss issues affecting both departments. Employees report that meetings that do occur are not effective since those attending do not stay on topic and decisions are not made. Recommendations and Recovery Steps Establish regular payroll/personnel meetings. 1. Schedule weekly payroll and personnel staff meetings so that employees in these departments can resolve minor issues before they become major problems. 2. Train identified payroll and personnel employees in meeting facilitation skills so that meetings will remain on topic and be effective. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 51 ➤ 0 1 2 3 4 5 6 7 8 9 10 6.7 Operational Procedures Professional Standard Wage and salary determination and ongoing implementation are handled, without delays and conflicts (substitutes, temporary employees, stipends, shift differential, etc.) Sources and Documentation 1. Interviews with HRED personnel 2. Interviews with district and program personnel 3. Interviews with site staff Findings 1. Wage and salary determinations for classified staff are done jointly by the Commission and HR, usually without conflict or delay. Employees report that there are delays in processing pay for employees who have been moved to new job classifications. In the past, employees who have resigned, retired, or died have continued to remain as active employees of the district and have received pay and/or benefits inappropriately. 2. Employees are allowed to work out-of-class for long periods of time. 3. Provisionals are allowed to work in permanent positions for long periods of time. Recommendations and Recovery Steps Establish a process whereby salary determinations are handled promptly. 1. Process personnel action form #106 in a timely manner so that pay will be immediate and appro- priate. Communicate employee separations promptly to Payroll and Benefits Departments to avoid inappropriate pay and/or continuation of benefits. 2. The Director of Classified Personnel must monitor out-of-class work to avoid violation of Person- nel Commission rules, bargaining unit agreements, Education Code, or other district procedures. 3. Limit use of provisional employees in permanent positions and fill with permanent, classified employees who have been tested and placed on the eligibility list. Standard Implemented: Not Implementation Scale: ➤ Not Fully 52 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 6.8 Operational Procedures Professional Standard Regulations or agreements covering various types of leaves are fairly implemented. Sources and Documentation 1. Interviews with HRED personnel 2. Review of personnel action documents that are submitted for Board approval 3. Interviews with District and program personnel 4. Interviews with District and program personnel Findings 1. Leaves of absence are handled by several employees and there is a lack of consistency in process- ing and procedures. 2. There were Personnel Division employees interviewed who were not familiar with the Family Medical Leave Act and indicate that FMLA leave is not being monitored or tracked in a formal manner. 3. It was reported that Workers’ Compensation absences and claims are excessive. Recommendations and Recovery Steps Process leaves in a timely and consistent manner and establish/communicate procedures to personnel staff and employees. 1. Assign leaves of absence to one employee in the Personnel Division to establish and maintain consistency. 2. Provide training on the FMLA and establish a formal policy. Track FMLA on a computer software database. 3. Work with Risk Management to form a Safety Committee to help reduce Workers’ Compensation absences and claims, establish an injury prevention program, and conduct regular workplace safety and ergonomics reviews. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 53 ➤ 0 1 2 3 4 5 6 7 8 9 10 6.9 Operational Procedures Professional Standard Personnel staff members attend training sessions/workshops to keep abreast of the most current accept- able practices and requirements facing personnel administrators. Sources and Documentation 1. Interviews with HRED personnel 2. 1997/98 Classified Management Staff Development Plan 3. 1997/98 Classified Staff Development Plan 4. Agenda/Sexual Harassment Workshop July 30, 1997 5. Agenda/Child Abuse and Corporal Punishment Workshop July 31, 1997 6. Proposal from LACOE Academy for Business Career Development dated March 9, 1998 Findings 1. Staff members do not have formal, consistent plans for professional growth, technology training, legal workshops, or other training. 2. Classified staff members perceive that they are not valued or trusted and many are not encouraged to pursue training. 3. There is no evidence that professional growth rewards exist. 4. Self-directed, on-line training in computer technology is available; however, few employees take advantage of it. 5. A teacher has been hired to provide computer training for staff; however, few employees attend. 6. Staff members expressed a desire to be cross-trained in both classified and certificated procedures. 7. Compton Unified has met with the LACOE Academy for Business Career Development and has received a proposal to provide orientation training, communications workshops, and a supervisor/ manager three-part workshop in Leadership and Supervision; Coaching, Counseling and Evaluat- ing Staff; and Effectively Implementing the Process of Change. Recommendations and Recovery Steps Establish a formal training program for personnel staff members on issues related to human resources functions. 1. Meet with employees to establish annual written training plans and goals. 2. Develop, distribute and post a district awareness program regarding training available and encour- age staff members to participate. 3. Cross-train between certificated and classified positions to allow for coverage during periods of absence and provide promotional opportunities into either area. 54 Personnel Management Assessment and Recovery Plan 4. Continue to work with the LACOE Academy for Business Career Development proposal. The total program cost is shown at $69,000; therefore, budget considerations will be a major factor in determining if this is a viable option on an annual basis. 5. Develop a Personnel Division training program for employees and managers on issues such as the ADA, FMLA, sexual harassment, drug and alcohol free workplace, blood borne pathogens, child abuse reporting, and other issues. 6. Establish an annual training calendar for personnel staff members in August of each year so that employees can plan in advance to attend. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 55 ➤ 0 1 2 3 4 5 6 7 8 9 10 6.10 Operational Procedures Professional Standard The Personnel Division provides employees with appropriate forms for documenting requested actions (i.e., leaves, transfers, resignations, retirements). Sources and Documentation 1. Interviews with HRED personnel 2. Transfer Request - Permanent Classified Employee (Form 110) 3. Request for Reinstatement, Personnel Commission (Form 111) 4. Resignation or Retirement Notice Form 5. Return From Leave of Absence Form 6. Leave of Absence Request (Form 160) 7. Personal Emergency Information Form 8. Change of Address Form Finding 1. All forms are available for pick-up by employees in the lobby in the Personnel Division. Recommendations and Recovery Steps None. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully 56 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 6.11 Operational Procedures Professional Standard Established staffing formulas dictate the assignment of personnel to the various sites and programs. Sources and Documentation 1. Interviews with HRED personnel 2. Interviews with District and program personnel 3. Interviews with site staff Findings 1. Some Personnel Division staff members do not understand staffing formulas or utilize them in processing personnel action forms. 2. Staffing reports and position control reports are done manually; therefore, staffing information is not immediately available to staff members who must make decisions about the appropriate hiring and assignment of personnel. Recommendations and Recovery Steps Utilize existing staffing formulas to hire and assign personnel to sites and programs. 1. Schedule regular meetings with Personnel Division staff members to provide training regarding staffing formulas and how they relate to the hiring and assignment process. 2. Implement position control on-line so staffing reports will be accurate and positions will not be filled unless they are part of the staffing allocation for each site or department. Staffing reports can then be developed from a database as needed and employees will not need to rely on reports that have been completed manually . Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 57 ➤ 0 1 2 3 4 5 6 7 8 9 10 7.1 State and Federal Compliance Legal Standards Policies and regulations exist regarding the implementation of AB 1610 and AB 1612 (fingerprinting). Education Codes: 44237, 45125, 45125.1, 44332.6, 44346.1, 44830.1, 45122.1, Sources and Documentation 1. Board Policy Manuals 4000 Series 2. Interviews with HRED personnel Findings 1. There is no Board Policy on fingerprinting. 2. There are no written office procedures for fingerprinting. Recommendations and Recovery Steps Develop Board Policy, Administrative Regulations, and office procedures for both certificated and classified fingerprinting. 1. Obtain copies of Board policies from CSBA and at least three school districts and revise for use in Compton. 2. Develop specific process and procedure for fingerprinting certificated and classified personnel to include: who (all applicants, only offered candidates, etc.), when in the hiring process, who does printing, when and how sent to DOJ, who reviews results, disposition of bad prints, retention, and storage. Standard Implemented: Not Implementation Scale: ➤ Not Fully 58 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 7.2 State and Federal Compliance Legal Standards All fingerprinting requirements are met before a potential employee reports for employment Education Codes: 44237, 45125, 45125.1, 44332.6, 44346.1, 44830.1, 45122.1, Sources and Documentation 1. Board Policy Manuals 4000 Series 2. Interviews with HRED personnel Findings 1. District pays the expedited $66 fee for fingerprinting for eligible classified employees. Certifi- cated individuals who are to be employed pay for their own fingerprints. 2. District fingerprints volunteers. 3. It was reported that some new employees are being allowed to begin work before fingerprint clearance. 4. Classified applicants are generally fingerprinted after taking the test for employment under the merit system. 5. Teacher applicants are fingerprinted by credential technicians after being interviewed, selected and cleared for credentials. 6. District approved for fingerprint scanning equipment by DOJ and installation scheduled this summer. 7. Fingerprints sent to DOJ on Fridays and a log is kept on returns. 8. One person keeps a log of all rap sheets. Recommendations and Recovery Steps Refine procedures and improve consistency in processing fingerprints. 1. Discuss the benefits of adopting a policy which requires classified employees to pay the finger- printing costs (could be taken out of first paycheck or spread over three months). 2. Develop zero-tolerance procedure for individuals to report to the job without cleared prints. 3. Discuss the benefits of not fingerprinting all applicants in classified. Print top three or four on list. 4. Appoint one person responsible for reviewing and making decisions about candidates with crimi- nal convictions. Fingerprint reports to be kept confidential and known only to designated/autho- rized personnel. 5. Complete implementation of scanner equipment and the training and modify procedures accord- ingly. Personnel Management Assessment and Recovery Plan 59 6. Develop computerized tracking log. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 60 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 7.3 State and Federal Compliance Legal Standard The district shall obtain a criminal record summary from the Dept. of Justice before employing an individual and shall not employ anyone who has been convicted of a violent or serious felony. Education Codes: 44332.6, 44346.1, 45122.1, Sources and Documentation 1. Interviews with HRED personnel 2. Review fingerprint reports Findings 1. It was reported that some new employees are being allowed to work before fingerprint clearance. 2. Average return from DOJ is 4 to 6 weeks. Classified and Certificated Directors determine disposi- tion of candidates with a report of criminal conviction(s). Recommendations and Recovery Steps Adopt zero-tolerance procedure for employees working before fingerprints are cleared. 1. Employees to have a “clearance card” from HR to give to the supervisor in charge before begin- ning work. Issued by HR only upon clearance of fingerprints. Apply consequences to managers allowing individuals to work without providing the clearance card. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 61 ➤ 0 1 2 3 4 5 6 7 8 9 10 7.4 State and Federal Compliance Legal Standard The governing board requires every employee to present evidence of freedom from tuberculosis as required by state law. Education Codes: 44839, 49406 Sources and Documentation 1. Review Board Policy 4112.4 dated Jan. 8, 1980 and Board Policy 4212.4(a) dated December 13, 1979 2. Interviews with HRED personnel 3. Review personnel records Findings 1. After fingerprint clearance, certificated candidates are sent for a physical exam and TB test. The results are collected and filed by credential technicians. 2. After selection, the classified candidates are sent for the physical examination and TB test. The results are collected and filed by credential technicians. 3. The LACOE issues a TB test report monthly. Every three months, notifications are sent to indi- viduals whose tests are expiring. 4. There are employees working who have not renewed their TB tests. Recommendations and Recovery Steps Update Board Policies requiring TB clearance and develop precise procedures in the hiring process as well as follow-up procedures. 1. Obtain new policy from CSBA and modify for use in Compton. 2. Develop a clear procedure for obtaining TB clearance for both certificated and classified includ- ing: when in the hiring process, who is responsible, who receives the clearance and assurance that clearance occurs before employee reports for work (add to “clearance card” to report to duty). 3. Develop a procedure for notifications including, when, how, who is responsible and which in- cludes consequences for individuals who do not comply. Review procedure with legal counsel. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 62 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 7.5 State and Federal Compliance Legal Standard No person shall be employed as a teacher’s aide unless that person has passed the basic reading, writing and mathematics skills proficiencies required for graduation from high school. Education Code: 45361.5 Sources and Documentation 1. Interviews with HRED personnel Findings 1. A basic skills proficiency test is administered by the Classified Office on an as needed basis to candidates who did not graduate from Compton Unified School District. 2. The basic skills proficiency test is administered in the Board Room which is not an ideal testing facility. Recommendations and Recovery Steps Review and revise the basic skills proficiency test to insure adequacy. 1. Work with Research and Evaluation to revise or redevelop a test that is equivalent to the high school graduation requirement. Establish a scheduled testing time in an adequate space under proper testing conditions. 2. Assign testing responsibility to one person to administer the test on a regularly scheduled basis. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 63 ➤ 0 1 2 3 4 5 6 7 8 9 10 7.6 State and Federal Compliance Legal Standard A clear implemented policy exists on the prohibition of discrimination. Government Code: 11135 Sources and Documentation 1. Review Board Policy 4111.1 (a)-(f)(undated) 2. Application for Professional Employment (undated) 3. Administrative Application (undated) 4. Application for Employment - Personnel Commission (undated) 5. Confidential Form (undated) 6. Affidavit Action Survey (undated) 7. Pre-Employment Inquiry Guidelines 8. Interviews with HRED personnel, district and program personnel, and central office department personnel Findings 1. Board Policy 4111.1 (a)-(f) is entitled Certificated/Classified Affirmative Action: Recruitment and Selection and contains planning for affirmative action which is questionable. The policy does have some appropriate procedures for non-discrimination in employment including guidelines for Employment and Placement and guidelines for Interviewing and Hiring. 2. Application for Professional Employment contains questionable wording regarding inquiries into disabilities. It contains an EEO Statement which still contains affirmative action language, ex- cludes veteran status, and includes medical condition - cancer related. It contains a questionable question regarding citizenship status. 3. Administrative Application contains the same wording as above. 4. Application for Employment- Personnel Commission contains questionable language with regard to disabilities and does not contain any statements for EEO or non-discrimination. 5. Confidential Form and Affidavit Action Survey contain questionable questions regarding pro- tected class status. They are voluntary surveys. 6. It was reported that the hiring process is inconsistent. 7. There exist perceptions that there is discrimination against AND favoring Hispanics for different job categories as well as discrimination favoring African Americans and against whites. No empirical evidence confirmed the perceptions. Recommendations and Recovery Steps Update the Board Policies to focus on Non-Discrimination and Equal Opportunity in Employment. Review and revise all employment related forms and documents to be consistent with changes in the laws, and establish written hiring procedures for certificated and classified. 64 Personnel Management Assessment and Recovery Plan 1. Obtain policies from CSBA and three other school districts to use in developing local policies. Have draft policies reviewed by legal counsel before approval. 2. Obtain from ACSA and three other districts, copies of applications which have been revised within the last 2 years to use in revising applications including the EEO statement. Have draft applications reviewed by legal counsel before printing. Review language annually. 3. Develop written hiring procedures for classified and certificated for all classifications. Review procedures with specific attention to details that will help eliminate actual AND perceived dis- crimination to the extent possible. Example: Use interview panels of 3 or more people including as much diversity as possible; insure that qualifications are job related and not overstated; process for developing interview questions to include review for consistency with position descriptions and the laws. 4. Seek legal review of Confidential Form and Affidavit Action Survey to determine if these are required, useful and legally worded. 5. Establish checks and balances in procedures to reduce/eliminate legal exposure. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 65 ➤ 0 1 2 3 4 5 6 7 8 9 10 7.7 State and Federal Compliance Legal Standard All certificated persons hold one or more valid certificates, credentials or life diplomas which allow the holder to engage in school services designed in the document. Education Code: 44006 Sources and Documentation 1. Personnel Files 2. Credential cards 3. Interviews with HRED personnel Findings 1. Certificated personnel hold one or more valid certificates, credentials, life diplomas, emergency credentials or are waivered to allow them to engage in school services designed in the document . 2. Credential tracking is done on cards not on computer. Recommendations and Recovery Steps Design hiring procedures which include screening all candidates for credentialed positions to provide the documents showing the credential or eligibility. Develop a credentials database or go on line with LACOE and use that database to implement annual credential audits. 1. Go online with the credential database at LACOE or develop a database in-house. 2. Provide Principals and Department heads with “The Administrator’s Assignment Manual,” March 1997 Edition from the California Commission on Teacher Credentialing (CTC). 3. Assign HRED staff member(s) to attend CTC workshops. 4. Credential Technicians to review emergency credential holders’ progress annually. 5. Run annual reports by site and department showing the credential(s) that each staff member has and require Principals and Department heads to verify that credentials are consistent w/assign- ments. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 66 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 7.8 State and Federal Compliance Legal Standard Duties to be performed by all persons in the classified service and other positions not requiring certifica- tion are fixed and prescribed by the governing board. Education Code: 45109 Sources and Documentation 1. Management position descriptions (dates from 1980 to 1997 and some undated) 2. Classified position descriptions (dates from 1980 to 1997 and some undated) Findings 1. There are not position descriptions for all management positions. 2. Management position descriptions are in various formats, have not been revised in accordance with the Americans With Disabilities Act (ADA), and do not show evidence of Board approval. 3. Classified position descriptions are in various formats, have not been revised in accordance with the ADA and do not show evidence of Board approval or personnel commission approval. Recommendations and Recovery Steps Develop accurate current position descriptions for all noncertificated positions. 1. Develop a list of all noncertificated/classified positions 2. Engage consultant or assign personnel to rewrite position descriptions as follows: • Incumbents complete job survey (obtain from other districts or consultant) • Supervisor reviews survey • Write position description • Identify “essential functions” • Use single format • Include signature line for Associate Superintendent-HR and State Administrator • Date after approval by Board of Education or Personnel Commission as appropriate 3. Write procedures and guidelines for periodic review and update of position descriptions. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 67 ➤ 0 1 2 3 4 5 6 7 8 9 10 7.9 State and Federal Compliance Legal Standards Professional growth requirements for maintenance of a valid credential exists. Education Code: 44277 Sources and Documentation 1. Audit Binder from Compton Unified School District Audit 1998 2. Interviews with HRED personnel Findings 1. The Certificated Office monitors professional growth for temporary contract teachers. 2. Professional growth requirements for preliminary clear credential holders are the responsibility of the individual and immediate supervisor. 3. The Associate Superintendent - HRED and the Director - Certificated Personnel offer counseling regarding these requirements. Recommendations and Recovery Steps This process is satisfactory and consistent with the practices of other districts. Continue as is. Standard Implemented: Fully – Sustained Implementation Scale: ➤ Not Fully 68 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 7.10 State and Federal Compliance Legal Standard Current position descriptions are established for each type of work performed by certificated and classi- fied employees. Education Code: 35020 Sources and Documentation 1. Classified position descriptions (dated from 1980 to 1997 and some undated) 2. Management position descriptions (dated from 1980 to 1997 and some undated) 3. Teacher position description (undated) Findings 1. There are no management or classified position descriptions for all positions. 2. Management and classified position descriptions are in various formats, have not been revised in accordance with the ADA, and do not show evidence of Board of Education approval or Person- nel Commission approval. 3. There is a generic teacher position description but no evidence that it has been approved by the State Administrator or the Board of Education nor that it meets the ADA and other legal require- ments. Recommendations and Recovery Steps Develop accurate current position descriptions for all positions. 1. Develop a list of all positions. 2. Engage consultant or assign personnel to write new position descriptions as follows: • Incumbents complete job survey (obtain from consultant or other districts) • Supervisor reviews survey • Write position description • Identify “essential functions” • Use single format • Include signature line for Associate Superintendent - HRED and State Administrator • Date after approval by Board of Education or Commission as appropriate 3. Write procedures and guidelines for periodic review and update of position descriptions. 4. Obtain teacher position descriptions from three other districts and work with CEA to modify for Compton. 5. All position descriptions to be approved by the State Administrator and eventually by the Board of Education. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 69 ➤ 0 1 2 3 4 5 6 7 8 9 10 7.11 State and Federal Compliance Legal Standard The district has established a process by which all required notices/in-service training has been per- formed and documented, i.e., child abuse reporting, blood-borne pathogens, Hepatitis B vaccinations, etc. Education Code: 44691, Government Code: 8355 Sources and Documentation 1. Orientation procedures for new employees (undated) 2. Personnel files 3. 1997/98 Certificated Management Staff Development Plan (undated) 4. 1997/98 Classified Management Staff Development Plan (undated) 5. 1997/98 Classified Staff Development Plan (undated) 6. Child Abuse and Corporal Punishment Workshop Agenda (July 31, 1997) 7. Sexual Harassment Workshop Agenda (July 30, 1998) 8. Interviews with HRED personnel, district and program personnel, and central office department personnel Findings 1. New employees receive the mandatory notifications. 2. There is no mechanism for required annual notifications. 3. Training has taken place on child abuse reporting, blood-borne pathogens, Hepatitis B and sexual harassment but it is limited in attendance. 4. There is no evidence that all intended staff attended the staff development programs and work- shops that addressed these issues and no evidence of a plan for “trickle down” to other employees. 5. It was reported that current laws are posted in all sites and departments. Recommendations and Recovery Steps Establish a database or connect with the LACOE to track training and workshop attendance for all employees. Develop a schedule of periodic training/review which will include all employees at all levels for the mandatory issues. 1. Develop a simple database that can handle tracking of training attended by employees.. 2. Develop a schedule of periodic (annual, every other year, etc) refresher training programs on mandatory subjects. Send notices and document attendance. 3. Establish a “trickle down” plan which allows for training to occur at all levels of staff. 4. Develop and send required annual notification packet addressed to each employee 5. Budget for and purchase laminated employment law posters to be posted at every work location. Purchase new ones whenever the laws change. 70 Personnel Management Assessment and Recovery Plan Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 71 ➤ 0 1 2 3 4 5 6 7 8 9 10 7.12 State and Federal Compliance Legal Standard The district is in compliance with Title IX policies on discrimination and Government Code 12950(a) posting requirements concerning harassment or discrimination. Sources and Documentation 1. Review Board Policy Manual 4000 Series 2. Review Board Policy 4111.1 (a) - (f) (undated) 3. Review Board Policies 4118.14 and 5131.8 (dated February 11, 1997) and Board Policy 1312.1 (dated June 9, 1998) 4. Position Vacancy Announcements 5. Application for Professional Employment (undated) 6. Administrative Application (undated) 7. Application for Employment - Personnel Commission (undated) 8. 1997/98 Certificated Management Staff Development Plan (undated) 9. 1997/98 Classified Management Staff Development Plan (undated) 10. 1997/98 Classified Staff Development Plan (undated) 11. Sexual Harassment Workshop Agenda (July 30, 1997) 12. Interviews with HRED personnel 13. Interviews with District and program personnel 14. Interviews with central office department personnel Findings 1. Board Policy 4111.1 (a) - (f) is out of date. 2. Board Policies 4118.14 and 5131 .8 are sexual harassment policies for staff and students but do not appear to have been approved by the State Administrator or the Board of Education. 3. There were no employment law posters visible at the District Office. 4. There was no mechanism observed for providing the work locations with employment law post- ers. 5. There was no evidence that the general public is informed annually of compliance with Title IX. 6. There was no evidence that the district has appointed a Title IX Officer and that the name and telephone number of the Title IX Officer is publicized in every “employee manual” and in the Student Discipline Code sent out annually to parents. 7. The sexual harassment complaint process is the Uniform Complaint Procedure outlined in Board Policy 1312.1. 8. There was no evidence that sexual harassment complaints are all filed with the Title IX Officer. 9. There was no evidence that the Uniform Complaint Procedure is disseminated as broadly as is required for a sexual harassment complaint procedure. 72 Personnel Management Assessment and Recovery Plan Recommendations and Recovery Steps Develop correct policies and procedures for Title IX compliance including proper notifications. 1. Appoint a Title IX Officer. 2. Obtain CSBA’s policies on Non Discrimination and Sexual Harassment (for staff in 4000 series and students in 5000 series). Update Board Policies 4118.14 and 5131.8. Obtain the California Labor Law Digest from the California Chamber of Commerce (P.O. Box 1736, Sacramento, CA 95812-1736, (916)444-6670) for sample procedures, policies and notices. Develop a separate sexual harassment complaint procedure. 3. Budget for and purchase laminated employment law posters and Title IX notification posters for every work location. 4. Print, laminate and distribute the sexual harassment policy and complaint procedure including the name and telephone number of the Title IX Officer. 5. Establish a schedule for printing an EEO notification referencing Title IX in a major local newspa- per (see Fresno Unified School District model). 6. Publish the name and telephone number of the Title IX Officer in every “employee manual” and in the Discipline Code for students. This includes site specific employee manuals. 7. Provide every work location with sexual harassment complaint forms. 8. All sexual harassment complaints to be filed with the Title IX Officer and logged into a database. 9. Send the sexual harassment policy to each employee in the annual notification packet. 10. Develop schedule of periodic training. Include mechanism for “trickle down” training and annual student training. 11. Include sexual harassment training in new employee orientation. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 73 ➤ 0 1 2 3 4 5 6 7 8 9 10 7.13 State and Federal Compliance Professional Standard The district is in compliance with the Consolidated Omnibus Budget Reconciliation Act of 1986 (CO- BRA). Sources and Documentation 1. Interviews with HRED personnel and District and program personnel. Findings 1. Four-part COBRA Notices are sent out by Benefits and Risk Management. Recommendations and Recovery Steps This process is satisfactory and consistent with the practices of other districts. Continue as is. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully 74 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 7.14 State and Federal Compliance Professional Standard The District is in compliance with the Family Medical Leave Act (FMLA) including posting the proper notifications. Sources and Documentation 1. Review Board Policy Manual 4000 Series 2. Audit Binder from Compton Unified School District Audit 1998 3. Agreement Between the Compton Unified School District and California School Employees Association (CSEA) Chapter 30 (pp. 109-119). Dated July 1, 1996-June 30, 1999) 4. Agreement Between the Compton Unified School District and Service Employees International Union (SEIU) Local 347 (pp. 48-59). dated 1996/1997-1997/1998-1998/1999 5. Interviews with HRED personnel, district and program personnel, and central office department personnel Findings 1.There are no posted notifications of FMLA, no notifications for new employees and no annual notification. 2. There is no Board Policy for FMLA and there is no employee handbook containing FMLA infor- mation. 3. There is no written procedure for FMLA. 4. There was no evidence that district managers have received no information or training on FMLA. 5. No evidence that FMLA leaves are being granted. 6. Brief notification of FMLA rights in classified employee orientation packet. 7. The collective bargaining agreement with CSEA contains detailed information on entitlement to FMLA in Article XIII, paragraph 13.15. 8. The collective bargaining agreement with SEIU contains information detailed information on entitlement to FMLA in Article VIII, paragraph 8.14. Recommendations Develop Board Policy and written procedure for FMLA and provide notices to all employees of their rights under FMLA. 1. Obtain CSBA policy on FMLA and sample policies from three districts. Modify to develop policy for Compton. 2. Contact the following organization to obtain Family and Medical Leave Act Update 1998 which contains policies, procedures, sample forms and notifications: Council on Education in Manage- ment 350 North Wiget Ln., Suite 100 Walnut Creek, CA 94598 1-800-942-4494 or Personnel Management Assessment and Recovery Plan 75 3. Contact the nearest office of the Wage and Hour Division, listed in most telephone directories under U.S. Government, Department of Labor for laminated posters of WH Publication 1420. 4. Inventory “employee manuals” which may exist and add information regarding FMLA. 5. Identify person or persons who will process FMLA leaves. 6. Develop a system of interface with Benefits and Risk Management to process leaves which require the continuation of medical benefits. 7. Work with LACOE to determine whether leaves can be tracked through the HRS system or estab- lish a database for tracking FMLA leaves. Develop procedure to notify individuals within two days if a leave is FMLA. Develop appropriate form letters and medical certification forms (samples in Education in Management books). 8. Include notification of FMLA rights in new employee orientation and in annual notification packet. 9. Have legal counsel review the collective bargaining agreement language to insure that it is consis- tent with recent changes to the law. Standard Implemented: Not Implementation Scale: ➤ Not Fully 76 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 7.15 State and Federal Compliance Professional Standard The district is in compliance with the Americans with Disabilities Act (ADA) of 1990 in application procedures, hiring, advancement or discharge, compensation, job training and other terms, conditions, and privileges of employment Sources and Documentation 1. Review Board Policy Manual 4000 Series 2. Review Board Policy 4112.4 (dated September 28, 1982) 3. Application for Professional Employment (undated) 4. Administrative Application (undated) 5. Application for Employment - Personnel Commission (undated) 6. Confidential Form (undated) 7. Affidavit Action Survey (undated) 8. Pre-employment inquiry guidelines 9. Management Position descriptions (dates from 1980 to 1997 and some undated) 10. Classified Position descriptions (dates from 1980 to 1997 and some undated) 11. Interviews with HRED personnel, District and program personnel, and central office department personnel 12. Leave of Absence Request (1/98) Findings 1. Application for Professional Employment and Administrative Application contain questionable/ inappropriate questions regarding inquiries into disabilities and include statement regarding medical condition - cancer related. 2. Application for Employment - Personnel Commission contains questionable language regarding disabilities. 3. Confidential Form and Affidavit Action Survey contain questionable questions related to disabili- ties. 4. Board Policy 4112.4 mandates that certain classifications of employees who do not engage in strenuous physical activities complete a general Health Questionnaire. 5. Board Policy 4112.4 refers to a “mandatory retirement age” and requires a complete physical examination for anyone who works beyond it. 6. Leave of Absence Request Form seeks information regarding the “illness” which is inappropriate/ questionable. 7. Employees are required to take a physical exam which is not related to ability to perform essential job functions. 8. Site personnel reported being trained on the ADA but there were no supporting agendas, plans or other documents to confirm this. Personnel Management Assessment and Recovery Plan 77 9. Medical files are kept in a separate locked file. 10. There are no written procedures nor evidence to illustrate how determination is made in claims of ADA and how accommodations are determined. Recommendations and Recovery Steps Modify all applications, position description and forms to comply with ADA and eliminate the physical examination requirement. 1. Eliminate the preemployment medical examination and the Health Questionnaire (test for use of illegal drugs is okay under the ADA). 2. Modify wording on all applications so that there is no inquiry as to whether the applicant has a disability or the nature or severity of the disability, e.g. Can you perform the essential functions of the job for which you are applying? If not, which functions can you not perform? 3. Change wording on Leave of Absence form to inquire about whether the physician states that the employee cannot perform the functions of the job and for how long. 4. Provide training for site, program and district administrators and supervisors to recognize poten- tial ADA cases in their environment and provide an outline of the steps to be taken in exploring accommodation. 5. Revise Board Policy 4112.4 eliminating the “mandatory retirement age” and the required physical examination associated with it. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 78 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 7.16 State and Federal Compliance Professional Standard The district has identified exempt and nonexempt employees and has promulgated rules and regulations for overtime which are in compliance with the Fair Labor Standards Act and California Statutes. Sources and Documentation 1. Board Policy Manuals 4000 Series 2. Review Board Policy 4243 a and b (undated) 3. Management and Classified Position descriptions (dates from 1980 to 1997 and some undated) 4. Agreement Between the Compton Unified School District and California School Employees Association (CSEA) Chapter 30 (pp.48-77). Dated July 1,1996 - June 30, 1999) 5. Agreement Between the Compton Unified School District and Service Employees International Union (SEIU) Local 347 (pp. 19-27). Dated 1996/1997-1997/1998-1998/1999 6. Interviews with HRED personnel, District and program personnel, and central office department personnel Findings 1. There was no evidence on the position descriptions or anywhere else that positions have been identified as exempt or nonexempt. 2. There was no evidence that there are written procedures for providing for overtime and the pay- ment of overtime. 3. Comments from nonexempt employees regarding working many extra hours and coming in on weekends for no pay. 4. The collective bargaining agreement with CSEA contains Article IX with detailed information specifying overtime provisions consistent with FLSA. 5. The collective bargaining agreement with SEIU contains Article V with detailed information specifying overtime provisions consistent with FLSA. 6. Board Policy 4243 provides rules for overtime. 7. Board Policy 4243 lists 23 positions which are exempt from overtime. Recommendations and Recovery Steps Review all positions for exempt/nonexempt status and develop procedures and forms for handling overtime. 1. Use the California Labor Law Digest as a resource to assist in the analysis of exempt and nonex- empt positions. When rewriting position descriptions, identify each one as exempt or nonexempt. 2. Develop written procedures for managers, supervisors and administrators to use in granting permission for overtime and for paying for overtime appropriately at time and one half regular pay or hours. Procedures to be consistent with collective bargaining agreements. Personnel Management Assessment and Recovery Plan 79 3. Conduct periodic training regarding FLSA. Standard Implemented: Not Implementation Scale: ➤ Not Fully 80 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 7.17 State and Federal Compliance Professional Standard The district is in compliance with the Omnibus Transportation Employees Testing Act (OTETA). Sources and Documentation 1. Agreement Between the Compton Unified School District and California School Employees Association (CSEA) Chapter 30 (pp.48-77). Dated July 1,1996 - June 30, 1999) 2. Agreement Between the Compton Unified School District and Service Employees International Union (SEIU) Local 347 (pp. 19-27). Dated 1996/1997-1997/1998-1998/1999 Findings 1. The collective bargaining agreement with CSEA contains Article XXIV with detailed information specifying the guidelines for OTETA. 2. The collective bargaining agreement with SEIU contains Article XXI with detailed information specifying the guidelines for OTETA. 3. Drivers are trained twice annually regarding the requirements of OTETA. 4. Random test lists are maintained in the Office of Labor Relations. 5. Drug testing is contracted out. Recommendations and Recovery Steps This process is satisfactory and consistent with the practices of other districts. Continue as is. Standard Implemented: Fully – Sustained Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 81 ➤ 0 1 2 3 4 5 6 7 8 9 10 8.1 Use of Technology Professional Standard An on-line position control system is utilized and is integrated with payroll/financial systems. Sources and Documentation 1. Direct observation of payroll/personnel computer systems 2. Interviews with HRED personnel 3. Interviews with central office department personnel 4. Interviews with district and program personnel Findings 1. There is no computer position control system. 2. Payroll, personnel, and finance are not integrated. Operated through LACOE. 3. Positions are reconciled by hand. 4. Staff believe that there is a position control system but no one can define or understand it and all are uncertain how it works. They believe that it is their own shortcoming in understanding. Recommendations and Recovery Steps The district must develop a long term plan to obtain an integrated payroll/ personnel/finance system capable of having a position control system and if that is found to be impossible, then the district must explore a stand alone position control system. 1. Explore position control with the LACOE. 2. Due to the lack of any understanding or expertise in position control throughout HRED and the Business Office, a consultant may be needed to accomplish this step. Standard Implemented: Not Implementation Scale: ➤ Not Fully 82 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 8.2 Use of Technology Professional Standard The Personnel Division provides an automated substitute calling system. The system should have ability to input and retrieve data. Data should be distributed to site and program managers. Sources and Documentation 1. Equipment; hardware and software 2. Interviews with HRED personnel 3. Interviews with central office department personnel 4. Interviews with District and program personnel Findings 1. The Personnel Division operates the automated substitute system known as the Substitute Em- ployee Management System (SEMS) by TSSI. 2. The system handles only certificated substitutes but has the capability of handling classified and management. 3. There is no systematic procedure for the assignment of event numbers for staff development- related meetings. 4. The system has capability to produce reports but there is only one major report done every three months or by site request. 5. Work area for the system is insufficient. 6. Insufficient phone lines 7. System not integrated with payroll resulting in lost time sheets, incorrect pay and lost time. 8. Time sheets are routed through Fiscal Services to be date stamped and are often lost in this pro- cess. 9. Some teachers do not call the system for absences and the schools do it for them. Recommendations and Recovery Steps System operators should attend SEMS training and should visit districts where the system is fully utilized. 1. Develop a substitute manual and a school manual for system users. Provide additional training for teachers and ongoing training for new teachers. 2. Develop a system for assigning event numbers to staff development events and limit the numbers of substitutes that can be reserved for staff development. Other districts can serve as a model/ resource. Personnel Management Assessment and Recovery Plan 83 3. Determine the types of reports and information which will be most useful to the site managers and produce those. Examples from other districts. 4. Find a suitable work location for the SEMS equipment and operator. Add the phone lines. Refine the payroll processing process. Use other districts who are successfully implementing the SEMS as a model for procedures (Palo Alto, Fresno etc.) Standard Implemented: Partial Implementation Scale: ➤ Not Fully 84 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 8.3 Use of Technology Professional Standard The Certificated and Classified Departments have in place an applicant tracking system. Sources and Documentation 1. Direct observation of payroll/personnel computer systems 2. Interviews with HRED personnel Findings 1. Certificated personnel does not have an applicant tracking system. Applicant tracking is done “by hand” using EXCEL. 2. Classified had purchased an applicant tracking system which was never implemented. In process of selecting a new applicant tracking system. Recommendations and Recovery Steps If payroll/personnel/finance cannot be integrated, select a stand alone certificated and classified appli- cant tracking system and implement them. 1. Seek information from other districts and vendors of applicant tracking systems. (Example: Harmony by Ewing and Co. provides applicant tracking.) Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 85 ➤ 0 1 2 3 4 5 6 7 8 9 10 8.4 Use of Technology Professional Standard The Personnel Division has in place a program of providing funds and time for staff training and skills development in the use of computers. Sources and Documentation 1. Interviews with HRED personnel 2. Review of agendas, communications to staff etc. Findings 1. There is no formal schedule of training and development for any staff in certificated or classified personnel. There are no calendars, agendas, or postings for staff training in personnel. 2. Staff members demonstrate only the most rudimentary skills with most of the hardware and software that they have. 3. Teacher was hired to train District people to use computers. All divisions have access to this training. 4. Some divisions budget for computer training but HRED does not currently do so. 5. Training classes are difficult because of the low level computer skills of most employees. Ad- vanced training is not currently possible. Recommendations and Recovery Steps Develop a plan for the use of technology in the department. Based upon the plan, conduct a needs assessment of the skills that will be required with the technology. Develop a long and short range plan for acquiring training and budget for it. 1. Provide staff training to address the use of the current LACOE HRS system, word processing, Internet, E-mail, voice mail, applicant tracking, and fingerprinting. 2. Provide training options to include classes at Community Colleges, district training, and training through private sector organizations. Standard Implemented: Not Implementation Scale: ➤ Not Fully 86 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 8.5 Use of Technology Professional Standard The Personnel Division utilized the latest technology to provide staff and clients with improved commu- nication (i.e., voice mail, fax, E-mail). Sources and Documentation 1. Interviews with HRED personnel 2. Interviews with central office department personnel 3. Interviews with District and program personnel 4. Direct observation of computer hardware and software Findings 1. Voice mail is not in use. 2. E-mail is limited to a few people at the upper levels of the organization. Connectivity is in place but very few are connected. 3. High dependence on telephone, fax, and live visits to communicate and get messages through to personnel. 4. Fax Machine in classified area is broken. 5. HRED has website accessible only to upper level managers. Used to advertize vacancies. Recommendations and Recovery Steps 1. Develop short range and long range plans to bring the latest technology into HRED to provide better communication with clients and staff. 2. Implement voice mail and E-mail throughout the District. 3. Develop procedures for the appropriate use of voice mail technology to avoid use as a sophisti- cated answering machine. Require that messages left for HRED staff be returned within 24 hours at maximum. 4. Identify (employ, restructure, reassign) a management information systems position/person, dedicated to HRED, to develop and implement a plan to bring the HRED office staff in line with modern technology. This plan to include but not be limited to: • upgrades in hardware and software; • installation of E-mail; • calendar planning and other appropriate tools; • staff training; expansion and maintenance of web page; • working with LACOE to establish links to make work of HRED more efficient. 5. Technology training to be a personal professional goal for all HRED staff. Personnel Management Assessment and Recovery Plan 87 Standard Implemented: Not Implementation Scale: ➤ Not Fully 88 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 8.6 Use of Technology Professional Standard The Personnel Division has computerized its employee database system including, but not limited to: Credentials Seniority Lists Evaluations, Personnel by funding source, program, location, Workers’ Compensation Benefits. Sources and Documentation 1. Interviews with HRED personnel 2. Interviews with central office department personnel 3. Interviews with District and program personnel Findings 1. Credentials are kept on cards not computer. 2. Seniority lists for classified are maintained and prepared by the LACOE. Recommendations and Recovery Steps The Personnel Division needs updated technology to maintain credentials, seniority lists, evaluations, personnel, Workers’ Compensation, and benefits. 1. Identify (employ, restructure, reassign) a management information systems position/person, dedicated to HRED to develop and implement a plan to bring the HRED office staff in line with modern technology. This plan to include but not be limited to: upgrades in hardware and software; work with LACOE to effectively utilize credentials database; and maintain certificated and classified seniority lists, evaluations, personnel/ payroll information, Workers’ Compen-sation, and benefits in computer datase. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 89 ➤ 0 1 2 3 4 5 6 7 8 9 10 9.1 Staff Training Professional Standard The district has developed a systematic program for identifying areas of need for in-service training. Sources and Documentation 1. 1997-98 End of Year Report for Certificated Personnel 2. Interviews with HRED Personnel 3. Staff in-service calendar. 4. Management review and recovery plan (draft document) 5. 1997 Goals and Objectives - Certificated Personnel 6. 1997 Goals and Objectives - Classified Personnel 7. 1997-98 End of Year Report, Classified Personnel 8. Interviews with central office department personnel 9. Interviews with district and program personnel Findings 1. The HRED administration (classified and certificated) have identified a number of areas of need for in-service training for employees. 2. The HRED administration has created and published a staff development calendar for classified and certificated training. 3. Resources were made available to provide training in the following areas: a. F.R.I.S.K. training. b. McGrath Template c. Dealing with Less Than Effective Employees d. Sexual Harassment e. Child Abuse Reporting f. Employee Evaluation g. New Teacher Orientation h. Technology Training I. Blood Borne Pathogens j. Substance Abuse 4. The in-service programs provided were well done; however, they were not attended by all groups. Vice-principals and some supervisors did not attend evaluation training. 5. The LACOE has been involved in identifying areas for training as well as providing training in technology. 6. HRED certificated personnel goals and objectives include: a. Identify trainers for workshops in certificated employment areas. b. Develop and publish schedules of training areas. c. Conduct training or organize the training for certificated management, new teachers and substitutes. d. Evaluate all training. 90 Personnel Management Assessment and Recovery Plan 7. There is no evidence of evaluation for the in-service programs. Recommendations and Recovery Steps Develop more comprehensive training opportunities for HRED staff, District managers, and supervisors. 1. Include technology training. 2. Utilize services of the LACOE and outside consultants to provide training. The District should continue to establish and publish a district calendar for all in-service pro- grams. 3. Establish in-service needs assessment team to include classified and certificated management and supervisors in the development of the calendar and programs. HRED administrators must evaluate all in-service programs to provide direction for future pro- grams. 4. Assign one administrator responsibility for coordinating all HRED directed training and report results of training to Cabinet-level administrators. Assure full inclusion of staff affected by the training programs presented. 5 . Provide attendance accounting for each training program and report participation to Cabinet-level administrators. Continue involvement in LACOE training. 6. Coordinate training development with HRED and LACOE with evaluation results presented to Cabinet-level administrator. Monitor the training goals and objectives annually. 7. Complete training goals and objectives and report evaluation of all programs to Cabinet-level administrator. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 91 ➤ 0 1 2 3 4 5 6 7 8 9 10 9.2 Staff Training Legal Standard The Superintendent shall make provisions for HRED-directed staff development activities. Education Codes: 52000, 52022, 52034(g) Sources and Documentation 1. Interviews with HRED personnel 2. Management Review and Recovery Plan 1997 (draft document) 3. Interviews with central office department personnel 4. Interviews with district and program personnel 5. 1998-99 goals and objectives, Certificated Personnel. 6. 1998-99 goals and objectives, Classified Personnel. Findings 1. The State Appointed Administrator has made provisions for staff development activities. 2. Funding of $100,000 was made available for classified training including: a. Orientation training and materials. b. Communications. c. Technology 3. A Training Committee has been established for development of the process for training classified groups. The committee consists of: Two Personnel Staff Members, Two LACOE Staff Members, Three Union Representatives Director of Classified Personnel 4. Resources were made available to provide training in the following areas: a. F.R.I.S.K. training b. McGrath Template c. Dealing with Less Than Effective Employees d. Sexual Harassment e. Child Abuse Reporting f. Employee Evaluation g. New Teacher Orientation h. Technology Training I. Blood Borne Pathogens j. Substance Abuse Recommendations and Recovery Steps Continue to provide the necessary resources to continue and augment training programs. 1. Establish a training budget by program and cost to be reviewed annually. Report to State Ap- pointed Administrator and Cabinet-level administrator the results and utilization of funds. 2. Report annual expenses and program evaluation to Cabinet-level administrators. 92 Personnel Management Assessment and Recovery Plan Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 93 ➤ 0 1 2 3 4 5 6 7 8 9 10 9.3 Staff Training Legal Standards Teachers and other professional school services personnel are provided diversity training. Education Code: 44560 Sources and Documentation 1. Education Code 44560 - 44563 2. Interviews with HRED personnel 3. Interviews with central office department personnel 4. Interviews with district and program personnel 5. State Appointed Administrator; Management Review and Recovery Plan (draft document) No- vember 1997 6. 1997-98 goals and objectives for Classified and Certificated Personnel 7. 1998-99 contract with LACOE. Findings 1. One of the standards in the Management Review and Recovery Plan addresses the concerns of the diverse Compton student population. The standard states: “The staff at both the district and site levels openly discuss institutional racism and address the concerns of their diverse population. All administrators and instructional staff are sensitive to language and cultural issues that relate to Compton and the greater Los Angeles area.” 2. The Recovery Plan recognizes the need for additional training in the following areas: a. Sensitivity Training b. Cultural Awareness c. Conflict Resolution This training should involve district and site-level staff. 3. The district has not provided extensive in-service training in the above areas in recent years. 4. A contract with LACOE is in place to cover in-service training for classified employees in: a. Interpersonal communications b. Collaboration and problem solving c. Conflict resolution. Recommendations and Recovery Steps Develop diversity training programs designed to prepare all staff to understand and effectively relate to the history, culture and current problems of Compton students and their environment. 1. Assign appropriate district administrators to develop diversity training programs. 2. Seek and contract with qualified consultants to provide diversity training to all employee groups. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 94 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 9.4 Staff Training Legal Standards The district has adopted policies and regulations regarding the recognition and reporting of sexual harassment. Government Code 12940 Sources and Documentation 1. Government Code 12940. 2. Interviews with central office department personnel 3. Policy 4118.14 (Staff) 4. Regulation 4118.14.1 5. Policy 5131.8 (Student) 6. Regulation 5131.8.1 7. Interviews with HRED personnel 8. Interviews with District and program personnel Findings 1. The district has adopted policies and regulations as required. Recommendations and Recovery Steps Recommend an annual review of Policies and Regulations. 1. Confirm review in the Annual Report. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 95 ➤ 0 1 2 3 4 5 6 7 8 9 10 9.5 Staff Training Professional Standard The district provides training for all management and supervisory staff responsible for employee evalua- tions. Sources and Documentation 1. Interviews with HRED personnel 2. Training document “Dealing with Less Than Effective Employees” dated November 1997 3. F.R.I.S.K. training program materials. 4. McGrath template documentation training materials 5. Interviews with central office department personnel 6. Interviews with District and program personnel Findings 1. The Associate Superintendent of HRED presented a workshop for management staff on the topic “Dealing With the Less Than Effective Employee.” The training session included due process, documentation, progressive communication, and discipline less than dismissal. 2. Steven Andelson, J.D., presented a program on the F.R.I.S.K. documentation model. 3. Mary Jo McGrath, J.D., presented documentation workshops in July 1997 and April 1998 to discuss her SUCCEED system using templates Parts I and II. 4. On numerous occasions, both site and program managers mentioned the value of having a number of training programs during the past year related to employee due process. 5. More training is needed in both certificated and classification processes. 6. A management training advisory committee was established. They met with the LACOE Business Career Development Academy staff about a classified staff development program for the district. This committee included representatives from the district and CSEA. Workshops were planned for managers and supervisors to include development of leadership and supervisory skills as well as coaching, counseling and evaluating employees. Recommendations and Recovery Steps The HRED Division will continue to provide training to managers and supervisors in the area of pro- gressive discipline and due process. 1. Continue to offer managers and supervisors annual training in evaluation and due process. Utilize outside consultants as well as district staff. 2. Continue certificated administrators training in dealing with ineffective employees. 3. Implement training with the LACOE Business Career Development Academy in classified evalua- tion and due process. 96 Personnel Management Assessment and Recovery Plan 4. Prepare a classified and certificated evaluation handbook. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 97 ➤ 0 1 2 3 4 5 6 7 8 9 10 9.6 Staff Training Professional Standard The district provides leadership training in: Interpersonal relationships, effective supervision, conflict resolution, cultural diversity, sensitivity, and team building. Sources and Documentation 1. Interviews with HRED personnel 2. Interviews with central office department personnel Findings 1. There have been no training components to address the areas of interpersonal relations, conflict resolution, cultural diversity, sensitivity, or team building represented or communicated to the Audit Team. 2. There has been some training in effective supervision. Recommendations and Recovery Steps Develop a training component that includes interpersonal relations, conflict resolution, cultural diversity, sensitivity, or team building. 1. Place this training component on the in- service calendar for 1998/99. 2. Utilize the services of outside consultants to provide the training (LACOE). 3. Report results in the annual report. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 98 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 9.7 Staff Training Professional Standard The district develops handbooks and materials for all training components. Sources and Documentation 1. Interviews with HRED personnel 2. End of Year Report 1997/98 Certificated Personnel 3. End of Year Report 1997/98 Classified Personnel 4. 1997-98 goals and objectives, Classified Personnel Finding 1. Handbooks and/or materials have generally been provided to participants in training programs. Recommendations and Recovery Steps Continue to provide handbooks and materials for participants in training sessions. 1. HRED administrators review and revise handbooks and materials annually to assure quality and appropriateness. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 99 ➤ 0 1 2 3 4 5 6 7 8 9 10 10.1 Evaluation/Due Process Assistance Professional Standard The evaluation process is a regular function related to each employee involving criteria relates to the position. Sources and Documentation 1. Certificated Evaluation Report Form (Form 142) dated 10/87 2. Performance Evaluation Report, Permanent Classified (Form 115) dated 04/91 3. Probationary Classified Performance Report (Form 100) dated 05/79 4. Supervisors’ Performance Appraisal (Form 127/undated) 5. Management Performance Appraisal (Form 127a/undated) 6. Administrator Evaluation (new/ undated) 7. Interviews with HRED personnel 8. Interviews with central office department personnel 9. Interviews with district and program personnel 10.Users of Service Interviews Findings 1. The evaluation of employees has received greater importance during the past year. 2. Considerable training was provided this past year by the HRED division to administrators. Train- ing included dealing with the less than effective employee (certificated) presented by the Associ- ate Superintendent of HRED. The District also used the services of Steven Andelson, J.D. to present F.R.I.S.K. Documentation Model and Mary Jo McGrath, J.D. to present her SUCCEED Documentation System. 3. It was reported by many interviewees that while evaluation instruments may be adequate, the process is questionable. Individuals with poor performance are transferred, not all employees are evaluated, and individuals who are placed in temporary positions (sometimes for up to two years) are not required to be evaluated. 4. It was reported that there was little incentive on the part of managers to negatively evaluate employees since there is a likelihood of not getting a replacement employee. 5. It was reported that often unsatisfactory employees are protected by other employees in order to keep them in the district. 6. Employee disciplinary actions are prepared in either the Director of Employer/Employee Rela- tions Office, or by the Associate Superintendent of HRED with all final action moved to the Director’s office. 7. The present chief personnel officer makes himself available and is helpful to principals with discipline problems. 8. The administrator evaluation process includes criteria or skills for which they will be assessed. 100 Personnel Management Assessment and Recovery Plan The skills to be assessed include: a. Problem Analysis b. Judgment c. Organizational Ability d. Decisiveness e. Leadership f. Sensitivity/Human Relations g. Stress Tolerance h. Oral/Written Communication I. Range of Interests j. Personal Motivation k. Educational Values l. Instructional Skills 9. Administrators are evaluated on an annual basis. It was noted that this evaluation form was newly developed. 10. Certificated non-administrative employees are evaluated on the following criteria: a. Pupil Progress b. Instructional Techniques and Strategies c. Adherence to Curriculum Objectives d. Learning Environment e. Adjunct Duties 11. Probationary and temporary certificated employees are expected to be evaluated once each semester. 12. Teaching and non-teaching permanent staff are to be evaluated once every two years. 13. The evaluation form was last revised in August, 1987. 14. Permanent classified employees’ performance evaluation is based on the following criteria: a. Quality of Work b. Quantity of Work c. Work Habits d. Relationships With Others e. Work Attitudes f. Personal Qualities g. Supervisory Abilities (if applicable) 15. Permanent classified employees are to be evaluated annually while probationary employees are evaluated at the end of the second, fourth, and six months of service. This form was last revised in April, 1991. 16. Probationary classified employees’ performance evaluations are rated on the following criteria: a. Personal Appearance b. Quality of Work Personnel Management Assessment and Recovery Plan 101 c. Quantity of Work d. Work Habits and Attitudes e. Dependability f. Relationships With Others g. Supervisory Abilities (if applicable) 17. The form used to evaluate probationary classified employees was last revised in May, 1979. 18. The Supervisor’s Performance Appraisal included the following criteria for evaluation: a. Knowledge of Work b. Dependability c. Quality of Work d. Communication e. Ability to Supervise f. Administrative Ability g. Effectiveness of Supervision h. Relationships With Other People I. Taking Action Independently j. Support of District Goals k. Other Factors 19. The same document which is to be completed by an administrator or director was also titled Management Performance Appraisal. The Supervisors’ instrument was identified as Form 127 while the Management instrument was identified as Form 127a. No adoption or revision dates were recorded. Recommendations and Recovery Steps Develop process and procedure for successful implementation of the evaluation instruments. 1. Develop a classified evaluation handbook for managers and supervisors. Document should be used in training workshops and also as a guide for individual managers and supervisors. 2. Develop a certificated evaluation handbook utilizing many of the same materials provided in November 1997 to administrators responsible for evaluating teachers. 3. Provide annual training to management and supervisory staff regarding appropriate employee evaluation. 4. Continue the training of managers and supervisors in employee due process. 5. Provide training regarding how to conduct employee investigations and appropriately document the process. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 102 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 10.2 Evaluation/Due Process Assistance Professional Standard The board evaluates the superintendent based on pre-approved goals and objectives. Sources and Documentation 1. Interview with State Appointed Administrator 2. Management Review and Recovery Plan, November 1997 Finding 1. The district presently is governed by a State Appointed Administrator who would be evaluated by the State Superintendent of Public Instruction. At present, the district’s Board of Education is only advisory to the State Appointed Administrator. Recommendations and Recovery Steps When the District Board regains the authority to govern the district, it would be important that the Board and the Superintendent set annual goals for which the Superintendent would be held accountable. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 103 ➤ 0 1 2 3 4 5 6 7 8 9 10 10.3 Evaluation/Due Process Assistance Professional Standard Standards for management and supervisors will be developed and implemented to ensure that adequate levels of supervision will be provided at all levels within the district. Sources and Documentation 1. Administrator Evaluation Forms 2. Supervisors’ Performance Appraisal Form 3. Interviews with HRED personnel 4. Interviews with central office department personnel 5. Interviews with District and program personnel 6. Observations and review of materials Findings 1. The Audit Team was presented with a packet of materials used in the evaluation of administrators. Following is the Statement of Purpose: “Evaluation is an ongoing process in which administrators and others are assessed in relation to district goals and philosophy statements, job responsibilities, and performance skills. The primary purpose of an evaluation process is to help individuals improve.” Administrators are expected to submit goals and objectives (Form A) to their supervi- sor for approval and a self-evaluation performance checklist (Form B). Please note that the utili- zation of the self-evaluation form is recommended. After collecting information from Forms A and B, the supervisor completes the Summary Statement (Form C). All forms are then submitted to the personnel office. 2. The administrators’ immediate supervisor’s Summary Statement includes twelve skills or stan- dards to be assessed. 3. The classified Supervisors’ Performance Appraisal process includes eleven areas to be assessed. These areas are referred to as standards. One of the eleven areas specifically addresses effective- ness of supervision. Recommendations and Recovery Steps The district should provide training to all administrators and supervisors regarding the intent, need and expected outcomes in the supervision and evaluation process. 1. Provide training with written guidelines for administrators and supervisors covering the impor- tance of supervision and evaluation of employees. 2. The evaluation form for administrators to include a section regarding the effectiveness of supervi- sion. Personnel office will monitor the evaluation process. The results will be reported to Cabinet. 3. HRED Division Head will report evaluation results to Cabinet annually. 104 Personnel Management Assessment and Recovery Plan Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 105 ➤ 0 1 2 3 4 5 6 7 8 9 10 10.4 Evaluation/Due Process Assistance Legal Standard A clear policy and practice exists for the written evaluation and assessment of certificated employees. Education Code: 44663 Sources and Documentation 1. Collective bargaining agreement between Compton Unified School District and Compton Educa- tion Association (July 1997 to June 2000) 2. “Evaluation Philosophy” document used in training program for certificated administrators (No- vember 1997) 3. Interviews with HRED personnel 4. Interviews with central office department personnel 5. Interviews with district and program personnel Findings 1. The Audit Team was provided with a Certificated Evaluation Report Form to be used for the written evaluation of certificated personnel. This document and the process used can be found in the collective bargaining agreement between the Compton Unified School District and the Comp- ton Education Association. This document addresses certificated teaching personnel. 2. The Audit Team was not provided with a non-teaching evaluation form, but the collective bargain- ing agreement requires such personnel to develop performance objectives comparable to those developed for teachers. 3. The Director of Certificated Personnel is developing a certificated support staff evaluation instru- ment. 4. Certificated administrators were provided with comprehensive training on teacher evaluation in November of 1997. Recommendations and Recovery Steps The Director of Certificated Personnel to continue efforts in the development of a certificated non- teaching evaluation instrument. 1. Develop a certificated non-teaching evaluation instrument. Personnel office to continue to reinforce the importance of clear certificated evaluation practices through the development of an evaluation handbook and corresponding training. 2. Develop a Certificated Evaluation Handbook which covers all aspects of the assessment process. 3. Provide training to certificated administrators covering the evaluation and assessment of certifi- cated employees. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully 106 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 10.5 Evaluation/Due Process Assistance Professional Standard The Personnel Division provides a process for the monitoring of employee evaluations and the account- ability reporting of their completion. Sources and Documentation 1. Certificated evaluation calendar and evaluation log dated September 25, 1997. 2. Interviews with HRED personnel 3. Interviews with central office department personnel 4. Interviews with District and program personnel Findings 1. The evaluation of all personnel has become a district priority this past year. Evaluation monitoring and training of administrators in this important professional responsibility has increased in impor- tance. 2. It was reported to the Audit Team that more has been done to train and assist administrators and supervisors in evaluation and due process this past year than in the previous nine years. 3. Administrators receive reminders from the Personnel Office of those certificated employees in need of evaluations prior to due dates. It was stated that this monitoring has resulted in approxi- mately 97% completion of returned evaluations on time. At the end of the year, the evaluation dates are updated for certificated personnel in the HRS database. 4. The Schools Operation Division monitored the site administrators’ evaluation and forwarded this information to the Director of Certificated Personnel. Any administrator in need of improvement would be referred to the Associate Superintendent of HRED and the State Appointed Administra- tor. 5. Evaluations of non-site administrators are monitored by Division Heads and reviewed by the State Appointed Administrator. 6. The Senior Personnel Analyst monitors the classified evaluation process. Probationary employees’ evaluations are due the second, fourth and sixth months of service. Permanent employee evalua- tions are to take place in April and are to be returned to the Personnel Office by May 15. The Personnel Office provides the names and forms to the managers and supervisors who are to complete evaluations. 7. It was reported that approximately 90% of the classified employee evaluations are completed and returned to the Personnel Office. It was reported that classified evaluation training is needed. 8. Classified employees in temporary positions (working out-of-class, provisional assignments, etc.) are not required to be evaluated. Some temporary personnel have been in positions for more than two years. Personnel Management Assessment and Recovery Plan 107 Recommendations and Recovery Steps The HRED Division Head will be accountable for monitoring all evaluations and sharing results with Cabinet. 1. Cabinet will receive an evaluation summary in July regarding the completion and thoroughness of evaluations submitted to the Personnel Office for all employees. Directors of certificated and classified personnel will provide site and program managers and supervisors with the names of employees to be evaluated, time lines, and any other related infor- mation. 2. The Director of Certificated Personnel will continue to provide the evaluation calendar and log information as a service to administrators. 3. The Director of Classified Personnel will develop and distribute evaluation guidelines and time lines. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 108 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 10.6 Evaluation/Due Process Assistance Professional Standard The Personnel Division has developed an evaluation handbook for management and supervisory train- ing. Sources and Documentation 1. Interviews with HRED personnel 2. Interviews with central office department personnel 3. Interviews with district and program personnel Findings 1. The district at one time had available for its certificated evaluators a handout referred to as “The Rater’s Guide to Performance Evaluation Booklet.” The document was reported to be used in conjunction with certificated evaluation forms. This performance evaluation guide is no longer available. 2. The Classified Personnel Office does not have an evaluation handbook for managers and supervi- sors who evaluate classified employees. The back pages of the classified personnel evaluation instrument provide Techniques of Appraisal for use by the evaluator and evaluatee. The proba- tionary performance report form also has some instructions on the back side of the document. Recommendations and Recovery Steps Develop and distribute a certificated and classified evaluation handbook as part of an annual training program. 1. Prepare a classified evaluation handbook. 2. Prepare a certificated evaluation handbook. 3. Provide in-service training workshops on employee evaluation utilizing the evaluation handbooks. Standard Implemented: Not Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 109 ➤ 0 1 2 3 4 5 6 7 8 9 10 10.7 Evaluation/Due Process Assistance Professional Standard The Personnel Division has developed due process training for managers and supervisors. Sources and Documentation 1. Training document “Dealing With the Less Than Effective Employee” dated November, 1997 2. F.R.I.S.K. training program materials. 3. McGrath documentation templates training. 4. Interviews with HRED personnel 5. Interviews with central office department personnel 6. Interviews with District and program personnel 7. LACOE Academy for Business Career Development Proposal for Staff Development. Findings 1. The Associate Superintendent of HRED presented a workshop for management staff on the topic “Dealing With the Less Than Effective Employee.” The training session included due process, documentation, progressive communication, and discipline less than dismissal. 2. Steven Andelson, J.D. presented a program on the F.R.I.S.K. documentation model. 3. Mary Jo McGrath, J.D. presented documentation workshops in July 1997 and April 1998 to discuss her SUCCEED system using templates Parts I and II. 4. Many site and program managers emphasized the value of having a number of training programs during the past year related to employee due process. 5. More training is needed in both certificated and classified evaluation processes. 6. Recently, a management training advisory committee was established. They met with the LACOE Business Career Development Academy staff about a classified staff development program for the District. This committee included representatives from the District and CSEA. Workshops were planned for managers and supervisors to include development of leadership and supervisory skills as well as coaching, counseling and evaluating employees. Recommendations and Recovery Steps The HRED Division will continue to provide training to managers and supervisors in the area of pro- gressive discipline and due process. 1. Continue to offer managers and supervisors annual training in evaluation and due process. Utilize outside consultants as well as District staff. 2. Continue certificated administrators training in dealing with ineffective employees. 3. Implement training with the LACOE Business Career Development Academy in classified evalua- tion and due process. 110 Personnel Management Assessment and Recovery Plan Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 111 ➤ 0 1 2 3 4 5 6 7 8 9 10 10.8 Evaluation/Due Process Assistance Professional Standard The Personnel Division has developed a process for providing assistance to marginal employees (remediation). Sources and Documentation 1. Interviews with HRED personnel 2. Interviews with central office department personnel 3. Interviews with District and program personnel Findings 1. Numerous interviewees identified the need for additional training in the evaluation process. Too often, marginal or ineffective employees are not evaluated and documented. Marginal employees are often transferred to other sites. Evaluations have been perceived as just a “rubber stamp.” Evaluators are perceived as weak since they provide no follow-up or remediation plans. 2. While efforts have been made recently to deal with marginal employees, much more is needed. It was reported several times that the importance of employee evaluations and the knowledge and skills needed to do meaningful evaluations are lacking. Supervisors must develop adequate knowledge and skill in the evaluation process. 3. There is no standardized program regarding employee remediation plans. Some assistance has been made available from the Personnel Office to site administrators on a case-by-case basis. Recommendations and Recovery Steps Evaluations must be seen as a priority by the administration, starting at the top. If top management places importance on the process, the resources, training and accountability will follow. Proper evalua- tion must include support systems for managers and assistance plans for employees. The district must demonstrate its commitment to the implementation of a comprehensive evaluation process. 1. Provide resources and training to administrators in the evaluation process. When this is in place, remediation plans can be established to assist employees to meet established standards. 2. Develop a remediation plan process to effect change in the marginal teacher. This plan must designate available resource personnel, training opportunities, scheduled reviews, time lines for progress reports, and concluding evaluations with predetermined options. 3. Develop a plan of action to be used with ineffective classified employees. Establish procedures and expected outcomes and apply them consistently. Standard Implemented: Not Implementation Scale: ➤ Not Fully 112 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 11.1 Employee Services Professional Standard The Personnel Division has developed a program for retirement counseling, including: STRS counsel- ing, PERS counseling, and “life after retirement.” Sources and Documentation 1. Interviews with HRED personnel 2. 1997-98 End of Year Report, Certificated Personnel 3. 1997-98 End of Year Report, Classified Personnel 4. Interviews with central office department personnel 5. Interviews with District and program personnel Findings 1. Retirement counseling for classified and certificated retirees is provided by PERS and STRS counselors through the LACOE. 2. Some informal counseling does take place by the HRED classified administrators including “life after retirement.” 3. HRED provided two STRS counseling seminars at District Headquarters. Recommendations and Recovery Steps HRED continue to coordinate retirement counseling with LACOE and establish a calendar for employ- ees wishing to receive counseling. 1. Publish the calendar for employees desiring PERS or STRS counseling. Develop a program where employees can discuss options available to them after retirement, i.e. substituting, part-time work, travel, fishing, etc. 2. Calendar a counseling program date for “life after retirement.” Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 113 ➤ 0 1 2 3 4 5 6 7 8 9 10 11.2 Employee Services Professional Standard The Personnel Division has developed recognition programs for all employee groups. Sources and Documentation 1. Interviews with HRED personnel 2. 1997/98 Year End Report Certificated Personnel 3. 1997/98 Year End Report Classified Personnel 4. 1998/99 Goals and Objectives Certificated Personnel 5. Interviews with District and program personnel Findings 1. The district does not have a formalized recognition program for all employee groups. 2. An attendance incentive program for CEA bargaining unit employees was established for the remainder of the 1998 school year (February to June). Staff was awarded $300 for perfect atten- dance. 3. Retirees are recognized by the district at a Board meeting at the end of the year. 4. Retirees are generally recognized at school sites or job locations. District administrators are often invited to attend. 5. Classified employees are recognized during Classified Employee week by the Classified Person- nel Director. 6. The Day of the Teacher was recognized by Board Resolution. Classified employees and adminis- trators were not recognized by Board Resolutions this year. Recommendations and Recovery Steps Consider options such as a broad based committee involving all employee groups to develop a recogni- tion program as an ongoing activity of the Compton Unified School District. 1. Monitor recognition programs and report results to State Appointed Administrator and Cabinet. 2. Continue attendance incentive program for the 1998/99 school year. 3. Report results to the community and District. 4. Coordinate a District-wide retiree recognition program with all employee groups and organiza- tions. 5. Provide a retiree recognition program for the 1998/99 school year that involves all employee groups in planning, developing and presenting. 6. Continue the classified recognition program. 114 Personnel Management Assessment and Recovery Plan 7. Recognize classified employees and administrators as appropriate by Board Resolution. 8. Evaluate and report results annually in the End of Year report. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 115 ➤ 0 1 2 3 4 5 6 7 8 9 10 11.3 Employee Services Professional Standard The Personnel Division has available to its employees various referral agencies to assist employees in need. Sources and Documentation 1. Interviews with central office department personnel 2. Interviews with district and program personnel 3. Interviews with HRED personnel Findings 1. Employees have available through EASE services provided by the LACOE. 2. Many of those interviewed were unfamiliar with just how referrals are made or how employees might take advantage of the services. 3. The EASE material is posted at school sites and district offices for employee information. Recommendations and Recovery Steps HRED to provide information to all employees on how to use LACOE EASE services. 1. Develop a flyer or newsletter for all employees with information on how to use the service and what it entails. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 116 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 11.4 Employee Services Professional Standard Benefit packages provide employee assistance programs. Sources and Documentation 1. Employee contracts 2. Interviews with HRED personnel Findings 1. Employee assistance is provided to employees through the LACOE EASE services program. Recommendations and Recovery Steps Continue to provide assistance to employees through the LACOE EASE program. Standard Implemented: Fully – Sustained Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 117 ➤ 0 1 2 3 4 5 6 7 8 9 10 11.5 Employee Services Professional Standard Employee benefits are understood by employees through periodic printed communications provided by HRED personnel. Sources and Documentation 1. Interviews with district and program personnel 2. Interviews with HRED personnel 3. Interviews with central office department personnel Findings 1. During the open enrollment period, employees receive written and posted information regarding benefit entitlement. 2. The district Benefits Committee has recently been reinstated in an effort to resolve problems in Risk Management. 3. EASE services are posted in schools and offices as appropriate for all employee groups. Recommendations and Recovery Steps Continue to provide written notification of benefit entitlement and options for all employees. Establish a regular meeting with HRED and Risk Management staff to identify and resolve problems with the benefit programs. 1. Report areas of concern to appropriate administrator for resolution. Monitor employee bulletin boards and offices to assure that EASE notices are posted as appropriate. 2. Assign an appropriate staff person at each site to monitor postings and report completion of postings to an HRED staff person. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully 118 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 12.1 Employee/Employer Relations Professional Standard Salary schedules and benefits are competitive. Sources and Documentation 1. 1997-98 Salary and Fringe Benefit Survey - LACOE, dated June 30, 1998 2. Interviews with HRED Personnel 3. Interviews with central office department personnel 4. Interviews with district and program personnel Findings Certificated Employees 1. In the survey of 47 unified school districts in Los Angeles County, salaries for Compton teachers ranked: a. B.A. with no experience ranked 40th out of 47 districts, $2,541 below the median salary. b. B.A. +28/30 units with no experience ranked 38th out of 40 districts, $3,009 below the median salary. c. M.A. with no experience ranked 32nd out of 34 districts, $2,766 below the median salary. d. Maximum step and column placement, highest salary entry level for an incoming teacher, ranked 34th out of 47 districts, $4,187 below the median salary . e. Maximum step and column placement, B.A. +28/30 units with five years experience, ranked 38th out of 40 districts,$3,902 below the median salary. f. Maximum step and column placement, M.A. only, ranked 34th out of 34 districts, $6,197 below the median salary. g. Maximum step and column placement, maximum excluding incentives, ranked 45th out of 47 districts, $3,658 below the median salary. h. Maximum step and column placement, maximum with 25 years experience excluding other incentives, ranked 47th out of 47 districts, $5,227 below the median salary. i. The maximum annual employer-paid fringe benefit contributions for Compton teachers ranked 34th out of 47 districts, $662 below the median. j. The Compton teacher contractual work year is only 180 days, shorter than most other school districts with 182-184 days. It was reported that there are many teachers who leave Compton after one or two years of teaching and after the district has spent much money to train them, to go to other school districts, many of them in Los Angeles County. 2. In the survey of 47 unified school districts in Los Angeles County, daily salaries for Compton administrators ranked: a. The Elementary School Principal maximum daily salary ranked 44th out of 44 districts, $54.91 per day below the median daily salary. b. The Intermediate School Principal maximum daily salary ranked 45th out of 45 districts, $60.16 per day below the median daily salary. c. The High School Principal maximum daily salary ranked 46th out of 47 districts, $42.41 per day below the median daily salary. 3. Based on the LACOE survey, the 1997-98 salary schedules and fringe benefits for credentialed employees in Compton are not competitive in Los Angeles County. Personnel Management Assessment and Recovery Plan 119 Classified Employees 1. In the LACOE 1997-98 salary survey of 47 unified districts, for classified employees, salaries for classified employees in Compton ranked: a. Instructional Assistant hourly salaries were the lowest beginning amount and ranked 19.5 out of 46 districts at the maximum level. b. Bilingual Instructional Assistant hourly salaries were the lowest beginning amount and ranked 26.5 out of 42 districts at the maximum level. c. Non-Severe Special Education Instructional Assistant hourly salaries were the lowest begin- ning amount and ranked 27.5 out of 40 districts at the maximum level. 2. No other comparative data was presented for classified salary schedules and fringe benefits. 3. From the limited data in the LACOE survey, no conclusion can be drawn as to the competitive- ness of classified salary schedules or fringe benefits. Recommendations and Recovery Steps Develop short-term and long-term goals for salary schedule and fringe benefits improvement. 1. Continue to work with LACOE and comparable school districts to maintain surveys regarding current teacher and administrator salary information, length of work year, fringe benefit packages, etc. 2. Work with LACOE and comparable school districts to complete a survey regarding current classi- fied employee wage information, length of work year, fringe benefit package, etc., using bench- mark positions, i.e. elementary school secretary, instructional assistant, elementary school custo- dian, high school custodian, maintenance worker, business office account clerk, bus driver, etc. 3. Bring the teacher work year into alignment with other school districts as salaries are increased in an attempt to be more competitive. 4. Develop cost analyzes for salary schedule improvement to be considered in relation to dollars available for negotiated salary increases. 5. Establish incentive programs designed to retain new teachers after they have been trained by the District, i.e. re-structuring of the salary schedule, incentive bonuses for additional curriculum development work, etc. Standard Implemented: Not Implementation Scale: ➤ Not Fully 120 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 12.2 Employee/Employer Relations Professional Standard The Personnel Division involves site-level administrators in the bargaining and labor relations decision making process. Sources and Documentation 1. Interviews with HRED Personnel 2. Interviews with central office department personnel 3. Interviews with district and program personnel Findings 1. Prior to annual contract negotiations, the Director of Employer/ Employee Relations sends out a survey form to administrators requesting input for issues to be discussed during the negotiations process, however, there is limited response. 2. District bargaining teams include some district managers, but no site-level administrators. Recommendations and Recovery Steps Increase the involvement of site-level administrators in the bargaining and labor relations decision- making process, including the development of contract modifications. 1. Re-design the annual survey to administrators prior to the contract negotiations into a format which will more effectively elicit the input of site administrators. 2. Hold at least one annual meeting with site-level administrators to elicit input regarding collective bargaining matters prior to the beginning of the bargaining process. 3. Increase the membership of the district bargaining teams to include site-level administrators. 4. Develop an ongoing administrative newsletter which provides information regarding the current status of negotiations during the collective bargaining process. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 121 ➤ 0 1 2 3 4 5 6 7 8 9 10 12.3 Employee/Employer Relations Professional Standard The Personnel Division provides all managers and supervisors (certificated and classified) training in contract management with emphasis on the grievance process and administration. Sources and Documentation 1. Interviews with HRED Personnel 2. Interviews with central office department personnel 3. Interviews with district and program personnel Findings 1. It was reported that district legal counsel and the Director of Employer/ Employee Relations provided training for administrators during the past few years related to contract management, including updates in contract language, the grievance procedure and evaluation process. 2. It was also stated by some administrators that they had not received training in contract manage- ment. 3. The Division has started annual training programs covering various pertinent topics for District administrators. Recommendations and Recovery Steps Continue and expand the training process. 1. Incorporate into the general training program a contract management and grievance process component. 2. Assign site-level administrators and supervisors who serve as members of the district bargaining teams active roles in the in-service training on contract management and the grievance process. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 122 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 12.4 Employee/Employer Relations Professional Standard The Personnel Division provides a clearly defined process for the bargaining with its employee groups (i.e., traditional, interest-based). Sources and Documentation 1. Interviews with HRED Personnel 2. Interviews with central office department personnel 3. Interviews with District and program personnel Findings 1. The district contracts with a law firm to represent it during the course of collective bargaining. 2. Legal counsel is the spokesperson for the district at the bargaining table for all negotiations. 3. Legal counsel represents the district when necessary in the grievance process. 4. Legal counsel reports directly to the State Administrator during negotiations. 5. The District and employee organizations each send representative teams to the table to meet with each other. 6. The process of interest-based bargaining has been explored by some members of the district administration. 7. A system for recording and retaining minutes of bargaining sessions is not firmly established. Recommendations and Recovery Steps During the tenure of the State Administrator, the process used to bargain with employee organizations should be one which most effectively allows the District to continue its recovery. District accounts and recollections of bargaining sessions must be maintained. 1. Appoint a member of each district bargaining team to be the recorder to take minutes at each bargaining session. Minutes should be permanently retained in the Office of Employer/Employee Relations. 2. Once decision-making authority is returned to the Board of Trustees, the Division should explore other models of bargaining, i.e. interest-based methods. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 123 ➤ 0 1 2 3 4 5 6 7 8 9 10 12.5 Employee/Employer Relations Professional Standard The Personnel Division has a process in place that provides management and the Board of Education with information on the impact of bargaining proposals (i.e., fiscal, staffing, management flexibility, student outcomes). Sources and Documentation 1. Interviews with HRED Personnel 2. Interviews with central office department personnel 3. Documents from the Personnel Division and Business Division regarding the fiscal impact of negotiations proposals, dated 6/18/98, 7/29/98, and 8/13/98 . Findings 1. Legal counsel/district negotiator relies upon information compiled by district administrators to use in negotiations. 2. The Associate Superintendent/HR requests information from the Associate Superintendent/Busi- ness Services on the fiscal impact of negotiation proposals. 3. The Office of Employer/Employee Relations collects information regarding the impact of bargain- ing proposals and directs the information to the State Administrator. 4. The Business Office is responsible for preparing all information to comply with AB 1200 require- ments as to the fiscal impact of negotiated agreements. Recommendations and Recovery Steps Refine the process used to determine the impact of bargaining proposals. 1. Establish ongoing meetings between the Human Relations and Employee Development Division and Business Division to examine how information regarding the fiscal impact of negotiations proposals could be developed more efficiently. 2. Once decision-making authority is returned to the Board of Trustees, the Division should provide regularly scheduled closed session updates to the Board and Superintendent on the various im- pacts of all negotiating proposals. Standard Implemented: Fully – Substantial Implementation Scale: ➤ Not Fully 124 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 12.6 Employee/Employer Relations Professional Standard The Personnel Division provides clearly defined forms and procedures in the handling of grievances for its managers and supervisors. Sources and Documentation 1. Grievance Form/Certificated (dated 1/92) 2. Grievance Form/Classified (dated 1/92) 3. Interviews with HRED Personnel 4. Interviews with central office department personnel 5. Interviews with District and program personnel 6. Collective bargaining agreement between District and Compton Education Association, July 1, 1997-June 30, 2000 7. Collective bargaining agreement between District and California School Employees Association, July 1, 1996-June 30, 1999 8. Collective bargaining agreement between District and Compton Supervisory Employees Union, 1996/1997- 1997/1998-1998/1999 9. Classified Employees Handbook (dated 1987) 10. Draft Agreement, Police Officers unit, dated 11/15/96 Findings 1. The major collective bargaining agreements contain clear, detailed procedures pertaining to the grievance process. 2. Only the grievance form for classified employees has the grievance procedures printed on the reverse side. 3. The Director of Employer/Employee Relations is the appointed administrator to answer questions from district managers and supervisors regarding issues arising under the grievance procedures. 4. District legal counsel assists the district in the handling of grievances when necessary. 5. There is a draft of an agreement between the district and the Police Officers unit, however it was never executed. 6. There is no evidence of in-service for new managers and supervisors regarding the grievance procedures. Recommendations and Recovery Steps Continue, expand and update the current forms used for processing grievances. 1. Establish an ongoing committee, comprised of administrators and supervisors who have been on the district bargaining teams, to act in an advisory role to the Director of Employer/Employee Relations on grievance matters. 2. Review the existing grievance forms and make necessary changes to comply with the language of the current bargaining agreements, particularly the procedures printed on the reverse side of the Personnel Management Assessment and Recovery Plan 125 classified grievance form. 3. Provide training to all new managers and supervisors on the grievance procedures. Standard Implemented: Partial Implementation Scale: ➤ Not Fully 126 Personnel Management Assessment and Recovery Plan ➤ 0 1 2 3 4 5 6 7 8 9 10 12.7 Employee/Employer Relations Professional Standard Collective bargaining proposals are “sunshined” appropriately to allow public input and understanding of the cost implications and, most importantly, the effects on the children of the district. Source(s) and Documentation 1. Interviews with HRED Personnel 2. Interviews with central office department personnel 3. A document listing Board Agenda dates and the sunshining of union and district contract propos- als, from April 1996 through September 1998 Findings 1. Initial collective bargaining proposals by employee organizations are presented at public meetings in accordance with PERB rules. 2. Initial collective bargaining proposals by the district are presented at public meetings in accor- dance with PERB rules. 3. AB 1200 requirements for posting of the calculations and budget impact of negotiated agreements with employee organizations are the responsibility of the Business Office. 4. There was no evidence of a process, other than notice on the Board agenda, whereby parents and community members are specifically invited to examine collective bargaining proposals which may have an impact on the children in the district. Recommendations and Recovery Steps Continue and expand the practices of sunshing the collective bargaining proposals. 1. Establish a process which would actively involve parents and community members in examining collective bargaining proposals, allowing them to evaluate the impact on students, parents and/or the community. Standard Implemented: Partial Implementation Scale: ➤ Not Fully Personnel Management Assessment and Recovery Plan 127 ➤ 0 1 2 3 4 5 6 7 8 9 10