Comprehensive Review

Vallejo City Unified School District Assessment and Improvement Plan Chief Executive Officer Joel D. Montero 1300 17th Street – City Centre Bakersfield, CA 93301-4533 Telephone .............661-636-4611 Fourth Progress Report Fax .............................661-636-4647 Web site ..............www.fcmat.org January 25, 2007 422 Petaluma Blvd. North, Suite C Petaluma, CA 94952 Telephone .............707-775-2850 Fax .............................707-775-2854 Administrative Agent Larry E. Reider Office of Kern County Superintendent of Schools Vallejo City Unified School District Assessment and Improvement Plan Fourth Progress Report January 25, 2007 Submitted by Fiscal Crisis & Management Assistance Team Executive Summary Executive Summary Introduction This report, dated January 25, 2007, is a progress report of the Vallejo City Unified School District, monitoring the district’s progress in addressing the recommendations in the Vallejo City Unified School District Assessment and Improvement Plan, issued on November 1, 2004 by the Fiscal Crisis and Management Assistance Team (FCMAT). Senate Bill 1190 (Chapter 53, Statutes of 2004) authorized an emergency state loan to the district of $60 million; the appointment of a State Administrator to govern the district; the comprehen- sive assessment and the development of an improvement plan in the operational areas of Com- munity Relations/Governance, Personnel, Pupil Achievement, Finance and Facilities; and three six-month progress reports monitoring the progress of the district in implementing the recom- mendations in the improvement plans. Since SB 1190 provided authorization for only three six-month progress reports through May 2006, language was included in the 2006 State Budget Act authorizing FCMAT to utilize any of its own unexpended balances to conduct this January 2007 progress report for the district. These progress reports provide data to the district, community and legislature to assist the district in achieving fiscal solvency, building capacity within the district to promote student learning, and working toward the return of local governance to the governing board of trustees. The initial Assessment and Improvement Plan issued in November 2004 provided an assessment of the district in the five operational areas of community relations and governance, personnel management, pupil achievement, financial management, and facilities management, utilizing 415 professional and legal standards of school district operations. Each standard was evaluated on a scale of 0 (not implemented) to 10 (fully implemented and sustained) as to the degree of implementation. The ratings provided baseline data of the district’s status at that point in time in meeting the standards, and recommendations were developed by the FCMAT review teams for use as a basic improvement plan for successfully addressing the standards. In collaboration with the California Department of Education and the State-appointed Adminis- trator, FCMAT subsequently identified a subset of standards in each operational area for the dis- trict to address to return to local governance. These standards were selected as having the most probability, if successfully implemented, of assisting the district with recovery. It was agreed that an identified subset of 129 of the original 415 standards would become the focus of the ongoing six-month progress reviews. Selecting a smaller subset of standards enables the district to focus its efforts and more quickly achieve a return to governance. Criteria for the return of powers were also established to indicate the level of progress substantial enough for a recommendation to be made to the Superintendent of Public Instruction for the incremental return of governance of an operational area to the Vallejo City USD Governing Board. Additional information on the identified subset of standards and the established criteria can be found in another section of the executive summary of this report. Executive Summary  FCMAT issued the first six-month progress report on May 1, 2005. The district requested that the two subsequent six-month progress reports be issued at the end of November and May instead of on the first of the month so as not to impede the district’s efforts to open the 2005 school year efficiently. FCMAT and the California Department of Education concurred with this request, so the second six-month progress report was issued on November 30, 2005 and the third report authorized by SB 1190 was issued on May 31, 2006. This follow-up progress report is authorized by language in the 2006 State Budget Act that enables FCMAT to fund a progress report for the Vallejo City USD. There is no required issue date for the report, and the report issue date was agreed upon by the district, the CDE and FCMAT. FCMAT assessment teams conducted on-site fieldwork in the district in October and November 2006, meeting with staff, parents and community and board members, preparatory to issuing this progress report. The continuation of the assessment and monitoring process by FCMAT in the future may be commissioned by the district or required by new legislation.  Executive Summary Background Senate Bill 1190, which was signed into law on June 21, 2004, required the Superintendent of Public Instruction (SPI) to assume all the legal rights, duties and powers of the Governing Board of the Vallejo City Unified School District (VCUSD) and to appoint, in consultation with the Solano County Superintendent of Schools, an administrator to act on his behalf in exercising authority over the school district. The bill appropriated $60 million as an emergency loan to the Vallejo City USD, and authorized the school district to sell property owned by the district and use the proceeds from the sale to reduce or retire the emergency loan. The bill, except as speci- fied, required the school district to bear the costs associated with the implementation of the bill’s provisions, and prohibited the district from being eligible for financial hardship assistance under the Leroy F. Greene School Facilities Act of 1998 from June 2004 through June 2006. The bill further authorized the Fiscal Crisis and Management Assistance Team (FCMAT) to conduct comprehensive assessments and develop improvement plans for the Vallejo City Unified School District in five major operational areas: community relations/governance, pupil achieve- ment, personnel management, fiscal management, and facilities management. It was the intent of the Legislature that the governing board, staff and community of Vallejo City USD fully par- ticipate in this assessment and improvement process. The improvement plans referenced under Education Code section 41327.1(b) are distinct and unique from the recovery plans required by the Superintendent of Public Instruction (SPI) and referenced under Education Code section 41327 (a)(1)(2). Assembly Bill 2756 (Chapter 52, Statutes of 2004), which was signed into law on June 21, 2004, made substantive changes to the provisions governing the existing law that provided emergency apportionments for school districts that have become insolvent. As AB 2756 preceded SB 1190, the district is subject to the changed provisions. One of the changes included Section 41328 of the Education Code, which was amended to read, “The qualifying district shall bear 100% of all costs associated with implementing this article, including the activities of the County Office Fiscal Crisis and Management Assistance Team or regional team.” The district drew down $50 million of the $60 million state loan authorized by SB 1190 on June 23, 2004, within two days of the signing of the legislation. A state administrator was appointed by the Superintendent of Public Instruction on June 23, 2004 and started full-time in the district in July 2004. The state administrator assembled a team of several individuals with expertise to assist in the district’s improvement efforts and to serve as a leadership cabinet. The district has been under state receivership for two-and-a-half years, as of this report writing. Executive Summary  Study Guidelines FCMAT’s approach to implementing the statutory requirements of SB 1190 is based upon a commitment to a standards-based, independent and external review of the Vallejo City Unified School District’s operations. FCMAT performed the initial assessment of the district and devel- oped the improvement plan in collaboration with three other external providers selected through a competitive process. Professionals from throughout California contributed their knowledge and applied the identified legal and professional standards to the specific local conditions found in the Vallejo City Unified School District. The initial assessment, entitled Vallejo City Unified School District Assessment and Improvement Plan, November 1, 2004, was presented to the district on November 1, 2004. The same teams of professionals have continued to assist FCMAT with the May 1, 2005, the November 30, 2005, the May 31, 2006 and this January 25, 2007 progress reports for the district. Prior to beginning work in the district, FCMAT adopted five basic tenets to be incorporated in the assessment and improvement plans. These tenets were based on previous assessments conducted by FCMAT in school districts throughout California and a review of data from other states imple- menting external reviews of troubled school districts. These tenets formed the basis of FCMAT’s work in the district. The five basic tenets are: 1. Use of Professional and Legal Standards FCMAT’s experience indicates that for schools and school districts to be successful in program improvement, the evaluation, design and implementation of improvement plans must be stan- dards-driven. FCMAT has noted positive differences between an objective standards-based approach versus a nonstandards-based approach. When standards are clearly defined, reachable, and communicated, there is a greater likelihood they will be measured and met. In order to participate in the process of the Vallejo City Unified School District review, potential providers responded to a Request for Applications (RFA) that identified these standards as the basis of assessment and improvement. Moreover, the providers were required to demonstrate how the FCMAT-identified standards would be incorporated into their work. It is these standards on which the improvement plans for the Vallejo City Unified School District were based. The standards, while identified specifically for the Vallejo City USD, are benchmarks that could be readily utilized as an indication of success for any school district in California. Every standard was measured on a consistent rating format, and each standard was given a scaled score from zero to 10 as to its relative status of completeness. The following represents a defini- tion of terms and scaled scores. The single purpose of the scaled score is to establish a baseline of information by which the district’s future gains and achievements in each of the standard areas can be measured. Not Implemented (Scaled Score of 0) There is no significant evidence that the standard is implemented.  Executive Summary Partially Implemented (Scaled Score of 1 through 7) A partially implemented standard lacks completeness, and it is met in a limited degree. The degree of completeness varies as defined: 1. Some design or research regarding the standard is in place that supports preliminary development. (Scaled Score of 1) 2. Implementation of the standard is well into the development stage. Appropriate staff is engaged and there is a plan for implementation. (Scaled Score of 2) 3. A plan to address the standard is fully developed, and the standard is in the beginning phase of implementation. (Scaled Score of 3) 4. Staff is engaged in the implementation of most elements of the standard. (Scaled Score of 4) 5. Staff is engaged in the implementation of the standard. All standard elements are developed and are in the implementation phase. (Scaled Score of 5) 6. Elements of the standard are implemented, monitored and becoming systematic. (Scaled Score of 6) 7. All elements of the standard are fully implemented, are being monitored, and appropriate adjustments are taking place. (Scaled Score of 7) Fully Implemented (Scaled Score of 8-10) A fully implemented standard is complete relative to the following criteria. 8. All elements of the standard are fully and substantially implemented and are sustainable. (Scaled Score of 8) 9. All elements of the standard are fully and substantially implemented and have been sustained for a full school year. (Scaled Score of 9) 10. All elements of the standard are fully implemented, are being sustained with high quality, are being refined, and have a process for ongoing evaluation. (Scaled Score of 10) 2. Conduct an External and Independent Assessment FCMAT employed an external and independent assessment process in the development of the Vallejo City Unified School District assessment and improvement plans. FCMAT’s reports rep- resent findings and improvement plans based on the external and independent assessments from various professional agencies. The following agencies assisted in the November 1, 2004 compre- hensive Assessment and Improvement Plan, the May 1, 2005 First Six-Month Progress Report, the November 30, 2005 Second Six-Month Progress Report, the May 31, 2006 Third Six-Month Progress Report, and this January 25, 2007 Fourth Progress Report. • California School Boards Association (CSBA) – Community Relations/Governance • Community Training and Assistance Center (CTAC) – Pupil Achievement • School Services of California (SSC) – Personnel Management • School Services of California (SSC) – Facilities Management • Fiscal Crisis and Management Assistance Team (FCMAT) – Financial Management Collectively, the three professional agencies that assisted FCMAT constitute FCMAT’s providers in the assessment process. The external and independent assessments of FCMAT and its provid- ers serve as the primary basis for the reliability, integrity and credibility of the review. Executive Summary  3. Utilize Multiple Measures of Assessment For a finding to be considered legitimate, multiple sources need to be utilized to provide the same or consistent information. The assessments and improvement plans were based on multiple mea- sures. Testing, personal interviews, group meetings, public hearings, observations, review and analysis of data all provide added value to the assessment process. The providers were required to utilize multiple measurements as they assessed the standards. This process allowed for a vari- ety of ways of determining whether the standards were met. All school district operations with an impact on student achievement, including governance, fiscal, personnel, and facilities were reviewed and included in the improvement plan. 4. Empower Staff and Community The development of a strong professional development plan for the board and staff is a critical component of an effective school district. All FCMAT reports include the importance of a comprehensive professional development plan. The success of the improvement plans and their implementation are dependent upon an effective professional development process. For this reason, the empowerment of staff and community is one of the highest priorities, and emphasizing this priority with each of the partners is critical. As a result, a strong training component for board, staff and administration is called for consistently throughout the report. Of paramount importance is the community’s role of local governance. The absence of parental involvement in education is a growing concern nationally. A key to success in any school district is the re-engagement of parents, teachers, and support staff. Parents care deeply about their children’s future and most want to participate in improving the school district and enhancing student learning. The community relations section of the reports provides recommendations for the community to have a more active and meaningful role in the education of its children. 5. Engage Local, State and National Agencies It is critical to involve various local, state and national agencies in the recovery of the district. This was emphasized through the Request for Applications (RFA) process, whereby state- recognized agencies were selected as partners to assist with the assessment and improvement process. The city and county, professional organizations, and community-based organizations all have assisted and participate in the improvement of the Vallejo City Unified School District.  Executive Summary Study Team The study team was composed of the following members: For the Fiscal Crisis and Management Assistance Team – Administration and Report Writing Roberta Mayor Laura Haywood For the California School Boards Association – Community Relations/Governance Scott Plotkin Marge Peterson Ben Bartos Dan Walden Martin Gonzalez Diane Greene Holly Jacobson For the Community Training and Assistance Center – Pupil Achievement Maribeth Smith Sara Accornero Barbara Helms For School Services of California – Personnel Management Sheila Vickers Deberie Gomez For the Fiscal Crisis and Management Assistance Team – Financial Management Michelle Plumbtree Barbara Dean Anthony Bridges Michele McClowry Phil Scrivano For School Services of California – Facilities Management Ron Bennett Maureen Evans Executive Summary  Summary of Principal Findings and Recommendations This report provides an in-depth review of the current status of the Vallejo City Unified School District’s progress in addressing the recommendations of the identified subset of 129 professional and legal standards used to assess the district. The following is a summary of the principal findings that are presented in greater detail in later sections of this report. This January 25, 2007 Progress Report represents data collection and analysis at a specific point in time. FCMAT review teams visited the district in October and November 2006. This report was distributed to the Vallejo City Unified School District and the Superintendent of Public Instruction on January 25, 2007. This report continues the assessment and monitoring process begun in 2004 to assess the district’s readiness to reassume local governing authority. Areas of District Improvement The district has worked to implement the recommendations in the identified subset of standards in the Assessment and Improvement Plan. The district has continued to make progress over the two year period in the operational areas assessed. Two of the five operational areas, Community Relations and Governance and Pupil Achievement, have met the established criteria of an average rating in the operational area of 6.0 on a scale of 10, with no individual standard rated less than a 4.0. The area of Personnel Management has made significant improvement in the last few months and is close to meeting the established criteria. FCMAT recommends to the Superintendent of Public Instruction (SPI) that the two operational areas of Community Relations/Governance and Pupil Achievement have met the established criteria for a return to local board governance. The district has made positive gains in several areas as noted below. 1. Initial FCMAT reports indicated that there were few established procedures sup- ported by written documentation in any of the five operational areas. The district has been updating board policies and operating procedures on an incremental basis to provide the necessary operational guidance for staff. All board policies need to be made current as soon as possible. 2. The district continues to maintain a strong focus on improving student achievement in the district and addressing the needs of the lowest performing students. Several research-based instructional strategies have been implemented by the district to ad- dress the issues of underachievement and equal access. The number of students per- forming at proficient and above on the California Standards Test in English language arts and mathematics has increased. Significant staff development has been provided and the voluntary participation of teachers and principals has been high. Processes have been developed in the area of student support services to regularly review stu- dent attendance, suspension, and expulsion data. 3. The district closely monitors student enrollment and attendance data. The recruit- ment of teachers for the new school year is well defined, as the district uses student data to develop master schedules and determine the staffing required at the sites. The  Executive Summary district is making necessary staffing adjustments for the continuing decline in stu- dent enrollment. 4. The climate in the district remains positive. The administration continues to maintain open communication and access to information. Good working relationships have been maintained between the advisory board and the state administrator, between management and staff, and between the district and the community. 5. Outreach efforts to involve the community in school issues and decision-making are ongoing. The administration provides increased and timely communication to both staff and the community, and conducts several community forums each year to provide information, obtain community input, and respond to concerns. 6. In determining the best use of its sites, the district moved its district offices in fall 2006 to a new location acquired on Mare Island, transferred students from Farragut Elementary to the newer, larger Mare Island Elementary campus in fall 2005 and intends to relocate its adult education program from McKinley School to the Far- ragut campus when the McKinley site is sold or leased. The district identified its surplus properties and is determining the income streams possible from these surplus properties. In July 2006, the district sold its Rollingwood property for a minimum of $17.5 million, which could increase to $22.5 million, proceeds of which will help to pay down the state emergency loan. The district has made a smaller increase in the average rating in the area of Financial Manage- ment. The district has made numerous improvements in the finance area since 2004: more ac- curately forecasting enrollment and student attendance; hiring an internal auditor, a payroll supervisor, and reassigning the work load in the business office; documenting many processes and procedures in procedural manuals and providing training to staff; and establishing more ef- fective internal controls for business functions. The district has begun to use a multiyear budget projection software tool that will be beneficial in helping the district to more accurately project its revenues and expenditures for the current year and two subsequent years. Financial areas for the district to address include continued improvements in budget development and monitoring, and cash management. Although multiyear projections are submitted at the statutory times, the data is not complete enough for use in planning. The district has not provided specific information in the projection assumptions, such as future enrollment/ADA estimates, teacher staffing, step and column, changes in property and liability insurance, workers’ compensation and utilities. The MYP is helpful only if it is detailed and includes complete assumptions for future years. Due in large part to declining enrollment, the district’s goal to adopt a balanced budget in 2007- 08 with the required 3% reserve for economic uncertainties cannot be met without increased revenues or decreased expenditures. Based on current district projections, a combination of changes in revenue streams and material reductions in expenditures will be required. The district also needs to forecast and verify revenue and expenditure budgets monthly in order to adequately manage its cash flow. The current year budget should be compared to the prior year actuals for reasonableness and updated to include any new information. Executive Summary  A summary of the findings of the review teams’ onsite visits for this January 2007 report follows on the next few pages. Greater detail is provided for each of the identified 129 standards in the later sections of this report dealing with each of the five operational areas. 0 Executive Summary Community Relations/Governance Communications Vallejo has effectively implemented many of the plans set forth in the district’s strategic communications plan. The district’s call-out telephone messaging system continues to be used to keep parents informed, and training for principals has been conducted to make the messages more succinct and effective. The practice of holding community forums has continued, allowing for two-way communication and engagement with the public. The district has made efforts to provide Spanish language translation and audio amplification at more meetings. The district’s Web site is a valuable tool that is easy to navigate. However, plans must be implemented to complete all areas of the site that are still under construction and ensure that the site is fully functional. The district policy on media relations has been implemented and appears to be followed consistently. Press briefings have continued. Staff at the district office continues to play a leading role in coordinating and supporting the sites in their communication efforts. The responsibility for these communication initiatives is an important part of district operations, and additional staff capacity must be developed to sustain these efforts. Parent/Community Relations The district has held additional community forums to engage community and staff members and provide information to parents. The district has heightened the use of telephone call-out messages to reach parents. The district is working to further engage established parent groups and community associations as a means of building additional parent support. The membership of the board includes two members elected in November 2005. All members of the board appear to be fully engaged in building relationships in the community. The board’s public commitment to community and parent outreach has been a positive step, demonstrating its desire to regain governing authority of the district. The district has also made efforts to anticipate and prevent problems before they occur, and as a result, more complaints appear to be resolved without requiring escalation to the district office. Community Collaboratives, District Advisory Committees, School Site Councils The district has continued its positive relationships with partners in the community, including organizations, agencies, businesses, neighborhood groups and the faith community. The members of the board serve as liaisons to particular groups, including the city of Vallejo, the Vallejo Chamber of Commerce, local Realtors, the Solano County School Boards Association, and the Omega Boys and Girls Club. District staff plans to engage the public and the community through a comprehensive survey to determine attitudes about the district. Policy While the district has made steady progress in policy adoption, the timeline for a comprehensive review of the full district policy manual must be accelerated. The district’s advisory board and state administrator developed, reviewed, adopted and affirmed 11 new policies in the six months prior to the team’s visit, addressing student wellness, employee safety, promotion and retention, and program evaluation. The district’s methodical process of policy review is positive, but the efforts must be undertaken more quickly. The district might consider adopting the CSBA sample policies and then customizing the policies to reflect local district custom, practice and need. This would also provide a structure to clarify and simplify the policy numbering system and indexing on the district Web site. Executive Summary  Board Roles/Boardsmanship Two new members of the Vallejo City USD board were sworn into office in the last year. District office staff and board members report that they continue to work well together. All members of the board understand that the current role of the board is to advise, not to govern. The board appears fully engaged and supportive of the district’s vision and mission, and continues to support the district’s five key goal areas. Improving the achievement of lower-performing students remains a top goal. Additionally, board members have continued to implement strategies to increase community involvement in Vallejo’s schools. Board Meetings The district’s board meetings continue to explicitly link to issues of student achievement. Budgetary issues and the fiscal recovery plan continue to be a significant part of board discussions. Additional training on budget matters and enrollment projections have occurred during board meetings. The recognition of community members who support the district and/or the schools has become a routine part of board meetings. Board members continue to react positively to the level of information they receive before meetings, expressing satisfaction with the data and analysis provided, and they appreciate the access to meaningful background information. The board recognizes that reviewing such data is a part of its oversight role. In Summary The review of Community Relations and Governance included the assessment of a selected subset of 17 professional and legal standards of performance. The average rating of this subset of 17 standards, on a scale of 1 to 10, with 10 the highest score possible is as follows: November 2004 3.35 May 2005 4.24 November 2005 5.24 May 2006 5.94 January 2007 6.88 None of these 17 standards has a rating below a 4. FCMAT recommends that the Superintendent of Public Instruction consider the return of this operational area to local board governance.  Executive Summary Personnel Management There are 35 priority standards in the operational area of Personnel Management. Between August and mid-October 2006, the Human resources department reviewed, revised, and updated each of the action plans developed to address these standards. In addition, the department created a binder system where documented progress on each standard is stored and retrieved. There has been significant progress on the standards since the last review, with many of them nearly at the systemic level. Organization and Planning Eight new or revised board policies affecting personnel operations, such as the delivery of services, roles, processes for employment, and employee discipline and dismissal, have been affirmed by the Governing Board. The district is continuing its overall efforts to review and revise policies, and HR has identified the next set of personnel policies to undergo this process. A new position of HR Operations Manager was created and filled to oversee operational functions such as recruitment, credentialing, and the technical procedures associated with hiring. A new HR technician position was created and filled to help address the department workload and to back up the Credentials Technician. A new, current organization chart exists, with one version containing a list of the backup positions/people for each HR position. A directory and functional list accompanies the organization chart. Each staff member, including each manager, has a desk manual that is dynamic and is revised and expanded as appropriate. Individuals new to the department in positions that were formerly held by others found the desk manuals to be an excellent training tool as they learned the job. The Annual Calendar has been extensively revised and the monthly activities have been divided into categories: Governance, Contractual (CEA/CSEA), Departmental Leadership, and Operations. Staff now articulate their use of the calendar as a time management and planning tool, as well as a user-friendly way to know what challenges their HR colleagues have. Internal and External Communications Since the last review, the district completed the redesign of its Web presence, and departments, including HR, have begun posting information. HR has posted its department directory, job openings, and other information on the Web site for public use. The district has also posted collective bargaining contracts, salary schedules, employee forms, and other information pertinent for internal use by employees only by using the StaffNet portion of the Web site. The physical layout of the department has improved with the district office’s move to the new district office building in November 2006. Meetings of the HR management team, the HR department, and HR and Payroll occur regularly. The new operations team meets weekly. These meetings include review of the department’s Annual Calendar and long-term projects, improving processes and focusing on customer service. Executive Summary  Employee Recruitment and Selection Teacher recruitment was vastly improved for the 2006-07 school year. A recruitment team of 23 site administrators, teachers, and HR directors was identified and trained. Seven job fairs were identified, including one that targeted potential special education teachers. A program of school visits for new recruits was established. The district allocated a budget of $25,000 for recruitment and marketing. Staff reported that the district experienced the best school opening in memory. The first annual recruitment report, Horizontal Alignment Report and Plan for Recruitment, was prepared in May 2006. The report included a chart of results for each spring job fair, the number of applicants, the source of the applicants, and a chart of the roles of Human Resources and Academic Achievement and Accountability and others in recruitment and hiring. Operational Procedures Job descriptions have been redesigned with a consistent format, and a temporary employee is finalizing the drafts of all job descriptions. These drafts will be reviewed by the managers of the work units, and then completed and placed on the district’s Web site. In anticipation of the 2006-07 school year, the district reconfigured its course offerings and schedules at the high school level, necessitating changes in staffing. The process of staffing schools for the new year was handled through the horizontal alignment process, involving HR, curriculum staff and others working together to determine staffing needs, implement the recruitment process, and balance the staffing allocations against budget and position control. The district has prepared detailed procedures for this staffing and recruitment process and trained the staff members involved so that the process can continue to be followed each year. Use of Technology The district’s core financial and HR system resides on two different platforms and is not integrated. This requires duplicate data entry and manual reconciliations. The district needs to continue to pursue with the county upgrades to the CECC system so that all modules are integrated. In addition, the district is looking to the consortium to provide modules to automate personnel requisitions, employee leave usage, and other critical functions. HR is planning to convert its spreadsheet-based applicant tracking system to a Web-based system through EdJoin. This will serve to improve the reliability of applicant data and the management reporting. HR generated a second set of Notices of Assignment (NOAs), issued to all employees through the school sites and departments. The NOAs were issued before the first paycheck of the year, and were required to be signed and returned to HR as a way of verifying the information. This is a process that HR should continue to follow each year as a way of verifying employee data and assignments. The district has decided to implement the SmartFind Express which will require all employees to report absences to the system. The system will provide an interface to the CECC system so that absence reporting and substitute time will automatically be fed to the payroll system.  Executive Summary Evaluation and Due Process Using the CECC system, employee evaluations for both certificated and classified staff are moni- tored and the evaluation data are maintained. Lists of employees to be evaluated are sent to man- agers, and reminder memos ensure that the process continues. HR has been providing managers with both certificated and classified evaluation training, and recently completed a handbook, a School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. Employer/Employee Relations Since the district in 2005 achieved closed contracts with its bargaining units until 2008, most of the current activity consists of monthly communications meetings with the units. These meetings are a forum to discuss current and upcoming events and issues to keep the lines of communication open and to avoid unnecessary adverse effects on serving the district’s student population. A number of grievances continue to be filed, and HR has been providing training to the Leadership Team on how to address them. HR has included steps in its Annual Calendar to ensure that procedures are followed for initiating the collective bargaining process. Refresher training on the collective bargaining process should be provided when the district and its units embark on collective bargaining when the current three-year contracts expire. In Summary The review of Personnel Management included the assessment of a selected subset of 35 professional and legal standards of performance. The average rating of this subset of 35 standards, on a scale of 1 to 10, with 10 the highest score possible, is as follows: November 2004 1.34 May 2005 2.51 November 2005 2.74 May 2006 4.26 January 2007 5.74 None of these 35 standards has a rating below a 4. Executive Summary  Pupil Achievement Overview of the Reform The comprehensive assessment of pupil achievement in the Vallejo City Unified School District (Nov. 1, 2004) found “a lack of direction from the central office, little accountability and follow through, and insufficient data to track students or the work of adults” in the school system. Two years later, the results of central leadership direction are evident in the degree of standards implementation; the alignment of standards to formative and summative assessments of student achievement; the purchase of aligned textbooks and materials; the intensive program of teacher and principal training; and the work to improve access to standards-based curriculum for all students. Over the two-year period, the average number of students performing at proficient and above on the California Standards Test (CST) in English language arts and mathematics shows an upward trend, though performance varies by grade level and subgroup. The district experiences some of the complexities of large urban school districts, so gains in performance may be slow. However, district staff understands the importance of staying on course and continuing to mount the essential systemic reforms needed to support students and teachers in the classrooms. In 2005-06, the district was identified for Program Improvement (PI), which initiated a School Assistance and Intervention Team (SAIT) audit and a written corrective action plan by an outside agency. This plan contains the essential reform components for the K-12 program, which match many of the 23 FCMAT standards and the actions already in progress in the district. The Role of Instructional Leadership Instructional leadership know-how has been crucial to the success of standards-based reform in the district. Systemic reform can be initiated in many ways. However, it is a powerful choice to initiate change at the heart of the system—student achievement—with a focused selection of high-leverage strategies, in this case, standards implementation with common assessments, aligned texts and pacing guides, and teacher collaboration time. Using scarce resources of time and funds well, the district has continued to move the system into alignment: (a) a monitored system for AB 466 and AB 75 training for teachers and principals that includes special education and English learner teachers; (b) a significant level of expert coaching assistance by teacher leaders and reform coaches who are based in the school but play a seminal role in initiative planning and evaluation at the district level; (c) clarification of the role of categorical programs in supporting the success of students in the core curriculum, including the role of the resource specialist; (d) initiation of processes in the elementary and secondary schools to address the district’s diversity of learners and increase the access of all students to the core curriculum; and (e) the alignment of principal and teacher supervision and evaluation with district goals. The Academic Achievement and Accountability (AAA) division has shown a willingness to evaluate, make mid-course corrections, and to reinvent as needed. The agenda has been open and transparent with participant input. Formal interviews, informal talks, and observations demon- strate that the culture of this underachieving district has changed significantly in a short time. While not everyone is a believer, there is an appreciable change in the level of accountability  Executive Summary and hope for the district’s students. There is also a range of concern about sustainability of the reforms when the State Administrator’s staff is gone, though evidence indicates that sustainabil- ity is a feature of all of the district’s instructional planning and actions. Planning Processes and Curriculum Management The written documents in a school district tell the story of what is expected from students and adults in the school system—vision, goals, standards, plans, policies and regulations, for example—and how these expectations are monitored and evaluated. At the time of the comprehensive assessment in fall 2004, the written artifacts of a well-run instructional program were, for the most part, missing or seriously outdated. Those that were available, such as school plans, were developed through the categorical branch of the instructional area. While these were significant programs, they were not the core program, nor were there written descriptions of the core program in evidence. Subsequently, the district and the AAA division made the following improvements: (1) written or revised and processed five critical policies for board approval, including Vision and Goals (BP 6000a), Core Curriculum (BP 6000b), Assessment and Testing (6000c), Program Evaluation (6000d), and Promotion and Retention (BP 6000e); (2) revised the High School Graduation policy (BP 6146) increasing the graduation requirements; (3) developed the Vallejo Instructional Action Plan which outlines the direction and actions of the district in the interest of student performance; (4) developed an organizational chart with new job descriptions and lines of supervision and reporting for the district staff; (5) written a new Master Plan for English Language Learners; and (6) modified the Single School Plan. Sustaining the reform may rest on the ability of new leaders to continue the effort to build an outstanding school district. School Climate Lack of appropriate school behaviors on the part of students and parents continues to be a frequently cited reason for low performance and for the achievement gap among groups of students in the district. While student underperformance is more complex, it is certainly the case that attendance, referrals, suspensions and expulsions were not being systematically monitored and that many critical components of a student behavior management program, such as the School Attendance Review Board (SARB) were not functioning. A new student services and support division was created in July 2005 and made many empowering changes: (1) developed a baseline of data for student behaviors which can be disaggregated and analyzed as well as used for monitoring of progress; (2) reinstated attendance monitoring measures, including relationships with law enforcement and the community; (3) initiated several prevention and intervention programs, including a parent education series; and (4) convened a broad-based School Climate Committee to make further recommendations. In fall 2006 the State Administrator presented an action plan, which included the implementation of a schoolwide behavior program, training for teachers and classroom management support, progressive discipline, increased campus supervision, increased parent communication, and monitoring of the consistency of adult behaviors. Executive Summary  Issues of Access to Learning Significant actions have been taken to improve access to the core curriculum in the district which include: defining the core curriculum; modifying the curriculum and school schedules to better accommodate interventions; purchasing the full slate of supplementary materials that accompany textbook adoptions; selecting program materials for secondary interventions; integrating special education and English learner teachers with mainstream instructors in standards-based training and collaborative dialogue; and monitoring school behaviors toward the goal of intervening in ways that help students and parents succeed. Many of the significant subgroups in Vallejo, along with the overall population of students, are making gains on the CST, ranging from small to large gains. However, it is important to note how low achievement is for many groups and how relentlessly the leadership team must continue to monitor and adjust the system so that all district students have opportunities and are well-served. In Summary The review of Pupil Achievement included the assessment of a selected subset of 23 professional and legal standards of performance. The average rating of this subset of 23 standards, on a scale of 1 to 10, with 10 the highest score possible, is as follows: November 2004 2.39 May 2005 3.45 November 2005 5.09 May 2006 5.91 January 2007 6.57 None of these standards has a rating below a 4. FCMAT recommends that the Superintendent of Public Instruction consider the return of this operational area to local board governance.  Executive Summary Financial Management Internal Control Environment The business division continues to implement positive changes to improve efficiency and the work environment. These changes and the resulting performance expectations should be communicated to all employees. Although payroll errors are still a major concern, the addition of a supervisory payroll position has helped improve procedures. The new Internal Auditor is evaluating the internal controls throughout the district. Several new procedures have already been implemented, such as cash handling and attendance. The board policy addressing ethical behavior that was adopted during summer 2005 was discussed at management meetings but not with all district staff. All employees should know and understand the policy and expectations regarding integrity and/or appropriate behavior. A reliable system should be devised and employees encouraged to report perceived abuses and/or fraud. The district should consider implementing an anonymous tip line or other avenue for tips and suggestions. Inter- and Intra-Departmental Communications Work has begun on new procedural manuals and other resources for business-related functions, such as a detailed position control procedure. Business department administrators have also reviewed various processes and procedures and have plans to formalize their findings in specific areas, such as payroll, manual checks and budget. This will be a lengthy, ongoing process. The Business Services Division Procedures Manual is quite old and should be updated and used as a training tool in workshops before each school year begins. Currently, it appears that training is held for administrators before the school year begins, but does not occur regularly for other staff. Budget Development and Monitoring Although the district developed strategic planning objectives for the budget process, all objectives were not met during the 2006-07 budget development process due to time constraints. The business office had formulated an action plan for budget development that would include communication and collaboration between its staff and the school sites, programs, and departments. Initial meetings did take place. However, many program and department managers reported that follow-up meetings did not occur, and some managers reported that portions of the expenditure information they provided were not included in the budget adopted by the board on June 21. The district’s 2006-07 proposed adopted budget handout and accompanying PowerPoint presentation to the board on June 21 did not include any SACS reports. FCMAT’s analysis of the district’s budget documents and interviews with staff determined that an administrative review of the financial information was not properly completed before the June 21st Board meeting. The adopted budget submitted to the county office on or by July 1 also did not include the SACS report required under Education Code 42127(a)(2). The information on the 2006-07 budget provided to the Governing Board on June 21, 2006 presented in general terms, an unrestricted 2006-07 ending balance of -$4 million without the sale of district property, and $2.6 million with the property sale. The industry standard for presenting a projected fund balance includes revenues, expenditures, other sources and uses, net change to fund balance, beginning balance, audit adjustments, and ending balance, in that order. Executive Summary  FCMAT’s review of the multiyear projection included in the adoption budget SACS report submitted to the county office in late August surfaced the following problems: • The adoption budget in the SACS document was not the same budget adopted by the Governing Board on June 21, 2006. • The multiyear projection included in the SACS document was imported into the SACS MYP format with no further entries or adjustments to the data. As a result, material errors existed, including an invalid but nevertheless reported escalating restricted ending balance of -$6,381,087 in 2007-08 and -$15,965,535 in 2008-09. • A review of the SACS report by the business office administration either did not take place or was not completed adequately. Although multiyear projections are submitted at the statutory times, the data is not complete enough for use in planning. The district continues to not provide specific information on the projection assumptions, such as future enrollment/ADA estimates, teacher staffing, step and column, changes in property and liability insurance, workers’ compensation and utilities. The MYP is of little use if it is not updated or does not include detailed and complete assumptions for future years. Largely due to declining enrollment, the district’s goal to adopt a balanced budget in 2007-08 with the required 3% reserve for economic uncertainties cannot be met based on current district projections without a combination of changes in revenue streams and material reductions in expenditures. The online purchase order system module has been implemented throughout the district, except at the Community Day School. Several training workshops have occurred. Once online purchase orders are in use district-wide, the timeliness and quality of financial information should improve as those with budget responsibility have more access and accountability for their specific budgets. The system automatically verifies fund availability and account coding when a site/ department enters a requisition. The district has implemented a hard code block that cannot be overridden, so expenditure transactions (other than salary and benefits) cannot be processed until the budget transfer has been input and approved. Site and department managers remain concerned about allocations and budgets that change without full explanation. Also, categorical carryover and budget information is often not clear until late in the year, leaving minimal time in which to spend the funds. The budget office should continue to work with the sites and departments to determine how to make budget review and comprehension easier, thus improving overall accountability. Administrators need to be further trained on business related areas such as budget codes and transfers. Communication needs to continue between administrators and the business office about how budgets are allocated. Effective internal controls have been initiated for position control. Overall efficiency and accountability has improved. Position control does not include non-contracted positions, so the data cannot be rolled into the budget once the fiscal year begins, and budget overruns can occur. The district must implement a process to ensure that position control data is reconciled to 0 Executive Summary the budget periodically throughout the year since the changes do not occur electronically to its financial and position control systems. The district is working toward full utilization of online position control. Attendance Accounting The district continues to enforce the importance of accurate student attendance accounting procedures. Written documentation on the attendance system has been prepared and distributed, and appears to be used by site staff. Procedures have been developed outlining the step-by-step instructions from registering a student through reporting on the J18-19. The procedures manual includes forms, common attendance codes, student drop guidelines, compulsory laws and pertinent education codes. The Attendance League, a program to reward good student attendance, was initiated in February 2006 for the 2006-07 school year; attendance increases have been realized since the program began. The district is exploring various incentives for spring, as spring is historically a time of attendance decline. Establishing standardized procedures for short-term independent study continues to be a concern that is being addressed. Accounting, Purchasing, and Warehousing The 2004-05 financial audit prepared by the State Controller’s Office was available for the team’s review and indicated numerous findings in the accounting activities, especially related to payroll operations. Systems and procedures have improved since the district filled the Internal Auditor position. Procedures are being developed to ensure there is a clear separation of duties in all matters involving cash receipts, bank deposits and reconciliation and the recording of cash transactions into the accounting system. Even so, monthly bank reconciliations are not always prepared in a timely manner, which are an important part of a sound internal control structure. Although new procedures have been implemented to pick up cash from sites and deliver it to the district office, procedures to follow up on cash shortages are not fully in place. The district should forecast and verify revenue and expenditure budgets monthly in order to adequately manage its cash. Once the prior year unaudited actual financial reports have been prepared, the current year budget should be compared to the prior year actuals for reasonableness, and updated to include any new information. The district should monitor all budget line items at least monthly. A cash flow projection has not been prepared since June 2006. Communication and teamwork in the Payroll Department have improved. Even so, the overall morale of the payroll staff remains low. The regular monthly meetings between Payroll and Human Resources have facilitated communication between the two departments. Payroll employees continue to work extensive overtime to process pay changes. The due date for one payroll cycle has been revised to provide adequate time for processing paychecks; this change may help to reduce the number of manual checks in the future. School sites are still submitting timesheets late, causing problems such as increased need for handwritten checks from the revolving fund. All principals and managers should be held accountable for meeting payroll deadlines. The overpayment/collection process has not improved; no defined method or process is in place to collect overpayments from active employees. All overpayments should be followed up and resolved. Executive Summary  Long-Term Debt Obligations The district has not completed a post-retirement benefit actuarial study since June 30, 2002. Even though retiree benefits are of limited duration, this study will be a critical component of the long-term fiscal recovery plan and future budget planning. The district should disclose annually whether it will reserve sufficient funds in the budget to pay the present value cost of retiree benefits. The responsibility for tracking and projecting health benefit costs for both active and retired employees has been moved back to the business department and is done on a spreadsheet. Collective Bargaining In fall 2005, the district successfully concluded negotiations with all bargaining units for a three- year collective bargaining agreement that included modest salary increases, identified savings by capping health and welfare benefits, and limited the accumulation and payment of excess vacation benefits. The agreement included a significant reduction in district-paid health benefits beginning July 1, 2005. The district’s ADA has declined by approximately 1,060 over the previous two years and is anticipated to further decline in the current and two subsequent fiscal years, which will substantially affect future negotiations. Operational Fiscal Controls The district completed a workers’ compensation actuarial on June 14, 2006. Based on the 2005- 06 unaudited actuals and actuarial data, the district’s workers’ compensation expenditures have decreased as compared to 2004-05. The actuarial data concludes that the workers’ compensation program has sufficient reserves to cover current year claims and available reserves to fund unpaid losses. The new rate structure for the State Compensation Fund workers’ compensation program has been incorporated into the 2005-06 budget since FCMAT’s last six-month review. The district is performing asset inventory and valuation for all capital assets exceeding the $10,000 threshold, as required by GASB 34. This is being done by Maximus and will conclude with all vehicles, buildings, etc., at each site being inventoried with the goal of revising the current records database to reflect additions, transfers and any surplus items. Special Education The district continues with its ongoing self-review process involving parents and community members. The fiscal employee assigned to monitor Special Education budgets continues to work closely with the department director, reviewing the budget regularly to ensure that actual expenditures are within the budgeted funds and recorded accurately, benefiting the department as a whole and helping to keep errors down and unexpected costs at a minimum. Management Information Systems Over the past two years the department has evolved from a user support department that outsourced engineering services to a department that handles engineering needs internally, saving the district money; but the department struggles to support district technology users. The IT department staff did not appear to be functioning as a cohesive unit during this review period. Interviews with staff indicated overall low morale.  Executive Summary The IT staff assisted in successfully moving the district office to its new location on Mare Island. A new work order system has been operational since September 2006 to monitor the status of work order requests; however, there is a growing number of unaddressed work orders in the system. The district has implemented online attendance at one junior high and at the high schools. In Summary The review of Financial Management included the assessment of a selected subset of 39 professional and legal standards of performance. The average rating of this subset of 39 standards, on a scale of 1 to 10, with 10 the highest score possible, is as follows: November 2004 1.31 May 2005 2.53 November 2005 3.56 May 2006 4.33 January 2007 4.41 Fifteen of these 39 standards have ratings below a 4. Executive Summary  Facilities Management The district has continued to address identified deficiencies, and progress is evident in areas such as training and work order management. However, the action plan and success of the implementation hinge on the revision/adoption of board policies and the adoption of comprehensive policies and procedures for facilities, maintenance, and operations. At this evaluation, the board policies were not completed. A draft of the Maintenance and Operations Policies and Procedures Manual is complete. Even though progress has been made, the district’s opportunity to significantly increase its ratings for many of the standards is limited because board policies have not been approved and adopted and the manual is still in draft form. Further, as the district endeavors to change attitudes and the workplace culture, effecting significant and lasting change is a multiyear process not likely to yield rapid gains. Documentation of Policies, Procedures, and Processes The district is still revising and expanding its board policies and administrative regulations. As policies and administrative regulations are adopted, the district posts them on its Web site. To date, the district has reviewed and updated two policies related to facilities, maintenance, and operations: hazardous substances and environmental safety. The two policies and regulations have not been numbered, but the district indicated this would be done once all policies and regulations are updated and adopted. The exact timeline for addressing the policies and administrative regulations for facilities, maintenance, and operations is not clear. The district’s action plan also calls for the development of a comprehensive manual for facilities, maintenance, and operations. The manual is intended to address all operational aspects of those departments, and address findings and recommendations identified in the Assessment and Improvement Plan. The district has drafted a manual to address a broad range of areas and issues, including operations, personnel, safety, equipment maintenance and management. The draft manual was available for review and district staff indicates it is complete. The district’s goal is to review it with Maintenance and Operations staff at regularly scheduled meetings. Its contents have not been discussed or negotiated with the classified bargaining unit. Communication between Central Office Departments The two departments responsible for district facilities are Student Housing Services, commonly called Facilities, and Facilities Services, known as Maintenance and Operations. The Facilities and Planning Director was formerly titled Student Housing Services Director, and the Maintenance and Operations Director was formerly titled Facilities Services Director. Two manager positions report directly to the Director of Maintenance and Operations: Maintenance Manager and Operations Manager. The relationship between the administrators of these departments appears positive. To facilitate consistent communication between Facilities and Planning and Maintenance and Operations, a weekly meeting is held for division staff. In addition, the two directors continue to participate in Cabinet meetings every other week. There is still work to be done to formalize and document processes to ensure timely and ongoing communication between the two departments, other central office departments, and sites to ensure that facility issues are promptly addressed.  Executive Summary Communication between Schools and Central Office Communication between school sites and the Maintenance and Operations Department has been a problem in the past. Sites complained that work orders, e-mails, and voicemails were either not answered or not answered promptly. Further, the work order system was viewed as cumbersome, time consuming, and not user friendly. As a result, the system was not consistently used, making it difficult to manage and track work orders. Conversely, when the work order system was used, sites frequently were not aware of the status of any given work order. As a result, multiple work orders were frequently submitted for the same job, which created administrative and tracking issues for the Maintenance Department. The district upgraded its work order/preventive maintenance system and archived old data. This improved the speed of the system, and simplified the review of work order status for site staff. Feedback from site administrators regarding the system upgrade has been positive. In addition, the upgraded system helps the district to better manage facilities and reduce the number of repairs needed and work orders submitted. While the upgraded work order system has been a success, some site administrators stated that the departments could be more prompt in responding to calls and e-mails. The departments should commit to returning calls and e-mails within 24 hours to ensure that site issues are addressed promptly. Fire, Health, and Safety Issues at School Sites Prior reviews noted the district’s major improvement in the area of fire extinguishers. The district’s performance was maintained during the current review. Only a few expired extinguishers were noted, virtually all classrooms had fire extinguishers, and access to fire extinguishers was clear at the sites visited. Performance has continued to improve as a result of the district contracting for a fire life safety survey and requiring head custodians to perform a monthly inspection of fire extinguishers and submit an inspection report. Documentation of monthly school site inspections was not produced. The district has a vendor contract to ensure that all safety systems (clocks, bells, alarms) are operating properly and repairs are made as necessary. As the district updates its safety systems, it is transitioning to system self-maintenance. Five sites have been transitioned, two sites are in progress, and the goal is to complete the transition by the end of 2008-09. A few instances of unsanitary restrooms were observed. In response to the need to improve bathroom cleanliness, the district continues to train custodial personnel on the use of restroom cleaning/sterilizing equipment, which has improved the quality and efficiency of cleaning. Custodial staff are required to use the equipment, and district staff monitor its usage. In addition, the district has established a full-time Operations Manager position to evaluate the adequacy of night custodians’ work, including restroom cleaning. The district plans to use district standards and the use of cleaning machines and supplies in employee evaluations. Executive Summary  Facilities Planning The district has conducted an in-house facilities inventory and developed a multiphase facilities master plan. The site-by-site capacity information was compared to current and projected enrollment over the short term. This information and analysis resulted in a multiphase process to serve all district students in adequate facilities, while generating one-time and ongoing revenue to reduce the district’s obligations to the state and provide ongoing operational revenue. To date, the district has moved the Farragut Elementary School program to Mare Island and has either moved or plans to move the Adult School and community day school to the Farragut site, and moved the home teaching school to the People’s site. The district office has moved to Mare Island pursuant to an agreement with the developer. A portion of the prior district office site is being declared surplus, with the intent to sell the property and generate funds to repay the state loan. Later phases of the district’s Facilities Plan call for improvements to various schools throughout the district as well as the sale or lease of surplus property to generate revenue for the district’s fiscal recovery. The district appears to have successfully implemented the first elements of Phase I of its facilities master plan. Nevertheless, the district should hire an outside consultant with significant experience in developing successful school facilities master plans to independently prepare a plan to ensure that the district best serves its short- and long-term financial and facility needs. As part of its recovery plan, the district is selling and leasing property and has declared five properties as surplus. In July 2006, the district successfully sold its Rollingwood property for a minimum of $17.5 million, which could increase to $22.5 million, proceeds of which will help to pay down the state emergency loan. The district plans to use the proceeds from the sale/lease of its other properties to repay the state loan and to repay previous loans made from the general fund. The district should confirm the appropriate uses of the proceeds from the sale/lease of its properties before making long-term commitments. In Summary The review of Facilities Management included the assessment of a selected subset of 15 professional and legal standards of performance. The average rating of this subset of 15 standards, on a scale of 1 to 10, with 10 the highest score possible, is as follows: November 2004 2.46 May 2005 3.13 November 2005 3.87 May 2006 4.47 January 2007 5.20 Three of these 15 standards have ratings below a 4.  Executive Summary Returning the District to Local Governance Several conditions need to be met for the district’s eventual return to local governance. Senate Bill 1190, Chapter 53, Statutes of 2004, and AB 2756, Chapter 52, Statutes of 2004, clarify the conditions and intent regarding the return of the designated legal rights, duties and powers to the Governing Board. The authority of the Superintendent of Public Instruction (SPI) and his administrator designee shall continue until the SPI determines that the conditions of the law are satisfied. Consistent with Education Code section 41326, the Superintendent of Public Instruction has sole authority to decide when the return of legal rights, duties and powers to the Governing Board occurs. The conditions to be met include the following: 1. One complete fiscal year has elapsed following the district’s acceptance of a state loan or, at any time after one complete fiscal year has elapsed following that acceptance, the administrator determines, and so notifies the SPI and the county superintendent of schools that future compliance by the district with the improvement plan is probable. The SPI may return powers to the Governing Board for any of the five operational areas if performance for that area has been demonstrated to the satisfaction of the SPI. 2. FCMAT completes the improvement plan specified in the Act and has completed a minimum of two reports identifying the district’s progress. 3. The administrator certifies that all necessary collective bargaining agreements have been negotiated and ratified and that the agreements are consistent with the terms of the improvement plans. 4. The district completes all reports required by the SPI and the administrator. 5. The SPI determines that future compliance by the Vallejo City USD with the improvement plan and the multiyear financial recovery plan is probable. SB 1190, Section 7, provides specific and direct responsibilities to FCMAT in assisting the Superintendent of Public Instruction and the Vallejo City Unified School District with recovery. These duties include the following: 1. On or before November 1, 2004, FCMAT shall conduct a comprehensive assessment and prepare an improvement plan for the Vallejo City Unified School District incorporating the following five operational areas: • Financial Management • Pupil Achievement • Personnel Management • Facilities Management • Community Relations Executive Summary  The improvement plan for personnel management shall include training for members of the Governing Board, the superintendent and district staff. 2. Based upon the progress reports, FCMAT shall recommend to the Superintendent of Public Instruction those designated functional areas of school district operations that it determines are appropriate for the Governing Board of the school district to assume. 3. FCMAT shall file written status reports that reflect the progress the district is making in meeting the recommendations of the improvement plans. As required by SB 1190, the November 1, 2004 Assessment and Improvement Plan developed by FCMAT constituted the comprehensive assessment and improvement plan for the Vallejo City Unified School District. The initial report assessed the district using 415 professional and legal standards in five areas of school district operations. The scaled scores for all of the standards in each operational area provided an accurate measure of the district’s status regarding recovery at that time. Each standard was measured for completeness and a relative scaled score from zero (not met) to ten (fully met) was applied. An average of the scores for each operational area was determined. The averages of those scaled scores became the baseline of data against which the district’s progress could be measured over time. For the subsequent six-month progress reviews, including this May 2006 report, a smaller subset of these standards was selected by FCMAT in consultation with the California Department of Education (CDE) and the appointed State Administrator. The standards were selected as having the most probability, if addressed successfully, in assisting the district with recovery. The selected standards are identified in the Tables of Standards in later sections of this report, and are the focus of each six-month review. The Vallejo City Unified School District is not required to reach a scaled score of 10 in the selected standards, but the district is expected to make steady progress that can be sustained, as substantial and sustained progress is a requirement of SB 1190. It is reasonable to expect that the district can reach an average rating of at least a six in each of the five operational areas, with no individual standard scored less than a four. In collaboration with the California Department of Education, FCMAT established the following criteria to measure the district’s progress. When the average score of the subset of standards in a functional area reaches a level of six, and it is considered to be substantial and sustainable, and no individual standard in the subset is below a four, FCMAT will recommend to the Superintendent of Public Instruction that this particular condition has been met and that this operational area could be returned to the Vallejo City USD Governing Board. The final authority to return governance authority to the district board lies with the Superintendent of Public Instruction. Subject to progress, recommendations every six months will address the functional areas of school district operations that could be returned to the Governing Board of the school district by the SPI. The ultimate return of legal rights, duties and powers is based upon the SPI’s concurrence with the assessment of his administrator designee and FCMAT that the future compliance by the district with the improvement plans and the multiyear financial recovery plan is probable.  Executive Summary Implementation Plan FCMAT assessed the district using 415 professional and legal standards for the November 1, 2004 Assessment and Improvement Plan, providing an in-depth review of these standards in the five operational areas and a baseline score for each standard. A subset of standards in each operational area was identified to assist the district in successfully achieving recovery and return to local governance. This subset of standards is the focus of the ongoing six-month progress reviews conducted in the district. Although all professional and legal standards utilized in the comprehensive assessment process are important to any district’s success, focusing on this identified subset of standards will enable the Vallejo City Unified School District to focus its efforts and more quickly achieve a return to local governance. FCMAT, with the collaboration of the California Department of Education and the State Administrator, identified the following subset of 129 standards in the five operational areas that are to be reviewed during each six-month progress review. 17 standards in Community Relations and Governance 35 standards in Personnel Management 23 standards in Pupil Achievement 39 standards in Financial Management 15 standards in Facilities Management A progress narrative for each of these standards is provided in following sections of this report. These standards are also identified in bold print in the Table of Standards displayed at the end of each operational area section. In collaboration with the California Department of Education, FCMAT established the following criteria to measure the district’s progress. When the average score of the subset of standards in an operational area reaches a level of six and it is considered to be substantial and sustainable, and no individual standard in the subset is below a four, FCMAT will recommend to the Superintendent of Public Instruction (SPI) that this particular condition of SB 1190 has been met and that this operational area could be returned to the Governing Board. FCMAT will assess the district’s progress in each of the five operational areas during each six- month period and determine the operational area, subject to the criteria, that could be returned to the Governing Board of the school district on an incremental basis. The ultimate decision for the return of legal rights, duties and powers will be based upon the SPI’s concurrence with the assessment of his administrator designee and FCMAT that the future compliance by the district with the improvement plans and the multiyear financial recovery plan is probable. The average of the subset of standards in each operational area is indicated below. The ratings for November 1, 2004 provided a baseline of data against which the district’s progress can be measured over each six-month period of review. Executive Summary  November 1, 2004: Community Relations/Governance: average rating 3.35, with 11 standards under a 4. Personnel Management: average rating 1.34, with 33 standards under a 4. Pupil Achievement: average rating 2.39, with 23 standards under a 4. Financial Management: average rating 1.31, with 37 standards under a 4. Facilities Management: average rating 2.46, with 11 standards under a 4. May 1, 2005: Community Relations/Governance: average rating 4.24, with 4 standards under a 4. Personnel Management: average rating 2.51, with 25 standards under a 4. Pupil Achievement: average rating 3.48, with 10 standards under a 4. Financial Management: average rating 2.53, with 28 standards under a 4. Facilities Management: average rating 3.13, with 9 standards under a 4. November 30, 2005: Community Relations/Governance: average rating 5.24, with 0 standards under a 4. Personnel Management: average rating 2.74, with 22 standards under a 4. Pupil Achievement: average rating 5.09, with 0 standards under a 4. Financial Management: average rating 3.56, with 24 standards under a 4. Facilities Management: average rating 3.87, with 5 standards under a 4. May 31, 2006: Community Relations/Governance: average rating 5.94, with 0 standards under a 4. Personnel Management: average rating 4.26, with 12 standards under a 4. Pupil Achievement: average rating 5.91, with 0 standards under a 4. Financial Management: average rating 4.33, with 13 standards under a 4. Facilities Management: average rating 4.47, with 5 standards under a 4. January 25, 2007: Community Relations/Governance: average rating 6.88, with 0 standards under a 4. Personnel Management: average rating 5.74, with 0 standards under a 4. Pupil Achievement: average rating 6.57, with 0 standards under a 4. Financial Management: average rating 4.41, with 15 standards under a 4. Facilities Management: average rating 5.20, with 3 standards under a 4. 0 Executive Summary Progress in Meeting the Criteria for Return of Powers Average of Ratings in Five Operational Areas Operational Nov. 2004 May 2005 Nov. 2005 May 2006 Jan. 2007 Areas Baseline Community Relations/ 3.35 4.24 5.24 5.94 6.88 Governance Personnel 1.34 2.51 2.74 4.26 5.74 Management Pupil 2.39 3.48 5.09 5.91 6.57 Achievement Financial 1.31 2.53 3.56 4.33 4.41 Management Facilities 2.46 3.13 3.87 4.47 5.20 Management Number of Standards in Each Operational Area Rated Less Than 4.0 Operational Nov. 2004 May 2005 Nov. 2005 May 2006 Jan. 2007 Areas Stnds < 4 Stnds < 4 Stnds < 4 Stnds < 4 Stnds < 4 Community Relations/ 11 4 4 0 0 Governance Personnel 33 25 25 12 0 Management Pupil 23 10 10 0 0 Achievement Financial 37 28 24 13 15 Management Facilities 11 9 5 5 3 Management Executive Summary  Community Relations/ Governance Community Relations and Governance The Vallejo City Unified School District has demonstrated continued improvement in the prior- ity standards for governance and community relations. Efforts to heighten communication with parents and the community have continued since the last progress report, with the district’s tele- phone call-out system being utilized more effectively to convey information, both at the district level and at individual school sites. The district has continued its systemic approach to engage community and civic groups by designating specific board liaison roles. The district has moved forward with the process of reviewing, updating and adopting policies. While the systematic and thorough process used to review policies, obtain public input, and adopt and affirm policy has been a positive step, the district should accelerate the process even further. As the district moves toward recovery and independence, plans and adequate staff capacity must be in place to ensure that progress is sustained on the priority standards for governance and community relations. Communications Vallejo has effectively implemented much of the district’s strategic communications plan. The district’s call-out telephone messaging system continues to be used to keep parents informed, and training for principals has been conducted to make the messages more succinct and effective. The practice of holding community forums has continued since the last report, allowing for two- way communication with the public and engagement with the community. These efforts have become effectively integrated into district operations and should be continued. The district has made efforts to provide Spanish language translation and audio amplification at more meetings, and efforts such as these should be continued and expanded to further improve communications with non-English-speaking and traditionally less-involved parents. The district’s Web site is a valuable tool that is easy to navigate. However, plans must be imple- mented to complete all areas of the site that are still under construction. A plan must also be implemented to ensure that the site is fully functional and is consistently updated. The district policy on media relations has been implemented and appears to be followed consistently. Press briefings have continued since the last progress report in an effort to generate positive news cov- erage about the district. Staff at the district office continues to play a leading role in coordinating and supporting the sites in their communication efforts. The responsibility for these communica- tion initiatives is an important part of district operations, and additional staff capacity must be developed to sustain these efforts. A quarterly newsletter that is sent from the district office to employees and administrative team meetings provide opportunities to distribute information and solicit feedback from the school sites. Improvement in internal communications has been demonstrated in each progress report. To sus- tain this progress, the district must ensure that consistent and effective two-way communications continues as a priority for all district office departments. Parent/Community Relations In the last six months, the district has held additional community forums to engage community members and provide information to parents. The district has heightened the use of telephone call-out messages to reach parents. The district is working to further engage established parent groups and community associations as a means of building additional parent support. Community Relations/Governance  The membership of the board includes two members elected within the last year. All members of the board appear to be fully engaged in building relationships in the community. Board mem- bers have followed through on their agreement to act as liaisons between the district and specific groups within the community. The board’s public commitment to community and parent outreach has been a positive step toward demonstrating their desire to regain governing authority of some areas of the district. The district has also made efforts to anticipate and prevent problems before they occur, and as a result, more complaints appear to be resolved without requiring escalation to the district office. Community Collaboratives, District Advisory Committees, School Site Councils The district has continued its positive relationships with partners in the community, including organizations, agencies, businesses, neighborhood groups and the faith community. The members of the board have agreed to officially serve as liaisons to particular groups, including the city of Vallejo, the Vallejo Chamber of Commerce, local Realtors, the Solano County School Boards Association, and the Omega Boys and Girls Club. The state administrator and board members have worked to build and strengthen these productive relationships, and this coordinated strat- egy should be continued. District staff plans to engage the public and the community through a comprehensive survey to determine attitudes about the district. The results of this survey should be used to effectively engage existing community and parent groups while also identifying ways to develop or build new parent groups at school sites with less active parent participation. Policy While the district has made steady progress in policy adoption, the timeline for a comprehensive review of the full district policy manual must be accelerated. The district’s advisory board and state administrator have developed, reviewed, adopted and affirmed 11 new policies in the last six months, including student wellness, employee safety, promotion and retention, and program evaluation. The district’s thoughtful, thorough and methodical process of policy review is very positive, but the efforts must be undertaken more quickly. To achieve this goal, the district might consider adopting the CSBA sample policies and then undertake an effort to review and cus- tomize the policies to reflect local district custom, practice and need. This would also provide a structure to clarify and simplify the policy numbering and indexing on the district Web site. Board Roles/Boardsmanship Two new members of the Vallejo City USD board were sworn into office in the last year. As in the last progress report, district office staff and board members report that they continue to work well together. All members of the board, both those newly elected to the board and those who have served for some time, understand that the current role of the board is to advise, not to govern. The board appears fully engaged and supportive of the district’s vision and mission, and continues to support the district’s five key goal areas. Improving the achievement of lower-per- forming students remains a top goal. Periodic reevaluation of the vision/mission and goals should occur again in the future, to ensure that the statements reflect the district’s current beliefs and conditions. Additionally, board members have continued to implement strategies to increase community involvement in Vallejo’s schools. As these efforts move forward, the board should devote special attention to the goal of involving a broader cross-section of the community in schools.  Community Relations/Governance Board Meetings The district’s board meetings continue to explicitly link to issues of student achievement. Bud- getary issues and the fiscal recovery plan continue to be a significant part of board discussions, as is appropriate, and financial information presented at board meetings includes a rationale describ- ing the effect of spending on student achievement. Additional training on budget matters and enrollment projections have occurred during board meetings since the last progress report. The recognition of community members who support the district and its schools has become a routine part of board meetings. Board members continue to react positively to the level of information they receive before meetings, expressing satisfaction with the data and analysis provided, and they appreciate the access to meaningful background information. The board now recognizes that reviewing such data is a part of its oversight role. Community Relations/Governance   Community Relations/Governance 1.1 Communications Professional Standard: The district has developed and implemented a comprehensive plan for internal and external com- munications, including media relations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has continued to implement aspects of its comprehensive communications plan to engage board members, district and site staff, parents and community members in meaningful, two-way internal and external communications. The plan specifically addresses improving the media’s portrayal of the district and increasing communica- tion with the public. The plan also speaks to the district’s role in working with sites to strengthen communications with all parents. Use of the district’s Web site is steady, but the district must develop and implement a plan to monitor, evaluate and maintain the in- formation on the site. 2. The district continues to hold press briefings to proactively inform the media about im- portant district issues, programs and activities. This effort has resulted in additional posi- tive coverage. The district has incorporated community forums into its regular communi- cation efforts and utilizes a quarterly district newsletter to communicate with the public. There have been additional opportunities for all district office staff to attend meetings with the state administrator in an attempt to enhance internal two-way communication. As the communications plan is refined and reevaluated over time, the district should conduct ongoing communications training to ensure that all staff understand their role in dissemi- nating information to other staff, board members and school sites in a timely and efficient manner. 3. The district plans to conduct a survey of parents and community members. Questions about district communications should be included in the survey to offer participants an opportunity to share their opinions. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 Implementation Scale: Community Relations/Governance  1.2 Communications Professional Standard: Information is communicated to the staff at all levels in an effective and timely manner. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s comprehensive communications plan encourages proactive internal com- munications (see Standard 1.1). In the past six months, the district has begun to provide training for staff and site administrators to ensure that communications strategies are implemented consistently and effectively. Cabinet and administrative team meetings con- tinue to be regarded as venues where open discussion and feedback on internal communi- cations issues can occur. Meeting agendas specifically indicate to principals which items should be shared with site staff. Community forums held by the state administrator are also open to staff to attend and to ask questions. The district has continued to use press releases and press briefings to spread information, and uses e-mail and the internal staff Web site to provide updates. Given these enhancements to internal communication, the district should periodically evaluate staff attitudes about opportunities and methods used to gather feedback. 2. As in the last six-month progress report, staff indicates that the district office has been more responsive to requests for assistance or information. Anticipating issues and being responsive to problems is a new district focus, and steps should be taken to ensure that these efforts at improved customer service are monitored and consistently implemented across all departments. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 Implementation Scale:  Community Relations/Governance 1.3 Communications Professional Standard: Staff input into school and district operations is encouraged. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s communications plan specifically addresses the topic of staff input. The dis- trict has continued to use methods including staff and community forums, staff meetings, board meetings and suggestion boxes to gather feedback from staff. The district made specific efforts to conduct staff focus groups in the development of its promotion and retention policy and has involved district and site staff in the development of its “Improv- ing School Climate” initiative. 2. The district has implemented a staff intranet system in an effort to expand opportunities for feedback. This positive step should be evaluated and routinely updated to ensure that employees have access to accurate data. Because not all employees have regular access to the Web, the district should continue to identify additional means for staff to feel wel- come to offer their input and suggestions. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 Implementation Scale: Community Relations/Governance  1.4 Community Relations Professional Standard: Media contacts and spokespersons who have the authority to speak on behalf of the district have been identified. Progress on Implementing the Recommendations of the Improvement Plan: 1. As part of the communications plan, the district has clarified the roles and responsibilities of board members, district staff and the administration with respect to responding to me- dia and public inquiries and serving as spokespersons. The district policy on media rela- tions has been reviewed, revised, adopted and affirmed as recommended in prior progress reports. 2. District staff continue to demonstrate awareness of the protocols and procedures regard- ing public and media inquiries. Staff consistently directs such inquiries to the designated district communications staff. 3. Designated district staff respond promptly to media requests, including specific requests to facilitate reporting on the issue of student interventions. 4. Additional media training for key district staff, including principals, has been an effective means of building capacity. This type of training should continue to be conducted regu- larly. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 8 Implementation Scale:  Community Relations/Governance 1.5 Communications Professional Standard: Individuals not authorized to speak on behalf of the district refrain from public comments on board decisions and district programs. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has clearly defined the role of spokesperson, and district staff and board members perceive that the policy is being followed. School site staff expressed a clear understanding of the procedure for referring media inquiries to the appropriate district communications staff. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 8 Implementation Scale: Community Relations/Governance  2.4 Parent/Community Relations Professional Standard: Parents’ and community members’ complaints are addressed in a fair and timely manner. Progress on Implementing the Recommendations of the Improvement Plan: 1. Materials about universal complaint procedures and Williams lawsuit complaint pro- cedures are available at the district office and on the district Web site. In the past six months, the district has conducted principal trainings focused on engaging the parent community and reducing the number of complaints. The district should ensure that train- ing on complaint prevention and resolution is a routine part of district operations for all site and front-line district employees. 2. The district has a policy on employee complaints. The prevention and successful resolu- tion of complaints should be tracked and evaluated to measure the effectiveness and con- sistent application of the policy. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 Implementation Scale: 0 Community Relations/Governance 2.9 Parent/Community Relations Professional Standard: Board members are actively involved in building community relations. Progress on Implementing the Recommendations of the Improvement Plan: 1. Members of the board have continued to represent the district in their liaison role with particular community and civic groups, including the Chamber of Commerce, faith-based organizations and ethnic groups. The board has used the liaison roles to further strengthen relationships in the community and to increase involvement in the district and schools. Over time, these strategies should be monitored and evaluated to ensure that they align with the district’s key goals. 2. Members of the board continue to participate in community forums held by the state ad- ministrator, which provide an opportunity for individuals to share their thoughts on dis- trict issues. Individual members of the board have made a commitment to increase their visits to school sites. These visits are conducted with the goal of increasing the awareness of issues that affect particular schools and developing appropriately supportive relation- ships with site administrators and parents. 3. The members of the board have sustained a strong level of visibility in community rela- tions in the last six months. The board and state administrator continue to further develop relationships with various constituencies in the community, including the Solano County School Boards Association, the Vallejo Interagency Committee, the Vallejo Chamber of Commerce, the Solano Board of Realtors, neighborhood groups, and the Vallejo City Council. 4. It is particularly important, as the board moves closer to regaining governing authority in some operational areas, that their efforts to engage the community are assessed and evaluated for their effectiveness. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 Implementation Scale: Community Relations/Governance  3.1 Community Collaboratives, District Advisory Committees, School Site Councils Professional Standard: The board and superintendent support partnerships and collaborations with community groups, local agencies and businesses. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district continues to sustain its efforts to build community collaborations and partner- ships to serve students and their families and to facilitate resource sharing. As new part- nerships are developed, it is particularly important for the district to ensure that they align to the district’s key goals. The district must also work to identify the roles and responsi- bilities of the board and key staff for each partnership. 2. The district has continued to partner with the city of Vallejo and the Vallejo Police De- partment, particularly regarding school climate. The board and state administrator have continued to build and strengthen relationships with other groups as well (see Standard 2.9). Reports indicate that the relationships between community and civic organizations and the district administration and board members are productive, positive and goal-ori- ented. The district’s efforts to work with the Department of Finance and with the Solano County Office of Education should also continue to be a priority. 3. The district plan to address partnership-building should consider how to provide greater support for site-level efforts, including technical assistance, resources and/or other incen- tives for participation in collaboration. 4. The district has implemented a plan to increase the communication to parents and the community about its partnerships. The district should ensure that these types of commu- nications are a regular part of ongoing operations. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 Implementation Scale:  Community Relations/Governance 3.2 Community Collaboratives, District Advisory Committees, School Site Councils Professional Standard: The board and the superintendent establish broad-based committees or councils to advise the district on critical district issues and operations as appropriate. The membership of these collaboratives and councils reflects the full cultural, ethnic, gender and socioeconomic diversity of the student population. Progress on Implementing the Recommendations of the Improvement Plan: 1. The board and state administrator created advisory committees consisting of parents, staff, community members and board members to create action plans addressing the dis- trict’s priorities, within the context of the district’s key goals. The district should periodi- cally reassess the need to reestablish such working groups to receive broad-based input on critical district issues. 2. The membership of most district and site-level advisory committees and councils remains stable. The district is working to identify strategies to engage the most active parents already involved in existing groups on campuses, and to use this core group to recruit additional parents to become involved. Implementing a successful strategy to engage a broader group of parents and community members is always a challenge, particularly in a district in an urban setting with a diverse population. As additional strategies are imple- mented to engage parents in district initiatives, including the work on improving school climate, the district should assess the effectiveness of its outreach efforts. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 Implementation Scale: Community Relations/Governance  4.1 Policy Professional Standard: Policies are well written, organized and readily available to all members of the staff and to the public. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has developed, reviewed, adopted and affirmed 11 new policies in the last six months, including student wellness, employee safety, promotion and retention, and program evaluation. The district has been thorough and deliberate about the policy review process. These positive efforts must be sustained and stepped up, as policy review should be undertaken more quickly. To achieve this goal, the district should adopt all of the CSBA sample policies and then review and customize the policies to reflect local district custom, practice and need. By taking this action, the community and district administra- tors can more easily access the district’s policies. The district should continue the practice of making policies available on its Web site. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 Implementation Scale:  Community Relations/Governance 4.6 Policy Professional Standard: Board bylaws, policies and administrative regulations are supported and followed by the board and district staff. Progress on Implementing the Recommendations of the Improvement Plan: 1. The consistent and uniform application of policies by district and site staff has been a fo- cus in the last six months, with training being provided to ensure that promotion and re- tention policies are consistently enforced across the district. These efforts should continue to be a priority for the district as additional policies are adopted. The district should adopt all of the CSBA sample policies and then review and customize the policies to reflect local district custom, practice and need. With the adoption of a consistent indexing and numbering system, parents and administrators will then have access to the most recent version of all policies. As the district proceeds with plans to update its policies, it must examine the extent to which each policy meets the district’s needs and/or is enforceable, and make revisions as necessary to ensure the policy’s value. Accountability mechanisms related to adherence to policy (e.g., staff evaluation, periodic reviews of critical policies) also need to be monitored and assessed. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 4 January 25, 2007 Rating: 5 Implementation Scale: Community Relations/Governance  5.3 Board Roles/Boardsmanship Professional Standard: The board has established a districtwide vision/mission and uses that vision/mission as a frame- work for district action based on the identified needs of the students, staff and educational com- munity through a needs assessment process. Progress on Implementing the Recommendations of the Improvement Plan: 1. The five key goals established by the state administrator have been reaffirmed by the board as a framework for district operations. For instance, board agendas relate items to the key goals. The state administrator should continue the practice of reporting on mea- surement of progress toward achieving the goals and hold district personnel accountable. 2. The findings and recommendations of the FCMAT progress report related to student achievement, fiscal management, facilities management, personnel management and governance/community relations have been reviewed and discussed by the board, state administrator and staff. 3. As recommended in prior progress reports, the board has reaffirmed the district’s goals and vision/mission statement. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 5 May 1, 2005 Rating: 6 November 30, 2005 Rating: 7 May 31, 2006 Rating: 7 January 25, 2007 Rating: 8 Implementation Scale:  Community Relations/Governance 5.4 Board Roles/Boardsmanship Professional Standard: The board makes decisions based on the study of all available data, including the recommenda- tions of the superintendent. Progress on Implementing the Recommendations of the Improvement Plan: 1. The state administrator should continue to ensure that appropriate materials and informa- tion are provided to the board to facilitate thoughtful discussion and informed decision- making. For the past year, board agendas have included a rationale for each item, relating proposals back to the five district goals. Agenda items also include cost estimates, data and staff recommendations. In addition to the meeting agendas, board members receive a weekly informational letter from the state administrator. 2. Progress has been demonstrated in implementing systems that will generate more ac- curate and reliable data, including a new student information system. However, the state administrator must continue to focus on building and sustaining such internal systems and accountability structures. 3. The board has engaged in additional training on enrollment projections and fiscal matters. Although the advisory board does not have decision-making authority, the board should continue to pursue training opportunities to demonstrate its readiness to resume govern- ing authority. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 Implementation Scale: Community Relations/Governance  5.7 Board Roles/Boardsmanship Professional Standard: Functional working relations are maintained between the board and administration. Progress on Implementing the Recommendations of the Improvement Plan: 1. The state administrator and board concur about the expectations and appropriate roles and responsibilities for each entity. Board members and the state administrator reiterated their belief that a strong working relationship exists between them. 2. Regular, proactive communications are occurring between the board and the state admin- istrator, including the informational weekly Friday letter. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 Implementation Scale:  Community Relations/Governance 5.8 Board Roles/Boardsmanship Professional Standard: The board publicly demonstrates respect for and support for the district and school site staff. Progress on Implementing the Recommendations of the Improvement Plan: 1. During board meetings and on visits to school sites, the members of the board continue to treat staff members with respect. 2. As part of the parent and community survey planned for this school year, the district should also consider developing a survey assessment tool to measure employee satisfac- tion. 3. The district should continue its practice of promoting staff accomplishments to the media and community as part of the comprehensive communications plan (see Standard 1.1). Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 Implementation Scale: Community Relations/Governance  5.12 Board Roles/Boardsmanship Professional Standard: The board acts for the community and in the interest of all students in the district. Progress on Implementing the Recommendations of the Improvement Plan: 1. Improving achievement for underperforming students is one of the five district goals inte- grated into action plans developed to address the FCMAT priority standards. As in the last six month progress report, the district has shown positive movement in efforts at imple- menting educational reform and using disaggregated data to determine the effectiveness of the strategies used to raise achievement by all student populations. 2. The district has developed strategies to strengthen community information and involve- ment (see Standards 1.1 and 2.9), used advisory committees to develop action plans, and conducted community forums to invite input. Additional efforts should focus on involv- ing a broader cross-section of the community. 3. Board members and the state administrator attend community forums and other events at school sites. The board should formalize the process of regular visits to school sites to familiarize themselves with site issues. Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 Implementation Scale: 0 Community Relations/Governance 6.9 Board Meetings Professional Standard: Board meetings focus on matters related to student achievement. Progress on Implementing the Recommendations of the Improvement Plan: 1. Agendas for board meetings continue to be developed using a framework that takes the district’s key goals for student achievement into account. While many board agendas dur- ing this period of fiscal crisis have concentrated on issues of fiscal recovery, the agendas are carefully organized to clearly highlight the topics of highest priority and to allow for the maximum time to be spent on those important items. A methodical and thorough re- view of 11 policies has occurred in the last six months, including the topic of promotion and retention. While allowing for appropriate input and commentary, the time line for the review and update of district policies should be accelerated. As the board continues to move toward regaining authority to govern some areas, the board should ensure that monitoring and evaluation of programs is an integral part of board agendas, including the analysis of pro- gram effectiveness and progress being made toward achieving the district’s goals. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 Implementation Scale: Community Relations/Governance  Chart of Community Relations/ Governance Standards Progress Ratings Toward Implementation of the Improvement Plan Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 1.1 PROFESSIONAL STANDARD - COM- MUNICATIONS The district has developed a 1 3 5 6 7 comprehensive plan for internal and external communications, including media relations. 1.2 PROFESSIONAL STANDARD - COM- MUNICATIONS Information is communicated to 3 4 5 6 7 the staff at all levels in an effec- tive and timely manner. 1.3 PROFESSIONAL STANDARD - COM- MUNICATIONS 2 3 5 6 7 Staff input into school and dis- trict operations is encouraged. 1.4 PROFESSIONAL STANDARD - COM- MUNICATIONS Media contacts and spokesper- 3 5 6 7 8 sons who have the authority to speak on behalf of the district have been identified. 1.5 PROFESSIONAL STANDARD - COM- MUNICATIONS Individuals not authorized to speak on behalf of the district 3 5 6 7 8 refrain from making public com- ments on board decisions and district programs 1.6 PROFESSIONAL STANDARD - COM- MUNICATIONS Board spokespersons are skilled at 3 public speaking and communica- tion and are knowledgeable about district programs and issues. The identified subset of standards appears in bold print. Community Relations/Governance 23 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 2.1 LEGAL STANDARD - PARENT/COM- MUNITY RELATIONS Annual parental notice of rights and responsibilities is provided at the beginning of the school year. 6 This notice is provided in Eng- lish and in languages other than English when 15 percent or more speak other languages (EC 48980, 48985). 2.2 LEGAL STANDARD - PARENT/COM- MUNITY RELATIONS A school accountability report card 7 is issued annually for each school site (EC 35256). 2.3 LEGAL STANDARD - PARENT/COM- MUNITY RELATIONS The district has developed and an- 6 nually disseminates uniform com- plaint procedures (Title 5, Section 4621, 4622) 2.4 PROFESSIONAL STANDARD - PAR- ENT/COMMUNITY RELATIONS Parents’ and community mem- 3 3 4 5 6 bers’ complaints are addressed in a fair and timely manner. 2.5 PROFESSIONAL STANDARD - PAR- ENT/COMMUNITY RELATIONS Board members refer informal 8 public concerns to the appropriate staff members for attention and response. 2.6 PROFESSIONAL STANDARD - PAR- ENT/COMMUNITY RELATIONS Parents and community members 3 are encouraged to be involved in school activities and in their children’s education. The identified subset of standards appears in bold print. 24 Community Relations/Governance Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 2.7 PROFESSIONAL STANDARD - PAR- ENT/COMMUNITY RELATIONS Volunteers receive appropriate 2 training and play a meaningful role that contributes to the educational program. 2.8 LEGAL STANDARD - PARENT/COM- MUNITY RELATIONS The district has established proce- dures for visitor registration and 5 posts registration requirements at each school entrance. (Penal Code 627.2, 627.6) 2.9 PROFESSIONAL STANDARD - PAR- ENT/COMMUNITY RELATIONS Board members are actively 3 4 5 6 7 involved in building community relations. 3.1 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS 4 5 5 6 7 The board and Superintendent support partnerships and collab- orations with community groups, local agencies and businesses. The identified subset of standards appears in bold print. Community Relations/Governance 25 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.2 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS The board and the Superinten- dent establish broad-based committees or councils to advise the district on critical district 3 4 5 5 6 issues and operations as ap- propriate. The membership of these collaboratives and councils should reflect the full cultural, ethnic, gender and socioeco- nomic diversity of the student population. 3.3 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS Community collaboratives and dis- 4 trict and school advisory councils have identified specific outcome goals that are understood by all members. 3.4 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS The district encourages and pro- vides the necessary training for 5 collaborative and advisory council members to understand the basic administrative structure, program processes and goals of all district partners. The identified subset of standards appears in bold print. 26 Community Relations/Governance Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.5 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS Community collaboratives and district and school advisory coun- 4 cils effectively fulfill their respon- sibilities (e.g. researching issues, developing recommendations) and provide a meaningful role for all participants. 3.6 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVI- SORY COMMITTEES, SCHOOL SITE COUNCILS The school site council develops 8 a single plan for student achieve- ment at each school applying for categorical programs through the consolidated application (EC 64001). 3.7 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVI- SORY COMMITTEES, SCHOOL SITE COUNCILS 7 School plans are comprehensive and have sufficient content to meet the statutory requirements (EC 52853, 64001). 3.8 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVI- SORY COMMITTEES, SCHOOL SITE COUNCILS The school site council annually 7 reviews the school plan and the board annually approves or disap- proves all site councils’ plans (EC 52853, 52855, 64001). The identified subset of standards appears in bold print. Community Relations/Governance 27 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.9 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVI- SORY COMMITTEES, SCHOOL SITE COUNCILS 10 Policies exist for the establish- ment of school site councils (EC 52852.5). 4.1 PROFESSIONAL STANDARD - POL- ICY Policies are written, organized 4 4 5 5 6 and readily available to all members of the staff and to the public. 4.2 PROFESSIONAL STANDARD - POLICY Policies and administrative regula- 4 tions are up to date and reflect current law and local needs. 4.3 LEGAL STANDARD - POLICY The board has adopted all policies 6 mandated by state and federal law. 4.4 LEGAL STANDARD - POLICY The board annually reviews its policies on intradistrict open en- 4 rollment and extracurricular/cocur- ricular activities (EC 35160.5). 4.5 PROFESSIONAL STANDARD - POLICY The district has established a sys- tem of securing staff and citizen 3 input in policy development and review. 4.6 PROFESSIONAL STANDARD - POL- ICY The board supports and follows 3 3 4 4 5 its own policies once they are adopted. 5.1 LEGAL STANDARD - BOARD ROLES/ BOARDSMANSHIP Each board member meets the 10 eligibility requirements of being a board member (EC 35107). The identified subset of standards appears in bold print. 28 Community Relations/Governance Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 5.2 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Board members participate in orientation sessions, workshops, conventions and special meetings sponsored by board associations, 4 and have access to pertinent lit- erature, statutes, legal counsel and recognized authorities to under- stand duties, functions, authority and responsibilities of members. 5.3 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board has established a districtwide vision/mission and uses that vision/mission as a 5 6 7 7 8 framework for district action based on the identified needs of the students, staff and edu- cational community through a needs assessment process. 5.4 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board makes decisions based 3 4 5 6 7 on the study of all available data, including the recommenda- tions of the Superintendent. 5.5 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP 7 Functional working relations are maintained among board members. 5.6 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Individual board members respect 8 the decisions of the board majority and support the board’s actions in public. The identified subset of standards appears in bold print. Community Relations/Governance 29 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 5.7 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Functional working relations are 3 4 5 6 7 maintained between the board and administrative team. 5.8 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board publicly demonstrates 5 5 5 6 7 respect for and support for the district and school site staff. 5.9 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board demonstrates respect 6 for public input at meetings and public hearings. 5.10 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Board members respect confidenti- 6 ality of information by the admin- istration. 5.11 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Board members do not involve 8 themselves in operational issues that are the responsibility of the Superintendent and staff. 5.12 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board acts for the commu- 5 5 6 6 7 nity and in the interests of all students in the district. 6.1 LEGAL STANDARD - BOARD MEET- INGS An adopted calendar of regular 9 meetings exists and is published specifying the time, place and date of each meeting (EC 35140). The identified subset of standards appears in bold print. 30 Community Relations/Governance Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 6.2 LEGAL STANDARD - BOARD MEET- INGS The board agenda is made avail- able to the public in the manner 9 and under the time lines prescribed by law (Government Code 54954.1, 54954.2). 6.3 PROFESSIONAL STANDARD - BOARD MEETINGS Board members prepare for board 5 meetings by becoming familiar with the agenda and support mate- rials prior to the meeting. 6.4 PROFESSIONAL STANDARD - BOARD MEETINGS Board meetings are conducted ac- 8 cording to a set of bylaws adopted by the board. 6.5 LEGAL STANDARD - BOARD MEET- INGS Open and closed sessions are con- 5 ducted according to the Ralph M. Brown Act (GC 54950 et seq.). 6.6 PROFESSIONAL STANDARD - BOARD MEETINGS Board meetings proceed in a 6 businesslike manner while allowing opportunity for full discussion. 6.7 LEGAL STANDARD - BOARD MEET- INGS The board has adopted bylaws for 9 the placement of items on the board agenda by members of the public. (EC 35145.5) The identified subset of standards appears in bold print. Community Relations/Governance 31 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 6.8 LEGAL STANDARD - BOARD MEET- INGS Members of the public have an opportunity to address the board before or during the board’s con- 9 sideration of each item of business to be discussed at regular or spe- cial meetings and to bring before the board matters that are not on the agenda (EC 35145.5). 6.9 PROFESSIONAL STANDARD - BOARD MEETINGS 4 5 6 7 7 Board meetings focus on matters related to student achievement. The identified subset of standards appears in bold print. 32 Community Relations/Governance Personnel Management Personnel Management The district must address 35 priority standards in the operational area of Personnel Management. Between August and mid-October, the Human Resources Department (HR) reviewed, revised, and updated each of the action plans. In addition, the department has created a binder system where documented progress on each standard is stored and retrieved. Overall, there has been sig- nificant progress on the 35 priority standards since the last review. Of concern, however, are the impending changes in HR leadership. The HR Director-Secondary has submitted a resignation and the Assistant Superintendent has announced plans to retire in January. Much of the progress in this operational area is attributable to these lead roles. The district leadership will need to re- cruit replacements with the capacity and willingness to sustain the progress made to date. Organization and Planning The board policies affecting personnel operations, such as the delivery of services, roles, pro- cesses for employment, and employee discipline and dismissal, have been affirmed by the Gov- erning Board. Eight new or revised HR policies now exist with a temporary numbering system. The district is continuing its overall efforts to review and revise the board policies, and HR has identified the next set of personnel policies to undergo this process. HR has implemented the new organization that was planned during the last review. The respon- sibility for health and welfare benefits and Workers’ Compensation has been moved to Fiscal Services, and the position of Director of Support Services was eliminated. The new position of HR Operations Manager was created and filled to oversee operational functions such as recruit- ment, credentialing, and the technical procedures associated with hiring. A new HR technician position was created and filled to help address the department workload and to back up the Cre- dentials Technician. A new, current organization chart exists, with one version containing a list of the backup positions/people for each HR position. A directory and functional list accompanies the organization chart. This new organization responds to the recommendations made by the FCMAT review team in its initial assessment report (November 2004). Each staff member, including each manager, has a desk manual that is dynamic and is revised and expanded as appropriate. Staff members made various positive statements about the effec- tiveness of the desk manuals as a tool. Individuals new to the department in positions that were formerly held by others found the desk manuals to be an excellent training tool as they learned the job. The Annual Calendar has been extensively revised and the monthly activities have been divided into categories: Governance, Contractual (CEA/CSEA), Departmental Leadership, and Operations. Ongoing daily activities were removed, leaving the larger monthly projects as the focus. Staff now articulate their use of the calendar as a time management and planning tool, as well as a user-friendly way to know what challenges their HR colleagues face. The Operations group revised its portion of the calendar through December, and intends to complete the January- to-June information during the next couple of months. Internal and External Communications Since the last review, the district completed the redesign of its Web site, and departments, includ- ing HR, have begun posting information. HR has posted its department directory, job openings, and other information on the Web site for public use. The district has also posted collective bar- gaining contracts, salary schedules, employee forms, and other information pertinent for internal use by employees only by using the StaffNet portion of the Web site. Personnel Management  The physical layout of the office is currently restricted by the facility, which forces the depart- ment to split into two distinct areas. This presented challenges in communications, team build- ing, and customer service. This situation will be improved when the district office is moved to a new location in November 2006, where all staff will be located in one area and there will be one service counter for all customers. The reorganization of the HR Department seems to be working well for the department. Staff members interviewed indicated that teamwork in the department has improved significantly. There is a focus on improving processes, training backup personnel, and improving customer service. A backup person has been identified for each position in the department, and staff train- ing to back up critical functions has been completed. Meetings between HR and Payroll occur regularly. In addition, the new operations team meets weekly. These meetings encompass reviewing the department’s Annual Calendar, discussing long-term projects, improving processes, and focusing on customer service. All of these activities indicate internalization of the standards to make the operational improvements sustainable. Employee Recruitment and Selection Teacher recruitment was vastly improved for the 2006-07 school year. HR worked within the dis- trict’s horizontal organization to develop both recruitment materials and strategies and a schedule of timely recruitment activities. A recruitment team of 23 site administrators, teachers, and HR directors was identified and trained. Seven job fairs were identified, including one that targeted potential special education teachers. A program of school visits for new recruits was established. The district allocated a budget of $25,000 for recruitment and marketing. As a result, district staff reported that the district experienced the best school opening in memory. The first annual recruitment report, Horizontal Alignment Report and Plan for Recruitment, was prepared in May 2006. The report included a chart of results for each spring job fair, the number of applicants, the source of the applicants, and a chart of the roles of the Human Resources and Academic Achievement and Accountability departments in recruitment and hiring. Finally, the report included an excellent generic annual teacher recruitment plan, followed by the same plan with the details for the current year. If the district follows this plan, the first actions should occur in December/January of this year for the 2007-08 school year. The plan to develop a data bridge from the student Aeries system to the California Educational Computer Consortium (CECC) system was set aside with news that the CECC module for cre- dentials will be redesigned to allow districts to automate credential audits. In the meantime, the Credentials Analyst conducted only audits of the schools in accordance with the Williams Act last year, but has now initiated a full district credentials audit using the data from Aeries to accomplish a hand match to credentials. Operational Procedures The Recruitment Specialist is responsible for the process of updating the district’s job descrip- tions. The job descriptions have been redesigned with a consistent format, and a temporary employee is finalizing the drafts of all job descriptions. These drafts will be reviewed by the managers of the work units, and then completed and placed on the district’s Web site.  Personnel Management In anticipation of the 2006-07 school year, the district reconfigured its course offerings and schedules at the high school level, necessitating changes in staffing. The process of staffing schools for the new year was handled through the horizontal alignment process, involving HR and curriculum staff working together to determine staffing needs, implement the recruitment process, and balance the staffing allocations against the budget and position control. The district has prepared detailed procedures for this staffing and recruitment process and has trained the staff members involved so that the process can continue to be followed each year. Use of Technology The district’s core financial and HR system resides on two different platforms and so is not integrated. This requires duplicate data entry and manual reconciliations. The district needs to continue to pursue upgrades to the CECC system so that all modules are integrated. In addition, the district is looking to the consortium to provide modules to automate personnel requisitions, employee leave usage, and other critical functions. HR is planning to convert its spreadsheet-based applicant tracking system to a Web-based system through EdJoin. This will serve to improve the reliability of applicant data and the management reporting. HR generated a second set of Notices of Assignment (NOAs), issued to all employees through the school sites and departments. The NOAs were issued before the first paycheck of the year, and were required to be signed and returned to HR as a way of verifying the information. There have been many questions from employees about the NOAs, but they have mostly been to clarify the data and supporting calculations. This is a process that HR should continue to follow each year as a way of verifying employee data and assignments. HR has included technology training in its department staff development plan, and has provided opportunities for staff to receive training on the systems and reports currently in use. In addition, staff members have received training on systems soon to be in use, such as the EdJoin applicant tracking system and the SmartFind Express system for substitute management. The district has reviewed the Web version of the Substitute Management System that it currently uses, and has decided to implement it for the 2007-08 year. This system, SmartFind Express, will require all employees to report absences to the system. In addition, the system will provide an interface to the CECC system so that absence reporting and substitute time will automatically be fed to the payroll system. Staff Training HR has developed a written Human Resources Staff Development Plan that lists the name of the person/position, the task areas, and the training needed. In addition, HR has created a listing of the professional development planned for all staff members for 2006-07, including the type of staff development, the source of the staff development, the persons from the department who will attend, and the dates. Purchase orders document that the plans are being followed. Professional development is clearly a major district priority. Professional development for teach- ers and administrators can be found in the district’s Instructional Plan, on the Web calendar, and in leadership team meeting agendas. Professional development activities for other employees can be found on the Web calendar. Personnel Management  Evaluation and Due Process Using the CECC system, employee evaluations for both certificated and classified staff are moni- tored and the evaluation data are maintained. Lists of employees to be evaluated are sent to man- agers, and reminder memos ensure that the process continues. HR has been providing managers with both certificated and classified evaluation training, and recently completed a handbook titled the School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. Employer/Employee Relations Since the district in 2005 achieved closed contracts with its bargaining units until 2008, most of the current activity consists of monthly communications meetings with the units. These meetings are a forum to discuss current and upcoming events and issues to keep the lines of communica- tion open and to avoid unnecessary adverse effects on serving the district’s student population. HR has included steps in its Annual Calendar to ensure that the procedures are followed for initiating the collective bargaining process. Refresher training needs to be provided when the district and its units embark on collective bargaining before the current three-year contracts are due to expire. A number of grievances continue to be filed, and HR has been providing training to the Leader- ship Team on how to address them. HR also has been providing training on evaluation of certifi- cated and classified staff, employee leaves, and other components of contract management. HR has scheduled additional training sessions for the remainder of the 2006-07 school year to address additional aspects of contract management.  Personnel Management 1.1 Organization and Planning Professional Standard: An updated and detailed policy and procedures manual exists that delineates the responsibilities and operational aspects of the personnel office. Progress on Implementing the Recommendations of the Improvement Plan: 1. In response to standards in the operational area of Community Relations and Governance, the district had developed a detailed action plan for: (1) evaluating the existing board poli- cies, providing for staff and public input, and distributing new and revised policies and regu- lations; (2) initiating a process to identify missing policies that are legally required and/or need updating, and identifying persons responsible for development, updating and review of existing policies, then communicating the results to department managers for review and prioritization; (3) after receiving feedback from department managers, developing drafts of new policies and revising existing ones to indicate where district decisions/perspective are needed; (4) providing for regular policy updates using California School Boards Association (CSBA) Policy Service notifications; and (5) providing for the annual readoption of policies. 2. HR submitted the following priority policies for review by March 15, 2005: a. Board Policies 4000(a), 4115, 4117.4-4117.6, 4118, 4211, 4212, 4214(a), 4215, 4218, 4311, 4313.2, 4315, and 4315.1 were submitted to address Standard 1.2. b. Board Policy 4113 was submitted to address Standard 3.13. c. Board Policy 4213 was submitted to address Standard 5.4. d. Board Policy 4131 was submitted to address Standard 8.1. 3. The new policies have been designed to be very brief and broad so that departments can implement them using accepted district procedures and practices. The Assistant Superin- tendent of HR made revisions to the priority policies and submitted them for a final re- view and for adoption by the Governing Board. 4. HR’s detailed action plan for this standard was revised and updated on Oct. 12, 2006. The action plan is contained in a binder that currently also serves as the policy and procedures manual for the HR policies. 5. In 2006, the board has adopted eight new/revised HR policies. The following board adopted HR policies have temporary numbers: a. Employee Safety (4000a) (New) b. Decision Not to Rehire (4000b) (Revised) c. Complaint Policy (4000c) (Revised) d. Suspension/Disciplinary Action (4000d) (New) e. Recruitment and Selection (4000f) (New) f. Classified Evaluation and Supervision (4000g) (Revised) g. Management Evaluation and Supervision (4000h) (Revised) h. Competence in Evaluation of Teachers (4000i) (Revised) Personnel Management  6. The manual contains additional department-identified priority policies (adopted in 1994), which will be reviewed and revised as the policy review process continues. 7. The entire remaining 4000 series of board policies are still active and will be the subject of continuing policy review until complete. HR lists the policy review as a governance item in the HR Annual Calendar. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 5 Implementation Scale:  Personnel Management 1.2 Organization and Planning Professional Standard: The district has clearly defined and clarified roles for board and administration relative to recruit- ment, hiring, evaluation, and dismissal of employees. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 1.2 that includes critical actions to be taken, an implementation time line, the responsible department/person, planned documentation, and percentage completed. The plan was updated September 22, 2006. 2. During 2006, the following board policies that delineate the role of the board and admin- istration in recruitment, hiring, evaluation, and dismissal of employees were adopted by the Governing Board: a. Decision Not to Rehire (4000b) (Revised) b. Suspension/Disciplinary Action (4000d) (New) c. Recruitment and Selection (4000f) (New) d. Classified Evaluation and Supervision (4000g) (Revised) e. Management Evaluation and Supervision (4000h) (Revised) f. Competence in Evaluation of Teachers (4000i) (Revised) 3. HR has developed job descriptions, procedures, and instructions that help clarify the roles of the Governing Board and the administration. The following documents assist in delin- eating the roles: a. HR managers’ job descriptions b. Job postings c. Applicant screening documents/procedures d. Interview rubrics and questions e. Interview files f. Exit questionnaires g. Pre-employment Inquiry Do’s and Don’ts h. HR—The Art of Hiring i. Cooperative Organization for the Development of Employee Selection Procedures (CODESP) Contract—Development of Employee Selection Procedures j. Annual Teacher Recruitment Plan 4. The procedures linking recruitment, evaluation, and discipline to board policies and col- lective bargaining have been further developed as each of the managers and HR staff members continue the development of a detailed desk manual. The Recruitment Special- ist has been working on the desk manual for the position, which will ultimately define the working procedures for inclusion in the overall HR Procedures Manual. Personnel Management  Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 5 Implementation Scale:  Personnel Management 1.3 Organization and Planning Professional Standard: The Personnel Department has developed a mission statement that sets clear direction for person- nel staff. The Personnel Department has an organizational chart and a functions chart that include the names, positions, and job functions of all staff in the Personnel Department. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 1.3 that includes critical actions to be taken, an implementation time line, the responsible department/person, planned documentation, and percentage completed. The plan was revised on September 22, 2006. 2. HR has continued its work to horizontally align its functions with the other district de- partments, but has gained agreement of the State Administrator that some HR functions work better vertically. 3. The health and welfare benefits and Workers’ Compensation functions were returned to Fiscal Services. The position of Director, Staff Support, was eliminated. 4. The current organizational chart shows a Director of Elementary and a Director of Secondary that represent the HR horizontal alignment of the district. A staff directory lists the functions of each HR position. An Operations Manager position was created and filled to oversee a Certificated Personnel Technician, two Classified Personnel Technicians, the Credentials Technician, and the Recruitment Specialist. One version of the organizational chart includes a list of the backup person/position for each position. 5. The HR mission statement is: “The Mission of the HR Department is to provide the district with diverse and highly qualified staff, and ensure their success by: facilitating, monitoring, directing, and coordinating effective and caring support services.” The mis- sion statement is posted on the wall, on the HR Web page, and is in all of the individual desk manuals that are being developed. It is accompanied by the HR Vision and Guiding Principles. 6. The mission statement also appears on the HR white board that is dedicated to posting weekly department activities, an inspirational message of the week, birthdays, and any other information that is pertinent for the week. Personnel Management  Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 2 May 31, 2006 Rating: 4 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 7 Implementation Scale: 0 Personnel Management 1.5 Organization and Planning Professional Standard: The Personnel Department has a monthly activities calendar and accompanying lists of ongoing personnel activities to be reviewed by staff at planning meetings. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 1.5 that includes critical actions to be taken, an implementation time line, the responsible department/person, planned documentation, and percentage completed. The plan was revised on Sept. 22, 2006. 2. The Monthly Activities Calendar has undergone major work and revision since the last review. It was organized into categories by month: Governance, Contractual (VEA & CSEA), Departmental Leadership and Operations. Ongoing activities were eliminated and the calendar is now beginning to reflect important monthly occurrences. Staff mem- bers reported using it to manage their time, to plan ahead, and to understand what is go- ing on among their departmental colleagues. It has become an effective tool and is a dynamic document that will be revised as appropriate. 3. The Monthly Activities Calendar is also formatted to cross reference activities associated with the HR FCMAT standards. 4. The Monthly Activities Calendar serves as the basis for the HR Department’s white board that contains weekly activities. When questioned, staff can recall and discuss what is on the board. 5. The HR Operations Group has completed the operations section of the Monthly Activities Calendar through December. It plans to do the same work for the second six months of the year, plus continuing revisions. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 6 Implementation Scale: Personnel Management  2.1 Communications: Internal/External Professional Standard: The Personnel Department utilizes the latest technological equipment for incoming and outgoing communications. Progress on Implementing the Recommendations of the Improvement Plan: 1. Since the last review, the redesign of the district’s Web site has been completed, and departments are now posting information to the appropriate pages. For HR, the public section of the Web site includes: a. The HR Mission Statement and Vision, with a list of HR staff members, their job titles and phone numbers. E-mail addresses and the department’s functional directory should also be included. b. For prospective job applicants, a page with the application procedures and required documents. c. A list of vacant positions, as well as a link to EdJoin, where the vacant positions are also listed. HR is now using EdJoin’s application process and no longer has a separate application on the district’s Web site. Applications are accepted through EdJoin or by mail, fax, or in person at the district. The district still manually keeps the job postings consistent between the district’s Web site and EdJoin. d. A separate page advertising opportunities for substitutes. This page remains rather static since it has generic information on substitute positions and does not list all of the specific openings. A link to EdJoin should be added to this page so that users can access the specific openings and job application process. e. A set of the current salary schedules for all certificated and classified positions. f. A one-page summary of the health and welfare benefits available for active employees. 2. The StaffNet portion of the Web site is for employees only, and HR has posted the fol- lowing information: a. Standard forms needed by employees b. Internal-only job postings c. Current collective bargaining contracts d. New employee orientation materials e. More information on employee benefits f. Maps for the schools 3. The HR Department is relying more on e-mail as a method for mass communication to departments and sites. Notices to all employees may still need to be on paper, since not all employees have an e-mail address or access to a computer. These notices also should be posted to the StaffNet portion of the Web site so that employees can refer to them as needed. EdJoin includes the capability to communicate with applicants via e-mail, and HR now uses this feature as the primary method of communication with that group.  Personnel Management 4. Since the last review, more training has been provided to staff members in HR for gener- ating reports from the systems used in the department. HR staff members are able to gen- erate the standard reports that are required regularly. Further training to assist staff with ad hoc reporting is included in the department training plan. 5. Customer service continues to be a subject of focus in HR staff meetings, and HR contin- ues to sustain its past progress in improving customer service. The department has made additional improvements, such as designating backup people for each function, imple- menting a reorganization to consolidate all operational functions under one manager, implementing requirements for the timing of returned phone calls and e-mails, and pro- viding better communication within the department through use of the HR white board and regular staff meetings. The physical layout of the department continues to make it difficult to coordinate services supporting the horizontal realignment of the organization, especially with the two separate entrances into the department’s office. However, once the department moves to the new building in November 2006, staff will be located in the same general area so that the physical layout should no longer impede customer service. 6. HR has implemented a program of upgrading the software and capabilities of the com- puter work stations in the department and providing training to facilitate more effective and efficient use of the department’s technology. 7. Primarily in preparation for moving the district office to the new building, HR has begun archiving old documents into digital images, and has scheduled old nonessential docu- ments for shredding. The department plans to eventually get scanners so that digitizing current documents becomes a part of the everyday process. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 5 Implementation Scale: Personnel Management  2.4 Communications: Internal/External Professional Standard: The Personnel Department staff is cross-trained to respond to client need without delay. Progress on Implementing the Recommendations of the Improvement Plan: The district has updated its detailed action plan for this standard to accomplish the following: 1. Combine like functions across the different sections of the department (elementary and secondary) to streamline activities and provide better, more consistent customer service. This has been accomplished in keeping with the district’s horizontal realignment orga- nization plan. Since the department found it difficult to implement the horizontal re- alignment structure in the lower levels of the HR organization, all operational support positions were combined under a new management position. This allows the elementary and secondary director positions to focus more on external and policy matters and has improved communications and streamlined department operations. An HR technician ser- vices position was designated to improve customer service, relieve the excessive work- load of other department positions, and provide a backup for credentialing functions. 2. Develop a cross-training schedule for the critical functions of all positions, and ensure that employees appropriately fill in for each other during absences. The cross-training schedule has been completed and backup personnel have been trained on a number of critical department functions. This has included using the new desk man- uals to train employees to back up functions and assist new employees. Cross training continues to be reinforced in staff meetings and as HR staff members continue to update and add to their desk manuals. 3. Establish departmental career paths for employees and ensure that they know the require- ments for moving to the next step. Career paths have been designated. Expectations and requirements for moving to the next step need to be reinforced with appropriate staff members. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 6 Implementation Scale:  Personnel Management 2.5 Communications: Internal/External Professional Standard: The Personnel Department holds regularly scheduled staff meetings. Progress on Implementing the Recommendations of the Improvement Plan: 1. The detailed action plan for this standard specifies that regularly scheduled meetings of various department personnel will occur. Indeed, the following are standard meetings being held within the department: a. HR managers meet weekly to discuss priorities, scheduled activities, goals for the week, and long-term projects that are in progress. b. Each HR manager meets at least monthly with his/her staff members, and the Opera- tions Manager holds weekly meetings with the operations team and the department secretaries to coordinate activities, address operational issues, review the Annual Calendar and deadlines, review and revise departmental procedures, provide cross training and backup of critical functions, discuss ideas for improving customer ser- vice and/or operational efficiency, and continue progress on special initiatives (such as the new hire process currently being revised). c. All HR staff members meet biweekly to communicate districtwide or departmentwide activities and discuss improvement plans (including the recommendations in these FCMAT reports), ways to improve customer service and/or efficiency, and major planned or in-progress activities (such as the relocation of the district office). 2. Overall, HR staff members indicated that they are adequately informed of important issues and activities occurring in the district and in the department, and, within the new HR organization, believe that they have adequate input on the department’s operations. 3. The standards and recommendations from the FCMAT reports are becoming internalized as progress is made and staff members see how their functions are enhanced and services are improved through these activities. The district needs to continue the internalization of these important practices. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 6 November 30, 2005 Rating: 4 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 8 January 25, 2007 Rating: 7 Implementation Scale: Personnel Management  3.4 Employee Recruitment/Selection Professional Standard: The Personnel Department has a recruitment plan that contains recruitment goals, including the targeting of hard-to-fill positions such as those in the areas of math, science, special education, and bilingual education. The district has established an adequate recruitment budget that includes funds for travel, advertising, staff training, promotional materials, and the printing of a year-end report, and that effectively implements the provisions of the district’s recruitment plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 3.4 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on September 22, 2006. 2. Consistent with the district’s overall horizontal alignment, two groups were identified to develop the certificated teacher recruitment plan and the marketing and materials plan. Focus groups were held with current new teachers to identify what did and did not work in past recruiting. A training meeting for the district’s recruitment team was held on March 9, 2006, and included the following agenda items: a. Purpose, roles, goals of recruitment team members b. District recruitment team contact list c. Recruitment plan schedule/budget for 2006-07 school year d. A schedule of prospective teacher visits (teachers who were contacted at job fairs were invited to visit schools in VCUSD) e. VCUSD Key Messages for prospective teacher flyer 3. The 2005-06 recruitment budget was set at $25,000. Recruitment brochures and materials consumed $12,000. An additional $15,000 was solicited from special projects. 4. Initially, seven job fairs were scheduled as follows: a. Sacramento State University—March 13, 2006 b. Saint Mary’s College—March 17 and 18, 2006 c. Northern California Recruitment Fair—April 1, 2006 d. Fresno State University Recruitment Fair—April 6, 2006 e. Solano County Office of Education Recruitment Fair—April 22, 2006 f. San Francisco State University—April 27, 2006 Originally, the team was also going to schedule the University of California at Davis Recruitment Fair; however, it was determined that the number of candidates to be seen did not warrant the cost. A recruitment fair at Chico State University was added to the schedule because it appeared to be a good source for special education teachers.  Personnel Management 5. Purchase orders were opened to allow for advertisement for teachers and administrative positions in the following publications: a. Association of California School Administrators (ACSA) Ed Cal b. California Association of School Business Officials (CASBO) publication c. Merion Publications d. Monster Worldwide e. Nursing Spectrum—Nurse Week f. Sacramento Bee g. San Francisco Chronicle h. Vallejo Times-Herald 6. The first annual recruitment report, titled Horizontal Alignment Report and Plan for Recruitment, was prepared in May 2006. The report included a chart of results of the spring job fairs by fair. A total of 304 candidates were contacted as a result of the seven job fairs, 68 were interviewed, and 24 contingent offers were made. The report also showed a chart of the number of applicants entered into the new applicant tracking spreadsheet each period beginning January-March 2005 to April 2006. In April 2006, the number was 358. The report showed charts indicating where applicants came from (91.6% from California and 6.8% from 17 other states), and how applicants reached the district. Finally, the report presents a chart of the roles of the departments of Human Resources and Academic Achievement and Accountability in the recruitment and hiring process. 7. Included in the annual report and plan is the generic Annual Teacher Recruitment Plan that contains recruitment goals as follows: a. Identify hiring needs b. Review and revise marketing plan c. Review and revise recruitment plan d. Review and revise selection and hiring protocols e. New teacher orientation and induction Each section is divided into columns labeled What, How, When, Who, and Data/ Resources Needed. 8. A spring 2006 Recruitment Plan follows the format of the Annual Plan but contains very detailed and specific activities, dates, and time lines, and the individuals responsible. There is also a staffing and enrollment time line for 2006-07, a staffing survey, and the recruitment team assignments for job fairs. 9. Staff reported that activities have not yet begun for the 2007-08 teacher recruitment, which is consistent with the Annual Recruitment Plan that shows the first activities to be identifying hiring needs in December and January. Significant work has been done in teacher recruitment, and the district is moving steadily toward full implementation of Standard 3.4. Personnel Management  Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005 Rating: 0 May 31, 2006 Rating: 4 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 6 Implementation Scale:  Personnel Management 3.5 Employee Recruitment/Selection Professional Standard: The district has developed materials that promote the district and community, are attractive, in- formative, and easily available to all applicants and other interested parties. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 3.5 that states the critical actions to be taken, general time frame, the responsible department/employees, planned documentation, and percentage completed. The action plan was revised October 9, 2006. 2. The marketing and materials group developed the “Make a Difference” teacher recruit- ment brochure. This brochure is extremely well done and cost approximately $12,000 to print. 3. HR has developed a brochure called “Inviting You to Consider Joining the Teaching Team in the Vallejo City Unified School District.” 4. There is a Beginning Teacher Support and Assessment (BTSA) brochure. 5. Other promotional materials include: a. VCUSD postcard for interviews with prospective teachers b. Recruitment e-mails c. Recruitment Prospective Teachers Visitation e-mails and forms d. VCUSD Key Messages for Prospective Teachers e. Recruitment/promotional materials folder f. Business cards 6. The Recruitment Specialist worked with other departments to develop flyers specific to classified jobs in areas such as transportation, para-educators, and substitute custodians. 7. According to the Annual Report, data indicate that the Internet is now a better recruiting tool than newspaper ads and is beginning to have a broader impact than job fairs, particu- larly for teacher candidates. The district is moving toward the universal use of EdJoin for applications and applicant tracking. This means that advertising and marketing strategies must move toward the Internet, although brochures and marketing materials remain a viable way to direct people to the Internet. Personnel Management  Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 3 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 6 Implementation Scale: 0 Personnel Management 3.6 Employee Recruitment/Selection Professional Standard: The district has identified people to participate in recruitment efforts, including principals, dis- trict personnel and others, as appropriate, and has provided them with adequate training to carry out the district’s recruitment goals. Progress on Implementing the Recommendations of the Improvement Plan: 1. A detailed action plan for Standard 3.6 states the critical actions to be taken, a time line for implementation, the responsible department/employee, planned documentation, and percentage completed. The action plan was revised October 11, 2006. 2. Twenty-three people were identified to be part of the teacher recruitment team for the 2006 spring recruitment, including site administrators, teachers, and HR directors. 3. The teacher recruitment team went through a training session and were given a folder that contained the following: a. Purpose and Roles of Recruitment Team Members—Plan/Goals b. VCUSD District Recruitment Team Contact List c. VCUSD Recruitment Team Assignments for Scheduled Job Fairs d. VCUSD Key Messages for Prospective Teachers e. Criteria for Selecting Candidates for Interviews at Recruitment Events f. Recommending Teacher Candidates for Hire g. Recruitment and Hiring Do’s and Don’ts h. VCUSD Recruitment Teams “Keep in Mind” i. Criteria and Procedures Reviewed j. Short interview form/rating sheet for job fairs (general teaching and special ed) k. VCUSD Recruitment Team/Fair Feedback form 4. The Annual Teacher Recruitment Plan indicates that the members of the recruitment teams for 2007-08 will be identified mid-January to early February 2007. Staff members confirmed that this task remains in that time frame. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 6 Implementation Scale: Personnel Management  3.13 Employee Recruitment/Selection Legal Standard: The district appropriately monitors teacher assignments and reports as required under Education Code Section 44258.9. Progress on Implementing the Recommendations of the Improvement Plan: 1. A detailed action plan for Standard 3.13 includes critical actions to be taken, a time line for implementation, the responsible department/ person, planned documentation, and per- centage completed. The action plan was revised on October 11, 2006. 2. During the 2005-06 school year, the Credentials Technician completed audits of the Decile 1-3 schools in accordance with the Williams Act. 3. A consultant who is working with the district on various technology projects reported that changes are planned for the California Educational Computer Consortium (CECC) system that should eventually allow the district to use a more automated process for monitoring credentials. Therefore, the district’s plan to build a database bridge between CECC and Aeries has been set aside. This means that the Credentials Technician will have to continue to perform the internal audits by accessing the teacher assignments from Aeries and then conducting the hand match to the credentials report. 4. The Credentials Technician was unable to start the full credentials audit because she had not received the upgrade for the software. Her software was upgraded on October 19, 2006, during the FCMAT review and she reported that the audit was under way. 5. The president of the Vallejo Education Association worked on a 20% basis with HR to develop and implement a process to ensure that teachers meet the standards of being highly qualified in accordance with No Child Left Behind. Approximately 750 teachers were identified who required documentation of highly qualified status. The deadline for districts to reach the highly qualified status has been extended an additional year. The district is approximately 98% in qualified status and the project is being completed. 6. The district has initiated the use of EdJoin for recruitment and hiring and, as part of the new process, candidates will have credentials checked by the Credential Technician before they are eligible to be interviewed and selected by principals. This is an additional step toward ensuring that the district’s teachers are properly credentialed. 7. A credentials audit of the entire district must remain an institutionalized priority.  Personnel Management Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 7 Implementation Scale: Personnel Management  4.1 Employee Induction and Orientation Professional Standard: Initial orientation is provided for all new staff, and orientation handbooks are provided for new employees in all classifications: substitutes, teachers, and classified employees. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department has developed an automated presentation for orientation sessions for both certificated and classified employees. This helps to ensure a uniform and full orien- tation for each employee, as well as to orient employees in groups. The district also pro- vides an online training course on workplace safety that all new employees are required to complete. Also, detailed orientation procedures have been completed and included in the desk manuals. 2. HR has updated the substitute teacher and certificated employee handbooks, but there is no current handbook for classified employees. Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale:  Personnel Management 5.2 Operational Procedures Professional Standard: Personnel Department non-management staff members have individual desk manuals for all of the personnel functions for which they are held responsible. Progress on Implementing the Recommendations of the Improvement Plan: 1. Since the last review, HR has continued to make significant progress on desk manuals. The manuals contain some standard information, such as the HR Mission Statement and Guiding Principles, department organizational chart and backup assignments, the Annual Calendar, a job description for the position, a table of contents, and definitions for acro- nyms and abbreviations that are commonly used in HR. From there, each manual contains procedures specific to that desk, including procedures for using the technology involved (CECC, SEMS, EdJoin, etc.). These manuals are largely complete, including the most critical functions, and have been found helpful when training new HR staff members and backup personnel. HR staff members should recognize that desk manuals will continue to be a work in progress, as they are for any organization, especially since procedures and technology continue to change and improvements are made in work efficiency. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 5 Implementation Scale: Personnel Management  5.3 Operational Procedures Professional Standard: The Personnel Department has an operation procedures manual for internal department use in order to establish consistent application of personnel actions. Progress on Implementing the Recommendations of the Improvement Plan: 1. The “Human Resources Division Services and Procedures Manual 2006-07,” developed by the HR Department, contains the district’s goals, the HR Mission Statement and Guid- ing Principles, the HR Annual Calendar, the HR personnel task listing, some definitions, and an alpha list of all department procedures. Each procedure is linked to board policy. About half of the procedures identified have been written and included in the procedures manual. Some of these procedures need to be augmented to specify the position in the HR Department that is responsible. HR needs to continue to add to this manual and continue to show the linkage to board policy and the HR Annual Calendar as applicable. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 4 Implementation Scale:  Personnel Management 5.4 Operational Procedures Professional Standard: The Personnel Department has a process in place to systematically review and update job de- scriptions. These job descriptions shall be in compliance with the Americans with Disabilities Act (ADA) requirements. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 5.4 that includes critical actions to be taken, a time line for implementation (e.g., November 2006), the responsible department/em- ployee, planned documentation, and percentage completed. The action plan was revised on Sept. 25, 2006. 2. Job descriptions are being updated in a consistent format that includes: job title, work year (including hours per day and days per week for classified jobs), exempt or nonex- empt status, position type (certificated, classified, supervisor, manager, and/or confiden- tial), pay range (monthly, weekly, or hourly as appropriate), a summary statement of duties, specific duties, knowledge/skills/abilities, and working conditions. The working conditions section has been revised to be consistent with the physical standards of the Workers’ Compensation system for each job. 3. A temporary employee has been hired to complete all of the job descriptions in the new format. The drafts will be sent to the managers for review before they are finalized. When all of the job descriptions are completed, they will be placed on the district’s Web site. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 5 Implementation Scale: Personnel Management  5.5 Operational Procedures Professional Standard: The Personnel Department has procedures in place that allow for both Personnel and Payroll staff to meet regularly to solve problems that develop in the process of new employees, classifi- cation changes, and employee promotions. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR and payroll staff continue to hold monthly meetings. Participants include the Work- ers’ Compensation Technician, the HR Technicians, and the Credentials Technician as well as payroll staff. Agendas include discussion items, such as the CECC user meetings, implementation of work calendars, upcoming payroll deadlines, employee leave issues and procedures, upcoming changes to the substitute system, and the Notice of Assign- ment (NOA) process. 2. The meetings between HR and Payroll have resulted in a number of procedures having been documented, and should continue to be a mechanism to support the development of desk manuals and HR’s procedures manual. The interdepartmental procedures have been identified in the HR procedures manual, so these meetings should continue to be a way to document those procedures, including time lines and designating the responsible party for each step. This process should also help to ensure consistent interpretations of policy and bargaining unit contract provisions between departments and over time. 3. Since the last progress review, the rest of the risk management functions have been shift- ed to the Business Division so now all risk management functions are in that division. This serves to better delineate the duties between the HR and Business divisions. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 5 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 6 Implementation Scale:  Personnel Management 5.8 Operational Procedures Professional Standard: Personnel staff members attend training sessions/workshops to keep abreast of the most current acceptable practices and requirements facing personnel administrators. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has developed a detailed action plan for Standard 5.8. The plan includes critical actions to be taken, a time line for implementation, the responsible department/employee, planned documentation, and percentage completed. The plan was revised Oct. 16, 2006. 2. The detailed action plan includes an assessment of the HR nonmanagement staff to determine the need for training in areas including but not limited to understanding of and proficiency with the CECC system, other database tools, customer service, recruitment/ selection, testing procedures, credentialing, Workers’ Compensation, retirement systems, and collective bargaining. HR has been working with the Business and Technology departments, the Solano County Office of Education, CODESP, and other identified pro- viders of training workshops. 3. HR has developed a written Human Resource—Staff Development Plan, which lists the name of the person/position, the task areas, and the training needed. The plan was devel- oped in August 2006 and revised in October 2006. 4. HR has created a list of the professional development planned for all staff members for 2006-07, including the type and source of staff development, the department employees who will attend, and the dates. Purchase orders document that the plans are being fol- lowed. 5. HR continues to consider its own internal meetings and meetings with other departments, as well as meetings resulting from horizontal alignment projects, to be professional devel- opment for participating staff members. These are all viewed as ways to gain information regarding district practices and procedures. 6. Based on a review of the purchase orders for registrations, the following trainings and professional development sessions have been attended by HR staff members: a. CalPERS Educational Forum b. Center for Collaborative Solutions c. CODESP d. Lozano Smith, Attorneys at Law, Labor Law Consortium e. Miller, Brown & Dannis Legal Consortium f. eSchools Solutions, Inc. g. Solano County Office of Education h. Workers Compensation Hearings—Techniques and Strategies i. Management of Employee Benefits Workshop j. Office Ergonomics Workshop Personnel Management  k. CalPERS Workshop—Solano County Office of Education l. ACSA Personnel Academy m. VIPS Training n. Managing Emotions Under Pressure o. Managing Multiple Projects, Objectives and Deadlines p. Human Resources for Professionals Who Have Recently Assumed HR Responsibili- ties q. BTSA Induction Credentials 101 Workshop r. Credentials Analysts of California (CAC) Conference s. CalPERS Educational Forum t. ACSA’s 2006 Annual Conference 7. HR staff reports continuous training on the CECC system. 8. HR has subscribed to publications as a means for staff members to remain current with HR issues, including: a. Miller, Brown & Dannis Law Alerts b. ACSA HR Best Practices c. National Association of Educational Negotiators (NAEN) materials d. Thomas West e. EEOC Posters f. CODESP Newsletters Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 3 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 7 Implementation Scale: 0 Personnel Management 5.10 Operational Procedures Professional Standard: Established staffing formulas dictate the assignment of personnel to the various sites and programs. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district was able to successfully negotiate an agreement with its certificated employee bargaining unit to relax some of the requirements on class sizes, number of stu- dent contacts, and custodial services. This should continue to be pursued to provide more flexibility with staffing and assist the district with its financial recovery. 2. The district has prepared a detailed action plan for this standard. Staffing formulas for custodians, clerical support at schools, campus supervisors, and site administrators are in place, but the district has not recently compared these to similar districts. The district needs to determine other positions where staffing formulas could apply, and then develop them. The district should also compare its formulas with those of similar districts. The formulas should then be incorporated into Board Policies and Administrative Regula- tions, and should be reviewed annually for staffing adjustments. 3. The staffing formulas developed should specify the number of full-time equivalent (FTE) positions (daily work hours and number of days per week) to be allocated, as well as the length of the work year, so there is consistency between sites and so the work year matches the workload. 4. In preparation for the 2006-07 school opening, the detailed Enrollment and Staffing Confirmation Time Line was developed. This included specific tasks, responsibility assign- ments, and time lines, with detailed instructions for the school sites to follow. The district also reconfigured course offerings at the secondary level and had enrollment and staffing projections completed to meet the statutory deadlines related to reducing staff last spring. The district also has a process for continual monitoring of enrollment and, as enrollment continues to decline during this year, is prepared to reduce staffing mid-year. The district must ensure this is accomplished as planned to keep pace with declining enrollment. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 6 November 30, 2005 Rating: 7 May 31, 2006 Rating: 7 January 25, 2007 Self-Rating: 8 January 25, 2007 Rating: 7 Implementation Scale: Personnel Management  7.1 Use of Technology Professional Standard: An online position control system is utilized and is integrated with payroll/financial systems. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department has updated the detailed action plan for this standard, which now includes: a. Moving CECC from two different platforms to one, so position control is integrated. This has not yet been completed, so manual processes and reconciliations are still needed to keep the databases in sync. The district should move forward with this as soon as the applications are completed by the consortium and tested. b. Automating leave accruals and the personnel requisition process when CECC is updated to automate the Personnel Action Form (PAF) module. Leave accruals are automated, but the leave usage is still posted manually by payroll staff based upon time sheets. This process continues to be several weeks behind, so determining a particular employee’s leave balance at any given time requires manual calculations. The district should implement automated PAFs and automated leave usage posting (requiring automation of time sheets or an interface from the substitute management system) as soon as the modules are available and tested. c. Determining if an appropriate audit trail exists within the CECC system once the upgrade is completed. As above, the district should move forward with this as soon as the application is available and tested. Recommendations to improve the audit trail should be made to the County Office of Education through the user group to eliminate any system loopholes, especially since this area relates to internal controls and could cause audit findings if audit trails are not appropriately kept. d. Designating users to attend CECC system user meetings and training sessions. This has been accomplished, as HR staff members have regularly been attending user meetings and training sessions as they become available. This is in the HR Depart- ment’s training plan. e. Preparing procedures for each staff member entering data to audit his/her own data before moving to the next step of the process. This has been largely completed for current processes, and will need to be updated as new modules of the system are implemented.  Personnel Management f. Refining workflow processes, including identifying those no longer needed. The HR Department has begun to identify the critical procedures for this review, and is currently analyzing the new hire process. g. Controlling FTE allocations by site. The HR Department has been an important contributor to the district’s current process to manage FTE allocations by site, which, for the 2006-07 year, resulted in keeping FTE allocations aligned with enrollment and with the budget and position control pro- cess. The district needs to continue its diligence and staff investment in this process to manage the very significant personnel portion of the budget. h. Providing for automatic payroll and hiring notification when final approvals are complete. This should be included in the automation of the PAF process when that is imple- mented. 2. The district has completed inclusion of all positions in the position control system. How- ever, a significant remaining issue is that there are no payroll encumbrances. There are assurances that the system will include this function, but no time line has been provided. Since this is an important component of budget control, the district must pursue the modi- fication of the system to include it. 3. A test version of the CECC system has been set up and is available at the COE for train- ing. The district should work with the county to establish a separate test version of the system that can be accessed by the districts so that users can test scenarios within the software. In addition, before more conversions of data are made (such as when the new benefits or PAF modules are integrated), users should be able to convert a sampling of data into the test system, verify that the data is correct, that the system functions appro- priately using the data, and that users of the system can maintain the data. 4. HR and Business both prepare information on deadlines and time lines for internal use. However, there is no combined effort to prepare and coordinate information before send- ing it to other departments and school sites. These departments need to develop a coor- dinated schedule of requirements and deadlines for information from school sites and departments. The schedule should include the requirement that paperwork and approval must be obtained before an employee’s hours or status can be changed, or a new employee can work. Training should be provided and managers held accountable for meeting deadlines and for providing complete and accurate information. 5. HR and Payroll have been working together to establish procedures and guidelines for employee leaves, including how they are designated in the system. Training is scheduled for all managers on how and when to report on employee leave situations. 6. The district should determine whether tally sheets are still needed, and, if not, eliminate their use and the stipend that goes with them. Personnel Management  7. Since the last review, HR was able to issue a second round of Notice of Assignments (NOAs) for each employee, this time with more current information and before the first paycheck of the year. The NOAs were distributed this time through the sites and depart- ments, which were responsible for ensuring that they were all signed and returned. HR has received a significant number of employee questions about the information on the NOAs, primarily asking for clarification, and not because of invalid information from the system. HR plans to continue issuing these each year until the state auditors eliminate the require- ment; however, this process should continue. The auditors require them to be sent out before the first paycheck of the year, but, once that requirement ceases, they should be sent out in the fall, after all of the new hires for the new school year and the step and column changes for current staff have been completed. This would serve as an annual contract for employment since it requires an employee’s signature and return to HR. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 5 Implementation Scale:  Personnel Management 7.3 State and Federal Compliance Professional Standard: The certificated and classified departments of the Personnel Department have an applicant track- ing system. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has developed a detailed action plan for this standard, including: a. Reorganizing HR and creating a Recruitment Specialist position. This has been completed, so now a group of employees is responsible for day-to-day operations of the department under a new Operations Manager position. There is also a new Recruitment Specialist position in that operations group. b. Developing and maintaining a spreadsheet to track applicants. This has been completed using Excel, which allows the data to be sorted as needed so reports can be generated for other users. HR plans to implement the full applicant tracking capabilities available within EdJoin (at the time of fieldwork it was slated for November 2006). HR has determined that the EdJoin application contains all of the elements that are currently needed within the Excel spreadsheet for applicant track- ing. c. Using a Web-based application for applicant tracking. As discussed above, HR is implementing the EdJoin applicant tracking functions, which are Web-based. In addition, the plan is to move to a paperless process by pro- viding a kiosk with a scanner in the HR office for walk-in applicants. d. Downloading applicant tracking data to CECC. This should continue to be pursued once HR implements the EdJoin applicant track- ing system. e. Pursue implementation of fully Web-based applicant tracking in CECC. While it would be best to fully integrate the database functions, the module still has to be developed and there has been no discussion to include this among other future CECC modules. Implementing EdJoin and providing an automated interface form should be sufficient until there is a fully integrated CECC solution. f. Training staff on the use of the applicant tracking system. Staff members have been trained on the use of the new EdJoin applicant tracking system and are preparing for implementation. Personnel Management  Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 5 Implementation Scale:  Personnel Management 7.5 State and Federal Compliance Professional Standard: The Personnel Department has computerized its employee database system including, but not limited to: credentials, seniority lists, evaluations, personnel by funding source, program, and location, and Workers’ Compensation benefits. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department has developed a detailed action plan to address this standard: a. Fully integrating employee benefits, position budgeting, HR, and payroll on the same CECC platform. This is dependent on the modules being made available in CECC and being appro- priately tested. HR should continue to pursue this to eliminate manual reconciliation processes and improve data accuracy and timeliness. b. Researching options to interface the employee attendance and substitute assignments in the substitute calling system with CECC. This is not currently available in CECC, so HR plans to move to a Web-based substi- tute and leave reporting system (SmartFind Express), which certificated and classified employees will be required to use to report their absences. This system will include an automated interface with CECC to feed payroll and update employee leave balances. This should save significant staff time in entering employee and substitute informa- tion into the payroll system, and in posting leave usage to employee records. It should also reconcile employee-reported leave to substitute usage. This should be done manually until the new system is in place. c. Fully automate leave accrual and usage within the CECC system. Normally this would require automation of time sheets, which the district should pursue. In the meantime, converting to the Web-based leave reporting and substitute system with an automated interface to CECC will accomplish much of what is needed to streamline payroll and keep employee leave balances up to date. d. Providing training to maintain the system. HR staff members have started training on the SmartFind Express system, which is scheduled for implementation in the spring for the 2007-08 school year. e. Scanning and uploading documents into a digital storage system, including providing training on how to access the records. HR has researched digital storage options in preparation for the relocation of the district office. HR selected the SoftFile Company to digitally archive documents and Personnel Management  provide a retrieval system and training for HR staff. Eventually, HR plans to obtain scanners and digitize documents as an everyday process. f. Continue downloading data from CECC to Excel as needed to perform analyses. HR has continued to use this process for analysis and for some forms of management reporting. g. Researching the value of integrating the Workers’ Compensation data with the rest of the system. . The HR Department has determined that integrating the Workers’ Compensation data into CECC is not feasible, since the district uses a software package specifically for Workers’ Compensation data and cases, and most of the data and functionality are not offered in CECC. Until CECC has the functionality, the district should provide an automated interface between the two systems to eliminate duplicate data entry and the errors that can occur from that process. h. Providing an annual NOA to every regular employee of the district, requiring feed- back and corrections from employees. This was completed for the first time in January 2006, but there were issues because of the mid-year salary increases and benefit changes. This year, in advance of each employee’s first paycheck for the 2006-07 school year, NOAs were printed and pro- vided to each employee (see Standard 7.1). 2. The HR Department’s new Operations Manager position has been designated as the tech- nology liaison with the internal Information Technology Department and the COE. This will be helpful to the HR Department for coordinating and focusing on technology use, new technology development, and technology training for department staff. 3. The district has begun to automate the combination of data between the student and CECC systems to produce CBEDS data and provide information for the credentials audit. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 6 Implementation Scale:  Personnel Management 8.1 Staff Training Professional Standard: The district has developed a systematic program for identifying areas of need for in-service train- ing for all employees. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 8.1 that includes critical actions to be taken, a time line for implementation, the responsible department/employee, planned documenta- tion, and percentage completed. The action plan was revised on September 26, 2006. Pro- fessional development is a mandate of the State Administrator for all levels of staff in the district. 2. One of the district’s goals is building capacity to sustain the achievement, fiscal, and school climate improvements when local control is regained. Professional development for all employees is viewed as essential to the vision of regaining local control and build- ing capacity. Professional development is decentralized; each division leader is respon- sible for ensuring that it occurs for the staff of that division. No one department controls the assessment, planning, and delivery of professional development. 3. The Academic Accountability and Achievement Division has developed and maintains the VCUSD Instructional Plan, which contains all of the professional development activi- ties associated with improving academic achievement for the district’s certificated teach- ers. The plan also contains the bulk of the professional development activities for site administrators associated with improving academic achievement. 4. Beginning in 2006, HR and Business Operations have held a joint monthly meeting with site administrators. HR and Fiscal Services have used this time, as well as additional time at the leadership team meetings, to provide professional development associated with various operational aspects of school leadership. To date, HR has provided training in employee evaluation, due process and discipline (FRISK model), and contract adminis- tration. 5. The Information Technology Department offers classes for clerical personnel in software technology use. 6. Documentation provided to the review team included evidence of job-specific training in Maintenance and Operations, Information Technology, Business Operations, and Human Resources. 7. HR initiated and maintains an online calendar (www.vallejo.k12.ca.us/calendar/) that all departments may use to post professional development activities and major meetings for the year. The calendar shows substantial use, although it does not contain all of the pro- fessional development activities and does not include individual activities (e.g., the Cre- dentials Technician attending CTC credentials workshops). Personnel Management  8. HR has undertaken a project to initiate training for certificated substitutes. Standard Implemented: Partially November 1, 2004 Rating: 0 May, 2005 Rating: 1 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 4 January 25, 2007 Rating: 5 Implementation Scale: 0 Personnel Management 8.5 Staff Training Professional Standard: The district provides training for all management and supervisory staff responsible for employee evaluations. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a plan for Standard 8.5 that includes critical actions to be taken, a time line for implementation, the responsible department/employee, planned documentation, and per- centage completed. The action plan was revised on Oct. 9, 2006. 2. During the August 2005 retreat for administrators, HR staff members provided a presen- tation to principals on teachers’ evaluations. They delivered a packet that contained: (1) a description of the teacher evaluation process, including who should be evaluated and how often, in accordance with the VEA contract; (2) a copy of the VEA contract language; (3) an evaluation time line for 2005-06; and (4) the forms for completing the evaluation pro- cess. Three additional follow-up training sessions were held through March 2006. 3. On Aug. 10, 2006, at the Leadership Team Conference, training was provided using the FRISK Handbook—Practical Guidelines for Evaluators in Documenting Unsatisfactory Performance. 4. HR has developed a handbook for classified and certificated employee evaluations titled: The School Administrator’s Guide to Conducting Effective and Meaningful Evaluation. This handbook was scheduled to be distributed to the management team at the October 26, 2006, leadership meeting. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 5 Implementation Scale: Personnel Management  8.6 Staff Training Professional Standard: The district provides training opportunities to managers and supervisors in leadership develop- ment and supervision. Training topics might include interpersonal relationships, effective super- vision, conflict resolution, cultural diversity, gender sensitivity, and team building. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 8.6 that includes critical actions to be taken, a time line for implementation, the responsible department/employee, planned documenta- tion, and percentage completed. This plan was revised on Oct. 9, 2006. 2. Regularly scheduled VCUSD leadership meetings include formal and informal training on leadership-related skills and special topics related to managing. Examples of leader- ship topics from the leadership team meetings include, but are not limited to: Rights and Responsibilities, The 8 Elements of Sustainability, and The Attributes of Leadership. 3. In January 2006, the leadership team received training in conflict management and in avoiding sexual harassment complaints. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 1, 2004 Rating: 1 May 31, 2006 Rating: 2 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 5 Implementation Scale:  Personnel Management 8.7 Staff Training Professional Standard: The district develops handbooks and materials for all training components. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed plan for Standard 8.7 that includes critical actions to be taken, a time line for implementation, the responsible department/employee, planned documentation, and percentage completed. The action plan was revised on October 17, 2006. 2. HR has developed a handbook for classified and certificated employee evaluations titled: “The School Administrator’s Guide to Conducting Effective and Meaningful Evalua- tions.” This handbook was scheduled to be distributed to the management team at the Oct. 26, 2006, leadership meeting. 3. The “FRISK Handbook—Practical Guidelines for Evaluators in Documenting Unsatis- factory Performance” has been purchased. 4. HR developed a “New Employee Handbook—Certificated” that is part of a new employee orientation induction/training process. 5. HR developed a “Substitute Teacher Informational Handbook” and is initiating a project to expand it into a substitute teacher training program and handbook. 6. On October 5, 2006, HR sponsored a training session on processing grievances and pro- vided a handbook titled “Responding to Employee Grievances: A Public School Adminis- trator’s Guide.” 7. As training and staff development workshops continue to be designed, the materials for them should include handbooks or materials that the participants can use when they return to work. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005 Rating: 0 May 31, 2006 Rating: 1 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 5 Implementation Scale: Personnel Management  9.1 Evaluation/Due Process Assistance Professional Standard: The evaluation process is a regular function related to each employee and involves criteria related to the position. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 9.1 that includes critical actions to be taken, a time line for implementation, the responsible department/employee, planned documen- tation, and percentage completed. The action plan was revised on Oct. 17, 2006. 2. Board policies that set the foundation for employee evaluations have been reviewed, revised, and adopted by the board. These policies are: a. Classified Evaluation and Supervision (4000g) b. Management Evaluation and Supervision (4000h) c. Competence in Evaluation of Teachers (4000i) 3. HR has developed a handbook for classified and certificated employee evaluations titled: “The School Administrator’s Guide to Conducting Effective and Meaningful Evalua- tions.” It was scheduled to be distributed to the management team at the Oct. 26, 2006, leadership meeting, and contains evaluation standards and criteria related to classified or certificated positions and the evaluation forms for assessing performance. 4. HR has developed and implemented tracking procedures using the CECC system and Excel spreadsheets that ensure that every employee is evaluated on the appropriate evalu- ation schedule. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 6 Implementation Scale:  Personnel Management 9.2 Evaluation/Due Process Assistance Legal Standard: Clear policies and practices exist for the written evaluation and assessment of classified and cer- tificated employees and managers (EC 44663). Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 9.2 that includes critical actions to be taken, a time line for implementation, the responsible department/employee, planned documenta- tion, and percentage completed. The action plan was revised on Oct. 17, 2006. 2. The following board policies that provide the foundation for written employee evalua- tions were revised and adopted by the Governing Board: a. Classified Evaluation and Supervision (4000g) b. Management Evaluation (4000h) c. Competence in Evaluation of Teachers (4000i) 3. The VEA and CSEA collective bargaining agreements contain detailed evaluation proce- dures, time lines, content, and forms for the written employee evaluations. 4. The blank evaluation forms have been submitted to the Web master to be included under the forms section of the HR Web site. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 6 Implementation Scale: Personnel Management  9.3 Evaluation/Due Process Assistance Professional Standard: The Personnel Department provides a process for the monitoring of employee evaluations and the accountability reporting of their completion. Progress on Implementing the Recommendations of the Improvement Plan: 1. The detailed action plan for Standard 9.3 includes critical actions to be taken, a time line for implementation, the responsible department/employee, planned documentation, and percentage completed. The action plan was revised on Oct. 10, 2006. 2. HR created an automated system using CECC to generate reports of certificated evalua- tions that have not been completed on time. 3. HR developed a certificated evaluation workbook in Excel for each principal, listing teach- ers’ names and evaluation status, including those whose evaluations are overdue, those who have highly qualified teacher status (enabling an altered evaluation schedule), and those who are in the A or B process according to the collective bargaining agreement. Reminder e-mails are sent by the elementary and secondary directors as due dates approach. 4. HR has developed and maintained a spreadsheet showing the status of classified employ- ees’ evaluations for the last three years. Lists of classified employees to be evaluated in 2006-07 have been distributed to supervisors. Reminder e-mails are sent to supervisors as due dates approach. Reminder e-mails are also sent to supervisors of classified employees who are in probationary status and are required to have three-month and six-month evalu- ations. 5. The blank evaluation forms have been submitted to the Web master to be included under the forms section of the HR Web site. 6. An annual report to the Cabinet and State Administrator should be developed to inform them of the status of all evaluations. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 6 Implementation Scale:  Personnel Management 9.4 Evaluation/Due Process Assistance Professional Standard: The Personnel Department has developed an evaluation handbook and provided due process training for managers and supervisors. Progress on Implementing the Recommendations of the Improvement Plan: 1. The detailed action plan for Standard 9.4 includes critical actions to be taken, a time line for implementation, the responsible department/employee, planned documentation, and percentage of completion. The action plan was revised on Oct. 17, 2006. 2. Principals were provided four training sessions in 2005-06 regarding certificated evalu- ations. These sessions included instructions on writing objectives and communicating, observation and post-observation conferencing, and identification of pertinent student behaviors. 3. HR has developed a handbook for classified and certificated employee evaluations titled: “The School Administrator’s Guide to Conducting Effective and Meaningful Evalua- tions,” which was scheduled to be distributed to the management team at the Oct. 26, 2006, leadership meeting. 4. The district has purchased the “FRISK Handbook—Practical Guidelines for Evaluators in Documenting Employee Performance,” which was used in a training session for adminis- trators in August 2006. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 5 Implementation Scale: Personnel Management  9.5 Evaluation/Due Process Assistance Professional Standard: The Personnel Department has developed a process for providing assistance to certificated and classified employees performing at a less-than-satisfactory levels. Progress on Implementing the Recommendations of the Improvement Plan: 1. The detailed action plan for Standard 9.5 includes critical actions to be taken, a time line for implementation, the responsible department/employee, planned documentation, and percentage completed. The action plan was revised as of Oct. 17, 2006. 2. Board policies that set the foundation for employee evaluations have been reviewed, revised, and adopted by the board. These policies are: Classified Evaluation and Super- vision (4000g), Management Evaluation and Supervision (4000h), and Competence in Evaluation of Teachers (4000i). 3. HR has developed a handbook for classified and certificated employee evaluations titled: “The School Administrator’s Guide to Conducting Effective and Meaningful Evalua- tions,” which was to be distributed to the management team at the Oct. 26, 2006, leader- ship meeting. It contains guidance for developing effective improvement plans for certifi- cated employees and evaluation and progressive discipline for classified employees. 4. The district has purchased the “FRISK Handbook—Practical Guidelines for Evaluators in Documenting Employee Performance,” which was used in a training session for adminis- trators on August 10, 2006. 5. In accordance with the VEA Collective Bargaining Agreement (Article 15), the district maintains a Peer Assistance and Review (PAR) program to assist certificated employees who are performing at less than satisfactory levels. 6. HR assistance is provided to site or department managers upon request. This may include training site staff or providing the format for remediation plans. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 5 Implementation Scale:  Personnel Management 11.1 Employer/Employee Relations Professional Standard: The district has collected data that compare the salaries and benefits of its employees with dis- tricts of similar size, geographic location, and other comparable measures. Progress on Implementing the Recommendations of the Improvement Plan: 1. The completed detailed action plan for this standard includes the following components: a. Continuing to collect updated information to compare the district’s compensation and other data to other districts based on size, location, funding, and type of district. b. Collecting copies of bargaining unit agreements from the comparable districts. Lan- guage from other districts’ contracts was used to develop the district’s initial proposal to the certificated bargaining unit for the negotiations completed in 2005 (see Stan- dard 11.4). c. Reviewing the collective bargaining unit contracts and statewide databases to com- pare salary levels at the beginning, middle, and top of the salary schedule, as well as the levels of health and welfare benefits. During the last negotiations, the district pre- pared these materials for the certificated bargaining unit, using a statewide database that contains the data. Information on health and welfare benefits for both certificated and classified employees was collected and used as a critical component in the negoti- ations completed in 2005. The district continues to participate in a countywide survey of salary and benefits information to regularly obtain comparative data. d. Adding staffing and enrollment, revenues, expenditures, and other financial data to its plan for comparisons with similar districts to help measure level of effort. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 6 Implementation Scale: Personnel Management  11.2 Employer/Employee Relations Professional Standard: The Personnel Department involves site-level administrators in the bargaining and labor relations decision-making process. Progress on Implementing the Recommendations of the Improvement Plan: 1. The detailed action plan for this standard has been updated by HR since the last review and provides for: a. Involving administrators in the development of proposed language for the certificated bargaining unit contract. In preparation for its latest contract negotiations, the district held a number of meet- ings involving administrators, and used the results of a survey of administrators to establish priorities and proposed changes to the contract. This input was used in developing the language contained in the district’s initial proposal. The district also had several representatives from management on the negotiating team. The district kept the rest of the leadership team informed as revised proposals were discussed at the bargaining table throughout negotiations. Once the negotiations were completed, the district disseminated information on the general results of the process. b. Soliciting input from administrators and managers in developing the district’s proposal to the classified bargaining unit. Input was solicited through a survey to all managers for use in developing the initial proposal to the classified bargaining unit in March 2005. As discussed under 1.a. above, the leadership team was kept informed throughout the negotiations process. c. The successor agreements have been finalized and printed, and made available to each member of the leadership team. The HR Department should provide training so that the leadership team can make con- tract interpretation notes in the document to track information related to each article, such as: dates and responses to grievances; grievance resolutions; other informal meetings with employees or groups of employees related to interpretation of contract language; provisions that are unclear, confusing, or ambiguous; and language that is unworkable or creates a barrier to quality education and/or effective and efficient district operations. HR has begun this training with the evaluation process, the FRISK documentation model, and responding to grievances. Additional training sessions are scheduled for the rest of the 2006-07 fiscal year to address other contract management components. d. HR staff gathering implementation notes from all leadership team members on or before December 31 of each year and using this information to assist with crafting reopener or successor contract language. 0 Personnel Management e. HR staff meeting with members of the district negotiating teams to review the sugges- tions and draft reopener language or proposals for successor agreements. f. At the February meeting of the leadership team, HR staff engaging administrators in a critique of the draft language. g. In collaboration with Fiscal Services, HR staff analyzing the fiscal impact of the pro- posed language. h. Using feedback from the above steps, HR staff preparing a proposal to sunshine no later than the second board meeting in February for the certificated bargaining unit and March for the classified bargaining unit. i. Ensuring that these steps are taken in preparation for each negotiations cycle by including these key steps and dates in the HR Annual Calendar. 2. All of the above steps were included to some degree in the most recent negotiations process, which resulted in the successor agreements. Now that these agreements have been completed and include years with no reopeners, items d. through h. above will not be necessary during those particular years. The district needs to ensure that this process is followed during the years where proposals will be prepared and sunshined. The HR Department has planned for this by including these key steps in its Annual Calendar, as specified in item 1.i. above. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 6 Implementation Scale: Personnel Management  11.3 Employer/Employee Relations Professional Standard: The Personnel Department provides all managers and supervisors (certificated and classified) training in contract management with emphasis on the grievance process and administration. The Personnel Department provides clearly defined forms and procedures in the handling of griev- ances for its managers and supervisors. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department has updated its detailed action plan to address this standard, with the components as follows: a. Training on leaves of absence and a one-page protocol on managing employee leaves will be provided to the leadership team at the start of each school year. This was slated to be completed for the first time in August 2005, but was not done. It is scheduled for an upcoming meeting in the 2006-07 year. b. Training was provided on the evaluation and discipline of classified employees at the August leadership team meeting. This training is to be repeated in September of each year. The FRISK model and manuals were used for this training, and the FRISK manuals have now been made available to all of the leadership team. c. Training will be provided to the leadership team at the start of each school year on the certificated employee evaluation process. This training was provided, in the context of the new horizontal alignment of the district organizational structure, at the leadership team retreat held in August 2005, and additional training segments were provided in the following months. At the time of fieldwork, HR had completed the “Administra- tor’s Handbook for Evaluation,” which includes contract language and other informa- tion on evaluating both certificated and classified employees. A meeting was sched- uled for late October 2006 to distribute the handbook to administrators and provide additional training on the evaluation process. d. Training on the grievance procedures for both certificated and classified employees was provided to the leadership team in early October 2006. This training was very timely since HR received a number of grievances that should have been addressed at the earlier stages by administrators at the site level. The dis- trict needs to make a concerted effort to continue to provide the necessary guidance and tools to site administrators to address issues at the lowest level possible.  Personnel Management e. As changes are made to the collective bargaining unit agreements, training will be provided to the leadership team on their implementation and management. HR will also provide clearly defined forms and procedures on handling grievances. The successor agreements are now in place, and the district has begun providing train- ing as discussed above. In addition, there are training sessions scheduled later this school year to cover more information on evaluations, grievances, employee leaves, and other aspects of contract management. f. Purging old forms when new forms are developed to be consistent with new policy or contract language. HR will explore an online district forms management system. At a minimum, the forms should be made available on the district’s Web site for administrators and managers to download as needed, now that the district’s Web site redesign has been completed. g. Training will be provided annually on contract management and grievances. Training on contract management and grievances has begun to be implemented, and has been added to the Annual Calendar for HR to continue this training. A number of training sessions have already occurred and others are scheduled for the future. 2. The detailed action plan for this standard needs to be augmented to provide for contract management training as new managers and administrators are appointed. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 3 November 30 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 6 Implementation Scale: Personnel Management  11.4 Employer/Employee Relations Professional Standard: The Personnel Department provides a clearly defined process for bargaining with its employee groups (i.e., traditional, interest-based.) Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department has updated its detailed action plan to address this standard. The re- vised plan contains the following provisions: a. HR will facilitate the process of developing a set of district core beliefs that will be used to guide decision making in the collective bargaining process. 1) These core beliefs will be used in developing proposed contract language for con- sistency with the district’s goals and the mandates and expectations set by the state. 2) The core beliefs will be communicated to all employee groups, the Governing Board, and the public. During the last round of negotiations in 2005, the district developed a set of core beliefs to guide negotiations. A protocol was developed for conducting bargain- ing sessions and debriefings, including staying focused on the target, student achievement, and efficiency of operations. This protocol also included ground rules and a check-in and check-out procedure for all sessions. b. In collaboration with the leadership team, HR will adopt a process for bargaining with employee groups that is clearly stated, is consistent with the district’s core beliefs, is principled, and seeks to build and maintain positive employer/employee relations. The process will ensure that any proposed language is adequately assessed for its fis- cal impact and its impact on student achievement. The district and its bargaining units have agreed to use the interest-based bargaining process for negotiations, for which training was provided in recent years. This train- ing needs to be refreshed as the parties enter contract negotiations in the future. c. In collaboration with Fiscal Services, HR will ensure that any contract proposals made by management have been assessed for their fiscal impact on the district’s oper- ating budget in the current fiscal year, as well as in future years. In the collective bargaining processes completed in 2005, the district implemented this provision by securing estimates of the fiscal impact on each revised proposal. d. The HR Annual Calendar will contain dates for sunshining contract reopeners and/or full successor agreements with the certificated bargaining unit in February and the classified bargaining unit in March. These dates have been added to the HR Annual Calendar.  Personnel Management e. The process described in Standard 11.2 will be used annually to involve site-level administrators in the bargaining process. 2. In its initial proposal for the certificated bargaining unit contract, the district included lan- guage to address most areas of concern in the contract. The items not specifically addressed in the district’s initial proposal included: (c) department chairs and team lead- ers (3.11), (e) professional growth (4.1), (h) personal necessity leave (7.1.4), and (k) personal property damage (9.5). These provisions were not as significant in terms of the financial or educational effects on the district, and can be addressed in future successor contract negotiations. The district did include the provisions with the most significant financial effect (and therefore the greatest potential for improving the budget picture) in its initial proposal. During the negotiations process just completed, the district continued to be diligent in its information gathering and costing of various proposals as negotiations progressed to ensure that significant financial relief was provided from the restrictiveness of the contract. In the successor agreement ratified in 2005, the district was able to: a. Secure a cap on the district’s contribution to employee health and welfare benefits. b. Reduce the level of effort required of custodial services. c. Increase class-size flexibility at the high schools. d. Increase staffing ratios for nurses and counselors. e. Cap the hourly rate of pay for extra duty. f. Make improvements in management rights language. The agreement is for three years and includes salary increases but no reopeners. While this will allow the district to focus more of its efforts on academic and fiscal recovery, it prevents looking to the certificated unit agreement for further fiscal concessions until July 1, 2008. 3. With no reopeners in the agreements with both bargaining units, the district has scheduled monthly meetings with each unit to continue communication and address issues that arise. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 4 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 7 Implementation Scale: Personnel Management  11.5 Employer/Employee Relations Professional Standard: The Personnel Department has a process that provides management and the board with informa- tion on the impact of bargaining proposals, e.g., fiscal, staffing, management flexibility, student outcomes. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district completed the full contract negotiations process with both of its bargaining units in 2005. During that process, the Business Department provided information on the fiscal effects of the proposals as they were developed and modified. As discussions and negotiations continue with the bargaining units regarding various issues, HR has been working with Fiscal Services and other district departments to determine the effects of these discussions on finances, staff, and students. HR needs to continue developing a more comprehensive process that provides management and the board with ongoing in- formation on the fiscal, staffing, management flexibility, and student outcome effects of bargaining proposals. 2. Fiscal Services was able to provide the fiscal effects of various proposals to the district negotiating teams for the negotiations process completed in 2005, and this should be continued in future collective bargaining processes. A standard spreadsheet or multiyear projection software should be used to support this effort so that each iteration is clearly portrayed and documented on a multiyear basis during the process. Even though the par- ties currently have closed contracts, as issues have been discussed in the interim, HR has been working with the Business Department to develop cost analyses of the financial impact, if any, of these issues. The Business Department does regularly provide multiyear projections with its budget updates, which include the effects of negotiated agreements. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 5 Implementation Scale:  Personnel Management Chart of Personnel Management Standards Progress Ratings Toward Implementation of the Improvement Plan Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - OR- GANIZATION AND PLANNING An updated and detailed policy 1.1 and procedures manual exists 1 1 1 3 5 that delineates the responsibili- ties and operational aspects of the personnel office. PROFESSIONAL STANDARD - OR- GANIZATION AND PLANNING The district has clearly defined 1.2 and clarified roles for board and 1 1 1 3 5 administration relative to re- cruitment, hiring, evaluation and dismissal of employees. PROFESSIONAL STANDARD - OR- GANIZATION AND PLANNING The Personnel Division has devel- oped a mission statement that sets clear direction for personnel 1.3 2 2 2 4 7 staff. The Personnel Division has established goals and objectives directly related to the district’s goals that are reviewed and up- dated annually. PROFESSIONAL STANDARD - ORGA- NIZATION AND PLANNING The Personnel Division has an 1.4 organizational chart and a func- 0 tions chart that include the names, positions and job functions of all staff in the Personnel Division. PROFESSIONAL STANDARD - OR- GANIZATION AND PLANNING The Personnel Division has a monthly activities calendar and 1.5 2 4 2 4 6 accompanying lists of ongo- ing personnel activities to be reviewed by staff at planning meetings. The identified subset of standards appears in bold print. Personnel Management 57 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - ORGA- NIZATION AND PLANNING The Personnel Division head is a 1.6 10 member of the Superintendent’s cabinet and participates in deci- sion making early in the process. PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.1 The Personnel Division utilizes 2 3 4 5 5 the latest technological equip- ment for incoming and outgoing communications. PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL The personnel and business divi- sions have developed and dis- 2.2 3 tributed a menu of services that includes the activities performed, the individual responsible, and the telephone numbers where they may be contacted. PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.3 0 The Personnel Division provides an annual report of activities and services provided during the year. PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.4 1 1 1 3 6 The Personnel Division staff is cross-trained to respond to client need without delay. The identified subset of standards appears in bold print. 58 Personnel Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.5 0 6 4 6 7 The Personnel Division holds regularly scheduled staff meet- ings. PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.6 4 Various publications are provided on a number of subjects to orient and inform various clients. LEGAL STANDARD - EMPLOYEE RE- CRUITMENT/SELECTION The Governing Board provides equal employment opportunities 3.1 5 for all people without regard to race, color, creed, sex, religion, ancestry, national origin, age, or disability (EC 44100-44105). PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION Employment procedures and prac- 3.2 tices are conducted in a manner 5 that ensures equal employment op- portunities. Written hiring proce- dures are provided. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION 3.3 The job application form requests 5 information that is legal, useful, pertinent, and easily understood. The identified subset of standards appears in bold print. Personnel Management 59 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The Personnel Division has a recruitment plan that contains recruitment goals, including the targeting of hard-to-fill positions such as those in the areas of math, science, special education 3.4 and bilingual education. The dis- 0 1 0 4 6 trict has established an adequate recruitment budget that includes funds for travel, advertising, staff training, promotional mate- rials and the printing of a year- end report, and that effectively implements the provisions of the district recruitment plan. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district has developed ma- terials that promote the district 3.5 3 3 3 5 6 and community, are attractive, informative and easily available to all applicants and other inter- ested parties. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district has identified people to participate in recruitment efforts, including principals, 3.6 2 2 2 5 6 district personnel and others, as appropriate, and has provided them with adequate training to carry out the district’s recruit- ment goals. The identified subset of standards appears in bold print. 60 Personnel Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district has effectively identi- 3.7 fied a variety of successful recruit- 2 ment sources, including Web sites, job fairs, colleges and universities and publications. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district has developed an an- nual written summary report of its recruitment efforts, including data detailing the goals for the year, sites visited, number of candidates 3.8 contacted, employees hired as a 0 result of the recruitment efforts and plans for any changes for the following year. This information can be provided as part of the divi- sion's annual report of personnel activities as called for in Standard 2.3. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district has developed alterna- 3.9 0 tive teacher certification programs and process (i.e., preintern, intern, committee on assignment). PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district is preparing to address 3.10 5 new federal regulations as they relate to the No Child Left Behind Act. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district systematically initiates 3.11 4 and follows up on reference check- ing on all applicants being consid- ered for employment. The identified subset of standards appears in bold print. Personnel Management 61 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION 3.12 10 Selection procedures are uniformly applied. LEGAL STANDARD - EMPLOYEE RECRUITMENT/SELECTION The district appropriately moni- 3.13 1 4 5 5 7 tors teacher assignments and reports as required under EC 44258.9. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION 3.14 Appropriateness of required tests 4 for specific classified positions is evident. LEGAL STANDARD - EMPLOYEE RE- CRUITMENT/SELECTION The district has implemented 3.15 1 procedures to comply with state legislation governing short-term employees (EC 45103). LEGAL STANDARD - EMPLOYEE RE- CRUITMENT/SELECTION In merit system districts, recruit- Not 3.16 ment and selection for classified appli- service are delegated to the Per- cable sonnel Commission (EC 45240- 45320). LEGAL STANDARD - EMPLOYEE RE- CRUITMENT/SELECTION The Personnel Commission prepares Not 3.17 an eligibility list of qualified can- appli- didates for each classified position cable that is open, indicating the top three candidates (EC45272-45278) PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION Not 3.18 Classified recruitment results are appli- provided in an annual report to the cable Personnel Commission Board. The identified subset of standards appears in bold print. 62 Personnel Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE INDUCTION AND ORIEN- TATION Initial orientation is provided 4.1 for all new staff, and orientation 5 5 6 7 7 handbooks are provided for new employees in all classifications: substitutes, teachers and classi- fied employees. PROFESSIONAL STANDARD - EM- PLOYEE INDUCTION AND ORIENTA- TION The Personnel Division has devel- 4.2 0 oped a video presentation (e.g., tape, CD-ROM, DVD) of the district activities and expectations for new employee orientation. PROFESSIONAL STANDARD - EM- PLOYEE INDUCTION AND ORIENTA- TION The Personnel Division has devel- oped an employment checklist to 4.3 6 be used for all new employees that includes district forms and state and federal mandated informa- tion. The checklist is signed by the employee and kept on file. PROFESSIONAL STANDARD - OPERA- TIONAL PROCEDURES 5.1 4 Personnel files are complete, well- organized and up to date. PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES Personnel Division nonmanage- 5.2 ment staff members have in- 0 1 1 3 5 dividual desk manuals for all of the personnel functions for which they are held responsible. The identified subset of standards appears in bold print. Personnel Management 63 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES The Personnel Division has an 5.3 operation procedures manual for 0 1 1 3 4 internal department use in order to establish consistent applica- tion of personnel actions. PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES The Personnel Division has a pro- cess in place to systematically 5.4 review and update job descrip- 1 1 1 3 5 tions. These job descriptions shall be in compliance with the Americans with Disabilities Act (ADA) requirements. PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES The Personnel Division has procedures in place that allow for both personnel and payroll 5.5 0 5 4 5 6 staff to meet regularly to solve problems which develop in the process of new employees, clas- sification changes and employee promotions. PROFESSIONAL STANDARD - OPERA- TIONAL PROCEDURES Wage and salary determination and 5.6 ongoing implementation are han- 4 dled without delays and conflicts (substitutes, temporary employees, stipends, shift differential, etc.). PROFESSIONAL STANDARD - OPERA- TIONAL PROCEDURES 5.7 Regulations or agreements cover- 2 ing various types of leaves are fairly administered. The identified subset of standards appears in bold print. 64 Personnel Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES Personnel staff members attend training sessions/workshops to 5.8 3 4 3 5 7 keep abreast of the most current acceptable practices and require- ments facing personnel adminis- trators. PROFESSIONAL STANDARD - OPERA- TIONAL PROCEDURES The Personnel Division provides 5.9 employees with appropriate forms 5 for documenting requested actions (e.g., leaves, transfers, resigna- tions, retirements). PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES Established staffing formulas 5.10 1 6 7 7 7 dictate the assignment of per- sonnel to the various sites and programs. LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE Policies and regulations exist regarding the implementation of 6.1 8 fingerprinting requirements for all employees. Education Codes: 44237, 45125, 45125.1, 44332.6, 44346.1, 44830.1, 45122.1. LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The Governing Board requires every 6.2 employee to present evidence 8 of freedom from tuberculosis as required by state law (EC 44839, 49406). The identified subset of standards appears in bold print. Personnel Management 65 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE No person is employed as a teach- er’s aide unless that person has 6.3 4 passed the basic reading, writing, and mathematic skills proficiencies required for graduation from high school (EC 45361.5). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE 6.4 A clear implemented policy exists 5 on the prohibition of discrimina- tion (Government Code 11135). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE All certificated employees hold one or more valid certificates, creden- 6.5 4 tials or life diplomas that allow the holder to engage in school services designated in the document (EC 44006). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE Duties to be performed by all per- 6.6 sons in the classified service and 1 other positions not requiring certi- fication are fixed and prescribed by the Governing Board (EC 45109). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE 6.7 Professional growth requirements 10 for maintenance of a valid creden- tial exist (EC 44277). The identified subset of standards appears in bold print. 66 Personnel Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district has established a process by which all required notices and in-service training 6.8 sessions have been performed and 8 documented such as those for child abuse reporting, blood-borne pathogens, sexual harassment and nondiscrimination. (EC 44691, GC 8355). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district is in compliance with 6.9 Title IX policies on discrimination 9 and Government Code 12950(a) posting requirements concerning harassment or discrimination. LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district is in compliance with 6.10 2 the Consolidated Omnibus Budget Reconciliation Act of 1986 (CO- BRA). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district is in compliance 6.11 1 with the Family Medical Leave Act (FMLA) including posting the proper notifications. LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district is in compliance with the Americans with Disabilities Act 6.12 (ADA) in application procedures, 2 hiring, advancement or discharge, compensation, job training and other terms, conditions, and privi- leges of employment. The identified subset of standards appears in bold print. Personnel Management 67 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district has identified exempt and nonexempt employees and has 6.13 1 promulgated rules and regulations for overtime that are in compliance with the Fair Labor Standards Act and California statutes. LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE Current position descriptions are 6.14 1 established for each type of work performed by certificated and clas- sified employees (EC 35020) LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district obtains a criminal record summary from the Depart- 6.15 ment of Justice before employing 8 an individual, and does not employ anyone who has been convicted of a violent or serious felony (EC 44332.6, 44346.1, 45122.1). PROFESSIONAL STANDARD - USE OF TECHNOLOGY 7.1 An online position control sys- 4 5 4 5 5 tem is utilized and is integrated with payroll/financial systems. PROFESSIONAL STANDARD - USE OF TECHNOLOGY The Personnel Division provides an automated substitute calling 7.2 5 system. The system has the ability to input and retrieve data. Data should be distributed to site and program managers. The identified subset of standards appears in bold print. 68 Personnel Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - USE OF TECHNOLOGY The certificated and classified 7.3 2 2 2 4 5 departments of the Personnel Division have an applicant track- ing system. PROFESSIONAL STANDARD - USE OF TECHNOLOGY The Personnel Division has a pro- 7.4 0 gram of providing funds and time for staff training and skills devel- opment in the use of computers. PROFESSIONAL STANDARD - USE OF TECHNOLOGY The Personnel Division has com- puterized its employee database system including, but not lim- 7.5 3 4 4 5 6 ited to: credentials, seniority lists, evaluations, personnel by funding source, program, loca- tion, and Workers’ Compensation benefits. PROFESSIONAL STANDARD - STAFF TRAINING The district has developed a 8.1 0 1 2 3 5 systematic program for identify- ing areas of need for in-service training for all employees. LEGAL STANDARD - STAFF TRAINING The district makes provisions for 8.2 0 department-directed staff develop- ment activities (EC 52034(g)). LEGAL STANDARD - STAFF TRAINING Teachers and other professional 8.3 school services personnel are pro- 4 vided with diversity training (EC 44560). The identified subset of standards appears in bold print. Personnel Management 69 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating LEGAL STANDARD - STAFF TRAINING The district has adopted poli- 8.4 cies and procedures regarding the 9 recognition and reporting of sexual harassment (GC 12940). PROFESSIONAL STANDARD - STAFF TRAINING The district provides training for 8.5 2 2 2 4 5 all management and supervisory staff responsible for employee evaluations. PROFESSIONAL STANDARD - STAFF TRAINING The district provides training opportunities to managers and supervisors in leadership devel- 8.6 opment and supervision. Training 0 0 1 2 5 topics might include interper- sonal relationships, effective supervision, conflict resolution, cultural diversity and gender sensitivity, team building. PROFESSIONAL STANDARD - STAFF TRAINING 8.7 The district develops handbooks 0 0 0 1 5 and materials for all training components. PROFESSIONAL STANDARD - EVALUATION/DUE PROCESS AS- SISTANCE 9.1 The evaluation process is a 2 2 2 4 6 regular function related to each employee and involves criteria related to the position. The identified subset of standards appears in bold print. 70 Personnel Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating LEGAL STANDARD - EVALUATION/ DUE PROCESS ASSISTANCE Clear policies and practices exist 9.2 for the written evaluation and 2 2 2 3 6 assessment of classified and cer- tificated employees and manag- ers (EC 44663). PROFESSIONAL STANDARD - EVALUATION/DUE PROCESS AS- SISTANCE The Personnel Division provides 9.3 2 2 2 4 6 a process for the monitoring of employee evaluations and the accountability reporting of their completion. PROFESSIONAL STANDARD - EVALUATION/DUE PROCESS AS- SISTANCE The Personnel Division has devel- 9.4 2 2 2 3 5 oped an evaluation handbook and provided due process train- ing for managers and supervi- sors. PROFESSIONAL STANDARD - EVALUATION/DUE PROCESS AS- SISTANCE The Personnel Division has de- 9.5 2 2 2 3 5 veloped a process for providing assistance to certificated and classified employees performing at less-than-satisfactory levels. PROFESSIONAL STANDARD - EVALU- ATION/DUE PROCESS ASSISTANCE Not 9.6 The board evaluates the Superin- appli- tendent based upon preapproved cable goals and objectives. The identified subset of standards appears in bold print. Personnel Management 71 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The Personnel Division has de- 10.1 veloped a program for retirement 4 counseling, including: STRS coun- seling, PERS counseling, and “life after retirement.” PROFESSIONAL STANDARD - EM- PLOYEE SERVICES 10.2 The Personnel Division has devel- 0 oped recognition programs for all employee groups. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The Personnel Division has avail- 10.3 4 able to its employees various refer- ral agencies to assist employees in need. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES Employee benefits are well un- derstood by employees through 10.4 periodic printed communications 8 provided by the Personnel Division. Timely notification of annual open enrollment periods is sent to all employees. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The Personnel Division provides new hires and current employees with a detailed explanation of 10.5 5 benefits, the effective date of cov- erage, along with written informa- tion outlining their benefits and when enrollment forms must be returned to implement coverage. The identified subset of standards appears in bold print. 72 Personnel Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE SERVICES Employees are provided the state's 10.6 9 injury report form (DWC Form 1) within one working day of having knowledge of any injury or illness. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The district notifies the third party administrator of an employee’s 10.7 9 claim of injury within five working days of learning of the injury and forwards a completed form 5020 to the insurance authority. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The district’s workers’ compensa- 10.8 3 tion experiences and activities are reported periodically to the Super- intendent’s cabinet. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The workers’ compensation unit is 10.9 actively involved in providing in- 5 jured workers with an opportunity to participate in a modified duty program. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The workers’ compensation unit 10.10 maintains the California OSHA log 5 for all work sites and a copy is posted at each work site during the month of February as required. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The district does not pay tem- 10.11 7 porary disability benefits during those times when an employee is in an extended nonpay status. The identified subset of standards appears in bold print. Personnel Management 73 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYER/EMPLOYEE RELATIONS The district has collected data that compare the salaries and 11.1 0 3 5 6 6 benefits of its employees with districts of similar size, geo- graphic location and other com- parable measures. PROFESSIONAL STANDARD - EM- PLOYER/EMPLOYEE RELATIONS The Personnel Division involves 11.2 0 3 5 6 6 site-level adminstrators in the bargaining and labor relations decision making process. PROFESSIONAL STANDARD - EM- PLOYER/EMPLOYEE RELATIONS The Personnel Division provides all managers and supervisors (certificated and classified) training in contract management 11.3 with emphasis on the grievance 1 3 3 4 6 process and administration. The Personnel Division pro- vides clearly defined forms and procedures in the handling of grievances for its managers and supervisors. PROFESSIONAL STANDARD - EM- PLOYER/EMPLOYEE RELATIONS The Personnel Division provides 11.4 a clearly defined process for 0 4 6 7 7 bargaining with its employee groups (i.e., traditional, inter- est-based). The identified subset of standards appears in bold print. 74 Personnel Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYER/EMPLOYEE RELATIONS The Personnel Division has a pro- cess that provides management 11.5 and the board with information 0 0 4 5 5 on the impact of bargaining proposals, e.g., fiscal, staffing, management flexibility, student outcomes. LEGAL STANDARD - EMPLOYER/EM- PLOYEE RELATIONS Bargaining proposals and negoti- ated settlements are "sunshined" in accordance with the law to 11.6 4 allow public input and understand- ing of employee cost implications and, most importantly, the effects on the children of the district (EC 3547, 3547.5, and GC 41242). LEGAL STANDARD - EMPLOYEE BEN- EFITS/WORKERS' COMPENSATION The district has its self-insured workers' compensation programs 12.1 0 reviewed by an actuary in accor- dance with Education Code Section 17566 and filed with the county office of education. PROFESSIONAL STANDARD - EM- PLOYEE BENEFITS/WORKERS' COM- PENSATION 12.2 9 Timely notice of annual open enrollment period is sent to all eligible employees The identified subset of standards appears in bold print. Personnel Management 75 Pupil Achievement Pupil Achievement Overview of the Reform The original comprehensive assessment report on pupil achievement (November 2004) found “a lack of direction from the central office, little accountability and follow through, and insufficient data to track students or the work of adults” in the school system. Two years later, the results of central leadership direction are evident in the degree of standards implementation at all levels; the alignment of standards to formative and summative assessments of student achievement; the purchase of aligned textbooks and materials; the intensive program of teacher and principal training; and the serious work of improving access to standards-based curriculum for all students. Over a two-year period, the average number of students performing at proficient and above on the California Standards Test (CST) in English language arts and mathematics shows a small upward trend, though performance varies by grade level and subgroup. The district experiences some of the complexities of large urban school districts, so gains in performance may be slow. However, district staff understand the importance of staying on course and continuing to mount the essential systemic reforms needed to support students and teachers in the classrooms. In 2005-06, the district was identified for Program Improvement (PI), which initiated a School Assistance and Intervention Team (SAIT) audit and a written corrective action plan by an outside agency. This plan contains the essential reform components for the K-12 program, which match many of the 23 FCMAT standards and the actions already in progress in the district. The Role of Instructional Leadership Instructional leadership know-how has been crucial to the success of standards-based reform in the district. Systemic reform can be initiated in many ways. However, it is a particularly power- ful choice to initiate change at the heart of the system—student achievement—with a focused selection of high-leverage strategies, in this case, as noted above, standards implementation with common assessments, aligned texts and pacing guides, and teacher collaboration time. Using scarce resources of time and funds well, the district has continued to move the rest of the system into alignment: (a) a monitored system for AB 466 and AB 75 training for teachers and principals that includes special education and English learner teachers; (b) a significant level of expert coaching assistance by teacher leaders and reform coaches who are based in the school but play a seminal role in initiative planning and evaluation at the district level; (c) clarification of the role of categorical programs in supporting the success of students in the core curriculum, including the role of the resource specialist; (d) initiation of processes in the elementary and secondary schools to address the district’s diversity of learners and increase the access of all students to the core cur- riculum; and (e) the alignment of principal and teacher supervision and evaluation with district goals. Along the way, the Academic Achievement and Accountability (AAA) division has shown a willingness to evaluate, to make mid-course corrections, and to reinvent as needed. The agenda has been open and transparent with participant input. Formal interviews, informal talks, and observations demonstrate that the culture of this underachieving district has changed significantly in a short time. While not everyone is a believer, there is an appreciable change in the level of accountability and hope for the district’s students. There is also a range of concern about sustain- ability of the reforms when the State Administrator’s staff is gone, though substantial evidence indicates that sustainability is a feature of all of the district’s instructional planning and actions. Pupil Achievement  Planning Processes and Curriculum Management The written documents in a school district tell the story of what is expected from students and adults in the school system—vision, goals, standards, plans, policies and regulations, for example—and how these expectations are monitored and evaluated. At the time of the original assessment in fall 2004, the written artifacts of a well-run instructional program were, for the most part, missing or seriously outdated. Those that were available, such as school plans, were developed through the categorical branch of the instructional area. While these were significant programs, they were not the core program, nor were there written descriptions of the core pro- gram in evidence. Subsequently, the AAA division has made the following improvements: (1) written or revised and processed five critical policies for board approval, including Vision and Goals (BP 6000a), Core Curriculum (BP 6000b), Assessment and Testing (6000c), Program Evaluation (6000d), and Promotion and Retention (BP 6000e); (2) revised the High School Graduation policy (BP 6146), which is slated for board review and adoption later in the fall and increases the graduation requirements; (3) developed the Vallejo Instructional Action Plan, which outlines the direction and actions of the district in the interest of student performance; (4) developed an organizational chart with new job descriptions and lines of supervision and reporting for the district staff; (5) written a new Master Plan for English Language Learners; and (6) modified the Single School Plan. Sustaining the reform may rest on the ability of new leaders to continue the effort to build an outstanding school district. School Climate Lack of appropriate school behaviors on the part of students and parents continues to be a fre- quently cited reason for low performance and for the achievement gap among groups of students in the district. While student underperformance is more complex, it was certainly the case in fall 2004 that attendance, referrals, suspensions and expulsions were not being systematically moni- tored and that many critical components of a student behavior management program, such as the School Attendance Review Board (SARB) were not functioning. A new student services and support division was created with a director in July 2005 and coordinators who have since made many empowering changes: (1) developed a baseline of data for student behaviors, which can be disaggregated and analyzed as well as used for monitoring of progress; (2) reinstated attendance monitoring measures, including relationships with law enforcement and the community; (3) initiated several prevention and intervention programs, including a parent education series; and (4) convened a broad-based School Climate Commit- tee to make further recommendations. In fall 2006, the State Administrator presented an action plan, some of which included the implementation of a schoolwide behavior program, training for teachers and classroom management support, progressive discipline, increased campus supervi- sion, increased parent communication, and monitoring of the consistency of adult behaviors. Issues of Access to Learning Significant actions have been taken to improve access to the core curriculum in the district, which include: defining the core curriculum; modifying the curriculum and school schedules to better accommodate interventions; purchasing the full slate of supplementary materials that  Pupil Achievement accompany textbook adoptions; selecting program materials for secondary interventions; inte- grating special education and English learner teachers with mainstream instructors in standards- based training and collaborative dialogue; and monitoring school behaviors toward the goal of intervening in ways that help students and parents succeed. Many of the significant subgroups in Vallejo, along with the overall population of students, are making small gains on the CST. However, the low achievement of many groups underscores how relentlessly this leadership team—as well as any future leaders—must continue to monitor and adjust the system so that all district students have opportunities and are well-served. Pupil Achievement   Pupil Achievement 1.1 Planning Processes Professional Standard: A common vision of what all students should know and be able to do exists and is put into practice. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district is implementing a vision of what students should know and be able to do that emphasizes access to necessary knowledge and skills, a safe and orderly environment, and systemic supports, including fiscal stability and capacity to sustain improvements. Intense work on defining and implementing these elements has been under way since fall 2004. The implementation of access to necessary knowledge and skills for all students is evident in the development of a common curriculum, shored up by aligned texts, pacing guides, regular assessments, and universal access blocks or periods. Aggressive programs to define and institutionalize a safe and orderly environment have been introduced by a new student services division. 2. New policy development shows the board’s commitment to the vision and the means of implementing and evaluating programs, including Vision and Goals (BP 6000a), adopted April 5, 2006; Core Curriculum (BP 6000b), adopted April 5, 2006; Assessment and Testing (6000c), adopted April 15, 2006; Program Evaluation (6000d), adopted June 21, 2006; and Promotion and Retention (BP 6000e), adopted Oct. 18, 2006. BP 6146, High School Graduation, is slated for board review and adoption later in the fall. 3. The five new instruction policies, along with two new student policies, are posted on the web site in the board section. 4. The vision statement anchors the Vallejo City USD Instructional Plan, which is the dis- trict’s action plan, and is also included in the single school plans and the current draft of the new English Learner Master Plan. To make the vision sustainable, the instructional leadership of the district has embedded it in every high leverage activity, including dis- trict instructional action plans, single school plans, and the EL plan. Additionally, the district leadership has connected the supervision and evaluation of prin- cipals to the vision and instructional action plan. Besides visits and discussions with prin- cipals, district leaders review an evidence portfolio that encourages reflection. Coaching by an outside provider has been established for the principals of three at-risk schools, as well as leadership training in the middle and high schools. Pupil Achievement  Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale:  Pupil Achievement 1.2 Planning Processes Professional Standard: The administrative structure of the district promotes student achievement. Progress on Implementing the Recommendations of the Improvement Plan: 1. By fall 2005, the district had developed an organizational schema that is both horizontal and vertical. The vertical dimension is the traditional organizational chart showing the titles and lines of supervision and reporting. The horizontal dimension formalizes the collabora- tive work going on among district divisions to align people with resources and focus them on the district’s goals and priorities. The work of the horizontal teams includes both ongo- ing tasks and ad hoc ones. The rationale for the two-dimensional organization is that there is no time to duplicate effort, be unclear about roles and responsibilities, or let important strategies fall through the cracks. The horizontal dimension helps the district keep students at the center of all district activity and overcome the effect of separate structures. The new organizational structure includes new job descriptions for all district staff that list titles, re- sponsibilities, and lines of supervision. In August 2005, the State Administrator provided an overview of the district office reorganization to the district staff. Evidence of the ongoing work on the district organizational structure in fall 2006 in- cludes: (a) formation of a horizontal team of staff from the Student Support Services and Academic Achievement and Accountability (AAA) departments to work on implementing elements of the school climate plan together; and (b) some reorganizing of the AAA de- partment itself to create better communication and focus. The division maintains a portfo- lio of evidence and provides summaries and reflections on improvement plan progress. 2. The original comprehensive assessment conducted in November 2004 found that princi- pals had been left out of the communication loop the previous spring as the district en- tered into a fiscal crisis and came under state scrutiny. Regular principals’ meetings were canceled and many principal evaluations were not completed. Subsequent actions by dis- trict leaders addressed these concerns: a. By May 2005, the district had clarified how principals were to be supervised and evalu- ated. For each level—elementary, middle, and high school—there is a written description of expectations that are the focus of principal evaluation for the current and upcoming years. The descriptions are categorized by the State Administrator’s five goals as well as an “other” category that addresses significant organizational factors. The descriptions also contain a timeline and process for the completion of the evaluation activity. b. Interviews with a sample of principals at all levels in September 2005 found that they had been evaluated according to the identified process and that evaluations had been conducted in a timely manner with helpful feedback. c. Agendas of routine meetings of principals and vice and assistant principals demon- strate the effort to keep the district expectations for students at the forefront and to also act as vehicles for two-way communication and professional growth. Pupil Achievement  d. Board Policy 1000a Media Relations, adopted Jan. 11, 2006, states that the superinten- dent will develop a crisis communication plan. The plan should address internal and external communication during a crisis. Recommendations from the school climate committee (Sept. 20, 2006) indicate that improvements to the district phone system and other avenues of communication will be addressed. e. Principal meetings routinely address issues of program implementation and training. Principals are increasingly included in decisions and approaches to implementation. In fall 2006, the district leadership sees evidence that “ownership for students is tak- ing hold” as exemplified in the work on middle and high school master schedules that enabled the schools to provide appropriate instruction to students identified as inten- sive and strategic as well as for English learners and special education students. The district’s role in the schools is expected to shift to coaching support. Student assessments show a generally upward achievement trend in 2005 and 2006. The State Administrator continues to promote high expectations for staff and students and to celebrate accomplishments. His fall 2006 message to the staff updated them on assess- ments, fiscal recovery, and school climate goals. Principals report that these messages are motivating and that there is a high level of trust for the State Administrator among school staff members. 3. The 2005-06 opening of school went smoothly, including the implementation of class size reduction. Several employees noted that the 2005-06 opening compared with the 2004- 05 opening was “like night and day.” In particular, with few exceptions, the schools were staffed on the first day because of the hiring plan created in the spring and implemented throughout the summer. Principals participated in candidate recruitment. A district matrix shows the objectives for the opening of school, the person responsible, and the target date. Areas included central ordering, purchasing and delivery of textbooks, class- room cleaning, transportation, bell schedules, food services, secondary student schedules, and teacher orientation and buy-back days. This matrix also shows the horizontal team- work of the district. In spring 2006, the work on enrollment and staffing figures for the fall and plans for teacher recruitment and placement was well under way, including use of the Web site to feature teacher recruitment information and dates to visit schools. Principals affirmed the generally smooth start of their schools. Classroom observations showed instruction to be proceeding, with teachers in place. Classroom observations at three levels during October 2006 also showed students to be engaged in serious standards-based lessons, including those in SDAIE mathematics. There was a range of student engagement in lessons—from nominal to focused—but the administrative supports—schedule, instructional materials, etc.—were all in evidence. 4. In spring 2006, the State Administrator’s focus on student attendance was evident, with monthly reports and an attendance contest among the schools.  Pupil Achievement By fall 2006, a representative school climate committee had developed recommendations to incorporate into the State Administrator’s Action Plan, including a schoolwide behav- ior program, teacher and staff training for successful implementation of the program, classroom management support and progressive discipline practices for the schools. Ad- ditional recommendations address the campus supervisor position, parent support, adult consistency, and school communication systems. The improvement goals for school climate are accompanied by a plan for consistent collection and analysis of student be- havioral data—attendance, suspensions, and expulsions—that provide an opportunity for evaluation and ongoing improvement of behavior. Several school staff observed or in- terviewed in October 2006 spoke appreciatively of positive new developments in school climate, noting areas where they could use additional help with students. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: Pupil Achievement  1.3 Planning Processes Professional Standard: The district has long-term goals and performance standards to support and improve student achievement. Progress on Implementing the Recommendations of the Improvement Plan: 1. In fall 2005, the district completed its Instructional Action Plan, which is prefaced by the vision, district goals, and a statement of purpose. The plan features eight essential pro- gram components with objectives, benchmarks, due dates and completion dates. 2. The State Administrator’s goals have become the district’s goals in the Instructional Plan. District goals to support and improve student achievement are also found in board policy through the following adoptions: Vision and Goals (BP 6000a), adopted April 5, 2006; Core Curriculum (BP 6000b), adopted April 5, 2006; Assessment and Testing (6000c), adopted April 15, 2006; Program Evaluation (6000d), adopted June 21, 2006; and Promo- tion and Retention (BP 6000e), adopted Oct. 18, 2006. BP 6146 High School Graduation is slated for board review and adoption later in the fall. 3. The original comprehensive assessment conducted in November 2004 found categorical programs to be working with good intentions but not fully aligned with the mainstream programs or state standards. Several actions taken by the AAA division have clarified and strengthened the role of categorical programs in supporting and improving student achievement: a. In fall 2005, a matrix titled General Education and Categorical Programs Working Together was provided to show the role of categorical programs in supporting learn- ing and school improvement. The district is working toward greater coherence in a system where the base programs in the core areas are stable and categorical programs that support identified students align with the core. b. Additionally, in fall 2005, the district entered state/federal district program improve- ment. As a result, the district and the county School Assistance and Intervention Team (SAIT) developed site action plans (February 2006) identifying corrective actions and benchmarks in nine essential areas: instructional programs, instructional time, prin- cipal leadership training, credentialed teachers and professional development oppor- tunity, student achievement monitoring system, ongoing instructional assistance and support for teachers, interventions for students below grade level, and fiscal support. These areas parallel many of the FCMAT standards, and validate the four district strategies to turn around student achievement. Identifying secondary schools for SAIT corrective action is an important step, as student growth may be slower. c. By spring 2006, a new director and assistant director for categorical and English learner programs were working with the county office to revise the District Master Plan for English Learners and to comply with state and federal regulations for this program and others. A written task list with timelines for plan completion guides the 0 Pupil Achievement work of the department. The director of categorical programs anticipates the Coordi- nated Compliance Review (CCR) self study as an opportunity to review compliance and quality elements in all programs. d. Another draft of the Master Plan for English Learners was available in fall 2006. The substantial effort to align special education instruction with state standards, to the degree possible, is evident in the schools. Observations in secondary schools show schedules that accommodate students with special needs or with English language development requirements within the structure of the day. Students with intensive or strategic needs in English and math are provided instruction during the school day in the secondary schools. These classes are supported by special materials (REACH and Language!) and teacher training. 4. The Director of Assessment provides an annual cumulative report of progress on the California Standards Test (CST), with charts showing student performance by group. The State Administrator used these charts in his presentations to staff. Datawise also allows the management and display of assessment data from formative assessments. The district leadership has made formative assessments a priority and provides support in setting classroom teaching priorities and developing interventions. The Datawise system provides greater data accessibility (more readable and more frequent) to teachers and staff. In fall 2005, principals reported that the assessments, along with aligned material, pacing guides, and training and collaborative opportunities, are contributing to greater commitment to and success in standards-based teaching. Agendas for district professional development days demonstrate the use of data in discussions of curriculum and classroom practice. School visits in fall 2006 indicate that principals and teacher leaders are using data with school faculties. They also have asked district assessment staff to help explain and pres- ent findings from the state assessments. The routine use of data to track student perfor- mance will be a boon for special education staff as they begin to develop and phase in a more data-based system as now required under IDEA. It also appears that the school staffs are ready for the more sophisticated data analyses that are possible by connecting multiple databases, such as assessment and student behavior data and other student infor- mation. 5. In fall 2005, two significant activities were under way to continually monitor student at- tendance and behavior: (1) the Aeries system to track absenteeism and suspensions and to print reports that show patterns in these areas (several principals use these functions); and (2) a Student Support Services Division established for accounting, monitoring and re- porting student attendance and behavior and to coordinate effective interventions, provide training, and coordinate the work of principals and counselors. Awareness of instructional time lost through poor attendance and discipline practices and a plan to address these is a significant step in achieving equity of access to learning (stu- dents in these categories are often disproportionately students of color and low income), decreasing dropout rates, and improving assessment results. Pupil Achievement  Evidence of district accomplishments in student services in spring 2006 included: a. The director of student services provided evidence of progress in analyzing and disseminating data on student attendance, behavior, and program effectiveness, implementation of a Student Attendance Review Board (SARB) with collaborative participation of community agencies, and coordination of the school resource officer program and liaison with the Vallejo Police Department. The State Administrator and director promote improved student attendance through a contest among schools, with individual prizes for high attendance. b. A press release in late February 2006 outlined the district’s plan to withhold work permits for chronic absentees and to work with the SARB process and the county as- sistant district attorney to tackle truancy issues in the district. c. Agendas for the meetings of assistant and vice principals showed a series of topics that assist these staff with discipline decisions: due process, expulsion procedures and timelines, suspensions and methods of reducing suspensions of African Americans, in-school suspension and opportunity program ideas, stipulated expulsions, school site intervention teams, and special education student discipline. Guest presenters, including county counsel, facilitated these sessions. Further developments in student services in fall 2006 include: a. Use of the Aeries system to collect, analyze, and monitor student attendance and be- havior. The baseline year is 2006-07, but data analysis already indicates that grades 7, 8, and 9 are critical areas for behavior incidents and referrals. Plans are under way for prevention, intervention and support at these grade levels. b. The work of the Safe School Climate and Behavior Committee, which has resulted in a series of recommendations for incorporation into the State Administrator’s Action Plan aimed at improving the quality and safety of the district’s learning environment. The committee itself is broad-based and includes staff and community. The State Ad- ministrator focused on the work of the committee, shared some beginning data, and outlined the new goals with the district staff at the opening of school. c. An effort to improve communications with the home and the advent of a parent educa- tional series. 6. Student health services come from the School-Based Health Center at Pennycook Ele- mentary School, which is in its second year of operation. A second site is targeted to open January 2007. Services clients receive include immunizations. A Student Wellness policy (BP 5000b) was adopted by the board on Aug. 9, 2006.  Pupil Achievement Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: Pupil Achievement  1.6 Planning Processes Professional Standard: The district’s planning process focuses on supporting increased student performance. Progress on Implementing the Recommendations of the Improvement Plan: 1. District planning centers on increased student performance, which includes aligning es- sential instructional components. As indicated in Standard 1.3, the district has completed and is implementing the VCUSD Instructional Action Plan, with objectives and bench- marks for the essential components. District instructional leaders have implemented instructional reforms through a thoughtful analysis of data, priorities, and high leverage strategies. Focusing on student performance in planning and aligning essential elements requires aligning district policy and regulations to send clear messages about district intent and establish accountability. A new policy, Core Curriculum (BP 6000b), lists the key compo- nents of the district’s plan: “to raise student achievement, close the gap, and ensure equal access.” It was adopted on April 5, 2006. This policy clarifies the board and district intent that the district’s core program is based on state standards. Two other policies adopted in April 2006, Vision and Goals (BP 6000a) and Assessment (BP 6000c), highlight the dis- trict focus on increased student performance. The revision and adoption (Oct. 18, 2006) of Promotion and Retention (6000e) supports the success of students in the core program. 2. School plans focus on supporting increased student performance and have a consistent format, along with key elements indicating direction, cooperation between district and schools, and assistance in their development. As a second phase, the district has devel- oped a school planning process that retains the district focus but allows school issues and needs to guide local decisions. A matrix shows which areas of the school plan are the district’s responsibility and which are the school’s responsibility. The school plans should be data-based and focused on causality so that solutions target the cause of underachieve- ment. The corrective action plans for schools support this goal. A sample of school plans in fall 2006 show: (1) reference to school and district achieve- ment data; (2) a distinction between district corrective action plans and single-school plans; and (3) a system of ongoing reflection and evidence-based evaluation of progress. Principal evaluations lead to school plan evaluation through evidence-based portfolios. One day after school ended last spring was dedicated to a Review of Progress (ROP), where school teams were given the opportunity to reflect and talk about their attainments, ongoing issues and needs with other school teams. The day-long session was facilitated to keep the teams focused on evidence. 3. The principals interviewed in fall 2005 and spring 2006 reported that they were provided a data package for their schools on the CST data. Use of data for improvement is a regu- lar item on principal meeting agendas. Recently, administrators have seen additional fo- cus on the use of attendance data for improvement, led by the State Administrator.  Pupil Achievement In fall 2006, another data package was distributed to schools. One principal described the helpfulness of the assessment director in reviewing the data with the school faculty. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: Pupil Achievement  2.3 Curriculum Professional Standard: The district has clear and valid objectives for students, including the core curriculum content. Progress on Implementing the Recommendations of the Improvement Plan: 1. BP 6000b Core Curriculum (adopted April 5, 2006) indicates that the California standards will provide the content for district goals and objectives. It identifies the district’s In- structional Action Plan as the district’s guide for instructional planning and ensuring that student objectives for reaching the standards are met. It identifies key components of the district’s plan “to raise student achievement, close the gap, and ensure equal access.” For fall 2006, the district has documented progress in implementing the core curriculum, particularly in the middle and high schools where change and supervision can be com- plex. This includes: (1) bell schedules that ensure adequate instructional time; (2) proof of availability of materials in the core English and math classes; and (3) AB 466 training schedules for all teachers and training activities. In elementary schools, revised report cards are in use that include the essential standards at each grade level. Collaboration schedules and teacher commitment to collaboration continues to grow and improve, with particular gains in the middle and high schools. BP 6000e, Promotion and Retention (adopted Oct. 18, 2006), has been revised to con- form/connect to the district’s reform agenda and meet the intent of California law. The policy is based on seven guiding principles, among which are equal access, support for students at risk of failing, and early identification and notification so that interventions can be timely and parents can be informed. Focus group sessions have allowed staff members to provide input into the implementation of the policy. An updated high school graduation policy is slated for board adoption later in fall 2006 and will further clarify the core curriculum for district high school students. It includes a phase- in (to 2009) of increased subject requirements in mathematics and modern languages. 2. By fall of 2005, the district had composed the VCUSD Instructional Action Plan, show- ing the relationship of the vision to the district goals and objectives for instructional pro- gram implementation. This plan uses many research-based strategies. The ongoing imple- mentation of objectives in the plan is validated by interviews and documentation. The district leadership notes that the Reading First grant in seven schools is anticipated to bring more rigor and consistency to the district’s K-3 programs. School visits show teacher efforts to provide equal access to the core instruction. For ex- ample, classroom lessons in mainstream and SDAIE geometry classes addressed a similar topic with different methodologies appropriate to students. Visits to three grade levels and three skill levels of high school English classes showed students working on a reflective/ autobiographical incident essay at increasing degrees of complexity.  Pupil Achievement 3. The district’s Instructional Action Plan includes objectives for protecting instructional minutes in high school schedules for English and math and sets a date for completing common course guides in the high schools. An action plan for Small Learning Commu- nities (SLC) in the ninth grade at three high schools delineates the actions that will be taken by the principal, reform coordinator, and other staff to implement standards-based requirements. In fall 2005, the district was identified for Program Improvement. By spring 2006, K-12 corrective action plans for the schools had been developed, along with agendas, minutes, and explanatory pieces that show the district moving the plans into position for imple- mentation. The district and schools are required to implement all nine components of the Academic Program Survey (APS) to ensure equal access and equity. This plan will assist district leaders in attaining full implementation of the state standards for reading/English language arts and math. The components of the APS dovetail nicely with much of the work already in progress and are based on three guiding principles—equity, transparency, and collaboration—that the AAA division has promoted and supported in the schools. This plan will help formalize district curriculum work, bring about more open dialogue on student learning issues, and tackle system failures. It is especially helpful that high schools, where change is complex, must address the same components and are receiving guidance and support to do so. In fall 2006, changes in high schools were evident in school schedules, intervention and support classes, and newly implemented formative assessments. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: Pupil Achievement  2.4 Curriculum Professional Standard: A process is in place to maintain alignment among standards, practices, and assessments. Progress on Implementing the Recommendations of the Improvement Plan: 1. The May 2005 progress report noted that a standards-based alignment model is central to the State Administrator’s plan to improve student achievement and includes the follow- ing: (1) have clear measurable goals; (2) align resources to accomplish goals; (3) monitor progress; (4) use proven instructional materials consistently; (5) develop immediate in- terventions at the student, teacher and school level; and (6) provide focused, data-driven professional development. At that time, the district was in the midst of implementing the model, which is similar to the state’s nine components of program implementation, by focusing on high-leverage strategies. The K-5 schools had already benefited from a state standards-aligned reading text, the use of pacing guides, the use of common and curricu- lum-embedded assessments, and training on the adopted ELA materials. Middle schools were using pacing guides to improve access and rigor; administering common assess- ments for language arts and math, and using structures such as meetings to improve the learning culture. Teachers had been provided coaches and collaboration time to review assessment data and work on alignment. High leverage alignment strategies for high schools included: examining course offerings; reviewing graduation requirements for rigor and access; developing common course descriptions and end-of-year course assess- ments; and using meetings, department time and walk-throughs to improve instruction. The May 2006 progress report found that the process of alignment among standards, practices, and assessments is supported by the corrective action plans that are required because Vallejo has been identified as a Program Improvement District. The minutes of the District Program Improvement Team (Feb. 13, 2006) for secondary schools show careful planning to bring school site employees into the corrective actions as part of the district’s overall effort to align program elements and improve achievement. Administra- tors and teacher leaders have been provided with talking points to use with school staffs about the Program Improvement effort and the rationale for creating systemwide success. In fall 2006, ongoing alignment work, with evaluation and revision as needed, included: (1) the new promotion and retention policy; (2) revision of the elementary report cards based on identified essential standards; (3) analysis of the effectiveness of the pacing guides and proposed revisions; (4) new adoptions and pacing guides for the intensive in- tervention classes; and (5) secondary master schedules aligned to meet the diverse needs of students. To sustain this work, the AAA division has reorganized people resources and developed a new structure that can be replicated in other areas. A five-circle logo shows “alignment to improve student achievement” from the board to measurable student outcomes. Another such logo could show the standards alignment, materials, pacing guides, interventions, training and assessments leading to the desired outcome.  Pupil Achievement Overall, the 2006 CST showed a continued upward trend in the percentage of students proficient and advanced in English language arts (26.7% in 2004; 31.6% in 2005; and 32.6% in 2006) and in math (21.3% in 2004; 26.6% in 2005; and 29.6% in 2006). There is variation by grade level, school, and ethnic group, and the school population has de- clined from 2004 to 2006. 2. Documents, sign-ups, participant evaluations, and principal interviews show that the alignment of professional development continues, including progress on AB 466 and AB 75 training. During the summer, about 210 elementary and middle school teachers vol- untarily participated in the English language arts AB 466 training and 16 of 18 principals participated in the AB 75 training. Written evaluations from the participants and reports from the principals characterized the workshops as effective and empowering. A schedule has been developed through January 2008 for AB 466 and AB 75 ELA and math train- ings. Math teachers representing all middle schools are participating in a two-year grant- funded program through August 2006 to help more students complete algebra success- fully. Algebra teachers met in February 2006 to review student misunderstandings and consider teaching strategies to approach these issues in the classroom. Professional development calendars for November 2005 to June 2006 and sign-in sheets for workshops demonstrate the district’s steady effort at the AB466 and AB75 trainings that help teachers and principals align standards, materials, assessments and classroom practices. Teachers have also committed to trainings during spring break and summer, and sessions for ELD teachers and resource specialists are included. Sign-up sheets and invoices show the district’s ongoing commitment to AB 466 training in math, language arts, and English language development. The summer training calendar was very ambitious. There is a system for tracking teacher completions and bringing new teachers into the system. The assistant superintendent for AAA noted the important role of principals in urging and supporting teachers to complete the training and of teachers who give their own time to it. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: Pupil Achievement  2.9 Curriculum Professional Standard: Teachers in K-8 are provided with professional development in reading and mathematics by a state-approved provider; teachers in 9-12 are provided with defined professional development in implementing content standards. Progress on Implementing the Recommendations of the Improvement Plan: 1. The November 2004 report’s recommendation for this standard suggested the district cre- ate a plan that would allow the teaching staff and principals to catch up on AB 466 and AB 75 training, a huge undertaking considering the size of the district and the fact that almost no staff member had engaged in these important workshops. The district was con- siderably behind other school districts in taking advantage of the special state funding and the training program. Subsequent progress reports have documented the steady progress the district has made in response to this recommendation. The district made these trainings a high priority, and district leaders, principals, and teachers all committed time and effort so that a remarkable number of teachers and prin- cipals have completed them. Resource specialists and EL teachers have participated in the training and received relevant materials. The summer 2006 training schedule was inten- sive and included training for teachers in supporting English learners. As indicated in Standard 2.4, the training schedule and completions are well documented with calendars, rosters, invoices, evaluations, and various debriefings. There is a monitor- ing system to identify completions and those teachers who have yet to attend workshops (mostly new teachers). The corrective action plans also urge the schools and district to train all ELA and math teachers and principals. Support and coaching for teachers learning new methodologies is available through teacher leaders in the elementary schools and reform coordinators in the secondary schools. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: 0 Pupil Achievement 3.1 Instructional Strategies – Learning Opportunity Legal Standard: The district provides equal access to educational opportunities to all students regardless of race, gender, socioeconomic standing, and other factors (EC 51007). Progress on Implementing the Recommendations of the Improvement Plan: 1. As documented in previous standards, the district has developed a vision statement say- ing that all students will be provided with access to the necessary knowledge and skills students need to access higher level education and career opportunities. There is no equal access statement on the Web site as yet, but the vision as adopted in BP 6000a and posted in the policy section on the Web speaks to access as the key element of the district’s aim for students. 2. A redesigned district Web site is more accessible, attractive, relevant, and timely, though portions are still being developed. There is a “how to” section on the site (apply for GATE, file a complaint, etc.) that, when fully implemented, can improve parent and stu- dent access. Information or forms on the Web site are not in Spanish or other languages, except for the emergency form, though this may be available in the district. 3. In fall 2005, the district provided principals and schools with assessment data showing ethnic subgroup growth over time in an informational workshop session. The gap be- tween and among ethnic groups is a major district concern, but monitoring the achieve- ment of subgroups also requires looking at the growth of special education students and English learners, and identifying other struggling students for interventions. Over a two-year period, several district initiatives and actions have been introduced to re- spond to the need to improve access: a. A universal access period with targeted interventions was implemented in fall 2005. Students are identified for intervention based on CST and Datawise scores. A board pre- sentation (Oct. 19, 2005) explains the rationale for an aggressive intervention program backed by people, time, and financial resources as a way to accelerate learning for the lowest performers. The buy-back staff development day at the beginning of school was dedicated to learning about and structuring for K-5 universal access and intervention. b. The corrective actions and benchmarks program improvement site plans, which support equal access, have been developed under Title I District Improvement. The March 17, 2006 staff development day agenda shows all staff working on under- achievement and intervention, including a common training session for ELD teachers. c. The corrective action plans outline several components for ongoing monitoring of student achievement and interventions for those below grade level, including actions leading to revised master schedules to provide the required number of minutes for students in interventions. Pupil Achievement  d. Improvement of access to instructional minutes can also be seen in the 2005-06 imple- mentation of class size reduction in third grade and ninth grade English language arts and math, and in the district’s monitoring of master schedules and student enrollments in ELA and math classes that will prepare them for success on the CAHSEE. Middle and high school schedules show secondary intervention courses. e. Beginning in fall 2006, secondary students identified as “intensive” or “strategic” are afforded targeted instruction within the school day. This initiative required significant work with master schedules and student identification as well as teacher training and the purchase of REACH and Language! for use in ELA interventions. High school pathways have been analyzed to show how students in interventions can stay on target for graduation and possibly complete a-g courses. 4. Several other reform initiatives have converged to contribute to a greater awareness of and commitment to the underachiever in the district: a. A written draft of the role of resource specialists in addressing the standards and help- ing to accelerate the achievement of the lowest performing students, including RSP students. Inclusion of resource specialists in AB 466 trainings is part of the dialogue. b. The beginning information leading to a phased-in implementation of the Response to Intervention (RtI) model for special education. The model includes special education students with all others in a single standards-based accountability and leads to an inte- grated service delivery model. The model is data-based and problem-solving in focus and will help reinforce the new data-decision practices emerging in the district. c. A survey of ELD teachers to gain input on making the universal access period effec- tive; training on “A Focused Approach to Frontloading English Language Instruction for Houghton Mifflin Reading, K-6;” and common training on the district staff devel- opment day on the CELDT goal of moving one level per year and related topics. d. Participation in a summer (2006) institute of elementary teachers who support English learners, using the HM curriculum. 5. Addressing the achievement gap also means analyzing disaggregated data on attendance, suspension, course enrollments, and grades/credits and developing solutions for students whose school behavior patterns are interfering with their learning. Headway has been made in this area: a. Average daily attendance increased in 2004-05 from 91% to 93.55%, though it slipped back for the 2005-06 year. b. The district and site administration are now able to access attendance and suspension data through the Aeries data system. c. The State Administrator placed emphasis on improving these important school behav- iors and has begun a regular monitoring process to measure improvement.  Pupil Achievement d. A student support services division with a new director was established in fall 2005 to assist schools in monitoring and providing intervention strategies for students whose school behaviors impede their learning. By May 2006, a great deal had occurred within this department, including but not limited to: regular monitoring of student behavior; alternatives to suspension; assistant and vice principal workshops on sus- pension, expulsion, and alternatives; Site Intervention Teams; a reconstituted “aggressive” SARB; coordination with community agencies such as police and dis- trict attorney; and health services, as needed. e. Recommendations from the school climate committee were unveiled in fall 2006 for inclusion in the State Administrator’s goals. These include prevention and interven- tion programs to targeted groups of students and parents to increase attendance and improve school behaviors. 6. Comparisons of student progress over multiple years show an upward trend of students scoring proficient and above, with variations among grade levels, schools and student groups. Data monitoring for access should also include an ongoing review of the percent- ages of students in the lower categories of the CST, particularly large groups of the tradi- tionally underserved in the district, that compares district performance and progress to the state, county, and similar school districts. The chart on the next page shows the percentage of district students in below basic and far below basic to range from 2% to 12% higher than the state, depending on grade level. The range for African American students, except for grade 2, is from 2% to 19% higher; economically disadvantaged students from 0 to 12% higher; and students with disabilities 9% to 21% higher than state percentages. While this is only one assessment with well- known vagaries, it is important to find a way to benchmark outside the district as well as inside for a balanced perspective on student access and growth. Because the groups (not mutually exclusive) shown in the table represent a significant part of the student popula- tion, their performances significantly impact the overall performance of the district. A second important reason to monitor student performance at all proficiency levels is to determine the source of the additional students scoring proficient or above. If they are moving from the basic or third proficiency level rather than from the bottom two levels, that is a different type of achievement gain. Looking at scale scores or standardized items may provide a more thorough analysis. Pupil Achievement  Comparison of the Percentage of Assessed Students in VCUSD and in the State Performing at Below Basic and Far Below Basic English Language Arts California Standards Test, 2006 Grade VCUSD State VCUSD State VCUSD State VCUSD State All Students Afr American Stu Econ Disadv Stu Stu with Disability 2 29% 27% 37% 42% 37% 37% 73% 56% 3 38% 32% 45% 40% 47% 43% 84% 64% 4 29% 23% 43% 32% 38% 32% 72% 59% 5 30% 26% 42% 35% 37% 36% 81% 63% 6 36% 27% 44% 37% 46% 39% 86% 68% 7 37% 28% 51% 40% 45% 39% 91% 70% 8 35% 26% 46% 27% 44% 38% 85% 69% 9 38% 30% 55% 43% 48% 42% 92% 74% 10 41% 35% 57% 50% 55% 50% 88% 79% 11 43% 42% 58% 56% 55% 34% 96% 84% Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 New Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 6 Implementation Scale:  Pupil Achievement 3.2 Instructional Strategies Professional Standard: Challenging learning goals and instructional plans and programs for all students are evident. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district staff has developed and the board has adopted (April 5, 2006) a core curricu- lum policy (BP 6000b) that identifies the state standards as the basis for learning goals and objectives and ensures equal access to this core. Board Policy 6000a provides a vision and the goals for the district in realizing the vision. A draft of a new high school graduation policy is slated for review and adoption later in the fall of 2006. It includes increased course requirements in math and modern languages. 2. District leadership developed expectations for a challenging curriculum based on the full implementation of the state standards in reading and mathematics and began to act aggres- sively on these expectations in 2004-05 with several “high leverage” research-based strate- gies: consistent materials adoptions, pacing guides, and regular assessments, and monitoring, underpinned with AB 466 and AB 75 professional development, collaboration, and coaching in K-8. New expectations for high school included a-g requirements for all students, common course guides and end-of-course assessments, and smaller learning communities. In 2005-06, the VCUSD Instructional Plan was developed to extend, formalize, and benchmark the district’s expectations for a challenging curriculum. The district began ad- dressing universal access in the elementary program with additional training and materi- als for students requiring more focused instruction. Additionally, an action plan called “Project Personalize” outlines the objectives and ac- tions for implementation of Small Learning Communities in the three high schools. In May 2006, the initiation of the Corrective Action Plans for the schools under the SAIT process is supportive of the district’s effort to implement the state standards for all stu- dents. It supports and underlines significant work already under way in K-5 and provides a substantial boost to the full implementation of standards for all students in the second- ary schools. A working document shows the district’s analyses of high school graduation requirements by grade level, and the need to accelerate learning for strategic and inten- sive students simultaneously with the goal of all students ultimately meeting the a-g re- quirements and passing the CAHSEE for graduation. In fall 2006, the secondary school master schedules have been successfully revised to allow for students requiring intensive and strategic instruction as well as English learner support to receive it. Teachers have been provided training and appropriate materials to accelerate stu- dent learning programs. Pathways for students to receive this instruction and continue to prog- ress toward graduation have been identified. It will be important to monitor expectations and progress of students receiving these programs to confirm that student learning is accelerated rather than remediated. It is positive that counselors have been included in this work. Pupil Achievement  3. In fall 2005, a matrix was developed to demonstrate how categorical and district funds coordinate to support the common work in the schools, such as staff development. A core of district-funded services goes to schools, irrespective of their access to categori- cal funds. Other categorical funds go to serve the identified students in their respective schools. In May 2006, new district administrators for the categorical and English learner pro- grams were assigned in the midst of a review and revision of the District Master Plan for English Learners. They worked with county consultants to bring the programs into com- pliance. A plan and timeline for the master plan documents the process. A Coordinated Compliance Review (CCR) self-study will occur in 2006-07. A final draft of the Master Plan for English Learners is available. In fall 2006, single school plans and school portfolios are part of the principals’ evalua- tion and provide an opportunity to reflect, evaluate progress, and plan. 4. The formal adoption of new curriculum policies and the VCUSD Instructional Plan, which marshals the district’s focus and resources toward challenging teaching and learn- ing, are evidence of district leadership to provide for all students. In fall 2005, the district began work on a universal access and intervention block that structures support for iden- tified students. During the 2005-06 school year, a new student services department began work on many of the issues that impeded student participation in challenging learning programs. In fall 2006, the school climate committee submitted recommendations for improvements and programs to address issues of attendance, student behavior, and parent involvement, and secondary master schedules have been modified for interventions. Standard Implemented: Partially November 1, 2004 Rating: 3 May l, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 6 Implementation Scale:  Pupil Achievement 3.4 Instructional Strategies Professional Standard: Students are engaged in learning, and they are able to demonstrate and apply their knowledge and skills. Progress on Implementing the Recommendations of the Improvement Plan: 1. In fall 2004, the State Administrator articulated the essential elements of academic pro- grams in the district, using research-based strategies and common texts and assessments to initiate a standards-based program. Two elements of the program are significant: (1) the use of pacing guides that focus and maximize instructional time; and (2) the common assessments administered at regular intervals that allow staff to monitor student applica- tion of knowledge and skills. By the spring, meeting agendas, along with supporting ma- terials, documented the team collaboration in building a shared understanding of an effec- tive instructional program. In fall 2005, the district work was formalized in the Vallejo City USD Instructional Action Plan with eight program components, objectives, benchmarks, and due/comple- tion dates. At that time, additional district actions that support student engagement in the learning program were evident in the following: (1) class size reductions in kindergarten, third, and ninth grade; (2) monitoring of the secondary schedules for student placement in courses leading to graduation and success on the CAHSEE; (3) the establishment of a student support services division to monitor attendance, suspension, and other behav- ioral data and provide timely and effective interventions in order to re-engage students in learning; and (4) a vigorous and effective effort to provide a smooth opening of school, including qualified teacher staffing, so that instruction could start on the first day of school. At the secondary level, the implementation of small learning communities in the ninth grade is under way to increase engagement through personalization of learning. School Reform Coordinators (1) provide a common, standards-based instructional program for each core course; (2) create and implement a system for monitoring student progress; and (3) use district support structures effectively to meet student needs. By May 2006, substantial strategies to support student engagement came from the student support services area where several efforts were under way to get truants into school and to reduce the impact of suspensions on student engagement in school. Secondly, there is significant evidence of the success of the district’s focus on universal access, intervention strategies, master schedules, and inclusion of resource teachers and ELD teachers in the standards-based teacher and principal trainings. In fall 2006, secondary schools have been brought more firmly into the district’s reform with the introduction of formative assessments in the high schools and the work on mas- ter schedules that allows students who need intensive, strategic, or language interventions to be appropriately placed. Training and materials have accompanied this effort. Pupil Achievement  Observations of a small sample of schools show students in the elementary and middle schools to be clearly on task and focused; the high school student engagement rate varied. The protocol for schoolwide classroom walkthroughs includes an assessment of student engagement. 2. During summer 2005, 210 teachers began the AB 466 training sequence and 16 of 18 elementary principals began the AB 75 training. There is a written plan to complete the reading and math training sequence. In May 2006, there was additional documentation of teacher and principal training. The Corrective Action Plans for District Program Improvement have given impetus to this training. As outlined in other standards (See 2.9), training continues and is monitored for participation and completion. 3. The district began the use of the Datawise system in the first year of the reform in order to make the common assessment information available, and training was provided. With input from the principals, the 2005 CST data were packaged in a more useful format, providing useful disaggregations. Principals report that student data are central to their school and district work. Rosters show that the disaggregation of assessment data is avail- able at the student level for intervention placement. In May 2006, there was evidence that the elementary school staffs were learning to use the data to identify students for targeted interventions and that progress was already ap- parent in elementary schools where several variables converged—a strong intervention program, quick results with the lowest performers, and high student engagement—for a successful implementation. Shored up by the corrective action plans, interventions in middle and high school have been improved based on early results. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 6 Implementation Scale:  Pupil Achievement 3.5 Instructional Strategies Professional Standard: The district and school staffs promote and communicate high expectations for the learning and behavior of all students. Progress on Implementing the Recommendations of the Improvement Plan: 1. Three key instructional policies adopted by the Board on April 5, 2006 communicate the expectations for students in VCUSD: BP 6000a Vision and Goals; BP 6000(b) Core Curriculum; and BP 6000c Assessment and Testing. BP 6000b designates the California standards as the expected student curriculum and student guidelines communicate expec- tations for school behavior. In fall 2006, other actions by the district and school leadership to promote and communi- cate high expectations for learning and behavior include: a. Recommendations from the school climate committee that will improve the school behaviors of students and support a strong learning environment and the collection of baseline data for the ongoing monitoring of progress in this area; b. A draft of a new high school graduation policy with added course requirements; c. Expansion of regular assessments and systematic and aggressive interventions into the secondary schools with a supportive master schedule; d. Orientation to special education model Response to Intervention and professional development for special education teachers; and e. Another draft of the Master Plan for English Learners. 2. The direction to principals from the district leadership is to share the new policies with the community and school staff. Principals have participated in the development and implementation of new policies through a special retreat and meeting agendas. It is in the planned design of the new Web site to make the board policies, vision, goals, and expec- tations available online. It is the practice of the AAA division to connect all initiatives to the expectations for students so that high expectations for adults are also correlated to outcomes for students. Staff development days are well planned with written communications that show the reasoning for activities and how they connect to the overall vision and expectations for students. The aggressive intervention program sends a clear message that there are high expectations for all students and staff are the enablers of these expectations. In fall 2006, there is evidence that teacher expectations for students and accountability for student learning is increasing, a change away from a culture of blaming students and par- ents for learning issues. Pupil Achievement  3. The direction to the staff from the State Administrator is that new policy statements should reflect short and long-range goals in order to build trust and confidence. The goals of the State Administrator and the Board include: seeking a long-term solution to the fis- cal crisis and a commitment to build the capacity of the district to sustain improvements when local control is returned. The State Administrator’s messages to the staff and com- munity communicate high expectations for students and for the performance of all sys- tems in the district on behalf of students. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 6 Implementation Scale: 0 Pupil Achievement 3.8 Instructional Strategies Professional Standard: Principals make formal and informal classroom visits. Based on these visits, principals provide constructive feedback and assistance to teachers. Progress on Implementing the Recommendations of the Improvement Plan: 1. In 2004-05, the district implemented a formal walk-through plan and follow-up feedback plan at the elementary level. Principal and lead teacher agendas indicate training has been provided and is ongoing at all levels as a strategy to support standards implementation. The district is aligning all systems, including formal evaluation, with the district achieve- ment agenda. A planning calendar for secondary instructional leadership for 2005-06, with roles assigned, shows the ramp up to aligning the secondary program with district goals by learning new tools such as a feedback protocol. In 2006, lead teachers and principals indicate that classroom walk-throughs are an es- tablished practice. These walk-throughs are based on a district observation protocol that includes, for example, the rate of student engagement. In some schools, other teachers may participate in these walk-throughs as well. Lead teachers identified walk-throughs as a key strategy for working with teachers and identifying needs. 2. In 2004-05, the district developed three memoranda with timelines describing the ele- ments of principal evaluations at elementary, middle, and high schools. These elements are organized according to the State Administrator’s five goals and supervisors are as- signed. The documentation includes a sample of a midyear progress report. Principals’ evaluations are tied to student achievement. In fall 2006, the district leadership identified the expectations and the supervision and evaluation of principals as key to implementation success. Sample evaluations demon- strate the consistency of evaluation elements and the individualized feedback that princi- pals receive. Principals of at-risk schools receive additional support, including coaching by an outside provider. 3. Documentation in May 2005 showed that elementary principals received training in data use, in conducting classroom observations and in data analysis. A principals’ meeting/ workshop agenda (Sept. 28, 2005) shows they were provided strategies to refocus teacher evaluation student achievement goals, including helping teachers set objectives linked to district goals and strategies. Principals were provided norms for writing objectives and received a sample evaluation plan. The workshop and materials demonstrated how the contract evaluation form based on the California Standards for the Teaching Profession is used to support the district’s focus on student achievement. (See also Standard 5.7.) Pupil Achievement  In fall 2005, principals had received a list of teachers to be evaluated (a gap identified in fall 2004) with timelines. They had been evaluated themselves for the 2004-05 school year and found the process very helpful. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 6 Implementation Scale:  Pupil Achievement 3.10 Instructional Strategies Professional Standard: Clearly defined discipline practices have been established and communicated among the stu- dents, staff, board, and community. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district showed a decrease in student absences from 1,620 to 1,096 and increased ADA from 91% to 93.55% during the 2004-05 year; however, this was not sustained during the 2005-06 school year. The district reorganized and restaffed in 2005 to form the Student Support Services Division with a director and three coordinators. Their roles center on assisting all schools with appropriate responses to student attendance, behavior, and health issues, including monitoring and intervening (e.g., SARB) as needed and establishing relationships with the community agencies involved with youth. A draft of BP 5000(b), Student Attendance has been written. In May 2006, a semi-annual report from the Student Support Services Division provided a list of accomplishments to date and activities in progress. Some significant work has occurred on behalf of students through this department, including but not limited to: the design and implementation of a SARB that is aggressive, consistent, and effective; the implementation of the FAST family improvement program in seven elementary schools; collaboration with community agencies to participate in SARB hearings; and coordina- tion of a School Resource Officer program. The State Administrator is conducting an at- tendance contest among school leagues in the district as a way of calling attention to and promoting school attendance. In fall 2006, the State Administrator unveiled his planned actions for responding to the findings and recommendations of the school climate committee, including (a) select and implement a core schoolwide behavior program designed to create a safe, positive learn- ing environment; (b) provide the training needed to teachers and other staff to ensure the successful implementation of the selected program; (c) provide training and follow-up support to all staff needing or desiring classroom management support; (d) use progres- sive discipline strategies consistently across schools and classrooms; (e) restructure the campus supervision program; (f) build greater understanding among parents regarding student behavior and their role in their child’s success; (g) monitor consistency of adult behaviors at the school and classroom level; and (h) strengthen the use of the district phone system and other avenues of communication. 2. The Aeries student information system has been implemented to assist staff in the ongo- ing monitoring of attendance, suspension, and monthly dropout data. System and report generation training has been provided to principals and office managers. Several princi- pals stated that they regularly use the reporting mechanism, as well as attendance/truancy letters and parent notifications required by law, including student behavior standards and basic discipline. Pupil Achievement  Documentation shows the dedication of AP/VP meeting time to professional development topics on expulsions, suspension, and behavioral interventions. Outside expertise has been brought in to assist with these sessions. 3. The district dedicated a staff development buy-back day in August for staff to learn about and plan for structuring a universal access and intervention block to address the diverse needs of elementary students. Teachers also learned to use the SIPPS assessment and place- ment instrument to place students within the three levels of the elementary program. At the secondary level, intervention courses have been identified, including ones for various levels of English language learners, for curriculum support, and for CAHSEE support. Intervention classes have been included in the secondary master schedules for students identified as intensive or strategic, as well as support classes for English learners. Teach- ers have been provided training and materials to work with diverse learners. 4. Middle school counselors were reinstated for the 2005-06 school year. 5. School staffs have been trained on the Aeries system, including its report-generating functions. 6. The new Student Services Division will monitor student behavior and provide interven- tions and options. The semi-annual report (spring 2006) from student support services shows that routine monitoring of student suspensions and attendance is occurring. The department is also systematizing and monitoring other student processes, such as inter/intra district transfers and work permits. For the 2006 opening of school, the State Administrator demonstrated the power of moni- toring data on student behaviors with an analysis of the types of referrals, the character of student absences, and the relationship of GPA to absences. From the initial data analysis, it is clear that behavior incidents peak during the transition years from elementary school to high school. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 6 Implementation Scale:  Pupil Achievement 3.11 Instructional Strategies Professional Standard: School class size and teacher assignments support effective learning. Progress on Implementing the Recommendations of the Improvement Plan: 1. Class size reduction in kindergarten, third, and ninth grade English and algebra was im- plemented for the 2005-06 school year and middle school counselors were rehired. 2. District staff created and implemented a plan to accurately report and assign students to classes. The staffing and enrollment time line for 2005-06 indicated the activity, due date and who was responsible. Principals reported that work on the staffing plan, along with the more effective recruitment and hiring of teachers, contributed to a smooth opening of school and balanced classes in fall 2005. The R-30 and principals indicated that ELD stu- dents were placed with appropriately credentialed teachers. In spring 2006, work on enrollment projections and teacher recruitment for the 2006-07 academic year was well under way. Master schedule planning included working out ap- propriate instructional minutes for interventions. School principals continue to appreciate the work done to accurately project enrollments and staff the schools in a timely manner with qualified teachers. 3. During the 2004-05 and the 2005-06 school years, the State Administrator conveyed the district’s financial issues to the staff and community as well as the district’s progress in addressing finances while keeping student achievement at the forefront. Principals report a great deal of trust at the school sites for the State Administrator and his staff for the open communication and for keeping student achievement as the top prior- ity even as the district recovers from financial crisis. This was demonstrated through the reinstatement of class size reduction and the commitment to monitoring teacher average class size loads. In fall 2006 the State Administrator communicated the district’s current fiscal and achievement status to the district’s staff. The fiscal information is also contained on the district’s Web site. Pupil Achievement  Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 6 Implementation Scale:  Pupil Achievement 3.15 Instructional Strategies Professional Standard: Curriculum and instruction for English Language Learners prepares these students to transition to regular class settings and achieve at a high level in all subjects. Progress on Implementing the Recommendations of the Improvement Plan: 1. CELDT results from 2005-06 show that 82% of the district’s K-12 English learners are in the top three proficiency levels (advanced, early advanced and intermediate). The fol- lowing chart shows that the district’s percentage of English learners in California public schools 12 months or more who are at the lower two levels (below basic [BB] and far be- low basic [FBB]) of the 2005 CST is less than the state percentage of English learners in this category for all but grade 6. Grade 2 3 4 5 6 7 8 9 10 11 VCUSD # ELL 424 365 298 238 178 193 190 156 149 107 Tested VCUSD % BB & 29% 42% 37% 37% 61% 58% 61% 55% 69% 79% FBB CA % BB & FBB 41% 49% 39% 48% 57% 59% 61% 64% 75% 80% The redesignation rate for 2004-05 was 10.6%, below the county rate of 15.3% and above the state rate of 9.0%. In 2005-06, the redesignation rate (to FEP) increased to 15.2%, above the county rate of 11.6% and the state rate of 9.6%. 2. Implementation of the Universal Access and Intervention block in elementary schools supports English learners at their designated level in meeting state standards. Professional development in the key elements of English learner programs, both compliance and good practice, have been provided to teachers. In May 2006, a sample of programs and CELDT scores for high school students showed that English learners could access the core curriculum. Almost every student had six classes, including English Language Development and SDAIE math. Most students had SDAIE classes in social studies and/or science. Beginning level students had more than one class in ELD and/or English. English Learners participated in district interventions to accelerate passage of the California High School Exit Exam. All students now participate in the core program of English language arts and math and in an access period that provides extra English for English learners, support for students be- low grade level and enrichment for advanced students. The district seeks to hire bilingual instructional assistants for new arrivals in Urdu, Tongan, and Arabic. The district’s English Language Teacher Leader provides extra support to the six highest need elementary schools. Pupil Achievement  In fall 2005, principals reported that the percentage of teachers with CLAD training was rising and they could staff appropriately for English learners. In May 2006, the R-30 reports for each school showed that all teachers providing instruction to English learn- ers had appropriate credentials. The Corrective Action Plan (February 2006) requires the district to ensure that all core content teachers receive CLAD/BCLAD training and that human resources maintain accurate records of CLAD credentials. 3. The current District Master Plan and related documents help communicate the expecta- tions and articulation of the K-12 program. While transitions between levels can be dis- ruptive to all students, they are especially difficult for English learners. In May 2005, the district had a stated objective to shorten the waiting time for CELDT reports to no more than two weeks and to revise the structured interview form for secondary students. Wait time for CELDT results, though within the legal limit, may leave students in an inappro- priate placement. In fall 2005, with personnel changes in the ELL office, these objectives were not yet verifiable. In May 2006, the program was undergoing a thorough revision. In fall 2006, a new draft of the English Learner Master Plan is comprehensive and pro- fessional looking. The new district categorical department is now fully staffed, and staff have received assistance from the state and the Solano County Office in building better budgets and trainings. They are able to get CELDT information out faster so that student placement occurs in a timely manner. Parental support has improved. Assessment staff discovered that, in providing parents a wait- ing room for summer assessment, more information was sought and exchanged between par- ents and staff, and they now hope to use this vehicle for parent education in the future. The redesigned Web site is still under development; it is not yet useful for non-English speakers. 4. The district and county office provide extensive staff development for teachers and bilin- gual assistants in strategies for English Learners. Secondary master schedules have sec- tions for English language development and SDAIE. Students observed in SDAIE math classes were engaged in lessons with the same topics as a mainstream class. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 New Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 8 January 25, 2007 Rating: 6 Implementation Scale:  Pupil Achievement 4.1 Assessment and Accountability Professional Standard: The district has developed content and learning standards for all subject areas and grades that are understood and followed by school site staff. Progress on Implementing the Recommendations of the Improvement Plan: 1. On April 5, 2006, the board adopted the Core Curriculum Policy (BP 6000b), which iden- tifies the state standards for English language arts, mathematics, science, and history/so- cial science as the district’s core curriculum. Additionally, a new high school graduation policy is awaiting board review and approval. It includes increased subject requirements for graduation. 2. There is no district-developed guide to the standards; however, the district publishes an annual pacing guide for K-8 English language arts and math and strategically assists school site staff in implementing the state standards. The VCUSD Instructional Plan indicates that common course guides/pacing calendars for high school will be developed by department committees beginning in August 2006 with core entry level classes, including World Languages, and ending in August 2008 with all core subject courses completed. Subjects such as art and music are not included in the plan. Job descriptions for the secondary reform coordinators indicate that they will “pro- vide a common, standards-based instructional program for each core course so that all students have access to consistent and rigorous instruction and the support to be success- ful in meeting the new graduation requirements.” The corrective actions and benchmarks of the SAIT action plans focus on implementing the state standards, including interventions for the lowest performers. They are well understood and followed by school site staff, and are adjunct to the district plan. 3. With the implementation of standards-based texts, pacing guides, assessments, and pro- fessional development, there is greater understanding and discussion of the state stan- dards in K-8. High school teachers are beginning to grapple with some of the same imple- mentation issues, including pacing guides for English language arts and math. Secondary master schedules and class visits demonstrate the strides made in high school understanding and implementation of the standards for all students, including targeted as- sistance for those who need intervention or support. Common assessments for progress on the standards are being introduced in the secondary schools. 4. Teachers have collaborative time to analyze assessment results and plan, increasing their knowledge of the standards and skill and accountability in teaching standards-based les- sons. Teachers parsed the state standards for their essential or critical teaching compo- nents. Pupil Achievement  A newly revised elementary report card that shows the essential components for each standard is being implemented, providing parents with greater specificity about student progress. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: 0 Pupil Achievement 4.2 Assessment and Accountability Professional Standard: Student achievement is measured and assessed through a variety of measurement tools (e.g., standardized test, portfolios, projects, oral reports). Progress on Implementing the Recommendations of the Improvement Plan: 1. Regularly administered common assessments, with timely information to teachers, sup- port the district’s strategy to monitor progress and improve performance in English lan- guage arts and math. In addition, the state assessments (STAR, CAHSEE, CELDT) in- clude components that are standardized, criterion-referenced, performance-based (writing and physical fitness), and oral (CELDT). Common assessments are administered in high school English and math. High school students are given opportunities to take College Board exams. The CAHSEE is administered three times. Assessments are modified/differentiated for students in intervention programs, including special education and English language development, and are key to determining place- ment and required intervention levels. Improvement of the CELDT assessment process has resulted in more timely information to the schools. Students are evaluated by teachers with a variety of assessments, including projects, writ- ten products, oral presentations, and portfolios. 2. Teachers, coaches, and principals receive ongoing professional development on assessment analysis and use. Time is routinely set aside to improve skills in administering assessments and using results. An assessment plan for 2005-06, a testing calendar, and a schedule for producing, delivering, and collecting common assessments demonstrate the level of organi- zation and work required to maintain an ambitious program with a variety of measurement tools. Measurement for improvement is a clear district priority. The assessment calendar once again attests to the increasing complexity of assessment management and the district’s clear commitment to it. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: Pupil Achievement  4.3 Assessment and Accountability__________________________________ Professional Standard: The assessment tools are clear measures of what is being taught and provide information for the administration and staff to improve learning opportunities for all students. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district employs the theory that regular assessment and professional development provides leaders with tools to increase achievement. The district leadership is implement- ing a plan of regularly administered common ELA and math assessments aligned with the state standards, and using the Datawise system to develop standards-based assessments from an item bank, assess students, and analyze the results. Reports initially provided K-8 teachers with data regarding student strengths and gaps. High school assessment for Eng- lish and math was introduced in fall 2006. The district monitors the use of data reports and trains teacher leaders to coach teachers in grade level collaboration. In May 2006, the district moved aggressively to improve learning opportunities for all students with emphasis on interventions for the lowest performers. This effort has been given validity and impetus by the corrective action plans for Program Improvement. The plans are very helpful in the secondary schools, leading to master schedule analysis and a more data-based approach to intervention. The district has developed a school-by-school intervention monitoring system. Work on secondary master schedules has produced schedules that are more amenable to intervention and support classes for identified students based on assessment data. High school exit exam results are used to identify and place students in support classes. 2. K-8 and high school assessments align with a program of common texts, pacing guides, curriculum-embedded professional development, and teacher collaboration focused on ensuring all students the opportunity to thoroughly learn essential standards. The student achievement monitoring system is well supported and supervised by district and school leadership. District leadership believes that elementary school interventions are system- atic and that high school interventions are well under way for the school year.  Pupil Achievement Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: Pupil Achievement  4.4 Assessment Accountability______________________________________ Professional Standard: Teachers and principals are provided assessment data in a timely and accessible format with training to analyze, evaluate, and solve issues of student performance. Progress on Implementing the Recommendations of the Improvement Plan: 1. Regular assessments, time to analyze, and the expectation that data will guide schoolwide and classroom decisions are critical to the district’s instructional reform plan. Leadership actions include support for assessment events, timely data return, training in data use, and teacher collaboration time for data analysis. The school packet for the state assessment data included (1) a cumulative summary of the percent of students at each performance level of the California Standards Test from 2002 to 2006 by grade level and (2) subgroup reports from the state reports as well as the CAHSEE and CAPA, where applicable. Teachers are given state assessment data and the formative assessments that are admin- istered to ascertain progress. These regular assessments, in particular, are the content for much of the teacher collaboration time. Reportedly, the use of this time is becoming part of the district culture, with teachers working independently and demonstrating account- ability for learning issues in their classrooms and in the school. 2. The State Administrator uses achievement data to point out accomplishments and un- derachievement issues. Other formats where the staff use data include: (a) the review at the end of school where school teams evaluated progress with reference to assessment data and other evidence; (b) the district Leadership Team meeting in August where 2006 STAR data were reviewed in a discussion of the elements of sustainability; and (c) as noted in other standards, the use of assessments to determine the need for student inter- vention and support during the school day. Data packages are accompanied by sets of questions for thinking about the data, for relat- ing data to the district goals and vision, and for monitoring progress. Teacher leaders and principals are provided with talking points to use with staffs. 3. 2005 STAR and CAHSEE data reports from the state are disaggregated by ethnicity, so- cioeconomic status, English learner, disability, and gender. 4. Meeting agendas show that principals and teachers had input into the kind of data reports that they would like. They chose results over time with a focus on subgroup disaggrega- tions along with CST item analyses and individual reports. Principals interviewed report- ed having these data packages, along with “how to interpret and use” sessions, and most say they have delved into the data with their staffs.  Pupil Achievement 5. On April 5, 2006, the board adopted BP 6000c, Assessment and Testing, which commits the district to using standards-based assessments to monitor the effectiveness of educa- tional programs and practices, including underperforming subgroups. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Self-Rating: 10 January 25, 2007 Rating: 7 Implementation Scale: Pupil Achievement  4.6 Assessment and Accountability Professional Standard: A process to identify struggling 9-12 students and intervene with additional support necessary to pass the high school exit examination is well developed and communicated to teachers, students, and parents. Progress on Implementing the Recommendations of the Improvement Plan: 1. The high schools offer tutorial and parallel classes for the ELA and math sections of the CAHSEE. At the start of the 2005-06 school year, district staff verified that students who had not passed either or both sections of the CAHSEE were enrolled in these classes. In spring 2006, the district provided Kaplan’s CAHSEE Advantage program training for staff who tutor students. The program provides test-taking strategies, critical thinking skills, and a review of the key content. High school master schedules for fall 2006 show that English and math exit exam classes are blocked into the school day. 2. The redesigned Web site has a place for student assessment and achievement information, but it does not work consistently. This area or another should include CAHSEE informa- tion, including sample questions and access to support services, which could consist of a link to the state CAHSEE site. A letter sent to the parents of 12th graders in February 2006 outlines the conditions for participating in graduation ceremonies. For the classes of 2006, 2007, and 2008, it is possible to participate, if credit and course requirements are met but not the CAHSEE requirement, and receive a certificate, not a diploma. Beginning with the class of 2009, completing the CAHSEE requirement along with other requirements will be a condition of participating in graduation for most students. 3. There is no information on the current use of the student handbooks for the CAHSEE, though they are distributed. 4. A draft of the revised high school graduation policy and a new assessment policy address the exit exam requirement. The newly adopted assessment policy (BP 6000c) indicates that the district will apply for CAHSEE waivers for special education students. This pro- cedure should be spelled out in regulations well in advance of spring graduation. A sepa- rate policy/regulation for the CAHSEE might resolve the issue of having different aspects of it spread out over several policies.  Pupil Achievement Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 8 January 25, 2007 Rating: 6 Implementation Scale: Pupil Achievement  5.1 Professional Development Professional Standard: Staff development demonstrates a clear understanding of purpose, written goals, and appropriate evaluations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The VCUSD Instructional Plan includes staff development goals for teachers and princi- pals focused on the district priorities. Samples of district workshops show clearly stated purposes and/or objectives. Rationales connect the workshops to the larger district agenda and evaluations are collected to gauge the effectiveness of the workshops. The intent of BP 4131.6 Professional Development is being met, but the policy should be considered for revision to align with new district goals and practices. As the district reform centers on standards implementation and alignment with textbooks, pacing guides, and common assessments, the staff development plan clearly focuses on providing training to support the implementation. AB 466 training for teachers and AB 75 for principals has been utilized to train an entire staff in a period of less than two years. Special education teachers and English learner teachers have been included in these train- ings. Staff development on language acquisition and Response to Intervention (RtI) has also been provided to mainstream teachers. 2. A calendar of professional development events for teachers and principals and vice and assistant principals is available. There is also a calendar for and description of the ongo- ing training and work of the teacher leaders. A contracted provider works with new teach- ers on the BTSA program, as shown by a two-year calendar of events. The district also maximizes its professional development resources by structuring and monitoring collaboration time, buy-back days, and routine meeting agendas to support standards implementation. A matrix demonstrates how district and categorical funds are coordinated at the district level to support key district initiatives, including professional development. 3. One of the elements of the reform is the thinking that goes into planning and evaluating professional development. There is awareness that staff time is limited and professional development time is critical to the reform, so stewardship of teacher and principal collab- oration time, meeting agendas, and the available buy-back days helps maintain focus. The agendas are planned and debriefed, and rationales are clear and based on student needs. A progress review took place in June 2006 for principals and leadership teams from each school to “articulate and reflect publicly” about the reform work and in “collaboration with colleagues build shared meaning and accountability.” The day was carefully planned and facilitated, and the results were documented.  Pupil Achievement Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: Pupil Achievement  5.2 Professional Development Professional Standard: Staff development provides the staff (e.g., principals, teachers, and instructional aides) with the knowledge and the skills to improve instruction and the curriculum. Progress on Implementing the Recommendations of the Improvement Plan: 1. District, school, and teacher leaders have moved steadily throughout the last two years (fall 2004 to fall 2006) to provide teachers and principals with the knowledge and skills to improve student performance on the state standards. The plan of action includes aligned materials for reading and mathematics, pacing guides, frequent common assess- ments of progress, collaboration time, adequate instructional minutes for reading, inter- ventions and support, and teacher and principal professional development with an outside provider. Teacher leaders and reform coordinators are trained to support the new skills and knowledge of teaching staff and principals. Resource specialists, English language development teachers, and bilingual assistants are included in the AB 466 training schedule. Special training and instructional materials have been provided to teachers of secondary students identified for intensive or strategic classes in English and math. The district’s corrective action plan supports implementation of the essential components of a standards-based instructional program. 2. The district provides assessments and progress reports every six to eight weeks using the Datawise system. Teacher leaders provide training in data use for planning instruction and interventions during teacher collaboration time. Data analysis and use is a routine part of principals’ meetings. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 6 Implementation Scale: 0 Pupil Achievement 5.7 Professional Development Professional Standard: Evaluations provide constructive feedback for improving job performance. Professional devel- opment is provided to support employees with less than satisfactory evaluations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The teacher contract outlines the standards and procedures for evaluation. Principals re- ported in September 2005 that they had received the names of teachers in their school to be evaluated and are accountable for completing employee evaluations. They have had training on using the teacher evaluation standards, procedures, and forms to focus teacher evaluation on student achievement goals and were given tools, including norms and sam- ple objectives. The norms for objectives: (1) are linked to current district, school, grade- level, or department strategies for the standards; (2) describe what a teacher will do; and (3) are measurable or observable. The evaluation sessions are intended to align evaluation with the instructional agenda and lead to evaluations that better reflect the strategies that teachers should master to be successful. The contract provides a Peer Assistance and Re- view program for teachers who receive an overall rating of unsatisfactory or ask for assis- tance. The Human Resources department has instituted a system for monitoring the teacher evaluation cycle and ascertaining that evaluations are completed and returned. 2. The district revised the administrator evaluation for 2004-2005 to align with the five dis- trict goals. In September 2005, principals reported that they were evaluated and that the process, which included visits, walk-throughs, and narrative feedback, was helpful. In fall 2006, there is a portfolio-based evaluation of principals. A narrative evaluation of each principal provides feedback on program implementation, interventions, monitoring progress, climate, resource allocation, and building sustainability. The district has hired an outside provider to assist/coach principals in at-risk schools. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Self-Rating: 10 January 25, 2007 Rating: 7 Implementation Scale: Pupil Achievement  Chart of Pupil Achievement Standards Progress Ratings Toward Implementation of the Improvement Plan Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 1.1 PROFESSIONAL STANDARD - PLANNING PROCESSES A common vision of what all students 2 3 5 6 7 should know and be able to do exists and is put into practice. 1.2 PROFESSIONAL STANDARD - PLANNING PROCESSES The administrative structure of the 2 4 5 6 7 district promotes student achieve- ment. 1.3 PROFESSIONAL STANDARD - PLANNING PROCESSES The district has long-term goals and 0 2 5 6 7 performance standards to support and improve student achievement. 1.4 PROFESSIONAL STANDARD - PLANNING PROCESSES The district directs its resources fairly 5 and consistently to accomplish its ob- jectives. 1.5 LEGAL STANDARD - PLANNING PROCESSES Categorical and compensatory program funds supplement and do not supplant 4 services and materials to be provided by the district. 1.6 PROFESSIONAL STANDARD - PLANNING PROCESSES The district’s planning process focuses 3 3 5 6 7 on supporting increased student per- formance. 2.1 PROFESSIONAL STANDARD - CURRICULUM The district, through its adopted poli- 0 cies, provides a clear operational frame- work for management of the curriculum. 2.2 PROFESSIONAL STANDARD - CURRICULUM Policies regarding curriculum and in- 3 struction are reviewed and approved by the Governing Board. The identified subset of standards appears in bold print. Pupil Achievement 53 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 2.3 PROFESSIONAL STANDARD - CURRICU- LUM The district has clear and valid objec- 2 3 5 6 7 tives for students, including the core curriculum content. 2.4 PROFESSIONAL STANDARD - CURRICU- LUM A process is in place to maintain 3 4 5 6 7 alignment among standards, practices and assessments. 2.5 PROFESSIONAL STANDARD - CURRICULUM The Governing Board has adopted and 4 the district is implementing the Califor- nia state standards and assessments. 2.6 PROFESSIONAL STANDARD - CURRICULUM Sufficient instructional materials are 8 available for students to learn. 2.7 LEGAL STANDARD - CURRICULUM In subject areas for which the state has adopted standards, sufficient instructional 6 materials are available to students that are aligned with the state standards. 2.8 PROFESSIONAL STANDARD - CURRICULUM Students in K-8 have access to stan- dards-based materials; students in 9-12 6 have access to standards-based materi- als through an adopted process outlined in board policy and regulation. 2.9 PROFESSIONAL STANDARD - CURRICU- LUM Teachers in K-8 are provided with professional development in read- ing and mathematics by a state-ap- 0 2 5 6 7 proved provider; teachers in 9-12 are provided with defined professional development in implementing content standards. The identified subset of standards appears in bold print. 54 Pupil Achievement Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 2.10 PROFESSIONAL STANDARD - CURRICULUM The district has adopted a plan for inte- 5 grating technology into curriculum and instruction at all grade levels. 2.11 PROFESSIONAL STANDARD - CURRICULUM The district optimizes state and fed- 6 eral funding to install technology in its schools. 2.12 LEGAL STANDARD - CURRICULUM HIV prevention instruction occurs at least once in junior high or middle 8 school and once in high school and is consistent with the CDE’s Health Frame- work (EC 51201.5). 3.1 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district provides equal access to educational opportunities to all 3 4 5 5 6 students regardless of race, gender, socioeconomic standing, and other factors (EC 51007). 3.2 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Challenging learning goals and in- 3 4 5 6 6 structional plans and programs for all students are evident. 3.3 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Every elementary school has embraced 0 the most recent California School Recog- nition Program Standards. 3.4 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Students are engaged in learning, and 2 3 4 5 6 they are able to demonstrate and ap- ply their knowledge and skills. The identified subset of standards appears in bold print. Pupil Achievement 55 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.5 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES The district and school staffs promote 2 2 5 6 6 and communicate high expectations for the learning and behavior of all students. 3.6 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district and school sites actively 3 encourage parental involvement in their children’s education (examples of pro- grams EC 51100-51143). 3.7 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES Each school has a school site council or leadership team, comprised of teachers, 4 parents, principal and students, that is actively engaged in school planning (EC 52010-52039). 3.8 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Principals make formal and infor- 2 4 5 6 6 mal classroom visits. Based on these visits, principals provide constructive feedback and assistance to teachers. 3.9 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES 3 Class time is protected for student learn- ing (EC 32212). 3.10 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Clearly defined discipline practices 2 3 5 5 6 have been established and commu- nicated among the students, staff, board, and community. 3.11 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES School class size and teacher as- 3 4 6 6 6 signments support effective student learning. The identified subset of standards appears in bold print. 56 Pupil Achievement Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.12 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Teachers use a variety of instructional strategies and resources that address 3 their students’ diverse needs and modify and adjust their instructional plans ap- propriately. 3.13 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES All teachers are provided with profes- sional development on special needs, 3 language acquisition, timely interven- tions for underperformers and culturally responsive teaching. 3.14 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES The identification and placement of 4 English-language learners into appropri- ate courses is conducted in a timely and effective manner. 3.15 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Curriculum and instruction for Eng- lish-language learners prepares these 3 4 5 6 6 students to transition to regular class settings and achieve at a high level in all subject areas. 3.16 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Programs for English-language learners comply with state and federal regula- 4 tions and meet the quality criteria set forth by the California Department of Education. 3.17 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES The identification and placement of spe- 5 cial education students into appropriate courses is conducted in a timely and effective manner. The identified subset of standards appears in bold print. Pupil Achievement 57 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.18 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES 5 Individual education plans are reviewed and updated on time. 3.19 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Curriculum and instruction for special 5 education students is rigorous and ap- propriate to meet special education students’ learning needs. 3.20 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Programs for special education students meet the least restrictive environment 5 provision of the law and the quality cri- teria and goals set forth by the Califor- nia Department of Education. 3.21 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES The criteria for GATE identification is 3 documented and understood by school site staff. 3.22 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES 4 Students are regularly assessed or reas- sessed for GATE participation. 3.23 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES All incoming kindergarten students are 4 admitted following board-approved poli- cies and administrative regulations (EC 48000-48002, 48010, 48011). 3.24 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district provides access and encour- 5 ages student enrollment in UC and CSU required courses (A-G requirement). The identified subset of standards appears in bold print. 58 Pupil Achievement Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.25 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES Students are prepared for, and may ac- 3 cess, advanced placement or other rigor- ous courses in core subject areas at all comprehensive high schools. 3.26 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES High school guidance counselors are knowledgeable about individual student 3 academic needs and work to create chal- lenging and meaningful course sched- ules. 3.27 PROFESSIONAL STANDARD - INSTRUC- TIONAL STRATEGIES High school students have access to 4 career and college guidance counseling prior to the 12th grade. 3.28 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district has plans for the provision 5 of extended day programs at its respec- tive school sites (EC 17264). 3.29 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The general instructional program ad- 4 heres to all requirements put forth in EC 51000-52950. 4.1 PROFESSIONAL STANDARD - ASSESS- MENT AND ACCOUNTABILITY The district has developed content 2 3 5 6 7 and learning standards for all subject areas and grades that are understood and followed by school site staff. The identified subset of standards appears in bold print. Pupil Achievement 59 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 4.2 PROFESSIONAL STANDARD - ASSESS- MENT AND ACCOUNTABILITY Student achievement is measured and assessed through a variety of 3 4 5 6 7 measurement tools (e.g., standard- ized tests, portfolios, projects, oral reports). 4.3 PROFESSIONAL STANDARD - ASSESS- MENT AND ACCOUNTABILITY The assessment tools are clear mea- sures of what is being taught and 3 4 6 6 7 provide information for the adminis- tration and staff to improve learning opportunities for all students. 4.4 PROFESSIONAL STANDARD - ASSESS- MENT AND ACCOUNTABILITY Teachers and principals are provided with assessment data in a timely and 3 4 6 7 7 accessible format, and training in or- der for them to analyze, evaluate and solve issues of student performance. 4.5 PROFESSIONAL STANDARD - ASSESSMENT AND ACCOUNTABILITY The board has adopted and the district is implementing a K-8 policy that out- 8 lines clearly for teachers, students and parents the benchmarks to be used for intervention, promotion and retention of struggling learners. 4.6 PROFESSIONAL STANDARD - ASSESS- MENT AND ACCOUNTABILITY A process to identify struggling 9-12 students and intervene with addition- 3 3 4 5 6 al support necessary to pass the high school exit examination is well-devel- oped and communicated to teachers, students and parents. The identified subset of standards appears in bold print. 60 Pupil Achievement Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 4.7 LEGAL STANDARD - ASSESSMENT AND AC- COUNTABILITY The district informs parents of the test 8 scores of their children and provides a general explanation of these scores (EC 60720, 60722). 4.8 PROFESSIONAL STANDARD - ASSESSMENT AND ACCOUNTABILITY The district has a process to notify 2 high school students and their parents regarding high school proficiency exami- nation requirements and scores. 4.9 PROFESSIONAL STANDARD - ASSESSMENT AND ACCOUNTABILITY Principals and teachers in underperform- ing schools and/or in schools under 3 mandated improvement programs are provided special training and support by the district; improvement plans are monitored. 4.10 PROFESSIONAL STANDARD - ASSESSMENT AND ACCOUNTABILITY The board and district understand the elements of state and federal account- 3 ability programs and communicate the availability of options and special ser- vices to parents and students. 5.1 PROFESSIONAL STANDARD - PROFES- SIONAL DEVELOPMENT Staff development demonstrates a 3 4 5 6 7 clear understanding of purpose, writ- ten goals, and appropriate evalua- tions. 5.2 PROFESSIONAL STANDARD - PROFES- SIONAL DEVELOPMENT Staff development provides the staff (e.g., principals, teachers, and in- 3 4 5 6 6 structional aides) with the knowledge and the skills to improve instruction and the curriculum. The identified subset of standards appears in bold print. Pupil Achievement 61 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 5.3 PROFESSIONAL STANDARD - PROFESSION- AL DEVELOPMENT The standards developed by the Califor- 6 nia Standards for the Teaching Profes- sions are present and supported. 5.4 PROFESSIONAL STANDARD - PROFESSION- AL DEVELOPMENT 5 Teachers are provided time and encour- aged to meet with other teachers. 5.5 PROFESSIONAL STANDARD - PROFESSION- AL DEVELOPMENT Collaboration exists among higher education, district, professional associa- tions, and the community in providing 0 professional development. The district has formed partnerships with state col- leges and universities to provide appro- priate courses accessible to all teachers. 5.6 PROFESSIONAL STANDARD - PROFESSION- AL DEVELOPMENT Administrative support and coaching are 5 provided to all teachers, and new teach- ers and principals are provided with training and support opportunities. 5.7 PROFESSIONAL STANDARD - PROFES- SIONAL DEVELOPMENT Evaluations provide constructive feed- back for improving job performance. 3 5 6 7 7 Professional development is provided to support employees with less than satisfactory evaluations. The identified subset of standards appears in bold print. 62 Pupil Achievement Financial Management Financial Management Internal Control Environment The business division continues to implement positive changes to improve efficiency and the work environment. These changes and the resulting performance expectations should be com- municated to all employees. Although payroll errors are still a major concern, the addition of a supervisory payroll position has helped improve procedures. The board policy addressing ethical behavior that was adopted during summer 2005 was dis- cussed at management meetings but not with all district staff. All employees should know and understand the policy and expectations regarding integrity and/or appropriate behavior. Adminis- trators should communicate policies and expectations to employees. Appropriate and measurable goals, objectives and evaluation criteria should be developed for all positions. The new Internal Auditor is evaluating the internal controls throughout the district. Several new procedures have already been implemented, such as cash handling and attendance. Employees report that they still do not know how to report the concerns or problems they notice during routine daily activities. Some employees expressed a fear of retaliation if they reported concerns. A reliable system should be devised and employees encouraged to report perceived abuses and/or fraud. The district should consider implementing an anonymous tip line or other avenue for tips and suggestions. Inter- and Intra-Departmental Communications Work has begun on new procedural manuals and other resources for business-related functions and departments, such as a detailed position control procedure. Business department administra- tors have also reviewed various processes and procedures and have plans to formalize their find- ings in specific areas, such as payroll, manual checks and budget. This will be a lengthy, ongoing process. The Business Services Division Procedures Manual is quite old and should be updated and used as a training tool in in-service workshops before each school year begins. Currently, it appears that training is held for administrators before the school year begins, but does not occur for other staff except for specialized needs. Organizational charts and phone contact lists should continue to be kept current for site and department use on business issues. Business Services employees should not rely on voice mail as a means to handle phone calls. Budget Development and Monitoring Although the district developed strategic planning objectives for the budget processes, objectives were not met during the 2006-07 budget development process due to time constraints. The busi- ness office had formulated an action plan for budget development that would include communi- cation and collaboration between its staff and the school sites, programs, and departments. Initial meetings did take place. However, most of the program and department managers or directors reported that follow-up meetings did not occur. In addition, portions of the expenditure informa- tion provided by the managers or directors based on firsthand knowledge were not included in the budget adopted by the board on June 21. The district’s 2006-07 proposed adopted budget handout and accompanying PowerPoint pre- sentation to the board on June 21 did not include any SACS reports. The business office had not downloaded the budget data into the SACS format or completed the technical review checklist to Financial Management  validate the data. Presentation to the board of the budget data in SACS format is not manda- tory, although the reports provide an overview of the anticipated revenues, expenditures, other sources and uses, and deficit spending of the adoption budget in a user friendly format, and identify the district’s estimated ending balance for the current year. This estimate is critical in identifying whether the district will begin the new fiscal year with a positive balance or should anticipate a negative beginning balance that must be restored in the adoption budget for the upcoming year. Validating the district budget in SACS may also identify errors or the omis- sion of material revenue or expenditure items. FCMAT’s analysis of the district’s budget documents and interviews with staff of the business office, school sites, programs, and departments found that an administrative review of the integrity of the financial information was not properly completed before the June 21 Board meeting. In addition, the adopted budget submitted to the county office on or by July 1 did not include the SACS report required under Education Code 42127(a)(2). The information in the 2006-07 budget handout provided to the Governing Board on June 21, 2006 presented anticipated revenues and expenditures but did not include information on the projected ending balance for the 2005-06 year, or a subsequent projected ending balance for the 2006-07 adoption budget. The PowerPoint presentation identified, in general terms, an unrestricted 2006-07 ending balance of -$4 million without the property sale, and $2.6 million with the property sale. The industry standard for presenting a projected fund balance includes revenues, expenditures, other sources and uses, net change to fund balance, beginning bal- ance, audit adjustments, and ending balance, in that order. FCMAT’s review of the multiyear projection included in the adoption budget SACS report submitted to the county office in late August surfaced the following problems: • The adoption budget in the SACS document was not the same budget adopted by the Governing Board on June 21, 2006, although the SACS document included the certifi- cation page signed by the State Administrator on June 21. • The multiyear projection included in the SACS document was imported into the SACS MYP format with no further entries or adjustments to the data. As a result, material errors existed, including an invalid but nevertheless reported escalating restricted end- ing balance of -$6,381,087 in 2007-08 and -$15,965,535 in 2008-09. A notation in the MYP file stated, “See the MYP Draft Summary,” a document which was not included in the documents first provided to FCMAT. • A review of the SACS report by the business office administration either did not take place or was not completed adequately. Although multiyear projections are submitted at the statutory times, the data is not complete enough for use in planning. The district continues to not provide specific information on the projection assumptions, such as future enrollment/ADA estimates, teacher staffing, step and column, changes in property and liability insurance, workers’ compensation and utilities. The MYP is of little use if it is not updated or does not include detailed and complete assumptions for future years.  Financial Management The district’s budget goal of adopting a balanced budget in which expenditures do not exceed revenues appeared to have been met based on the June 21, 2006 budget information provided to the board. However, district staff related to FCMAT that the 2006-07 budget adopted on June 21 was less than 100% accurate. Unless all potential land sales occur as anticipated, the district’s goal to adopt a balanced budget in 2007-08 with the required 3% reserve for economic uncer- tainties cannot be met based on current district projections without a combination of changes in revenue streams and material reductions in expenditures. At 2005-06 third interim the business office had projected a general fund ending balance for 2005-06 of $298,083. In the late August SACS financial report submitted to the county office, the district projected an ending fund balance of -$169,207. The district’s third interim report, the 2005-06 unaudited actuals and the 2006-07 SACS adopted budget report were submitted to the county office after the statutory deadline and did not include all required components. In addition, the county office noted in its 2006-07 adopted budget approval letter numerous ongoing concerns regarding the 2006-07 adopted budget. The district continues to miss key financial reporting deadlines and the quality of information provided in the reports has declined. The California Department of Education has extended the deadlines for the district in order to give the district time to produce more accurate data. However, FCMAT believes that the additional time has not resulted in greater accuracy. If all elements of the sub- missions are not completed, and/or appropriate information is not included, time is lost and additional fiscal concerns may arise. Board packets should be sent out as soon as possible so that the board has time to prepare for meetings. The Budget Advisory Committee is still inactive. Board members have not received any additional training on state mandated reports, even though such training has been planned for some time. The district has not yet adopted policies and/or procedures requiring monthly presen- tation of budget and financial information and updates. The online purchase order system module has been implemented throughout the district, except at the Community Day School. Several training workshops have occurred. Once online purchase orders are in use district-wide, the timeliness and quality of financial information should improve as those with budget responsibility have more access and accountability for their specific bud- gets. The system automatically verifies fund availability and account coding when a site/depart- ment enters a requisition. The district has implemented a hard code block that cannot be overrid- den, which is always advisable, especially for districts with fiscal issues, so expenditure transac- tions (other than salary and benefits) cannot be processed until the budget transfer has been input and approved. Site and department managers remain concerned about allocations and budgets that change without full explanation. Also, categorical carryover and budget information is often not clear until late in the year, leaving minimal time in which to spend the funds. The budget office should continue to work with the sites and departments to determine how to make budget review and comprehension easier, thus improving overall accountability. Administrators need to be further trained on business related areas such as budget codes and transfers. Communication needs to continue between administrators and the business office about how budgets are allocated. Financial Management  Effective internal controls have been initiated for position control. Overall efficiency and accountability has improved. Position control does not include non-contracted positions, so the data cannot be rolled into the budget once the fiscal year begins, and budget overruns can occur. The district must implement a process to ensure that position control data is reconciled to the budget periodically throughout the year since the changes do not occur electronically to its finan- cial and position control systems. The district is working toward full utilization of online position control. A separate health and welfare benefits module is used to drive the budget, but is not used in the payroll system where payments are made. Attendance Accounting The district continues to enforce the importance of accurate student attendance accounting pro- cedures. The district conducted attendance training for site and district staff in fall 2005 but not in 2006; annual training is recommended. Job-alike meetings would also enable site and district staff to share ideas and methods for attendance taking and monitoring. Written documentation on the attendance system has been prepared and distributed, and appears to be used by site staff. Procedures have been developed outlining the step-by-step instructions from registering a student through reporting on the J18-19. The procedures manual includes forms, common attendance codes, student drop guidelines, compulsory laws and pertinent education codes. The Attendance League, a program to reward good student attendance, has been in place since February 2006; attendance increases have been realized since the program began. District staff have begun visit- ing school sites annually to ensure that all employees responsible for attendance accounting have the training and tools needed to continue with accurate and timely attendance reporting. Estab- lishing standardized procedures for short-term independent study continues to be a concern that is being addressed. Accounting, Purchasing, and Warehousing The 2004-05 financial audit prepared by the State Controller’s Office was available for the team’s review and indicated numerous findings in the accounting activities, especially related to payroll operations. Systems and procedures have improved since the district filled the Internal Auditor position and is working to address the audit findings and implement the recommendations. The district still needs to develop good business practices to ensure that accounting activities are performed in a timely manner. Board policies for accounting and purchasing still have not been updated. Deadlines are still not enforced. As new staff becomes fully trained, the response time should improve. Procedures are being developed to ensure there is a clear separation of duties in all maters involving cash receipts, bank deposits and reconciliation and the recording of cash transactions into the accounting system. Even so, monthly bank reconciliations are not always prepared in a timely manner, which are an important part of a sound internal control structure. Although new procedures have been implemented to pick up cash from sites and deliver it to the district office, procedures to follow up on cash shortages are not fully in place. The district should forecast and verify revenue and expenditure budgets monthly in order to adequately manage its cash. Once the prior year unaudited actual financial reports have been pre- pared, the current year budget should be compared to the prior year actuals for reasonableness, and updated to include any new information. The district should monitor all budget line items at  Financial Management least monthly. The employee responsible for preparing monthly cash flow projections has limited experience in this area. A cash flow projection has not been prepared since June 2006. Communication and teamwork in the Payroll Department has improved. Even so, the overall morale of the payroll staff remains low. The regular monthly meetings between Payroll and Human Resources have facilitated communication between the two departments and improved the overall relationship. Payroll employees continue to work extensive overtime to process pay changes and cover for vacant positions. The due date for one payroll cycle has been revised to provide adequate time for processing paychecks; this change may help to reduce the number of manual checks in the future. School sites are still submitting timesheets late, causing problems such as increased need for handwritten checks from the revolving fund. Because management does not enforce compliance with payroll deadlines, the staff cannot cut off payroll processing on time, which places additional pressure on the staff. All principals and managers should be held accountable for meeting payroll deadlines. The overpayment/collection process has not improved; no defined method or process is in place to collect overpayments from active employ- ees. All overpayments should be followed up and resolved. Long-Term Debt Obligations The district has not completed a post-retirement benefit actuarial study since June 30, 2002. This study will be a critical component of the proposed long-term fiscal recovery plan and future budget planning. The district should disclose annually whether it will reserve sufficient funds in the budget to pay the present value cost of retiree benefits. The responsibility for tracking and projecting health benefit costs for both active and retired employees has been moved back to the business department and is done on a spreadsheet. Documentation supporting the total dollar amounts stated for retiree benefits could not be provided for the proposed 2006-07 budget. All active and retired employees who receive health and welfare benefits have been required to re- enroll. The district is taking measures to recoup funds from active, former, and retired employees that were not entitled to these benefits. There are no written procedures or policy guidelines regarding the reconciliation process. Collective Bargaining In fall 2005, the district successfully concluded negotiations with all bargaining units for a three- year collective bargaining agreement that included mid-year implementation of salary compensa- tion, identified savings by capping health and welfare benefits, and limited the accumulation and payment of excess vacation benefits. The agreement included a significant reduction in district- paid health benefits beginning July 1, 2005. AB 1200 and Government Code section guidelines were followed in this area. The district convened study sessions with the State Administrator and the public to address the fiscal impact of collective bargaining. However, because the district has not formally approved, disclosed or implemented a fiscal recovery plan, the full fiscal impact cannot be calculated. The district’s ADA has declined by approximately 1,060 over the previous two years and is anticipated to further decline in the current and two subsequent fiscal years, which will substantially affect future negotiations. Operational Fiscal Controls The district completed a workers’ compensation actuarial on June 14, 2006. Based on the 2005- 06 unaudited actuals and actuarial data, the district’s workers’ compensation expenditures have decreased as compared to 2004-05. The actuarial data also suggests that the workers’ compensa- Financial Management  tion program has sufficient reserves to cover current year claims and available reserves to fund unpaid losses. The new rate structure for the State Compensation Fund workers’ compensation program has been incorporated into the 2005-06 budget since FCMAT’s last six-month review. The district has implemented cross training of clerical staff on the present work order system and now has Web access for all district sites to report maintenance needs. The district has continued its cross training program for active and substitute employees on the work order system. The district is performing asset inventory and valuation for all capital assets exceeding the $10,000 threshold, as required by GASB 34. This is being done by Maximus and will conclude with all vehicles, buildings, etc., at each site being inventoried with the goal of revising the cur- rent records database to reflect additions, transfers and any surplus items. Special Education The district continues with its ongoing self-review process involving parents and community members. The fiscal employee assigned to monitor Special Education budgets continues to work closely with the department director, reviewing the budget regularly to ensure that actual expen- ditures are within the budgeted funds and recorded accurately, benefiting the department as a whole and helping to keep errors down and unexpected costs at a minimum. Management Information Systems Over the past two years the department has evolved from a user support department that out- sourced engineering services to a department that handles engineering needs internally, saving the district money; but the department struggles to support district technology users. The IT department staff did not appear to be functioning as a cohesive unit during this review period. Interviews with staff indicated overall low morale. The IT staff assisted in successfully moving the district office to its new location on Mare Island. A new work order system has been operational since September 2006 to monitor the status of work order requests; however, there is a growing number of unaddressed work orders in the system. The district has implemented online attendance at one junior high and at the high schools. Staff Professional Development An annual staff development plan to update sites and departments on changes in business proce- dures and the application of routine internal control processes has not yet been prepared for each department and position. Meetings and some specific training are offered on request and have occurred within the last year on attendance, purchasing, running budget reports and processing purchase orders online. EPS software training on student body accounting was held in May and October 2006. In-district purchasing and Financial 2000 training occurred on Sept. 21, 2006, and covered materials and supply sources, requisition input, open purchase orders, receiving procedures, orders delivered to school sites, warehouse deliveries, previous year accruals, buses for field trips or events, and surplus property and textbooks. The Internal Auditor has developed a number of policies and procedures to begin addressing the audit findings of 2003-04 and 2004-05, including cash han- dling, attendance and payroll. A workshop was presented in May 2006 on the newly approved cash management policy to all employees who handle cash.  Financial Management 1.1 Internal Control Environment—Integrity and Ethical Values Professional Standard: Integrity and ethical behavior is the product of the district’s ethical and behavioral standards, how they are communicated, and how they are reinforced in practice. All management-level per- sonnel exhibit high integrity and ethical values in carrying out their responsibilities and directing the work of others. [SAS-55, SAS-78] Progress on Implementing the Recommendations of the Improvement Plan: 1. The board policy addressing ethical behavior that was adopted during summer 2005 was discussed at management meetings but not with all district staff. All employees must know about and understand the policy and expectations regarding integrity and/or proper behavior. The policy should be communicated to all employees, and performance evaluations should be updated to include ethical expectations. 2. Administrators should continue to communicate employee expectations and demon- strate integrity and ethical behavior in their daily activities. 3. Employee morale still needs improvement. Administrators should communicate poli- cies and expectations to employees and find ways to improve morale. 4. Most employees are cooperative and attitudes are slowly changing. Employees should continue to be encouraged to accept changes and become more efficient in their daily work activities. 5. Employees should be evaluated annually by their supervisors, and held accountable for appropriate behavior at all times. Disciplinary action for inappropriate behavior is still not uniformly enforced. Employee discipline should be enforced in a fair and consistent manner. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 4 Implementation Scale: Financial Management  1.4 Internal Control Environment Professional Standard: The organizational structure clearly identifies key areas of authority and responsibility. Reporting lines are clearly identified and logical within each area. [SAS-55, SAS-78] Progress on Implementing the Recommendations of the Improvement Plan: 1. The lines of authority and supervision continue to be blurred in some instances. The Business Division developed a new organizational chart that delineates the respon- sibilities of managers, supervisors, and employees. Some job duties have been reas- signed. Job descriptions should be updated to reflect these changes. 2. The hiring of a supervisory position in payroll has helped to improve procedures. Pay- roll errors are still a major concern. The perception of payroll is less than positive at school sites. The department has been short staffed for over a year. The payroll posi- tions were recently upgraded, which should help with recruitment. Vacant positions in payroll must be filled quickly to ensure that employee paychecks are accurate. 3. Some supervisors continue to perform clerical functions due to vacancies in the busi- ness department. Supervisors must be held accountable for performing their job duties effectively and efficiently, especially in payroll. 4. Changes continue to take place in the business office. Several employees are new to their positions. Job descriptions must be updated to reflect job duty changes. Highly qualified employees should be hired to fill vacancies, and staff training should be provided regularly. 5. The Business Division continues to make positive changes to improve efficiency and the work environment. These changes and the resulting performance expectations should be communicated to all employees. 6. The district should also work closely with the bargaining units to implement changes to improve district operations. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 5 Implementation Scale:  Financial Management 1.7 Internal Control Environment Professional Standard: All employees are evaluated on performance at least annually by a management-level employee knowledgeable about their work product. The evaluations criteria are clearly communicated and, to the extent possible, measurable. The evaluation includes a follow-up on prior performance issues and establishes goals to improve future performance. Progress on Implementing the Recommendations of the Improvement Plan: 1. Standard evaluation forms are available, but evaluations have not been performed regularly. Processes to ensure that employee evaluations are prepared regularly must be implemented and evaluations conducted at least annually. 2. Evaluation criteria may be outdated and not appropriate for the current job functions. Measurable goals and objectives are not in place for all positions. Some employees do not know the standards by which they will be evaluated. Appropriate and measurable goals, objectives, and evaluation criteria should be developed for all positions. The district should work closely with the bargaining units to implement new evaluation standards if the current standards for each position are outdated. 3. The Human Resources Department is working toward better evaluation practices to ensure that employee performance evaluations are prepared regularly. Managers and supervisors must be held accountable for evaluating employees annually and on time. 4. Managers and supervisors should be fully trained to properly evaluate employees. Training should include following district procedures, proper use of district evaluation forms, bargaining unit restraints, and discipline/performance improvement procedures. 5. Human Resources distributes evaluation forms in a timely manner but there is no process in place to follow up if evaluations are not completed. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 2 May 31, 2006 Rating: 2 January 25, 2007 Rating: 3 Implementation Scale: Financial Management  1.8 Internal Control Environment Professional Standard: The responsibility for reliable financial reporting resides first and foremost at the district level. Top management sets the tone and establishes the environment. Therefore, appropriate measures are implemented to discourage and detect fraud (SAS 82; Treadway Commission). Progress on Implementing the Recommendations of the Improvement Plan: 1. Internal accounting controls have not been fully implemented or enforced in the district office to protect against inappropriate staff behavior. Internal accounting con- trols must be strengthened, performance standards implemented, and employees held accountable for following all district policies. 2. A board policy was adopted addressing fraud prevention, the misuse of funds, and conflict of interest. Administrators and managers received training on the policy, but not all employees in the district office or at school sites have. All employees must be aware of the policy and understand its contents. 3. A new Internal Auditor is working with district staff to develop procedures to improve internal controls throughout the district. A full evaluation of the internal controls throughout the district is in progress. Several new procedures have been implemented for cash handling and attendance. Payroll procedures have been developed but they have not been implemented due to conflicting opinions amongst the various business managers. The Internal Auditor is not involved with writing policies. 4. The prior administration did not provide accurate financial information to the board of trustees. New administrators should be held to the highest professional standards. New administrators are making improvements in the overall internal accounting control process. Changes and revised expectations should be communicated to employees regularly. 5. Employees do not know how to report concerns or problems that they notice during routine daily activities. Some employees have expressed a fear of retaliation if they report concerns. A reliable system should be devised and employees encouraged to report abuses and/or fraud. The district should consider implementing an anonymous hot line or other avenue for tips and suggestions. 6. A county data processing system has been installed and many enhanced accounting controls are in place. Employees stated that they have received training on its use and continue to improve their overall skill levels. The district should continue to provide additional training. 7. Due to lack of knowledge and training, not all employees are following Generally Accepted Accounting Principles (GAAP) as they should. Adequate training should be provided so that employees know, understand, and follow GAAP at all times. 0 Financial Management 8. The Internal Auditor reports directly to the State Administrator. If concerns arise, the Internal Auditor notifies the State Administrator by e-mail, but there is no system in place to ensure that necessary corrections are made. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 4 Implementation Scale: Financial Management  2.1 Inter- and Intra-Departmental Communications Professional Standard: The business and operational departments communicate regularly with internal staff and all user departments on their responsibilities for accounting procedures and internal controls. The communications are written whenever possible; particularly when they (1) affect many staff or user groups; (2) are issues of high importance; or (3) reflect a change in procedures. Proce- dures manuals are necessary to the communication of responsibilities. The departments also are responsive to user department needs, thus encouraging a free exchange of information between the two (excluding items of a confidential nature). Progress on Implementing the Recommendations of the Improvement Plan: 1. A detailed Position Control Procedure has been developed and distributed, with easy to understand narrative and print screens. Administrators in the business department have also spent time reviewing various processes and procedures and have plans to formalize their findings in specific areas, such as payroll, manual checks and budget. This will be a lengthy, ongoing process. The district should continue to develop other procedures after departmental and/or task areas have been reorganized. When manu- als or other resources are developed, they should explain in detail the processes and procedures that are expected and/or necessary to comply with rules and regulations, as well as board and district policies and procedures. These resources should be updated at least annually. The completed procedures manuals should also function as a train- ing tool for staff, help ensure the accurate and appropriate discharge of job duties, and provide some continuity in the event of staff turnover. 2. The administration has drafted many new business procedures and other documents with internal control mechanisms incorporated. These include: Approved Procedures a. Accounting for Leases Procedures b. Fixed Assets Procedures c. General Revolving Cash Procedures d. Kindergarten Continuation Procedures e. Procedures for Annual Stores Inventory f. Procedures for Professional Services g. Staff Development Day Procedures h. Time Certification for Federal and State Funded Programs i. Vacation Accrual Procedures and Control Pending Procedures j. Bonds k. Community Facilities District No. 2 and 3 Tax Assessment Procedures l. Community Facilities District No. 2 and 3 Tax Recording Revenue and Expense Reports m. Safe Inspection Report for May and June 2006 Forms n. Certificated Independent Consultant Agreement  Financial Management o. Independent Contractor/Consultant Agreement Other Items p. Current Lease Analysis q. Risk Matrices i. Petty Cash ii. Student Funds for Elementary and Middle School iii. Budgeting iv. Attendance Training should be conducted on these policies and procedures as they are approved to ensure that the staff understands them and is accountable for following them. 3. The Business Services Division Procedures Manual, apparently last revised in 1990, should be updated and distributed to business operations customers. 4. The district should communicate changes in business services policies and proce- dures by offering in-service training before each school year begins. Updates to the Procedures Manual could be handed out and explained at the training. This would help ensure that staff at sites and departments understand and properly implement the changes. These trainings should be provided for administrators and site and depart- mental personnel who regularly handle business tasks. Separate training workshops may need to be developed based on job level (e.g., administrators attending less detailed training than office managers). Currently, it appears that training is provided for administrators before the school year begins, but does not occur for other staff except in special cases. 5. Organizational charts should be updated and kept current so that sites and departments know who to contact with questions. The Business Services and Operations depart- ment shared with FCMAT the current organizational chart, which appears to be up to date and now includes both titles and employee names. This is an improvement over the last review, as only titles were included then. This makes it much easier for staff outside of the business division to connect names and responsibilities. 6. Employees at sites and in departments need to know who to call for routine issues involving payroll, accounts payable, and purchase requisitions. A letter went out in August specifying who to call for payroll questions, based on the first letter of last names. A notice was sent in September on who to contact on purchasing matters. In addition, a list is being developed to send to each site and department identifying who their “business partner” will be to contact for budget and staffing issues. A directory should be developed and distributed for other business functions as well. 7. Interviews revealed that phone calls to the business office continue to often go unan- swered and roll over to voice mail. Contacting a “live” person is often difficult. This especially continues to be true in the payroll department. Many site employees report calling the payroll supervisor directly for a response, which is not the best use of the supervisor’s time. In addition, the payroll department is only open for half the day on Tuesday and Wednesday mornings, and is open full time the rest of the week. If Financial Management  a Tuesday or Wednesday is a payday, payroll remains open all day. The sites do not like this schedule, but the change was made to help the payroll department become more productive, and a letter was sent to each employee before it was implemented to explain why. It may be beneficial for the payroll department to again communi- cate this to the sites and departments. Examples of a reduction in errors, or of fewer manual checks needing to be produced because there is more data in the payroll batches may help employees understand the benefit from the change. 8. The Business Department continues to increase written communication to sites and departments as specific issues arise. Changes and updates of a positive nature should also be conveyed as often as possible. Communications have become more effective and specific regarding the corrective action plans needed district wide on the 2003-04 and 2004-05 audit findings, so that the same types of issues do not continue year after year. 9. The district has begun using a different budget report structure to be sent to the school sites and departments during the 2006-07 fiscal year, beginning in October. School sites and departments are able to run their own budget reports from the Financial 2000 system, in addition to the reports the district office provides. These self-run reports are simpler and provide basic budget information, which makes them effective for imme- diate reporting needs. The reports that the district office provides have an analytical foundation, are reviewed by the business partner, and provide a consistent and more presentable monthly package for the management team. 10. The business office had formulated an action plan for developing the budget that would include communication and collaboration between its staff and the district’s school sites, programs, and departments. The district sent out a comprehensive packet on April 3, 2006 to school principals and district office managers that included the 2006-07 budget guidelines, criteria and responsibility matrix. The documentation was easily understood and site administrators spoke highly of it. The one-on-one meetings that have been held were also well received. Although site administrators still have many questions about their allocations and final amounts of all budgets, they spoke highly of the increase in communications. 11. On Aug. 9, 2006, another packet was sent to school site principals and district admin- istrators containing their budget package for the 2006-07 fiscal year, which was adopted on June 21, 2006. That packet included: a. 2006-07 Department Budget by fund, resource, and object codes 1000-6999 b. Headcount Report: Details employees in a specific department by resource, name and FTE c. Standardized Account Code Structure (SACS): Book containing the current SACS chart of accounts to assist in proper general ledger account coding 12. On Aug. 21, 2006, a packet was sent to all district staff on a number of payroll issues, including new payroll office business hours, new inquiry form, contact information, new processes, instructions on what must be included on time sheets, time sheet  Financial Management deadlines, and description of earn types/deduction codes. In a separate mailing, class overage report instructions were sent to all school sites. 13. A 2006-07 audit schedule has been developed at each site for attendance and student fund testing from October 2006 to May 2007. Three sites will be visited per quarter. After those visits, based on findings and weaknesses noted, a training document will be developed and shared with that specific site separately, so the training and resources are tailored specifically for them. 14. A 2006-07 audit schedule (October to May) for internal control and operational issues has also been established for the following areas: instructional materials resolution and instructional minutes, payroll, cash and accounts receivable, budget employee time certification, kindergarten retention, teacher credentialing, adult education, and general accounting. Cafeteria cash collection audits will also be conducted in November 2006 and April 2007. 15. District leadership meetings and principals’ meetings should continue, with time set aside to share financial and other information with support department managers, principals, and program managers. Periodic office manager/clerical meetings should also occur for information sharing and policy/procedure updates. There continues to be more communication with administrators than non-administrators. For instance, principals, directors and managers received training on budget procedures and work- ers’ compensation in August. That information was not presented to any employees at lower organizational levels. 16. The payroll and human resources departments meet monthly, more often if needed, so that the two departments can discuss ongoing issues and develop solutions to common problems. The development of a draft of payroll procedures and policies, which is being reviewed, is one outcome of these regular meetings. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 Implementation Scale: Financial Management  2.2 Inter- and Intra-Departmental Communications Professional Standard: The financial departments communicate regularly with the Governing Board and community on the status of district finances and the financial impact of proposed expenditure decisions. The communications are written whenever possible, particularly when they affect many community members, are issues of high importance to the district and board, or reflect a change in policy. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district business office prepared and submitted the 2006-07 SACS adopted budget report to the county office at the end of August 2006, well after the statutory July 1 deadline. The county office responded to the district on Sept. 27 identifying concerns in nine areas. The county office required the district to address these items in the first interim report due to the county by Dec. 15, 2006. Each item reflects a function that is a normal part of the preparation of information and submittal to a county office of education by all California school districts but has not been conducted in a timely manner in Vallejo City Unified. When information is sent from the county office to the district on submittals of required data, it is important to share that information with the district administration and the board so that issues are made public and discussed. 2. The county office, in its 2006-07 adopted budget approval letter, stated that under normal circumstances, the district’s 2006-07 adopted budget would not meet the crite- ria and standards adopted by the State Board of Education. However, it also stated that significant reductions have been made since the district came under state administra- tion in July 2004, and because the district is working with the California Department of Education, FCMAT and the Solano County Office of Education to develop and implement a multiyear recovery plan, the budget would be approved with stipula- tions. The district must work to ensure that all budget submittals meet the criteria and standards so that the data is accurate and projects an accurate financial position of the district. CDE has provided the district time beyond the statutory deadlines to prepare accurate reports. However, additional time for report completion has not resulted in reports being more accurate. The district’s submittals continue to lack key elements. 3. The 2005-06 unaudited actuals had not been submitted to the county office as of Oct. 17, 2006, although they are statutorily due Sept. 15. This results in a delay in the posting and use of carryover amounts. Education Code Section 42100 requires that the prior year reports including actual data must be presented to the governing board and submitted to the COE by Sept. 15. 4. Statutory submissions to the county office and the CDE must accurately reflect the district’s fiscal position. If all elements of the submissions are not completed, and/or if appropriate information is not included, time is lost and additional fiscal concerns are likely to arise. The district must improve its required submissions. The district contin- ues to miss key financial reporting deadlines. As evidenced in previous sections of this report, the quality of information provided in the reports has declined.  Financial Management 5. The FCMAT team had difficulty determining which version of the 2006-07 adopted budget was brought to the board and community for public review, as various docu- ments with different information were provided to FCMAT during fieldwork in October. It was finally determined that the district’s 2006-07 proposed adopted budget book and accompanying PowerPoint presentation to the board on June 21 did not include any SACS reports. Further review found that the business office had not downloaded the budget data into the SACS forms or completed the technical review checklist to validate the data prior to presentation at the meeting. In addition, filing of the adopted budget with the county office by July 1 did not include the SACS report, which is required under Education Code 42127(a)(2). The SACS form was submitted in late August. 6. It is problematic that the MYP submitted with the June adopted budget was actually prepared in May 2006. Thus the base year, 2006-07, did not tie to the 2006-07 adopted budget. In addition, the district did not adjust the SACS MYP form to the approved MYP. SACS documents are the official approved budget and must accurately portray all elements that are required by statute. 7. Board members have not received any additional training on state-mandated reports, even though such training has been planned for some time. For instance, training on the state-required cash flow statement was planned at the time of the last six-month report, but has not yet occurred. 8. Board financial reports, whether SACS compliant or not, should include narratives that thoroughly describe the assumptions used to prepare the information, variances from the last time the budget information was presented to the board, and all relevant data on ongoing and one-time revenues and expenditures. Financial reports are not as useful without adequate explanatory detail. The information should be user-friendly, and any issues explained prior to the board meeting so there is adequate time to under- stand the information before action is taken at the meeting. 9. Adequate, easily understood information should accompany all business-related items brought to the board. The district’s intent has been to ensure that board members are fully informed on the issues so they can make informed decisions, but detailed infor- mation needs to be sent to the members before the board meeting instead of being given to them at the meeting. Many of the board packets that the board receives before the meetings contain the full backup for all agenda items, but many do not. Because financial information is complicated and often lengthy, any additional time the board can have to review the complete packet will help them to be better informed and ready to discuss the information. 10. The district continues to draft and approve new board policies, including: Food Ser- vices/Child Nutrition Program, Free and Reduced Priced Meals, Other Food Sales, State Loan Repayment Fund, Employee Safety, Decision not to Rehire, Suspension/ Disciplinary Action, Recruitment and Selection, Student Wellness, Program Evalua- tion, Promotion and Retention. Financial Management  11. The district has not yet adopted policies and/or procedures requiring monthly presen- tation of budget and financial information and updates. These updates, when provided, should include: all issues that impact district finances, routine budget reports on the general fund, payroll and warrants reports and statutory requirements such as records and surplus property disposal, gifts and donations. 12. When the Budget Advisory Committee (BAC) is reactivated (originally planned for November 2005, extended to February 2006, but not reactivated as of October 2006), it will be utilized to assist the district in ensuring that financial communications are clear and concise. The committee will discuss various methods of communicating financial issues to the community and staff. Issues identified and discussed at the BAC meetings should also be disseminated at board meetings and to the community. 13. Payroll expenditures and accounts payable should be brought to the board for approval. This ongoing recommendation has not been addressed. The Governing Board should ratify all district expenditures. 14. Community meetings continue to be held, in addition to the regular board meetings, to provide information and to allow question and answer sessions in a comfortable atmosphere. The following meetings have been held since FCMAT’s last visit: • May 11, 2006: Chamber of Commerce Meeting • May 24, 2006: Community and Staff Forum • Aug. 21, 2006: All Staff Meeting • Oct. 10, 2006: Community and Staff Forum 15. In addition to board meeting agenda items, the State Administrator includes budget information and updates about once a month in his reports at board meetings. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 3 May 31, 2006 Rating: 3 January 25, 2007 Rating: 2 Implementation Scale:  Financial Management 2.3 Inter- and Intra-Departmental Communications Professional Standard: The Governing Board is engaged in understanding globally the fiscal status of the district, both current and as projected. The board prioritizes district fiscal issues among the top discussion items. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Budget Advisory Committee (BAC) remains inactive. The Governing Board plans to utilize the BAC to assist with budget and audit review. It will also serve as a liaison to other groups and will obtain their perspectives and input. 2. A Finger Facts Information Sheet about the district was developed in February 2005 to increase information and communication with the community. It included summary budget information, district facts and demographics, and related fiscal issues. This sheet was posted on the district Web site, but is no longer listed, nor is an updated one posted. The information sheet should be updated at least semi-annually. Summary budget information should also be included with communications to school staff. A document was developed for those interested in teaching at the district, which contains general district and instruction-related information, and is a good communication tool for use with all stakeholders in the district. 3. Once the Budget Advisory Committee is reactivated, it should obtain broader commu- nity participation and input into the budget process. The BAC will assist in monitoring financial issues in detail and providing secondary oversight. Although the committee existed prior to state administration, it was not utilized for oversight. 4. Detailed information should accompany budget reports explaining the funding that exists and how long it will be available to the district. This will allow the board to make expenditure decisions in a more informed manner. To date, this type of informa- tion has not been provided. This recommendation should be implemented to facilitate better understanding and timelier use of restricted categorical funding. 5. Once the Budget Advisory Committee is reactivated, the Governing Board should receive the BAC meeting minutes in a timely manner to assist it with its fiduciary duties and to be apprised of BAC discussions and concerns. 6. The budget office needs to provide the board with frequent multiyear projection infor- mation while the district’s fiscal health is being restored. Plans to prepare and provide projections quarterly to the State Administrator and the Governing Board during the period of financial recovery have not yet been implemented. To date, they have been completed and distributed only when mandated by state requirements, such as with interim reports and adopted budgets. The assumptions presented with the projection for the two subsequent years have not been detailed and/or visible, other than the anticipated future decline in attendance. Assumptions behind multiyear projections need to be clearly identified and continuously monitored for validity. When multiyear Financial Management  projections are presented, they need to be explained in detail to be thoroughly under- stood and trusted. This goal has not yet been met. 7. School boards must understand the impact of all fiscal decisions they make and how these decisions affect future year budgets, which can be easily reflected in detailed, understandable multiyear projections. The projections should be thoroughly explained to ensure the board members’ familiarity with the data. 8. The State Controller’s Office presented the 2004-05 financial statements, auditor’s report and findings and recommendations on June 21, 2006. At that meeting, there was discussion about board members wanting to see a copy of the preliminary draft report, which is not SCO policy as it is not considered a public document when it is in draft. Rather, the SCO suggested that board member(s) be part of the exit interview, or review the draft copy held in a central location in the district. Community members also asked for a copy of the audit. A PDF file will be available on the district Web site when it is sent to the district. In that same meeting, the Internal Auditor presented information about the status of the 2003-04 audit findings. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 3 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 Implementation Scale: 0 Financial Management 2.4 Inter- and Intra-Departmental Communications Professional Standard: The district has formal policies and procedures that provide a mechanism for individuals to report illegal acts, establish to whom illegal acts should be reported, and provide a formal inves- tigative process. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Governing Board approved a fraud policy and a code of ethics policy in August 2005. 2. Although the fraud policy was implemented, it still does not contain some of the recommended items. The Internal Auditor developed proposed steps for a fraud inves- tigation and recommended additional information to include in the policy approxi- mately six months ago, but no changes have been made to date. If the proposed addi- tions were adopted, the fraud policy would then include FCMAT’s recommendations with the exception of a zero tolerance approach to employee fraud, theft and illegal activities. Remedial actions for such are optional, not mandatory. 3. The code of ethics policy outlines expectations that each district employee will per- form duties and conduct themselves with the utmost integrity, efficiency and reliability and will comply with all applicable laws, board policies, regulations and procedures. It states that the Superintendent is expected to provide for implementation of the code of ethics. 4. Although these two policies are in place, most interviewed staff, other than admin- istrators, do not recall whether or not the policies had been explained and/or shared with them. The district will need to clearly explain the policies and share the district’s expectations with staff to reinforce the importance of the policies. 5. A policy awareness program and specific procedures were originally planned for implementation by February 2006, but has not yet occurred. The awareness program should be in place to inform staff about the board policies and procedures addressing fraud, the common types of fraud and theft, and the consequences stated in the policy. Included should be signs of potential misuse, employee responsibilities to deter and prevent fraud and theft, and the process and procedures for reporting suspected fraud or other illegal activities through an anonymous hot line or other mechanism. One of the Internal Auditor’s recommended additions to the policy states, “The fraud policy will be implemented through required annual staff training by the Human Resources Department.” Financial Management  Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 Implementation Scale:  Financial Management 2.5 Inter- and Intra-Departmental Communications Professional Standard: Documents developed by the fiscal division for distribution to the Governing Board, finance committees, staff and community are easily understood. Those who receive documents devel- oped by the fiscal division do not have to wade through complex, lengthy computer printouts. Progress on Implementing the Recommendations of the Improvement Plan: 1. The 2005-06 third interim report was not submitted to the county office by the statu- tory deadline of June 1; it was received by the county office on June 19. The CDE has allowed the district flexibility in meeting these deadlines. 2. The review team had difficulty determining which version of the 2006-07 adopted budget was brought to the board and community in June 2006, as various documents with different information were provided to FCMAT during fieldwork in October. It was finally determined that the district’s 2006-07 proposed adopted budget book and accom- panying PowerPoint presentation to the board on June 21 did not include any SACS reports. The business office had not downloaded the budget data into the SACS forms or completed the technical review checklist to validate the data prior to presentation at the meeting. In addition, the filing of the adopted budget with the county office on or by July 1 did not include the SACS report, which is required under Education Code 42127(a)(2). The SACS form was submitted in late August. 3. The 2005-06 unaudited actuals had not been submitted to the county office as of Oct. 17, 2006, although they are statutorily due Sept. 15. This results in a delay in the posting and use of carryover amounts. Education Code Section 42100 requires that the prior year reports including actual data be presented to the governing board and submitted to the COE by Sept. 15. 4. Statutory submissions to the county office and the California Department of Education must accurately reflect the district’s fiscal position. If all elements of the submissions are not completed, and/or if appropriate information is not included, time is lost and additional fiscal concerns may arise. The district must improve its required submis- sions. The district continues to miss key financial reporting deadlines and the quality of information provided in the reports has declined. 5. The district still needs to update and/or adopt board policies to require monthly budget and financial information to be shared with the board. These financial updates should include issues that will affect district finances, as well as routine budget reports on the status of the general fund and categorical programs. 6. Detailed information should accompany budget reports explaining the funding that exists and how long it will be available to the district. This will allow the board to make more informed expenditure decisions and facilitate better understanding and timelier use of restricted categorical funding. To date, this type of information has not been provided. Financial Management  7. The budget office needs to provide the board with frequent multiyear projection infor- mation while the district’s fiscal health is being restored. Plans to prepare and provide projections quarterly to the State Administrator and the Governing Board during the period of financial recovery have not been implemented. To date, they have been com- pleted and distributed only when mandated by state requirements, such as with interim reports and adopted budgets. The assumptions presented with the projection for the two subsequent years have not been detailed and/or visible, other than the anticipated future decline in attendance. Assumptions behind multiyear projections need to be clearly identified and continuously monitored for validity. When multiyear projections are presented, they need to be explained in detail to be thoroughly understood. 8. School boards must understand the effect of all fiscal decisions they make and how these decisions affect future year budgets, which can be easily reflected in detailed, understandable multiyear projections. The projections should be thoroughly explained to ensure the board members’ familiarity with the data. 9. Board members have not received any additional training on state-mandated reports, even though such training has been planned for some time. For instance, training on the state-required cash flow statement had been planned and reported in the last six- month report, but has not yet occurred. 10. A district goal for the 2006-07 fiscal year is to provide more thorough narratives to the board with the SACS reports, which has yet to be implemented. In the past, the narratives have been brief regarding the assumptions used in the current year budget, and almost nonexistent for subsequent year data in multiyear projections. When the board receives financial reports, SACS compliant or not, narratives should accompany the report that thoroughly describe the assumptions used to prepare the information, variances from the last time the budget information was presented to the board, and all relevant data on ongoing and one-time revenues and expenditures. Financial reports are not as useful without adequate explanatory detail. The information should be user- friendly, and any issues explained prior to the board meeting so there is adequate time to review the information before action is taken at the meeting. 11. Adequate, easily understood information should accompany all business-related items brought to the board. The district’s intent has been to ensure that board members are fully informed on the issues so they can make informed decisions, but detailed infor- mation needs to be sent to the members before the board meeting instead of being given to them at the meeting. Many of the board packets that the board receives before the meetings contain the full backup for all agenda items, but many do not. Because financial information is complicated and often lengthy, any additional time the board can have to review the complete packet will help them to be better informed and ready to discuss the information.  Financial Management Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 3 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 Implementation Scale: Financial Management  3.1 Staff Professional Development Professional Standard: The district has developed and uses a professional development plan for training business staff. The plan includes the input of business office supervisors and managers, and, at a minimum, identifies appropriate programs office-wide. At best, each individual staff and management employee has a plan designed to meet their individual professional development needs. Progress on Implementing the Recommendations of the Improvement Plan: 1. An annual staff development plan has not yet been prepared for each department and position, although a Calendar of Events is being compiled as a plan component. The plan should be based on a needs assessment and should include both routine and specialized training. 2. Employees do not yet have individual professional development plans that are consis- tent with the department plan, the employee’s job duties, current skill and knowledge levels, and time lines for accomplishing training. Individual plans could be devel- oped from identified needs and could be included as part of the annual performance appraisal. 3. Workshops that business staff have attended since the last FCMAT review included Workers’ Compensation Hearings, Management of Employee Benefits, Office Ergo- nomics, Improving Workers’ Compensation Practices and Legal Updates, Back to School 2006, CAJPA Fall Conference and Training Seminar, Better Budget Building for Categoricals, Pupil Attendance Accounting for School Site Personnel, and Edu- cation Forecast Assembly Conference. The workers’ compensation trainings were attended by the department manager and specialist. The remaining workshops were attended by business office management only. Although management should attend workshops, employees working in that area should also attend if they are new to the job, or for a refresher course and team building. 4. Joint meetings between the Human Resources and Payroll departments have been re-established and occur at least twice a month, and more often as needed for specific issues. Many payroll issues still need to be addressed, but collaborative resolution of issues has begun. 5. A workshop was presented in May 2006 on the newly approved Cash Management Policy for all employees who handle cash, including financial secretaries at the high school, office managers at the middle and elementary levels, student nutrition staff, student body bookkeepers, and the district office fiscal team. The training included handouts of both the policy and the PowerPoint presentation. In May 2006, EPS soft- ware training for high school, middle school and district office staff was provided on the student body software, and a refresher course provided for the middle school and new staff in October 2006.  Financial Management 6. In-district training occurred Sept. 21, 2006 on purchasing, Financial 2000, materials and supply sources, requisition input, open purchase orders, receiving procedures, orders delivered to school sites, warehouse deliveries, previous year accruals, buses for field trips or events, and surplus property and textbooks. 7. Employee evaluations should be conducted annually and should include the employee- developed individual training plan and supervisor’s identified training needs for the employee. Subsequent evaluations should address the completion of training and include updated plans. 8. Through the Human Resources Department, the district should place documentation of completed staff development in the personnel files of employees. These employees could be recognized with awards or certificates. In a draft payroll procedure, there is a personnel section titled, “What should be in a personnel file” and a list of training and development items, as follows: training history records, training program application/ requests, a skills inventory questionnaire, training evaluation forms, in-house training notification letters, and training expense reimbursement records. Although the proce- dure is a draft, staff development is being given attention. 9. The district should increase efforts to notify classified staff members about specific in-service training. Frequent notices of all available staff development opportuni- ties could be provided through e-mail, flyers and the district’s Web site. Attendance and/or participation in workshops that match each employee’s individual plan should be encouraged and supported. To date, staff development opportunities outside the dis- trict having to do with budget and business matters have been attended by the internal auditor, Assistant Superintendent and director positions. Other business staff are not always alerted to upcoming workshops/trainings. Letting employees know about these opportunities will help ensure the successful completion of job duties. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005 Rating: 0 May 31, 2006 Rating: 2 January 25, 2007 Rating: 3 Implementation Scale: Financial Management  3.2 Staff Professional Development Professional Standard: The district develops and uses a professional development plan for the in-service training of school site/department staff by business staff on relevant business procedures and internal con- trols. The plan includes the input of the business office and the school sites/departments and is updated annually. Progress on Implementing the Recommendations of the Improvement Plan: 1. Implementation of a professional development plan has not yet occurred for school site/department staff, other than a Master Calendar of training events, workshops and conferences. The completed professional development plan should include both business and non-business personnel and should cover the internal control procedures to be followed. It should include all business and operational functions for sites and departments, as well as a review of procedural changes that have been made within the last year, such as conversions to new software and/or systems. 2. An annual staff development plan still needs to be implemented so that departments and sites are updated on changes in business procedures and the application of routine internal control processes. Meetings and some specific trainings are offered on request and have occurred within the last year on attendance, purchasing, running budget reports and processing purchase orders online. When manuals or other resources are developed on business and business related items, they should explain in detail the processes and procedures that are expected and/or necessary to comply with rules and regulations, and board and district policies and procedures. These resources should be updated at least annually. The completed procedure manuals should also function as a training tool for staff. They would help ensure the accurate and appropriate discharge of job duties, and provide some level of continuity in the event of staff turnover. 3. With the addition of an Internal Auditor position, many new business procedures are being developed. Training should occur on these procedures as they are approved so that they are understood and the staff responsible for the duties can be held account- able for following them. Training was provided in May 2006 on the cash management policy to all financial secretaries, office managers, student nutrition staff, and the district fiscal team. 4. Each staff in-service training on business subjects should be geared to a specific audience, with mandatory or optional attendance as dictated by the subject matter. The topics covered should pertain to the staff members invited. Employees should be informed when the meetings are mandatory, and sign-in sheets maintained. The purchasing training that was held on Sept. 21, 2006, regarding online requisitions via the Financial 2000 program had a clear agenda, training points and sign in sheets. This is a good model for other district trainings. 5. The district should communicate changes in business services policies and procedures by offering in-service training before each school year begins, which did occur for  Financial Management administrators in August 2005. This would help ensure that staff at sites and depart- ments understand and properly implement the changes. These in-service trainings should be for administrators and site and departmental personnel who regularly handle business tasks. Separate trainings may need to be developed based on employee jobs. Currently, it appears that some training occurs before the school year starts for admin- istrators, but it does not occur for other employees, except for specialized occurrences. For example, in August principals, directors and managers received training on budget procedures and workers’ compensation. That information was not presented to any employees at other organizational levels. 6. A work climate of mutual support should be encouraged so that ongoing questions and information sharing are the norm. A question and answer bulletin board was originally planned as an employee resource on the district’s Web site, but has yet to occur. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005 Rating: 1 May 31, 2006 Rating: 2 January 25, 2007 Rating: 3 Implementation Scale: Financial Management  4.1 Internal Audit Professional Standard: The Governing Board has adopted policies establishing an internal audit function that reports directly to the Superintendent/State Administrator and the audit committee or Governing Board. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Internal Auditor position has been filled since October 2005. The position reports directly to the State Administrator and/or Superintendent. 2. The Internal Auditor keeps the State Administrator informed using e-mail. There does not appear to be a system for ensuring that issues raised are resolved once the State Administrator has been notified. 3. Several policies and procedures have been developed to address the audit findings for 2003-04 and 2004-05. Many of the prior year findings have been resolved but several are still pending. Audit findings for 2005-06 had not been released at the time of the team’s fieldwork in October 2006. 4. Some new policies and procedures related to cash handling and attendance have been implemented. Not all of the suggested payroll procedural improvements have been implemented due to the ongoing review of the proposed changes by managers in the fiscal services department. 5. Procedure manuals and instructions for attendance and cash handling have been devel- oped. District office and site employees have received training and are adhering to the new internal control policies in these operational areas. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 1, 2005 Rating: 3 May 31, 2006 Rating: 5 January 25, 2007 Rating: 5 Implementation Scale: 0 Financial Management 4.2 Internal Audit Professional Standard: Internal audit functions are designed into the organizational structure of the district. These functions include periodic internal audits of areas at high risk for non-compliance with laws and regulations and/or at high risk for monetary loss. Progress on Implementing the Recommendations of the Improvement Plan: 1. A calendar is being developed to schedule regular internal audits but regular audit pro- cedures have not been implemented in areas other than cash handling and attendance. The Internal Auditor is still assessing the needs of the district and addressing the audit findings from 2003-04 and 2004-05. 2. After the initial needs have been identified, a comprehensive list of the changes required to correct audit deficiencies will be developed and implemented by the State Administrator, audit committee and Internal Auditor. 3. Establishment of the district’s internal audit function should include, but not be limited to: a. Providing assurance that the internal controls are adequate to ensure that management receives reliable financial information. b. Compliance with all laws and regulations. c. Using the internal auditor as an independent appraiser who examines and evaluates district activities. d. Assisting district personnel in performing their responsibilities by implementing good business practices and policies. e. Properly training employees. f. Authorizing full access to district records, physical property and personnel relevant to each area being audited. g. Addressing and correcting audit findings. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 1, 2005 Rating: 0 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 Implementation Scale: Financial Management  5.4 Budget Development Process (Policy) Professional Standard: The district has a clear process to analyze resources and allocations to ensure that they are aligned with strategic planning objectives and that the budget reflects district priorities. Progress on Implementing the Recommendations of the Improvement Plan: 1. Within the past year, the district hired additional staff to even out the workloads in the business office and provide dedicated staff time to developing, monitoring, and main- taining the budget. 2. Although the district developed strategic planning objectives for budget processes, the steps that were taken during development of the 2006-07 budget did not meet the district’s objectives due to time constraints. 3. The district’s budget goal to adopt a balanced budget in which expenditures do not exceed revenues appeared to have been met based on the June 21, 2006, budget information provided to the board. However, district staff related to FCMAT that development of the 2006-07 budget was impacted by short timelines. 4. Unless all potential land sales occur as anticipated, the district’s goal to adopt a bal- anced budget in 2007-08 with the required 3% reserve for economic uncertainties cannot be met based on current district projections without a combination of changes in revenue streams and material reductions in expenditures. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 1, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 4 Implementation Scale:  Financial Management 5.5 Budget Development Process (Policy) Professional Standard: The district has policies to facilitate development of a budget that is understandable, meaningful, reflective of district priorities, and balanced in terms of revenues and expenditures. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s business office had formulated an action plan for developing the budget that would include communication and collaboration between its staff and the district’s school sites, programs, and departments. The April 3, 2006 memo from the Administrative Services Manager identified the process, criteria, assigned responsi- bilities, and included an example of how to read the budget reports generated from the district’s financial system. 2. Initial budget meetings did take place. However, many of the program and department staff managers or directors interviewed by FCMAT reported that follow-up meet- ings did not take place. In addition, portions of the expenditure information provided by the managers or directors based on firsthand knowledge were not included in the budget adopted by the board on June 21. FCMAT also was told that access to avail- able dollars in program or department budgets was difficult during the first months of the new school year. The answer given by the business office when asked about the problem was that the county office would not approve the budget or permit use of the funds until issues related with the budget submitted to the county office for review and approval were corrected. 3. The district’s 2006-07 proposed adopted budget book and accompanying PowerPoint presentation to the board on June 21 did not include any SACS reports. In fact, again due to time constraints, the business office had not downloaded the budget data into the SACS forms or completed the technical review checklist to validate the data. It is not mandatory to present budget data to the board in the SACS format, although the SACS reports provide an overview of the anticipated revenues, expenditures, other sources and uses, and deficit spending of the adoption budget in a user-friendly format, and identify the district’s estimated ending balance for the current year. This estimate is critical in identifying if the district will begin the new year with a positive balance or should anticipate a negative beginning balance that must be restored in the adoption budget for the upcoming year. Validation of the district budget in SACS may also identify errors or the omission of material revenue or expenditure items. 4. The district’s intended budget development improvements referred to in FCMAT’s May 2006 report did not materialize as the district anticipated. The budget develop- ment process did not achieve the level of communication and shared information that had been intended. According to interviews, the June budget was not based on a real- istic analysis of the district’s financial status for 2006-07 and beyond, so the budget presentation to the board in June 2006 did not accurately reflect the district’s current or future financial position. Financial Management  5. FCMAT’s analysis of documents provided by the district and interviews with staff of the business office, school sites, programs, and departments indicated that an adminis- trative review of the financial information was not properly completed before the June 21 meeting. In addition, the filing of the adopted budget to the county office on or by July 1 did not include the SACS report required under Education Code 42127(a)(2). 6. When the district business office prepared and submitted the SACS report to the county office at the end of August 2006, a number of technical issues were noted. The county office responded to the district on Sept. 27 identifying concerns in nine areas, asking the district to address the items in the first interim report due to the county by Dec. 15, 2006. Each item noted by the county office is a function that is a normal part of the preparation of information and submittal to a county office of education by all California school districts but has not been conducted in a timely manner in Vallejo Unified. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 November 1, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 4 Implementation Scale:  Financial Management 5.7 Budget Development Process (Policy) Professional Standard: The district has the ability to accurately reflect its net ending balance throughout the budget monitoring process. The first and second interim reports provide valid updates of the district’s net ending balance. The district has tools and processes that ensure that there is an early warning of any discrepancies between the budget projections and actual revenues or expenditures. Progress on Implementing the Recommendations of the Improvement Plan: 1. District staff are working hard to change the budget monitoring and updating process, although much improvement is still needed. Business staff and other staff do not appear to understand the relationship between position control and the budget. Many believe that changes to the position control system automatically update the salary and benefit budgeted amounts. Two reports from the financial system showed differ- ent amounts for the selected district site 115. The district must confirm whether or not changes to position control update the budget, and if so, determine whether reports drawn from the financial system consistently aggregate information. FCMAT was provided with a financial activity report and an account detail report. 2. The 2006-07 budget book provided to the Governing Board on June 21, 2006 pre- sented anticipated revenues and expenditures but had no information on the projected ending balance for 2005-06, or a subsequent projected ending balance for the 2006-07 adoption budget. The PowerPoint presentation generally identified an unrestricted 2006-07 ending balance of -$4 million without the sale of district property, and $2.6 million with the property sale. The industry standard for presenting a projected fund balance includes revenues, expenditures, other sources and uses, net change to fund balance, beginning balance, audit adjustments, and ending balance, in that order. 3. At third interim the business office had projected a general fund ending balance for 2005-06 of $298,083. In the late August SACS financial report submitted to the county office, the district projected an ending fund balance of -$169,207. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 November 1, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 4 Implementation Scale: Financial Management  6.1 Budget Development Process (Technical) Professional Standard: The budget office has a technical process to build the preliminary budget that includes the fore- cast of revenues, the verification and projection of expenditures, the identification of known carryovers and accruals, and the inclusion of concluded expenditure plans. The process clearly identifies one-time sources and uses of funds. Reasonable ADA and COLA estimates are used in planning and budgeting. This process is applied to all funds. Progress on Implementing the Recommendations of the Improvement Plan: 1. Improvement continues to be made in the training and transition of student enrollment forecasting and ADA projections performed by the Special Consultant to the State Administrator to the Director of Assessment, Program Evaluation, and Attendance. Enrollment projections are on track and keeping pace with the predicted continued decline in student enrollment. 2. Coordination continues to take place during budget development to ensure that projected enrollment is considered in planning for revenues and staffing. 3. As reported to FCMAT, the preliminary general fund budget for 2006-07 was based on an earlier multiyear projection produced in May 2006 and adjustments were made at a general rather than resource level. A department director informed FCMAT that the budget developed in the department, based on firsthand knowledge of a program funded outside of the general fund, was not the budget that was approved by the Gov- erning Board. Updating the budget to the correct amounts has required additional staff time to prepare budget transfer entries. 4. The closing of the 2005-06 books was not completed until mid October, resulting in a delay in the posting and use of carryover amounts in the 2006-07 budget. Educa- tion Code Section 42100 requires that the prior year reports, including actual data, be presented to the governing board and submitted to the COE by Sept. 15. 5. Staff in all departments are working hard to process information and meet the goals and objectives of the board and administration in developing budget documents. How- ever, an administrative level of review to ensure the realistic and reliable presentation of information appears not to have occurred or was inadequate.  Financial Management Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 3 November 1, 2005 Rating: 4 May 31, 2006 Rating: 4 January 25, 2007 Rating: 3 Implementation Scale: Financial Management  7.5 Budget Adoption, Reporting, and Audits—Fund Balance Projections Professional Standard: The first and second interim reports show an accurate projection of the ending fund balance. Material differences are presented to the board of education with detailed explanations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s second interim report, included in the April 5, 2006 board agenda, did not meet the statutory reporting timeline of March 15 identified in Education Code 42130. The CDE has allowed the district flexibility in meeting these timelines. The board presentation did include the SACS file and projected a general fund ending balance of $510,015 for June 30, 2006. The district’s third interim report, submitted to the county office on June 7, 2006, projected an ending balance of $298,083. 2. FCMAT learned from business office staff that cash flow projections, a key component of interim reports and a necessary tool to maintain the management of available cash, have not been updated since June 2006. Management of the district’s cash has long been a concern of the district administration, county office, CDE, and State Superin- tendent of Public Instruction. Insufficient cash balances were the primary reason for the actions taken by the state Legislature in SB 1190 (2004), providing an emergency appropriation of $60 million to the district and assigning a State Administrator. If cash flow projections are not up-to-date, the ending fund balance projections may be affected. 3. The district continues to miss key statutory financial reporting deadlines, as evidenced in previous sections of this report. Although the CDE has allowed the district flexibility in meeting these deadlines in order to provide accurate data, FCMAT remains concerned as the quality of information provided in the reports has declined. 4. In May 2006, the district prepared a multiyear financial projection through the year 2011. A multiyear financial projection is required for the adoption of the annual budget, but the district did not update its projection for the adoption budget. As reported in an earlier section of this report, the estimated ending balance for 2005-06 was inconsistently reported over time, and a revised multiyear projection should be completed as soon as possible to validate the district’s current financial position. 5. FCMAT’s review of the multiyear projection included in the adoption budget SACS report submitted to the county office in late August reveals the following critical problems: a. The adoption budget in the SACS document was not exactly the same budget adopted by the Governing Board on June 21, 2006, although the SACS document included the certification page signed by the State Administrator on June 21. b. The multiyear projection included in the SACS document was imported into the SACS MYP format with no further entries or adjustments to the data. As a result, material errors existed, including an invalid but nevertheless reported escalating  Financial Management restricted ending balance of -$6,381,087 in 2007-08 and -$15,965,535 in 2008- 09. A notation in the MYP file stated “See the MYP Draft Summary,” but the summary was not included in the documents provided to FCMAT. c. A review of the SACS report by the administrative level of the business office and district either did not take place or was not completed adequately. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 1, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 3 Implementation Scale: Financial Management  8.1 Budget Monitoring Professional Standard: All purchase orders are properly encumbered against the budget until payment. Progress on Implementing the Recommendations of the Improvement Plan: 1. The online purchase order system module has been implemented throughout the district except at the Community Day School, which is scheduled by the end of November 2006. Training for all school site staff responsible for entering requisi- tions was conducted on Sept. 21, 2006. Additional training for Teacher Leaders, who do categorical program requisitions at school sites, was scheduled for Oct. 18, and another for department staff who enter requisitions was scheduled for Oct. 25. Once online purchase orders are in use district-wide, the timeliness and quality of financial information should improve as those with budget responsibility will have more access and accountability to their specific budgets. 2. The purchase control system automatically verifies fund availability and account coding when the site/department enters a purchase requisition. It immediately encum- bers the funds to avoid timing differences. If sufficient funds are not available or the budget code is invalid, the system requires a budget transfer before processing, which the district office enters on request of the site or department. The module also com- pletes approved purchase orders, liquidates the pre-encumbrance and fully encumbers the funds. 3. The purchasing department reviews budget codes input on the purchase requisitions and questions those codes that don’t make sense for the item being purchased. The online system will allow the purchasing department to notify the site or department why they think the code should be modified. 4. The district has implemented a hard code block that cannot be overridden, which is essential especially for those districts with fiscal issues, so expenditure transactions (other than salary and benefits) cannot be processed until the budget transfer has been input and approved. 5. There are fewer delays in purchasing department paperwork with online approval of purchase orders. The categorical fund process now includes electronic approval by the program manager in addition to approval by the site/department administrator and the purchasing manager. 6. Purchase orders exceeding $5,000, including previously approved purchase orders that have been increased, are brought to the board for approval at each meeting. A list of contracts also is reviewed at each board meeting. With both these reports, the Busi- ness Services Department verifies that there are budgeted funds for each contract and purchase order presented. 0 Financial Management Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 Implementation Scale: Financial Management  8.2 Budget Monitoring Professional Standard: There are budget monitoring controls, such as periodic reports, to alert department and site managers of the potential for over expenditure of budgeted amounts. Revenue and expenditures are forecast and verified monthly. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Administrative Services Manager position has been filled. With this additional management position, workloads in the business office are becoming more balanced. Dedicated staff time to develop, monitor, and maintain the budget is a positive step and should strengthen budget monitoring controls. 2. The district business office had formulated an action plan for developing the 2006-07 budget that would include communication and collaboration between its staff and the district’s school sites, programs, and departments. Although initial meetings did take place, most of the program and department staff managers or directors interviewed by FCMAT reported that follow-up meetings did not take place. In addition, portions of the expenditure information provided by the managers or directors based on firsthand knowledge were not included in the budget adopted by the board on June 21. So, even though a more detailed process was developed and communicated, there is still much confusion and uncertainty about available budget dollars. 3. The district is using a different budget report structure to be sent to the school sites and departments during the 2006-07 fiscal year, beginning in October. The reports that the district office runs will have an analytical foundation, be reviewed by the busi- ness partner, and provide a consistent and more presentable monthly package for the management team. These structured reports will also allow for greater communication between sites and departments and the district office, especially with their business partner. 4. School sites and departments can run their own budget reports from the Financial 2000 system, in addition to what the district office sends them. These self-run reports are simpler and provide basic budget information, which makes them effective for immediate reporting needs. 5. Online budget revisions for sites and departments have not been implemented as planned. With the addition of business partners, it was felt that the revision process will become more efficient and accountable. This new process may be adequate and allow the business office greater budget control. 6. If online budget revisions at the site and department level occur in the future, budget transactions will be processed more timely and will allow administrators to be more responsible and accountable for assigned budgets. Before this can occur, site and department personnel will need to gain a greater understanding of the budget process so that adjustments are done correctly and for their intended purpose. Currently,  Financial Management budget managers fill out a request for a budget or journal transfer, if needed, after reviewing budget reports. The request is sent to the fiscal services division, where an employee makes the appropriate adjustment. The program director must approve budget transfers for categorical programs before adjustments will be made. Journal transfer requests involving payroll coding are first sent to the Human Resources and Payroll departments to ensure that the coding is correct in the position control system and payroll for future transactions. 7. Site and department managers continue to be concerned about unrestricted general fund allocations and categorical budgets changing without full explanation. For example, many questions exist regarding whether site allocations have decreased during the year without notification. Also, categorical carryover and budget informa- tion often is not clear until late in the year, leaving minimal time in which to spend the funds. The budget office should continue working with site and department managers to determine what additional resources would make budget review and comprehension easier. Site and department input promotes greater accountability for budget issues overall. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 5 Implementation Scale: Financial Management  8.5 Budget Monitoring Professional Standard: The district uses an effective position control system that tracks personnel allocations and expen- ditures. The position control system effectively establishes checks and balances between person- nel decisions and budgeted appropriations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has initiated effective internal controls for position control. Both the Human Resources and Business departments have different roles in the process and have made much improvement in overall efficiency and accountability. 2. Some business office staff and other district staff do not understand the relationship between position control and the budget. Some believe that changes in the position control system automatically updates the salary and benefit budgeted amounts, which is incorrect. Staff need to understand how position control really works with payroll and budget. 3. Position control drives the contracted salary and benefits in the adopted budget. Once the position control information is entered and validated during budget development, it is rolled into the adopted budget. During the year, as changes occur to contracted positions or new positions are added, position control is updated. The budget is also updated for changes in salary and benefits, but the information does not come directly from position control. Because position control does not include non-contracted posi- tions, such as extra hire, stipends, overtime or substitutes, the data in position control cannot continue to be rolled into the budget once the fiscal year begins and adjust- ments are made to salary and benefit accounts through the budget revision process. If it were, all manual salary and benefit adjustments for non-contracted positions and other types of budget revisions would be deleted and would need to be re-entered each time position control data is rolled. 4. The district must have a process to ensure that position control data is reconciled to the budget periodically throughout the fiscal year since the changes do not occur elec- tronically. In addition, salaries and benefits are not encumbered in the financial system because that option is not available, which is a weakness of the system. It is difficult and time consuming to accurately reflect and reconcile these amounts to projections. The budget must reflect the current and most accurate data, as salaries and benefits are the largest expenditures of the budget. Reconciliations should be performed at least each interim reporting period, and a review conducted to ensure completion. 5. The district is working toward fully utilizing the online position control system. At this time, attention is being given to substitute, extra hire and non-contracted posi- tions, as all contracted positions are already in the system. The goal is to input all salary accounts into the system, both contracted and non-contracted, so that they are not vulnerable to over expenditure and so manual transactions will rarely be neces- sary. Full implementation was planned for the 2005-06 fiscal year, but was not accom-  Financial Management plished due to various time constraints. The district should formulate a plan to include non-contracted employees in the position control system because time card use is extensive. If those positions are not included in the system, budget overruns could easily occur. 6. Position control drives the payroll function, so controls continue to be developed to ensure all contracted positions are correctly entered. The separate health and welfare benefits module is being utilized in the financial system to drive the budget, but the data is not used to manage that portion of the payroll system. Standard Implemented: Partially November 1, 2004 Rating: 6 May 1, 2005 Rating: 7 November 30, 2005 Rating: 7 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 Implementation Scale: Financial Management  11.1 Attendance Accounting Professional Standard: An accurate record of daily enrollment and attendance is maintained at the sites and reconciled monthly. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district prepared and distributed a manual of standard procedures for report- ing student enrollment and taking attendance. School site staff has been trained and appear to be properly performing attendance accounting procedures. 2. The district employees responsible for attendance accounting attended in-service training to learn about proper procedures and review procedures. These procedures should be a part of an annual in-service training for district staff involved with atten- dance accounting. 3. District high schools reported that not all teachers have online access to the Aeries system in their classrooms. Middle schools are in the process of being brought online. 4. Establishing standardized procedures for short-term independent study continues to be a concern that is being addressed by the internal auditor. Standard Implemented: Partially November 1, 2005 Rating: 1 May 1 2005 Rating: 4 November 1, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 Implementation Scale:  Financial Management 11.3 Attendance Accounting Professional Standard: Students are enrolled by staff and entered into the attendance system in an efficient, accurate and timely manner. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district continues to provide training on the standard attendance reporting proce- dures. Employees would like to have annual training provided by a consultant with expertise in attendance accounting procedures. 2. Procedures were developed by the internal auditor, outlining the step-by-step instruc- tions from registering a student through reporting on the J18/19. The newly developed procedures manual includes forms, common attendance codes, student drop guide- lines, compulsory laws, and pertinent education codes. 3. The internal auditor and district data processing staff have begun to visit school sites annually to ensure that all employees responsible for attendance accounting have the training and tools needed to continue with accurate and timely attendance reporting. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 1, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 5 Implementation Scale: Financial Management  11.6 Attendance Accounting Professional Standard: The district utilizes standardized and mandatory programs to improve the attendance rate of pupils. Absences are aggressively followed up by district staff. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district continues to enforce the importance of accurate student attendance accounting procedures. Annual training should continue to be provided for principals, teachers, and site attendance staff. 2. Schools are expected to develop realistic attendance improvement plans. 3. The Attendance League, a program to reward good student attendance, has been in place since January 2006. Increases in attendance have already been realized through this awards program. 4. The importance of good student attendance should be stressed in school newsletters and parent organization meetings because of its impact on student learning and on the district’s finances. All student absences should be followed up with a notification to parents. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 3 November 1, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 Implementation Scale:  Financial Management 11.7 Attendance Accounting Professional Standard: School site personnel receive periodic and timely training on the district’s attendance procedures, system procedures and changes in laws and regulations. Progress on Implementing the Recommendations of the Improvement Plan: 1. Written documentation on the new attendance system has been prepared and distrib- uted to site staff. Procedures manuals are being used by site staff. 2. The district conducted attendance training for site and district staff in fall 2005 but not in 2006. Site employees indicated they would like to have annual training prior to the beginning of each school year. 3. The district should provide periodic “job-alike” meeting opportunities. This would enable site and district staff to share ideas and methods for attendance taking and monitoring. Standard Implemented: Partially November 1, 2005 Rating: 0 May 1, 2005 Rating: 1 November 1, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 5 Implementation Scale: Financial Management  12.2 Accounting, Purchasing, and Warehousing Professional Standard: The district timely and accurately records all information regarding financial activity (unre- stricted and restricted) for all programs. Generally Accepted Accounting Principles (GAAP) requires that financial reporting must be reliable and timely to serve the needs of the users. Therefore, the timely and accurate recording of the underlying transactions (revenue and expen- ditures) is an essential function of the district’s financial management. Progress on Implementing the Recommendations of the Improvement Plan: 1. The financial audit for 2004-05 prepared by the California State Controller indicated numerous findings in the accounting activities, especially related to payroll operations. 2. The California State Controller’s financial audit for 2005-06 was not available for the team’s review during fieldwork in October. 3. Systems and procedures have improved since the district hired an Internal Auditor. The auditor is working to address audit findings and implement the audit recommen- dations. The district still has a long way to go in developing good business practices to ensure that accounting activities are performed timely. 4. Accounting and purchasing board policies have not been updated or reviewed. Dead- lines are still not enforced. Numerous checks are still written manually because pay- roll due dates are not enforced. Some school sites do not submit time cards on time. Difficult or questioned work is given to the Payroll Supervisor for resolution, thereby improving the service provided to employees. Payroll has had one or more vacant positions for over a year. The current vacancy must be filled immediately. 5. Annual employee evaluations should include standards for compliance with rules to enhance employee accountability. 6. Several employees in the business office are new to their jobs. Managers respond to employees’ questions promptly. Once the staff is fully trained and the workload is under control, response time should continue to improve. 7. The business management positions have been filled with qualified employees but communication among department managers could improve. 0 Financial Management Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 Implementation Scale: Financial Management  12.3 Accounting, Purchasing, and Warehousing Professional Standard: The district forecasts its revenue and expenditures and verifies those projections monthly to adequately manage its cash. In addition, the district reconciles its cash to bank statements and reports from the county treasurer monthly. Standard accounting practice dictates that, to ensure that all cash receipts are deposited timely and recorded properly, cash is reconciled to bank state- ments monthly. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Internal Auditor has developed several internal control and cash handling pro- cedures. Some training has occurred and more training will be provided in the near future to all employees who handle cash at the district office and school sites. Employ- ees must follow the proper procedures at all times. 2. The Internal Auditor has worked with staff to develop procedures to ensure a clear separation of duties in all matters involving cash receipts, bank deposits and reconcili- ations, and the recording of cash transactions into the accounting system. The 2003- 04 audit performed by the State Controller included several findings regarding the handling of cash transactions, which have been corrected. The 2004-05 audit findings related to the handling of cash are also being addressed. All audit findings must be addressed and corrected immediately. 3. Monthly bank reconciliations are not always promptly prepared. Timely bank recon- ciliations are an important part of a sound internal control structure. With the changes in staff, the district must closely supervise the bank reconciliation process to ensure timely and accurate oversight. Employees handling cash and performing bank recon- ciliations should be closely supervised and monitored. 4. New procedures have been implemented to pick up cash from sites and deliver it to the district office. Two district-level employees are assigned to count and deposit cash. Procedures to follow up on cash shortages are not yet fully in place. The department must ensure that all employees are fully trained in proper cash management tech- niques. Controls and procedures regarding the use of petty cash should be strength- ened when funds are distributed to school sites. 5. The district noted a major discrepancy shortly after the 2006-07 budget was adopted; however, that budget had not been fully reviewed or updated as of FCMAT’s Octo- ber 2006 field work. The district should forecast and verify revenue and expenditure budgets monthly to adequately manage cash. Once the prior year unaudited actual financial reports have been prepared, the current year budget should be compared to the prior year actuals for reasonableness and updated to include any new information. The district should monitor all budget line items at least monthly. 6. The responsibility for preparing monthly cash flow projections has been assigned to an accounting position with limited experience in this area. A cash flow projec-  Financial Management tion has not been prepared since June 2006. The district should continue to imple- ment and strengthen reliable procedures to forecast cash requirements, revenues and expenditures. 7. The director must closely monitor cash at least monthly. 8. Policies and accountability standards have been developed to prevent unauthorized bank accounts from being opened by school sites and other district employees. The district should determine that no unauthorized bank accounts exist. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 3 Implementation Scale: Financial Management  12.4 Accounting, Purchasing, and Warehousing Professional Standard: The district’s payroll procedures are in compliance with the requirements established by the County Office of Education, unless fiscally independent (Education Code Section 42646). Stan- dard accounting practice dictates that the district implements procedures to ensure the timely and accurate processing of payroll. Progress on Implementing the Recommendations of the Improvement Plan: 1. Communication and teamwork in the Payroll Department has improved. The relation- ship between the new supervisor and department employees is positive but the overall morale in payroll is low. 2. The relationship between the Payroll and Human Resources departments has improved since monthly meetings were reinstated. Payroll and Human Resources are resolving issues and improving communication between the two departments. 3. Health benefits have been transferred back to the business department. Payment rec- onciliations are being prepared regularly. 4. Employees are becoming more familiar with the new county payroll system. Regular training opportunities should continue. 5. Payroll employees have been working extensive overtime to process payroll because of vacant department positions. The district recently upgraded the payroll positions to facilitate hiring qualified employees. Vacancies should be filled as soon as possible. The district revised the due dates for one payroll cycle to provide adequate time for processing paychecks. This change may help to reduce the number of manual checks issued in the future. 6. School sites are still submitting timesheets late, causing problems such as an increased need for handwritten checks from the revolving fund. Because management does not enforce compliance with payroll deadlines, the staff cannot cut off payroll process- ing on time, which places additional pressure on the staff. All principals and manag- ers should be held accountable for meeting payroll deadlines. Management should enforce payroll deadlines and support payroll staff in their efforts to maintain process- ing time lines. 7. Clear lines of authority and supervision should be enforced. Employees should be evaluated and/or disciplined when rules and procedures are not followed. 8. Payroll employees do not always process work in a uniform manner. Internal control procedures and good business practices developed by the Internal Auditor should be implemented.  Financial Management 9. Human Resources should process employment paperwork in a timely manner and forward all pertinent documents to Payroll immediately. 10. Paychecks are distributed at the work sites. Employee signature sheets are used and returned to Payroll to verify that all checks were properly distributed or accounted for. Procedures need to be in place to return or mail checks that are not picked up by employees at the sites. It is possible that terminated employees could receive pay- checks due to the lack of proper controls, overriding deadlines, and untimely process- ing of paperwork in Human Resources. 11. Paychecks are processed for regular employees prior to receipt of time reports from sites, occasionally causing overpayments because docked time is not reported in a timely manner. Vacation and sick leave records are up to date and leave balances are posted on pay- check stubs. 12. The overpayment collection process has not improved. No defined method or process is in place to collect overpayments from active employees. Invoices for overpayments are mailed to former employees but no procedures exist for follow-up or to collect the funds if they do not pay. Procedures to collect overpayments should be developed and implemented immediately. All overpayments should be followed up and resolved. 13. The county office system incorporates adequate internal controls as they relate to the overall payroll processing functions. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 Implementation Scale: Financial Management  14.3 Multiyear Financial Projections Legal Standard: Multiyear financial projections are prepared for use in the decision-making process, especially whenever a significant multiyear expenditure commitment is contemplated. [EC 42142] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has continued to prepare the required multiyear projections (MYPs) as part of the statutory requirements, such as for interim reports and adopted budgets, using a variety of software. However, the MYP data is not complete enough to be used for planning. The projec- tion submitted at 2005-06 second and third interim lacked important specific required detail and general assumptions. In addition, the MYP submitted with the 2006-07 SACS adopted budget was a simple import from the SACS software with no addi- tions, calculations or entries such as step and column, revenue changes, or assump- tions. The MYP did include a note to see the MYP Draft Summary, but no summary was provided. The team, through interviews, found that the referenced summary was actually a projection prepared in May 2006. 2. The district prepared a multiyear financial projection through the year 2011 in May 2006. A multiyear financial projection is a requirement included in the adoption of the annual budget, along with interim reports, in order to validate what the district’s esti- mated fiscal condition will be in the current and two subsequent years. Rather than completing a new MYP at the time of the 2006-07 budget adoption, with 2006-07 used as the base year of the projection, the district used the MYP developed in May 2006. The MYP used thus did not include the actual amounts approved in the 2006- 07 budget, and does not effectively calculate what the district’s financial position will be in the current and two subsequent years. 3. FCMAT’s review of the multiyear projection included in the adoption budget SACS report submitted to the county office in late August includes the following critical problems: a. The adoption budget in the SACS document was not exactly the same budget adopted by the Governing Board on June 21, 2006, although the SACS document included the certification page signed by the State Administrator on June 21. b. The multiyear projection included in the SACS document was imported into the SACS MYP format with no further entries or adjustments to the data. As a result, material errors existed, including an invalid but nevertheless reported escalating restricted ending balance of -$6,381,087 in 2007-08 and -$15,965,535 in 2008- 09. A notation in the MYP file stated “See the MYP Draft Summary,” which was not included in the documents provided to FCMAT c. A review of the SACS report by the administrative level of the business office and district either did not take place or was not completed adequately.  Financial Management 4. The district continues not to provide specific information on the projections, such as on future enrollment/ADA estimates, teacher staffing, step and column, changes in property and liability insurance, workers’ compensation, and utilities. One-time funding, specifics related to each of the three years, and specific resource detail are not included. The MYP is of little use if it is not updated or does not include detailed and complete assumptions for future years. 5. The narrative submitted with the 2005-06 second interim stated, “It is the intent of the district to build a more robust projection for the third interim submission. We have successfully launched the use of the Budget Explorer (FCMAT) software, which provides the flexibility to project activity at the detail resource and object code levels, in addition to tools for revenue limit projection and applicable staffing ratios. Addi- tionally, we are building strategies regarding the state loan repayment plan as it relates to the sale of district property and the impact to our operations budget to declining enrollment trends.” Based on unanticipated delays, the district was not able to update the projection of May 2006. Once they are able to, the projections should be kept cur- rent based on new information throughout the fiscal year. 6. The budget office needs to provide multiyear projection information more frequently than at interim reporting periods while the district’s fiscal health is being restored. To date, the projections have only been completed and distributed at interim reporting and adopted budget periods, as required by statute. The board must understand the impact of all its fiscal decisions and their effect on the budget in future years. Multi- year projections should be explained in greater detail so that the board is familiar with the information and can more easily comprehend and trust the data. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 1, 2005 Rating: 1 May 31, 2006 Rating: 2 January 25, 2007 Rating: 1 Implementation Scale: Financial Management  15.4 Long-Term Debt Obligations Professional Standard: The district has developed and uses a financial plan to ensure that ongoing unfunded liabilities from employee benefits are recognized as a liability of the school district. A plan has been estab- lished for funding retiree health benefit costs as the obligations are incurred. Progress on Implementing the Recommendations of the Improvement Plan: 1. GASB 45 requires school districts to conduct an actuarial study to determine the liability for post employment benefits. However, GASB 45 is not legally enforceable and the Education Code does not require an actuarial study. Education Code Section 42140 previously required disclosure of the liability for retiree benefits if offered after the age of 65. The code section became inoperative Jan. 1, 2005, and was repealed by AB 2855 as an unfunded mandate. The district provides post-employment health care benefits in accordance with the respective employment contracts to all employees who retire from the district on or after attaining the age of 55 with a minimum service level of 15 years. Post-retiree benefits for members of the Vallejo Education Association and the Vallejo School Management Association end after the earlier of five years or age 67. Thereafter, the district’s payment for health coverage is limited to $16 monthly for life. Retiree members of the California School Employees Association receive single medical coverage for five years in accordance with the 2004-05 audit per- formed by the State Controller’s Office. All expenditures for post-employment ben- efits are recognized on a pay-as-you-go basis as premiums are paid in each fiscal year. According to the 2004-05 Audit Report, the district expended $497,000 in health care premiums for 377 eligible retirees. At the time of the team’s field work in October, the required Actuarial Report had not been completed. The last actuarial study of retiree health benefits was performed as of June 30, 2002. The district had not completed a new post-retirement benefit actuarial at the time of the team’s review. This will continue to be a critical component of the district’s proposed long-term fiscal recovery plan. The June 30, 2005 Audit Report completed by the State Controller’s Office for the retiree benefit fund was stated at $15,064. According to the June 30, 2005 audit report, the retiree benefit fund ended the fiscal year with a fund balance of $504,573. Revenue for the fund is generated through a 1% employee benefit charge as a percent of total salary and benefits. In 2004-05 the fund was proposed to be established as a special reserve fund as opposed to a benefit trust fund. 2. The district should disclose annually as a separate agenda item whether or not the district will reserve sufficient funds in its budget to pay for the present value or pay- as-you-go cost of retiree benefits. The district has not completed a new post-retirement benefit actuarial. Moreover, the district has not disclosed annually in a separate agenda item whether the district has reserved sufficient funds for the present value cost of retiree benefits. GASB 43 and 45 are relatively new governmental accounting stan- dards for state and local governments that specify the accounting and reporting format for other post employment benefits. The district has been funding retiree benefits on  Financial Management a pay-as-you-go basis. Current actuarial data will be key to the district’s long-term financial recovery plan and future budget planning. 3. The district uses a spreadsheet application to track the projected cost of active and retired employees’ health benefits. This application will assist district budget staff in calculating present and future retiree health benefit costs. A reconciliation is per- formed monthly and will track changes from the personnel records on the CECC system to premiums from the prior monthly billing statements. This duty and function has been moved from the Business Department to the Human Resources Department, and now back to the Business Department again, which appears to be the appropriate place for the duty to reside. Documentation supporting the total dollar amounts stated for retiree benefits could not be provided for the proposed 2005-06 budget. 4. The district has conducted a mandatory re-enrollment process for all active employees and retirees that receive health and welfare benefits, and is taking measures to recoup funds from active, former, and retired employees that were not entitled to these ben- efits. There are no written procedures or policy guidelines regarding the reconciliation process. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 November 1, 2005 Rating: 2 May 31, 2006 Rating: 2 January 25, 2007 Rating: 2 Implementation Scale: Financial Management  16.1 Impact of Collective Bargaining Professional Standard: The district has developed parameters and guidelines for the collective bargaining process that ensure that the collective bargaining agreement is not an impediment to the efficiency of district operations or academic progress. At least annually, collective bargaining agreements are analyzed by the management team consisting of the State Administrator, and Assistant Superintendents of both Human Resources and Business Services. The group meets to identify those characteristics of the respective collective bargaining agreements that may pose an impediment to effective delivery of district operations and academic programs. The district identifies those issues for consideration by the State Administrator that are considered a priority for the district to sustain its financial recovery. The State Administrator considers the impact on district operations of current collec- tive bargaining language and proposes amendments to district language as appropriate to ensure effective and efficient district delivery. Any parameters developed by the management team are provided in a confidential environment, reflective of the obligations of a closed executive board session. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district successfully concluded negotiations with all bargaining units for a new three- year collective bargaining agreement that included midyear implementation of salary compensation, identified savings by capping health and welfare benefits, and limited the accumulation and payment of excess vacation benefits. The agreement included a sig- nificant reduction in district-paid health benefits beginning July 1, 2005 through June 30, 2008. The agreement with CSEA and VTA was disclosed and reviewed under AB 1200 and Government Code Section 35457.5 guidelines by the Solano County Office of Education. 2. The district’s collective bargaining agreements are analyzed by the management team consisting of the State Administrator and Assistant Superintendents of Human Resources and Business Services. The district developed this review team to evaluate and propose changes to the respective collective bargaining agreements and align with the district’s financial recovery plan. Potential cost savings issues have been identi- fied and quantified for evaluation by the State Administrator and community in public meetings. Any proposed modifications to the collective bargaining agreements are submitted to the bargaining units for review and consideration during the process. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 4 November 1, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 8 Implementation Scale: 0 Financial Management 16.2 Impact of Collective Bargaining Professional Standard: The State Administrator ensures that any guideline developed for collective bargaining is fis- cally aligned with the instructional and fiscal goals on a multiyear basis. The State Administrator ensures that the district has a formal process in which collective bargaining multiyear costs that are identified. Proposed expenditure changes were identified and implemented as necessary prior to any imposition of new collective bargaining obligations. The State Administrator ensures that costs and projected district revenues and expenditures are validated on a multiyear basis so that the fiscal issues faced by the district are not worsened by bargaining settlements. The public is informed about budget reductions that will be required for a bargaining agreement prior to any contract acceptance by the State Administrator. The public is notified of the provisions of the final proposed bargaining settlement and is provided with an opportunity to comment. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has prepared the required multiyear projections as part of the statutory budget requirements for all interim financial reports and the adopted budget. How- ever, at the time of the 2006-07 adopted budget, the district utilized both the reporting format provided by the California Department of Education’s SACS software and a secondary calculation utilizing Budget Explorer multiyear forecasting software. Although the SACS software projection meets the reporting requirements for the state, the district’s secondary forecast via Budget Explorer does not reconcile with the SACS format reported to the county office of education. The multiyear projection in the SACS format reported to the COE depicts the district with negative fund balances for the unrestricted general fund for the two subsequent fiscal years of 2007-08 and 2008-09. The district’s secondary projection performed in Budget Explorer was not included or completed in the presentation to the board or the submittal to the COE. This process does not allow the evaluator to make any determination regarding the multiyear impact of salary negotiations or the impact of step and column advancement by employees. 2. In accordance with AB 1200 and Government Code Section 3547.5, the district pre- pared public disclosure documents for the proposed agreements with CSEA and VTA including but not limited to the costs of proposed collective bargaining agreements for the current and two subsequent fiscal years, and submitted them to the COE for review and analysis. 3. The district has prepared a schedule demonstrating the cost of a 1% salary increase for all bargaining units and all funds included in the budget. This schedule contains the statutory benefits that will be included in the assumptions of the adoption budget. Total compensation should include the associated costs of salary, benefits, step and column, and cost of living increases (COLA), if any. 4. FCMAT has trained district staff to prepare a multiyear financial projection via Budget Explorer to be included in the recovery plan per EC Section 41327. The staff has Financial Management  received technical training in multiyear projection software that will demonstrate the fiscal impact to the district’s budget for the current and two subsequent fiscal years. 5. The district has convened study sessions with the State Administrator and public to address the fiscal impact of collective bargaining. However, it has not formally approved, disclosed or implemented a fiscal recovery plan. The district’s ADA has declined by approximately 1,060 over the previous two years and is anticipated to further decline in the current and two subsequent fiscal years. This event will have a substantial effect on future negotiations and the district will need to address this issue and the fiscal effect on the district’s financial solvency on a multiyear basis. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 November 1, 2005 Rating: 3 May 31, 2006 Rating: 5 January 25, 2007 Rating: 5 Implementation Scale:  Financial Management 17.1 Management Information Systems Professional Standard: Management information systems support users with information that is relevant, timely, and accurate. Needs assessments are performed to ensure that users are involved in the definition of needs, development of system specifications, and selection of appropriate systems. Additionally, district standards are imposed to ensure the maintainability, compatibility, and supportability of the various systems. The district ensures that all systems are compliant with the new Standard- ized Account Code Structure (SACS), year 2000 requirements, and are compatible with county systems with which they must interface. Progress on Implementing the Recommendations of the Improvement Plan: 1. The IT department staff did not appear to be functioning as a cohesive unit during this review period. A new IT director was hired in the summer to replace the retiring director. Current IT staff members have worked in this department from four to 23 years and have not been supportive of the new leadership and department direction. Interviews with staff indicated overall low morale. A department that is not working well together will not be able to provide the necessary level of services to the technol- ogy users in the district. The department continues to struggle to match job duties and responsibilities to outdated job descriptions. Management and staff should collaboratively create job descriptions based on the actual functions employees perform. Once these two groups agree on job descriptions, the IT management should present them to the bargaining unit and district administration for review. 2. Over the past two years the department has evolved from a user support department that outsourced engineering services to a department that handles engineering needs internally but struggles to support users. Taking on engineering responsibilities has saved the district considerable money, but no staff have been added to support tech- nology users. A survey of like districts should be conducted using a source such as Ed-Data (http://www.ed-data.k12.ca.us/) to determine an appropriate IT technical staffing level. For example, a similar sized district might assign one technician to each high school, one technician for three junior high schools, and one technician for six elementary schools. 3. A new work order system has been operational since September 2006 to monitor the status of work order requests. There is a growing number of unaddressed work orders in the system. For example, some teachers have had their network connections closed down because of local virus issues and have not yet been reconnected. In the one junior high and all the high schools where attendance is reported online, a teacher who cannot connect to the network cannot record their attendance online without leaving the classroom to record attendance. Financial Management  4. The IT department should report to cabinet at each meeting on the status and number of work orders in the system. Plans should be developed for completing the current backlog of work orders in a timely manner. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 6 November 1, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Rating: 4 Implementation Scale:  Financial Management 17.3 Management Information Systems Professional Standard: Selection of information systems technology conforms to legal procedures specified in the Public Contract Code. Additionally, there is a process to ensure that needs analyses, cost/benefit analy- ses, and financing plans are in place prior to commitment of resources. The process facilitates involvement by users, as well as information services staff, to ensure that training and support needs and costs are considered in the acquisition process. Progress on Implementing the Recommendations of the Improvement Plan: 1. The student information system (SIS) is implemented and fully functional at this time. Backups are being done. The Aeries SIS allows teachers to record attendance online, which saves them a considerable amount of time. The district has implemented online attendance at one junior high and at the high schools. The study team was told that there are not enough classroom computers at the remaining sites to implement online attendance at this time. However, the district administration has indicated that online attendance at all sites is not the district’s goal; rather it is accurate attendance reporting. 2. There was a breakdown in communications between the technology department and the business department regarding the purchase of virus software licensing for the dis- trict. Technology management decided to purchase different software but was unaware that the business department had paid the current company for the next year. Because the new software was deployed, the district became responsible for purchasing both products. Procurement practices need to be continually reviewed. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 6 November 1, 2005 Rating: 8 May 31, 2006 Rating: 8 January 25, 2007 Rating: 4 Implementation Scale: Financial Management  17.4 Management Information Systems Professional Standard: Major technology systems are supported by implementation and training plans. The cost of implementation and training is included with other support costs in the cost/benefit analyses and financing plans supporting the acquisition of technology systems. Progress on Implementing the Recommendations of the Improvement Plan: 1. A training schedule for 2006-07 for technology staff was provided to the team. How- ever, only one staff member reported they were still taking an online training course. All other staff members stated in individual interviews that the availability of training had ceased. The staff has been focused on the district office move which was suc- cessfully accomplished in November and training has not been a pressing concern. The staff should be made aware of the planned training opportunities that have been scheduled from January through April 2007. A training plan with cost analysis based on staff needs, type of training available, and a schedule that will minimally impact technology services to the district should be updated each year, and shared with the staff. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 7 November 1, 2005 Rating: 7 May 31, 2006 Rating: 8 January 25, 2007 Rating: 6 Implementation Scale:  Financial Management 18.1 Maintenance and Operations Fiscal Controls Professional Standard: The district has a comprehensive risk management program that monitors the various aspects of risk management including workers’ compensation, property and liability insurance, and main- tains the financial well-being of the district. Progress on Implementing the Recommendations of the Improvement Plan: 1. The initial comprehensive assessment conducted by FCMAT in November 2004 recommended that the district should perform quarterly reconciliations of paid claims reflected on the loss run reports for property and liability insurance and workers’ com- pensation. The district continues to provide FCMAT with loss statistics, claims fre- quency reports, etc. on a quarterly basis that were compiled by independent consultant firms. The consultant firms review all information with district staff and assist with claims recommendations. FCMAT reviewed property and liability claims provided by the Alliance of Schools for Cooperative Insurance Programs (ASCIP) and workers’ compensation claims provided by Arthur J. Gallagher & Company. 2. The district currently obtains its workers’ compensation insurance from State Com- pensation Insurance Fund. The district was self-insured between April 1, 2003 and July 31, 2005. The district completed a workers’ compensation actuarial on June 14, 2006. The actuarial report was done by Bay Actuarial Consultants. The report includes the following: a. Projected 2006-07 self-funding rates; expressed as rates of loss per $100 of payroll. b. Unpaid losses from the district’s self-insurance program from 2003 through 2005. c. Discounting; projected estimates of the 2006-07 losses and the self-insurance liability on a discounted basis. d. Variability of estimated losses; provides a confidence level analysis of items (1) and (2). The report was based on loss and payroll data provided by the district and defines losses as all costs that can be reconciled to specific claims. The report includes the claims frequency history from fiscal years 1999-00 through 2005-06 and depicts the district’s claim frequency as above the statewide average. However, the district’s claim severity (cost per claim) is consistently lower than the statewide average. The report estimates the district’s unpaid losses under the previous self-insurance program to be $3,078,000 on June 30, 2006. The discounted liability is estimated at $2,599,000, assuming a 3% interest rate. The report, as an example, demonstrates the confidence levels to determine the probability of funds being sufficient to pay off the liability if the fund earns interest at a rate of 3% until they are expended. In summary, based on the district’s unaudited actuals for 2005-06, expenditures indicate a decrease from the prior year. The actuarial data suggests that the workers’ compensation pro- gram has sufficient reserves to cover current year claims and available reserves to fund unpaid losses. The district attributes much of this savings to its return to work program and recent legislation that has implemented a new statewide decrease in the Financial Management  rate structure. These positive steps reaffirm the district’s decision to no longer fund claims through a self-insurance program and to move to State Compensation Insur- ance Fund for workers’ compensation. 3. The new rate structure for the State Compensation Insurance Fund workers’ compen- sation program has been incorporated into the 2005-06 budget since FCMAT’s last six-month review. Previously, the budget and the payroll deductions had not been updated to reflect the new structure and rates. The 2005-06 third interim financial report submitted to the Solano County Office of Education estimates the self-insur- ance fund to have an ending fund balance of $2.8 million. 4. District personnel continue to receive technical training in self-insurance, understand- ing actuarial data, claims processing, subrogation recoveries, and reinsurance claims to better assist the district in this area. The district has utilized a third party broker to assist and train staff. The duties and responsibilities for risk management functions have now been moved from the Personnel Department to the Business Department. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 1, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 8 Implementation Scale:  Financial Management 18.2 Maintenance and Operations Fiscal Controls Professional Standard: The district has a work order system that tracks all maintenance requests, the worker assigned, dates of completion, labor time spent and the cost of materials. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district utilizes two automated maintenance work order systems, including the PM+4 Web-based tracking system, to monitor preventative maintenance needs. The system has maintenance tracking advantages for systems, preventative maintenance, etc., and is an excellent online tool to fulfill the district’s work order system needs. Each school site has the ability to track online the status of any outstanding work order that has been submitted. The systems track labor and cost of materials. 2. The district has implemented cross training of clerical staff on the present work order system and now has Web access for all district sites to report maintenance needs. The district has continued its cross training program for active and substitute employees on the work order systems. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 1, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 8 Implementation Scale: Financial Management  18.5 Maintenance and Operations Fiscal Controls Professional Standard: Materials and equipment/tools inventory is safeguarded from loss through appropriate physical and accounting controls. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district is performing an asset inventory and valuation project for all capital assets exceeding the $10,000 threshold. GASB 34 requires the district to maintain complete and current fixed asset records for accounting purposes. The district implemented fixed asset accounting in the 2001-02 fiscal year but has had difficulty in properly maintaining records of additions and deletions. The procedures and reporting time lines for fixed assets should be updated and distributed to all departments. At the time of this review, documentation showed that the district was in process with the project. The project is being performed by Maximus and will conclude with all vehicles, build- ings, etc. at each site being inventoried, with the goal of revising the current records database to reflect additions, transfers and any surplus items. The June 30, 2005 annual audit completed by the State Controller could not establish complete account- ing records and supporting data for fixed assets for the district’s financial statements. 2. The maintenance department should plan to automate its tracking and monitoring pro- cess for all power and hand tools either checked out or permanently located on district vehicles. It is estimated that over 95% of the tools utilized on the service trucks would not meet the capitalization threshold of $10,000 for fixed assets. Although an inven- tory is still performed manually, it meets industry standards and is produced using a team concept. The equipment for vehicles may be checked out by a team number and is tracked to each vehicle, site location, hours utilized, and date checked in. Documen- tation was observed and verified by the review team. No progress has been made on this item since the last review. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 1, 2005 Rating: 2 May 31, 2006 Rating: 2 January 25, 2007 Rating: 4 Implementation Scale: 0 Financial Management 22.1 Special Education Professional Standard: The district actively takes measures to contain the cost of Special Education services while still providing an appropriate level of quality instructional and pupil services to Special Education pupils. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has an ongoing self-review process involving parents and community members. Concerns and problems are discussed and shared with staff. The process is also monitored by the state. 2. The fiscal employee assigned to monitor Special Education budgets works closely with the department director. 3. The budget, including position control, is reviewed regularly to ensure that actual expenditures are within the budgeted funds and recorded accurately. This close moni- toring has benefited the department and helped to keep errors down and unexpected costs to a minimum. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 November 1, 2005 Rating: 7 May 31, 2006 Rating: 8 January 25, 2007 Rating: 8 Implementation Scale: Financial Management  Chart of Financial Management Standards Progress Ratings Toward Implementation of the Improvement Plan Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 1.1 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT Integrity and ethical behavior are the product of the district’s ethical and behavioral standards, how they are communicated, and how they are 2 2 3 4 4 reinforced in practice. All manage- ment-level personnel exhibit high integrity and ethical values in car- rying out their responsibilities and directing the work of others. [State Audit Standard (SAS) 55, SAS-78] 1.2 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT The district has an audit committee to: (1) help prevent internal controls from being overridden by management; (2) help ensure ongoing state and 0 federal compliance; (3) provide assur- ance to management that the internal control system is sound; and (4) help identify and correct inefficient pro- cesses. [SAS-55, SAS-78] 1.3 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT The attitude of the Governing Board and key administrators has a signifi- cant effect on an organization’s inter- 2 nal control. An appropriate attitude balances the programmatic and staff needs with fiscal realities in a manner that is neither too optimistic nor too pessimistic. [SAS-55, SAS-78] 1.4 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT The organizational structure clearly identifies key areas of authority and 2 2 3 4 5 responsibility. Reporting lines are clearly identified and logical within each area. [SAS-55, SAS-78] The identified subset of standards appears in bold print. Financial Management 73 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 1.5 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT Management has the ability to evalu- 1 ate job requirements and match the requirements to the employee’s skills. [SAS-55, SAS-78] 1.6 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT The district has procedures for recruit- 2 ing capable financial management and staff and hiring competent people. [SAS-55, SAS-78] 1.7 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT All employees are evaluated on performance at least annually by a management-level employee knowl- edgeable about their work product. 1 1 2 2 3 The evaluation criteria are clearly communicated and, to the extent possible, measurable. The evaluation includes a follow-up on prior perfor- mance issues and establishes goals to improve future performance. 1.8 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT The responsibility for reliable fi- nancial reporting resides first and foremost at the district level. Top management sets the tone 2 2 3 4 4 and establishes the environment. Therefore, appropriate measures are implemented to discourage and detect fraud (SAS 82; Treadway Com- mission). The identified subset of standards appears in bold print. 74 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 2.1 PROFESSIONAL STANDARD - INTER- AND INTRADEPARTMENTAL COMMU- NICATIONS The business and operational de- partments communicate regularly with internal staff and all user departments on their responsibili- ties for accounting procedures and internal controls. The communica- tions are written whenever possible, particularly when they (1) affect 1 1 3 4 6 many staff or user groups, (2) are issues of high importance, or (3) re- flect a change in procedures. Proce- dures manuals are necessary to the communication of responsibilities. The departments also are responsive to user department needs, thus en- couraging a free exchange of infor- mation between the two (excluding items of a confidential nature). 2.2 PROFESSIONAL STANDARD - INTER- AND INTRADEPARTMENTAL COMMU- NICATIONS The financial departments commu- nicate regularly with the Govern- ing Board and community on the status of district finances and the 2 2 3 3 2 financial impact of proposed expen- diture decisions. The communica- tions are written whenever possible, particularly when they affect many community members, are issues of high importance to the district and board, or reflect a change in policy. The identified subset of standards appears in bold print. Financial Management 75 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 2.3 PROFESSIONAL STANDARD - INTER- AND INTRADEPARTMENTAL COMMU- NICATIONS The Governing Board is engaged in understanding globally the fiscal 1 1 3 3 3 status of the district, both current and as projected. The board priori- tizes district fiscal issues among the top discussion items. 2.4 PROFESSIONAL STANDARD - INTER- AND INTRADEPARTMENTAL COMMU- NICATIONS The district has formal policies and procedures that provide a mecha- 0 0 2 3 3 nism for individuals to report illegal acts, establish to whom illegal acts should be reported, and provide a formal investigative process. 2.5 PROFESSIONAL STANDARD - INTER- AND INTRADEPARTMENTAL COMMU- NICATIONS Documents developed by the fis- cal division for distribution to the Governing Board, finance com- 1 1 3 3 3 mittees, staff and community are easily understood. Those who re- ceive documents developed by the fiscal division do not have to wade through complex, lengthy computer printouts. The identified subset of standards appears in bold print. 76 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.1 PROFESSIONAL STANDARD - STAFF PROFESSIONAL DEVELOPMENT The district has developed and uses a professional development plan for training business staff. The plan includes the input of business office supervisors and managers, and, at 0 0 0 2 3 a minimum, identifies appropriate programs office-wide. At best, each individual staff and management employee has a plan designed to meet their individual professional development needs. 3.2 PROFESSIONAL STANDARD - STAFF PROFESSIONAL DEVELOPMENT The district develops and uses a pro- fessional development plan for the in-service training of school site/ department staff by business staff 0 0 1 2 3 on relevant business procedures and internal controls. The plan includes the input of the business office and the school sites/departments and is updated annually. 4.1 PROFESSIONAL STANDARD - INTER- NAL AUDIT The Governing Board has adopted policies establishing an internal 0 1 3 5 5 audit function that reports directly to the Superintendent/State Admin- istrator and the audit committee or Governing Board. The identified subset of standards appears in bold print. Financial Management 77 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 4.2 PROFESSIONAL STANDARD - INTER- NAL AUDIT Internal audit functions are de- signed into the organizational struc- ture of the district. These functions 0 0 0 3 3 include periodic internal audits of areas at high risk for non-compli- ance with laws and regulations and/ or at high risk for monetary loss. 4.3 PROFESSIONAL STANDARD - INTERNAL AUDIT Qualified staff are assigned to conduct 0 internal audits and are supervised by an independent body, such as an audit committee. 4.4 PROFESSIONAL STANDARD - INTERNAL AUDIT Internal audit findings are reported on a timely basis to the audit commit- 0 tee, governing board and administra- tion, as appropriate. Management then takes timely action to follow up and resolve audit findings. 5.1 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The budget development process requires a policy-oriented focus by the Governing Board to develop an expen- diture plan that fulfills the district’s goals and objectives. The Governing 3 Board focuses on expenditure stan- dards and formulas that meet the district goals. The Governing Board avoids specific line-item focus, but directs staff to design an entire expen- diture plan focusing on student and district needs. The identified subset of standards appears in bold print. 78 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 5.2 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The budget development process 3 includes input from staff, administra- tors, board and community. 5.3 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) Policies and regulations exist regard- 2 ing budget development and monitor- ing. 5.4 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district has a clear process to analyze resources and allocations 2 4 5 5 4 to ensure that they are aligned with strategic planning objectives and that the budget reflects district priorities. 5.5 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district has policies to facilitate development of a budget that is un- 3 5 5 5 4 derstandable, meaningful, reflective of district priorities, and balanced in terms of revenues and expendi- tures. The identified subset of standards appears in bold print. Financial Management 79 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 5.6 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) Categorical funds are an integral part of the budget process and have been integrated into the entire budget development. The revenues and expen- ditures for categorical programs are reviewed and evaluated in the same manner as unrestricted General Fund revenues and expenditures. Categori- cal program development is integrated with the district’s goals and used to 4 respond to district student needs that cannot be met by unrestricted expen- ditures. The superintendent, superin- tendent’s cabinet and fiscal office have established procedures to ensure that categorical funds are expended effec- tively to meet district goals. Carryover and unearned income of categorical programs are monitored and evaluated in the same manner as General Fund unrestricted expenditures. 5.7 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district has the ability to accu- rately reflect its net ending balance throughout the budget monitoring process. The first and second interim reports provide valid updates of the 0 2 3 4 4 district’s net ending balance. The district has tools and processes that ensure that there is an early warn- ing of any discrepancies between the budget projections and actual revenues or expenditures. The identified subset of standards appears in bold print. 80 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 5.8 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district utilizes formulas for al- locating funds to school sites and departments. This can include staff- 3 ing ratios, supply allocations, etc. These formulas should be in line with the board's goals and directions, and should not be overridden. 6.1 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (TECHNICAL) The budget office has a technical process to build the preliminary budget amounts that includes: the forecast of revenues, the verification and projection of expenditures, the identification of known carryovers 0 3 4 4 3 and accruals and the inclusion of concluded expenditure plans. The process clearly identifies one-time sources and uses of funds. Reason- able ADA and COLA estimates are used when planning and budgeting. This process is applied to all funds. 6.2 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (TECHNICAL) An adopted budget calendar exists that meets legal and management 3 requirements. At a minimum the calen- dar identifies statutory due dates and major budget development activities. 6.3 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (TECHNICAL) Standardized budget worksheets are 3 used in order to communicate budget requests, budget allocations, formulas applied and guidelines. The identified subset of standards appears in bold print. Financial Management 81 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 7.1 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district adopts its annual budget within the statutory time lines es- tablished by Education Code Section 42103, which requires that on or be- fore July 1, the governing board shall 3 hold a public hearing on the budget to be adopted for the subsequent fiscal year. Not later than five days after that adoption or by July 1, whichever occurs first, the governing board shall file that budget with the county super- intendent of schools. [EC 42127(a)] 7.2 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS Revisions to expenditures based on the State Budget are considered and adopted by the governing board. Not later than 45 days after the gover- nor signs the annual Budget Act, the 3 district shall make available for public review any revisions in revenues and expenditures that it has made to its budget to reflect funding available by that Budget Act. [EC 42127(2) and 42127(i)(4)] 7.3 PROFESSIONAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district has procedures that pro- vide for the development and submis- 3 sion of a district budget and interim reports that adhere to criteria and standards and are approved by the county office of education. The identified subset of standards appears in bold print. 82 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 7.4 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district completes and files its in- 2 terim budget reports within the statu- tory deadlines established by Educa- tion Code Section 42130, et. seq. 7.5 PROFESSIONAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The first and second interim reports show an accurate projection of the 0 0 3 4 3 ending fund balance. Material dif- ferences are presented to the board of education with detailed explana- tions. 7.6 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district has complied with Gov- ernmental Accounting Standard No. 34 (GASB 34) for the period ending June 30, 2003. GASB 34 requires the district 1 to develop policies and procedures and report in the annual financial reports on the modified accrual basis of accounting and the accrual basis of accounting. 7.7 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district has arranged for an annual 3 audit (single audit) within the dead- lines established by Education Code section 41020. 7.8 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district should include in its audit report, but not later than March 15, a 4 corrective action for all findings dis- closed as required by Education Code Section 41020. The identified subset of standards appears in bold print. Financial Management 83 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 7.9 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district must file certain docu- ments/reports with the state as fol- lows: J-200 series - (Education Code 4 Section 42100); J-380 series - CDE procedures; Interim financial reports - (Education Code Section 42130); J-141 transportation report (Title V, article 5, Section 15270). 7.10 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS Education Code Section 41020(c) (d) (e) (g) establishes procedures for local agency audit obligations and stan- dards. Pursuant to Education Code Sec- tion 41020(h), the district submits to 5 the county superintendent of schools in the county that the district resides, the State Department of Education, and the State Controller’s Office an audit report for the preceding fiscal year. This report must be submitted "no later than December 15." 8.1 PROFESSIONAL STANDARD - BUDGET MONITORING All purchase orders are properly en- 3 4 5 5 6 cumbered against the budget until payment. 8.2 PROFESSIONAL STANDARD - BUDGET MONITORING There are budget monitoring con- trols, such as periodic reports, to alert department and site managers 1 3 5 5 5 of the potential for overexpenditure of budgeted amounts. Revenue and expenditures are forecast and veri- fied monthly. The identified subset of standards appears in bold print. 84 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 8.3 PROFESSIONAL STANDARD - BUDGET MONITORING The routine restricted maintenance ac- count is routinely analyzed to ensure that income has been properly claimed and expenditures are within the guide- 6 lines provided by the State Depart- ment of Education. The district budget includes specific budget information to reflect the expenditures against the routine maintenance account. 8.4 PROFESSIONAL STANDARD - BUDGET MONITORING Budget revisions are made on a regular 5 basis and occur per established proce- dures, and are approved by the Gov- erning Board. 8.5 PROFESSIONAL STANDARD - BUDGET MONITORING The district uses an effective posi- tion control system that tracks per- sonnel allocations and expenditures. 6 7 7 7 7 The position control system effec- tively establishes checks and bal- ances between personnel decisions and budgeted appropriations. 8.6 PROFESSIONAL STANDARD - BUDGET MONITORING The district monitors both the revenue limit calculation and the special edu- cation calculation at least quarterly 6 to adjust for any differences between the financial assumptions used in the initial calculations and the final actu- als as they are known. 8.7 PROFESSIONAL STANDARD - BUDGET MONITORING 0 The district monitors the site reports of revenues and expenditures provided. The identified subset of standards appears in bold print. Financial Management 85 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 9.1 PROFESSIONAL STANDARD - BUDGET COMMUNICATIONS The district budget is a clear mani- 0 festation of district policies and is presented in a manner that facilitates communication of those policies. 9.2 PROFESSIONAL STANDARD - BUDGET COMMUNICATIONS 0 The district budget clearly identifies one-time sources and uses of funds. 10.1 LEGAL STANDARD - INVESTMENTS The Governing Board reviews and ap- proves, at a public meeting and on a 0 quarterly basis, the district’s invest- ment policy. [GC 53646] 11.1 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING An accurate record of daily enroll- 1 4 5 6 6 ment and attendance is maintained at the sites and reconciled monthly. 11.2 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING Policies and regulations exist for 1 independent study, home study, inter/ intradistrict agreements and districts of choice, and address fiscal impact. 11.3 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING Students are enrolled by staff and 2 3 3 4 5 entered into the attendance system in an efficient, accurate and timely manner. 11.4 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING At least annually, the school district verifies that each school bell schedule 4 meets instructional time requirements for minimum day, year and annual minute requirements. The identified subset of standards appears in bold print. 86 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 11.5 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING Procedures are in place to ensure that attendance accounting and reporting 1 requirements are met for alternative programs such as ROC/P and adult education. 11.6 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING The district utilizes standardized and mandatory programs to improve 0 3 4 5 6 the attendance rate of pupils. Ab- sences are aggressively followed-up by district staff. 11.7 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING School site personnel receive pe- riodic and timely training on the 0 1 3 4 5 district’s attendance procedures, system procedures and changes in laws and regulations. 11.8 LEGAL STANDARD - ATTENDANCE AC- COUNTING Attendance records are not destroyed 5 until after the third July 1 succeeding the completion of the audit. (Title V, CCR, Section 16026) 11.9 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING The district makes appropriate use of short-term independent study and Sat- 0 urday school programs as alternative methods for pupils to keep current on classroom course work. The identified subset of standards appears in bold print. Financial Management 87 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 12.1 LEGAL STANDARD - ACCOUNTING, PUR- CHASING, AND WAREHOUSING The district adheres to the California School Accounting Manual (CSAM) and Generally Accepted Accounting Prin- ciples (GAAP) as required by Education 2 Code Section 41010. Adherence to CSAM and GAAP helps to ensure that transactions are accurately recorded and financial statements are fairly presented. 12.2 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district timely and accurately records all information regarding financial activity (unrestricted and restricted) for all programs. Gener- ally Accepted Accounting Principles 2 2 2 3 3 (GAAP) require that in order for fi- nancial reporting to serve the needs of the users, it must be reliable and timely. Therefore, the timely and accurate recording of the underlying transactions (revenue and expen- ditures) is an essential function of the district’s financial management. The identified subset of standards appears in bold print. 88 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 12.3 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district forecasts its revenues and expenditures and verifies those projections on a monthly basis in order to adequately manage its cash. In addition, the district reconciles 1 2 2 4 3 its cash to bank statements and reports from the county treasurer reports on a monthly basis. Standard accounting practice dictates that, in order to ensure that all cash receipts are deposited timely and recorded properly, cash is reconciled to bank statements monthly. 12.4 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district’s payroll procedures are in compliance with the require- ments established by the County Office of Education, unless fiscally 1 2 2 3 3 independent. (Education Code Sec- tion 42646) Standard accounting practice dictates that the district implement procedures to ensure the timely and accurate processing of payroll. 12.5 PROFESSIONAL STANDARD - ACCOUNT- ING, PURCHASING, AND WAREHOUSING Standard accounting practice dictates that the accounting work is properly supervised and work reviewed in order 1 to ensure that transactions are record- ed timely and accurately, and allow the preparation of periodic financial statements. The identified subset of standards appears in bold print. Financial Management 89 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 12.6 PROFESSIONAL STANDARD - ACCOUNT- ING, PURCHASING, AND WAREHOUSING Federal and state categorical pro- grams, either through specific program requirements or through general cost 1 principles such as OMB Circular A-87, require that entities receiving such funds must have an adequate system to account for those revenues and related expenditures. 12.7 PROFESSIONAL STANDARD - ACCOUNT- ING, PURCHASING, AND WAREHOUSING Generally accepted accounting prac- tices dictate that, in order to ensure accurate recording of transactions, the district have standard procedures for 1 closing its books at fiscal year-end. The district’s year-end closing proce- dures should comply with the proce- dures and requirements established by the county office of education. 12.8 LEGAL STANDARD - ACCOUNTING, PUR- CHASING, AND WAREHOUSING The district complies with the bidding requirements of Public Contract Code Section 20111. Standard accounting practice dictates that the district have adequate purchasing and warehousing procedures to ensure that only proper- 2 ly authorized purchases are made, that authorized purchases are made consis- tent with district policies and manage- ment direction, that inventories are safeguarded, and that purchases and inventories are timely and accurately recorded. The identified subset of standards appears in bold print. 90 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 12.9 PROFESSIONAL STANDARD - ACCOUNT- ING, PURCHASING, AND WAREHOUSING The district has documented proce- dures for the receipt, expenditure and monitoring of all construction-related 3 activities. Included in the procedures are specific requirements for the ap- proval and payment of all construc- tion-related expenditures. 12.10 PROFESSIONAL STANDARD - ACCOUNT- ING, PURCHASING, AND WAREHOUSING The accounting system has an appro- 2 priate level of controls to prevent and detect errors and irregularities. 12.11 PROFESSIONAL STANDARD - ACCOUNT- ING, PURCHASING, AND WAREHOUSING The district has implemented the new Standardized Account Code Structure. SACS ensures the district is in compli- 5 ance with federal guidelines, which will ensure no loss of federal funds, e.g., Title I federal class size reduc- tion. 13.1 LEGAL STANDARD - STUDENT BODY FUNDS The Governing Board adopts policies and procedures to ensure compliance 4 regarding how student body organiza- tions deposit, invest, spend, raise and audit student body funds. [EC 48930- 48938] 13.2 LEGAL STANDARD - STUDENT BODY FUNDS Proper supervision of all student body funds is provided by the board. [EC 48937] This includes establish- ing responsibilities for managing and 4 overseeing the activities and funds of student organizations, including providing procedures for the proper handling, recording and reporting of revenues and expenditures. The identified subset of standards appears in bold print. Financial Management 91 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 13.3 PROFESSIONAL STANDARD - STUDENT BODY FUNDS The district provides training and guid- 4 ance to site personnel on the policies and procedures governing the Associ- ated Student Body account. 13.4 PROFESSIONAL STANDARD - STUDENT BODY FUNDS In order to provide adequate oversight of student funds and to ensure the proper handling and reporting, the 2 California Department of Education recommends that periodic financial reports be prepared by sites, and then summarized by the district office. 13.5 PROFESSIONAL STANDARD - STUDENT BODY FUNDS In order to provide adequate oversight of student funds and to ensure proper handling and reporting, the California 2 Department of Education recommends that internal audits be performed. Such audits should review the opera- tion of student body funds at both district and site levels. 14.1 PROFESSIONAL STANDARD - MULTIYEAR FINANCIAL PROJECTIONS A reliable computer program that 0 provides reliable multiyear financial projections is used. 14.2 LEGAL STANDARD - MULTIYEAR FINAN- CIAL PROJECTIONS The district annually provides a mul- tiyear revenue and expenditure pro- jection for all funds of the district. 0 Projected fund balance reserves are disclosed. The assumptions for rev- enues and expenditures are reasonable and supportable. [EC 42131] The identified subset of standards appears in bold print. 92 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 14.3 LEGAL STANDARD - MULTIYEAR FI- NANCIAL PROJECTIONS Multiyear financial projections are prepared for use in the decision- 0 1 1 2 1 making process, especially whenever a significant multiyear expenditure commitment is contemplated. [EC 42142] 15.1 LEGAL STANDARD - LONG-TERM DEBT OBLIGATIONS The district complies with public disclosure laws of fiscal obligations related to health and welfare benefits 3 for retirees, self-insured workers com- pensation, and collective bargaining agreements. [GC 3540.2, 3547.5, EC 42142] 15.2 PROFESSIONAL STANDARD - LONG-TERM DEBT OBLIGATIONS When authorized, the district uses only non-voter approved, long-term financing such as certificates of par- ticipation (COPS), revenue bonds, and lease-purchase agreements (capital 2 leases) to address capital needs, and not operations. Further, the general fund is used to finance current school operations, and in general is not used to pay for these types of long-term commitments. The identified subset of standards appears in bold print. Financial Management 93 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 15.3 PROFESSIONAL STANDARD - LONG-TERM DEBT OBLIGATIONS For long-term liabilities/debt service, the district prepares debt service schedules and identifies the dedicated funding sources to make those debt service payments. The district proj- ects cash receipts from the dedicated revenue sources to ensure that it will 2 have sufficient funds to make periodic debt payments. The cash flow projec- tions are monitored on an ongoing basis to ensure that any variances from projected cash flows are identi- fied as early as possible to allow the district sufficient time to take appro- priate measures or identify alternative funding sources. 15.4 PROFESSIONAL STANDARD - LONG- TERM DEBT OBLIGATIONS The district has developed and uses a financial plan to ensure that ongoing unfunded liabilities from 1 2 2 2 2 employee benefits are recognized as a liability of the school district. A plan has been established for fund- ing retiree health benefit costs as the obligations are incurred. The identified subset of standards appears in bold print. 94 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 16.1 PROFESSIONAL STANDARD - IMPACT OF COLLECTIVE BARGAINING The district has developed param- eters and guidelines for collective bargaining that ensure that the col- lective bargaining agreement is not an impediment to efficiency of dis- trict operations. At least annually, collective bargaining agreements are analyzed by management to identify those characteristics that are imped- iments to effective delivery of dis- trict operations. The district identi- fies those issues for consideration 1 4 5 6 8 by the Governing Board. The Govern- ing Board, in the development of its guidelines for collective bargaining, considers the impact on district operations of current collective bargaining language, and proposes amendments to district language as appropriate to ensure effective and efficient district delivery. Governing Board parameters are provided in a confidential environment, reflective of the obligations of a closed execu- tive board session. The identified subset of standards appears in bold print. Financial Management 95 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 16.2 PROFESSIONAL STANDARD - IMPACT OF COLLECTIVE BARGAINING The Governing Board ensures that any guideline developed for collec- tive bargaining is fiscally aligned with the instructional and fiscal goals on a multiyear basis. The Superintendent ensures that the dis- trict has a formal process in which collective bargaining multiyear costs are identified for the Governing Board, and those expenditure chang- es are identified and implemented as necessary prior to any imposition of new collective bargaining obliga- 1 2 3 5 5 tions. The Governing Board ensures that costs and projected district revenues and expenditures are vali- dated on a multiyear basis so that the fiscal issues faced by the dis- trict are not worsened by bargaining settlements. The public is informed about budget reductions that will be required for a bargaining agreement prior to any contract acceptance by the Governing Board. The public is notified of the provisions of the fi- nal proposed bargaining settlement and is provided with an opportunity to comment. The identified subset of standards appears in bold print. 96 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 17.1 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Management information systems support users with information that is relevant, timely, and accurate. Needs assessments are performed to ensure that users are involved in the definition of needs, development of system specifications, and selection of appropriate systems. Additionally, 3 6 6 6 4 district standards are imposed to ensure the maintainability, compat- ibility, and supportability of the various systems. The district ensures that all systems are compliant with the new Standardized Account Code Structure (SACS), year 2000 require- ments, and are compatible with county systems with which they must interface. 17.2 PROFESSIONAL STANDARD - MANAGE- MENT INFORMATION SYSTEMS Automated systems are used to im- prove accuracy, timeliness, and ef- ficiency of financial and reporting systems. Needs assessments are per- formed to determine what systems are candidates for automation, whether standard hardware and software sys- tems are available to meet the need, and whether or not the district would 8 benefit. Automated financial systems provide accurate, timely, relevant information and conform to all ac- counting standards. The systems are designed to serve all of the various users inside and outside the district. Employees receive appropriate train- ing and supervision in the operation of the systems. Appropriate internal controls are instituted and reviewed periodically. The identified subset of standards appears in bold print. Financial Management 97 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 17.3 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Selection of information systems technology conforms to legal pro- cedures specified in the Public Contract Code. Additionally, there is a process to ensure that needs analyses, cost/benefit analyses, and 0 6 8 8 4 financing plans are in place prior to commitment of resources. The process facilitates involvement by users, as well as information servic- es staff, to ensure that training and support needs and costs are consid- ered in the acquisition process. 17.4 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Major technology systems are sup- ported by implementation and training plans. The cost of imple- 0 7 7 8 6 mentation and training is included with other support costs in the cost/benefit analyses and financing plans supporting the acquisition of technology systems. 17.5 PROFESSIONAL STANDARD - MANAGE- MENT INFORMATION SYSTEMS Access to administrative systems is reliable and secure. Communications 3 pathways that connect users with administrative systems are as free of single-points-of-failure as possible, and are highly fault tolerant. The identified subset of standards appears in bold print. 98 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 17.6 PROFESSIONAL STANDARD - MANAGE- MENT INFORMATION SYSTEMS Hardware and software purchases con- form to existing technology standards. Standards for copiers, printers, fax machines, networking equipment, and all other technology assets are defined and enforced to increase standard- ization and decrease support costs. Requisitions that contain hardware or 3 software items are forwarded to the technology department for approval prior to being converted to purchase orders. Requisitions for non-standard technology items are approved by the technology department unless the user is informed that district support for non-standard items will not be available. 17.7 PROFESSIONAL STANDARD - MANAGE- MENT INFORMATION SYSTEMS 2 Computers are replaced on a schedule based on hardware specifications. The identified subset of standards appears in bold print. Financial Management 99 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 17.8 PROFESSIONAL STANDARD - MANAGE- MENT INFORMATION SYSTEMS The following network standards, established for school districts, are being followed by the district: • A stable firewall is used with a sepa- rate DMZ and "inside" network. • The district follows EIA/TIA 568-B for all network cabling. • A Web content filter is used for all outbound Internet access. • The district uses an e-mail spam filter for all inbound e-mail. 4 • Administrative and academic net- work traffic is kept separate. • Switches and network hubs are installed, and the district ensures that switches support certain features. • Login banners are added to all net- work elements that will support them. • The district has transitioned from all non-TCP/IP protocols. • The district uses a VPN for any access to the internal network from the outside. 18.1 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS The district has a comprehensive risk-management program that 3 3 5 5 8 monitors the various aspects of risk management including workers compensation, property and liability insurance, and maintains the finan- cial well being of the district. The identified subset of standards appears in bold print. 100 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 18.2 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS The district has a work order sys- 3 4 6 7 8 tem that tracks all maintenance requests, the worker assigned, dates of completion, labor time spent and the cost of materials. 18.3 PROFESSIONAL STANDARD - MAINTE- NANCE AND OPERATIONS FISCAL CON- TROLS 6 The district controls the use of facili- ties and charges fees for usage in ac- cordance with district policy. 18.4 PROFESSIONAL STANDARD - MAINTE- NANCE AND OPERATIONS FISCAL CON- TROLS The Maintenance Department follows standard district purchasing protocols. 6 Open purchase orders may be used if controlled by limiting the employees authorized to make the purchase and the amount. 18.5 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS Materials and equipment/tools 1 1 2 2 4 inventory is safeguarded from loss through appropriate physical and ac- counting controls. 18.6 PROFESSIONAL STANDARD - MAINTE- NANCE AND OPERATIONS FISCAL CON- TROLS 2 District-owned vehicles are used only for district purposes. Fuel is invento- ried and controlled as to use. The identified subset of standards appears in bold print. Financial Management 101 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 18.7 LEGAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS Vending machine operations are subject to policies and regulations set by the State Board of Education. 3 All vending machine contracts reflect these policies and regulations. An adequate system of inventory control also exists. [EC 48931] 18.8 LEGAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS Capital equipment and furniture is 2 tagged as district-owned property and inventoried at least annually. 18.9 LEGAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS The district adheres to bid and force account requirements found in the Public Contract Code (Sections 20111 and 20114). These requirements in- 7 clude formal bids for materials, equip- ment and maintenance projects that exceed $50,000; capital projects of $15,000 or more; and labor when the job exceeds 750 hours or the materials exceed $21,000. PROFESSIONAL STANDARD - MAINTE- NANCE AND OPERATIONS FISCAL CON- TROLS Standard accounting practices dictate that the district has adequate purchas- ing and contract controls to ensure that only properly authorized purchas- es are made and independent contracts 6 approved, and that authorized pur- chases and independent contracts are made consistent with district policies, procedures, and management direc- tion. In addition, appropriate levels of signature authorization are maintained to prevent or discourage inappropriate purchases or contract awards. The identified subset of standards appears in bold print. 102 Financial Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 19.1 PROFESSIONAL STANDARD - FOOD SER- VICE FISCAL CONTROLS In order to accurately record transac- tions and to ensure the accuracy of financial statements for the cafeteria fund in accordance with generally accepted accounting principles, the district has adequate purchasing and warehousing procedures to ensure that: 7 1. Only properly authorized purchases are made consistent with district poli- cies, federal guidelines, and manage- ment direction. 2. Adequate physical security measures are in place to pre- vent the loss/theft of food inventories. 3. Revenues, expenditures, inventories, and cash are recorded timely and ac- curately. 19.2 PROFESSIONAL STANDARD - FOOD SER- VICE FISCAL CONTROLS The district operates the food service 7 programs in accordance with appli- cable laws and regulations. 19.3 PROFESSIONAL STANDARD - FOOD SER- VICE FISCAL CONTROLS Food service software permits point of 7 sale transaction processing for maxi- mum efficiency. The identified subset of standards appears in bold print. Financial Management 103 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 20.1 PROFESSIONAL STANDARD - CHARTER SCHOOLS In the process of reviewing and ap- proving charter schools, the district identifies/establishes minimal financial management and reporting standards that the charter school will fol- low. These standards/procedures will 1 provide some level of assurance that finances will be managed appropri- ately, and allow the district to monitor the charter. The district monitors the financial management and performance of the charter schools on an ongo- ing basis in order to ensure that the resources are appropriately managed. 21.1 PROFESSIONAL STANDARD - STATE- MANDATED COSTS The district has procedures that pro- vide for the appropriate oversight and management of mandated cost claim reimbursement filing. Appropriate procedures cover: the identification of changes to existing mandates; training 2 staff regarding the appropriate collec- tion and submission of data to support the filing of mandated costs claims; forms, formats, and time lines for reporting mandated cost information; and review of data and preparation of the actual claims. 22.1 PROFESSIONAL STANDARD - SPECIAL EDUCATION The district actively takes measures to contain the cost of special educa- 4 5 7 8 8 tion services while still providing an appropriate level of quality instruc- tional and pupil services to special education pupils. The identified subset of standards appears in bold print. 104 Financial Management Facilities Management Facilities Management The district has continued to address identified deficiencies and implement action plans to correct the deficiencies. Active efforts are being made to address facility issues, and progress is evident in areas such as training and work order management. However, the action plan and the success of its implementation hinge on the revision/adoption of board policies and the adoption of com- prehensive policies and procedures for facilities, maintenance, and operations. At this evaluation, the board policies are not completed. The Director of Maintenance and Operations, formerly the Director of Facilities Services, is drafting several board policies with the intent to bring them to the board for discussion and adop- tion by the end of the 2006 calendar year. A draft of the Maintenance and Operations Policies and Procedures Manual is complete. The draft has been reviewed by the Director of Maintenance and Operations and will be reviewed with maintenance and operations personnel in regularly scheduled staff meetings. Even though progress has been made, the district’s opportunity to sig- nificantly increase its rating for many of the standards in this operational area is limited because board policies have not been approved and adopted and the manual is still in draft form. Further, effecting significant and lasting change in attitudes and workplace culture is a multiyear process not likely to yield rapid gains. In the original Assessment and Improvement Plan, numerous areas were identified where the district’s performance did not meet established standards, including: • Lack of documentation of policies and processes • Numerous health and safety issues at the school sites • Inadequate communication among central office departments, the central office, and school sites • Lack of emphasis on preventive maintenance • Lack of a planned program maintenance system for facilities • Inconsistent handling of work orders and other facilities-related documentation The status of these key areas is discussed below. Documentation of Policies, Procedures, and Processes The district is still revising and expanding its board policies and administrative regulations. As policies and administrative regulations are adopted, the district posts them on its Web site. To date, the district has reviewed and updated two policies related to facilities, maintenance, and op- erations: hazardous substances and environmental safety. The two policies and regulations have not been numbered, but the district indicated this would be done once all policies and regulations are updated and adopted. The exact timeline for addressing the policies and administrative regu- lations for facilities, maintenance, and operations is not clear. The district’s stated goal is to com- plete its review and updating of all policies and administrative regulations by the end of 2006. The district’s action plan also calls for the development of a comprehensive manual for facilities, maintenance, and operations. These policies and procedures are intended to address all opera- tional aspects of those departments, and address findings and recommendations identified in the Assessment and Improvement Plan. The district has drafted its own manual to address a broad range of areas and issues, including operations, personnel, safety, equipment maintenance and Facilities Management  management. One district goal for the manual is to implement more comprehensive personnel evaluation tools to increase staff capabilities and institute accountability. Implementation of this item will likely need to be addressed through collective bargaining. The draft manual was avail- able for review and district staff indicates it is complete. The district’s goal is to review it with Maintenance and Operations staff at regularly scheduled meetings. Its contents have not been discussed or negotiated with the classified bargaining unit. Communication between Central Office Departments The two departments basically responsible for district facilities are Student Housing Services, commonly called Facilities, and Facilities Services, known as Maintenance and Operations. The Facilities and Planning Director was formerly titled Student Housing Services Director, and the Maintenance and Operations Director was formerly titled Facilities Services Director. Two manager positions report directly to the Director of Maintenance and Operations: Maintenance Manager and Operations Manager. The relationship between the administrators of these departments appears positive. To facilitate consistent communication between Facilities and Planning and Maintenance and Operations, a weekly meeting is held for division staff. In addition, the two directors continue to participate in Cabinet meetings every other week. Facilities and Planning and other central office departments communicate via e-mail and phone calls as needed. There were no indications of communication problems. Communication with sites has improved regarding work orders due to improvements made to the work order management system. This has reduced the frustration that many principals felt in try- ing to ensure that requested work was scheduled and performed. The completion of board policies, administrative regulations, and the manual should help formal- ize the frequency, nature, and format of interdepartmental communications. There is still work to be done to formalize and document processes to ensure timely and ongoing communication between the two departments, other central office departments, and sites to ensure that facility issues are promptly addressed. Communication between Schools and Central Office Communication between school sites and the Maintenance and Operations Department has been a problem in the past. Sites complained that work orders, e-mails, and voicemails were either not answered or not answered promptly. Further, the work order system was viewed as cumbersome, time consuming, and not user friendly. As a result, the system was not consistently used, making it difficult to manage and track work orders. Conversely, when the work order system was used, sites frequently were not aware of the status of any given work order. As a result, multiple work orders were frequently submitted for the same job, which created administrative and tracking issues for the Maintenance Department. The district upgraded its work order/preventive maintenance system and archived old data. This improved the speed of the system, and simplified the review of work order status for site staff. Feedback from site administrators regarding the system upgrade has been positive. In addition, the upgraded system helps the district to better manage facilities and reduce the number of re- pairs needed and work orders submitted.  Facilities Management While the upgraded work order system has been a success, some site administrators stated that the departments could be more prompt in responding to calls and e-mails. The departments should commit to returning calls and e-mails within 24 hours to ensure that site issues are ad- dressed promptly. The Director of Maintenance and Operations provided evidence of ongoing communications to site staff regarding use of the work order system. Fire, Health, and Safety Issues at School Sites Prior reviews noted the district’s major improvement in the area of fire extinguishers. The dis- trict’s performance was maintained during the current review. Only a few expired extinguishers were noted, virtually all classrooms had fire extinguishers, and access to fire extinguishers was clear at the sites visited. Performance has continued to improve as the district has contracted for a fire life safety survey and requires head custodians to perform a monthly inspection of fire extinguishers and submit an inspection report. Documentation of monthly school site inspections was not produced. The district has a vendor contract to ensure that all safety systems (clocks, bells, alarms) are operating properly and repairs are made as necessary. As the district updates its safety systems, it is transitioning to system self-maintenance. Five sites have been transitioned, two sites are in progress, and the goal is to complete the transition by the end of 2008-09. The district continues its efforts to address problem areas. For example, a few instances of unsanitary restrooms were observed. In response to the need to improve bathroom cleanliness, the district continues to train custodial personnel on the use of restroom cleaning/sterilizing equipment, which has improved the quality and efficiency of cleaning. Custodial staff are required to use the equipment, and district staff monitor its usage. In addition, the district has a full-time Operations Manager position established to evaluate the adequacy of night custodians’ work, including restroom cleaning. The district plans to reference the use of cleaning machines and supplies in employee evaluations. While the district still needs to make improvements in this area, the number of sites with issues and the frequency of violations at sites have decreased. As the district moves forward with for- malizing and implementing operating procedures, ongoing improvement is expected. Facilities Planning The district has conducted an in-house facilities inventory and developed a multiphase facili- ties master plan. The site-by-site capacity information was compared to current and projected enrollment over the short term. This information and analysis resulted in a multiphase process to serve all district students in adequate facilities, while generating one-time and ongoing revenue to reduce the district’s obligations to the state and provide ongoing operational revenue. To date, the district has moved the Farragut Elementary School program to Mare Island and has moved or plans to move the Adult School and community day school to the Farragut site, and moved the home teaching school to the People’s site. The district office has moved to Mare Island pursuant to an agreement with the developer, which obviates the need to improve the current district of- fice. A portion of the prior district office site is being declared surplus, with the intent to sell the property and generate funds to repay the state loan. Facilities Management  The later phases of the district’s facilities plan call for improvements to various schools through- out the district as well as the sale or lease of surplus property to generate revenue for the dis- trict’s fiscal recovery. The district appears to have successfully implemented the first elements of Phase I of its facilities master plan. Nevertheless, the district should hire an outside consultant with significant experience in developing successful school facilities master plans to indepen- dently prepare a plan to ensure that the district best serves its short- and long-term financial and facility needs. As part of its recovery plan, the district is selling and leasing property and has declared five properties as surplus. The district successfully sold the Rollingwood property for a minimum of $17.5 million, which may become $22.5 million. The district plans to use the proceeds from the sale/lease of property to repay the state loan and to offset general fund deficit spending. The dis- trict should confirm the appropriate uses of the proceeds from the sale/lease of its property before making long-term commitments.  Facilities Management 1.3 School Safety—Plan for Protection of People and Property Legal Standard: Demonstrate that a plan of security has been developed that includes adequate measures of safety and protection of people and property. [EC 32020, 32211, 35294-35294.9] Progress on Implementing the Recommendations of the Improvement Plan: 1. The process of reviewing and updating board policies is still in progress. This item will require follow-up in the next review to determine if the board policies were updated to sufficiently address pertinent facilities issues. 2. The districtwide and site-specific safety plans were complete as of the last six-month review. However, the plans need to be updated annually. There have been some changes in district personnel and duties due to a retirement. Current district staff has met with all principals to begin updating the plans. Sites were provided with a flip chart that details site specifics (examples: exit plan and emergency contact numbers). The updated plan will contain the following sections: • General Safety Information • Child Abuse Reporting • Disaster Procedures • Notification of Dangerous Pupils • Suspension, Expulsion, and Due Process • Sexual Harassment Policies • School Dress and Grooming • Safe Ingress and Egress • Rules and Procedures for School Discipline • Crime Assessment • Appendices—Reference and Resource Information Five sections of the plan utilize district board policies and administrative regulations that have not yet been updated. Affected sections include: • Suspension, Expulsion, and Due Process • Sexual Harassment Policies • School Dress and Grooming • Rules and Procedures for School Discipline • Crime Assessment Since half the areas in the plan are based on board policies and administrative regulations, the review and adoption of which is not scheduled for completion until the end of 2006, the plan(s) may not accurately reflect updated district policies. This item will require fol- low-up in the next review to determine the district’s progress in completing and adopting board policies and administrative regulations that affect the five sections of the plan. The plans should be reviewed to ensure alignment with the policies and regulations once they are in place. Facilities Management  3. The district has evaluated and developed recommendations for exterior lighting at school sites. The evaluation was completed as part of the district’s overall assessment of work- place safety. The district has not developed a plan to upgrade exterior lighting and secu- rity fencing. As of October 2006, improvements/additions have not been made to exterior lighting at school sites. 4. The district has evaluated perimeter security at school sites. Site reviews at selected sites indicated that many sites have multiple access points and do not have complete perimeter fencing. Perimeter security was included in the district’s assessment of workplace safety. Perimeter security fencing has been added at Hogan High School, but gates have not. The campus still has multiple access points. No separate action plan has been developed to prioritize and address security fencing issues at other sites. As of October 2006, no changes have been made to add perimeter fencing to school sites. All campuses are acces- sible from multiple entry points. 5. The district has not added visitor signs at all entry points to schools. In general, sites have some signage for visitors only at the main point of entry for the school and not at all pedestrian entry points. 6. The district requires visitors, vendors, contractors, and other staff to sign the visitor log and obtain a visitor sticker. However, the district has not made visitor stickers school- and date-specific at all sites. The district indicated that sites are provided visitor stickers that are school-specific with a line designated for the date. This was found at two of the five sites visited. All five sites had visitor logs and stickers. Site personnel asked visitors to sign in and provided identification to visitors when prompted by district office personnel. Given that many school sites have multiple entry points, people could enter sites without signing in at the office. Addressing perimeter security will increase the effectiveness of the sign-in process for monitoring visitors to the campus. 7. The district did not provide documentation that it implemented procedures to ensure that all volunteers are appropriately evaluated and approved. 8. The district has not added trespassing signs at all school sites, based on reviews at se- lected sites. District staff stated this would be done by the end of summer 2006. There are multiple entry points at all sites and all entry points do not have signage. Signage was consistent at the main entry point at sites visited. 9. The district has not added Tobacco Free Zone (TFZ) signs at all entry points at all school sites. However, based on site visits, sites more consistently had TFZ signage at the main entry point. There is no change from the previous six-month visit. 10. The district has not ensured that all high school students have student identification. The issue is being evaluated as part of the security plan development and the workplace safety assessment. The district intends to implement student identification for all high schools, but only Vallejo High School has provided student identification cards to all students. Since the visit in fall 2005, there has been no change.  Facilities Management Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 6 Implementation Scale: Facilities Management  1.8 School Safety—Graffiti and Vandalism Abatement Plan Professional Standard: The district has a graffiti and vandalism abatement plan that is followed by all district employees. The district provides employees with sufficient resources to meet the requirements of the abate- ment plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. The process of reviewing and updating board policies is still in progress. This item will require follow-up in the next review to determine if board policies were updated to suf- ficiently address pertinent facilities issues, including graffiti. 2. The district’s written graffiti and vandalism abatement plan has not yet been finalized. The district’s action plan calls for a comprehensive manual that will address graffiti and vandalism. The manual has been completed and is in draft form. 3. The district has a process to address graffiti and vandalism. At each site, the head custodi- an is responsible for walking the grounds each morning to identify graffiti and vandalism. Security staff also report instances of graffiti and vandalism noted during their nightly rounds. Any noted instances are reported to the Maintenance and Operations Office and assigned to a clean-up crew that remedies the situation. The district has assigned spe- cific staff exclusively to vandalism repair and graffiti abatement to ensure it is addressed quickly to discourage future incidents. The district’s process continues to result in a relatively quick response to reported graffiti and vandalism. However, these are ongoing problems for the district that consume a sig- nificant amount of labor and resources. 4. The district has not provided training to all site personnel responsible for reporting and cleaning/repairing graffiti and vandalism. New custodial staff are trained on their duties in general, and are given the standards for cleaning procedures, which identify clean- ing graffiti and preparing a report for the head custodian regarding vandalism. However, training has not been extended to site administrators and staff. The Director of Mainte- nance and Operations has notified site administrators in writing of the procedures used to report graffiti and vandalism. The procedures should be reviewed with custodial staff and site personnel at least annually. 5. The district has not adopted a districtwide paint scheme but is attempting to limit the number of paint colors utilized in facilities and has reduced the number of inventory of available paint colors by ten. However, no formal standardization has occurred to date, nor has any policy been implemented that addresses the standardization of paint schemes. At some sites visited, restrooms were being painted and upgraded. 6. The district provides supplies to site custodial staff for minor graffiti abatement. Abate- ment supplies are on the standard custodial supply order form. This item is addressed in  Facilities Management the final draft of the graffiti plan. In addition, it appears that appropriate staff, head cus- todians, and painters have received training on graffiti abatement, and graffiti abatement has been included in the job description of all head custodians. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 6 Implementation Scale: Facilities Management  1.14 School Safety—Sanitation is Maintained and Fire Hazards are Corrected Legal Standard: Sanitary, neat, and clean conditions of the school premises exist and the premises are free from conditions that would create a fire hazard. [CCR Title 5 §633] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not revised board policies to delineate that all sanitation hazards are to be corrected immediately. This item will require follow-up in the next review to determine if board policies were updated to sufficiently address pertinent facilities issues, including sanitation, fire, and other safety issues. As the board policies, manual, and administrative regulations have not been revised/com- pletely drafted, the district has not yet formalized the requirement that staff immediately report health and safety issues to Maintenance and Operations. The Maintenance and Operations Department has sent a memo to all site administrators and informed custodians of the process to report urgent items (health and safety issues) to get fire and safety issues addressed promptly. Nevertheless, based on site reviews, health and safety issues such as missing fire extinguishers, blocked/locked exits, wet floors, and unclean bathrooms with inadequate supplies were observed. However, the frequency and severity of such occurrences has decreased and continued progress has been made. Issues related to unsatisfactory bathroom conditions likely are a result of staff not per- forming their jobs. This is a supervisory issue that demands the district provide greater oversight and inspection of custodians’ job performance. The district has hired an Opera- tions Manager to address the performance issues. However, a single position may not be sufficient to provide the level of oversight necessary to improve the job performance of custodial staff. The Operations Manager continues to hold Custodial Action Committee meetings every month to discuss ways to create positive change in custodial operations. Committee members include custodians, management staff, and teachers. The Operations Manager also holds mandatory monthly professional development meet- ings for head custodians. Principals and site staff need to be more involved in document- ing and reporting unsatisfactory conditions due to inadequate custodial performance. If sufficient information and documentation is provided, it falls to district management to take appropriate corrective action. 2. Consistent with the recommendation in the November 2004 comprehensive review, the district initiated monthly inspections of fire extinguishers at each school site. This re- quires the head custodian at each site to inventory and inspect all fire extinguishers (in- cluding location, size, and type) to verify that the pin is in place, the charge is adequate, the hose and nozzle are in good condition, and access is not blocked. The monthly inspection reports that must be submitted to Maintenance and Operations also track when extinguishers need to be serviced or replaced, and document job per- 0 Facilities Management formance for head custodians. The district should continue additional training with site personnel to ensure the monthly inspections are completed and documented. The district did not provide evidence of monthly inspections by the sites. It appears that instances where fire extinguishers are out of compliance are detected by the annual inspections of a contracted service provider. Based on reviews made during site visits, fire extinguisher compliance has greatly improved and a lower number of noncompliant extinguishers was noted. 3. New custodial staff are trained on their duties in general and are given the standards for cleaning procedures. The Operations Manager provides training classes for all custodial staff. Once the five-part training is completed, employees receive a Certificate of Train- ing to recognize this achievement. The district has designated the first and third Mondays of each month for staff training, and provides issue/topic-specific training as available or needed. The training has been completed by all custodians in the district. As new custodi- ans are hired, they are trained. The district is providing Building Operation Certification training to 11 employees at the district and school site levels. The training includes instruction on heating, ventilation, and cooling (HVAC) systems and controls, lighting systems, and energy management ap- plications. The training was scheduled for Oct. 30 through Nov. 3, 2006. 4. Based on interviews with the Director of Maintenance and Operations, safe and clean campuses are important to the district and this has been conveyed to staff. To monitor and improve staff performance in keeping school sites safe and clean, the district hired an Operations Manager. The position was filled in January 2006. The Operations Manager has a checklist that evaluates sweeping; dusting; washing of table tops, sink counters, drinking fountains, walls, and desk tops; mopping of doorways, in front of sinks, rooms, hallways and entryways; miscellaneous items, such as emptying trash cans, replacing light bulbs, securing the campus, cleaning blackboards; and cleaning restrooms, including chrome fixtures, toilets, sinks, and filling toilet paper dispensers. As of the October 2006 visit, the checklist continues to be used to measure performance. In addition, the district’s bargaining agreement with the teachers’ association requires them to report inadequate conditions in the classroom/work area. This provides additional feedback regarding the adequacy of staff in maintaining a clean and safe campus. Dis- trict staff reported a reduction in the number of inadequate conditions since the Opera- tions Manager was hired and the Custodial Action Committee was created. Given that all responsibility for monitoring the job performance of custodial and grounds staff and performing the related evaluations essentially falls upon one manager, the district may not have sufficient oversight to improve employees’ job performance or dismiss them for cause. Therefore, the district should consider providing additional direct supervisory re- view and oversight. 5. The recommendation to emphasize safety and cleanliness in employee evaluations is still in the process of being implemented. Adjustments to the evaluation form will need to be negotiated with the bargaining unit. Facilities Management  Employees are essentially evaluated annually. Clearly, the issues of safety and cleanliness are important to the director. As a result, the district has attempted to raise the expectation of what constitutes standard performance. Employee performance that previously might have been rated above standard is now likely to just meet the standard expectation. There is also an attempt to provide some emphasis on safety and cleanliness in the evaluation process. However, the evaluation form utilized is the same form that has been used in the past because it is a negotiated document and cannot be changed except by negotia- tion. The current CSEA contract does not expire until 2008. Therefore, the documentation does not provide explicit evidence of the emphasis on safety and cleanliness in employee evaluations. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 6 Implementation Scale:  Facilities Management 1.18 School Safety—Plan for Prevention of Campus Crime and Violence Legal Standard: A comprehensive school safety plan exists for the prevention of campus crime and violence. [EC 35294-35294.9] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not completed revising its board policies regarding school safety plans. This item will require follow-up in the next review to determine if the board policies were updated to sufficiently address school safety and staff training. 2. The district has partially updated school safety plans and trained staff. The district has completed its districtwide and site-specific safety plans based on the districtwide plan. However, five of the areas addressed in the districtwide plan and site plans are based on district board policies, which are not scheduled to be completed until the end of 2006. Therefore, either some areas in these plans will remain open until the board policies are completed, or the plans may need to be revised on adoption of the policies. The plans need to be updated annually and had not been revised as of the October 2006 visit. School site employees are aware of the plan and can produce a copy of it when asked to do so. 3. Based on the districtwide plan, the district has addressed the recommendation to include the following key components of a comprehensive school safety plan: • Status of school crimes committed on district campuses during district functions • Dangerous pupil notification procedures • Strategies and programs for the maintenance of high levels of school site safety • Access procedures for students • Educational environment requirements • School discipline procedures • Sexual harassment policy Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 4 November 30, 2005 Rating: 4 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 6/7 January 25, 2007 Rating: 6 Implementation Scale: Facilities Management  2.1 Facility Planning—Maintenance of a Long-Range Facilities Master Plan Professional Standard: The district should have a long-range school facilities master plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has conducted an in-house facilities inventory and developed a multiphase facili- ties master plan. The facilities inventory included consideration of total classrooms and total capacity by site, including relocatable buildings; and adjustments to capacity for class-size reduction, special education, and utilization of rooms for activities other than classes. The site-by-site capacity information was compared to current and projected enrollment over the short term. Based on this information and analysis, decisions were made regarding the ad- equacy of classroom capacity given projected growth trends and distributional factors. This information then led to determinations regarding the reconfiguration of sites and programs, and the identification of surplus property. The ultimate result was a multiphase process to serve all district students in adequate facilities, while generating one-time and ongoing rev- enue to reduce the district’s obligations to the state and provide ongoing operational revenue. The district continues progress on Phase I of its facilities master plan. To date, the district has moved the Farragut Elementary School Program to Mare Island and moved the Adult School, community day school, and portions of the home teaching school to the former Farragut site. This provides more space for the potentially growing elementary popula- tion from Farragut and for development on Mare Island, better drop-off access for stu- dents, and better library and computer facilities. In addition, the district office is moving to Mare Island pursuant to an agreement with the developer, which obviates the need to improve the current district office. A portion of the site is being declared surplus, with the intent to lease the property and generate ongoing income. The district office move was planned for Nov. 20, 2006. The plan also anticipates making the McKinley site (formerly the adult school) and the Rollingwood site available for lease/development to generate revenue for the district. Later phases of the plan call for improvements to various schools throughout the district, as well as the sale or lease of surplus property to generate revenue for the district’s fiscal recovery. The district appears to have successfully implemented the first elements of Phase I of its facilities master plan. Nevertheless, the district should hire an outside consultant with significant experience in developing successful school facilities master plans to independently prepare a plan to ensure that the district best serves its short- and long-term financial and facility needs. 2. The district has retained consultants to assist with planning, development, and mainte- nance of a long-term facilities master plan. The district does not have a contract with an outside consultant to perform a new demographic study; it has been performing this in- house with current staff. The district has contracts with a separate consultant to provide financial advisory services related to its capital facility needs, and a real estate appraiser and title company to assist with the evaluation of district property being considered for surplus status.  Facilities Management 3. As part of its recovery plan, the district is selling and leasing property. The district has declared five properties as surplus. Bids were scheduled to be opened at 10 a.m. on Nov. 15, 2006. The district plans to use the proceeds from the sale/lease of property to repay the state loan and to offset general fund deficit spending. The district should confirm the appropriate uses of the proceeds from the sale/lease of its property before making long- term commitments. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 10 January 25, 2007 Rating: 6 Implementation Scale: Facilities Management  2.14 Facility Planning—Consideration of an Asset Management Plan Professional Standard: The district should consider developing an asset management plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has hired a consultant to develop an asset management plan, but a plan was not available for review. To date, the district’s work has been limited to an inventory of sites, classrooms, portables, capacity, and enrollment. The district has a legal opinion dated Jan. 9, 2006, regarding the available sources of revenue that can be used for Phase II of the Facilities and Property Asset Management Plan. As of the October 2006 visit, the district has five properties listed for sale. Bids were scheduled to be opened on November 15, 2006. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 2 January 25, 2007 Self-Rating: 6/7 January 25, 2007 Rating: 3 Implementation Scale:  Facilities Management 3.7 Facilities Improvement and Modernization—Furniture and Equipment Included in Modernization Program Professional Standard: Furniture and equipment items are routinely included within the scope of modernization projects. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not included furniture and equipment in its school modernization plans because it is very close to completing its current modernization program. Thus, it did not attempt to assess furniture and equipment needs related to the remaining projects. District staff states that, due to declining enrollment, there is a surplus of furniture in good condi- tion that can be used to replace damaged or old furniture. 2. The district has begun to establish a furniture and equipment standard for schools by school type—elementary schools, middle schools, high schools—that includes a replace- ment schedule. The district has identified certain types/classes of furniture/equipment and established the minimum allocation that a classroom of that type would receive. Based on the basic allocation level, the district has established base-cost information and useful lives. That information has been aggregated to estimate a yearly amount that the district needs to budget to meet furniture/equipment replacement needs each year. This standard has not yet been implemented for all classroom furniture/equipment across all grade levels, nor is it clear that the district is committing the financial resources and making re- placements per the estimate. 3. The district has not made a comprehensive assessment of existing furniture and equip- ment, noting factors such as age and condition, to identify current and future needs and to allow for the development of a replacement and funding plan. District staff asserts that there is sufficient surplus furniture to address district/site needs. As of this follow-up re- view, the district still is planning for the assessment. 4. The district has partially developed an equipment and furniture replacement funding plan based on certain assumptions about minimum needs for classrooms based on grade level and type. However, the district has not evaluated its actual furniture and equipment in- ventory and the current status of such furniture/equipment to determine if its needs vary from the general standard identified. Further, it does not appear that the current standard identified covers all furniture/equipment that might be needed across the district, given the variety of programs operated at the various school levels. District staff has started to collect furniture and equipment inventories from school sites. As the data is collected, in- formation is entered into a database. Facilities Management  Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 4 Implementation Scale:  Facilities Management 8.1 Facilities Maintenance and Custodial—Implementation of an Energy Conservation Policy Professional Standard: An Energy Conservation Policy should be approved by the Board of Education and implemented throughout the district. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not updated its policies regarding school safety plans. This item will re- quire follow-up in the next review to determine if the board policies were updated to suf- ficiently address pertinent facilities matters, including energy conservation. The district’s action plan related to energy conservation identifies and includes many of the items that were anticipated to be included in the recommended board policy. Items identified in the action plan included: • Set a room temperature range of 68˚ to 74˚ heating and 72˚ to 78˚ cooling. • Keep doors and windows from being propped open when air conditioning or heating is on (a violation of board policy unless a work order has been submitted for a needed repair). • Conserve energy by setting back or turning off interior lights, heating, or cooling from 6 p.m. to 6 a.m. Monday-Friday and from 6 p.m. Friday to 6 a.m. Monday except when there is a permitted facility use. • Post energy use reports on the district’s Web page for review by site management. • Improve underperforming energy consumption situations by allowing energy use reports to drive preventive maintenance (PM) and routine restricted maintenance (RRM) funding. • Require site management to evaluate energy consumption and the site’s performance in energy conservation. The district has been working with PG&E on various energy conservation and rebate pro- grams to reduce usage and cost. Projects include replacement of incandescent exit signs with LED signs, HVAC tuning/rebate program, tree planting, and chiller replacement. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 3 May 31, 2006 Rating: 3 January 25, 2007 Self-Rating: 5 January 25, 2007 Rating: 4 Implementation Scale: Facilities Management  8.2 Facilities Maintenance and Custodial—Energy Accounting System and Completion of Energy Analyses Professional Standard: Create and maintain a system to track utilities costs, consumption and report on the success of the district’s energy program. An energy analysis has been completed for each site. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has logged its energy consumption and expense. The Facilities Department installed a software program called School Project for Utility Rate Reduction (SPURR) that gives the department the capability to do data collection, analysis, and monitoring. The vendor also does a review and analysis and makes recommendations to the district. The district has performed a detailed review of energy bills and information to identify errors, unusual changes in consumption or cost, and the overall effects of the energy conservation program across all sites. The district installed software to monitor and track utility costs for electricity, natural gas, and water, looking for larger users or anomalies in trends. The software vendor also reviews and analyzes the utility usage data to identify areas that should be reviewed and opportunities for efficiency gain and cost savings. The district is completing its inventory of sites, meters, number of students, square footage, and other factors to improve its ability to monitor and analyze energy consumption data. Based on the energy usage report analysis, the district has identified sites that have high- er-than-normal usage and is working on reducing usage. District staff also has identified a duplicate meter at one site. The district expects there will be a rebate or credit from the utility company based on the discovery and correction. 2. The district has not formally identified/catalogued sites and areas that need to be retrofit- ted for energy conservation, nor has it hired a contractor to do this work. However, sites that have been through modernization have been retrofitted, but generally only for heat- ing, ventilation, and air conditioning (HVAC). Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 6 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Self-Rating: 7/8 January 25, 2007 Rating: 7 Implementation Scale: 0 Facilities Management 8.3 Facilities Maintenance and Custodial—Energy Efficient Design Criteria for New Construction and Modernization Professional Standard: Cost-effective, energy-efficient design should be a top priority for all district construction proj- ects. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not augmented its building design standards with specific energy design criteria for all areas of school design, including lighting, HVAC, controls, insulation, and other related measures; and orientation, generation, renewable sources of energy, and criteria for comparing and accepting energy efficient design. The district’s modernization projects appear to have included upgrades for items such as HVAC, windows, lighting, etc., that improve energy efficiency, but it has not established specific written standards to be applied to all construction/modernization projects. The goal is to develop these standards after the board policies are developed. The district is moving forward with reviewing all board policies and has adopted new/revised policies as appropriate. However, since the board policies are not scheduled to be completed until the end of 2006, these standards likely will not be in place until that date or later. The district should move expeditiously to implement more extensive building design standards to encompass all areas of energy management. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 2 January 25, 2007 Self-Rating: 4 January 25, 2007 Rating: 3 Implementation Scale: Facilities Management  8.6 Facilities Maintenance and Custodial—Procedures for Evaluation of Maintenance and Operations Staff Professional Standard: Procedures are in place for evaluating the work quality of Maintenance and Operations staff. The quality of the work performed by the Maintenance and Operations staff is evaluated on a regular basis using a board-adopted procedure that delineates the areas of evaluation and the types of work to be evaluated. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not yet shifted the responsibility for evaluating custodial staff to site ad- ministrators. Rather, the custodial supervisor is still responsible for performing approxi- mately 90 custodial evaluations. Therefore, the district has not reduced the impact that such a large number of evaluations may have on the supervisor’s other workload. Based on a sample of custodial employee files, it appears that employees are evaluated approximately every two years. It appears that the evaluations are representative of the employee’s performance. For the sample evaluations reviewed, comments were provided to address areas of needed improvement, but most of the evaluations were satisfactory without much comment regarding areas of growth and/or needed improvement. It appears that the addition of an Operations Manager has improved the evaluation process. The manager must fill out a checklist for each site/custodian reviewed each night, assessing the adequacy of work performed in the basic prescribed areas. Based on a sample of employee evaluations, additional comments on the evaluation form that could have spoken specifically to the issues of safety and cleanliness appeared to be minimal. The Maintenance and Operations Director and Operations Manager (hired in January 2006) indicated there would be changes in upcoming evaluations based on raised expectations for standard performance. The district provided examples of progressive dis- ciplinary actions; however, most of them were the first stage of progressive discipline and were not included in the employee evaluations to date. In a test sampling of employee evaluations, ten of 13 evaluations were not completed within the two-year timeline for evaluations. The custodial supervisor is supposed to receive input from the site administrator regarding the employee’s performance, and/or the site administrator participates in the face-to-face evaluation. This is intended to help ensure that the custodial supervisor has information about the day-to-day performance of the employee. Based on the evaluations reviewed, it was not clear that the site administrator had input. 2. The district has implemented an annual evaluation reminder process. Per representations made by the Maintenance and Operations management staff, they receive notification from the Human Resources Department regarding upcoming employee evaluations. The district has attempted to simplify the evaluation process by essentially evaluating all employees within a three-month period each year. The current contract requires evaluation once every two years.  Facilities Management 3. The district did not produce documentation that it had provided training for supervisory personnel regarding the proper documentation of employee performance based on estab- lished personnel and work standards. 4. Based on discussion with district staff and review of employee files, the district continues to have the manager discuss the performance evaluation with the employee and provide them with a copy of it. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 9 January 25, 2007 Rating: 7 Implementation Scale: Facilities Management  8.9 Facilities Maintenance and Custodial—Implementation of a Preventive Maintenance Program Professional Standard: The district has an effective preventive maintenance program that is scheduled and followed by the maintenance staff. This program includes verification of the completion of work by the super- visor of the maintenance staff. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not developed or implemented a board policy related to preventive main- tenance. This item will require follow-up in the next review to determine if the board pol- icies were updated to sufficiently address pertinent facilities matters, including preventive maintenance. 2. The district has partially implemented a preventive maintenance program as part of the overall action/recovery plan. The action plan calls for the development of a manual and related approach to Maintenance and Operations management that focuses on preventive maintenance. The goal of moving to a preventive maintenance approach is to generate regularly scheduled maintenance project work orders with detailed instructions to decrease the number of work orders generated by the need for repairs. The board policies were not completed at the time of the review. The manual was in draft form at the time of the review. The manual will be reviewed with district personnel and finalized after that. 3. PG&E has provided some information for students, teachers, teaching staff, and custodial and maintenance workers regarding energy conservation. Eleven staff from the district office and school sites were scheduled to attend a building operations certification pro- gram from Oct. 30 through Nov. 3, 2006. 4. The district has not trained site administrators and maintenance workers on the preventive maintenance system and software that are being implemented. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005 Rating: 2 May 31, 2006 Rating: 2 January 25, 2007 Self-Rating: 5/6 January 25, 2007 Rating: 3 Implementation Scale:  Facilities Management 8.10 Facilities Maintenance and Custodial—Adequate Repair and Supervision of School Buildings Legal Standard: The Governing Board of the district provides clean and operable flush toilets for use of pupils. Toilet facilities are adequate and maintained. All buildings and grounds are maintained. [CCR Title §631, CCR Title 5 14030, EC 17576] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not developed a board policy stating that custodial and repair issues, par- ticularly all sanitation hazards, are to be reported and corrected immediately. This item will require follow-up in the next six-month review to determine if the board policies were updated to sufficiently address pertinent facilities matters, including custodial and repair issues, and especially all sanitation issues. 2. The district has partially developed a process to immediately address health and safety issues. The action plan calls for the manual to address all aspects of Maintenance and Operations, including health and safety issues. In addition, the manual will address: • Methods used to clean and maintain sites and facilities • Frequency of cleaning and maintenance • Materials and products used for cleaning and maintenance • Inspection criteria and district standards • Training The manual was in draft form as of the October 2006 visit. The Director of Maintenance and Operations has sent a memo to all site administrators and informed custodians of the process to report urgent items (health and safety issues) to have fire and safety issues addressed promptly. The district also has developed a custodial inspection form to identify all areas of need. The needs are number rated from high to low and are completed on a room-by-room basis at each site. The district is training custodial employees on light and/or modified duty to perform the inspections. As of this writing, the district has completed all site inspections and has the documentation available for review. The district has posted the Williams notification, which includes the adequacy of facilities within the uniform complaint process, in all classrooms. Further, the district has distrib- uted the bathroom complaint forms to all sites, which allows citizens to make complaints regarding the condition of bathrooms directly to the Office of Public School Construction (OPSC). There were some classrooms that did not have the Williams notification posted and some classrooms where the Williams notification was covered up by other paper notices. The district plans to annually inspect classrooms to ensure the notices remain posted and unobstructed in the classroom. Facilities Management  The district has purchased and uses equipment that is intended to be more efficient and effective at achieving clean and sterile bathroom facilities. Training has been provided on the proper and effective utilization of the equipment. The new equipment is in use at all district sites. The results of using the machines were evident districtwide. However, there were some instances of unsanitary bathroom facilities, and there was a strong smell of urine in some restrooms. The district plans to incorporate the use of the equipment in the employee evaluation to ensure the equipment is used to clean and sterilize bathrooms. The district has contracted for an evaluation of life safety systems and for the repair of such systems found to be deficient, has implemented monthly fire extinguisher inspec- tions, and is in the process of implementing a monthly review of ingress/egress at sites. The district has forms for the monthly review of fire extinguisher inspections; however, documentation was not provided as evidence of the monthly reviews. 3. Some playfield improvements still need to be completed; however, at the selected sites visited where modernization was not in progress, the fields were generally acceptable. The expectation has been established for all groundskeepers to identify areas at school sites for beautification. The Director of Maintenance and Operations has identified bud- get dollars to fund the beautification projects, and some sites have taken advantage of the funding to improve grounds areas. 4. The district has partially implemented the recommendation to establish a formalized training plan and provide annual training to all site staff responsible for reporting and addressing maintenance, cleanliness, and safety issues. New custodial staff are trained on their duties in general and are provided with the standards for cleaning procedures. Further, the district has established the first and third Mondays of each month for train- ing the maintenance and custodial staff. In addition, feedback from the evaluation forms completed by the Operations Manager provides information regarding areas in which staff may require training/retraining. 5. The district is in the process of having managers review the progress of site personnel in keeping campuses safe and clean. The Operations Manager position is providing support to continue the progress personnel are making at each school site. Based on interviews with the Director of Maintenance and Operations, safe and clean campuses are important to the district, and this continues to be conveyed to staff. The district has begun to implement a formal process for supervisors to periodically review the progress made by night personnel at each school site. The district also has be- gun to implement the formal process for day personnel. The Operations Manager works a flexible schedule to provide some day as well as night supervision and oversight. The district has completed an inspection of every site. The information from these inspec- tions will be used to develop the deferred maintenance plan. 6. Employees are essentially evaluated annually. The current contract requires evaluation once every two years. Clearly, safety and cleanliness are important to the district. As a  Facilities Management result, the Director of Maintenance and Operations has attempted to raise the expectation of what constitutes standard performance. Employee performance that previously might have been rated above standard is now likely to just meet the standard expectation. There is also an attempt to provide some emphasis on safety and cleanliness in the evaluation process. However, the evaluation form utilized is the same form that has been used in the past. This document is subject to the collective bargaining process and cannot be modi- fied until the current contract expires. As a result, no change in the form is anticipated until 2008, if at all. Therefore, the documentation available does not explicitly emphasize safety and cleanliness issues in employee evaluations. Based on a sample of employee evaluations, additional comments on the evaluation form that could have spoken specifi- cally to safety and cleanliness appeared to be minimal. However, the district is making every effort to provide consistent evaluations that specifically detail the areas of needed improvement, especially those applicable to safety and cleanliness at all sites. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 6 January 25, 2007 Rating: 5 Implementation Scale: Facilities Management  8.12 Facilities Maintenance and Custodial—Priorities for Assignment of Routine Repair Work Orders Professional Standard: The district has a documented process for assigning routine repair work orders on a priority basis. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district utilizes the School Preventive Maintenance Management System (SPMMS) work order system. To address issues raised by site administrators and staff regarding system slowness and difficulty of use, the district updated the system and is archiving a large volume of old data to improve performance. Based on observation and information provided by site staff, system performance greatly improved, and it is viewed as a good tool for submitting and tracking work orders. The district assigned a permanent staff member to process work orders to help with consistent and timely processing and prioritization. Progress continues to be made in completing and clos- ing work orders in a timely fashion. The backlog of work orders has been addressed, and com- pleted work orders have been identified and closed. The work order system is up to date. School site personnel confirmed that work orders were responded to and completed in a timely manner. They also stated that it is easy to use the work order system to determine the status of a request. The district has implemented a preventive maintenance system to increase the perfor- mance and usable life of facilities and assets, and reduce the number of repairs needed. If successful, the system should reduce the number of work orders that sites submit and will allow for timelier processing. 2. The action plan calls for an M&O manual to be developed. The manual is to address all aspects of Maintenance and Operations, including prioritization of work and health and safety issues. The manual was in draft form at the time of the review. The Director of Maintenance and Operations has sent a memo to all site administrators and informed custodians of the process to report urgent items (health and safety issues) so they are ad- dressed promptly. The district should send out annual notices to site administrators and personnel regarding the process to report urgent items and to submit work orders. 3. The director has developed a prioritization system for work orders that requires staff to be accountable for completing assigned work orders. However, the policies and procedures related to this process have not yet been formalized. The manual is in draft form, and ad- dresses aspects of Maintenance and Operations, including prioritization of work. It appears that the processing of work orders continues to improve. 4. The district has upgraded the work order system, archived data, and dedicated an employee to manage the system. As of October 2006, improvement continues in this area. 5. It was not clear whether active supervision is occurring to note backlogs, inadequate response times, inappropriate prioritization of work orders, inadequate repairs, and to en- sure adequate service and employee performance.  Facilities Management 6. The district’s action plan did not directly address the recommendation to improve com- munication between the Maintenance and Operations Department and school sites; how- ever, the Director of Maintenance and Operations and the Operations managers routinely visit all sites for operational inspections, maintenance inspections, and employee evalua- tions. 7. Information was provided during the current and prior reviews regarding the number of outstanding work orders. The time range for processing work orders continues to im- prove. 8. The district has implemented improvements to the work order system that will be re- quired to maintain schools subsequent to the completion of the modernization program. The district’s action plan addresses issues related to improving the work order system and establishing a preventive maintenance program. HVAC and roofing needs continue to be top priorities. 9. The district has completed roofing projects at Solano Middle School (Building F) and Lincoln Elementary School, a new fire alarm system at Cave Elementary School, and painting projects at Beverly Hills Elementary, Cave Elementary, and Cooper Elementary schools. Notices of Completion were approved by the board in August and September 2006. 10. The district has partially implemented the prior recommendation for all work to be re- quested through a work order, except for health and safety and other emergency work. Ongoing communication with personnel regarding work order input and procedures should continue. 11. The district is revising its board policies and ensuring that all action plan items, including maintenance and work order processes, are encompassed in those policies. However, the updated policies were not available at the time of the review. This item will require fol- low-up in the next review to determine if the board policies were updated to sufficiently address pertinent facilities matters, including maintenance and work order processes. The action plan calls for the manual to address all aspects of Maintenance and Opera- tions, including the work order process. The manual is in draft form. The Director of Maintenance and Operations has sent a memo to all site administrators and informed cus- todians of the process to report facility needs through work orders, with the exception of urgent items (health and safety issues), to ensure issues are addressed promptly. This type of communication should continue to be sent annually, at a minimum, to ensure new and returning school district personnel are aware of the work order system and process. Facilities Management  Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Self-Rating: 6/7 January 25, 2007 Rating: 6 Implementation Scale: 0 Facilities Management 9.1 Instructional Program Issues—Plan for Attractive Landscaped Facilities Professional Standard: The district has developed a plan for attractively landscaped facilities. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has partially developed a plan to improve school site landscaping. The plan will be finalized after most major modernization projects are completed. Standards for landscaping, including an annual assessment, will be included in the manual, which is in final draft form. The current draft does not include landscaping standards. The action plan calls for exploring and expanding opportunities to install and maintain landscaping with the city of Vallejo and the park district. No additional documentation or information was provided regarding progress in this area. 2. The district has not conducted an inventory/assessment to determine the current landscap- ing conditions at individual district sites. However, the modernization program includes plans for site restoration at recently completed sites. 3. The district has not developed the desired standards of landscaping for various types of schools (elementary, junior high, high school, special program sites, etc.) as part of its manual. 4. The district has not measured the findings of the inventory/assessment with the standards developed to determine needs and deficiencies. However, it is committing $40,000 for landscaping and grounds upgrades throughout the district. The Director of Maintenance and Operations has set the expectation that every groundskeeper will identify beautifica- tion projects at school sites. The Director has set aside a portion of the budget annually to fund the projects. 5. The district has not formally developed a broad-based set of potential funding sources to assist in implementing a district landscaping plan. However, the district is identifying both modernization funds and district funds for landscaping needs. 6. The district has not developed a plan to correct any landscaping needs and deficiencies that exist at its school sites. 7. The fiscal impact associated with this plan implementation needs to be considered in the broader context of the district’s facilities-related needs, and in consideration of potential additional staffing requirements within the Grounds Department. However, in recogni- tion of the need to improve its landscaping and grounds, the district added three grounds- keeper positions at the time of the last review, and additional positions since that time. The district now has 17 groundskeeper positions. As of the October 2006 visit, there have been no changes. Facilities Management  Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Self-Rating: 7 January 25, 2007 Rating: 6 Implementation Scale:  Facilities Management Chart of Facilities Management Standards Progress Ratings Toward Implementation of the Improvement Plan Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 1.1 LEGAL STANDARD - SCHOOL SAFETY All school administrators are thor- oughly familiar with the California Department of Education, Civil Defense and Disaster Planning Not Guide for School Officials, 1972. Rated [EC 32000-32004, 32040, 35295- 35297, 38132, 46390-46392, 49505, GC 3100, 8607, CCR Title 5 §550, 560, Title 19 §2400] 1.2 LEGAL STANDARD - SCHOOL SAFETY The district includes the appropri- ate security devices in the design of new buildings as well as in 5 modernized buildings. [EC 32020, 32211, 35294-35294.9, 39670- 39675] 1.3 LEGAL STANDARD - SCHOOL SAFETY The district has developed a plan of security that includes 3 3 4 5 6 adequate measures of safety and protection of people and prop- erty. [EC 32020, 32211, 35294- 35294.9] 1.4 LEGAL STANDARD - SCHOOL SAFETY The district ensures that the custodial and maintenance staffs are regularly informed of restric- tions pertaining to the storage 4 and disposal of flammable or toxic materials. [EC 49341, 49401.5, 49411, F&AC 12981, H&SC 25163, 25500-25520, LC 6360-6363, CCR Title 8 §5194] The identified subset of standards appears in bold print. Facilities Management 33 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 1.5 PROFESSIONAL STANDARD - SCHOOL SAFETY The district has a documented process for issuing master and sub- 4 master keys. A districtwide stan- dardized process for the issuance of keys to employees is followed by all district administrators. 1.6 PROFESSIONAL STANDARD - SCHOOL SAFETY Bus loading and unloading areas, delivery areas, and parking and parent loading/unloading areas are 4 monitored on a regular basis to ensure the safety of the students, staff and community. Students, employees and the public feel safe at all times on school premises. 1.7 PROFESSIONAL STANDARD - SCHOOL SAFETY Outside lighting is properly placed and monitored on a regular basis to ensure the operability/ad- equacy of such lighting and to ensure safety while activities are in progress in the evening hours. 2 Outside lighting provides sufficient illumination to allow for the safe passage of students and the public during after-hours activities. Light- ing also provides security person- nel with sufficient illumination to observe any illegal activities on campus. The identified subset of standards appears in bold print. 34 Facilities Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 1.8 PROFESSIONAL STANDARD - SCHOOL SAFETY The district has a graffiti and vandalism abatement plan that is followed by all district em- 4 4 5 5 6 ployees. The district provides district employees with suf- ficient resources to meet the requirements of the abatement plan. 1.9 LEGAL STANDARD - SCHOOL SAFETY The district has on file written plans describing procedures to be employed in case of emergency. 5 [EC 32000-32004, 32040, 35295- 35297, 38132, 46390-46392, 49505, GC 3100, 8607] [CCR Title 8, §3220] 1.10 LEGAL STANDARD - SCHOOL SAFETY Each elementary and intermedi- ate school in the district conducts a fire drill at least once a month. 4 Each secondary school conducts a fire drill not less than twice every school year. [EC 32000-32004, 32040, CCR Title 5 §550] 1.11 LEGAL STANDARD - SCHOOL SAFETY Maintenance/custodial personnel have knowledge of chemical com- pounds used in school programs that include the potential hazards 3 and shelf life. [EC 49341, 49401.5, 49411, F&AC 12981, H&SC 25163, 25500-25520, LC 6360-6363, CCR Title 8 §5194] The identified subset of standards appears in bold print. Facilities Management 35 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 1.12 LEGAL STANDARD - SCHOOL SAFETY Building examinations are per- formed, and required actions are 4 taken by the Governing Board upon report of unsafe conditions. [EC 17367] 1.13 LEGAL STANDARD - SCHOOL SAFETY Each school that is entirely en- closed by a fence or partial build- ings has a gate of sufficient size to 10 permit the entrance of ambulances, police and fire fighting equipment. Locking devices are designed to permit ready entrance. [EC 32020] 1.14 LEGAL STANDARD - SCHOOL SAFETY Sanitary, neat and clean condi- tions of the school premises 2 3 5 5 6 exist and the premises are free from conditions that would cre- ate a fire hazard. [CCR Title 5 §633] 1.15 LEGAL STANDARD - SCHOOL SAFETY The Injury and Illness Prevention Program (IIPP) requires periodic 6 inspections of facilities to identify conditions. [CCR Title 8 §3203] 1.16 LEGAL STANDARD - SCHOOL SAFETY Appropriate fire extinguishers ex- ist in each building and current 6 inspection information is available. [CCR Title 8 §1922(a)] 1.17 LEGAL STANDARD - SCHOOL SAFETY All exits are free of obstructions. 6 [CCR Title 8 §3219] The identified subset of standards appears in bold print. 36 Facilities Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 1.18 LEGAL STANDARD - SCHOOL SAFETY A comprehensive school safety 4 4 4 6 6 plan exists for the prevention of campus crime and violence. [EC 35294-35294.9] 1.19 LEGAL STANDARD - SCHOOL SAFETY Requirements are followed pertain- ing to underground storage tanks. 8 [H&SC 25292, CCR Title 26 §477, Title 23 § 2610] 1.20 LEGAL STANDARD - SCHOOL SAFETY All asbestos inspection and asbes- tos work completed is performed by Asbestos Hazard Emergency 6 Response Act (AHERA) accredited individuals. [EC 49410.5, 40 CFR Part 763] 1.21 LEGAL STANDARD - SCHOOL SAFETY All playground equipment meets safety code regulations and is inspected in a timely fashion as to ensure the safety of the stu- 6 dents. [EC 44807, GC 810-996.6, H&SC 24450 Chapter 4.5, 115725- 115750, PRC 5411, CCR Title 5 §5552] 1.22 LEGAL STANDARD - SCHOOL SAFETY Safe work practices exist with 6 regard to boiler and fired pressure vessels. [CCR Title 8 §782] 1.23 LEGAL STANDARD - SCHOOL SAFETY The district maintains Materials Safety Data Sheets. [EC 49341, 2 49401.5, 49411, F&AC 12981, LC 6360-6363, CCR Title 8 §5194] The identified subset of standards appears in bold print. Facilities Management 37 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 1.24 PROFESSIONAL STANDARD - SCHOOL SAFETY The district maintains a compre- hensive employee safety program. Employees are made aware of the 3 district safety program and the district provides in-service training to employees on the requirements of the safety program. 1.25 PROFESSIONAL STANDARD - SCHOOL SAFETY The district conducts periodic first 0 aid training for employees as- signed to school sites. 2.1 PROFESSIONAL STANDARD - FA- CILITY PLANNING 3 4 5 5 6 The district has a long-range school facilities master plan. 2.2 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district possesses a California 10 State Department of Education Fa- cilities Planning and Construction Guide (dated 1991). 2.3 PROFESSIONAL STANDARD - FACIL- ITY PLANNING 6 The district seeks state and local funds. 2.4 PROFESSIONAL STANDARD - FACIL- ITY PLANNING 7 The district has a functioning facil- ity planning committee. 2.5 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district has a properly staffed 5 and funded facility planning de- partment. The identified subset of standards appears in bold print. 38 Facilities Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 2.6 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district has developed and 7 implemented an annual capital planning budget. 2.7 LEGAL STANDARD - FACILITY PLAN- NING The district has standards for real 5 property acquisition and disposal. [EC 39006, 17230-17233] 2.8 LEGAL STANDARD - FACILITY PLAN- NING The district seeks and obtains waivers from the State Alloca- 0 tion Board for continued use of any nonconforming facilities. [EC 17284, 17285] 2.9 LEGAL STANDARD - FACILITY PLAN- NING The district has established and 10 utilizes a selection process for the selection of licensed architectural/ engineering services. [GC 17302] 2.10 LEGAL STANDARD - FACILITY PLAN- NING The district assesses its local 10 bonding capacity and monitors its legal bonding limits. [EC 15100, EC 15100, EC 15330] 2.11 PROFESSIONAL STANDARD - FACIL- ITY PLANNING 10 The district has developed a pro- cess to determine debt capacity. 2.12 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district is aware of and moni- 10 tors the assessed valuation of taxable property within its bound- aries. The identified subset of standards appears in bold print. Facilities Management 39 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 2.13 LEGAL STANDARD - FACILITY PLAN- NING The district collects statutory 6 school fees. [EC 17620, GC 65995, 66000] 2.14 PROFESSIONAL STANDARD - FA- CILITY PLANNING 0 1 1 2 3 The district has developed an as- set management plan. 2.15 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district has pursued state funding for joint-use projects 0 through the filing of applications through the Office of Public School Construction and the State Alloca- tion Board. 2.16 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district has established and 7 utilizes an organized methodol- ogy of prioritizing and scheduling projects. 2.17 PR0FESSIONAL STANDARD - FACIL- ITY PLANNING The district complies with Cali- 0 fornia Department of Education (CDE) recommendations relative to school site sizing. 2.18 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district distributes facility 10 funding in an equitable manner to all communities served and to all school levels. The identified subset of standards appears in bold print. 40 Facilities Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 2.19 PROFESSIONAL STANDARD - FACIL- ITY PLANNING A district that has passed a gen- eral obligation bond has created a Citizens Oversight Committee to 10 ensure the appropriateness of ex- penditures related to the passage of the district's local school bond measure. 3.1 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The district has a restricted de- ferred maintenance fund and those funds are expended for mainte- 7 nance purposes only. The deferred maintenance fund is a stand-alone fund reflecting the revenues and expenses for the major mainte- nance projects accomplished dur- ing the year. 3.2 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The district has pursued state funding for deferred maintenance - critical hardship needs by filing 0 an application(s) through the Of- fice of Public School Construction and the State Allocation Board. [State Allocation Board Regulation §1866] The identified subset of standards appears in bold print. Facilities Management 41 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.3 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The district applies to the State Allocation Board for facilities fund- 6 ing for all applicable projects, and consistently reviews and monitors its eligibility for state funding so as to capitalize upon maximal funding opportunities. 3.4 LEGAL STANDARD - FACILITIES IM- PROVEMENT AND MODERNIZATION The district maintains a plan for 6 the maintenance and moderniza- tion of its facilities. [EC 17366] 3.5 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The district establishes and imple- 9 ments interim housing plans for use during the construction phase of modernization projects and/or additions to existing facilities. 3.6 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION 5 The district has established and maintains a system for tracking the progress of individual projects. 3.7 PROFESSIONAL STANDARD - FA- CILITIES IMPROVEMENT AND MODERNIZATION 0 0 2 3 4 Furniture and equipment items are routinely included within the scope of modernization projects. The identified subset of standards appears in bold print. 42 Facilities Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.8 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION Refurbishing, modernization, and 8 new construction projects should take into account technology in- frastructure needs. 3.9 LEGAL STANDARD - FACILITIES IM- PROVEMENT AND MODERNIZATION The district obtains approval of plans and specifications from the Division of the State Architect and 8 the Office of Public School Con- struction (when required) prior to the award of a contract to the low- est responsible bidder. [EC 17263, 17267] 3.10 LEGAL STANDARD - FACILITIES IM- PROVEMENT AND MODERNIZATION All relocatables in use throughout 6 the district meet statutory require- ments. [EC 17292] 3.11 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The annual deferred maintenance contribution is made correctly. 10 The district annually transfers the maximum amount that the district would be eligible for in matching funds from the state. The identified subset of standards appears in bold print. Facilities Management 43 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 3.12 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The district actively manages the deferred maintenance projects. The district reviews the five-year de- ferred maintenance plan annually 7 to remove any completed projects and include any newly eligible projects. The district also verifies that the expenses performed dur- ing the year were included in the state approved five-year deferred maintenance plan. 3.13 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The staff within the district is 5 knowledgeable of procedures within the Office of Public School Construction (OPSC) and the Divi- sion of the State Architect (DSA). 4.1 PROFESSIONAL STANDARD - CON- STRUCTION OF PROJECTS The district maintains an appro- 5 priate structure for the effective management of its construction projects. 4.2 PROFESSIONAL STANDARD - CON- STRUCTION OF PROJECTS Change orders are processed and receive prior approval from re- 8 quired parties before being imple- mented within respective construc- tion projects. 4.3 PROFESSIONAL STANDARD - CON- STRUCTION OF PROJECTS 4 The district maintains appropriate project records and drawings. The identified subset of standards appears in bold print. 44 Facilities Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 4.4 PROFESSIONAL STANDARD - CON- STRUCTION OF PROJECTS 9 Each Inspector of Record (IOR) as- signment is properly approved. 5.1 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CONTRACTING LAWS AND PROCEDURES 7 The district complies with formal bidding procedures. [GC 54202, 54204, PCC 20111] 5.2 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CONTRACTING LAWS AND PROCEDURES 7 The district has a procedure for requests for quotes/proposals. [GC 54202, 54204, PCC 20111] 5.3 PROFESSIONAL STANDARD - COM- PLIANCE WITH PUBLIC CONTRACT- ING LAWS AND PROCEDURES The district maintains files of 7 conflict-of-interest statements and complies with legal requirements. Conflict of interest statements are collected annually and kept on file. 5.4 PROFESSIONAL STANDARD - COM- PLIANCE WITH PUBLIC CONTRACT- ING LAWS AND PROCEDURES The district ensures that bid- 8 dable plans and specifications are developed through its licensed architects/engineers for respective construction projects. 5.5 PROFESSIONAL STANDARD - COM- PLIANCE WITH PUBLIC CONTRACT- ING LAWS AND PROCEDURES 6 The district ensures that requests for progress payments are carefully evaluated. The identified subset of standards appears in bold print. Facilities Management 45 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 5.6 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CONTRACTING LAWS AND PROCEDURES 7 The district maintains contract award/appeal processes. [GC 54202, 54204, PCC 2011] 5.7 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CONTRACTING LAWS AND PROCEDURES The district maintains internal con- 7 trol, security, and confidentiality over the bid submission and award processes. [GC 54202, 54204, PCC 20111] 6.1 PROFESSIONAL STANDARD - SPE- CIAL EDUCATION FACILITIES The district complies with Califor- 6 nia Department of Education (CDE) requirements relative to the provi- sion of Special Education facilities. 6.2 PROFESSIONAL STANDARD - SPE- CIAL EDUCATION FACILITIES The district provides facilities for its special education programs that ensure equity with other educa- 6 tional programs within the district and provide appropriate learning environments in relation to educa- tional program needs. 7.1 PROFESSIONAL STANDARD - IMPLE- MENTATION OF CLASS-SIZE REDUC- TION The district applies for state fund- 10 ing for class size reduction facili- ties. The district applies for class size reduction (CSR) facilities fund- ing annually. The identified subset of standards appears in bold print. 46 Facilities Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 7.2 PROFESSIONAL STANDARD - IMPLE- MENTATION OF CLASS-SIZE REDUC- TION The district has provided adequate 10 facilities for the additional classes resulting from the implementation of class size reduction. 7.3 PROFESSIONAL STANDARD - IMPLE- MENTATION OF CLASS-SIZE REDUC- TION The district has complied with CDE 9 suggested space requirements rela- tive to the provision of educational environments for the implementa- tion of class size reduction. 7.4 PROFESSIONAL STANDARD - IMPLE- MENTATION OF CLASS-SIZE REDUC- TION The district has developed a plan 5 for the provision of permanent facilities in which to house its CSR programs. 8.1 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL An energy conservation policy 2 3 3 3 4 has been approved by the board of education and implemented throughout the district. 8.2 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL The district uses and maintains a system to track utility costs and 5 6 6 7 7 consumption, and to report on the success of the district’s en- ergy program. An energy analysis has been completed for each site. The identified subset of standards appears in bold print. Facilities Management 47 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 8.3 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL Cost-effective, energy-efficient 2 2 2 2 3 design has been made a top pri- ority for all district construction projects. 8.4 PROFESSIONAL STANDARD - FACILI- TIES MAINTENANCE AND CUSTO- DIAL The district has analyzed the pos- 1 sibility of using alternative energy sources as a means of reducing the financial impact of utilities on the district. 8.5 PROFESSIONAL STANDARD - FACILI- TIES MAINTENANCE AND CUSTO- DIAL Adequate maintenance records and reports are kept, including a complete inventory of supplies, materials, tools and equipment. All employees required to perform 5 maintenance on school sites are provided with adequate supplies, equipment and training to perform maintenance tasks in a timely and professional manner. Included in the training is how to inventory supplies and equipment and when to order or replenish them. The identified subset of standards appears in bold print. 48 Facilities Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 8.6 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL Procedures are in place for evalu- ating the work quality of mainte- nance and operations staff. The quality of the work performed by 3 5 6 6 7 the maintenance and operations staff is evaluated on a regular basis using a board-adopted pro- cedure that delineates the areas of evaluation and the types of work to be evaluated. 8.7 PROFESSIONAL STANDARD - FACILI- TIES MAINTENANCE AND CUSTO- DIAL Major areas of custodial and maintenance responsibilities and specific jobs to be performed have been identified. Custodial and 4 maintenance personnel have writ- ten job descriptions that delineate the major areas of responsibili- ties that they will be expected to perform and on which they will be evaluated. 8.8 PROFESSIONAL STANDARD - FACILI- TIES MAINTENANCE AND CUSTO- DIAL Necessary staff, supplies, tools and equipment for the proper care and cleaning of the school(s) are available. In order to meet expec- 4 tations, schools are adequately staffed and staff are provided with the necessary supplies, tools and equipment as well as the training associated with the proper use of such. The identified subset of standards appears in bold print. Facilities Management 49 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 8.9 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL The district has an effective written preventive maintenance program that is scheduled and 0 1 2 2 3 followed by the maintenance staff. This program includes verification of the completion of work by the supervisor of the maintenance staff. 8.10 LEGAL STANDARD - FACILITIES MAINTENANCE AND CUSTODIAL The Governing Board of the district provides clean and oper- able flush toilets for the use of 2 3 4 5 5 pupils. Toilet facilities are ade- quate and maintained. All build- ings and grounds are maintained. [CCR Title 5 § 631, CCR Title 5 14030, EC 17576] 8.11 PROFESSIONAL STANDARD - FACILI- TIES MAINTENANCE AND CUSTO- DIAL The district has implemented a planned program maintenance system that includes an inven- tory of all facilities and equipment 2 that will require maintenance and replacement. Data should include purchase prices, anticipated life expectancies, anticipated replace- ment timelines and budgetary resources necessary to maintain the facilities. 8.12 PROFESSIONAL STANDARD - FACIL- ITIES MAINTENANCE AND CUSTO- DIAL 2 3 4 5 6 The district has a documented pro- cess for assigning routine repair work orders on a priority basis. The identified subset of standards appears in bold print. 50 Facilities Management Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 9.1 PROFESSIONAL STANDARD - IN- STRUCTIONAL PROGRAM ISSUES The district has developed a plan 5 5 5 6 6 for attractively landscaped facili- ties. 9.2 LEGAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES The Governing Board provides a warm, healthful place in which 7 children who bring their own lunches to school may eat their lunch. [EC 17573, CCR Title 5 §14030] 9.3 LEGAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES The district has developed and 7 maintains a plan to ensure equality and equity of its facilities through- out the district. [EC 35293] 9.4 PROFESSIONAL STANDARD - IN- STRUCTIONAL PROGRAM ISSUES All schools have adequate light- 8 ing, electrical service, heating and ventilation. 9.5 LEGAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES Classrooms are free of noise and 6 other barriers to instruction. [EC 32212] 9.6 PROFESSIONAL STANDARD - IN- STRUCTIONAL PROGRAM ISSUES The learning environments provid- 6 ed within respective school sites within the district are conducive to high quality teaching and learning. 10.1 PROFESSIONAL STANDARD - COM- MUNITY USE OF FACILITIES 7 The district has a plan to promote community involvement in schools. The identified subset of standards appears in bold print. Facilities Management 51 Nov. May Nov. May Jan. Standard to be addressed 2004 2005 2005 2006 2007 Rating Rating Rating Rating Rating 10.2 LEGAL STANDARD - COMMUNITY USE OF FACILITIES Education Code Section 38130 establishes terms and conditions of school facility use by community organizations, in the process re- 5 quiring establishment of both “di- rect cost” and “fair market” rental rates, specifying what groups have which priorities and fee schedules. “ 10.3 PROFESSIONAL STANDARD - COM- MUNITY USE OF FACILITIES The district maintains comprehen- 6 sive records and controls on civic center implementation and cash management. 11.1 PROFESSIONAL STANDARD - COM- MUNICATION The district’s public information office coordinates a full apprisal 6 to students, staff and community of the condition of the district’s facilities and of efforts to rectify any substandard conditions. 11.2 PROFESSIONAL STANDARD - COM- MUNICATION The district provides clear and 6 comprehensive communication to staff of its facilities standards and plans. The identified subset of standards appears in bold print. 52 Facilities Management