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 Sixth Progress Report Telephone .............661-636-4611 Fax .............................661-636-4647 Web site ..............www.fcmat.org June 30, 2008 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 Sixth Progress Report June 30, 2008 Submitted by Fiscal Crisis & Management Assistance Team Executive Summary Executive Summary Introduction This report, dated June 30, 2008, is the Sixth 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 of $60 million to the district; the appointment of a State Administrator to govern the district; a comprehensive assessment and the development of an improvement plan in the operational areas of Community Relations/Governance, Personnel, Pupil Achievement, Finance and Facilities; and three six-month progress reports monitoring the progress of the district in implementing the recommendations in the improvement plan. 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 a progress report for the district, and thus, a fourth progress report was issued in January 2007. The 2007 state budget trailer bill provided funds for a fifth progress report for the district which was issued on July 2, 2007. As funds for this Sixth Progress Report have not been appropriated from the state budget, this sixth progress report is being funded by the district. These progress reports provide data to the district, community and legislature to assist the district in achieving fiscal solvency, building capacity to promote student learning, and working toward the return of local governance to the Governing Board. 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 Administrator, FCMAT subsequently identified a subset of standards in each operational area for the district 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 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 1 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. The fourth progress report issued on January 25, 2007 was authorized by language in the 2006 State Budget Act and funded by FCMAT. State funds were provided in the 2007 state budget trailer bill to fund a fifth progress report for the district, dated July 2, 2007. This sixth progress report is being funded by the district. FCMAT assessment teams conducted on-site fieldwork in the district in April and May 2008, meeting with staff, parents and community and board members, preparatory to issuing this progress report. Future progress reports by FCMAT may be commissioned by the district or required by new legislation. District operations have been restored to the local control of the Vallejo City Unified School District Governing Board on an incremental basis over time. In July 2007, the Superintendent of Public Instruction restored the board’s rights, duties and obligations for the areas of Community Relations/Governance, Personnel Management, and Pupil Achievement. This report recommends to the SPI the consideration of the return of the operational area of Facilities Management. 2 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 specified, 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 Achievement, Personnel Management, Financial Management, and Facilities Management. It was the intent of the Legislature that the Governing Board, staff and community of Vallejo City USD fully participate 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 costs of the development of the comprehensive assessment and improvement plan and the first three six-month progress reports were borne by the district. 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 drew down the remaining $10 million of the $60 million authorized loan amount on May 29, 2007, placing the funds in a special reserve fund to be used only for the payment of unresolved audit findings. The district has indicated its plan to pay off this loan within a few years, or earlier, if pending audit findings are resolved. FCMAT’s Fifth Progress Report issued in July 2007 recommended to the Superintendent of Public Instruction the consideration of the return of three operational areas to local control: Community Relations/Governance, Personnel Management and Pupil Achievement. The SPI issued an Executive Order, effective July 13, 2007, to restore the three areas to the Vallejo Executive Summary 3 City USD Governing Board. The district recruited and selected a Superintendent for the three areas returned to local control, and she began her assignment in October 2007. The State Administrator became the state trustee over the three operational areas returned, and remained State Administrator over the two areas remaining under state receivership. This Sixth Progress Report, June 30, 2008 recommends to the Superintendent of Public Instruction the consideration of the return of a fourth operational area to local control, Facilities Management. The district has been under state receivership for four years, as of this report writing. 4 Executive Summary Study Guidelines FCMAT’s approach to implementing the statutory requirements of SB 1190 is based on 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 developed 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 progress reports for the district issued on May 1, 2005 (First Six-Month Progress Report), November 30, 2005 (Second Six-Month Progress Report), May 31, 2006 (Third Six-Month Progress Report), January 25, 2007 (Fourth Progress Report), July 2, 2007 (Fifth Progress Report) and this Sixth Progress Report dated June 30, 2008. 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 implementing external reviews of troubled school districts. These tenets formed the basis of FCMAT’s work in the district. The five basic tenets are as follows: 1. Use of Professional and Legal Standards FCMAT’s experience indicates that for schools and school districts to be successful in pro- gram improvement, the evaluation, design and implementation of improvement plans must be standards-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. To participate in the process of the Vallejo City Unified School District review, potential provid- ers 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. Executive Summary 5 Not Implemented (Scaled Score of 0) There is no significant evidence that the standard is implemented. Partially Implemented (Scaled Score of 1 through 7) A partially implemented standard lacks completeness, and it is met in a limited degree. The degree of completeness varies as defined: 1. Some design or research regarding the standard is in place that supports preliminary development. (Scaled Score of 1) 2. Implementation of the standard is well into the development stage. Appropriate staff is engaged and there is a plan for implementation. (Scaled Score of 2) 3. A plan to address the standard is fully developed, and the standard is in the beginning phase of implementation. (Scaled Score of 3) 4. Staff is engaged in the implementation of most elements of the standard. (Scaled Score of 4) 5. Staff is engaged in the implementation of the standard. All standard elements are developed and are in the implementation phase. (Scaled Score of 5) 6. Elements of the standard are implemented, monitored and becoming systematic. (Scaled Score of 6) 7. All elements of the standard are fully implemented, are being monitored, and appropriate adjustments are taking place. (Scaled Score of 7) Fully Implemented (Scaled Score of 8-10) A fully implemented standard is complete relative to the following criteria. 8. All elements of the standard are fully and substantially implemented and are sustainable. (Scaled Score of 8) 9. All elements of the standard are fully and substantially implemented and have been sustained for a full school year. (Scaled Score of 9) 10. All elements of the standard are fully implemented, are being sustained with high quality, are being refined, and have a process for ongoing evaluation. (Scaled Score of 10) 2. Conduct an External and Independent Assessment FCMAT employed an external and independent assessment process in the development of the Vallejo City Unified School District assessment and improvement plans. FCMAT’s reports represent findings and improvement plans based on the external and independent assessments from various professional agencies. The following agencies assisted in the November 1, 2004 comprehensive 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, the January 25, 2007 Fourth Progress Report, the July 2, 2007 Fifth Progress Report and this June 30, 2008 Sixth Progress Report. • California School Boards Association (CSBA) – Community Relations/Governance • School Services of California (SSC) – Personnel Management • Community Training and Assistance Center (CTAC) – Pupil Achievement • Fiscal Crisis and Management Assistance Team (FCMAT) – Financial Management • School Services of California (SSC) – Facilities Management 6 Executive Summary 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. 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 criti- cal 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 depend on an effective professional development process. For this reason, the empowerment of staff and community is one of the highest priorities, and emphasizing this prior- ity 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 national concern. A key to success in any school district is the re-engagement of parents, teachers, and support staff. Parents care deeply about their chil- dren’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 com- munity 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-recog- nized 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 7 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, Ed.D., Chief Management Analyst, FCMAT Laura Haywood, Public Information Specialist, FCMAT For the California School Boards Association – Community Relations/Governance Scott Plotkin, Executive Director, CSBA Ben Bartos, Research Consultant, CSBA Martin Gonzalez, Assistant Executive Director, Governance & Policy Services, CSBA Diane Greene, Senior Consultant/Writer, CSBA Cherise Revell, Program Specialist, CSBA For the Community Training and Assistance Center – Pupil Achievement Maribeth Smith, Senior Associate, National School Reform, CTAC Sara Accornero, Consultant, California English Language Learners, CTAC Cynthia LeBlanc, Senior Associate, National School Reform, CTAC For School Services of California – Personnel Management Sheila Vickers, Associate Vice President, SSC Deberie Gomez, SSC Consultant, Human Resources For the Fiscal Crisis and Management Assistance Team – Financial Management Michelle Plumbtree, Chief Management Analyst, FCMAT Barbara Dean, Deputy Administrative Officer, FCMAT Anthony Bridges, Deputy Executive Officer, FCMAT Debi Deal, Fiscal Intervention Specialist, FCMAT Diane Branham, Fiscal Intervention Specialist, FCMAT Andrew Prestage, Management Analyst, FCMAT For School Services of California – Facilities Management Ron Bennett, President and CEO, SSC Maureen Evans, Associate Vice President, SSC Kathleen O’Sullivan, Consulting Coordinator, SSC 8 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 find- ings that are presented in greater detail in later sections of this report. This June 30, 2008 Sixth Progress Report represents data collection and analysis at a specific point in time. FCMAT review teams visited the district in April and May 2008. This report was distributed to the Vallejo City Unified School District and the Superintendent of Public Instruction on June 30, 2008. 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 continued to make progress in all five of the district’s operational areas under review. In the Fourth Progress Report issued in January 2007, two of the five operational areas, Community Relations/Governance and Pupil Achievement, met the established criteria of an average rating in the operational area of 6.0 on a scale of 1-10, with no individual standard rated less than a 4. FCMAT recommended in the January 2007 report that those two areas could be considered by the Superintendent of Public Instruction (SPI) for return to local governance. In the July 2007 Fifth Progress Report, the operational area of Personnel Management met the criteria and was also recommended to the SPI for consideration for return. The Superintendent of Public Instruction issued an Executive Order, effective July 13, 2007, that restored the Vallejo City USD Governing Board’s rights, duties and obligations for the three operational areas of Community Relations/Governance, Pupil Achievement and Personnel Management. The SPI authorized the hiring of a district superintendent. The State Administrator acts as the State Trustee in these three areas with veto power over any decision that has a fiscal impact. The State Administrator continues to have oversight of the facilities and fiscal functions. In this Sixth Progress Report, a fourth operational area, Facilities Management, has met the established criteria. FCMAT recommends to the Superintendent of Public Instruction that this fourth operational area also be considered for return to local governance. The fifth and final operational area, Financial Management, has made significant improvement since 2004, but has not yet met the established criteria for a recommendation for return to local governance. The district should request a FCMAT review of this last operational area in six to 12 months to determine its readiness for return to local control. The district has made positive gains in several areas as noted below. 1. The district continues to focus on improving student achievement and addressing the needs of the lowest performing students. The number of students performing at proficient and above on the California Standards Test in English language arts and mathematics has increased. The English learner program met all of its Annual Measurable Achievement Objectives (AMAOs) under NCLB. Executive Summary 9 2. Processes have been developed to regularly review student attendance, suspension, and expulsion data. The district has implemented intervention classes in secondary schools by working with the course master schedules. The district has selected a student behavior program that emphasizes problem-solving skills (Second Step) to use throughout the district K-8 and begun training of teaching staff. 3. The district continues to monitor student enrollment and attendance data, but should update this information more frequently. The process for recruitment of teachers for the new school year is well defined. 4. Communication outreach to parents and community continues to be positive and extensive. The district has expanded its use of its telephone call-out system and developed a plan to refine and improve the district Web site. A proactive media strategy has been maintained, and community partnerships have been expanded. 5. Good working relationships have been maintained between the advisory board and the State Administrator and between the district and the community. A district Superintendent was hired in October 2007, and a positive working relationship has been developed between the board members and the Superintendent. 6. The move of the district office operations to the renovated Mare Island facility has been positive and centralized a number of support services in one location. District office staff morale has increased, and staff and student services are more efficiently being provided to the school sites. 7. The district continues to make progress in implementing the district’s fiscal recovery plan, reducing expenditures to expected revenues, and strengthening internal control procedures. The required 3% reserve was achieved in the 2007-08 budget. Staff capacity to maintain this progress is being developed. Areas Requiring Continued Attention 1. The district updates board policies incrementally and develops written operating procedures to provide the necessary operational guidance for staff. However, all board policies need to be made current as soon as possible. 2. The finance and facilities areas were reorganized under a new administrator last year. Several employees in these two operational areas are new to their positions, and processes and procedures have not yet become systematic. Continued training to support these employees in their new roles, and other employees, is needed to sustain the progress made by the district in these two areas. 3. The district should provide additional explanatory information in its multiyear projection assumption narratives, such as future enrollment/ADA estimates, teacher staffing, step and column, changes in property and liability insurance, workers’ compensation and utilities. 4. The district needs to forecast and verify revenue and expenditure budgets monthly 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. 5. The district should adhere to its plan to pay off as soon as possible the additional $10 million of authorized state loan funds drawn down in June 2007 to address pending unresolved audit findings. 10 Executive Summary 6. Facilities areas to address include ensuring sustainability of the improvements made in addressing site health and safety issues; completion of written procedural manuals, documents and board policies; monitoring the work order system; and maintaining open communications among central office departments and sites. 7. Individual district departments must recognize that interdepartmental collaboration and horizontal work are necessary to the continued success of the district in regaining local governance. A summary of the findings of the review teams’ on-site visits for this June 2008 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. Executive Summary 11 12 Executive Summary Community Relations/Governance Since the last progress report in July 2007, the board has hired a Superintendent and has demon- strated a commitment to maintaining the continuity of the goals and strategies in this operational area. Engaging more parents, community members, civic groups and other partners continues as a top district priority. The district also continues to work to improve school climate. The district must continue to focus on internal communications, including specific communications between district office departments and school sites. Communications The new Superintendent has made it a priority to visit school sites to meet with teachers, staff, and principals. Expanding this type of opportunity for two-way communications is a good first step to assess, analyze, and improve the district culture. The district has expanded the use of its telephone call-out system, and developed a plan to refine and improve the district Web site by decentralizing responsibility for its content, allowing indi- vidual departments to update information more frequently. A proactive media strategy, including outreach to the local reporters about district events, has been maintained as a part of the district’s communications plan. Parent/Community Relations The board and Superintendent have made parent engagement a district priority, and efforts are under way to create a formal, written plan and identify specific tactics and strategies to engage parents, including a structured volunteerism program. Recent community and staff forums have been well attended, and have engaged members of the community who previously had not been involved in the district. The higher turnout at these forums has also given the board another way to receive public input and demonstrate its commitment to community engagement and respon- sible stewardship of the district. Community Collaboratives, District Advisory Committees, School Site Councils The district leadership and members of the Governing Board have continued to strengthen ties to the community, including relationships with the Chamber of Commerce and local businesses, Leadership Vallejo, McKenna Education, Omega Boys and Girls Club, and new participation in the Martin Luther King Jr. Day Parade. Both the board and Superintendent acknowledge a desire to involve more parents and increase the diversity of the group of parents involved in volunteer activities, district and site committees and councils, and parent-teacher organizations. To achieve this goal, the district may need to address issues of child care, translation services, and trans- portation to ensure that parents who have not traditionally been involved in the district have the means to participate. Policy The district has continued to adopt policies since the last progress report, but a more systematic methodology for examining both mandated policies and locally identified needs and issues is recommended. As the district develops its new plan to engage staff stakeholders in identifying policies for review, it should make use of the sample policy service it subscribes to as a guide for revisions. The district should continue to critically examine the procedures and forms that are associated with its policies, and continue to use the district Web site as a resource for parents and community members to access the policy manual. Executive Summary 13 Board Roles/Boardsmanship The relationship between the board and Superintendent appears to be strongly collaborative. The board maintains its belief that the district’s vision and mission drive the actions and tactics undertaken by staff. Since the last progress report, the district has continued to integrate training workshops into public meetings, allowing for exploration of a topic in a setting where both the public and board members have access to the information. In the past several months, such sessions have occurred on the budget and on the a-g academic requirements for high schools. The board appears comfortable in resuming the role of adopting policy, and voted to affirm the budget options to demonstrate its support and understanding of the fiscal decisions being made. Board Meetings Members of the board have acknowledged their role in setting the tone for meetings. Board meetings have continued to focus on substantive issues such as budget options and the academic achievement of students. The agendas for board meetings continue to include information linking items to the key district goals. Board members indicated that sufficient background materials are generally included in agenda packets, and that the type of data and analysis provided during presentations is generally of high quality. Thoughtful questions are being raised by board members, with a desire for openness of information and transparent decision-making for the public. 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 July 2007 7.82 June 2008 8.12 None of these 17 standards has a rating below a 4. The Superintendent of Public Instruction returned this operational area to local board governance in July 2007. 14 Executive Summary Personnel Management Two of the four HR administrators were new to their positions as of early 2007. Any change in key leadership positions will affect how the HR Department operates and how it relates to the rest of the district’s operations. Organization and Planning The board policies affecting personnel operations, such as the delivery of HR services, roles, pro- cesses for employment, and employee discipline and dismissal, have been adopted by the board. During the last 12 months, no additional policies in the 4000 series were revised and board approved. A cycle of review should be developed to systematically and continuously review and revise policies as necessary. The desk manuals continue to be a priority, and many of them are almost complete. The annual calendar was not revised at the beginning of the school year as stated in the HR Operational Procedures Manual. Staff reported less use of the annual calendar, and operational meetings were not held monthly to review the activities in HR. Maintaining the annual calendar is a best prac- tice and should once again become an important department focus. Backup training continues to be a priority, and HR staff members believe that at least the critical functions can be covered in their absence. Internal and External Communications HR continues to post updated information to the district’s Web site for internal and external use. Horizontal communications are no longer emphasized throughout the district. Departmental teamwork, communications, and staff efficiency appear to have suffered, as staff meetings are not held regularly. At a time of significant leadership change and budget cuts, some of which will affect HR, the lack of formal communications and opportunity for input have affected team work and efficiency. Employee Recruitment and Selection Teacher recruitment was greatly affected by the budget uncertainty. HR revised the recruitment plan with less horizontal involvement of other divisions. It has been difficult for HR to engage in the layoff of teachers for budget reductions while still carrying out recruitment activities for hard-to-fill subject areas. Only four job fairs were targeted. Budget uncertainty delayed staffing and thus delayed contract offers, resulting in the district being positioned to make very late job offers. The district must continue to develop an annual recruitment plan even in years of lean recruiting and budget uncertainty, and must retain ideas for recruitment efforts for times when it will be necessary to once again compete for teachers in an active marketplace. The Credentials Technician continued to conduct the credentials audits using data from Aeries and matching it by hand to a credentials report. She is unaware of any progress toward an auto- mated California Educational Computer Consortium (CECC) module for this purpose. The Williams audit was completed, and work toward 100% compliance with No Child Left Behind (NCLB) requirements has been taken over by the Credentials Technician. Executive Summary 15 Operational Procedures Most job descriptions were completed in the new format. There is an established procedure for updating job descriptions, and a tracking mechanism was developed to maintain the updated information. Cross-training in the HR Department is continuing, and one version of the organi- zational chart lists the backups for each position by name. The process of staffing schools for the next year has involved HR, curriculum and fiscal staff working together to determine staffing needs, implement the recruitment process, and balance the staffing allocations against budget and position control. The district has continued to follow the detailed procedures established in 2005 for staffing and recruitment and continues to train the staff members involved so that the process can be followed each year. Use of Technology The district’s core financial and HR system resides on two different platforms and is not inte- grated. This requires duplicate data entry and manual reconciliations. The district needs to con- tinue to pursue upgrades to the CECC system so that all modules are integrated. In addition, the district is looking to the CECC to provide modules to automate personnel requisitions, employee leave usage, and other essential functions. HR has almost completed the conversion of its spreadsheet-based applicant tracking system to a Web-based system through EdJoin. Most applications are now electronic, and some hiring managers have been trained to use the paperless screening process. HR has included technol- ogy training in its department staff development plan and has provided opportunities for staff to receive training on the systems and reports in use. The posting of employee leave usage to update leave balances in the system is still done manu- ally, and the leave balances are a month or more behind. The Business Division is considering the possibility of implementing a new module in the financial system that would automate the leave accrual and usage posting processes. Evaluation and Due Process Using the CECC system, employee evaluations for both certificated and classified staff are being monitored, and the evaluation data are being maintained. Lists of employees to be evaluated are sent to managers, and reminder memorandums ensure that the process continues. HR has contin- ued to provide managers with both certificated and classified evaluation training, and continues to provide administrators with a revised handbook titled The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. Employer/Employee Relations The district has had closed contracts with its bargaining units since 2005, and these expire at the end of the current year. The district began the collective bargaining process in mid winter for successor contracts with both units. The district used the work done in 2005 to prepare proposed language for articles in the contract and established article review committees. The district continues to hold monthly communications meetings with each unit. These meetings are a forum to discuss current and upcoming events and issues, keep the lines of communication open, and resolve issues that arise so that the impact on employees, programs, and students is minimized. Proposals for the VEA contract were presented in March, and bargaining began in April. 16 Executive Summary HR continues to provide training to managers on addressing grievances at the lowest level, evaluation of certificated and classified staff, and other components of contract management. Implementing the Standards The HR Department should view the FCMAT standards as best practices that all HR Depart- ments in school agencies should have in place. These best practices should be internalized and made the focus of everyday operations instead of being addressed before each FCMAT visit. The HR staff members need to internalize these best practices as their own. In Summary The review of Personnel Management included the assessment of a selected subset of 35 profes- sional 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 July 2007 7.20 June 2008 7.40 None of these 35 standards has a rating below a 4. The Superintendent of Public Instruction returned this operational area to local board governance in July 2007. Executive Summary 17 Pupil Achievement Overview of the Reform In four years, the district has shown steady improvement in addressing the pupil achievement standards for planning processes, curriculum, instructional strategies, assessment and accountability, and professional development. At the time of the original FCMAT assessment in fall 2004, the focus, coherence, and results of a quality instructional division were lacking. Many positions in the instructional division were either open or held by interim staff. Schools were seriously affected by lack of district leadership. Texts were not current or adequate, and professional development funded by state grants for teachers and principals had not been applied for and provided. The district’s Academic Achievement and Accountability Division began creating an instructional structure. The reform centered on aligning school programs and classroom instruction with state standards and research-based practices, including aligned texts, materials, pacing guides, and formative assessments linked with a focused professional development agenda. Other initiatives and strategies have been added over time, including learning communities and increased graduation requirements and systematic interventions for students performing below standard. At the district level, the division produced: (1) the Vallejo Instructional Action Plan, which outlines the vision, direction, and actions to be taken in the interest of student performance; (2) a written organizational chart with new job descriptions and lines of supervision and reporting for the district staff; (3) high school course descriptions and graduation requirements; (4) a new Master Plan for English Language Learners; (5) PI Corrective Action Plans in conjunction with SAIT consultants; (6) a modified protocol for the Single School Plans; (7) a document explaining the basis and process of principal evaluation; and (8) descriptions for students and parents of behavior expectations along with processes to support them. Policy revision has been slow, but seven new policies related to pupil achievement have been approved. Student Access and Opportunities to Learn The district was identified as a Title I Improvement district and developed corrective action plans that focused and accelerated the earlier work that had begun implementing universal access time in elementary schools and addressing the qualifications of all teachers to work effectively with English learners. Secondary schools, special education students, programs and teachers were included in the reform. The district created a system to collect data on and analyze critical student and student-related behaviors such as regular attendance, classroom engagement, discipline, dropouts, and health and safety issues, that disproportionately affected the lowest achieving students. A climate planning team assisted in refining the student discipline data base so that schools can intervene more timely; creating a theory of action about the district’s role in school culture and climate; developing a climate assessment survey and rating system; and selecting and beginning training for the implementation of a student behavior program. Student Achievement The three years of California Standards Test (CST) data available (2005, 2006, 2007) show small, overall gains, plateaus, and losses in the districtwide percentage of students meeting or exceeding the state standards in reading/English language arts and mathematics, with considerable variation at school, grade, and subgroup levels. 18 Executive Summary Districtwide Percentage of Students Proficient and Advanced 2004 2005 2006 2007 English Language Arts, Grades 2-11 27.7% 31.6% 32.6% 32.6% Mathematics, Grades 2-7 and End-of-Course 21.3% 26.6% 29.6% 28.3% The achievement gap that affects African American, low income, and special education students persists, except in a few schools that are making notable growth with all groups on the CST. District assessments compare cohorts rather than individual students. An analysis of scale scores using a student growth model that accounts for changes in student demographics, teacher qualifications, and other variables would present a clearer achievement picture. The percentage of students needing secondary school interventions in the coming year continues to decline. The data indicate that the English learner program is addressing language acquisition in the district, meeting all three Annual Measurable Achievement Objectives (AMAOs), as required by NCLB, in 2007. As the reform shifts into another phase under new leadership, it will be important to continue to improve the quality of data and data analysis and provide teachers and principals with tools to make good decisions on behalf of students. Accountability for All Leadership in the district and schools has been critical to creating an instructional program. It has been evident in the consistency of message, the focused curriculum and instructional choices, the ready use of the available data in improvement decisions, the partnership between district and site administration, and the ongoing assessment and reflection that is built into district routines. At the board level, support for accountability comes in the form of clear, written expectations that describe what is expected from students and adults in the school system (vision, goals, standards, plans, policies and regulations) coupled with the expectation that they will be monitored, evaluated, updated, and corrected as needed. 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 July 2007 7.61 June 2008 7.74 None of these standards has a rating below a 4. The Superintendent of Public Instruction returned this operational area to local board governance in July 2007. Executive Summary 19 Financial Management Internal Control Environment The Business Services Department continues to make changes to improve efficiency and the work environment. The department has updated the organizational chart to reflect that the Director of Audit and Compliance has oversight responsibility for the Risk Management Unit. The Chief Financial Officer has the direct line of authority for budget and business operations. This structure appears to have improved operations and helped to increase teamwork in the department. Although some payroll errors continue to be reported, there has been significant improvement in this area. Inter- and Intra-Departmental Communications Work continues on new procedural manuals and other resources for business-related functions and departments. The employees expected to follow procedures should receive training and/ or attend a meeting in which procedures are reviewed before being held accountable for implementing them. Training should be provided for all new procedures that are sent to sites or departments to ensure that they are understood. Customers of the Business Services and Operations Department indicated they aren’t aware of many of the procedures and policies being developed. A system is still needed to increase awareness of these procedures. Site managers need additional training and communication on the budget process to better utilize the Financial 2000 system. A new reporting tool in the system, EduReports, will be made available to all sites and departments in the 2008-09 year and will allow a wider range of data to be run. Training must occur at all sites and departments for all levels of employees that will utilize the new system/reports. Board and Community Communications The district has continued to provide the board and other stakeholders with more thorough nar ratives to accompany the SACS reports than in prior years. For the past year and a half, PowerPoint presenta tions have been clear, detailed and more useful. A review of financial docu- ments continues to find that much additional detail has been included. However, the assumptions provided cover only the budget and not the multiyear projections contained as part of the budget. Adequate, easily understood information should accompany all business-related items submitted to the board. The board members interviewed seemed comfortable with the timeliness, under- standable format and communication concerning business related items. Internal Audit Internal accounting controls have improved, but are not yet fully implemented. Site audits are being conducted of student body funds, instructional minutes, independent study and kindergar- ten retentions. Internal audits should begin early each fiscal year, and results should be commu- nicated to sites immediately so that corrective action can be taken and problems resolved as they occur. Correspondence from the county office indicates that there are several concerns with the required state financial reporting documents. Several staff members are new to school business and would benefit from additional training in school finance and state reporting procedures. Several policies and procedures have been implemented to address audit findings, reduce the number of annual audit findings and reduce the financial impact of prior years’ audit findings. The Internal Auditor has issued procedural manuals and instructions for student attendance 20 Executive Summary and cash handling, and district office and site staffs have been trained in internal control policies in these operational areas. Annual instructional minutes are reviewed by the Assistant Superintendent of Academic Achievement and Accountability to ensure compliance. These calculations also should be reviewed for accuracy by the business office before the start of the school year, and the district should monitor the bell schedules throughout the year to avoid future audit findings in this area. Budget Development and Finance The district developed a budget planning and implementation model in 2005-06 intended to build collaboration among the business office, human resources, departments and sites. However, the model has not become standard practice during budget development/ adoption or interim report- ing periods. School site administrators are not involved in budget development each spring and are left to accept the budgets that have been developed by the business office. Newer members of the business office staff are skilled in accounting practices. However, some lack the experience to understand that budgeting for programs and school sites needs to allow for flexibility for achieving goals and objectives, unforeseen problems, and economic factors that can affect a responsible fiscal plan. The business office is working hard to meet financial reporting deadlines. However, some reports contain material differences from what the available data suggests. Meeting the reporting requirements but not ensuring accurate/up-to-date information is not acceptable. Multiyear Projections The district has continued to prepare the required multiyear projections as part of the statutory requirements, such as for interim reports and adopted budgets, using both Budget Explorer and the California Department of Education’s SACS software. Multiyear projection information should be provided more frequently while the district’s fiscal health is being restored. The board must understand the impact of all its fiscal decisions and their effect on the budget in future years. The district’s Multiyear Fiscal Recovery Plan 2004-2012 has been approved by the State Super- intendent of Public Instruction. The plan is one of the requirements for the district to regain local control. It also helps provide the blueprint for regaining, retaining and ensuring the district’s fiscal solvency. The 2007-08 multiyear projections reviewed by FCMAT indicate that the district will be able to maintain the required reserve in subsequent years (2008-09 and 2009-10) without specifyi ng the specific budget adjustments that will be necessary to maintain it. Instead, budget adjustments are entered into the MYP so that the bottom line reflects the targeted number needed to maintain the state required 3% reserve. The projection’s assumptions state that the district will reduce opera- tional deficits annually in general areas without identifying the specific cuts or enhancem ents. Although the uncertainty of the state budget makes this more difficult to do, multiyear projec- tions should identify the specific approved expenditure reductions or revenue enhancement that will be necessary to achieve the specific fund balance. Executive Summary 21 Instead of continuing to maintain two separate multiyear projections in two different software programs, the district should consider using only one. The SACS module is not mandated by the state, and many county offices such as Solano do not mandate use of only the SACS version since other options are available. The district should consider using only Budget Explorer for both the recovery plan and the projections submitted with SACS reports. This will make it easier to ensure one projection is complete instead of requiring the district to monitor two separate databases that do not correl ate well. Attendance Accounting The district continues to implement a monthly audit checklist for the school site staff to com- plete to help ensure proper attendance reporting. Attendance accounting training was provided in 2007-08 to site attendance clerks. The district should continue to conduct annual attendance training prior to the beginning of each school year and require all attendance clerks to attend. The student attendance office should investigate attendance variances monthly and ensure that the Business Services Department is provided with all information regarding variances and dis crepancies so that timely budget adjustments can be made when necessary. Audit findings related to student attendance accounting continue to be a concern. The district’s 2007-08 ratio of average daily attendance (ADA) to enrollment has dropped by .69% compared to 2006-07. This equates to a loss in revenue limit funding of more than $660,000 in addition to losses in revenue for other programs that are funded based on ADA. The district should refocus its efforts toward increasing the ADA to enrollment ratio. Accounting, Purchasing, and Warehousing The 2005-06 independent audit report prepared by the State Controller’s Office contained 49 findings. Several of these findings were also included in the 2004-05 audit and had either not been implemented or were partially implemented in 2005-06. The audit report for 2006-07 was not completed for FCMAT’s review during the May 2008 fieldwork. District staff members continue to address audit findings and implement new procedures. Cash handling procedures should continue to be monitored periodically throughout the year to ensure that established procedures are being followed. School site staff members should be provided with mandatory training and updated procedure manuals for associated student body (ASB) funds annually. Continued deficit spending patterns, declining enrollment and current state budget issues require the district and community to continue their efforts to monitor the district’s financial health and modify the financial recovery plan as needed. Careful attention needs to be paid to accurately forecasting cash requirements, revenue and expenditures. These forecasts should be reviewed and updated monthly. A complete payroll audit should be performed at least twice per fiscal year, and a random sam ple of audit procedures should be taken at each payroll period to help ensure accuracy. Each payroll should be verified by payroll staff utilizing a cross-check and balance system before the audit review by management staff. 22 Executive Summary The overpayment collection process has improved, but is not yet perfected. A defined process and procedure needs to be implemented and used, including legal action if necessary, to appro- priately track and collect all overpayments to employees. Long-Term Debt Obligations The district received an Actuarial Analysis of Retiree Health Benefits as of January 1, 2008 from Steven T. Itelson, enrolled actuary on April 21, 2008. The valuation results included mul- tiple scenarios, including reorganizing the Annual Required Contribution (ARC) in accordance with GASB Statement No. 45. As of July 1, 2008, the ARC is $2,848,000. The total cost of $2,848,000 is computed as 3.48% of payroll for actuarial purposes. The Actuarial Accrued Liability (AAL) including interest as of January 1, 2008 is $27,551,000, which includes $7,993,000 for current retirees and $19,558,000 for current employees. There were no reserves projected for retiree health benefits as of June 30, 2008. Collective Bargaining The district’s current three-year collective bargaining agreement included midyear implementa- tion of salary compensation, identified savings by capping health and welfare benefits, and limited accumulation and payment of excess vacation benefits. The agreements conclude on June 30, 2008. The district is in the process of negotiating new collective bargaining agreements with each respective unit, and no final resolution had been identified at the time of this report. Operational Fiscal Controls As a budget planning tool, the district has completed a claims cost projection analysis for the 2008-09 fiscal year. The district’s projected Workers’ Compensation insurance premium for the 2008-09 budget is projected at a low range of $2,918,000 to a high range of $3,616,000. District personnel continue to receive technical training in self-insurance, understanding actuarial data, claims processing, subrogation recoveries, and reinsurance claims. The district has utilized a third party broker to assist and train the staff. The duties and responsibilities for risk manage- ment functions have been moved from the Personnel Department to the Business Department. The district conducted and completed an asset inventory and valuation project for all capital assets in June 2007. The appraisal report was completed by Maximus Asset Management Ser- vices and accounts for all capital assets by fund and account as of June 30, 2007. GASB 34 requires the district to maintain complete and current fixed asset records for accounting purposes. Board polices were established to ensure that the district’s accounting records correctly reflect the district’s current assets and their value and include an annual inventory and sign-off by each site as well as year-end certification to verify the location of fixed assets. Site principals will be provided with a computerized detailed printout of all fixed assets. Special Education The Special Education Director participated in the budget development process for 2008-09 and projects reduced costs for special education based on declining special education enrollment. The Business Services Department is responsible for preparing maintenance-of-effort (MOE) reports. The Special Education Director should review the report before filing to help ensure accuracy. The MOE report should be completed at each interim reporting period to help ensure that the requirements are being met. Executive Summary 23 Management Information Systems The district recruited a new Director of Technology and Information Services (TIS) in October 2007. The district’s acceptable usage policy (AUP) continues to be out of date and has not been signed by all employees. The AUP should be updated, and every staff member should be required to sign the updated document. A district employee maintains and submits all E-Rate funding documentation. The district should consider contracting with an external E-Rate consultant for support in application, documentat ion, and funding efforts. Staff Professional Development All employees working in the Business Services and Operations Department should continue to attend workshops related to their duties whether they are new to the job or need a refresher course. An annual staff development plan needs to be implemented for nonbusiness-department person- nel so that departments and sites are updated on changes in business procedures and the applica- tion of routine internal control processes. The district should communicate changes in business services policies and procedures by offeri ng in-service training before each school year begins. This would help ensure that the staff at sites and departments understand and properly implement ongoing, new and changed policies, procedures and forms. At present, it appears that some train- ing occurs before the school year starts for administrators, but does not occur for other employ- ees, except for spec ialized occurrences. In Summary The review of Financial Management included the assessment of a selected subset of 39 profes- sional 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 July 2007 5.28 June 2008 5.77 None of these 39 standards has a rating below a 4. Although significant improvement has occurred in this operational area, the average of the identified standards has not yet met the estab- lished criteria of a 6.0 and thus is not being recommended for return to local governance at this time. 24 Executive Summary Facilities Management The organizational structure of the Facilities, Maintenance and Operations division changed soon after the last FCMAT site visit in 2007. At the time of the FCMAT site visit in May 2008, the new organiza- tional structure had been in place for a little more than a year. The two Facilities Coordinator posi- tions created as part of the restructuring are responsible for all functional departments in the division, including facilities, maintenance, operations, and grounds. The employees promoted to these positions have worked together to improve division support services. Custodial staffing has been added to school sites to provide for daily cleaning. District staff also developed custodial standards for cleaning, and a new custodial staffing and scheduling system and training program. Documentation of Policies, Procedures, and Processes The district adopted several board policies and administrative regulations just before the last facilities review in 2007. Since then, no new policies or regulations have been adopted related to Facilities, Maintenance, and Operations. Many board policies and administrative regulations still need to be updated to reflect the new department positions. The six policies and regulations adopted in April 2007 still have not been numbered, and the district indicated this would be completed once all policies and regulations are updated and adopted. The district’s action plan calls for the development of a comprehensive manual for Facilities, Maintenance, and Operations which was completed on April 17, 2007. If the manual is to be maintained as a comprehensive document for the department, it must be reviewed and updated annually. In the last facilities review, its contents still had not been discussed or negotiated with the classified bargaining unit. Communication between Central Office Departments Communication with the sites regarding work orders has improved because of changes to the work-order management system. This has reduced the frustration of many principals in trying to ensure that requested work was scheduled and performed. It is important to ensure that the work- order process and work completion continues to improve with the changes in the Maintenance Department’s structure. Completion of several board policies, administrative regulations, and the maintenance and operations manual should help formalize the frequency, nature, and format of interdepartmental communications. Processes should be documented and formalized to ensure timely and ongoing communication between other central office departments and sites so that facility issues are addressed promptly. Communication between Schools and Central Office There has been an effort to improve communication between school sites and the Maintenance and Operations Department. Some sites still complain that work orders, e-mails, and voice mails are not answered promptly or not at all, but these complaints were minimal during the latest May 2008 visit. The district upgraded its work order/preventive maintenance system, archived old data, and reduced the backlog on work orders. This increased the system’s speed and simplified the review of work order status for the site staff. Feedback from site administrators regarding the system upgrade has been positive. In addition, the upgraded system helps the district better manage facilities and reduces the number of repairs needed and work orders submitted. The district planned to implement the preventive maintenance crew concept beginning June 1, 2007, however, actual implementation did not begin until November 2007. Executive Summary 25 Fire, Health, and Safety Issues at School Sites Prior reviews noted a major improvement regarding fire extinguishers. The visited sites had only a few expired fire extinguishers, virtually all classrooms had extinguishers, and access to this equipment was clear. Performance essentially has been maintained since the district contracted for a fire life safety survey. The district staff indicated that head custodians are required to per- form a monthly inspection of fire extinguishers and submit an inspection report. The district is working on a process to ensure that inspections are made and reports submitted to the district office. The district has a vendor contract to ensure that all safety systems (clocks, bells, alarms) operate properly, and repairs are made as necessary. The district is transitioning to a system of self-main- tenance as it updates safety systems. While the district still needs to make improvements, the number of sites with issues and the fre- quency of violations at sites have decreased. As the district formalizes and implements operating procedures, ongoing improvement is expected. With the reorganization in Maintenance, Opera- tions, Grounds and Facilities, the district needs to ensure that progress continues. Facilities Planning The district previously conducted an in-house facilities inventory and developed a multiphase facilities master plan. The facilities plan calls for improvements to various schools throughout the district and 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 its facilities master plan. As part of its recovery plan, the district plans to sell properties with entitlements and use the pro- ceeds to repay the state loan and offset general fund deficit spending. The district has confirmed the appropriate uses of proceeds from the sale/lease of its property and is confident in making long-term commitments. In Summary The review of Facilities Management included the assessment of a selected subset of 15 profes- sional 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 July 2007 5.80 June 2008 6.27 None of these 15 standards has a rating below a 4. The operational area of Facilities Manage- ment has met the established criteria of an average of 6.0 with no individual standard less than a 4. FCMAT thus recommends to the Superintendent of Public Instruction the consideration of the return of this operational area to local governance. 26 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 admin- istrator designee shall continue until the SPI determines that the conditions of the law are satis- fied. 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 27 The improvement plan for personnel management shall include training for members of the Governing Board, the superintendent and district staff. 2. Based on 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 10 (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, 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 identi- fied 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 on 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. 28 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 identi- fied 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 Admin- istrator, 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 Superinten- dent 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 mea- sured over each six-month period of review. Executive Summary 29 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. July 2, 2007: Community Relations/Governance: average rating 7.82, with 0 standards under a 4. Personnel Management: average rating 7.20, with 0 standards under a 4. Pupil Achievement: average rating 7.61, with 0 standards under a 4. Financial Management: average rating 5.28, with 1 standard under a 4. Facilities Management: average rating 5.80, with 1 standard under a 4. June 30, 2008: Community Relations/Governance: average rating 8.12, with 0 standards under a 4. Personnel Management: average rating 7.40, with 0 standards under a 4. Pupil Achievement: average rating 7.74, with 0 standards under a 4. Financial Management: average rating 5.77, with 0 standards under a 4. Facilities Management: average rating 6.27, with 0 standards under a 4. 30 Executive Summary Progress in Meeting the Criteria for Return of Powers Average of Ratings in Five Operational Areas Operational Nov. May Nov. May January July June Areas 2004 2005 2005 2006 2007 2007 2008 Baseline Community Relations/ 3.35 4.24 5.24 5.94 6.88 7.82 8.12 Governance Personnel 1.34 2.51 2.74 4.26 5.74 7.20 7.40 Management Pupil 2.39 3.48 5.09 5.91 6.57 7.61 7.74 Achievement Financial 1.31 2.53 3.56 4.33 4.41 5.28 5.77 Management Facilities 2.46 3.13 3.87 4.47 5.20 5.80 6.27 Management Number of Standards in Each Operational Area Rated Less Than 4 Operational Nov. May Nov. May Jan. July June Areas 2004 2005 2005 2006 2007 2007 2008 Stnds < 4 Stnds < 4 Stnds < 4 Stnds < 4 Stnds < 4 Stnds < 4 Stnds <4 Community Relations/ 11 4 4 0 0 0 0 Governance Personnel 33 25 25 12 0 0 0 Management Pupil 23 10 10 0 0 0 0 Achievement Financial 37 28 24 13 15 1 0 Management Facilities 11 9 5 5 3 1 0 Management Executive Summary 31 Community Relations/ Governance Community Relations and Governance Since the last progress report in July 2007, local authority for the governance and community relations of the Vallejo City Unified School District has been returned to the elected board. The board has hired a Superintendent, and has demonstrated a commitment to maintaining the continuity of the goals and strategies in this operational area. The district has developed adequate staff capacity to complete necessary projects and address the goals of the board. Systems and processes now ensure that the prioritization of projects and initiatives is deliberate and aligns with the goals. Engaging more parents, community members, civic groups and other partners continues as a top district priority. The district also continues to work to improve school climate. In addition, the district has expanded opportunities for external communications, and is initiating a new process for the review, update, and adoption of policy. The district must continue to focus on internal communications, including specific communications between district office depart- ments and school sites. Communications The district has expanded its strategies for communications with the public since the last progress report. Community forums continue, with fewer meetings that are marketed to a larger audience. The new Superintendent has made it a priority to visit school sites to meet with teach- ers, staff, and principals. Expanding this type of opportunity for two-way communications is a good first step in the Superintendent’s plan to assess, analyze, and improve the district culture. The district has expanded the use of its telephone call-out system, and developed a plan to refine and improve the district Web site by decentralizing responsibility for its content, allowing indi- vidual departments to update information more frequently. A proactive media strategy, including outreach to the local reporters about district events, has been maintained as a part of the district’s communications plan. Principals continue to turn to the Public Information Officer for support in responding to media requests. While the district continues to make strides with its commu- nications to parents and the community, the administration should also ensure that the multiple means of providing information to staff and the internal communications that are disseminated by district office departments to school sites are effective. Parent/Community Relations The board and Superintendent have made parent engagement a district priority, and efforts are under way to create a formal, written plan and identify specific tactics and strategies to engage parents, including a structured volunteerism program. The district intends to develop specific expectations for parent involvement and look for alternate sources of funding, including grants, to implement the program. Recent community and staff forums have been well attended, and have engaged members of the community who previously had not been involved in the district. The higher turnout at these forums has also given the board another way to receive public input and demonstrate its commitment to community engagement and responsible stewardship of the district. As part of the effort to improve school climate, the district has again trained campus supervisors to identify and anticipate potential issues, prevent problems before they occur, and try to defuse situations. Community Collaboratives, District Advisory Committees, School Site Councils The district leadership and members of the Governing Board have continued to strengthen ties to the community, including relationships with the Chamber of Commerce and local businesses, Leadership Vallejo, McKenna Education, Omega Boys and Girls Club, and new participation Community Relations/Governance 1 in the Martin Luther King Jr. Day Parade. The Superintendent lives in the community, which is perceived as a positive factor that builds trust and develops an understanding of the overall community. In developing the parent engagement plan, both the board and Superintendent acknowledge a desire to involve more parents and increase the diversity of the group of parents involved in volunteer activities, district and site committees and councils, and parent-teacher organizations. To achieve this goal, the district will need to continue to examine school climate, as well as address issues of child care, translation services, and transportation to ensure that parents who have not traditionally been involved in the district have the means to participate. Policy The district has sustained progress in developing policy, but must continue to press forward with a specific plan for review, revision, and adoption. The district has continued to adopt policy since the last progress report, but a more systematic methodology for examining both mandated poli- cies and locally identified needs and issues is recommended. As the district develops its new plan to engage staff stakeholders in identifying policy for review, it should make use of the sample policy service it subscribes to as a guide for revisions. The district should continue to critically examine the procedures and forms that are associated with its policies, and continue to use the district Web site as a resource for parents and community members to access the policy manual. Board Roles/Boardsmanship The relationship between the board and Superintendent appears to be strongly collaborative. The district leadership and Governing Board appear to have open communications with one another. The board maintains its belief that the district’s vision and mission drive the actions and tactics undertaken by staff. The board has formed a subcommittee to set the criteria for evaluating the Superintendent. This action, along with a board self-assessment, is a positive step in ensuring accountability. The board should periodically revisit the vision/mission and key district goals to reaffirm that the direction set by the board matches the district’s current needs and conditions. Since the last progress report, the district has continued to integrate training workshops into public meetings, allowing for exploration of a topic in a setting where both the public and board members have access to the information. In the past several months, such sessions have occurred on the budget and on the a-g academic requirements. The board appears comfortable in resuming the role of adopting policy. Even in the area of finances, the board voted to affirm the budget options to demonstrate their support and understanding of the fiscal decisions being made. Board Meetings Members of the board have acknowledged their role in setting the tone for meetings. Interviewees generally indicated that meetings run in a productive and professional manner, allowing for open input on issues. Each meeting has continued to provide an opportunity for public comment. Board meetings have continued to focus on substantive issues such as budget options and the academic achievement of students. The agendas for board meetings continue to include information linking items to the key district goals. The board has participated in workshops in areas including the a-g academic requirements and budget options. Board members indicated that sufficient background materials are generally included in agenda packets and that the type of data and analysis provided during presentations is generally of high quality. Thoughtful questions are being raised by board members, with a desire for openness of informa- tion and transparent decision-making for the public. 2 Community Relations/Governance 1.1 Communications Professional Standard: The district has developed and implemented a comprehensive plan for internal and external communications, including media relations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district is beginning to devise specific strategies and tactics to further enhance outreach and engagement for parents. These efforts should align with the overall communications plan that seeks to maintain meaningful, two-way communications between parents and community members and the district and the school sites. Interviewees acknowledged that strengthened communications will continue to better engage the community, improve the district’s reputation, and promote attendance. While the district has also worked to enhance internal communications, this area could benefit from even greater attention, particularly in ensuring that school sites adequately understand the information being sent by district office departments. The district’s Web site is undergoing a process to improve the timeliness of the information and to decentralize the responsibility for updating its content. 2. The district continues its proactive outreach to the local news media and offers infor- mation to reporters about upcoming district events, activities and developments in the schools. Community forums continue to be a key means of communicating directly with the public, and provide an opportunity for the district to share information and gather feedback. Since the last progress report, the board and Superintendent have adopted a strategy of holding fewer meetings but marketing them to a larger audience, and have successfully attracted community turnout and engaged parents who had not been previ- ously involved in the district. Internally, the Superintendent has convened meetings of site- and district-level administrators from across the district to provide an additional means of two-way communication. Some staff expressed a desire for more frequent, tar- geted conversations about the impact of budget decisions on organizational strategy. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Community Relations/Governance 3 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 identifies the need to address both internal and external communication. The Superintendent has made an effort to meet in person at school sites with staff, teachers, and principals. In addition to these meet- ings and other routine staff meetings, the district should monitor the effectiveness of communications coming from district office departments to the school sites to ensure that the type of information being shared and the methods being used to disseminate it are adequate. The district continues to use e-mail, press releases, and press briefings to disseminate information. It is again recommended for the district to survey the staff regarding communications to determine how they perceive the status of open com- munication. The district should also ask for input about additional ways that two-way communications can be conducted, and should follow through on those recommenda- tions. 2. The district continues to make efforts to be more responsive to parents and the com- munity, and to internal clients as well. These efforts should be examined to ensure that all departments communicate effectively. District staff have continued to systematically reach out to parents about the issues that may be affecting particular students, rather than simply providing required legal notifications. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: 4 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 Superintendent’s tour of all schools to meet with teachers, staff and principals has gener- ally been well received. Staff meetings, administrator meetings, and board meetings also serve as opportunities for staff members to offer input. The relocation of the district office provided an opportunity for district staff to examine responsiveness to internal and external clients. This effort should be periodically reassessed, as adjusting expectations for attitudes and customer service will take time to become part of the district culture. By routinely ensuring that these expectations are consistently understood across departments, the district will have the data to verify that a customer service culture exists even when staff turnover occurs, and can identify the areas where training and professional develop- ment may be required. The district continues its efforts to anticipate issues as a means of preventing problems before they occur, as with the expanded training of campus supervi- sors to identify potential concerns before safety issues arise. 2. The district has expanded the use of e-mail to communicate with school sites, with the understanding that computers and other hardware must be available so that teachers can access this information. The district should survey staff periodically about their percep- tion of communications to ensure that the needs of employees are being met. For staff members who may not have access to e-mail and the intranet, the district should remain mindful that other means of communication for input and feedback are necessary. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Community Relations/Governance 5 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. The district has clearly defined the roles and responsibilities of board members, district staff and the administration with respect to responding to media and public inquiries and serving as spokespersons. The communications plans and policy on media relations continue to reflect these protocols. 2. Staff consistently acknowledge the protocols and procedures for public and media inqui- ries. School principals turn to the Public Information Officer to support them in develop- ing key messages and responses to media inquiries. 3. The district spokespersons respond promptly to requests for information from the local media. 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 July 2, 2007 Rating: 9 June 30, 2008 Rating: 9 Implementation Scale: 6 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 identified spokespersons. The board members, district staff, and site staff indicate that the policy on spokespersons is understood and consistently applied. 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 July 2, 2007 Rating: 9 June 30, 2008 Rating: 9 Implementation Scale: Community Relations/Governance 7 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. Documentation regarding the universal complaint procedures and Williams lawsuit complaint procedures is available on the district Web site and at the district office. The district is working to expand its focus on parent engagement. Involving more parents in the schools and enhancing the district’s reputation may help to reduce the number of complaints. 2. The district’s policy on employee complaints is generally perceived to be effective. As part of the strategy to more systematically review policy, the district should ascertain that the complaints process reflects current law, and is effectively communicated and consis- tently applied. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 7 June 30, 2008 Rating: 8 Implementation Scale: 8 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. The members of the Governing Board have engaged in strengthening ties to the com- munity, including relationships with the Chamber of Commerce and local businesses, Leadership Vallejo, the city of Vallejo, Omega Boys and Girls Club, and membership in other civic/community groups and faith-based organizations. The board has clearly stated the goal to expand parent engagement in the district, involve a larger number of parents and increase the diversity of the group of parents involved in volunteer activities, district and site committees and councils, and parent-teacher organizations. 2. Board members are perceived to be visible to the community through participation in local events, including the district’s community forums. Board members continue to be involved in events at school sites in an effort to heighten their understanding of school climate and to build relationships with site administrators and parents. 3. The board has created a subcommittee to examine the criteria for evaluating the Super- intendent. As part of this process, the board may also wish to develop expectations for self-assessment, specifically addressing the roles and responsibilities of board members in working to build relationships with the community and to engage parents effectively. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 9 Implementation Scale: Community Relations/Governance 9 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 board and Superintendent have developed and sustained strong relationships with community collaboratives and partnerships. Additionally, the Superintendent has estab- lished relationships with outside education groups and foundations to develop strategies and identify funding for initiatives to enhance the Vallejo schools. The district should set criteria to objectively evaluate partnership opportunities to ensure that these alliances meet the district’s needs and align to the district’s key goals. 2. The relationships between the district and its partners are generally perceived as effective, focused on positively affecting the district’s key goals. Working with the Chamber of Commerce and local businesses, Leadership Vallejo, the city of Vallejo, Omega Boys and Girls Club, other civic and community groups, and faith-based organizations, the district has continued to expand its outreach to the community it serves. 3. At the school site level, the district should examine whether enough supports are in place to help school sites effectively develop and implement partnerships, and to assess the im- pact of those alliances against the district’s key goals. 4. The district continues to press ahead with its efforts to expand parental engagement. As a formal, written plan is developed, the district should identify specific tactics and strate- gies to engage the community, including a structured program for volunteerism and opportunities to serve on committees and councils. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 9 Implementation Scale: 10 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 district has previously utilized a process to engage stakeholders in feedback about policy and school climate. The board and Superintendent should continue to convene committees and advisory panels as needed, with the goal to actively solicit input from parents, staff, and community members. 2. The district successfully engaged in a formal committee process to advise the board in hiring a Superintendent. The district is making efforts to further develop a plan to engage even more parents, including those that have not typically been involved in the past. As this initiative moves forward, the district should assess the impact of its efforts to engage parents, and refine these plans to reflect changing needs. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 7 June 30, 2008 Rating: 8 Implementation Scale: Community Relations/Governance 11 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. Since the last progress report, the district has continued to review and adopt new policies, continuing a process to address the most pressing policy issues first. Both staff and the public have been engaged in this process as the district has reaffirmed existing policies and developed new ones. As progress has been sustained in other areas, the district should renew its efforts to create a comprehensive, methodical process to review, revise, and adopt policy. The district should consider an accelerated process for reviewing policy, and identify those policy areas where local needs will require customization. As more poli- cies are adopted, the district should also ensure that a consistent indexing and numbering system is utilized so that parents and administrators always have access to the most recent version of all policies. 2. Written administrative regulations and related forms have been developed to further the understanding by staff and the public and the consistent application of policy. It is again recommended that the board critically examine its policies to ensure that the associated procedures and forms used by staff reflect actual practice, and that the district Web site continues to be used as a resource for parents and community members to access forms and policy language. Additionally, the district should periodically assess the ease of use for parents and community members to find and understand individual policies. 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 July 2, 2007 Rating: 6 June 30, 2008 Rating: 6 Implementation Scale: 12 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. As the board works with the Superintendent to create a process for the comprehensive review of policy, it must ensure that staff input and public comment are included in the process. Another consideration for the board, as new policies are proposed and existing policies are reviewed, is whether a particular policy aligns to the district’s key goals. The administrative regulations and forms associated with particular policies should be aligned to ensure consistent understanding and enforcement. The policy review process should also include an assessment component, allowing the district to periodically evaluate the policies to ensure that the direction set by the board is effectively implemented by staff and the policies align with the district’s goals. 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 July 2, 2007 Rating: 6 June 30, 2008 Rating: 6 Implementation Scale: Community Relations/Governance 13 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 district has established key goals and a vision/mission statement. While these goals continue to serve as the framework for district operations, the board has expressed a desire to revisit the goals to ensure that they reflect the appropriate priorities for the district at this time. Agendas for board meetings continue to be linked explicitly to individual goal areas for the district. The state administrator and board should continue to report on the progress made toward achieving the goals as a routine part of board meetings. 2. The findings and recommendations of the FCMAT progress reports 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. 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 9 Implementation Scale: 14 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 board has set an expectation for the level of information and type of data it expects so that discussions can focus on the relevant facts. Again this year, the budget options process served as an example of providing clear information to the public and offering opportunities for reaction and feedback before decisions were made. The Superintendent and board have a strong relationship, partly because appropriate background information and presentation materials are provided to the board to facilitate thoughtful discussion and informed decision-making. Board meeting agendas continue to include a rationale for each item, tying items back to the key goals of the district. Agenda items also include cost estimates, data and the presentation of options identified by staff. 2. The district has invested staff resources in data in the past year. This effort should be monitored to ensure continued adequate capacity to provide timely and accurate data, as well as the resources to provide data analysis and develop recommendations based on the information. 3. The board continues to be engaged in workshops during board meetings, providing an opportunity for members of the board and the public to learn about concepts and process- es while reviewing specific data. The board has discussed the a-g requirements and the budget options in such a forum. In these workshops, the board has an opportunity to ask questions that lead to effective, data-driven decisions. The Governing Board should con- tinue to pursue these public workshops for training, as well as other formal professional development. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Community Relations/Governance 15 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 Superintendent has been in her position for less than one year. In this time, a strong working relationship has been built between the board and Superintendent, as evidenced by mutually understood goals, trust, and candor. 2. Communication between the board and Superintendent appears to be effective and suffi- cient. The board indicates satisfaction with the amount of information being shared regarding district operations and other relevant news. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 9 Implementation Scale: 16 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. The board acts with respect when interacting with staff during board meetings, commu- nity forums, and visits to school sites. 2. The Superintendent and board should enact a plan to periodically evaluate employee sat- isfaction to ensure that issues of staff morale are identified and addressed as needed. 3. As part of the comprehensive communications plan, the district should maintain its cur- rent practice of proactively reaching out to the media to promote accomplishments by students and staff at district schools (see Standard 1.1). Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 7 June 30, 2008 Rating: 8 Implementation Scale: Community Relations/Governance 17 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. The district continues to focus its efforts toward improving achievement for all students and closing the academic achievement gap. Additionally, the district continues to imple- ment strategies to improve parent engagement, and involve a larger number of parents who traditionally have been less engaged. The board and Superintendent have refined their strategy for holding community forums, with fewer events that are marketed to attract larger audiences. These successful programs should be continued. The plan for developing additional parental engagement initiatives should be sure to address issues of language, transportation, and child care. 2. The board members and Superintendent have attended community forums and other events at school sites. The board should periodically reassess its formal plan for engage- ment with community groups and with school sites to ensure that a schedule for school visits exists. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 7 June 30, 2008 Rating: 8 Implementation Scale: 18 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 remain explicitly linked to the district’s key goals. The meet- ing topics are prioritized and structured to allow for appropriate public input, discussion, and consideration. Since the last progress report, board agendas continue to focus frequently on matters related to budget and finances, in addition to policy review and aca- demic achievement. It is again recommended that the board ensure systems are enacted to monitor, evaluate, and refine district programs. As the board regains governing authority in additional areas, using available data to analyze the alignment and progress of initiatives toward achieving the district’s goals will continue to be of great importance. Standard Implemented: Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Community Relations/Governance 19 20 Community Relations/Governance Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 1.1 PROFESSIONAL STANDARD - COM- MUNICATIONS The district has developed a 1 3 5 6 7 8 8 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 8 8 the staff at all levels in an effec- tive and timely manner. 1.3 PROFESSIONAL STANDARD - COM- MUNICATIONS 2 3 5 6 7 8 8 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 9 9 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 9 9 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 21 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 7 8 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. 22 Community Relations/Governance Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 8 9 involved in building community relations. 3.1 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS 4 5 5 6 7 8 9 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 23 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 7 8 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. 24 Community Relations/Governance Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 25 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 6 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 6 6 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. 26 Community Relations/Governance Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 8 9 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 8 8 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 27 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 5.7 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Functional working relations are 3 4 5 6 7 8 9 maintained between the board and administrative team. 5.8 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board publicly demonstrates 5 5 5 6 7 7 8 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 7 8 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. 28 Community Relations/Governance Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 29 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 8 8 Board meetings focus on matters related to student achievement. The identified subset of standards appears in bold print. 30 Community Relations/Governance Personnel Management Personnel Management The Vallejo City Unified School District must address 35 priority standards in the operational area of Personnel Management. The Human Resources (HR) Department maintains a binder system where documented progress on each standard is stored and retrieved. Since the onset of these progress reports, there has been significant progress on the 35 priority standards, with many of them nearing the systemic level. In the last year, the district regained some of its areas of governance, including HR, and a Super- intendent was hired. Two of the four HR administrators were new to their positions as of early 2007: An Assistant Superintendent was hired from outside the district and a director was hired from within. As is typical, any change in key leadership positions will affect overall district and HR goals, how the HR Department operates, and how it relates to the rest of the district’s operations. Organization and Planning The board policies affecting personnel operations, such as the delivery of HR services, roles, pro- cesses for employment, and employee discipline and dismissal, have been adopted by the district Governing Board. A total of 10 new or revised policies in HR now exist with a temporary num- bering system. The district continues its overall efforts to review and revise policies, and HR has developed a procedure for reviewing and updating the HR procedures. During the last 12 months, no additional policies in the 4000 series were revised and board approved. A cycle of review should be developed to systematically and continuously review and revise policies as necessary. The HR organizational structure has not changed since the last review. The organizational chart was revised to reflect turnover of personnel in existing positions, but desk manuals were not updated with the new chart. Backup training continues to be a priority and HR staff members believe, with the few exceptions noted in this report, that at least the critical functions can be covered in their absence. The desk manuals continue to be a priority. Although they will always be dynamic, many of them are very nearly complete. The Annual Calendar was not revised at the beginning of the school year as stated in the HR Operational Procedures Manual. Staff reported less use of the Annual Calendar, and operational meetings were not held on a monthly basis to review the activities in HR. Two new staff members reported being uncertain about the overall HR operations, and stated they were unaware of the existence of the Annual Calendar. Maintaining the Annual Cal- endar is a best practice and should once again become an important department focus. Internal and External Communications HR continues to post updated information to the district’s Web site for internal and external use. This includes the HR Department directory, a page for job openings that links to EdJoin, col- lective bargaining contracts, salary schedules, employee forms, the district’s Make a Difference brochure, and other pertinent information for use by the public or for internal use only. The reorganization of the HR Department along horizontal lines and having the support staff members report to the Operations Manager has worked well in the past. HR staff members believe the effectiveness is waning as horizontal communications are no longer emphasized across the district. Departmental teamwork, communications, and staff efficiency have suffered, as regular staff meetings are no longer being held. At a time of significant leadership change and Personnel Management 1 budget cuts, some of which will affect HR, the lack of formal communications and opportunity for input have contributed to the issues cited above. Employee Recruitment and Selection Teacher recruitment was greatly affected by the budget uncertainty. HR revised the recruitment plan with less horizontal involvement of other divisions. It is difficult to be engaged in the layoff of teachers for budget reductions while still carrying out recruitment activities for hard-to-fill subject areas. Only four job fairs were targeted. A recruit- ment budget of $36,461 included a Memorandum of Understanding (MOU) with the Teach for America program to provide 20 teachers at $1,500 per teacher ($20,000). Budget uncertainty delayed staffing and has thus delayed contract offers, resulting in the district being positioned to make very late job offers. This may not be as detrimental as it could have been since districts all over the state are faced with teacher layoffs this year and are not hiring early. The finder’s fee and teacher signing bonus programs were not needed this year. There was no additional train- ing for recruitment teams, but the administrators who were trained last year were called on when needed for job fairs or individual interviews. The district must continue to develop an annual recruitment plan even in years of lean recruiting and budget uncertainty, and must retain ideas for recruitment efforts for times when it will be necessary to once again compete for teachers in an active marketplace. The district should also evaluate the results of the Teach for America pro- gram. The Credentials Technician continued to conduct the credentials audits using data from Aeries and matching it by hand to a credentials report. She is unaware of any progress toward an auto- mated California Educational Computer Consortium (CECC) module for this purpose. The Williams audit was completed, and work toward 100% compliance with No Child Left Behind (NCLB) requirements has been taken over by the Credentials Technician. Operational Procedures Most job descriptions were completed in the new format. The classified job descriptions had to be removed from the Web site to meet and confer with the union. The process was completed in fall 2007, but the job descriptions were not returned to the Web site as of April 2008. There is an established procedure for updating job descriptions, and a tracking mechanism was developed to maintain the updated information. Cross-training within the HR Department is continuing, and one version of the organizational chart lists the backups for each position by name. Staff confirms that the system is working. The process of staffing schools for the next year, as in the last two years, has involved HR, cur- riculum and fiscal staff working together to determine staffing needs, implement the recruitment process, and balance the staffing allocations against budget and position control. The district has continued to follow the detailed procedures established in 2005 for staffing and recruitment, and continues to train the staff members involved so that the process can be followed each year. Use of Technology The district’s core financial and HR system resides on two different platforms and is not inte- grated. This requires duplicate data entry and manual reconciliations. The district needs to 2 Personnel Management continue to pursue upgrades to the CECC system so that all modules are integrated. In addi- tion, the district is looking to the CECC to provide modules to automate personnel requisitions, employee leave usage, and other essential functions. HR has almost completed the conversion of its spreadsheet-based applicant tracking system to a Web-based system through EdJoin. Most applications are now electronic and some hiring man- agers have been trained to use the paperless screening process. The last major step required to fully implement this system is to install a scanner for use with the kiosks available just outside the department for walk-in applicants to apply online. Full implementation will serve to improve the reliability of applicant data, save processing time, and provide timely and greatly improved management reporting. HR is preparing to send another annual set of Notices of Assignment (NOAs) to all employees through the school sites and departments for the next fiscal year. A list of frequently asked ques- tions has been prepared, based on the questions that employees had asked from the NOAs that were generated in 2006. HR should follow this process each year to verify 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 in use. HR staff members continue to believe that they have the necessary tools and training to access the data they need from the automated systems. 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 Web version of SmartFind Express is scheduled to be piloted in some departments in August. The plan is that all employees eventually will be required to report absences on the system. In addition, the system is intended to provide an interface to the CECC system so that absence reporting and substitute time will be automatically fed to the payroll system. The posting of employee leave usage to update leave balances in the system is still done manu- ally, and the leave balances are a month or more behind. The Business Division is looking at the possibility of implementing a new module in the financial system that would automate the leave accrual and usage posting processes. Staff Training While the HR plan for internal staff development was not revised for 2007-08, purchase orders and a list of staff development activities confirm that every HR staff member received some out- side training and professional development related to their jobs. Activities were generated by the staff members themselves and/or their supervisors. While professional development is occurring in the district at all staff levels, there is no cen- tralized plan that addresses the identification of needs for all staff. The master calendar that the district attempted to use to track training and staff development is now blank and no longer in use. Attempts to create a centralized, systematic program to identify areas of need for in-service training for all employees have not been successful. Personnel Management 3 Evaluation and Due Process Using the CECC system, employee evaluations for both certificated and classified staff are being monitored and the evaluation data are being maintained. Lists of employees to be evaluated are sent to managers, and reminder memos ensure that the process continues. HR has continued to provide managers with both certificated and classified evaluation training, and continues to provide administrators with a revised handbook titled The School Administrator’s Guide to Con- ducting Effective and Meaningful Evaluations. Employer/Employee Relations The district has had closed contracts with its bargaining units since 2005, which expire at the end of this year. The district began the collective bargaining processes in mid winter for successor contracts with both units, so it is too early to be able to evaluate some of the methods and pro- cesses used. However, the district used the work done in 2005 to prepare proposed language for articles in the contract and established article review committees. These committees consisted of administrators starting with the language that was prepared in 2005 and collecting more current language from other districts. Then the various possibilities were analyzed to determine the best language for the district to use in its proposal to the certificated bargaining unit. The district continues to hold monthly communications meetings with each of the units. Propos- als for the VEA contract were presented in March and bargaining began in April. These meetings are a forum to discuss current and upcoming events and issues, keep the lines of communication open, and resolve issues that arise so that the impact on employees, programs, and students is minimized. HR continues to focus on providing training to the managers as issues arise on how to address grievances at the lowest level. HR also has been providing training on evaluation of certificated and classified staff and other components of contract management, and is scheduled to continue providing these training sessions regularly. Implementing the Standards The HR department now needs to change its reference to the FCMAT standards, as they have been referred to throughout these progress reports, to “best practices” that all HR departments in school agencies should have in place. The binders that were prepared and updated for each of the FCMAT standards now need to be viewed as the district’s best practices. They should include not only the 35 priority standards that have been the subject of the follow-up studies, but also the rest of the standards from the comprehensive study completed in 2004. These best practices need to be internalized and, rather than making a concentrated effort to show implementation before each visit of the FCMAT team, make them the focus of everyday opera- tions. The HR staff members need to internalize these best practices as their own. 4 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. HR has a detailed action plan to address Standard 1.1 that is consistent with the district’s plans to update all of the board policies. In response to Standards 4.1 through 4.6 in the operational area of Community Relations and Governance, the district had developed a detailed action plan for: (4.1) evaluating the existing board policies, providing for staff and public input, and distributing new and revised policies and regulations; (4.3) initiating a process to identify missing policies that are legally required and policies that need updating, identifying persons responsible for development and/or updating and review of existing policies, and communicating the results to department managers for review and prioritization for updating; (4.5) after receiving feedback from department managers, developing drafts of new policies and revising existing ones to indicate where district decisions/perspective are needed; (4.4) providing for regular policy updates using California School Boards Association (CSBA) Policy Service notifications; and (4.6) providing for the annual readoption of policies. 2. In accordance with the Community Relations and Governance action plan involving Standards 4.1 through 4.6, HR submitted the following priority policies for review by March 15, 2005: a. Standard 1.2: Board Policies 4000(a), 4115, 4117.4-4117.6, 4118, 4211, 4212, 4214(a), 4215, 4218, 4311, 4313.2, 4315, and 4315.1 b. Standard 3.13: Board Policy 4113 c. Standard 5.4: Board Policy 4213 and 4213 d. Standard 8.1: Board Policy 4131 3. The new policies were designed to be very brief and broad so that departments could use accepted district procedures and practices to determine the ultimate wording of the policies. The Assistant Superintendent of HR made revisions to the priority policies and submitted them for a final review and for adoption by the Governing Board. 4. HR’s detailed action plan for this standard was revised and updated on October 12, 2006, and again on February 9, 2007. The action plan is contained in a binder that also serves as the policy and procedures manual for the HR policies. There has been no further revision to the plan. Personnel Management 5 5. In 2006, the board 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) i. Certificated Personnel - Assignment (4000k) 6. On March 18, 2007, the board adopted the policy of Leaves for Personal Illness, Injury, and Related Conditions (4000j) (Revised). 7. The entire remaining 4000 series of board policies (primarily adopted in 1994) are still active and will be the subject of continuing policy review until completed. HR lists the policy review as a governance item in the HR Annual Calendar; however, there was no further policy review and update from spring 2007 though April 2008. 8. HR has developed a detailed procedure for board policy updates, which is included in the Operational Procedures Manual. 9. To increase the score on this standard, HR should develop an ongoing system of reviewing a designated number of the 4000 series board policies annually so there will be an ongoing review and updating process. This process will augment revisions that are made based on changes in the law or programs. 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 Rating: 5 July 2, 2007 Rating: 6 June 30, 2008 Rating 6 Implementation Scale: 6 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 essential actions to be taken, a timeline for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was updated on September 22, 2006, and again on March 9, 2007. There has been no further revision to the plan. 2. During 2006, the following board policies that delineate the role of the board and admin- istration in the 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 the delineation of 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 are being augmented as each of the managers and HR staff members continues developing a detailed desk manual. Personnel Management 7 5. The HR Operations Manual contains an administrative procedure dated February 5, 2007, titled Recruitment and Selection of New Employees. 6. As of April 2007, HR had incorporated specific procedures into the ongoing develop- ment of its Operations Procedures Manual that detail the roles and responsibilities of the Governing Board and members of the administrative staff for recruitment, hiring, and evaluation. The detailed procedure for employee dismissal had not yet been developed and was not developed by April 2008 for the HR Operations Manual, but it has been clearly delineated in the board policy enumerated above. 7. All elements of this standard are fully and substantially implemented and have been sus- tained for a full school year. To improve the score on this standard, the HR staff should include a detailed procedure for employee dismissal in the HR Operations Procedures Manual. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 8 June 30, 2008 Rating 9 Implementation Scale: 8 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 essential actions to be taken, a timeline for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was revised on September 22, 2006. There has been no further revision to the plan. 2. The organizational chart remains fundamentally the same, but was revised on February 19, 2008. 3. The 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, monitor- ing, directing, and coordinating effective and caring support services.” The mission statement is posted on the wall and on the HR Web page, and can be found in all of the individual desk manuals that are being developed. The mission statement is accompanied by the HR Vision and Guiding Principles. 4. The mission statement also appears on the HR whiteboard that is dedicated to posting department activities, an inspirational message, birthdays, and any other pertinent infor- mation for the week. 5. This is the first year since the FCMAT review process began that the HR organization did not change. Although the actual organization of HR has undergone change every year of the FCMAT review process before this year, the organizational chart has been continually updated and published with each change, and the vision statement has been in place for more than a year and is a part of each employee’s desk manual. It is also displayed on the whiteboard of daily and weekly activities. 6. All elements of the standard are fully implemented, and have been sustained for a year. However, staff members reported that the current organization lacks the cohesive team focus that was intended. Staff expressed concerns over rumors of impending budget cuts for HR of $140,000 that may result in the elimination of positions and a redistribution and/or reduction of existing functions. 7. Although there are concerns about the organization, the elements of the standard itself continue to be fully implemented and are sustained. Personnel Management 9 Standard Implemented: Fully - Sustained November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 7 July 2, 2007 Rating: 9 June 30, 2008 Rating 10 Implementation Scale: 10 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 essential actions to be taken, a timeline for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was revised on September 22, 2006. There has been no further revision to the plan. 2. The HR Procedures Manual contains a procedure dated December 7, 2006, that indicates that the Annual Calendar will be updated at the beginning of every school year, distrib- uted to staff, and discussed at staff meetings. Staff members reported that these things did not occur for 2007-08. 3. Staff members reported somewhat less use of the calendar because they are now more familiar with the events in HR, although two new employees reported being confused about events in HR and said they were unfamiliar with the existence of the calendar. Because the Operations Manager was called on to do all of the work of the Recruitment Specialist after she resigned, the operational meetings in which the calendar was dis- cussed did not occur through the middle months of the school year. 4. The Monthly Activities Calendar is also formatted to cross-reference activities associated with the HR FCMAT standards. 5. The Monthly Activities Calendar no longer appears to be the basis for the HR Department’s whiteboard that contains weekly activities, but the whiteboard does contain a list of activities for the week. 6. All elements of the standard were fully and substantially implemented and were sustain- able; however, calendar maintenance and focus has stalled. It is essential to maintain and update a monthly calendar of activities as turnover and changes impact HR. Since the calendar was not updated and since staff meetings are not focusing on monthly activities, the score for this standard remains the same. Personnel Management 11 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 June 30, 2008 Rating 8 Implementation Scale: 12 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. The public section of HR’s portion of the district’s Web site includes the following pages, which are the same as in the last review except for the changes noted: a. The HR Mission Statement and Vision Statement, with a listing of HR staff members and their job titles and phone numbers. This has been updated to reflect the turnover of positions in the department. E-mail addresses and the department’s functional directory should also be included here. b. For prospective job applicants, a page with the application procedures and required documents. c. Pages listing all of the job openings, with links to EdJoin, where the district’s job openings are also listed. At the time of the last progress report, the district had stopped posting job openings on its own Web site because of the manual process required to keep them consistent with EdJoin. d. HR uses 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 office. Two kiosks have been installed in the front of the depart- ment for applicants to file their applications electronically. This will be functional once the scanner is installed, which is planned to be done by August. At that point, all appli- cations will be submitted electronically. e. 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. This page should be linked either to EdJoin or to another page so that users can access the specific openings and job application process. f. A set of the current salary schedules for all certificated and classified positions. g. A one-page summary of the health and welfare benefits available for active employees. h. Job descriptions for child development, confidential, and management positions, with a notation that the rest of the classified and certificated positions will be posted as they are updated, reviewed, and approved. This is the same notation as of the time of the last progress report, so the rest of the job descriptions have not yet been posted. 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 Personnel Management 13 e. More information on employee benefits f. Maps of the schools 3. The district’s Web site is being redesigned, and is overseen by the Public Information Officer (PIO). The process to post updated or new information to the district’s Web site has been centralized. All items had been submitted through the State Administrator’s office before going to the Information Technology Department; then the item was placed into a queue. This process resulted in some information not getting posted in a timely manner. Once the Web site has been redesigned, however, there will be a process to prompt departments to update their sites locally. 4. The HR Department is relying more on e-mail as a method for mass communication to departments and sites. Notices to all employees, however, 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 employees can refer to them as needed. 5. EdJoin includes the capability to communicate with applicants via e-mail, and HR has been using this feature as the primary method of communication with applicants. 6. HR staff members report that they are able to generate the reports needed for the department and its customers. At this point, further technology training is focused on building upon their current abilities with these reports, with the exception of NOAs. While HR staff members have received training to issue NOAs, they will not start generating them until July. 7. HR has implemented a program of upgrading the software and capabilities of the computer workstations in the department and providing training on how to use the department’s technology more effectively and efficiently. The department has created an administrative procedure that identifies the Administrative Assistant as being responsible for surveying HR staff members each year to determine any desktop software upgrades needed. 8. HR has completed archiving old documents into digital images, and all staff members have been trained on preparing documents for archiving as an everyday process. The department plans to eventually obtain enough scanners so that digitizing of current docu- ments can be done locally. 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 Rating: 5 July 2, 2007 Rating: 6 June 30, 2008 Rating: 6 14 Personnel Management Implementation Scale: Personnel Management 15 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: 1. When the district was using a horizontal organizational realignment plan, HR and other departments combined like functions across its elementary and secondary sections to streamline activities and provide better and more consistent customer service. To organize the support functions in HR, the department created an Operations Manager position to which most of the support positions report. This structure has been in place for about two years, and has been significant in improving customer service, communications, cross- training, and efficiencies, while supporting the elementary and secondary functions as needed. 2. While there is no longer evidence of a cross-training schedule being used, nonmanage- ment HR staff members are comfortable that their critical functions can be performed by someone else in their absence. As was noted during the last review, additional focus needs to be applied in the areas of (a) credentials, as this is very technical and evolving (e.g., No Child Left Behind), and (b) certificated layoffs. 3. At the time of the last review, the department had an organization chart indicating the designated backup for each job position. While there has been some turnover of staff in the department, this particular organization chart has not been updated. 4. In general, desk manuals continue to be relied on and updated as staff members are cross-trained, as newer staff members perform their new duties, and as duties are added or changed. The one exception to this is the new Assignment Secretary, who was not pro- vided with the desk manual for the first two months of her employment. She had begun developing her own manual until the original was found and provided to her. 5. HR has established career paths for department positions, and should continue to rein- force with employees the requirements for advancement to the next step. 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 Rating: 6 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 16 Personnel Management Implementation Scale: Personnel Management 17 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. At the time of the last progress report, the department was holding weekly HR manager meetings, weekly operations team meetings, and monthly meetings of all HR staff. This schedule is no longer followed. The HR manager meetings occur approximately monthly and the entire department has met just a few times in the last year. The operations team has not held a meeting since December. 2. In the past, HR staff members indicated that they were adequately informed of important issues and activities occurring in the district and the department, and that they had adequate input on the department’s operations. This is no longer the case. This lack of communication is occurring at a time when the department has to reduce costs and eliminate positions. At the time of fieldwork, all managers and confidential employees in the department had received notice that their position might be eliminated. The lack of formal communications was causing significant angst, reduced productivity, rumors and conjecture. 3. The department needs to make formal communications a priority, and, especially during this time of uncertainty, staff meetings would be the most appropriate forum. Meetings should be held regularly, with a written agenda, to discuss current events and their effect on the department, current department priorities, scheduled activities, progress on long- term projects, and to provide training opportunities. 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 Rating: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating: 4 Implementation Scale: 18 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 essential actions to be taken, a time line for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was revised on September 22, 2006, and again on March 27, 2007. There has been no further revision to the plan. 2. For spring 2008, the HR Department was given full responsibility for developing the annual certificated recruitment plan. HR prepared the Annual Teacher Recruitment Plan, which included the recruitment goals. The detailed time line in the plan covered: a. Attracting Candidates b. Reviewing and Revising Selection and Hiring Protocols c. New Teacher Training and Induction 3. As of the April 2008 fieldwork, district recruitment teams had participated in three outside recruitment fairs. Although this is a smaller number of job fairs than in previous years, declining enrollment, coupled with funding reductions districtwide, was having a major impact on the need for additional teachers in general elementary and in some secondary teaching fields. 4. In 2005-06, the budget for recruitment was $45,000. Much of that budget was used in developing the marketing tools for the first time, as well as traveling to many job fairs, since there was no baseline data regarding successful venues. The budget for recruitment for 2006-07 was set at $25,000, apportioned as follows: Mileage $1,500 Registration, Food, Tolls, Parking, etc. $4,000 Extra Services Agreements $3,500 Reproduction $1,500 Overtime Costs $3,000 Supplies $1,500 Marketing and Other $10,000 Personnel Management 19 5. The recruitment budget for 2007-2008 is $36,461, apportioned as follows: Mileage $1,500 Conference Travel Costs . $3,580 Reproduction $1,500 Overtime Costs $2,000 Supplies $1,500 Other Services and Operating Expenses $6,381 MOU with Teach for America $20,000 6. Four job fairs were scheduled as follows: Pacific Union College, February 5, 2008 Saint Mary’s Career and Internship Fair, April 4, 2008 Solano County Office of Education Recruitment Fair, April 19, 2008 Project Pipeline Recruitment Fair, June 23, 2008 7. HR was able to use the block grant funds to provide teacher signing bonuses in 2006-07; however, this depleted the available funds so the program could not continue in 2007-08. 8. As part of the 2006-07 recruitment plan, the district established a finder’s fee program where a district employee would receive a $100 certificate to Home Depot if he or she referred a certificated individual who was hired by the district. This program will con- tinue to be implemented in 2007-08. 9. The 2007-08 recruitment season included a memorandum of understanding with Teach for America to provide 20 teachers at the cost of $1,500 per teacher ($30,000). 10. The Annual Teacher Recruitment Plan is the third comprehensive recruitment plan to be developed and implemented. It was not clear during fieldwork that much attention was paid to the plan by district staff in the horizontal alignment outside of HR. Many of the provisions and goals of the plan were not followed, including timely staffing projections, which were not completed by the time of the site review. The district is encouraged to continue to develop annual teacher recruitment plans and to adjust them based on the needs of the district over time. With the aging of the teacher population, the district will certainly face increasing needs even in the face of the financial challenges that all districts currently face, and it would not be productive to have to reinvent the strategies and time lines when needs reappear. 11. All elements of the standard are fully and substantially implemented and are sustainable; however, the momentum of the previous years appears to have diminished along with the participation by the horizontal alignment. HR did follow through to meet the needs that currently exist. The elements of the standard have been met for a full school year. 20 Personnel Management Standard Implemented: Fully - Substantially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005 Rating: 0 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 June 30, 2008 Rating 9 Implementation Scale: Personnel Management 21 3.5 Employee Recruitment/Selection Professional Standard The district has developed materials that promote the district and community, are attractive, infor- mative, 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 to address this standard that states the essential actions to be taken, general time frame, the responsible department/persons, planned documenta- tion, and percentage completed. The action plan was revised October 9, 2006. There has been no further revision to the plan. 2. The marketing and materials group developed the district’s Make a Difference brochure, which is dedicated to teacher recruitment. This brochure is extremely well done and cost approximately $12,000 to print. These brochures were updated for the spring 2008 recruitment season. 3. The HR brochure called Inviting You to Consider Joining the Teaching Team in the Vallejo City Unified School District was used again in 2007-08 for the recruiting season. 4. There is a Beginning Teacher Support and Assessment (BTSA) brochure, which was also used during the 2007-08 recruiting. 5. Other promotional materials include: a. District postcard for interviews with prospective teachers b. Recruitment e-mails c. Recruitment Prospective Teachers Visitation e-mails and forms d. District’s Key Messages for Prospective Teachers e. Recruitment/promotional materials folder f. Business cards 6. The marketing materials have been in use and have undergone necessary revisions for more than a year. All elements of the standard are fully and substantially implemented and have been sustained for a full school year. HR should plan to create additional mar- keting materials that are Web-based, such as virtual or video tours of the community and the district and/or hard copy materials to supplement the material currently in use. 22 Personnel Management Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 3 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 9 June 30, 2008 Rating 9 Implementation Scale: Personnel Management 23 3.6 Employee Recruitment/Selection Professional Standard The district has identified people to participate in recruitment efforts, including principals, district 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. The district has a detailed action plan for Standard 3.6 that includes essential actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised October 11, 2006. There has been no further revision to the plan. 2. For 2006-07 teacher recruitment, more than 60 individuals were trained to be part of the recruitment teams. These individuals included site administrators, teachers, HR directors, and selected department administrators (such as special education). All of the secondary site administrators were trained. During spring 2008, HR did not conduct additional train- ing but used the same individuals for recruitment who were trained the previous year. 3. In 2006-07, the teacher recruitment team members went through a training session. Participants were given a folder that contained the following: a. Purpose and Roles of Recruitment Team Members—Plan/Goals b. District Recruitment Team Contact List c. Recruitment Team Assignments for Scheduled Job Fairs d. 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. Recruitment Teams “Keep in Mind” i. Criteria & Procedures Reviewed j. Short interview form/rating sheet for job fairs (general teaching and special education) k. Recruitment Team/Fair Feedback form 4. The HR Procedures Manual contains an administrative procedure dated February 21, 2007, titled Interview Procedures and Sample Forms. 5. Recruitment team members were sent to job fairs and also interviewed individual candi- dates. 24 Personnel Management 6. The district has been identifying and training recruitment teams for well over a year, and has continually expanded the number of individuals trained and available to participate in teacher recruitment and selection. All elements of the standard are fully and substantially implemented and have been sustained for a full school year. HR should implement a program of annual refresher training and training for new administrators. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 June 30, 2008 Rating 9 Implementation Scale: Personnel Management 25 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. The district has a detailed action plan for Standard 3.13 that includes essential actions to be taken, a timeline for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on October 11, 2006. There has been no further revision to the plan. 2. In 2007, a consultant who was working with the district on various technology projects reported that changes were planned for the CECC system in the credentials module that should eventually allow a more automated process for monitoring credentials in the dis- trict. Therefore, the district’s earlier plan to build a database bridge to Aeries had been set aside. The Credentials Technician continued to perform the internal audits by accessing the teacher assignments from Aeries and then conducting a hand match to the credentials report. As of April 2008, the work to monitor credentials in the district is still being accomplished using Aeries information and a manual match process. The Credentials Technician reported that she was unaware of any progress in the automation of CECC. 3. During fall 2007, the Credentials Technician conducted a credential audit and notified principals of possible misassignments. In some instances, the Aeries data had not been updated and the misassignment was thus not really a misassignment. In some cases, the principal corrected the misassignment, which was confirmed by the Credentials Technician. In spring 2008, the Credentials Technician worked with the Solano County Office of Education (SCOE) to complete a Williams audit and then also conducted a second general audit. 4. The Credentials Technician has become a member of the BTSA Committee and can thus serve as the link to ensure that all teachers coming into the district who must still clear their preliminary credential are identified and provided BTSA services. 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 NCLB. Approximately 750 teachers were identified who required documentation of highly qualified status. The district has approximately 98% in qualified status (100% at elementary). The remaining teachers who have not cleared NCLB qualifications are secondary teachers and the task of clearing them is being transitioned to the Credentials Technician. 6. The Credentials Technician handles the process of ensuring that all new hires meet the NCLB standards. 26 Personnel Management 7. 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 Credentials Technician before they are eligible to be interviewed and selected by principals. This is an additional step toward ensuring that teachers in the district are properly credentialed. 8. The HR Operations Manual contains an Administrative Procedure dated February 5, 2007, regarding certificated employees, certification requirements and an Administrative Procedure dated December 7, 2006, regarding credential monitoring procedures. 9. A credentials audit of the entire district must remain an institutional priority, and HR needs support in ensuring that principals respond to and correct misassignments as they are found. 10. All elements of the standard are fully and substantially implemented and have been sus- tained for a full school year. The district should require school sites to identify and hold accountable a staff member who will ensure that changes are made in Aeries immediately upon the change of an assignment, and the district should pursue an automated system through the Solano COE or develop one internally. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 4 November 30, 2005 Rating 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating 9 Implementation Scale: Personnel Management 27 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 continues to use the automated presentation for orientation sessions for both certificated and classified employees, which helps to ensure a uniform and full orientation for each employee, as well as to orient employees in groups. 2. The department continues to provide an online training course on workplace safety that all new employees are required to complete. 3. Detailed orientation procedures have been completed and included in the desk manuals. 4. Orientation packets continue to be updated at least annually, and more frequently if needed. 5. The substitute teacher handbook is current, and the certificated and classified employee handbooks have been in use and are in the midst of being updated. Standard Implemented: Fully – Substantially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 7 June 30, 2008 Rating: 8 Implementation Scale: 28 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. The desk manuals in HR contain some standard information, such as the HR Mission Statement and Guiding Principles, department organizational chart and backup assign- ments, the Annual Calendar, a job description for the position, a table of contents, and definitions for acronyms and abbreviations that are commonly used in HR. Each manual contains procedures specific to that desk, including technology procedures for CECC, SEMS, EdJoin, etc. 2. The organization charts in the desk manuals had not been updated since February 2007 to reflect new employees and the changes in backup functions. Most other dynamic documents in the manuals had not been updated since 2006. Salary schedules, calendars, deadline information, and other time-sensitive documents should be kept updated or made available electronically through a link in the manual. 3. The desk manuals are largely complete and continue to be updated to include more infor- mation on how to accomplish the duties. This effort needs to continue, as documentation remains in the manuals that is not related to performing a particular procedure. 4. Desk manuals should continue to be an important resource and should be a work in prog- ress, especially since procedures and technology continue to change and improvements are made in 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 Rating: 5 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: Personnel Management 29 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. As reported in the previous review, the HR Division Services and Procedures Manual 2006-07, developed by the HR Department, contains the district’s goals, HR Mission Statement and Guiding Principles, HR Annual Calendar, HR personnel task listing, some definitions, and an alpha list of all department procedures. Each procedure is linked to board policy. 2. As of the time of the last progress report, this manual was approximately two-thirds complete. There was no evidence of any further progress since that time. Completion requires adding more information to the completed procedures to specify the position in the HR Department that is responsible for the procedures. HR needs to continue to add to this manual and still include 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 Rating: 4 July 2, 2007 Rating: 6 June 30, 2008 Rating: 6 Implementation Scale: 30 Personnel Management 5.4 Operational Procedures Professional Standard The Personnel Department has a process in place to systematically review and update job descrip- tions. 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 essential actions to be taken, a timeline for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was revised on September 25, 2006. There has been no further revision to the plan. 2. Job descriptions have all been updated in a consistent format that includes: job title, work year (including hours per day and days per week for classified jobs), exempt or nonexempt status, position type (certificated, classified, supervisor, manager, and/or con- fidential), 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. The HR Operations Procedures Manual contains an administrative regulation dated February 20, 2007, titled Job Description Update Procedures. 4. Most job descriptions were completed and placed on the district’s Web site. However, the union challenged the classified white collar job descriptions, which were removed from the Web site until the meet-and-confer process with the union could be completed. The meet and confer was completed in fall 2007, but the job descriptions have not yet been returned to the Web site. Management, confidential, and child development job descrip- tions remain on the Web site. 5. A procedure has been developed and implemented for continuous review and updating of job descriptions. The job descriptions have been indexed and dates of review and revision are being tracked. All elements of the standard are fully and substantially implemented and have been sustained for a full school year. 6. The district should publish the remaining job descriptions on the Web site and ensure that responsibility for maintenance of the posted job descriptions is assigned to a staff member. Personnel Management 31 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 8 June 30, 2008 Rating: 9 Implementation Scale: 32 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 processing of new employees, classifica- tion changes, and employee promotions. Progress on Implementing the Recommendations of the Improvement Plan: 1. At the time of the last progress report, HR and Payroll staff members were holding monthly meetings with formal agendas, which included upcoming deadlines, changes to procedures (documented by each person in his or her desk manual), and other discussion items. These meetings are no longer occurring regularly, but are called when there are issues to resolve. While this is a way of handling issues as they arise, it no longer pro- vides a forum for strategizing, planning ahead, and ensuring consistency in the applica- tion of everyday procedures and interpretations of policy and bargaining unit contracts. 2. HR and Payroll staff members continue to attend the same training sessions that have impacts across both departments, such as the workshop on rolling the position and employee database across year end. HR should continue to encourage its staff members to participate in training sessions with Payroll staff as their responsibilities interface. 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 Rating: 6 July 2, 2007 Rating: 8 June 30, 2008 Rating: 6 Implementation Scale: Personnel Management 33 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 essential actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The plan was revised October 16, 2006. There has been no further revision to the plan. 2. The detailed action plan includes an assessment of the HR non-management 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 SCOE, CODESP, and other identified providers of training and work- shops. 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. There has been no further revision to the plan. 4. Based on a review of the purchase orders for workshop registrations, the following train- ings and professional development sessions have been attended by HR staff members during the 2007-08 school year: a. Collective Bargaining Summit b. Certificate Program in Public Sector HR c. Nuts and Bolts Workshop at Chapman University d. ACSA Leadership Summit e. ACSA Personnel Academy f. ACSA Symposium Calming C’s g. EdJoin Users Conference at San Joaquin County Office of Education h. Miller, Brown and Dannis Conference on Labor, Employment and Personnel (LEAP) i. PC2000 Refresher and Fiscal Year End/Start Up Session j. CalSTRS Job Analysis Training k. CalPERS Workshop CECC HR/PR Users’ Meeting l. HR/RP Users’ Meeting 34 Personnel Management 5. HR staff reports continuous training on the CECC system. 6. HR has subscribed to publications to help 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 7. All elements of the standard are fully and substantially implemented and have been sus- tained for a full school year. HR should again assess staff needs and update the plan for professional development. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 3 May 31, 2006 Rating: 5 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating 9 Implementation Scale: Personnel Management 35 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, student contacts, and custodial services for the three-year agreement that ends this year. This should continue to be pursued as the district negotiates the next contract to provide more flexibility with staffing and assist the district with its financial recovery. 2. At the time of fieldwork for this progress report, the responsibility for preparing enroll- ment projections and determining initial staffing of schools was being transitioned to the Public Information Officer. The staffing worksheets were in the midst of being completed and the staffing meetings with school site principals were scheduled to occur in the next few weeks. The district has continued to involve those who prepare the enrollment pro- jections, along with business, HR, and instructional staff, in a meeting with each school principal to determine the staffing for the next year. 3. Staffing formulas for custodians, clerical support at schools, campus supervisors, and site administrators have been in place and continue to be applied each year. 4. At the time of fieldwork for this progress report, the district had initiated more extensive layoff actions than in the prior year because of the need to make more significant reduc- tions in expenditures. All managers and confidential employees had received a notice of potential layoff, along with approximately 200 each of certificated and classified unit members throughout the district. The certificated layoff administrative hearings were to be held the next week. It appears that the district has followed the required time lines and process in making these staffing reductions. 5. The district needs to determine other positions where staffing formulas could apply and 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 regulations, and should be reviewed annually for staffing adjustments. 6. 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 the work year matches the workload. 7. The district needs to formalize and implement a process for adjusting staff to enrollment midyear to help keep pace with its declining student population. 36 Personnel Management Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 6 November 30, 2005 Rating: 7 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Personnel Management 37 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 continues to reflect these items in its detailed action plan for this standard: a. Move CECC from two different platforms to one, to integrate position control. This would relieve the administrative burden and the issues with the manual processes and reconciliations needed to keep the databases in sync. The district should proceed with this as soon as the applications are completed by the consortium and tested. b. Automate 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 on time sheets. The district should implement automated PAFs and automated leave usage posting (which would require automation of time sheets or an interface from the substitute management system) as soon as those modules are available and tested. The district is considering an interim option that may provide some of this functional- ity using FileBound software’s e-forms. As of the time of the last progress report, staff members in HR and Payroll had been dedicated to focus on employee leaves. In addition, considerable time, focus, and effort had been invested to keep the district current with the manual posting of employee leave usage. With turnover of staff, this has fallen behind by at least a month. This manual process should be a high priority, since current leave information is needed to make decisions directly affecting employees and their pay. c. Determine whether an appropriate audit trail exists within the CECC system once the upgrade is completed. Recommendations to improve the audit trail should be made to the Solano COE 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. Designate users to attend CECC system user meetings and training sessions. This continues to be accomplished. HR staff members, along with Business Office staff when appropriate, attend user meetings and training sessions as they become available. e. Prepare procedures for each staff member entering data to audit his/her own data before moving to the next step of the process. This function has been accomplished, as HR staff members have documented the current processes in their individual desk manuals. These processes will need to be updated as new modules of the system are implemented. 38 Personnel Management f. Refine workflow processes, including identifying those no longer needed. As part of the functions of preparing the department’s operational procedures manual, prepar- ing individual desk manuals, and training new HR staff members, the department has largely been able accomplish this. g. Control FTE allocations by site. The HR Department continues to be an important contributor to the district’s process to manage FTE allocations by site, as evidenced by the enrollment planning and meetings for 2008-09 staffing. These meetings are participated in by staff members from the superintendent’s office, the instructional division, the Business Office, school sites, and HR. The district should continue its investment of time and effort in this process, as it drives a very significant portion of the district’s staffing plan and budget. h. Provide 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 implemented. 2. The district has completed the implementation of all positions in the position control system. One of the most significant issues that remains, however, is that there are no pay- roll 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 staff management and budget control, the district should continue to pursue the modification of the system to include it. 3. A test version of the CECC system has been set up and is available at the Solano COE for training. The district should work with the Solano COE to establish a separate test version of the system that districts can access so that users can test scenarios in the software. In addition, before more data conversions 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 and the system functions appropriately using the data, and that system users can maintain the data. 4. HR and Business both prepare information on deadlines and time lines for internal use, and continue to coordinate this information between the two departments before sending it to other departments and sites. Once the regular meetings between HR and Payroll resume, current and upcoming scheduled tasks should be reviewed as part of these meet- ings. Training should continue to be provided and managers held accountable for meeting deadlines and providing complete and accurate information to HR and Payroll. 5. The HR Department is responsible for issuing the Notices of Assignment (NOAs) that should be generated at the start of each year and sent to each employee. The district issued NOAs for the first time in 2006, and because of staff turnover and reorganization in Business and Information Technology, was unable to issue NOAs in the summer of 2007 as planned. HR staff members have been trained on their part of the process, and the intent is to generate NOAs starting in July for the 2008-09 school year. The NOA would serve as an annual contract for employment since it requires an employee signature and is returned to HR. Personnel Management 39 6. The seniority listings were again generated from CECC, verified by manual calculations, and then relied on for the layoff process. More HR staff members were involved in both the certificated and classified layoff processes this year, but the department needs to continue cross-training to ensure that all of the significant steps in these processes can be handled by more than one staff member. 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 Rating: 5 July 2, 2007 Rating: 6 June 30, 2008 Rating: 6 Implementation Scale: 40 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: HR continues to follow its detailed action plan for this standard, including: a. The reorganization of HR, which resulted in the creation of a Recruitment Specialist position. This was accomplished two years ago and is still in place. b. Develop and maintain a spreadsheet to track applicants. While an Excel spread- sheet was created and has been used for applicant tracking, the district is scheduled to fully implement the functions in EdJoin for applicant tracking starting in August. c. Use a Web-based application for applicant tracking. As mentioned above, HR will implement EdJoin applicant tracking. Managers will be trained on accessing and screening applications online, and HR staff members are receiving training on how to support the managers’ use of the system and how to use the applicant tracking func- tions and reporting. The plan to get all applications submitted electronically should be fulfilled by August, when the scanner is installed to support the kiosks located just outside the department offices. d. Download applicant tracking data to CECC if this is determined to be more efficient than entering data manually for new hires into CECC. e. Pursue implementation of fully Web-based applicant tracking in CECC. While it would be best to have fully integrated HR database functions, the module still has to be developed and there have been no discussions to include it among the other mod- ules planned for CECC. Providing an automated interface from the EdJoin data (if it is cost beneficial) should be sufficient until there is a fully integrated CECC solution. f. Train staff on the use of the applicant tracking system. HR staff members are being trained on the use of the EdJoin applicant tracking system and to provide sup- port to hiring managers, who will be trained on the viewing and screening of applica- tions online. The first managers will pilot the entire process starting in August. 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 Rating: 5 July 2, 2007 Rating: 6 June 30, 2008 Rating: 7 Personnel Management 41 Implementation Scale: 42 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 continues to pursue its detailed action plan to address this standard, which includes: 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 then appropriately tested. HR should continue to pursue this to eliminate manual reconcili- ation and improve the accuracy and timeliness of the data (see Standard 7.1). b. Researching options to interface the employee attendance and substitute assign- ments in the substitute calling system to CECC. This is not currently available in CECC, so HR has purchased and is implementing a Web-based substitute and leave reporting system (SmartFind Express). All employees will be required to report their absences through this new application, starting with teachers and clerical staff first in August. This system may also include an automated interface to CECC to feed the payroll process and update employee leave balances; however, the Business Division is looking at an automated leave management system. Automation and integration of absence reporting, leave usage, and leave accruals, through whichever platform is selected, should save significant staff time in entering employee leave usage and substitute information into the payroll system, as well as in the manual posting of leave usage to employee records. It should also provide a reconciliation of employee- reported leave-to-substitute usage, which the district should continue to do manually until the new system is implemented. c. Fully automating leave accrual and usage in the CECC system. This normally would require automation of time sheets, and the district is considering using FileBound software. In the meantime, converting to the Web-based leave reporting and substitute system mentioned above, with an automated interface to CECC, will accomplish much of what is needed to streamline payroll and keep employee leave balances up to date until the employee leave module for CECC is implemented. d. Providing training to maintain the system. HR continues to make training a high priority for its staff members. Training has been offered and completed on the new SmartFind Express system, rolling over and preparing for the next year in CECC, generating CECC reports, and Monarch reporting, along with regular participation in CECC user group meetings. e. Scanning and uploading documents into a digital storage system, including providing training on how to access the records. For the last two years, HR has archived HR documents in a digital format through the services of the SoftFile Company. HR staff members who need access to these documents have been trained on the retrieval system. The scanning of documents is in maintenance mode, where Personnel Management 43 HR staff members, as a part of their regular duties, prepare documents for scanning as the need arises to archive them. The plan is to eventually acquire scanners so that the digitizing of current documents can become part of an everyday process. f. Continuing to download data from CECC to Excel as needed to perform analy- ses. HR has continued to use this process for analysis and for some forms of manage- ment reporting. g. Researching the value of integrating the Workers’ Compensation data with the rest of the system. This has been completed, and the HR Department has deter- mined that integrating the Workers’ Compensation data into CECC is not feasible, since the district has been using a software package specifically to handle Workers’ Compensation data and cases, and CECC does not provide most of the data and func- tionality. 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 such a process. h. Providing an annual NOA to every regular employee of the district, requiring feedback and corrections from employees. This was completed for the first time in 2006, and, because of staff turnover and reorganization in other departments, was not completed for 2007. HR staff members have been trained and are ready to coordinate with Business and Information Technology staff to issue NOAs this summer, in advance of each employee’s first paycheck for the 2008-09 school year. HR is responsible for ensuring that the NOAs are verified and returned by each employee (see Standard 7.1) and for answering questions that employees may have about their NOAs. The HR Department’s Operations Manager position continues to be designated as the technology liaison with the internal Information Technology Department and the COE. This has been helpful to the HR Department for coordinating and focusing on technology use, new technology devel- opment, and technology training for department staff. Work continues to automate the combining of data between the student system and the CECC system to produce CBEDS data, and to 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 Rating: 6 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: 44 Personnel Management 8.1 Staff Training Professional Standard The district has developed a systematic program for identifying areas of need for in-service training 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 essential actions to be taken, a time line for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was revised on September 26, 2006, and again on March 15, 2007. There has been no further revision to the plan. 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 professional development occurs for the division staff. No single 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 activities associated with improving academic achievement for the district’s certificated teachers. The plan also contains most of the professional development activities for site administrators associated with improving academic achievement. 4. The Information Technology Department offers classes for clerical personnel in software technology use. 5. HR initiated and maintained an online calendar (www.vallejo.k12.ca.us/calendar) that all departments could use to post professional development activities and major meetings for the year. During the site review in spring 2007, the calendar showed substantial use, although it did not contain all of the professional development activities and did not include individual activities (e.g., the Credentials Technician attending the Commission on Teacher Credentialing credentials workshops). The calendar is now blank, showing no use at all. 6. There is evidence that professional development has been a mandate of the State Administrator for all levels of staff in the district. Since there is no single point of respon- sibility associated with professional development across all types of employees, it cannot be stated that there is a systematic program for identifying areas of need for in-service training for all employees. While a plan had been developed to address this standard, it does not appear to have been followed recently. Personnel Management 45 7. The district will need to determine where the responsibility should be placed for design- ing a systematic program to identify areas of need for in-service training for all employ- ees, as is called for in the standard. While some employees are receiving in-service and professional development training, it is not attributable to a systematic program. Standard Implemented: Not Implemented November 1, 2004 Rating: 0 May, 2005 Rating: 1 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 5 June 30, 2008 Rating: 4 Implementation Scale: 46 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 essential actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on October 9, 2006. There has been no further revision to the plan. 2. During the annual August retreat for administrators, HR staff members provided a presentation to principals on the evaluation of teachers in which they delivered a revised version of The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. 3. In November 2007, HR staff provided a second training for principals as they were begin- ning the certificated evaluation process, and they included the VEA President as a partner in the presentation to emphasize the importance of following the contractual process and using the proper forms. HR conducted a voluntary informal session for all managers on employee evaluation, which they called Dinner and a Movie. 4. Training is now being provided at least once annually for all managers with evaluation responsibilities, and The Administrator’s Guide to Conducting Effective and Meaningful Evaluations has been expanded to include more comprehensive assistance and informa- tion, including the use of improvement plans. 5. All elements of the standard are fully and substantially implemented and are sustainable. Standard Implemented: Fully – Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 November 30, 2006 Rating; 5 July 2, 2007 Rating: 5 June 30, 2008 Rating 8 Implementation Scale: Personnel Management 47 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 essential actions to be taken, a time line for implementation, the responsible department/person, planned documenta- tion, and percentage completed. This detailed action plan was revised on October 9, 2006, and again on March 15, 2007. There has been no further revision to the plan. 2. Regularly scheduled district 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 to address sexual harassment and conflict management. 4. HR also sponsored training in contract management and avoiding litigation land mines and grievances. 5. While training has been provided each year, there does not appear to be a long-range plan for this type of training to continue. 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 Rating: 5 July 2, 2007 Rating: 5 June 30, 2008 Rating 5 Implementation Scale: 48 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 essential actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on October 17, 2006. There has been no further revision to the plan. 2. HR has developed a handbook for classified and certificated employee evaluations titled The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. This handbook was revised and redistributed at the August 2007 leadership meeting. 3. The FRISK Handbook - Practical Guidelines for Evaluators in Documenting Unsatisfactory Performance has been purchased. 4. HR developed a new Employee Handbook - Certificated that is part of the new employee orientation induction/training process. 5. HR developed a Substitute Teacher Informational Handbook. This handbook has not been updated or revised. 6. On October 5, 2006, HR held a training session on processing grievances and provided a handbook, Responding to Employee Grievances: A Public School Administrator’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 on the job. 8. While some professional development results in written guides and procedures, it is not apparent that this will always be a systemic outcome. 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 Rating: 5 July 2, 2007 Rating: 5 June 30, 2008 Rating 5 Personnel Management 49 Implementation Scale: 50 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 essential actions to be taken, a time line for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was revised on October 17, 2006. There has been no further revision to it. 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. The HR Operations Procedures Manual contains an administrative regulation dated February 6, 2007, titled Evaluation/Supervision - Certificated, an administrative regula- tion dated March 26, 2007, titled Evaluation/Supervision - Classified, and an administra- tive regulation dated February 6, 2007, titled Evaluation/Supervision - Management, Supervisory, and Confidential Personnel. 4. HR developed a handbook for classified and certificated employee evaluations titled The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. This guide was revised and redistributed to the management team at the August 2007 leadership meeting and contains evaluation standards and criteria related to classified or certificated positions and the evaluation forms for assessing performance. 5. HR has developed and implemented tracking procedures using the CECC system and Excel spreadsheets to ensure that all non-management employees are evaluated on the appropriate evaluation schedule. 6. HR has been following up with reminders to managers regarding the 2007-08 time line for evaluation completion. If managers fail to submit evaluations by the deadlines, their names will be placed on a list that the Assistant Superintendent of HR will take to the Superintendent. 7. Not all management employees were evaluated in 2006-07. The Superintendent distrib- uted an evaluation form for management for 2007-08; however, none of the evaluations had taken place at the time of the site review. Personnel Management 51 8. All elements of the standard are fully and substantially implemented and are sustainable. The district must take steps to ensure that all employees are evaluated on an appropriate schedule and that the schedule is clear. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: 52 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 (E.C. 44663). Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 9.2 that includes essential actions to be taken, a timeline for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was revised on October 17, 2006. There has been no further revision to the plan. 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, timelines, content, and forms for the written employee evaluations. 4. The HR Operations Procedures Manual contains an administrative regulation dated February 6, 2007, titled Evaluation/Supervision - Certificated, an administrative regula- tion dated March 26, 2007, titled Evaluation/Supervision - Classified, and an administra- tive regulation dated February 6, 2007, titled Evaluation/Supervision - Management, Supervisory, and Confidential Personnel. 5. HR notified all managers of the employees requiring evaluations during the 2007-08 school year. HR is following up and monitoring submission of both classified and certificated evaluations. Failure to evaluate an employee will result in submission of the manager’s name to the Superintendent. 6. Not all management employees were evaluated in 2006-07. The Superintendent distrib- uted an evaluation form for management for 2007-08; however, none of the evaluations had taken place at the time of the site review. 7. All elements of the standard are fully and substantially implemented and have been sus- tained for a full school year. Personnel Management 53 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 June 30, 2008 Rating: 9 Implementation Scale: 54 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. HR has a detailed action plan for Standard 9.3 that includes essential actions to be taken, a time line for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was revised on October 10, 2006. There has been no further revision to the plan. 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 the names of the teachers and their evaluation status, including teachers whose evaluations are overdue, teachers in Highly Qualified Teacher status (enabling an altered evaluation schedule), and teachers in the A or B process according to the collective bargaining agree- ment. 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 employees’ evaluations for the last three years. Lists of classified employees to be evalu- ated in 2007-08 were distributed to supervisors. Reminder e-mails are sent to supervi- sors 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 a three-month and a six-month evaluation. 5. The Assistant Superintendent of HR plans to contact administrators who do not submit their evaluations by the May 2008 deadline. If the Assistant Superintendent is unsuccess- ful in obtaining the evaluations, he will submit the names of the administrators to the Superintendent. 6. All elements of the standard are fully and substantially implemented and are sustainable. To achieve a higher rating, the process must also ensure that managers are evaluated on an appropriate cycle to be determined by the Superintendent. Personnel Management 55 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: 56 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. HR has a detailed action plan for Standard 9.4 that includes essential actions to be taken, a time line for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was revised on October 17, 2006. There has been no further revision to the plan. 2. HR revised and expanded the handbook for classified and certificated employee evalua- tions titled The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. The handbook was distributed to the management team at the August 2007 leadership meeting and HR staff conducted a workshop. 3. 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. The FRISK Handbook is still in use. 4. HR staff, in conjunction with VEA, conducted a follow-up training of principals in November 2007. The focus was on providing step-by-step instructions on carrying out the evaluation process and using the forms. 5. All elements of the standard are fully and substantially implemented and have been sus- tained for a full school year. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 8 June 30, 2008 Rating: 9 Implementation Scale: Personnel Management 57 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 level. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 9.5 that includes essential actions to be taken, a time line for implementation, the responsible department/person, planned documenta- tion, and percentage completed. The action plan was revised as of October 17, 2006. There has been no further revision to the plan. 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 Evaluations. The guide was revised and redistributed to managers at the August 2007 leadership meet- ing and contains guidance for developing effective improvement plans for certificated employees and evaluation and progressive discipline for the 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. The FRISK Handbook continues to be used. 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. 7. All elements of the standard are fully and substantially implemented and have been sus- tained for a full school year. 58 Personnel Management Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 8 June 30, 2008 Rating: 9 Implementation Scale: Personnel Management 59 11.1 Employer/Employee Relations Professional Standard The district has collected data that compare the salaries and benefits of its employees with districts of similar size, geographic location, and other comparable measures. Progress on Implementing the Recommendations of the Improvement Plan: 1. The detailed action plan for this standard was established several years ago and includes the following components: a. Continue to collect updated information to compare the district’s compensation and other data to other districts based on their size, location, funding, and type. This has been included in the HR Annual Calendar to be accomplished in November each year. However, the latest data collected was for the 2005-06 fiscal year. With the collective bargaining contracts expiring at the end of this year, the district has begun the collective bargaining process, and has contacted nearby districts to collect the most current comparative information. b. Collect copies of bargaining unit agreements from the comparable districts. Language from other districts’ contracts was used to develop the district’s initial pro- posal to the certificated bargaining unit for the negotiations completed in 2005 (see Standard 11.4). This information continues to be used for the collective bargaining process this year. Article review committees were established to start with the 2005 language, collect current language from other districts, and prepare recommended language to be included in the proposal to the union. This proposed language was reviewed by district management and the State Administrator before being submitted to the board. c. Review 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. This has been added to the HR Annual Calendar, to be done in November each year. However, the latest data that the district has from the statewide databases is for 2005-06. The district has begun collecting more current data for the current collective bargaining process. d. Add staffing and enrollment, revenues, expenditures, and other financial data to the district’s plan for comparisons with the comparable 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 Rating: 6 July 2, 2007 Rating: 6 June 30, 2008 Rating: 7 60 Personnel Management Implementation Scale: Personnel Management 61 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: The HR Department established the detailed action plan for this standard several years ago, which provides for: a. Involving administrators in the development of proposed language for the cer- tificated bargaining unit contract. The HR department has trained administrators on the collective bargaining process and asked for their input. The administrators’ input from the 2005 collective bargaining process is being used as well. Administrators were also on the article review committees, where language was collected from other districts to prepare recommended language for the district to include in its initial proposal to the bargaining unit. The district has again placed several representatives from management on the nego- tiating teams for this year. The district needs to ensure that the rest of the leadership team is kept informed throughout the negotiating process as revised proposals are discussed at the bargaining table. Once the negotiations are completed, the district should disseminate information on the general results of the negotiations process. b. Soliciting input from administrators and managers in the development of the dis- trict’s proposal to the classified bargaining unit. While it did not appear that a survey was used this year, administrators and managers were asked for input in meetings. c. The successor agreements are finalized and printed, and made available to each member of the leadership team. This would not have occurred yet for this year since, at the time of fieldwork for this report, the collective bargaining process had just begun. Once there is a settlement, the HR Department should provide training so the leadership team can make contract interpretation notes in the document to track information related to each article, such as: dates and responses to grievances; griev- ance 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 educa- tion and/or effective and efficient district operations. HR has begun this training with the evaluation process, the FRISK documentation model, and responding to griev- ances. Additional training sessions are scheduled for the rest of this year and during this summer to address other contract management components, such as evaluation. 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. While this particular method was not the process used for this year’s collective bargaining process, leadership team members were involved at some point through the article review committee process (described above). 62 Personnel Management e. HR staff meeting with members of the district negotiating teams to review the suggestions and draft reopener language or proposals for successor agreements. This was done through the article review committee process (described above) for this year’s collective bargaining process. f. At the February meeting of the leadership team, HR staff engaging administra- tors in a critique of the draft language. For the current year, this occurred in March through the article review committee process. g. In collaboration with Fiscal Services, HR staff analyzing the fiscal impact of the proposed language. Fiscal Services and HR staff are involved in costing out and analyzing proposals this year. 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 bargain- ing unit and March for the classified bargaining unit. At the time of fieldwork, the district had not yet sunshined any proposals, as it was waiting for a proposal from one of the bargaining units before taking the district’s proposals to the board at the same time. i. Ensuring that these steps are taken in preparation for each negotiations cycle by including the steps and dates in the HR Annual Calendar. This has been completed, as all of the above steps are included in the appropriate months of the HR Annual Calendar. However, it did not appear that the calendar was followed in prepa- ration for collective bargaining this year. 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 Rating: 6 July 2, 2007 Rating: 6 June 30, 2008 Rating: 7 Implementation Scale: Personnel Management 63 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 grievances for its managers and supervisors. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department developed a detailed action plan to address this standard several years ago, with the components as follows: a. Training on leaves of absence, along with a one-page protocol on managing employee leaves, is being provided to the leadership team at the start of each new school year. This training has not yet been completed in a comprehensive manner, but because HR and Payroll staff members are focused on the leave-of-absence process and leave balances, the school sites and departments have become more cognizant of the need to notify HR or Payroll as soon as an employee leave situation occurs. b. Training is provided to the leadership team every year on the certificated employee evaluation process. In addition, HR prepared and distributed the Administrator’s Handbook for Evaluations, which includes contract language and other information on evaluation for both certificated and classified employees. c. Training on the grievance procedures for both certificated and classified employ- ees was provided to the leadership team as of the time of the last progress report, but the review team was unable to confirm that additional training had been provided to the leadership team as a whole. Grievance activity has picked up in the last year, and as grievances arise, HR assists individual administrators and managers in handling the issues. The district needs to make a concerted effort to continue to provide the necessary guidance and tools to site administrators to address grievances at the lowest level possible, including handling issues before grievances are filed. d. As changes are made to the collective bargaining unit agreements, training will be provided to the leadership team on their implementation and management. As future agreements are negotiated, training must be scheduled to address any com- ponents of the contracts that managers need to be aware of that have been modified, as well as to reinforce aspects of the contracts that are implemented most frequently, such as evaluations and employee leaves. e. Old forms should be purged when new forms are developed to be consistent with new policy or contract language. Many of the forms needed by employees and man- agers have now been made available on the district’s Web site, which helps to ensure that the latest version is used by employees. f. Training will be provided annually on contract management and grievances. This had been implemented and was in effect by the time of the last progress report, but the review team was unable to confirm that this training had been provided to the leadership team as a whole during the last year. Annual training for this is included in the HR Annual Calendar for continuation of the training in future years, including 64 Personnel Management getting on the leadership team meeting schedule and agendas and making school site visitations to further the training. However, as noted in other standards in this report, the HR Annual Calendar is no longer consistently relied on. The district needs to reinstate the use of the calendar to ensure that these tasks are completed each year. The detailed action plan for this standard needs to be augmented to provide for con- tract management training as new managers and administrators are appointed. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 3 November 30 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Personnel Management 65 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 developed a detailed action plan several years ago to address this standard. The plan contains the following provisions: a. HR will facilitate the development of a set of core beliefs that will be used to guide decision-making in the collective bargaining process. i. These core beliefs will be used in the development of proposed contract language for consistency with the district’s goals and the mandates and expectations set by the state. ii. 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 the negotiations process. Also, a protocol was developed for conduct- ing bargaining 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. During this year’s collective bargaining process, the core beliefs were reviewed, slightly revised, and included again in the district’s initial proposals. When the pro- cess for this year began in mid winter, a set of ground rules had been established and agreed to by both parties. 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 VCUSD 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 fiscal impact and its impact on student achievement. The district and its bargaining units agreed to use the interest-based bargaining process for negotiations in 2005, for which training was provided. The intention was to provide refresher training as the parties enter contract negotiations in the future. While this refresher training has not occurred, and while there isn’t agreement by both parties to fully implement the interest-based bargaining process, many of the concepts are being implemented to guide the parties as they go through the collective bargaining process this year. 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 operating budget in the current fiscal year, as well as in future years. For this year’s collective bargaining efforts, both Fiscal Services and HR will be involved in assess- ing the fiscal and practical impacts of proposals. 66 Personnel Management d. The HR Annual Calendar contains the dates for sunshining contract reopeners and/ or full successor agreements with the certificated bargaining unit in February and the classified bargaining unit in March. This year’s negotiations have begun later than what was specified in the calendar. As of the time of fieldwork in April, the district had not yet sunshined its initial proposals, as it was waiting for the initial proposal from one of the units. 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 in 2005, the district included language to address most of the areas of concern in the contract, and had noted other provisions that needed to be considered in future successor contract negotiations. The district has continued to use this work as the baseline for its article review committee process that resulted in this year’s initial proposal to the bargaining unit. 3. The district continues to hold monthly meetings with each unit to continue communica- tion 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 Rating: 7 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: Personnel Management 67 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. It has been three years since the collective bargaining contracts were completely open for negotiation. During that time, the State Administrator handled collective bargaining. Now that the district has local control of some areas of governance and the Superintendent and the board have responsibilities with regard to those areas, HR and the district’s attorney have provided training to the board on what to expect during the upcoming collective bargaining processes. HR needs to continue to develop a more comprehensive process that provides management and the board with ongoing information on the impact of bargaining proposals on student outcomes, staffing, fiscal management and management flexibility. 2. For the collective bargaining efforts that are just beginning, Fiscal Services and HR expect to provide information on the fiscal and practical effects of various proposals that arise during negotiations. It is too early in the process to effectively evaluate how this is being done. The Business Department regularly provides multiyear projections with its budget updates, which include the effects of negotiated agreements. The department is required to file multiyear projections with the collective bargaining disclosures filed with the county office of education for each settlement. 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 Rating: 5 July 2, 2007 Rating: 5 June 30, 2008 Rating: 6 Implementation Scale: 68 Personnel Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 6 6 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 8 9 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 9 10 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 8 8 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 69 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 6 6 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 7 7 The Personnel Division staff is cross-trained to respond to client need without delay. The identified subset of standards appears in bold print. 70 Personnel Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.5 0 6 4 6 7 8 4 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 71 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 8 9 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 9 9 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 8 9 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. 72 Personnel Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 73 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 8 9 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. 74 Personnel Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 7 8 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 7 7 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 75 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 6 6 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 8 9 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 8 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. 76 Personnel Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 8 9 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 8 8 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 77 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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. 78 Personnel Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 79 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 6 6 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. 80 Personnel Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - USE OF TECHNOLOGY The certificated and classified 7.3 2 2 2 4 5 6 7 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 7 7 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 5 4 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 81 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 5 8 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 5 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 5 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 8 8 regular function related to each employee and involves criteria related to the position. The identified subset of standards appears in bold print. 82 Personnel Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 8 9 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 8 8 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 8 9 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 8 9 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 83 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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. 84 Personnel Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 85 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 6 7 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 6 7 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 8 8 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 7 7 bargaining with its employee groups (i.e., traditional, inter- est-based). The identified subset of standards appears in bold print. 86 Personnel Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 5 6 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 87 Pupil Achievement Pupil Achievement Overview of the Reform From fall 2004 to spring 2008, Vallejo City Unified School District has shown steady improve- ment in addressing the pupil achievement standards for planning processes, curriculum, instructional strategies, assessment and accountability, and professional development. Vallejo City Unified, like many urban school districts, has a diverse student body that performs below standard on the California Standards Test (CST). The student achievement picture in Vallejo did not develop overnight. The district had lacked strong instructional leadership during a period of intense change in state and national educational standards and expectations that began in the late 1990s. At the time of the original FCMAT assessment in fall 2004, the written artifacts of a well-run instructional program were either missing or seriously outdated, indicating that the focus, coherence, and results of the instructional division had been compromised. Many positions in the instructional division were either open or held by interim staff. Most of the division’s job descriptions were 10 or more years old. Board policies relating to students and the instructional program (5000 and 6000 series) were even older. As might be expected, schools were seriously impacted by lack of district leadership. A survey completed by teachers and principals the previ- ous spring indicated that implementation of the nine essential components of standards-based programs identified by the state was partial, incomplete, or not yet initiated. For example, texts were neither current nor adequate, and professional development funded by state grants for teachers and principals had not been applied for and provided. Thus, the newly formed Academic Achievement and Accountability division of the district began the task of implementing the essentials in the schools and creating an instructional structure for the district. The reform centered on aligning school programs and classroom instruction with state stan- dards and research-based practices, including aligned texts, materials, pacing guides, and formative assessments linked with a focused professional development agenda. Other initiatives and strategies have been added over time, including learning communities and increased high school graduation requirements, and targeted interventions for students performing below standard. At the district level, the division produced: (1) the Vallejo Instructional Action Plan, which outlines the vision, direction, and actions to be taken in the interest of student performance; (2) a written organizational chart with new job descriptions and lines of supervision and reporting for the district staff; (3) high school course descriptions and graduation requirements: (4) a new Master Plan for English Language Learners; (5) PI corrective action plans in conjunction with SAIT consultants; (6) a modified protocol for the single school plans; (7) a document explaining the basis and process of principal evaluation; and (8) descriptions for students and parents of behavior expectations along with processes to support them. Policy revision has been slow, but seven new policies related to pupil achievement have been approved. Student Access and Opportunities to Learn As the new program reforms were getting under way, the district was identified as a Title I Improvement district and began developing corrective action plans. Prior to the development of these plans, district and school leaders had already embarked on an effort to address the serious learning gaps between groups of students in the district by implementing universal access time in elementary schools and increasing the qualifications of all teachers to work effectively with Pupil Achievement 1 English learners. The new plans focused and accelerated the earlier work and brought secondary schools into the intervention efforts. Special education students, programs, and teachers had also been included in the reform. Currently, district leaders are developing a model of Response to Intervention (RtI) for implementation in district schools. The district created a system to collect data on and analyze critical student and student-related behaviors such as regular attendance, classroom engagement, discipline, dropouts, and health and safety issues that disproportionately impact the lowest achieving students. A climate planning team designed the first steps to address student discipline systematically and proactively, includ- ing: refining the student discipline database so that schools can intervene in a more timely way and measure their results; creating a theory of action about the district’s role in school culture and climate; developing a climate assessment survey and rating system; and selecting and begin- ning training for the implementation of a student behavior program. Student Achievement While district planning objectives and resource allocations are based largely on student needs and the essential program components identified by the state, the reality of day-to-day implemen- tation is quite demanding and student growth has been uneven. At the time of this report the three years of CST data available (2005, 2006, 2007) for use in the current progress report show small overall gains, plateaus, and losses in the districtwide percentage of students meeting or exceeding the state standards in reading/English language arts and mathematics, with considerable variation at school, grade, and subgroup levels. Districtwide Percentage of Students Proficient and Advanced 2004 2005 2006 2007 English Language Arts, Grades 2-11 27.7% 31.6% 32.6% 32.6% Mathematics, Grades 2-7 and End-of-Course 21.3% 26.6% 29.6% 28.3% The achievement gap that affects African American, low income, and special education students persists, except in a few schools that are making notable growth with all groups on the CST. District assessments compare cohorts rather than individual students. An analysis of scale scores using a student growth model that accounts for changes in student demographics, teacher quali- fications, and other variables would present a clearer achievement picture. (This type of analysis may be available from the state in the future.) District and school leaders offer evidence beyond the CST in other measures, such as the bench- mark assessments, walk-throughs, and anecdotal data, that the reform is taking root, particularly in the lower grades. There is an impressive leap in the percentage of students scoring six or higher on the CST 4th and 7th grade writing assessment. The percentage of students needing sec- ondary school interventions in the coming year continues to decline. Also of particular note, data indicate that the English learner program is addressing language acquisition in the district, meeting all three Annual Measurable Achievement Objectives (AMAOs), as required by NCLB, in 2007. Near the end of the fourth year of the reform, with the necessary organizational structures in 2 Pupil Achievement place, many district and school leaders believe that they are now ready to pursue a deeper level of implementation, focusing on the “quality of what we are doing and trusting ourselves to refine based on what students need,” according to one principal. As the reform shifts into another phase under new leadership, it will be important to continue to improve the quality of data and data analysis and provide teachers and principals with tools to make good decisions on behalf of students. Accountability for All Leadership in the district and schools has been critical to creating an instructional program for the district. It has been evident in the consistency of message; the focused curriculum and instructional choices; the ready use of the available data in improvement decisions; the partner- ship between district and site administration; and the ongoing assessment and reflection that is built into district routines. The highest quality teaching is required for a district with such diverse learning needs, along with a district commitment to their professional growth in their subject field. Furthermore, the allocation of resources to standards-based work in the schools in the form of regular assessments, coupled with teacher collaboration time to work on improvements, reflect the belief that everyone in the system is capable and accountable for the improvement of teach- ing and learning, given the proper tools. At the board level, support for accountability comes in the form of clear, written expectations that describe what is expected from students and adults in the school system (vision, goals, standards, plans, policies and regulations, for example) coupled with the expectation that they will be monitored, evaluated, updated, and corrected as needed. Pupil Achievement 3 4 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. In fall 2004, Vallejo City Unified School District created a vision that emphasizes (1) access to necessary knowledge and skills, (2) a safe and orderly environment, and (3) systemic supports, including fiscal stability and capacity to sustain improvements. The vision of what students should know and be able to do is evident in the development and implementation of a common curriculum, based on the state standards and shored up by state-aligned texts and materials, pacing guides, formative assessments in English lan- guage arts and mathematics, and relevant principal and teacher training. A spring 2007 letter from the State Administrator welcoming incoming 9th-graders and introducing the 2007-08 high school course catalog demonstrates the movement to a col- lege preparatory high school course of study. Steady strides toward access and equity in the curriculum for all students include the systemic support for underachievers, English language learners, and special education students via support curriculum and embedded classes during the school day. 2. Policy development shows the board’s commitment to the vision and the means of imple- menting and evaluating programs, including Vision and Goals (BP 6000a), adopted April 5, 2006; Core Curriculum (BP 6000b), adopted April 5, 2006; Assessment and Testing (BP 6000c), adopted April 15, 2006; Program Evaluation (BP 6000d), adopted June 21, 2006; and Promotion and Retention (BP 6000e), adopted October 18, 2006. In spring 2007, Student Discipline (BP 5000a) was adopted. BP 6146, High School Graduation was adopted on February 6, 2008, along with regulations. Overall, however, policy development and board approval has moved slowly. The poli- cies and regulations for curriculum and instruction (6000) and for students (5000) should undergo a thorough process of review and revision based on current regulations and be given priority on the board agendas. 3. The vision/goals are featured on the district’s Web site and in board agendas. The new instruction policies, along with the new student policies, are posted on the Web site in the board section. However, many critical instructional and student areas continue to be officially guided by outdated board policies. The vision statement anchors the Vallejo City USD Instructional Plan, which is currently the district’s action plan, and is also included in the single school plans and the new English Learner Master Plan. The supervision and evaluation of principals is connected Pupil Achievement 5 to the vision and instructional action plan with visits and discussions with principals, and the review of an evidence portfolio that encourages reflection. Coaching by an outside provider was established for the principals of three at-risk schools in 2006-07, as was leadership training in the middle and high schools. Standard Implemented Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 8 Implementation Scale: 6 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. The original FCMAT assessment in fall 2004 found little evidence of administrative structure or of current job descriptions. By fall 2005, the district had developed an orga- nizational schema that was both horizontal and vertical. The vertical dimension was the traditional organizational chart showing the titles and lines of supervision and reporting. The horizontal dimension formalized the collaborative work going on among district divisions to align people with resources and focus them on the district’s goals and priori- ties. The horizontal dimension was intended to keep students at the center of all district activity to overcome the effect of separate structures. In theory, the work of the horizontal teams included both ongoing tasks and ad hoc ones, though in practice, most horizontal work was ad hoc. The organizational structure also provided new job descriptions for all district staff that listed titles, responsibilities, and lines of supervision. Evidence of the interaction of the central administrative structure in fall 2006 included: (a) formation of a horizontal team of staff from the Student Support Services and Aca- demic Achievement and Accountability (AAA) departments to work on implementing elements of the school climate plan together; and (b) some reorganizing of the AAA department itself to create better communication and focus. The division maintains a portfolio of evidence and provides reflections on its own effectiveness and progress in improving student achievement. In spring 2007, fine-tuning of the organizational struc- ture to support student achievement appeared in the linking/integrating of the school climate/culture plan implementation to the AAA department. 2. The original assessment conducted by FCMAT in fall 2004 found that principals had been left out of the communication loop the previous spring as the district entered fis- cal crisis and came under state scrutiny. Regular principals’ meetings were canceled and many principal evaluations were not completed. Subsequent actions by district 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 principals’ evaluations 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 time line and process for the completion of the evaluation activity. b. Interviews of a sample of principals at all levels in fall 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. In the fall and spring of the 2006-07 school year, principals and teacher leaders who were interviewed reported the positive support they received through district supervisory and evaluative structures such as regular walk-throughs and school portfolios. Pupil Achievement 7 c. In May 2008, principal interviews show the evaluation process to still be robust and for most, meaningful and helpful. There is some lack of clarity about prospective changes that are being discussed by the new superintendent and how those changes will impact school programs and priorities, as well as expectations for principals. Additionally, statewide budget cuts create uncertainty, although principals continue their focus on students. d. 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 foster two-way communication between the principals and central administration, as well as continued professional growth. In May 2008, there was a new structure of administrative meetings and committees under the leadership of the new superinten- dent. e. Board Policy 1000a Media Relations, adopted January 11, 2006, states that the super- intendent will develop a crisis communication plan. The plan should address internal as well as external communication during a crisis. Recommendations from the school climate committee (September 20, 2006) indicate that improvements to the district’s phone system and other avenues of communication will be addressed. f. 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 indicated that “ownership for students is taking hold” as exemplified in the work on middle and high school master schedules that enabled the schools to provide to all students, including English learners and special education students, appropriate instruction identified as intensive and strategic. g. In spring 2007, principals and teacher leaders spoke openly of their working relation- ship with district leaders, including involvement in the decisions and ongoing evalua- tion and mid-course corrections of new programs and practices. h. In May 2008, school leaders are aware that the change of district leadership may mean changes in priorities, but they have no specifics about what that will mean for their school programs. 3. Compared with the 2004 opening of school in the district, the 2005 opening of school was vastly improved. In particular, with a 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 include central ordering, purchasing and delivery of textbooks, classroom cleaning, trans- portation, bell schedules, food services, secondary student schedules, and teacher orienta- tion and buy-back days. This matrix also shows the horizontal teamwork 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. On the October 2006 board agenda, the State Administrator reported a smooth opening of school. Principal interviews affirmed the generally smooth start of their schools. Classroom observations showed instruction to be proceeding. The effects of administrative supports, such as teacher staffing, a working schedule, instructional materials and teacher training, were 8 Pupil Achievement all evident. Sample classroom observations at three levels during October 2006 showed students to be engaged in serious standards-based lessons, including those in SDAIE mathematics. 4. In spring 2006, the State Administrator’s focus on student attendance was evident, includ- ing monthly reports and an attendance contest among the schools. By fall 2006, a representative school climate committee had developed recommendations to incorporate into the State Administrator’s Action Plan. These included a schoolwide behavior program, teacher and staff training for successful implementation of the program, classroom management support and progressive discipline practices for the schools. Additional recommendations addressed the campus supervisor position, parent support, adult consistency, and school communication systems. The improvement goals for school climate were accompanied by a plan for consistent collection and analysis of student behavioral data (attendance, suspensions, and expulsions) that provided an oppor- tunity for evaluation and ongoing improvement of behavior. Several school staff observed or interviewed in October 2006 spoke appreciatively of positive new developments in school climate, noting areas where they could use additional help with student behavior. In spring 2007, the new student behavior program Second Step had been selected and training was under way. There was a strong feeling among staff interviewed that the program quality and consistent messages to students and parents were visible signs of the district’s administrative structure promoting student school behaviors that supported academic achievement. In May 2008, principals spoke about their regular discipline reports and how they were using the information to work with students and parents on attendance and other disci- plinary issues. Several teachers spoke of the implementation of increased expectations for student behavior. Standard Implemented Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Pupil Achievement 9 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 program components with objectives, benchmarks, due dates and completion dates. 2. The State Administrator’s goals have become the district’s vision and goals in the Instruc- tional Plan. District goals to support and improve student achievement are also found in revised 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 Promotion and Retention (BP 6000e), adopted October 18, 2006. High School Graduation Standards (BP 6000f) was adopted with regulations on February 6, 2008. The regulations outline the phase-in of the a-g requirements for the class of 2011 as well as alternative means for completion of the course of study. In May 2008, there is an intent to revise the district goals and to develop a strategic plan as the district passes to local control under new leadership. 3. The original comprehensive assessment conducted in November 2004 found categorical programs to be working with good intentions but not fully aligned with mainstream pro- grams or state standards. Several actions taken by the AAA division clarified and strength- ened the role of categorical programs in supporting and improving student achievement: a. In fall 2005, a matrix titled General Education and Categorical Programs Work- ing Together was provided to show the role of categorical programs in supporting learning and school improvement. The district worked toward greater coherence in a system where the base programs in the core areas were stable and categorical programs that supported identified students aligned with the core. b. Also in fall 2005, the district entered state/federal district Title I Program Improve- ment. As a result, a School Assistance and Intervention Team (SAIT) developed site plans (February 2006) identifying corrective actions and benchmarks in nine essential areas: instructional programs, instructional time, principal leadership training, credentialed teachers and professional development opportunity, student achieve- ment monitoring system, ongoing instructional assistance and support for teachers, interventions for students below grade level, and fiscal support. These areas parallel the FCMAT standards, and validate the four district strategies selected to turn around student achievement. Identifying secondary schools for SAIT corrective action was an important step, though impacting student achievement at this level is complex. 10 Pupil Achievement c. By spring 2006, a new director and assistant director for categorical and English learner programs began work 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 time lines for plan completion guided the work of the department. The director of categorical programs used the Coordinated Compli- ance Review (CCR) self-study as an opportunity to review compliance and quality elements in all programs. There were no findings against the district. A draft of the Master Plan for English Learners was available in fall 2006, though by spring 2007 it had yet to be board approved. It is slated for the board agenda in June 2008. d. The substantial effort to align special education and English learner instruction with state standards, to the degree possible, is evident in the schools. Observations in second- ary schools both in fall 2006 and spring 2007 showed schedules that accommodated students with special needs or with English language development requirements. Additionally, students with intensive or strategic needs in English and math were provided instruction during the school day in the secondary schools. These classes were supported by special materials (REACH and Language!) and teacher training. In the May 2008 review, the team noted there has been modification to the time scheduled for secondary intensive classes in favor of more core curriculum opportunities. 4. The Director of Assessment provided 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 presentations to staff. Datawise was also used to manage and display the 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 spring 2007 interviews and visits, it was noted that consistently since fall 2005, principals reported that the formative assessments, along with aligned material, pacing guides, and training and collaborative opportunities contributed to greater commitment to, success in, and individual teacher accountability for standards-based teaching and learning. Agendas for district professional development days demonstrate the routine use of data in discussions of curriculum and classroom practice. Principal interviews and school visits in fall 2006 and spring 2007 indicated that principals and teacher leaders used data to work with school faculties. Some asked district assessment staff to help explain and present findings from the state assessments. The routine use of data by teaching staff to track student performance was a boon for special education staff as they developed and phased in a more data-based system as required under the Individuals with Disabilities Education Act. School staffs appeared ready for the more sophisticated data analyses that were possible by connecting multiple databases, such as achievement and student behavioral data and other student information. Pupil Achievement 11 Principal interviews in May 2008 reinforce the critical role that data play in the work of the staff, particularly in elementary schools. Principals also use these data for classroom supervision planning. There is some variation in principals’ views of the access and format of data. Several are ready for teachers to have more opportunity to work with data; others would like to have more routine structured reports from the district and less teacher time involved with reading assessments. 5. By the fall 2005, two significant efforts were under way in an effort to continually moni- tor student attendance and behavior: (1) the Aeries system to track absenteeism and sus- pensions and to print reports that showed patterns in these areas (several principals used these functions); and (2) a Student Support Services Division established for accounting, monitoring and reporting student attendance and behavior, and for coordinating effective interventions, providing training, and coordinating the work of principals and counselors. Awareness of instructional time lost through unsystematic attendance and discipline practices and a plan to address these were significant steps in achieving equity of access to learning, decreasing dropout rates, and improving assessment results. Subsequent visits to the district have shown ongoing efforts to impact student school behaviors, as outlined below. Evidence of district accomplishments in student services in spring 2006 included: a. 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 coordina- tion of the school resource officer program and liaison with the Vallejo Police Depart- ment. The State Administrator and director promoted improved student attendance through a contest among schools, with individual prizes for high attendance. b. A press release in late February 2006 that outlined the district’s plan to withhold work permits for chronic absentees and to work with the SARB process and the county assistant district attorney to tackle truancy issues in the district. In May 2008, the work permit process continues to contribute to school attendance and academic progress as well as initiating additional parent contact. c. Agendas for the meetings of assistant and vice principals addressed a series of topics to assist staff with discipline decisions: due process, expulsion procedures and time lines, 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, includ- ing county counsel, facilitated these sessions. Further developments in student services in fall 2006 included: a. Use of the Aeries system to collect, analyze, and monitor student attendance and behavior. The baseline year 2006-07 data analysis indicated that grades 7, 8, and 9 were critical areas for behavior incidents and referrals. Plans were developed for prevention, intervention and support at these grade levels. 12 Pupil Achievement b. The work of the Safe School Climate and Behavior Committee, which resulted in a series of recommendations for incorporation into the State Administrator’s Action Plan to improve the quality and safety of the district’s learning environment. The committee was broad-based and included staff and community. The State Administra- tor 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 educational series. Spring 2007 interviews and documentation found that a student behavior program, Second Step, had been adopted for use throughout the district and that training was under way in some schools. For school site members, this was one more sign that central leader- ship had heard their concerns and need for support. The selection and implementation of the program was conducted under the auspices of the AAA department. Second Step is a cognitive program that develops empathy, impulse control, and anger management skills with lessons based on a five-step problem-solving strategy. May 2008 interviews with school and district staff indicate that many of the behavioral prevention and intervention strategies have taken root. Some schools had previously implemented Peace Builders; others are using Second Step. There are complications for some schools in finding places in master schedules for these types of programs. Principals speak well of the legal training on behavioral issues for themselves and the SB 1626 campus supervisor training. Several principals indicate they are able to more confidently address student behavior issues in the classrooms with better data and strategies. 6. Student health services come from the School-Based Health Center at Pennycook Elementary School, which is in its second year of operation. Services clients receive include immunizations. A Student Wellness policy (BP 5000b) was approved by the board on August 9, 2006. Spring 2007 visits found that the second student clinic, in partnership with Kaiser Foundation, had opened on the Bethel High school campus. Standard Implemented Fully - Substantially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating 8 Implementation Scale: Pupil Achievement 13 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. The district’s planning centers on increased standards-based performance for all students, which includes aligning essential instructional components. As indicated in Standard 1.3, the district has completed and is implementing the VCUSD Instructional Action Plan, with objectives and benchmarks for the essential components and the corrective action plans, developed through the SAIT process. District instructional leaders have imple- mented 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 to establish accountability. Core Curriculum (BP 6000b), lists the key components 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 dis- trict’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 district’s focus on increased student performance. The revision and adoption (October 18, 2006) of Promotion and Retention (6000e) supports the success of students in the core program. In spring 2007, district leaders indicated that as more critical program quality components fell into place, their planning would be more centered on “quality” and “intentionality” in the implementation of the instructional program. In May 2008, school principals and leaders talk of intentionality and quality of imple- mentation as well. Additionally, there were reports of dialogue on the meaning of “fidel- ity” in implementation, which may have been confused with script reading. One principal spoke of the need, now that core access to standards-based instruction is assured, for teachers to be able to “go deeper” into the curriculum standards. 2. School plans focus on supporting increased student performance and have a consistent format, along with key elements indicating direction, cooperation between the district and schools, and assistance in their development. As a second phase, the district has developed a school planning process that retains the district focus but where school issues and needs guide local decisions. A matrix shows the areas of the school plan that are the district’s responsibility and those that are the school’s responsibility. The school plans are data-based and focused on causality so that solutions target the cause of underachieve- ment. The SAIT Corrective Action Plans for schools support this goal. A review of a sample of school plans in fall 2006 showed: (1) reference to school and district achievement data; (2) a distinction between district corrective action plans and single-school plans; and (3) a system of ongoing reflection and evidence-based evaluation 14 Pupil Achievement of progress. After school ended for the 2005-06 year, a full day 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 daylong session was facilitated to keep the teams focused on evidence. 3. In May 2008, there continues to be substantial evidence of data-based school planning with staff involvement at the elementary level, with efforts to use effectively various cat- egorical funds, including Reading First in some schools, to promote student achievement and school goals. The principals interviewed in fall 2005 and spring 2006 reported that they had been provided a data package for their schools on the CST data. 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. Use of data for improvement is a regular item on principals’ meeting agendas. Administrators have seen additional focus on the use of attendance data for improvement, led by the State Adminis- trator. 4. In spring 2007, the implementation of a new student behavior program was accompanied by baseline data on student referrals with a plan for regular monitoring of data to assess program effectiveness. In May 2008, many principals indicate that the behavioral data are an impetus for them to conduct more systematic preventative actions with students and dialogues with parents. Standard Implemented Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Pupil Achievement 15 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 Instruc- tional 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 documented further progress in implementing the core curricu- lum, particularly in the middle and high schools where change and adequate supervision and support can be complex. This included: (1) bell schedules that ensured 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. Revised report cards were in use in elementary schools, which included the essential standards at each grade level. Collaboration schedules and teacher commitment to collaboration continued to grow and improve, with particular gains in the middle and high schools. BP 6000e, Promotion and Retention (adopted October 18, 2006), has been revised to conform/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. A draft of an updated high school graduation policy was developed to clarify the core cur- riculum for district high school students. It included a phase-in to 2009 of increased subject requirements in mathematics and modern languages. A spring 2007 letter from the State Administrator to parents of incoming ninth graders explained the new graduation require- ments, which were being phased as a path to greater rigor for all students. In May 2008, a board-adopted graduation policy (BP 6000f) and regulation identifies the a-g university requirements as the course of study for students and outlines a phase-in plan for the class of 2011 as well as approved alternatives. 2. By fall 2005, the district had composed the VCUSD Instructional Action Plan, show- ing the relationship of the vision to the district’s goals and objectives for instructional program implementation. This plan used many research-based strategies. The ongoing implementation of objectives in the plan was validated by interviews and documentation. The district leadership noted that the Reading First grant in seven schools was anticipated to bring more rigor and consistency to the district’s K-3 programs. District assessments would need to align with this program. 16 Pupil Achievement School visits in fall 2006 showed teacher efforts to provide equal access to the core instruc- tion. For example, 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. Visits to two secondary schools in spring 2007, with a focus on observations of strategic and intensive classes, found that specialized materials for the reading and math levels of students, additional time, and training for teachers in the use of the scripted materials (e.g., Holt Interac- tive Reader, Language! and Reach in reading/English language arts) were in place. In May 2008, the effects of the Reading First program demonstrate that this group of schools is performing above the norm. Cooper Elementary, a former SAIT school, was one of the four top performing Reading First schools in California, achieving a 50.79 on the Reading First Achievement Index (a composite of four measures). 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 communi- ties 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 and by spring 2006, corrective action plans had been developed. Agendas, minutes, and explanatory pieces showed the district preparing the plans for implementation. The district and schools were required to implement all nine components of the Academic Program Survey (APS) to ensure equal access and equity. This plan was intended to assist district leaders in attain- ing full implementation of the state standards for reading/English language arts and math. The components of the APS dovetailed nicely with much of the work already in progress and was based on three guiding principles (equity, transparency, and collaboration) that the AAA division had promoted and supported in the schools. It is especially helpful that secondary schools, where change is complex, are receiving the guidance and support to address the core curriculum and implement the nine components. In fall 2006, changes in high schools were evident in school schedules, intervention and support classes, and newly implemented formative assessments. In spring 2007, as indicated above, curriculum, student learning materials, and teacher training to address underachievers at the secondary level were evident. The assessment protocols for student placement and the development of entrances onto student graduation paths should help schools avoid the potential inequities sometimes found in grouping practices. Pupil Achievement 17 Standard Implemented Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: 18 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 was central to the State Administrator’s plan to improve student achievement and included the following: (1) having clear measurable goals; (2) aligning resources to accomplish goals; (3) monitoring progress; (4) using proven instructional materials consistently; (5) developing immediate interventions at the student, teacher and school level; and (6) providing focused, data-driven professional development. At that time, the district was in the midst of implementing the model, which was 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 curriculum-embedded assessments, and training on the adopted ELA materials. Middle schools were using pacing guides to improve access and rigor; administering common assessments 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 assessments; and using meetings, department time and walk- throughs to improve instruction. The May 2006 progress report found the process of alignment among standards, practices, and assessments to be further supported by the SAIT corrective action plans required because Vallejo had been identified as a Program Improvement district. The minutes of the District Program Improvement Team (February 13, 2006) for second- ary schools showed careful planning to bring school site employees into the corrective actions as part of the overall effort to align program elements and improve achievement. Administrators and teacher leaders were given 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 intervention classes; and (5) secondary master schedules aligned to meet the diverse needs of students. To sustain this work, the AAA division reorganized people resources and developed a new structure that could be replicated in other areas. A five-circle logo showed “align- ment to improve student achievement” from the board down to measurable student out- comes. Another such logo could show the standards alignment, materials, pacing guides, interventions, training and assessments leading to the desired outcome. Pupil Achievement 19 2. Documents, sign-ups, participant evaluations, and principal interviews showed that the alignment of professional development continued with AB 466 and AB 75 training. Two hundred ten elementary and middle school teachers voluntarily participated in English language arts AB 466 training and 16 of 18 principals participated in AB 75 training. Written evaluations from the participants and reports from the principals characterized the summer workshops as effective and empowering. A schedule was developed through January 2008 for AB 466 and AB 75 ELA and math trainings. Math teachers representing all middle schools participated in a two-year grant-funded program through August 2007 designed to help students complete algebra successfully. Algebra teachers met in February 2007 to review student misunderstandings and consider strategies to approach these issues in the classroom. Teachers who taught support, strategic, and intensive classes for the 2006-07 school year received specialized training in the use of the materials and pacing guides. The reform coordinators indicated that the program trainer visited classrooms to assist individual teachers, as needed. Professional development calendars and sign-in sheets for workshops demonstrate the district’s steady effort at the AB 466 and AB 75 trainings that help teachers and principals align standards, materials, assessments and classroom practices. Teachers have committed to trainings during spring break and summer, and sessions for English language develop- ment (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 supporting the training and of teachers who give their own time to it. In May 2008, most principals interviewed identify the alignment of the AB 466 trainings to their program implementation and ongoing improvements, in addition to pacing guides and formative assessments, as critical to progress in their schools. Alignment resonates well with many teachers and principals, particularly the pacing guides. One principal spoke of the longtime problem of student mobility when there was not certainty that the books and material used at new schools would be similar to ones at their previous schools. “Teachers did not have common expectations or goals within a school, let alone within the district. Now because of state standards and pacing guides and professional development, students who move will find [similar standards, materials, and goals].” However, this highly focused and standards-aligned program continues to have some detractors. 20 Pupil Achievement Standard Implemented Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Pupil Achievement 21 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 recommendation for this standard in the initial assessment and report to the district was for the district to create 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 district’s size and the fact few staff members had attended these workshops. The district was con- siderably behind other school districts in utilizing the special state funding and training program. Subsequent progress reports have documented the steady progress the district has made on this recommendation. The district made the trainings a high priority, and district leaders, principals, and teach- ers all committed time and effort so that a remarkable number of teachers and principals have completed them. Resource specialists and EL teachers have participated in the train- ing and received relevant materials. The summer 2006 training schedule was intensive and included training for teachers in supporting English learners. The training schedule and completions are well documented with calendars, rosters, invoices, evaluations, and various debriefings. A monitoring system identifies comple- tions and teachers who have yet to attend workshops (mostly new teachers). The cor- rective action plans urge the schools and district to train all ELA and math teachers and principals. Support and coaching for teachers learning new curricula and methodologies is avail- able through teacher leaders in the elementary schools and reform coordinators in the secondary schools. The district provides support and coaching to principals, and several principals have an outside coach to work with them. In spring 2007, the ongoing commitment to AB 466 was evident in the summer training schedule. Besides training sessions for the core text materials, there was specific training for the intervention classes and materials. Mathematics teachers participated in a lesson study approach to algebra instruction. In May 2008, the district commitment, along with that of most principals, to AB 466 training remains steady, though recent enrollments appear to be falling off. 22 Pupil Achievement Standard Implemented Fully - Substantially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Pupil Achievement 23 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 the original comprehensive report findings in fall 2004 noted, the district statement on equal access is in board policy, and a non-discrimination clause is included in parent notifications. In spring 2007, uniform complaint policy and procedures were posted at stations throughout the district in a brochure (copies of the policy could not be found outside the policy manual during visits in 2004). In May 2008, the forms could be found on the Web site. The district has developed a vision statement saying that all students will be provided with access to the necessary knowledge and skills to access higher level education and career opportunities. However, a district that provides equal access to educational oppor- tunity has to be proactive. In that regard, the district has made progress that indicates an awareness of the learning opportunity issues in the district’s schools and community and the intent to overcome them. Strategies implemented in the course of the reform include the following: a. The use of assessment data to identify students who are not succeeding and to inter- vene with support, placement in differentiated curricula, and other critical services. b. The collection of behavioral data and the initiation of more systematic approaches to school climate and student behavior issues, notably, pinpointing grade levels and specific groups with high disciplinary contact, and proactively adopting a behavioral intervention program in spring 2007, Second Step. In May 2008, the use of a regular behavior data report by principals to identify student and parent needs is in evidence. Some schools are using Peace Builders and others Second Step, but not all schools are implementing this type of preventative program. Scheduling in the school day appears to be problematic in some schools. c. A pilot investigating the use of an EL Teacher Leader who can provide professional development and coach teachers to improve instruction. 2. For the community, a redesigned district Web site is more accessible, attractive, rel- evant, and timely, though portions are still being developed. On the Web, the agendas and actions of the board are more transparent, and board policies are posted. There is a “how to” section on the site (apply for GATE, file a complaint, etc.) that, when fully implemented, may help improve parent and student access, particularly as more items are added in key community languages. 24 Pupil Achievement In May 2008, development of the help sections of the Web site has progressed. However, it continues to be underutilized for communication with students, parents, and community and is not updated in all areas (the 2007 test reports are not posted). 3. Beginning in fall 2005, the district provided principals and schools with assessment data showing ethnic and other subgroup growth over time in an informational workshop ses- sion. The performance gap between and among ethnic groups was identified at that time as a major district concern, and improvement of training, materials, and practices to better serve students performing below standard continue to be addressed in an ongoing and purposeful way. Increasing the achievement of subgroups has required addressing and monitoring the academic growth of special education students and English learners, as well as identifying other struggling students for interventions. 4. From fall 2005 to spring 2008, several district initiatives, actions, and research-based practices form evidence of the district’s response to the need to improve access for all learners: a. A universal access period for elementary schools with targeted interventions was implemented in fall 2005. Students were identified for intervention based on CST and Datawise scores. A board presentation on October 19, 2005 explained the rationale for an aggressive intervention program backed by people, time, and funds 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. Subsequently, the quality and precision of the inter- ventions have changed, with additional improvements and mid-course corrections. b. Corrective actions and benchmarks for program improvement site plans (spring 2006), which support equal access, have been developed under Title I District Improvement. The March 17, 2006 staff development day agenda showed all staff working on underachievement and intervention, including a common training session for ELD teachers. c. 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. d. Improvement of access to instructional minutes was seen in the 2005-06 implementa- tion 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 that would prepare them for success on the CAHSEE. Middle and high school schedules contained secondary intervention courses. e. During the 2006-07 school year, secondary students identified as “intensive” or “strategic” were afforded targeted instruction within the school day. This initia- tive required significant work with master schedules and student identification for placement, as well as teacher training for and the purchase of Holt, REACH, and Language! for use in ELA/reading interventions. High school pathways were ana- lyzed to show how students in intervention classes could stay on target for graduation and possibly complete a-g courses. Pupil Achievement 25 In spring 2007, elementary and middle school district protocols for the placement of students in sixth and ninth grade interventions and data analysis sessions at the middle school level to assess progress were evident. Four measures (the CST plus three program entry level and diagnostic assessments) were designated for use in placement recommendations. This process is important for proper placement, making it more objective/scientific. Observations of secondary intensive and strategic classes in ELA and math provided evidence of the actions of the district and schools to ensure that students received the “catch-up” instruction they needed to continue to grow. Second- ary principals noted that they expected fewer students to qualify for these classes in 2007-08, as curricular changes, training, and earlier interventions have an effect at earlier grades. In May 2008, students continued to be provided interventions, albeit with some modifications in secondary schools mid-year. Class observations found that curriculum and pacing guides synchronized topics for the various levels combined with diverse teaching strategy. For example, at one high school, all ninth graders were reading “Romeo and Juliet,” but the support class observed was also highly engaged in read- ing comprehension strategies that helped them follow the sequence of events and see how attention to poetic conventions deepened understanding. Principals at all levels continue to note the decline in numbers of students qualifying for intervention classes. 5. Grant funding has been sought to assist the district in furthering professional develop- ment opportunities for teachers as well as for additional resources for use within schools. a. A state math grant, CaMSP, which uses a lesson study model with an emphasis on content, has provided for two summers (2006 and 2007) of intensive workshops, along with four or five school year meetings with the district’s math coaches to con- tinue the lesson study. b. Two hundred sixth graders (scoring Below Basic and Far Below Basic) benefited from an EETT grant wherein their teachers were trained to use the Brainchild pro- gram, TI graphing calculators, spreadsheets and other mathematics software, as well as the Internet, as tools to support student understanding of mathematical concepts. Throughout the 2006-2007 school year, teachers worked together and with coaches to develop lessons, observe student use of technology, and examine the effects of this technology on mathematics achievement. c. The Reading First grant for seven schools provided funding, particularly valued for the external coaching. d. In May 2008 it was noted that Cooper Elementary, a former SAIT school, was hon- ored by the state for its achievement on an index of four measures. The school is 40% African American and 28% Hispanic, with 41% proficient in English language arts in 2007. Other Reading First schools mark gains as well. 6. Several other reform initiatives and opportunities have converged to contribute to a greater awareness of and commitment to all students, including underachievers, in the district: 26 Pupil Achievement a. Definition of the role of resource specialists in addressing the standards and helping to accelerate the achievement of the lowest performing students, including RSP students. Inclusion of resource specialists in AB 466 trainings is part of the integration plan. b. A phased-in implementation of the Response to Intervention (RtI) model for special education, which evaluates students with needs in comparison to all other students in a single standards-based accountability model and leads to an integrated service delivery model for students with learning disabilities. The model is data-based and problem-solving in focus and helps reinforce the new data-decision practices emerg- ing in the district. In May 2008, the implementation of Response to Intervention (RtI) was found to be moving forward with the development of a model that is conceptualized as a two-part, three-tier pyramid. The two parts are academic and behavioral; the three tiers outline a data-based process for academic intervention and services to address student needs at each level. The department is in the process of identifying strategies for each level. c. An analysis of the type of support teachers need to meet English learner needs, result- ing in the use of the teacher leader strategy, used successfully for other instructional changes in the district. Data from a pilot introduced in 2007 at six schools showed the support and coaching model to be promising for EL teacher support, so funding was sought for 2007-08. Also in spring 2007, district leaders reported that over multiple years, English learner gains were occurring at a faster rate on ELA district assess- ments. d. Completion of a CPM self-assessment and State Department review of programs in spring 2007, with no outstanding findings related to the district. 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 interfere with their learning. Headway has been made in this area: a. 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 impeded their learning. By May 2006, a great deal had occurred in this department, including but not limited to: regular monitoring of student behavior; alternatives to suspension; assistant and vice principal workshops on suspension, expulsion, and alternatives; site intervention teams; a reconstituted aggressive SARB; coordination with community agencies such as police and the district attorney; and health services, as needed. b. Recommendations from the school climate committee were unveiled in fall 2006 for inclusion in the State Administrator’s goals. These included prevention and interven- tion programs to targeted groups of students and parents to increase attendance and improve school behaviors. Second Step, a cognitive behavior program that teaches problem-solving strategies, was selected and training was under way in spring 2007. In May 2008, the program has been implemented in several schools with good results, though some principals identified obstacles in scheduling time for the program. Pupil Achievement 27 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 July 2, 2007 Rating: 7 June 30, 2008 Rating 7 Implementation Scale: 28 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’s staff developed and the board adopted (April 5, 2006) a core curriculum policy (BP 6000b) that identifies the state standards as the basis for learning goals and objectives and ensures equal access to this core of learning. Board Policy 6000a provides a vision and the goals for the district in realizing the vision. A revised high school gradua- tion policy (BP6000f) and regulation, adopted in February 2008, includes a plan to phase in the a-g university requirements as the graduation requirements by 2011. 2. District leadership developed expectations for a challenging curriculum based on full implementation of the state standards in reading and mathematics and began to act ag- gressively on these expectations in 2004-05 using several high-leverage, research-based strategies, including grade-level pacing guides, consistent materials adoptions for use across the district, and formative assessments and monitoring, supported with AB 466 and AB 75 professional development, collaboration and coaching. New expectations for high school included a-g requirements for all students, common course guides and end- of-course assessments, as well as smaller learning communities. In 2005-06, the district’s instructional plan was developed to extend, formalize, and benchmark the district’s expectations for a challenging curriculum. The district began addressing universal access in the elementary program with additional training and mate- rials for students who required more focused instruction. In May 2006, initiation of the corrective action plans for the schools under the school assistance and intervention teams (SAIT) supported the district’s effort to implement standards-based instruction for all students, contributing to work under way in grades K-5 and providing a substantial boost to the full implementation of standards for all students in the secondary schools. A working document showed the district’s analysis of high school graduation requirements by grade level and the need to accelerate learning for strategic and intensive students simultaneously with the goal that all students should meet the a-g requirements and pass the California High School Exit Exam (CAHSEE) for graduation. In fall 2006, the secondary school master schedules had been successfully revised to allow identified students to receive intensive and strategic instruction, as well as English learner support. Teachers were provided with training and appropriate materials to accel- erate student learning programs for students who did not meet standards. Pathways for high school students to receive this instruction and continue to progress toward gradua- tion were identified. Counselors were included in this work. In spring 2007, visits to intensive, strategic and support classes in a sample of second- ary schools showed students to be placed in benchmark and intensive programs at their Pupil Achievement 29 instructional level. Some class structures provided additional time for students. Teachers using the new programs were provided with assistance and coaching by reform coordina- tors and, as is the case with Language!, on-site feedback and coaching from the trainer. 3. In fall 2005, a matrix was developed to demonstrate how categorical and district funds coordinated to support the common work in the schools, such as professional devel- opment. A core of district-funded services was provided to schools, regardless of the schools’ entitlement to categorical funds. Other categorical funds served the identified students in their respective schools. The corrective action planning contributed to the ef- fort to serve students well with the designated categorical funds. As of fall 2006, single school plans and school portfolios were part of the principals’ evaluations and provided an opportunity to reflect, evaluate progress, and plan. In May 2006, new district administrators for the categorical and English learner programs were assigned. They worked with county consultants to bring the programs into compliance and develop a Master Plan for English Learners. A plan and time line for the master plan approval and process, and a Coordinated Compliance Review (CCR) self-study was scheduled to occur in 2006-07. A final draft of the Master Plan for English Learners was available. A Categorical Pro- gram Monitoring (CPM) self-assessment and state department review in spring 2007 validated the categorical program compliance. 4. As noted above, the formal adoption of revised curriculum policies and the VCUSD in- structional plan, which marshals the district’s focus and resources toward challenging teaching and learning were evidence of district leadership to provide for and challenge all students. During the 2005-06 school year, a new student services department began work on many of the student and parent issues that impeded student participation in challeng- ing learning. In May 2008, interviews and observations found classroom resources to be evenly distributed and specialized materials (as for English language learners) in use. The avail- ability of current teaching materials in basic classes is a significant outcome of the district reform. While recognizing the financial limitations, many district and school site leaders are concerned that attention needs to be given to the aging computers and the need for technology services. The 2007 CDE technology survey indicates that Vallejo has a higher ratio of students to computers and students to Internet-connected computers than the state, region and county. The California average is 4.11 students per computer and 4.59 per Internet-connected computer, while Vallejo has 5.65 students per computer and 7.27 per Internet-connected computer. The survey shows that the percentage of computers over four years old is fairly close to the state, region, and county averages, however. The average hardware fix time is higher in Vallejo than the state, region, and county. Also, in May 2008, several interviewees expressed optimism that instruction for gifted students will be reviewed and addressed. 30 Pupil Achievement 5. In fall 2006, the school climate committee submitted recommendations for improvements and programs to address the issues of attendance, student behavior, and parent involve- ment, and secondary master schedules were modified for interventions. In spring 2007, district leadership focused on the quality of implementation, noting that “plans are only as good as the implementation of these goals and plans.” Among the evident quality management accomplishments were the following: a. The schools’ and district’s efforts to work with the union to secure more time during the instructional week for collaboration. There were gains in the Reading First schools and several other schools in which staff participated in and supported col- laboration schedules. b. Improvement of the districtwide monitoring system, such as assessment reports, teacher skill in using assessment data and the engagement of leadership in data use. The district elementary walk-through revealed more accountability on the part of the district, teachers and principals regarding practices and student results. c. Development of a new elementary school report card and high school course catalog that reflected content standards and graduation requirements. d. Closing of feedback loops with the support of the Reading First specialists so that district leaders could provide more relevant feedback regarding goals and practice. e. Development of data-based protocols for placement in support classes, and the pro- grammatic training of teachers for these classes, with an emphasis on fidelity to the critical strategies, practices and pace. f. In May 2008, both formal and informal interviews with district and school academic staff were characterized by reflection on the next steps or phases of the reform: what is essential to maintain from the current model and what needs refining as the district moves forward under new leadership. Mid-course corrections based on data, reflec- tion, and dialogue should continue to strengthen student programs and opportunities. Standard Implemented Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 June 30, 2008 Rating 8 Implementation Scale: Pupil Achievement 31 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 the district’s academic programs, using research-based strategies and common texts and assessments to initiate a standards-based program. Two elements of the program are significant for student engagement: (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 application of knowledge and skills. By spring 2005, meeting agendas and supporting materials documented the team collaboration in building a shared under- standing of an effective instructional program. In fall 2005, the district’s work was formalized in the Vallejo City USD Instructional Action Plan with eight program components, objectives, benchmarks, and due/completion dates. At that time, additional district actions to 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 behavioral data and provide timely and effective interventions 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, school reform coordinators were engaged to provide a common, standards-based instructional program for each core course; create and implement a system for monitoring student progress; and 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. There was also significant evidence of the success of the district’s focus on universal access, intervention strategies, master schedules that support all learners, and inclusion of resource teachers and ELD teachers in the standards-based teacher and principal trainings. In fall 2006, secondary schools were brought more firmly into the district’s reform with the introduction of formative assessments in the high schools and the work on master schedules that allowed students who needed intensive, strategic, or language interven- tions to be appropriately placed. Training and materials accompanied this effort. Also in fall 2006, observations of a small sample of schools showed that students in the elementary and middle schools were clearly on task and focused. The high school student 32 Pupil Achievement engagement rate varied. The protocol for schoolwide classroom walkthroughs included an assessment of student engagement. In spring 2007, observations of ELA and math interventions and ELD support classes in a middle school and a high school over two days showed the results of ongoing efforts to engage and accelerate students who had fallen significantly behind their peers. While stu- dents in this category, who were grouped for instruction, were more likely to be off-task, most students in the classes observed were engaged in the lessons. The exceptions noted in the sample were in intensive ELA classes with new teachers or ELD classes without a fully qualified teacher. Observations from walk-throughs, according to district and school leaders, indicated that professional development, fidelity to the programs, and collaboration were combining to create classrooms where students were more engaged rather than less engaged as some had predicted. In May 2008, observations of ninth grade ELA at all levels showed students to be highly engaged. Engagement in seventh and eighth grade ELA intensive and support classes was also high, without the new teacher issues observed in the previous year. Engagement levels in secondary mathematics classes were lower, and in a few instances, teachers did not appear to be fully prepared. Observations of elementary classrooms showed students to be on task. At the elementary level and in the ninth-grade ELA classes, the effect of pacing guides (same topic, different approaches) was compelling. 2. During summer 2005, 210 teachers began the AB 466 training sequence and 16 of 18 elementary principals began the AB 75 training. There was 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 gave more impetus to this train- ing. In spring 2007, the effort, resources, and leadership that brought focused professional development to the district’s teachers continued to be remarkable in its outcome, particu- larly the monitoring that seems to keep any teachers from slipping through the cracks. 3. The district began the use of the Datawise system in the first year of the reform to make common assessment information available, and training was provided. With input from the principals, the 2005 CST data were arranged in a more useful format, providing use- ful disaggregations. Principals reported that student data was central to their school and district work. Rosters showed that the disaggregation of assessment data was available 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 apparent in elementary schools where several variables (a strong intervention program, quick results with the lowest performers, and high student engagement) converged to Pupil Achievement 33 bring about successful implementation. Early results indicated that interventions in middle and high schools had improved, supported by the corrective action plans. In spring 2007, principals and the district’s leadership showed that walk-through data was collected systematically and used to improve the quality of the ongoing work in schools and classrooms. An example from Cooper Elementary School showed data collection and analysis using a three-question procedure, and decisions for next steps to improvement. Another example showed a school tallying the types of student feedback in use and com- piling the data for analysis. In May 2008, principals continued to extol the virtues of the benchmark data as the basis of school planning, student intervention, and classroom supervision and show the systems that they use to plan and document their supervision. Suggestions for improvement from principals and teachers included a closer alignment between the benchmark test items and the CST items and benchmark assessments for science and social science. 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 Rating: 6 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: 34 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. Key instructional policies adopted by the board on April 5, 2006 communicate the expectations for district students: Board Policy (BP) 6000a, Vision and Goals; BP 6000b, Core Curriculum, which designates the California standards as the expected student cur- riculum; and BP 6000c, Assessment and Testing. BP 6000e, Promotion and Retention, establishes criteria for decisions about student promotion. BP 5000a, Student Discipline, which outlines behavioral expectations for students, was adopted in spring 2007. BP 6000f, High School Graduation, and an accompanying administrative regulation was adopted February 6, 2008 and sets forth the expectation that all graduates will have met the a-g university requirements by 2011. Other actions by the district and school leadership to promote and communicate high expectations for learning and behavior included the following: a. The school climate committee made recommendations that, when implemented, would contribute to improved student behavior and support a strong learning envi- ronment. Collection of baseline data would provide for the ongoing monitoring of progress in this area. b. The district expanded regular assessments and systematic and aggressive academic interventions into the secondary schools with a supportive master schedule. c. The district provided orientation to special education Response to Intervention (RtI) and professional development for special education teachers. In May 2008, a process was well under way to create a RtI model illustrated by a two-part, three-tier pyramid to evaluate special education candidates through RtIs. d. A draft of the Master Plan for English Learners was headed for board approval in June 2008. The plan outlines goals for English learner programs, staff, and supports. e. Student work permits are issued or withheld based on student attendance and aca- demic behaviors. 2. Principals have been directed by district leadership to share the new policies with the community and school staff. Principals have participated in the development and imple- mentation of new policies through a special principal retreat and regular meeting agendas. The planned design of the new Web site includes making the board policies, vision, goals, and expectations available online. It is the practice of the AAA division to connect all initiatives to the expectations for stu- dents so that high expectations for adults are correlated with outcomes for students. Staff development days are well planned, with written communications that show the reasons Pupil Achievement 35 for activities and how they connect to the district’s overall vision and expectations for students. The aggressive intervention program sends a message of high expectations for all students and that all staff members are enablers of these expectations. In fall 2006, it was evident that teacher expectations for students and accountability for student learning were increasing, indicating a change from a culture of blaming students and parents for learning issues. In March 2007, a climate and culture meeting provided the opportunity for the AAA and student services staff to consider a systematic approach to school climate that would encourage and support academic achievement. Staff members developed a theory of action and evaluated the district’s practice in the following areas: agreed-upon vision, policies and practice, positive student discipline, classroom management, and clear responsibilities. The district subsequently adopted the Second Step program to communicate expectations for student behavior, purchased materials and began training. In May 2008, Second Step together with Peace Builders is implemented in many schools to provide students with social interactive skills and decision-making processes. 3. The State Administrator has directed staff that new policy statements should reflect short- and long-range goals to build trust and confidence. The goals of the State Administrator and the board include seeking a long-term solution to the fiscal crisis and a commitment to build the district’s resources and ability to sustain improvements when local control is fully returned. The State Administrator’s messages to the staff and community com- municate high expectations for students and for the performance of all district systems on behalf of students. By May 2008, as the district was in the process of returning to local control, interviews with school and district staff showed most are convinced that the elements of the short- term turn around reform have been positive as the district learned to work together for a common purpose. They believe that they will be able to shift into gear for the next phase of the reform and have high expectations for themselves. 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 Rating: 6 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: 36 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 protocol and follow-up feed- back plan at the elementary level. Principal and lead teacher agendas indicate that train- ing and support is ongoing and provided at all levels as a strategy to support standards implementation. The district is aligning all systems, including formal evaluation, with the district’s achievement agenda. A planning calendar for secondary instructional leadership for 2005-06 included assigned roles and showed the preparation for aligning the secondary program with district goals by learning new tools such as a feedback protocol. In 2006, lead teachers and principals indicated that classroom walk-throughs had become an established practice. Walk-throughs are based on a district observation protocol that includes items such as the rate of student engagement. In some schools, other teachers participate in these walk-throughs as well. Lead teachers identified walk-throughs as a key strategy for working with teachers and identifying needs. In spring 2007, district leaders had compelling evidence that walk-throughs were a systematic component of all levels of the system. The visits monitored student progress and promoted improved teacher practice through performance feedback. Walk-through data were systemati- cally collected, summarized and analyzed so consensus could be reached about best practices and needed improvements. Evidence of systems can be found in the visitation schedules and various observation tools, including those accompanying texts and those developed by a school to collect data on a topic of interest, such as strategies to engage all students. External support staffs hired by the district have helped the district make progress in this area by assisting the district in raising the level of accountability for systematic visits and the visibility of site and district leadership in classrooms. In May 2008, sample principal interviews, particularly at the elementary level, indicate that classroom visits constitute an essential tool in their daily routine and overall plan for school improvement. They are supporting teachers, staying in touch with student learn- ing, and connecting classroom strategies to student outcomes. In some schools, supervi- sion may be selective, such as when teachers want to work on a particular strategy and receive feedback on how students are responding. Besides principals, teacher leaders and coaches are frequently involved in observation and feedback. 2. In 2004-05, the district developed three memoranda with time lines describing the ele- ments of principal evaluations at elementary, middle, and high schools. These elements were organized according to the State Administrator’s five goals, and supervisors were Pupil Achievement 37 assigned. The documentation included a sample of a midyear progress report. Principals’ evaluations were tied to student achievement. In fall 2006, the district’s leadership identified the expectations for and the supervision and evaluation of principals as key to success. Sample evaluations demonstrated the con- sistency of evaluation elements and the individualized feedback that principals received. Principals of at-risk schools received additional support, including coaching by an outside provider. 3. Documentation in May 2005 showed that elementary school principals received training in data use, in conducting classroom observations and in data analysis. A principals’ meeting/workshop agenda (Sept. 28, 2005) showed that principals were provided with strategies to refocus teacher evaluation on student achievement goals, including help- ing teachers set objectives linked to district goals and strategies. Principals were also provided with 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 was used to support the district’s focus on student achievement (see also Standard 5.7). In fall 2005, principals had received a list of teachers to be evaluated, with time lines. This met a need identified during the original audit visit in fall 2004 with a finding that many teacher evaluations were not completed and/or filed during the prior year. Princi- pals were also evaluated during the 2004-05 school year based on the state administra- tor’s goals and found the process very helpful. Principal and teacher leader interviews during two visits in 2006-07 indicated that formal (summative) evaluations of teachers were supported by walk-throughs and ongoing feedback and coaching (formative evaluation). The principals’ own evaluations were sup- ported by a school portfolio and a log of walk-through data. Principals felt accountable for student outcomes and overall school performance, but they liked the partnership with district leaders to address learning issues, solve problems and self-correct during reform initiatives. Standard Implemented Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 June 30, 2008 Rating: 8 Implementation Scale: 38 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 office reorganized and restaffed in 2005 to form the Student Support Services Division with a director and three coordinators. Their roles centered on assisting all schools with appropriate responses to student attendance, behavior and health issues. This included monitoring and intervening as needed through processes such as the school attendance review board (SARB) and establishing relationships with community agencies that were involved with youth. BP 5000(b), Student Attendance, was in draft form. In May 2006, a semiannual report from the Student Support Services Division provided a list of accomplishments to date and activities in progress. Some significant work had occurred on behalf of students, including but not limited to the design and implementa- tion of a SARB that was 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 coordination of a School Resource Officer program. 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. For the 2006-07 academic year, a four-page document outlined the behavioral expectations for students and the role of the school and parents in upholding the expectations. It was clearly written and, although it noted consequences, it was not threatening. BP 5000(a), Student Discipline, was adopted in spring 2007 and posted on the district Web site. In March 2007, a planning meeting set the stage for the AAA and student services staff and school representatives to consider a systematic approach to school and district climate and culture that would encourage achievement. They developed a theory of action and evalu- ated the district’s practices in six areas: agreed-upon vision, policies and practice, positive student discipline, classroom management, and clear responsibilities. One outcome of establishing the school climate committee was the development of a corrective action plan to guide the district in this regard over two years. Pupil Achievement 39 The district adopted the Second Step program to communicate expectations and teach processes for appropriate student behavior, and purchased materials and trained staff. This cognitive approach to behavior change and life skills had a promising research base. In 22 lessons it targeted manners, attitudes toward authority and one another, and taught communication and negotiation skills. The program focused on early grades through the ninth grade. The student services staff believed that grades six and nine should be tar- geted because data showed that these grades were pressure points for students. Everyone at the school was trained in the program, including bus drivers and cafeteria workers. 2. The Aeries student information system was implemented to assist staff in the ongoing monitoring of attendance, suspension, and monthly dropout data. System and report gen- eration training was provided to principals and office managers. Several principals stated that they regularly use the reporting mechanism, as well as attendance/truancy letters and parent notifications required by law, which include student behavior standards and basic discipline. Documentation in 2005-06 showed that the AP/VP meeting was dedicated to professional development regarding expulsions, suspensions, and behavioral interventions. Outside expertise was brought in to assist with these sessions. In spring 2007, principals received a review of Education Code Section 48900, with an emphasis from the student services staff on providing due process for all. 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 Systematic Instruction in Phoneme Awareness, Phonics and Sight Words (SIPPS) assessment and placement instru- ment to place students in the three levels of the elementary program. At the secondary level, intervention courses were identified, including courses that provided curriculum sup- port, CAHSEE support and support for various levels of English language learners. In 2006-07, intervention classes for math, English language assessment (ELA), and Eng- lish language development (ELD) had been included in the secondary master schedules for students identified as intensive or strategic, and in support classes for English learners. Teachers were provided with training and materials and sometimes with technology to help them work with diverse learners. School staffs were trained on the Aeries system, including its report-generating functions. 4. One counselor was added to each middle school for the 2007-08 school year. One additional counselor was added to Vallejo High with QEIA money and one additional counselor was added to Bethel and Hogan with new state money. 5. The student services division monitors student behavior and provides interventions and options and support to school site administration. The spring 2006 semiannual report from student support services showed that routine monitoring of student suspensions and attendance was occurring. The department is also systematizing and monitoring other student processes, such as interdistrict and intradistrict transfers and work permits. 40 Pupil Achievement 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 was clear that behavior incidents peaked during the transition years from elementary school to high school, so that grades six and nine are critical periods for preventive behavior programs. In spring 2007, district data were analyzed to determine a baseline for attendance, refer- rals, expulsions, and other factors so that progress could be monitored in schools as behavior support strategies change with the implementation of the new behavior program, Second Step. Schools were given a report of class referrals by teacher. Student services staff reported a decline in the dropout rate as a result of independent studies and the sys- tematic use of work permits as an incentive for school attendance. In May 2008, several interviewed principals demonstrated their use of the student behav- ior report for initiating dialogues with students and parents. There was also an indication that schools are using the SARB process to urge parents and students to monitor atten- dance. Secondary principals, particularly, reported on the helpfulness of legal training on student discipline issues with an attorney provided by the Student Services division. This division also provided for the SB 1626 campus supervisor training throughout the 2007-08 academic year. Standard Implemented Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating 7 June 30, 2008 Rating: 8 Implementation Scale: Pupil Achievement 41 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. 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 principal interviews indicated that ELD students 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 also included the working out of appropriate instructional minutes for interventions. In spring 2007, visits to ELA strategic and intensive classes and math support classes in the secondary schools showed that students not only had the advantage of trained teachers and targeted instructional materials, but smaller class sizes. School principals and district staff continued to note the quality work done to accurately project enrollments and staff the schools in a timely manner with qualified teachers, while maintaining class sizes and timely assignments of students to classes. Visits to a sample of classes in spring 2007 also found that the following class size and staffing practices needed further consideration: (1) the assignment of new or relatively inexperienced teachers to secondary intervention classes; (2) the size of some secondary ELD classes; and (3) the lack of an adult tutor in some secondary ELD classes. In May 2008, a sample of class visits found experienced teachers in the secondary ELA intervention classes. Observations of middle and high math classes found unevenness in math instruction, from outstanding to either underqualified and/or underprepared. Several levels of ELD were combined into one classroom in a few cases without a paraprofes- sional or a reduction of class size. 2. Class size reduction in kindergarten, third, and ninth grade English and algebra was implemented for the 2005-06 school year. The district added one counselor to each middle school for the 2007-08 school year, with an additional counselor at Vallejo High School and Bethel High School using special funds. In May 2008, it was evident from staff interviews that some of the recaptured staff and staffing ratios are endangered by potential budget cuts. Many staff members received March 15 notices. 42 Pupil Achievement 3. During the 2004-05 and the 2005-06 school years, the State Administrator conveyed to the staff and community the nature of the district’s financial issues and the district’s prog- ress in addressing finances while keeping student achievement at the forefront. Principals reported a great deal of trust at the school sites for the state administrative team for the open communication and for keeping student achievement as the top priority even as the district recovered from financial crisis. This was demonstrated through the reinstatement of class size reduction and the commitment to monitoring teachers’ average class sizes. In fall 2006 the State Administrator also communicated the district’s fiscal and achieve- ment status to the district’s staff. The fiscal information was also contained on the district’s Web site. In spring 2007, four dates were established for the administration’s coffee tours, with space for 20 individuals, to show parents and residents the district’s students and its schools. In May 2008, the new superintendent and board have interacted with the staff and com- munity, sharing elements of their vision, and have been open about potential reductions. 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 Rating: 6 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: Pupil Achievement 43 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. Several measures indicate that the English Learner program is serving identified students well and helping them transition to and succeed in regular classes. The 2005-06 Title III accountability report from the state indicated that the district met all three annual mea- surable achievement objectives (AMAOs): (1) 56% of students made annual progress in learning English, exceeding the target of 52%; (2) 37.1% of students attained English proficiency on the CELDT, exceeding the target of 31.4%; and (3) the English learner subgroup attained adequate yearly progress in English language arts (ELA) and math- ematics with regard to both participation and percent proficient. For the 2006-07 year, the district also met all three AMAOs: (1) 49.3% made annual progress in learning English, exceeding the state target of 48.7%; (2) 32.4% attained English proficiency on the CELDT, exceeding the state target of 27.2%; and the English learner subgroup attained AYP in ELA and mathematics. Other measures include the redesignation rate and assessment performance on the CELDT, California Standards Test, and the California High School Exit Exam. a. In 2004-05 the district’s redesignation rate for students ranked in these categories was 10.6%, which was 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%, which was higher than the county rate of 11.6% and the state rate of 9.6%. For 2006-07, the district rate was 11.2%, with a county rate of 9.7% and state rate of 9.2%. b. The percentage of Redesignated Fluent English-Proficient (RFEP) students passing the ELA (85%) and math (93%) on the combined tenth-grade California High School Exit Exam (CAHSEE) for 2006-07 exceeded the districtwide percentage of tenth graders passing the ELA (76%) and math (67%). c. California English Language Development Test (CELDT) results from 2006-07 showed that 71% of the district’s K-12 English learners were in the top three proficiency levels: advanced, early advanced and intermediate. This number was down from 82% in 2005-06. d. In 2005-06, the percentage of the district’s English learners who attended California public schools for 12 months or more and performed in the lowest two categories (below basic [BB] and far below basic [FBB]) on the 2005 California Standards Test (CST) was lower than the statewide percentage of English learners in these categories in all grades except grade 6. e. In 2006-07 (shown in the chart below), the percentage of EL students in the lowest two categories of the CST was below or close (within 3 to 6 percentage points) to the state percentages in grades 2-6 and grade 9. However, they were higher than the state percentages in grades 7-8 and 10-11. 44 Pupil Achievement Comparison of the Percentage of Vallejo English Learners Scoring Below Basic and Far Below Basic with the Statewide Percentages* Grade 2 3 4 5 6 7 8 9 10 11 VCUSD 362 409 299 229 128 138 138 142 108 68 #ELL Tested VCUSD 37 38 33 48 60 76 74 64 82 87 %BB & FBB CA 39 50 35 45 57 59 63 58 74 79 %BB & FBB *English Learners in school in the U.S. 12 months or more 2. In fall 2005, principals reported that the percentage of teachers with CLAD training was rising and they were able to staff schools appropriately for English learners. In May 2006, the R-30 reports for each school showed that all teachers providing instruction to Eng- lish learners had appropriate credentials. The Corrective Action Plan (February 2006) required the district to ensure that all core content teachers received CLAD/BCLAD training and that the Human Resources department maintained accurate records of CLAD credentials. In spring 2007, the assessment of the EL program director was that approximately 75% of teachers had CLAD, BCLAD, CTEL or other certification. The percentages were higher at the elementary schools than at secondary schools. One teacher leader indicated there was some difficulty in getting certified middle school staff. The state numbers for 2005-06 indicated that of 880 teachers, 522, or 59.3%, were providing SDAIE or ELD instruction to EL students. The district still provided classes to help teachers obtain the certification, and interview data showed that the district was closing the gap on these credentials. In May 2008, principals reported that EL classes and interventions are properly staffed. District staff indicated that the overall credential/certification of currently employed teachers is nearly complete, with good work from personnel. 3. Implementation of the universal access and intervention block in elementary schools sup- ports English learners at their designated level in meeting state standards. Teachers have been provided with professional development in the key elements of English learner pro- grams in the areas of compliance and good practice. In May 2006, a sample collected 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 Lan- guage Development and Specially Designed Academic Instruction in English (SDAIE) math. In addition, most students had SDAIE classes in social studies and/or science. Be- ginning level students had more than one class in ELD and/or English, and English learn- ers participated in district interventions to increase student success on the CAHSEE. All EL students now participate in the core English language arts and math program, and in an access period that provides extra English for English learners, support for students below grade level and enrichment for advanced students. The district’s English language teacher leader provides extra support to the six elementary schools with the highest level of need. Pupil Achievement 45 In May 2008, four teacher leaders assisted by working with a specified grade or school. They collaborate with other teacher leaders, adding a more global view of the district’s needs to the school, as well as from the school to the district. At the secondary level, ELD teachers met and recently completed an inventory of available materials. They are using the electronic assess- ment of students available through Hampton-Brown. New purchases of Edge and High Point, which are geared to secondary EL students, have been well-received by teachers. 4. Administration of the EL program has steadily improved since the original audit. 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, might leave students in an inappropri- ate placement. In fall 2005 those objectives were not verifiable because of personnel changes in the ELL office. In May 2006 the program was undergoing a thorough revision. In fall 2006, a draft of the English learner master plan was comprehensive and profes- sional. The new district categorical department was fully staffed, and staff received assis- tance from the state and county office in building better budgets and trainings. As a result, staff distributed CELDT information faster, leading to more timely student placement. Another iteration of the master plan was slated for board approval in June 2008. Parental support has also improved. Assessment staff discovered that providing parents a wait- ing room for summer assessment resulted in more information being sought and exchanged between parents and staff. Staff hope to use this vehicle for parent education in the future. 5. Professional development originates from both the district and county office, which pro- vide extensive staff development for teachers and bilingual assistants in strategies for English learners. Secondary master schedules have class sections for ELD and SDAIE. Students observed in SDAIE math classes were engaged in lessons with the same topics as a mainstream class. In 2006-2007, the district provided staff development with Charlotte Knox and tools for bilingual tutors. When not working with students, tutors work on their cumulative folders and similar tasks. Standard Implemented Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 June 30, 2008 Rating: 8 Implementation Scale: 46 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 district’s governing board adopted BP 6000b, the Core Curriculum policy, which identifies the state standards for English language arts, mathematics, sci- ence and history/social science as the district’s core curriculum. On February 6, 2008, the board adopted a revised policy and regulation for graduation (BP 6000f, High School Graduation Standards) that outlines the phase-in of increased academic requirements for graduation based on every student meeting university a-g requirements. 2. There is no district guide to the standards. However, the district publishes pacing guides for English language arts and math and assists school site staff in implementing the state standards. The district’s instructional plan indicates that common course guides/pacing calendars for high school will be developed by department committees beginning with core and entry level classes, including world languages, in August 2006 and ending with all core subject courses completed in August 2008. Subjects such as art and music are not included in the plan. Job descriptions for the secondary reform coordinators state that they will “provide 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 successful in meeting the new graduation requirements.” The corrective actions and benchmarks in the SAIT team’s action plans focus on implementing the state standards, including interventions to help the lowest performing students meet the standards. The plans are an adjunct to the district’s plan, are well under- stood and are followed by school site staff. The ongoing commitment to training staff in implementation of standards-based material, the use of benchmark assessments, and methods of differentiation and intervention is still evident and clearly contributes to staff members’ understanding and efforts. 3. The implementation of standards-based texts, pacing guides, assessments and profes- sional development has resulted in greater understanding through analysis and discussion of the standards in grades K-8. High school English and mathematics teachers are also involved in standards implementation, including pacing guides and common formative assessments for English language arts and math. Secondary school master schedules and class visits demonstrate the progress made at the high schools in understanding and commitment to standards-based instruction for all students, including targeted assistance for those who need intervention or extra support. These intervention classes are operating and are part of the master schedule. Pupil Achievement 47 4. Teachers collaborate, analyze assessment results, and plan, which deepens their knowl- edge of the standards and their skill and accountability in teaching standards-based lessons. Teachers have parsed the state standards for their essential or critical teaching components. The district is implementing a revised report card for elementary schools that shows the essential components for each standard, providing parents with more specific information about student progress. The corrective action plans have helped the schools, particularly secondary schools, clarify what is needed to implement standards for all students. 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 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: 48 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 benchmark assessments and timely communication of informa- tion to teachers support the district’s progress monitoring and improve performance in English language arts and math. In addition, the state physical fitness, STAR, CAHSEE and CELDT assessments include a variety of components that are standardized, refer- enced to criteria, and based on performance. Common assessments are administered in high school English and math classes, and the CAHSEE is administered three times per year. In addition, high school students are given opportunities to take College Board exams. Assessments are modified or differentiated for students in intervention programs, includ- ing special education and English language development, and are key to determining placement in intervention and support classes. Improvement of the CELDT assessment process has resulted in more timely communication of information to the schools. Teachers evaluate students using a variety of assessment tools including projects, written products, oral presentations and portfolios. In 2006-07, curriculum-embedded and diagnostic assessments accompanying the Holt, REACH, and Language! materials for strategic, intensive and support ELA classes were part of the assessment protocol used for placing students in strategic and intensive classes. 2. Teachers, coaches and principals receive ongoing professional development regarding assessment analysis and decision-making. Time is regularly set aside to improve skills related to administering assessments and using assessment results. The district’s assess- ment plan for 2005-06, testing calendar and schedule for producing, delivering, and col- lecting common assessments all demonstrated a level of organization and work sufficient to maintain an ambitious program using a variety of measurement tools. The assessment calendar for 2006-07 also attested to the increasing complexity of assessment manage- ment and the district’s commitment. 3. In May 2008, it is clear that measurement for student improvement is a district priority and that the tools have been embraced by principals and teacher leaders. Many teachers are challenged by regular measurement as a method for continuous improvement. Some teachers are engaging students in a goal-setting process based on the standards and benchmark assessments. On the other hand, some believe that the schedule of assess- ments reduces opportunities for other types of assessments, such as projects. Pupil Achievement 49 Standard Implemented Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: 50 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, professional development and collaboration provides leaders with the tools needed to implement standards and increase achievement. The district’s leadership is implementing a plan of regularly administered common ELA and math assessments that are aligned with the state standards. The Data- wise system is used to develop formative assessments from an item bank, assess students and analyze the results. Initial reports provide K-8 teachers with data regarding student strengths and gaps; high school assessments for English and math were introduced in fall 2006. The district monitors the use of data reports and trains teacher leaders to coach principals and teachers in grade level collaboration on data analysis and data-based decisions. In May 2006, the district moved aggressively to improve learning opportunities for all students, with interventions for the lowest performers. The impetus and validation for this effort was the corrective action plans for Program Improvement. The plans were help- ful in the secondary schools, leading to master schedule analysis and a more data-based approach to intervention. The district has now developed a school-by-school intervention monitoring system. In 2006-07 the district developed schedules that included intervention and support classes for lower performing students identified using a protocol based on multiple achievement measures. These classes operated in fall 2006 and spring 2007. Assessments played a critical role in the proper placement of students in the classes and in the quarterly bench- marks of student progress. In May 2008, principals observe that the number of students qualifying for secondary intervention classes is declining. High school exit exam results are used to identify and place students in support and tuto- rial classes. 2. K-8 and high school assessments are aligned with common texts, pacing guides, curricu- lum-embedded professional development and teacher collaboration, with a focus on pro- viding all students the opportunity to learn essential standards. The student achievement monitoring system is well supported and supervised by district and school leadership. District leaders believe that elementary school interventions are systematic and that high school interventions are well under way. Assessment-based placement protocols help ensure consistent placement decisions and prevent some of the missteps that can occur when grouping students. Pupil Achievement 51 3. In May 2008, it is clear that the district focus on assessment information to the schools with training and collaboration has improved assessment practices in many schools. However, the 2006-07 CST results point to uneven school-by-school outcomes on this state assessment, an indication that district administration may need more expertise in data analysis that probes student academic growth and changes for potential causes. Standard Implemented Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating 8 June 30, 2008 Rating: 8 Implementation Scale: 52 Pupil Achievement 4.4 Assessment and 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. District leaders’ actions include support for assessment events, timely data return, training in data use and teacher collaboration time for data analysis. Common formative assess- ments, time for analysis, and the expectation that data will guide schoolwide and class- room decisions are critical to the district’s instructional reform plan. Teachers are given state assessment data as well as the formative benchmark assessments administered to ascertain progress. Analyses of these assessments become the content for much of the teacher collaboration time, which interviews indicate is becoming part of the district’s culture; teachers work independently or with a coach and demonstrate account- ability for learning issues in their classrooms and in the school. In 2006-07, the use of assessment data to provide targeted intervention and assistance at all grade levels highlighted the importance of assessment data for many staff members and provided more rationale for the amount of time given to assessment. The district staff and some school staffs have worked to come to agreement about more time for collaboration in the teacher workday to improve participation in collaborative sessions, which are voluntary. 2. STAR and CAHSEE data from the state is broken down by ethnicity, socioeconomic sta- tus, English learner, disability, and gender. Data are accompanied by questions regarding how to think about the data, relate it to the district’s goals and monitor progress. Teacher leaders and principals are given talking points to use with staff. The State Administrator uses achievement data to identify accomplishments and underachievement issues. The staff are also using data for (a) the end of school review during which school teams evaluated progress with reference to assessment data and other evidence; (b) the district leadership team meeting in August at which STAR data are reviewed during discussion of the elements of sustainability; and (c) assessments to determine the need for student intervention and support. It is evident that staff members’ success in using achievement data to improve and address student needs has contributed to a willingness to use student behavior data (such as attendance, referral and suspension data) more systematically to measure the effects of the student behavior program. The ability to relate achievement and behavioral data helps the district to more effectively identify and address issues. Pupil Achievement 53 3. Meeting agendas show that principals and teachers have had input into the kind of data reports they would like, and they have chosen results over time with a focus on subgroup breakdowns, as well as CST item analyses and individual teacher and student reports. Principals reported that they have these data packages as well as sessions regarding how to interpret and use the data. Most interviewees indicated that they have studied the data with their staff. The school packet for the state assessment data included (1) a cumulative summary of the percent of students at each performance level of the CST from 2002 to 2006 by grade level and (2) subgroup reports from the state reports and from the CAHSEE and CAPA, where applicable. 4. 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 Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: 54 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 district’s high schools offer tutorial and parallel classes for the English Language Arts (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 one 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 provided test taking strategies, critical thinking skills and a review of key content. High school master schedules for fall 2006 showed that English and math exit exam classes were blocked into the school day. In 2006-07, targeted interventions in middle school and ninth grade ELA and mathemat- ics led to earlier assistance for students who might otherwise struggle to pass the exit exam or to succeed in high school coursework. The combined 2007 pass rate for Grade 10 CAHSEE administrations was 67% for math- ematics and 69% for ELA. This rate was lower than the county rate of 75% in math and 76% ELA and the state rate of 76% for math and 77% ELA. 2. The district’s redesigned Web site has a place for student assessment and achievement in- formation. The Web site should include CAHSEE information, with sample questions and support services such as a link to the state CAHSEE site. In May 2008, there was still not information or a link to information about the CAHSEE on the district Web site. A letter sent to the parents of grade 12 students in February 2006 outlined the conditions for participating in graduation ceremonies. Students graduating in 2006, 2007 or 2008 were allowed to participate and receive a certificate instead of diploma if they met credit and course requirements but not the CAHSEE requirement. Beginning in 2009, most stu- dents must pass the CAHSEE and meet other requirements to participate in graduation. A letter from the State Administrator to incoming ninth graders in spring 2007 provided expectations for course work and assessment under the new graduation requirements. 3. CAHSEE materials are available in the schools. Pupil Achievement 55 4. The board’s assessment policy (BP6000d) and the newly adopted high school graduation policy (BP6000f, February 6, 2008) and regulation mention the requirement to pass the CAHSEE to qualify for a diploma. The CAHSEE is not included in the chart with the course requirements. 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 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: 56 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 district’s instructional plan includes staff development goals for teachers and prin- cipals that focus on the district’s priorities. District workshops demonstrate clearly stated purposes and objectives. Rationales connect the workshops to the district’s goals, and evaluations are carried out to gauge the workshops’ effectiveness. The intent of BP 4131.6, Professional Development, is being met. However, the district should consider revising this policy to align with new district goals and practices. 2. Just as the district’s reform methods focus on standards implementation and alignment with textbooks, pacing guides, and common assessments, the staff development plan focuses on providing aligned training to support the implementation. AB 466 training for teachers and AB 75 training for principals has been used to move the staff forward in standards implementation in less than two years. Special education teachers and English learner teachers have been included in this profes- sional development. Regular education teachers have also been provided with staff devel- opment regarding language acquisition and response to intervention (RtI). 3. A calendar of professional development events for teachers, principals and vice/assistant principals is available, as are a calendar and descriptions of the teacher leaders’ ongoing training and work. A contracted provider works with new teachers on the beginning teacher support and assessment (BTSA) program, as shown by a two-year calendar of events. The district also maximizes professional development resources by structuring and moni- toring collaboration time, buy-back days and routine meeting agendas so that staff time is used effectively to support standards implementation. A matrix has been developed to demonstrate how district and categorical funds are coordinated at the district level to support key district initiatives, including professional development. This should be updated annually to reflect funding changes. 4. A compelling element of the reform is planning and evaluating professional development. Because the district is aware that staff time is limited and that professional development time is critical to reform, there is stewardship of teacher and principal collaboration time, meeting agendas and available buy-back days so that they focus on significant work. Agendas are planned and debriefed, and the rationale is clearly stated and based on stu- dent needs. Pupil Achievement 57 A one-day progress review in June 2006 allowed principals and leadership teams from each school to reflect publicly about the reform work and collaborate with colleagues to build shared meaning and accountability. The day was carefully planned and facilitated, and the results were documented. Agendas for middle school and secondary school teacher leaders in 2006-07 showed the planning for collaborative meetings, including expected outcomes, ongoing review of progress, opportunities to think about how an action might play out, and stewardship of time. Successes were also analyzed to help teacher leaders understand what is and is not effective. Standard Implemented Fully - Substantially 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: 58 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. From fall 2004 through fall 2006, district, school and teacher leaders moved steadily to provide teachers and principals with the knowledge and skills to improve student perfor- mance on the state standards. The plan of action included aligned materials for reading and mathematics, pacing guides, frequent common assessments of progress, collaboration time, adequate instructional minutes for reading, interventions and support, and teacher and principal professional development with an outside provider. Teacher leaders and reform coordinators were trained to support and extend the new skills and knowledge of teaching staff and principals. The district’s corrective action plan supported implementa- tion of the essential components of a standards-based instructional program, one of which was aligned staff development. In 2007, an ongoing training schedule tracked AB 466 training and intervention/differen- tiation training for teachers, resource specialists, ELD teachers and bilingual assistants. Mathematics department staff development is linked to two grants, one of which uses les- son study for improvement and another that is linked to computer-assisted curriculum. There is evidence that staff development is tightly linked to key district strategies aimed at addressing the district’s more difficult learning issues. There is a willingness to use outside professional development resources when they best meet student and/or program needs. Instructional leaders show purposeful planning for staff development, including collaboration time and leadership meetings, and fidelity to the selected program. Minutes of leadership meetings indicate that some of this work is difficult and that difficult issues are discussed. A critical component of providing staff with knowledge and skills is the ongoing monitoring and troubleshooting that is evident in the minutes. In May 2008, some principals say they need “advanced (AB) 466.” Also, it was widely observed that each school has had to “invent time” for grade level collaboration so there is not consistency across the district. On the plus side, principals and district staff noted the positive response to training for campus supervisors and assistant principals from the student services division. 2. The district provides assessments and progress reports every six to eight weeks using the Datawise system. During teacher collaboration time, teacher leaders provide support in the use of data to plan instruction and interventions. Data analysis and use is also a rou- tine part of principals’ meetings. 3. In May 2008, principal interviews found that assessment, data analysis, and professional development are linked in bringing about positive professional change: use of time to Pupil Achievement 59 increase collaboration; use of a circle of inquiry where instruction is changed based on data; more “unpacking” of and greater focus on standards. In some schools there has been openness to using these methodologies to improve student behaviors and interact with parents to improve student learning. Assessment, data analysis, and professional develop- ment are going on in the high schools, but seem less locked into process. Overall, there is more shared accountability. Standard Implemented Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: 60 Pupil Achievement 5.7 Professional Development Professional Standard: Evaluations provide constructive feedback for improving job performance. Professional develop- ment 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 reported in September 2005 that they received the names of teachers in their school to be evaluated and were accountable for completing employee evaluations (as opposed to September 2004 when many evaluations were not completed). Principals were provided with training regarding teacher evaluation standards, procedures, and forms to help focus teacher evaluation on student achievement goals. Principals were provided with norms and sample objectives. The norms for objectives: (1) link 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 assis- tance and review program for teachers who receive an overall rating of unsatisfactory or who ask for assistance. The human resources department has instituted a system for monitoring the teacher evaluation cycle and ascertaining that evaluations are completed and returned. In May 2008, administrative interviews indicate that informal supervision, especially in the K-8 schools, provides ongoing feedback on classroom instruction as well as opportu- nities for teachers to ask for feedback on specific instructional methodologies. 2. The district revised the administrator evaluation for 2004-05 to align with the five district goals. In September 2005, principals reported that they were evaluated and that the pro- cess, which included visits, walk-throughs and narrative feedback, was helpful. In 2006-07, there was a portfolio-based (School Change Portfolio) evaluation of prin- cipals. A narrative evaluation of each principal provided feedback regarding program implementation, interventions, progress monitoring, climate, resource allocation, and building sustainability. The district contracted with an outside provider to assist principals in at-risk schools. Pupil Achievement 61 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: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: 62 Pupil Achievement Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 1.1 PROFESSIONAL STANDARD - PLANNING PROCESSES A common vision of what all 2 3 5 6 7 8 8 students should know and be able to do exists and is put into practice. 1.2 PROFESSIONAL STANDARD - PLANNING PROCESSES The administrative structure of 2 4 5 6 7 8 8 the district promotes student achievement. 1.3 PROFESSIONAL STANDARD - PLANNING PROCESSES The district has long-term goals 0 2 5 6 7 8 8 and performance standards to support and improve student achievement. 1.4 PROFESSIONAL STANDARD - PLAN- NING PROCESSES The district directs its resources 5 fairly and consistently to accom- plish its objectives. 1.5 LEGAL STANDARD - PLANNING PROCESSES Categorical and compensatory pro- 4 gram funds supplement and do not supplant services and materials to be provided by the district. 1.6 PROFESSIONAL STANDARD - PLANNING PROCESSES The district’s planning process 3 3 5 6 7 8 8 focuses on supporting increased student performance. 2.1 PROFESSIONAL STANDARD - CUR- RICULUM The district, through its adopted 0 policies, provides a clear opera- tional framework for management of the curriculum. The identified subset of standards appears in bold print. Pupil Achievement 63 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 2.2 PROFESSIONAL STANDARD - CUR- RICULUM Policies regarding curriculum and 3 instruction are reviewed and ap- proved by the Governing Board. 2.3 PROFESSIONAL STANDARD - CUR- RICULUM The district has clear and valid 2 3 5 6 7 8 8 objectives for students, includ- ing the core curriculum content. 2.4 PROFESSIONAL STANDARD - CUR- RICULUM A process is in place to main- 3 4 5 6 7 8 8 tain alignment among standards, practices and assessments. 2.5 PROFESSIONAL STANDARD - CUR- RICULUM The Governing Board has adopted 4 and the district is implementing the California state standards and assessments. 2.6 PROFESSIONAL STANDARD - CUR- RICULUM 8 Sufficient instructional materials are available for students to learn. 2.7 LEGAL STANDARD - CURRICULUM In subject areas for which the state has adopted standards, sufficient 6 instructional materials are available to students that are aligned with the state standards. 2.8 PROFESSIONAL STANDARD - CUR- RICULUM Students in K-8 have access to standards-based materials; stu- 6 dents in 9-12 have access to standards-based materials through an adopted process outlined in board policy and regulation. The identified subset of standards appears in bold print. 64 Pupil Achievement Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 2.9 PROFESSIONAL STANDARD - CUR- RICULUM Teachers in K-8 are provided with professional development in reading and mathematics by a 0 2 5 6 7 8 8 state-approved provider; teach- ers in 9-12 are provided with defined professional develop- ment in implementing content standards. 2.10 PROFESSIONAL STANDARD - CUR- RICULUM The district has adopted a plan for 5 integrating technology into cur- riculum and instruction at all grade levels. 2.11 PROFESSIONAL STANDARD - CUR- RICULUM The district optimizes state and 6 federal funding to install technol- ogy in its schools. 2.12 LEGAL STANDARD - CURRICULUM HIV prevention instruction occurs at least once in junior high or mid- 8 dle school and once in high school and is consistent with the CDE’s Health Framework (EC 51201.5). 3.1 LEGAL STANDARD - INSTRUCTION- AL STRATEGIES The district provides equal ac- cess to educational opportuni- 3 4 5 5 6 7 7 ties to all students regardless of race, gender, socioeconomic standing, and other factors (EC 51007). 3.2 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Challenging learning goals and 3 4 5 6 6 8 8 instructional plans and programs for all students are evident. The identified subset of standards appears in bold print. Pupil Achievement 65 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 3.3 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Every elementary school has 0 embraced the most recent Califor- nia School Recognition Program Standards. 3.4 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Students are engaged in learn- 2 3 4 5 6 7 7 ing, and they are able to demon- strate and apply their knowledge and skills. 3.5 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES The district and school staffs 2 2 5 6 6 7 7 promote and communicate high expectations for the learning and behavior of all students. 3.6 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district and school sites ac- tively encourage parental involve- 3 ment in their children’s educa- tion (examples of programs EC 51100-51143). 3.7 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES Each school has a school site council or leadership team, com- 4 prised of teachers, parents, princi- pal and students, that is actively engaged in school planning (EC 52010-52039). 3.8 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Principals make formal and in- formal classroom visits. Based on 2 4 5 6 6 7 8 these visits, principals provide constructive feedback and assis- tance to teachers. The identified subset of standards appears in bold print. 66 Pupil Achievement Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 3.9 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES 3 Class time is protected for student learning (EC 32212). 3.10 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Clearly defined discipline prac- tices have been established and 2 3 5 5 6 7 8 communicated among the stu- dents, staff, board, and commu- nity. 3.11 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES School class size and teacher 3 4 6 6 6 7 7 assignments support effective student learning. 3.12 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Teachers use a variety of instruc- tional strategies and resources 3 that address their students’ diverse needs and modify and adjust their instructional plans appropriately. 3.13 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES All teachers are provided with pro- fessional development on special 3 needs, language acquisition, timely interventions for underperformers and culturally responsive teaching. 3.14 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES The identification and placement 4 of English-language learners into appropriate courses is conducted in a timely and effective manner. The identified subset of standards appears in bold print. Pupil Achievement 67 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 3.15 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Curriculum and instruction for English-language learners pre- 3 4 5 6 6 7 8 pares these students to transi- tion to regular class settings and achieve at a high level in all subject areas. 3.16 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Programs for English-language learners comply with state and 4 federal regulations and meet the quality criteria set forth by the California Department of Educa- tion. 3.17 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES The identification and placement 5 of special education students into appropriate courses is conducted in a timely and effective manner. 3.18 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES 5 Individual education plans are reviewed and updated on time. 3.19 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Curriculum and instruction for spe- 5 cial education students is rigorous and appropriate to meet special education students’ learning needs. 3.20 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Programs for special education students meet the least restrictive 5 environment provision of the law and the quality criteria and goals set forth by the California Depart- ment of Education. The identified subset of standards appears in bold print. 68 Pupil Achievement Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 3.21 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES The criteria for GATE identification 3 is documented and understood by school site staff. 3.22 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES 4 Students are regularly assessed or reassessed for GATE participation. 3.23 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES All incoming kindergarten students are admitted following board-ap- 4 proved policies and administrative regulations (EC 48000-48002, 48010, 48011). 3.24 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district provides access and 5 encourages student enrollment in UC and CSU required courses (A-G requirement). 3.25 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Students are prepared for, and may access, advanced placement 3 or other rigorous courses in core subject areas at all comprehensive high schools. 3.26 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES High school guidance counselors are knowledgeable about individual 3 student academic needs and work to create challenging and mean- ingful course schedules. The identified subset of standards appears in bold print. Pupil Achievement 69 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 3.27 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES High school students have access 4 to career and college guidance counseling prior to the 12th grade. 3.28 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district has plans for the provi- 5 sion of extended day programs at its respective school sites (EC 17264). 3.29 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The general instructional program 4 adheres to all requirements put forth in EC 51000-52950. 4.1 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY The district has developed con- tent and learning standards for 2 3 5 6 7 7 7 all subject areas and grades that are understood and followed by school site staff. 4.2 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY Student achievement is mea- sured and assessed through a 3 4 5 6 7 8 8 variety of measurement tools (e.g., standardized tests, portfo- lios, projects, oral reports). 4.3 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY The assessment tools are clear measures of what is being taught 3 4 6 6 7 8 8 and provide information for the administration and staff to im- prove learning opportunities for all students. The identified subset of standards appears in bold print. 70 Pupil Achievement Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 4.4 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY Teachers and principals are pro- vided with assessment data in 3 4 6 7 7 8 8 a timely and accessible format, and training in order for them to analyze, evaluate and solve is- sues of student performance. 4.5 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY The board has adopted and the district is implementing a K-8 policy that outlines clearly for 8 teachers, students and parents the benchmarks to be used for inter- vention, promotion and retention of struggling learners. 4.6 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY A process to identify struggling 9-12 students and intervene with additional support neces- 3 3 4 5 6 7 7 sary to pass the high school exit examination is well-developed and communicated to teachers, students and parents. 4.7 LEGAL STANDARD - ASSESSMENT AND ACCOUNTABILITY The district informs parents of the 8 test scores of their children and provides a general explanation of these scores (EC 60720, 60722). 4.8 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY The district has a process to notify high school students and their 2 parents regarding high school pro- ficiency examination requirements and scores. The identified subset of standards appears in bold print. Pupil Achievement 71 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 4.9 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY Principals and teachers in un- derperforming schools and/or in schools under mandated improve- 3 ment programs are provided spe- cial training and support by the district; improvement plans are monitored. 4.10 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY The board and district understand the elements of state and fed- 3 eral accountability programs and communicate the availability of options and special services to parents and students. 5.1 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Staff development demonstrates 3 4 5 6 7 8 8 a clear understanding of pur- pose, written goals, and appro- priate evaluations. 5.2 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Staff development provides the staff (e.g., principals, teachers, 3 4 5 6 6 8 8 and instructional aides) with the knowledge and the skills to improve instruction and the cur- riculum. 5.3 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT The standards developed by the 6 California Standards for the Teach- ing Professions are present and supported. The identified subset of standards appears in bold print. 72 Pupil Achievement Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 5.4 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Teachers are provided time and 5 encouraged to meet with other teachers. 5.5 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Collaboration exists among higher education, district, professional associations, and the community 0 in providing professional develop- ment. The district has formed part- nerships with state colleges and universities to provide appropriate courses accessible to all teachers. 5.6 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Administrative support and coach- ing are provided to all teachers, 5 and new teachers and principals are provided with training and sup- port opportunities. 5.7 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Evaluations provide construc- tive feedback for improving job 3 5 6 7 7 8 8 performance. Professional devel- opment is provided to support employees with less than satis- factory evaluations. The identified subset of standards appears in bold print. Pupil Achievement 73 Financial Management Financial Management Internal Control Environment The Vallejo City Unified School District Business Services Department continues to make changes to improve efficiency and the work environment. Employee morale continues to improve and employees appear cooperative and willing to accept change. All changes and the resulting performance expectations should be communicated to employees in a timely manner. The Business Services Department has updated the organizational chart to reflect that the Director of Audit and Compliance has oversight responsibility for the Risk Management Unit. The Chief Financial Officer has the direct line of authority for budget and business operations. This structure appears to have improved operations and helped to increase teamwork within the Department. Although some payroll errors continue to be reported, there has been significant improvement in this area. Several changes have taken place in the payroll staff, including two positions that were filled in the last six months and a new Payroll Manager who was scheduled to begin in May 2008. Managers are working with each employee to develop annual goals and ensure that training opportunities are provided. Management staff should be fully trained to evaluate employees. Training should include district evaluation procedures, collective bargaining agreements, proper use of district evaluation forms, and discipline and performance improvement procedures. Internal accounting controls have improved, but are not yet fully implemented. The district’s Internal Auditor is conducting site audits of student body funds, instructional minutes, indepen- dent study and kindergarten retentions. Internal audits should begin early each fiscal year, and results should be communicated to sites immediately so that corrective action can be taken and problems resolved as they occur. Correspondence from the county office indicates that there are several concerns with the required state financial reporting documents. Several staff members are new to school business and would benefit from additional training in school finance and state reporting procedures. The 2005-06 independent audit report included 49 findings with total questioned costs of $3.3 million. While the number of audit findings and the fiscal impact related to those findings has been reduced from prior year, there continues to be an excessive number of audit findings with a potential substantial fiscal impact to the district. Inter- and Intra-Departmental Communications Work continues on new procedural manuals and other resources for business-related functions and departments. Business Department administrators have also drafted many new business procedures and other documents with internal control mechanisms incorporated for internal use. This will be a lengthy, ongoing process. Usually these documents are distributed at administrative meetings and/or sent to the school sites, with the expectation that the applicable employees will read the information and comply with all provisions. There have been some exceptions where training was provided, but that is not the norm. Although employees should be held accountable for expectations and assigned duties, the employees expected to follow procedures should be trained and/or brought into a meeting to review the procedures before being held accountable for implementing them. When the cash procedures were developed and distributed, training occurred at each school site to Financial Management 1 make employees aware of the procedure and to ensure compliance. This also occurred with student body accounting software. FCMAT recommends such training with all new procedures that are sent to sites or departments to ensure that they are understood; then the staff with responsibility for por- tions of the procedures can be held accountable. Although FCMAT continues to be provided with many documents during the site visits, includ- ing the previously mentioned procedures and forms, customers of the Business Services and Operations Department indicated they aren’t aware of many of the procedures, policies and com- munication being developed. A system is still needed to increase awareness of these procedures. Administrators in the Business Services and Operations Department plan to continue to spend time assessing their processes and procedures. When manuals 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 procedure manuals should also function as a training tool for the staff, help ensure the accurate and appropriate discharge of job duties, and provide some continuity in the event of staff turnover. Even though managers are able to run their own budget reports from the Financial 2000 system, school sites and departments would rather receive the reports from the district office because they don’t fully rely on or trust the data from the system. Although the self-run reports are simpler and provide basic budget information, the sites clearly need additional training and communication on the budget process to better utilize the Financial 2000 system. A new reporting tool in the system, EduReports, will be made available to all sites and departments in the 2008-09 year and will allow a wider range of data to be run and seen than ever before. EduReports is being piloted in the district office now. Since so much emphasis has been on getting EduReports going, the business office has not been sending out monthly budget reports, instead reminding the sites to run their own reports or call the business office to ask for specific information. Although staff in the business department state that EduReports has been a topic in administrative meetings, FCMAT did not hear of this upcoming option from sites or departments. It is essential that the training plans occur at all sites and departments for all levels of employees that will utilize the new system/reports, and that training is provided to new staff after that initial training. Board and Community Communications The district has continued to provide the board and other stakeholders with more thorough nar- ratives to accompany the SACS reports than in prior years. In the past, the narratives had been brief regarding the assumptions used in the current year budget, and almost nonexistent for subsequent year data in multiyear projections. For the past year and a half, PowerPoint presenta- tions have been clear, detailed and more useful. A review of financial documents for the past year continues to find that much additional detail was included. When the board receives financial reports, whether or not they are SACS compliant, the accompanying narratives should always thoroughly describe the assumptions used to prepare the information, explain variances from the last time the budget information was presented to the board, and detail all relevant data on ongo- ing and one-time revenues and expenditures. Financial reports must be user-friendly. Although the district submits thorough narratives and assumptions for current year budget sub- mittals, the assumptions cover only the budget and not the multiyear projection contained as part of the budget. For example, at the time of 2007-08 budget adoption, the district referred to the 2 Financial Management multiyear recovery plan as its multiyear projection assumptions with the statement that CDE has yet to approve the plan and that it has not been updated to reflect current projections. The district must submit updated assumptions for each reporting period because assumptions quickly become outdated and no longer relevant to the current reporting period. 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. The board members interviewed seemed comfort- able with the timeliness, understandable format and communication about business related items, which is an improvement over past reviews. In addition, it was reported that when additional information is requested for whatever reason, it is always provided in a timely and understandable manner. The district’s divisions and departments continue to work on reviewing and revising existing board policies and administrative regulations as needed. In addition, new policies and regulations are being developed. Once board policies and administrative regulations are reviewed, revised and approved as needed, it is essential that they are understood and followed by the district staff. The district should consider training and other communication methods to ensure the staff is aware of the contents of these important documents. Internal Audit Internal controls continue to improve but are not fully implemented. The Internal Auditor has developed several policies and procedures to address audit findings and has been instrumental in reducing the number of annual audit findings in 2005-06 and the financial impact of prior years’ audit findings. The Internal Auditor has issued procedural manuals and instructions for student attendance and cash handling. The district office and site staffs have been trained in internal control policies in these operational areas. The district should continue to provide annual training to staff in the area of student attendance accounting. Annual instructional minutes are reviewed by the Assistant Superintendent of Academic Achievement and Accountability to ensure compliance. These calculations also should be reviewed for accuracy by the Business Office prior to the start of the school year and the district should monitor the bell schedules throughout the year to avoid future audit findings in this area. The district should consider establishing an independent audit committee to review audit findings and help implement the necessary corrective actions to establish proper internal controls in all areas. Budget Development and Finance The district’s former administrative team developed a budget planning and implementation model in 2005-06 that was well thought out and was intended to build collaboration among the business office, human resources, departments and sites. However, the model has not become standard practice during budget development/adoption or interim reporting periods. School site administra- tors are not involved in budget development during the spring of each year and are left to accept the budgets that have been developed by the business office. The same is true for some departments. Financial Management 3 Newer members of the business office staff are skilled in accounting practices. However, some lack the practical experience to know that budgeting for programs and school sites needs to allow for flexibility for achieving goals and objectives, unforeseen problems, and economic factors that can affect a responsible fiscal plan. The business office is working hard to meet financial reporting deadlines. However, in some areas, such as projecting enrollment/ADA and the financial condition of the district in the two subsequent years, the reports contain material differences from what the available data suggests. Meeting the reporting requirements with less than accurate/up-to-date information is not acceptable. Multiyear Projections The district has continued to prepare the required multiyear projections as part of the statutory requirements, such as for interim reports and adopted budgets, using both Budget Explorer and the California Department of Education’s SACS software. Multiyear projection information should be provided more frequently while the district’s fiscal health is being restored. The board must understand the impact of all its fiscal decisions and their effect on the budget in future years. Multiyear projections should include sufficient detail so that the board is familiar with the information and can more easily comprehend and have confidence in the data. The district’s Multiyear Fiscal Recovery Plan 2004-2012 has been approved by the State Superintendent of Public Instruction. The plan has been in development and review for the past four years and has been reviewed and discussed at two district board meetings during the 2006-07 school year. The plan is one of the requirements for the district to regain local control. It also assists in providing the blueprint for regaining, retaining and ensuring the fiscal solvency of the school district. The 2007-08 multiyear projections that FCMAT reviewed reflect that the district will be able to maintain the required reserve in subsequent years (2008-09 and 2009-10) without specifying what the specific budget adjustments will be to maintain it. Rather, budget adjustments are input into the MYP so that the bottom line reflects the targeted number needed to maintain the state required 3% reserve. The projection’s assumptions state that the district will reduce operational deficits annually in general areas without identifying the specific cuts or enhancements. For multiyear projections to have value, they should identify the specific approved expenditure reductions or revenue enhancements that will be necessary to achieve the specific fund balance. Assumptions should be updated and resubmitted with each financial report since information and data will normally change from one reporting period to the next. The district worked with the Department of Finance and the State Controller’s Office to develop a settlement agreement related to penalties for audit findings in the 2003-04 annual audit report. The district has agreed to spend a total of $125,000 by 2009-10 for attendance, expenditure, and purchasing accounting; upgrades to the district’s financial system including training of business staff on payroll systems; site level attendance accounting; and development and distribution of fiscal handbooks and desk manuals. In addition, the State Controller will withhold $104,333 from the 2007-08 second principal apportionment, $104,333 from the 2008-09 second principal apportionment, and $104,334 from the 2009-10 second principal apportionment as one-time adjustments. All of these amounts will need to be reflected in the multiyear projections and cur- rent year budget, as well as any other known revenue or expenditure changes. 4 Financial Management Rather than continuing to maintain two separate multiyear projections in two different softwares, the district should consider using only one. The SACS module is not mandated by the state, and many county offices, such as Solano, do not mandate use only of the SACS version since other options are available. The district should consider using only Budget Explorer for both the recovery plan and the projections submitted with SACS reports. This will make it easier to ensure one projection is complete instead of monitoring two separate databases that do not corre- late well. Interviews with the Chief Financial Officer revealed that one of the reasons the SACS software continues to be submitted with the interims is that there will be a technical error if it is not utilized. Although that is true, once the form is completed, Budget Explorer could be used in the final submittal rather than the SACS model, allowing all stakeholders to see greater detail and gain a better understanding of the assumptions and future budget outlook. Attendance Accounting The district continues to implement a monthly audit checklist for the school site staff to complete to help ensure proper attendance reporting. Attendance accounting training was provided in 2007-08 to site attendance clerks. The district should continue to conduct annual attendance training prior to the beginning of each school year and require all attendance clerks to attend. To help maximize funding opportunities, the district should provide additional training and stan- dardized written procedures for staff regarding short-term independent study contracts. The student attendance office should investigate attendance variances monthly and ensure that the Business Services Department is provided with all information regarding variances and dis- crepancies so that timely budget adjustments can be made when necessary. Audit findings related to student attendance accounting continue to be a concern. Student atten- dance systems and procedures as well as school site bell schedules should be monitored by the district throughout the year in an effort to eliminate these audit findings. The district’s 2007-08 ratio of average daily attendance (ADA) to enrollment has dropped by .69% compared to 2006-07. This equates to a loss in revenue limit funding of over $660,000 in addition to losses in revenue for other programs that are funded based on ADA. The district should refocus its efforts toward increasing the ADA to enrollment ratio. Accounting, Purchasing, and Warehousing The 2005-06 independent audit report prepared by the State Controller’s Office contained 49 findings. Several of the findings were also reflected in the 2004-05 audit and had either not been implemented or were partially implemented in 2005-06. The audit report for 2006-07 was not completed for FCMAT’s review during the May 2008 fieldwork. District staff members continue to address audit findings and implement new procedures. The 2007-08 first and second interim reports were not completed by the required dates. Staff should prepare a calendar of reporting time lines and responsibilities to ensure that all budget reports are filed on time. Employees should continue to receive the necessary training and direc- tion needed to perform their job duties accurately and timely. Financial Management 5 Cash handling procedures should continue to be monitored periodically throughout the year to ensure that established procedures are being followed. School site staff members should be provided mandatory training and updated procedure manuals for associated student body (ASB) funds annually. The preparation of state budget reporting documents should be closely scrutinized. Items of concern include the 2007-08 Second Interim Report Cash Flow Worksheet in which receipts and disbursements do not balance to annual revenue and expenditure projections and the June appor- tionment is reflected in June rather than as a deferral to July. The 2007-08 Second Interim Report Multiyear Projections form does not apply the projected ongoing deficit factor to the revenue limit in 2009-10, which results in an overstatement of an estimated $6.9 million in revenue limit funding. Continued deficit spending patterns, declining enrollment and current state budget issues require the district and community to continue their efforts to monitor the district’s financial health and modify the financial recovery plan as needed. Careful attention needs to be paid to accurately forecasting cash requirements, revenue and expenditures. These forecasts should be reviewed and updated monthly. Payroll errors and the number of requests to the county office for payroll deadline extensions have been reduced in recent months, and a minimal number of manual checks are written because of payroll errors. Since all payroll positions are now filled, overtime for payroll staff should be eliminated except in an emergency situation. A complete payroll audit should be performed at least twice per fiscal year and a random sam- pling of audit procedures should be performed at each payroll period to help ensure accuracy. Each payroll should be verified by payroll staff utilizing a cross-check and balance system before the audit review by management staff. The overpayment collection process has improved but is not yet perfected. A defined process and procedure needs to be implemented and carried out, including legal action if necessary, for the appropriate tracking and collection of all overpayments to employees. Long-Term Debt Obligations The district received an Actuarial Analysis of Retiree Health Benefits as of January 1, 2008 from Steven T. Itelson, enrolled actuary on April 21, 2008. The valuation results included multiple scenarios, including reorganizing the Annual Required Contribution (ARC) in accordance with GASB Statement No. 45. As of July 1, 2008, the ARC is $2,848,000. The total cost of $2,848,000 is computed as 3.48% of payroll for actuarial purposes. The Actuarial Accrued Liability (AAL) including interest as of January 1, 2008 is $27,551,000, which includes $7,993,000 for current retirees and $19,558,000 for current employees. There were no reserves projected for retiree health benefits as of June 30, 2008. Collective Bargaining The district’s current three-year collective bargaining agreement included midyear implementa- tion of salary compensation, identified savings by capping health and welfare benefits, and 6 Financial Management limited accumulation and payment of excess vacation benefits. The agreement concludes on June 30, 2008. The district is now in the process of negotiating new collective bargaining agreements with each respective unit, and no final resolution had been identified at the time of this report. Operational Fiscal Controls As a budget planning tool, the district has completed a claims cost projection analysis for the 2008-09 fiscal year. The district’s projected Workers’ Compensation insurance premium for the 2008-09 budget is projected at a low range of $2,918,000 to a high range of $3,616,000. District personnel continue to receive technical training in self-insurance, understanding actuarial data, claims processing, subrogation recoveries, and reinsurance claims. The district has utilized a third party broker to assist and train the staff. The duties and responsibilities for risk manage- ment functions have been moved from the Personnel Department to the Business Department. District staff have attended workshop sessions on workstation ergonomic evaluations, work restrictions and return to work programs, and have training scheduled in fall 2008 that includes accident investigation training and school site safety. The district conducted and completed an asset inventory and valuation project for all capital assets in June 2007. The appraisal report was completed by Maximus Asset Management Services and accounts for all capital assets by fund and account as of June 30, 2007. GASB 34 requires the district to maintain complete and current fixed asset records for accounting purposes. Board polices and administrative regulations were completed and adopted in February 2008. Policies were established to ensure that the district’s accounting records correctly reflect the district’s current assets and their value. Policies include an annual inventory and sign off by each site and year end certification to verify the location of fixed assets prior to the end of each fiscal year. Site principals will be provided with a computerized detailed printout of all fixed assets. Special Education The Special Education Director participated in the budget development process for 2008-09 and projects reduced costs for special education based on declining special education enrollment. The Director is monitoring the budget and continues to look for ways to contain the encroachment. The Business Services Department is responsible for preparing the maintenance-of-effort (MOE) reports. It is important to file MOE reports on time and accurately to ensure that the district is meeting its required obligations and receiving its maximum level of funding. The Special Education Director should review the report prior to filing to help ensure accuracy. The MOE report should be completed at each interim reporting period to help ensure that the requirements are being met. Management Information Systems The district recruited a new Director of Technology and Information Services (TIS) in October 2007 following the departure of the former department leader. Staff morale appeared to have increased. Financial Management 7 Users who receive a new account on the district’s student information system are strongly encouraged to change the default password assigned to them. Despite this, some users have never changed their default password. All users should be required to change the default password assigned to them when new user accounts are created on the student information system. The district does not regularly provide professional development or assistance with instructional technology issues. The district should consider creating a position to address these issues. The district’s acceptable usage policy (AUP) continues to be out of date and has not been signed by all employees. The AUP should be updated and every staff member should be required to sign the updated document. A district employee maintains and submits all E-Rate funding documentation. The district should consider contracting with an external E-Rate consultant for support in application, documenta- tion, and funding efforts. Staff Professional Development A 2007-08 staff development plan for the Business Services and Operations Department was shared with FCMAT. The types of staff development listed in the plan include cabinet meet- ings, meetings between the Human Resources and Payroll departments, administrators’ summer Workshop, leadership team meetings, School Services of California, Solano County Office of Education, and business division staff meetings. The plan seems to include both routine and specialized training, with much more county office training than in the past, which is an improve- ment. All employees working in the Business Services and Operations Department should continue to attend workshops related to their duties whether they are new to the job or need a refresher course. An annual staff development plan still needs to be implemented for non-business department personnel so that departments and sites are updated on changes in business procedures and the application of routine internal control processes. When manuals or other resources are devel- oped 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 help ensure the accurate and appropriate discharge of job duties, and provide some level of continuity in the event of staff turnover. The district should communicate changes in business services policies and procedures by offer- ing in-service training before each school year begins. This would help ensure that the staff at sites and departments understand and properly implement ongoing, new and changed policies, procedures and forms. These in-service trainings should be for administrators and site and departmental personnel who regularly handle business tasks. Separate training sessions may need to be developed based on employee jobs. At present, it appears that some training occurs before the school year starts for administrators, but does not occur for other employees, except for spe- cialized occurrences. 8 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 was revised in 2007. All employees should understand the policy and district 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 demonstrate integrity and ethical behavior in their daily activities. The district should continue to dis- burse information to employees about the civility policy annually and ensure that all new employees are provided with the policy. 3. Employees appear cooperative, and attitudes continue to improve. Employees continue to accept change and are working toward becoming more efficient with the introduction of more automated systems in their daily work activities. 4. It appears that employees in the Business Services Department are evaluated on a timely basis and each employee is required to submit annual goals to their supervisor. Evaluations should be conducted based on the bargaining unit contract provisions. 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 6 Implementation Scale: Financial Management 9 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 Business Services Department has updated the organizational chart, which reflects the Director of Audit and Compliance with oversight responsibility for the Risk Management Unit. Job descriptions for the Budget Manager and Payroll Manager have been approved; however, the Budget Manager position is a new position that has not yet been filled. The Payroll Manager position has been vacant for approximately six months, and a new employee has been appointed and is scheduled to begin in May 2008. 2. There are still some payroll errors being reported; however, there has been significant improvement in this area. The perception of payroll operations is better, but still remains negative at some school sites. There have been significant changes in the payroll staff in the six months prior to the FCMAT review. One vacant payroll technician position and one vacant lead payroll position has been filled. The Payroll Manager position has also been filled, and that employee was scheduled to start in May 2008. 3. Changes continue to take place in the Business Services Department. Several employees are new to their positions. At the time of FCMAT’s visit, there was one open position and one position vacant due to an extended employee leave. 4. The Business Services Department continues to make changes to improve efficiency and the work environment. The 10th of the month payroll has been moved from the payroll technicians to the payroll analyst position. All changes and the resulting performance expectations should be communicated to all employees. 5. The Assistant Superintendent of Business Services and Operations oversees business services, facilities, transportation, student nutrition and technology services and has now completed his first year in this role. The district also employs a Chief Financial Officer (CFO) who has the direct line of authority for budget and business operations. This struc- ture appears to have enhanced operations and delineated the support service areas in the division and has made progress in bringing the Business Services Department together as a team. The job description for the CFO was adopted in 1997 and should be updated to reflect current duties and responsibilities. 10 Financial Management 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 6 Implementation Scale: Financial Management 11 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. It appears that all employees in the Business Services Department are being evaluated timely. The Human Resources Department is sending an annual employee evaluation list to all departments. Steps should be taken to ensure that all evaluations are completed in a timely manner. 2. Measurable goals and objectives should be in place for all positions. Employees should know the standards used to evaluate them and these should be reflected in the evaluation instrument. The evaluation instrument should include the employee unit name at the top of the document and the date the form was last updated. 3. Business Services management staff members are working with each employee to develop annual goals and ensure that training opportunities are provided. 4. Managers and supervisors must be held accountable for evaluating employees on a timely basis. They should be fully trained to properly evaluate employees. Training should include the areas of the collective bargaining agreements, district procedures, proper use of district evaluation forms, and discipline and performance improvement procedures. 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 July 2, 2007 Rating: 4 June 30, 2008 Rating: 5 Implementation Scale: 12 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 improved, but are not yet fully implemented. Internal accounting controls and performance standards are necessary to hold employees account- able for following all district policies. 2. A board policy has been adopted addressing fraud prevention, the misuse of funds, and conflict of interest. The district should ensure that all employees have been provided a copy of the fraud prevention policy. 3. The district’s Internal Auditor is conducting site audits of student body funds, instruc- tional minutes, independent study and kindergarten retention. These audits should begin early in the fiscal year so corrective action can be taken and problems resolved as they occur. 4. Some improvements have been made in the overall internal control process. However, based on the 2005-06 audit report, there are several internal control deficiencies in finan- cial statements and federal and state compliance that must be corrected. Changes and revised expectations should be communicated to employees timely. 5. Employees should know how to report concerns or problems that they experience during routine daily activities. The district should ensure that a reliable system is in place and employees are encouraged to report abuses and/or fraud using an anonymous hot line or other avenue for tips and suggestions. 6. The county-wide CECC data processing system is being used and includes the neces- sary components to provide proper internal controls. The district should ensure that these internal control processes are in place and employees are able to access only those mod- ules within their job functions. 7. Employees stated that they have received training in the CECC system. However, many employees expressed a desire to have more training in their area of responsibility both on the CECC system and in other areas to improve their skill levels. The district should con- tinue to provide additional training. 8. Several of the Business Services Department staff are new to school business and would benefit from additional training in the area of school finance. Correspondence from the county office for the 2007-08 fiscal year indicates several concerns with the required state financial reporting documents. Financial Management 13 9. The 2005-06 independent audit report included 49 findings with total questioned costs of $3.3 million. While the number of audit findings and the fiscal impact related to those findings has been reduced from prior years, there continues to be an excessive number of audit findings with a substantial fiscal impact. At the time of the FCMAT review, the 2006-07 independent audit was not yet complete. 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 5 Implementation Scale: 14 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. Procedures 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. When FCMAT last visited the district, the district had planned to begin posting specific business procedures in the Staff Net portion of the district Web site to make employees aware of their existence. These posted procedures were to include the following: • Cash collection reconciliation • Cash management • Fraud and theft reporting • Petty cash procedures • Student attendance accounting manual • Transportation workflow chart • Whistle-blowing procedure The forms to be posted were: • Cashier’s recap sheet • Gym uniform collection sheet • Independent contractor/consultant services agreement and forms There are still plans to post the procedures and forms, including others as they are devel- oped and approved, but the process has been delayed as there were issues posting the information on the district’s current Web site. A vendor has been contracted to update the district’s Staff Net portion of the Web site to allow such posting. Posting procedures can be effective, but the staff at sites and departments should be noti- fied beforehand and told that the procedures must be reviewed and followed. The current practice usually followed is to either distribute the procedures at administrative meetings and/or to send them to the school sites, with the expectation that the applicable employ- ees will both read the information and comply with all provisions. There have been some exceptions where training was provided, but that is not the norm. Although FCMAT agrees that employees should be held accountable for expectations and assigned duties, Financial Management 15 the employees expected to follow procedures should be trained and/or brought into a meeting to review the procedures before being held accountable. When the cash proce- dures were developed and distributed, training occurred at each school site to make staff aware of the procedure and to ensure compliance. This also occurred with student body accounting software. Such training and awareness should occur with all new procedures that are sent to sites or departments to ensure that the staff understands them, after which the staff that have responsibilities for portions of the procedures can be held accountable. 2. An Understanding Internal Controls document has been developed by the Internal Auditor. The Internal Auditor has done a thorough job of compiling the information. Although it was originally planned to be distributed to school sites to give them a better understanding of what to expect when internal audits occur at their specific sites, it has been since decided to not do so because of the large quantity of information. The plan is to distribute portions of the document to the sites. Developing and distributing these types of documents to departments and sites would provide them with information on why pro- cesses are developed, what is expected, and why the processes are important. Providing sufficient discussion or training would reflect more positively on the Business Services and Operations Department by showing that the department is respectful of site time. 3. The Business Services and Operations Department has developed a Business Services Procedures Manual with many business procedures and other documents, with internal control mechanisms incorporated for internal use. These include the following: Account Reconciliation • General Ledger Account Reconciliation • Reviewing and Verifying Revenue, Expenditures and other Financial Reports • Reconciliation of Balance Sheet Accounts Steps • Cash Confirmation Steps for Service Pro • Definition of an Account Reconciliation • Internal Auditor’s, FCMAT’s, and State’s Findings Action Plan Cash Management • Authorization of New Bank Accounts • Bank Reconciliation • Cash Disbursement Procedures • Cash Over/Short • Check and Safe Security Controls • Cash Received • Deposit Slips • District Check Signing Authority • General Revolving Cash Procedures • Petty Cash • Voided Checks • Bank Deposit • Cash Count and Reconciliation Form • Petty Cash Requisition • School Receipt Book Log Form 16 Financial Management • School Ticket Inventory Form • Request for Disbursement/Purchase Order • Cashier’s Recap Sheet • Cash Handling Training Presentation General Journal Entries • Manual General Ledger Journal Entries Procedures • Statement-Cash Flow • Statement of Cash Flow Process Student Attendance Accounting Manual • Student Attendance Accounting Manual Consultant Services Agreements • Procedures for Purchasing Professional Services • Consultant Selection Criteria Statement • Independent Contractor/Consultant Services Agreement (CSA) • Certificate of Independent Consultant Agreement • W-9 Request for Taxpayer Identification Number and Certification Subpoena Procedures • Subpoena of District Employee or Student Guidelines for Storage Records • Boxing and Labeling of Records Being Submitted to Storage • VCUSD Records Storage Label (Example) • VCUSD Records Storage Log (Example) 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. These train- ing sessions should include all customers who are affected by the procedures. 4. Two documents that FCMAT reviewed, the Risk Management Instruction Booklet and Student Fund Guidelines and Procedures, have been developed by the Internal Auditor/ Risk Management staff and are valuable resources. Annual training should be offered on both documents for both new and continuing employees. Annual training allows employ- ees the opportunity to ask questions and strengthen the knowledge they already have. 5. Although FCMAT has been provided with many documents during the site visits, includ- ing the previously mentioned procedures and forms, customers indicated that they aren’t aware of many of the procedures, policies and communication being developed by the Business Services and Operations Department. A system continues to be needed to increase awareness of these activities. One option is sending a cover sheet with the com- munication, including a requirement that customers (principals, office managers or other positions) certify they have received the communication and understand they are respon- sible for following it. In addition, communications on new processes and procedures Financial Management 17 that contain significant changes from the past practice should not be distributed without a meeting or training so employees understand what is expected of them before they are held accountable. A process also should be established to train new staff at departments or sites on existing procedures and processes for which they will be held accountable. 6. Administrators in the Business Services and Operations Department plan to continue to assess their processes and procedures. This will be a lengthy, ongoing process. When manuals 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 procedure manuals should also function as a training tool for the staff, help ensure the accurate and appropriate discharge of job duties, and provide some continuity in the event of staff turnover. 7. The district should communicate changes in business services policies and procedures by offering in-service training before each school year begins. Updates to the procedures man- ual could be distributed and explained at the training. This would help ensure that the staff at sites and departments understand and properly implement the updates to procedures as well as the ongoing ones. These trainings should be provided for administrators and site and departmental personnel who regularly handle business tasks. Separate trainings 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 members except in special cases. 8. Organizational charts of the Business Services and Operations Department continue to be updated, as many changes continue to occur. Sites and departments need to be provided with a district office listing of staff by department, including specific phone extensions. At times letters are sent to sites and departments with information on who to call regard- ing issues, but complaints continue to be heard from sites (more than departments) that employees do not know who to call for specific questions and assistance. Information needs to be provided at the beginning of each school year, as well as when changes occur, so that sites and departments know who to contact for routine issues involving payroll, accounts payable, budget questions and purchase requisitions. A directory should be developed and distributed for all business, budget and fiscal functions. 9. Complaints were heard from various sites that it is often difficult to reach someone to help them, and when they do reach someone, it takes a long time for issues to be addressed. Sites acknowledge that the department may be short staffed, but that does not decrease the frustration. Some site personnel will call multiple people to get an issue addressed or question answered, even if the employee finally reached is not the appropri- ate one. Rather, the person with the question or issue just wanted to hear a live voice. The FCMAT team heard several times that weeks or months were required to get questions answered, and these questions were often about the budget or payroll. Response times must be improved and must be made a priority. 18 Financial Management 10. Even though managers can run their own budget reports from the Financial 2000 system, school sites and departments complained about not receiving the reports from the district office because they don’t fully rely on or trust the data from the system. Although the self-run reports are simpler and provide basic budget information, the sites clearly need additional training and communication on the budget process to better utilize the Finan- cial 2000 system. Per the district office, although monthly budget reports are not sent to the school sites for some time, several informative reports have been sent such as a monthly head count report and a quarterly vacation and sick leave report. 11. A new reporting tool in the Financial 2000 system, EduReports, will be made available to all sites and departments in the 2008-09 year and will allow a wider range of data to be run and seen than ever before. EduReports is being piloted in the district office now. Since so much emphasis has been on getting EduReports going, the business office has not been sending out monthly budget reports and instead reminds the sites to run their own reports or call the business office for specific information. Although business staff state that EduReports has been a topic in administrative meetings, FCMAT did not hear of this upcoming option from sites or departments. It is critical that training occurs at all sites and departments for all levels of employees that will utilize the new system/reports, and that training is provided to new staff after the initial training. Unless staff is confident in using the system, the benefit to sites and departments will not be realized. 12. The Business Services and Operations Department also plans to train sites and depart- ments on how to use the Monarch system, which allows financial information to be exported from the CECC financial system into Excel rather than printing a report directly from CECC. This allows for better analysis and formatting of data. Training for the Busi- ness Services, Technology and Human Resources departments will occur this summer. Some employees are already using Monarch to test the system and to assist in training others, especially staff at the school sites who want to analyze data at a deeper level. 13. The business office formulated an action plan for budget development that includes com- munication and collaboration between its staff and the district’s school sites, programs, and departments. However, customers do not perceive improved communication and col- laboration. One-on-one meetings need to be held and overall communication increased. 14. District leadership meetings and principals’ meetings should include time to share finan- cial and other information with department managers, principals, and program managers. Periodic office manager/clerical meetings should also occur for information sharing and policy/procedure updates. 15. The Business Services and Operations departments plan to conduct numerous trainings while students are not in school this summer, both at the beginning and the end of sum- mer. This training is slated to include office managers, principals, and others needing to understand business and related information. Some topics will include EduReports, pay- roll calendar, budget development (setting up the budget correctly at the beginning of the year), purchasing, accounts payable, and risk management. Financial Management 19 16. The Payroll and Human Resources departments have not met monthly since December 2007 to discuss ongoing issues and develop solutions to common problems. Although these monthly meetings are not occurring, specific meetings are held as needed between individual staff members. Monthly meetings should begin again to develop processes and procedures, rather than only meeting when issues arise. 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 July 2, 2007 Rating: 7 June 30, 2008 Rating: 6 Implementation Scale: 20 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 Solano County Office of Education reported to FCMAT that although the district still does not meet the deadlines for statutory financial statements, there has been improve- ment. Because the Chief Financial Officer (CFO) has had to spend much time resolving continuous, major issues and delays in the district’s payroll department, the county office acknowledges this has made the submission of financial statements difficult. Thus, the county office feels that the efforts to submit the statements as soon as possible testifies to the improvements that have been made in other areas of the business office. 2. Although the district submits thorough narratives and assumptions for current year budget submittals, the assumptions cover only the budget and not the multiyear projection in the budget. For example, at the time of 2007-08 budget adoption, the district referred to the multiyear recovery plan as its multiyear projection assumptions with the statement that CDE has yet to approve the plan and it has not been updated to reflect current projections. The district must submit updated assumptions for each reporting period because assump- tions quickly become outdated and irrelevant to the current reporting period. 3. At the time of 2007-08 budget adoption, there was a difference of about $2 million between the general fund combined ending fund balance on the SACS document and the document presented to the board. Since Education Code requires financial reports to be prepared using the SACS software, the district should first prepare its budget in that manner and then prepare the supplemental budget documents for the board with the same information. While the district has presented supplementary documents to assist stake- holders in understanding the budget, the supplemental documents should be in addition to the SACS financial reports. 4. The two new board members elected in November 2007 were provided with training to better help them understand the district and their specific role as board members. However, the board has not received training as a whole board. In addition, the board members have not received training on state-mandated reports, even though training has been planned for some time. 5. The two new board members’ training included reviewing budgets and interim reports in detail, so they could understand how budgets are developed, how to read budget reports, different sources of revenue, and other pertinent subjects. This type of training allows new board members to have additional knowledge and makes it more comfortable to ask questions regarding data. Financial Management 21 6. The district has continued to provide the board and other stakeholders with more thorough narratives along with the SACS reports than in prior years. In the past, the narratives had been brief regarding the assumptions used in the current year budget, and almost nonexistent for subsequent year data in multiyear projections. For the past year and a half, PowerPoint presentations have been clear, detailed and more useful. A review of financial documents for the past year continues to find that much additional detail has been included. When the board receives financial reports, whether they are SACS compliant or not, the accompanying narratives should always thoroughly describe the assumptions used to prepare the information, explain variances from the last time the budget information was presented to the board, and detail all relevant data on ongoing and one-time revenues and expenditures. Financial reports must be user-friendly. 7. The board members interviewed seemed comfortable with the timeliness and content of financial information. In addition, when additional information is requested for whatever reason, it is always provided in a timely and understandable manner. 8. The district continues to draft and approve new board policies and administrative regula- tions related to business operations, including: • Code of Ethics, adopted September 7, 2005 • Fraud Awareness, Identification and Prevention Policy, adopted September 21, 2005 • Food Service/Child Nutrition Program, adopted September 20, 2006 • Free and Reduced-Priced Meals, adopted September 20, 2006 • Environmental Safety, adopted February 1, 2006 • Hazardous Substances and Hazard Communication Program, adopted February 1, 2006 • Management, Supervisory and Confidential Personnel-Evaluation and Supervision, adopted October 18, 2006 • Fiscal Solvency, adopted April 29, 2006 • State Loan Repayment, adopted May 17, 2006 • Adequate Repair of School Buildings, adopted April 4, 2007 • Preventive Maintenance Program, adopted April 4, 2007 • Energy and Water Conservation, adopted March 21, 2007 • Vandalism, Theft and Graffiti, adopted March 21, 2007 • Comprehensive School Safety Plans, adopted March 21, 2007 • Keys and Security Systems, adopted March 21, 2007 • Roles and Responsibilities Related to Financial Management, second reading April 18, 2007 • Safe Schools Assessment and Reporting, second reading April 18, 2007 • Community Relations, adopted February 16, 2008 • Fixed Assets, adopted February 20, 2008 • Leaves for Personal Illness, Injury and Related Conditions, adopted March 7, 2007 • Community Relations Uniform Complaint Procedures, adopted January 16, 2008 • Uniform Complaint Procedures, adopted March 7, 2007 9. The district’s divisions and departments continue to work on reviewing and revising existing board policies and administrative regulations as needed. In addition, new poli- 22 Financial Management cies and regulations are being developed. Policies are adopted by the Governing Board, and administrative regulations are developed by district administration to carry out the board’s policies. This is considered an ongoing process. 10. Once board policies and administrative regulations are reviewed, revised and approved as needed, they must be understood and followed by the district staff. The district should consider training and other communication methods to ensure the staff is aware of the contents of these important documents. 11. On March 26, 2007, the district revised Board Policy 3000, Concepts and Roles, to include the Superintendent’s role of providing the board with frequent multiyear projec- tion information. The word “frequent” is not defined. Providing more frequent projections would allow the board to make more informed expenditure decisions, and facilitates better understanding and timelier use of restricted categorical funding. Multiyear projec- tions should always include assumptions underlying the future year calculations and will be thoroughly explained to ensure the board members’ familiarity with the data. Currently, projections are being provided only when statutorily required, which includes at adopted budget and interim reporting times. They were also provided as part of the Fiscal Recovery Plan. The State Administrator plans to work with the Business Services Department to establish a process and time line for twice yearly updates of current budget year information as well as multiyear projections. 12. The revised Board Policy 3000, Concepts and Roles, also included in the Superintendent’s role “providing the board with monthly budget and financial informa- tion that includes issues that will affect district finances as well as routine budget reports on the status of the general fund and categorical programs.” Review of board agendas and meeting minutes did not find that monthly budget information is being specifically provided, although it is being presented at various meetings during the year, as are reports on surplus property disposal and gifts and donations. The interviewed board members reported that the information they receive is sufficient and that the board policy may need to be modified not to require such information monthly, or at least define what will be required monthly. The current types of financial information brought monthly to the board include payroll and vendor payment approval, contract approval and purchase order approval. 13. The Governing Board now ratifies all district expenditures on a continuous basis, includ- ing vendor and payroll expenditures. This was implemented as of December 2006. 14. On April 23, 2008 the 2008-09 budget reduction options were presented to the board. The reductions were then presented to the community on April 30, 2008. It was reported that approximately 200 people attended the community forum, which is the highest attendance so far at a community meeting regarding the district. Continuing to hold com- munity meetings in addition to board meetings will help the district ensure that financial communications are clear and concise. Many people who might not want to attend a board meeting would attend a community meeting, as it is more focused and less formal. This type of forum should be continued. Financial Management 23 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 July 2, 2007 Rating: 4 June 30, 2008 Rating: 6 Implementation Scale: 24 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 cur- rent 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 district’s Web site continues to contain useful information about the district so stake- holders can better understand the district’s composition, including the number of schools, students, and staff members. The Web site contains a section titled Budget Issues, with categories on the state takeover and loan, the recovery plan, current budget information, and status and progress reports. This is an effective way to communicate with the com- munity that should continue to be updated. Summary budget information should also be included, with communications to the department and school site staff who may not think to check the Web site for this information. 2. The various community meetings that have been held have allowed broader community participation, understanding and input into the budget process. They should continue, possibly quarterly. 3. Interviewed board members spoke more positively about the audit process and the timeli- ness of information, both for the audit and other financial items. They also were pleased with staff responsiveness to their requests for additional information, as it is always pro- vided in a clear, positive manner. It remains important for the board to understand the district’s true fiscal status, including audit findings and recommendations, and to have adequate time to review financial data before board meetings. This will allow them to ask questions at board meetings and have input into corrective actions. 4. Detailed information should accompany budget reports to explain existing funding and how long it will be available. This will allow the board to make more informed expendi- ture decisions. To date, this information has not been provided. Receiving this informa- tion will allow the board and community to better understand the specific funding sources and could potentially assist in the timelier use of restricted categorical funding. 5. The district’s Multiyear Fiscal Recovery Plan 2004-2012 has been developed and approved by the State Superintendent of Public Instruction. This plan was reviewed at two board meetings during the 2006-07 school year, and is a requirement of the legisla- tion that authorized the state loan. The base year of the multiyear projection included in the plan is 2006-07, with projections through 2011-12. Those projections, and the plan itself, will need to be closely monitored and updated as assumptions change. 6. The budget office needs to provide the board with frequent multiyear projection informa- tion while the district’s fiscal health is being restored. To date, multiyear projections have been completed and distributed only when mandated by state requirements, such as with interim reports and adopted budgets and as part of the recovery plan. Plans to prepare and provide projections quarterly to the State Administrator and the Governing Board during Financial Management 25 the period of financial recovery have not yet been implemented. The letter from the State Administrator to the Superintendent and Governing Board contained in the Financial Re- covery Plan states that “The State Administrator plans to work with Business Services to establish a process and time line for twice yearly updates of current budget year informa- tion as well as multiyear projections.” On page 55 the plan states, “The district will up- date its Multiyear Projections at least once each year to reflect the changes in assumptions and the current year budget data.” The two statements should reflect the same time line, and twice yearly updates would be best. 7. School boards must understand the impact of all their fiscal decisions and how these decisions affect future year budgets. This can be easily reflected in detailed, understand- able multiyear projections. The projections should be thoroughly explained to ensure that board members are familiar with the data. The assumptions presented with the latest mul- tiyear projections for the subsequent years have increased over previous submitted pro- jections. Assumptions supporting 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 and trusted. 8. The district’s Internal Auditor last presented an update to the board on audit matters in fall 2007. That update included information on past audit findings, status of corrective actions and the appeals process. The update also included new procedures that are being implemented to mitigate future findings. The Internal Auditor provided to FCMAT in May 2008 the latest status on past audit findings, resolution and appeals, and plans to share that same information with the board in a future meeting. 9. The board should receive quarterly updates on audit matters, including past findings, resolution of the findings and status of appeals. Because there can be a large fiscal impact depending on audit resolution, the board must be apprised of this information. In addi- tion, to comply with Education Code requirements, the board should receive a copy of the annual audit at a public meeting and review all corrective actions developed by staff. 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 July 2, 2007 Rating: 4 June 30, 2008 Rating: 5 Implementation Scale: 26 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 Awareness, Identification and Prevention board policy September 21, 2005, which was revised in March 2007. The administrative regula- tion for the policy was approved August 30, 2005 and revised March 2007. The policy and administrative regulation are clear, thorough and well written. The policy provides direction to avoid fraud and fraudulent activities and a system for reporting suspicious activity while protecting the informant. 2. The code of ethics policy approved by the school district outlines the expectations that district employees will perform duties and conduct themselves with the utmost integrity, efficiency and reliability and will comply with all applicable laws, board policies, regula- tions and procedures. It states that the Superintendent is expected to provide for imple- mentation of the code of ethics. 3. On March 14, 2007, a letter was sent from the Business Services and Operations Department regarding fraud and theft reporting procedures. In that document, the code of ethics board policy is explained, fraud and theft reporting are defined, the issues covered are explained, and information is provided on where and how to report issues. FCMAT was not able to locate a more recent letter during the fieldwork for this update. Although these fraud and ethics policies have been in place for some time, most of the staff mem- bers interviewed are unable to recall whether the policies had been explained and/or shared with them. 4. The Fraud Awareness, Identification and Prevention administrative regulations state that all district staff will be provided with annual training on the district’s fraud policy and reporting procedures, which has not occurred to date. The awareness program should be in place to inform the 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. Financial Management 27 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 July 2, 2007 Rating: 4 June 30, 2008 Rating: 4 Implementation Scale: 28 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 county office has reported that submissions of 2007-08 financial data have slightly improved over past years. Expectations might have been higher, but the county recog- nizes that the district is dealing with multiple issues, and agrees that payroll submissions and their timeliness is the better focus. 2. The Governing Board as a whole should receive training on state-mandated reports. This has been a district goal for some time, but has yet to be implemented. 3. In the 2006-07 fiscal year, the district started to implement the goal of providing more thorough narratives to the board along with the SACS reports. That goal has continued to be implemented. When the board receives financial reports, SACS compliant or not, it is important for the accompanying narratives to 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 must be user-friendly. 4. On April 30, 2008 there was a community forum regarding 2008-09 budget at Steffan Manor Elementary School. Goals, budget calendar, budget assumptions, budget options and other important topics were covered. The information shared at this community meet- ing was similar to what had been discussed at several board meetings on the same topic, but allowed the information to be shared at an additional forum that might be considered more accessible by stakeholders. Not only was information provided on 2008-09 options, but participants were able to ask questions in a comfortable atmosphere. These types of community meetings should continue to be held since many stakeholders do not come to board meetings. The community meetings concentrate on one topic versus a board agenda with various items and topics that may not be as interesting to as many people. 5. Board Policy No. 3000q, Roles and Responsibilities Related to Financial Management, was revised on March 26, 2007. It clearly outlines what the Governing Board expects of the Superintendent in this area. This includes providing the board with regular budget and financial information, including issues that will affect district finances, as well as routine budget reports on the status of the general fund and categorical programs. This type of information must be clear, easily understood, and provided throughout the year. Although some financial information is being provided monthly, board agendas and minutes reveal that there is no regular schedule, for many of the items brought forward. The board should discuss what items they would like to see monthly, as well as quarterly, so they can be as fiscally accountable and knowledgeable as possible. Financial Management 29 6. Board Policy No. 3000q states that the Superintendent is to provide the Governing Board with frequent multiyear projection information. This data enables the board to make more informed expenditure decisions and facilitates better understanding and oversight of restricted categorical funding. Multiyear projections should include assumptions underly- ing the future year calculations. The budget office must provide the board with frequent multiyear projection information while the district’s fiscal health is being restored. Assumptions behind multiyear projections need to be clearly identified and continu- ously monitored for validity. When multiyear projections are presented, they need to be explained in detail to be thoroughly understood and trusted. 7. School boards must understand the effect of all their fiscal decisions and how these decisions affect future year budgets, which can be easily reflected in detailed, under- standable multiyear projections. The projections should be thoroughly explained to ensure that board members are familiar with the data. Board policy 3000q states that the Superintendent shall regularly inform the Governing Board of the financial effects of board decisions and that all recommended financial plans presented to the board for approval shall support the district’s goals and objectives. 8. Detailed information should accompany budget reports explaining existing funding and how long it will be available to the district. This will allow the board to make more informed expenditure decisions. To date, this type of information has not been provided. This information would facilitate better understanding and timelier use of restricted categorical funding. 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. The board members interviewed seemed comfortable with the timeliness, understandable format and commu- nication about business related items, which is an improvement over past reviews. 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 July 2, 2007 Rating: 4 June 30, 2008 Rating: 5 Implementation Scale: 30 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 for 2007-08 was shared with FCMAT for the Busi- ness Services and Operations Department. The plan states that “The Business and Fiscal Services Departments are committed to encouraging staff to attend any workshop/train- ing/conference or meetings that keep them experienced and knowledgeable in the most current job-related practices, technology and office procedures, and requirements in their specialties for the effective operation of the department.” This is a strong statement that, if carried out, will benefit the entire district as staff become increasingly knowledgeable about their jobs and expectations. 2. The types of staff development listed on the plan include cabinet meetings, meetings between the Human Resources and Payroll departments, Administrators’ Summer Work- shop, Leadership Team meetings, School Services of California, Solano County Office of Education, and Business Division staff meetings. The plan appears to include both routine and specialized training, with much more county office training than in the past, which is an improvement. The county office is offering training on the CECC financial system, payroll and fiscal issues, and workshops seem to be well attended and appreciated. The staff development plan appears to be consistent with the department plan, the employees’ job duties, current skill and knowledge levels, and time lines for accomplishing training. Individual plans will be included as part of the annual performance report filed with Hu- man Resources. 3. All employees working in the Business Services and Operations Department should con- tinue to attend workshops related to their duties whether they are new to the job or need a refresher course. During interviews, employees said they have received training in the CECC system. However, many employees expressed a desire to have more training in their area of responsibility both on the CECC system and in other areas to improve their skill levels. The district should continue to provide additional training. 4. Several of the Business Services Department staff are new to school business and would benefit from additional training in school finance. Correspondence from the county office for the 2007-08 fiscal year indicates that there are several concerns with the required state financial reporting documents. 5. Joint meetings between the Human Resources and Payroll departments have not occurred since December 2007, although individual meetings occur as needed for specific issues. It is recommended that scheduled meetings resume, as they allow for time to discuss issues Financial Management 31 and strategic planning between the two departments. Because the departments share con- trols and processes, open communication is essential. Topics to include during scheduled meetings could include planning trainings for site and department staff, as well as placing notices in employees’ files once professional development training is completed. 6. Employee evaluations in the Business and Fiscal Department are up-to-date and include the employee-developed individual training plan and supervisor’s identified training needs for the employee. In subsequent evaluations, the completion of training and updated plans for future training will be noted. 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 5 Implementation Scale: 32 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. A professional development plan has not been implemented for school site/department staff other than a master calendar of training events, workshops and conferences. A pro- fessional development plan has been developed for Business Services and Operations Department personnel. When one is completed for non-business personnel, the completed professional development plan should cover internal control procedures and include a review of procedural changes made in the last year, such as conversions to new software and/or systems. 2. An annual staff development plan still needs to be implemented for non-business depart- ment personnel so that departments and sites are updated on changes in business proce- dures and the application of routine internal control processes. 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 func- tion as a training tool for staff. They help ensure the accurate and appropriate discharge of job duties, and provide some level of continuity in the event of staff turnover. 3. Each staff in-service training on business subjects should be geared to a specific audi- ence, 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. 4. The district should communicate changes in business services policies and procedures by offering in-service training before each school year begins. This would help ensure that the staff at sites and departments understand and properly implement ongoing, new and revised policies, procedures and forms. These in-service trainings should be for administrators and site and departmental personnel who regularly handle business tasks. Separate training sessions may need to be developed based on employee jobs. At present, it appears that some training occurs before the school year starts for administrators, but does not occur for other employees, except for specialized occurrences. 5. A work climate of mutual support should be encouraged so that ongoing questions and information sharing are the norm. Customers of the Business Services and Operations department need to feel comfortable asking questions to keep communication completely open and to move ahead positively and cooperatively. Financial Management 33 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 5 Implementation Scale: 34 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 provides training and assistance with school site audits in the areas of instructional minutes, student body accounting, kindergarten retention and short- and long-term independent study. 2. Internal controls continue to improve but are not fully implemented. Several audit find- ings in the 2005-06 audit report cited internal control deficiencies in financial statements and federal and state compliance that must be resolved. 3. Although the Internal Auditor reports directly to the State Administrator and/or the Su- perintendent, the position communicates regularly with the Superintendent’s cabinet to discuss issues related to both internal and external audit findings. 4. The Internal Auditor developed several policies and procedures to address audit findings. The district has final resolution on most of the audit findings for 2003-04. The financial impact of the 2003-04 audit findings has been reduced from a reported $53.5 million to an estimated $2.5 million for resolved and unresolved findings. This is a substantial re- duction. 5. The 2006-07 independent audit performed by the State Controller’s Office was not com- plete at the time of the FCMAT review. However, the district is aware of certain compli- ance findings that may be included in the audit report and the staff has begun to address those areas. Although the district continues to have several audit findings, the number of findings for 2005-06 has been reduced from the prior year. 6. Instructional minutes are reviewed by the Assistant Superintendent of Academic Achieve- ment and Accountability to ensure compliance. These calculations also should be re- viewed by the Business Office prior to the start of the school year for accuracy and bell schedules should be monitored throughout the year to avoid future audit findings in this area. 7. Policies and procedures related to cash handling and attendance have been implemented. District policy does not allow for petty cash, personal expense accounts or district credit cards. 8. The Internal Auditor developed and issued procedural manuals and instructions for student attendance and cash handling. District office and site employees have been trained and are adhering to the new internal control policies in these operational areas. The district should conduct annual training for all staff involved in student attendance accounting. Financial Management 35 9. The board has adopted a policy addressing fraud prevention, the misuse of funds, and conflict of interest. The district should ensure that all employees are aware of the policy and have been provided a copy. 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 July 2, 2007 Rating: 6 June 30, 2008 Rating: 7 Implementation Scale: 36 Financial Management 4.2 Internal Audit Professional Standard: Internal audit functions are designed into the organizational structure of the district. These func- tions 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. The district has conducted internal audits in the areas of instructional minutes, student body accounting, kindergarten retention and short- and long-term independent study. The Internal Auditor is concerned that the district may not be in compliance with the high school instructional minutes in the current year. The district should create a process of re- view, prior to the start of the school year, by the Business Office to verify the calculation. 2. The Internal Auditor has developed several polices, procedures and internal documents to assist staff with attendance accounting, cash handling and independent study guidelines. 3. The district’s internal audit function should continue to include, but not be limited to the following: • Provide assurance that the district’s internal controls are adequate to ensure that management receives reliable financial information. • Compliance with all laws and regulations. • Use of the Internal Auditor as an independent appraiser who examines and evaluates district activities. • Assist district personnel in performing their responsibilities by implementing good business practices and policies. • Properly train employees. • Authorization for full access to district records, physical property and personnel relevant to each area being audited. • Address and correct audit findings. 4. The district should establish an independent audit committee to review audit findings and make the necessary corrective actions to implement proper internal controls in all areas. 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 July 2, 2007 Rating: 4 June 30, 2008 Rating: 5 Financial Management 37 Implementation Scale: 38 Financial Management 5.4 Budget Development Process (Policy) — Strategic Process to Analyze All Resources and Allocations 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. The 2008-09 goals of the district focus on improving student achievement for all stu- dents, accelerating the achievement of underperforming groups of students, improving student behavior and climate, building the capacity of the school district to sustain im- provements, increasing parental involvement and outreach, increasing the use of instruc- tional technology, and transitioning to small learning communities in the high schools. 2. The budget target for 2008-09 is to reduce expenditures by a range of $4.7 - $6.2 million before adoption of the 2008-09 budget in June 2008. Areas identified as options under discussion as of April 23, 2008 were supported by advantage and disadvantage statements in board presentations to demonstrate the impact to current programs and operations. The areas proposed for reductions included implementing transportation efficiencies; reor- ganizing the divisions of Academic Achievement and Accountability, Business Services and Operations, and Human Resources, and the Student Support Services department; in- creasing class sizes in grades 4 through 12 (a secondary option at that time); and elimina- tion of the high school counseling program and reorganization of these services. 3. The State Administrator/Trustee works with the superintendent and staff while monitor- ing the district’s fiscal stability. The administrator/trustee reviews and approves expen- ditures over $5,000 and all contracts. He also reviews all fiscal presentations before they are presented to the Governing Board and general public. 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 July 2, 2007 Rating: 5 June 2008 Rating 5 Implementation Scale: Financial Management 39 5.5 Budget Development Process (Policy) — Policy Methodology Used to Build the Preliminary Budget 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 Business Services and Operations Department presents information to the board that includes the Standardized Account Code Structure (SACS) documents as well as nar- rative reports. Data is presented in charts and tables, and assumptions used to build or adjust the budget are clearly identified. The multiyear financial projections included in the SACS documents are not consistent with the non-SACS projections completed by the CFO using FCMAT’s Budget Explorer software. 2. The budget development calendar for 2008-09 includes an ongoing schedule for discus- sions of budget options between March and June 2008. The initial budget assumptions were presented to and approved by the Governing Board in February. 3. The district’s goal of developing and adhering to a balanced budget is reaffirmed in the presentation materials. 4. Community forums have been conducted to discuss budget options, with presentations of information that identify both a high and low range of projected savings. Administration and support staff are assigned categories with oversight for action items. 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 5 Implementation Scale: 40 Financial Management 5.7 Budget Development Process (Policy) — Projection of the Net Ending Balance 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. The Chief Financial Officer updates the budget at key financial reporting periods and as necessary throughout the year. The following table identifies changes to the combined un- restricted and restricted general fund budget throughout the 2007-08 fiscal year: Adopted Budget First Interim- projected Second Interim - projected Revenues $137,793,767 $144,641,225 $148,270,635 Expenditures $142,320,850 $152,694,854 $157,116,031 Net Change ($4,527,083) ($8,053,629) ($8,845,396) Projected Ending $17,630,059 $14,103,513 $13,778,089 Balance The presentation materials for the second interim report noted that the primary driver to the change in fund balance was a $3.9 million reduction in revenue from the non-sale of property. 2. In July 2007 the SPI announced the return of local governance to the district in the areas of Community Relations, Curriculum and Instruction, and Personnel Management. In addition, the State Superintendent authorized the Governing Board to hire a Superintendent. The State Administrator remains responsible for oversight of Financial Management and Facilities, and serves as State Trustee for the three areas returned to local control. The State Administrator is directly involved in the finance and facilities areas and communicates with the Assistant Superintendent and Chief Financial Officer on any discrepancies that will adversely affect the district’s financial position. 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 July 2, 2007 Rating: 5 June 30, 2008 Rating 5 Financial Management 41 Implementation Scale: 42 Financial Management 6.1 Budget Development Process (Technical) — Technical Methodologies Used to Forecast Preliminary Budget Revenues and Expenditures Professional Standard: The budget office has a technical process to build the preliminary budget that includes: the forecast 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 when planning and budgeting. This process is applied to all funds. Progress on Implementing the Recommendations of the Improvement Plan: 1. The communications and collaboration processes for 2008-09 budget development have been overshadowed by the district’s direct focus on the expenditure reductions necessary to adopt a balanced budget. All programs and departments have been requested to reduce their expenditures for 2008-09. 2. The child nutrition and special education directors interact with business office staff throughout the year to refine budget allocations. In looking ahead to 2008-09, the trans- portation director has been involved in discussions with the assistant superintendent on changes to the program that could reduce costs and improve efficiency. 3. Site principals are frustrated that confirmation of categorical carryover balances is not received until well into the school year. That frustration seems to be directed toward the Business Services department, but the team determined that the Special Programs depart- ment is the entity providing the information to the sites. Business Services provides the carryover information to Special Programs, which then notifies the sites when the final allocations are determined. Follow-up discussions with the CFO identified that the car- ryover balances were not provided to the Special Programs staff in 2007-08 in as timely a manner as anticipated. The reallocation of funds to the school sites, completed by the Special Programs staff, extends the length of time it takes for sites to receive confirmation of the amounts that are available to spend. This process must be expedited so that the sites receive the information in a timelier manner. Otherwise it is difficult to plan how the money will be spent. 4. The responsibility for updating enrollment and ADA projections and providing that infor- mation to the business office at key times during the fiscal year has transitioned from the former Special Assistant to the State Administrator to the Director of Assessment, Pro- gram Evaluation, and Attendance. Initial projections for the upcoming year are provided to the business office in January but are not updated again until May for the adopted bud- get. 5. If possible, the Assistant Superintendent should be updated on the results of staffing dis- cussions between the attendance director and human resources and Academic Achieve- ment and Accountability staff. The information should be provided to the CFO so it can be used to refine the budget before it is presented to the Governing Board for approval. Financial Management 43 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 5 Implementation Scale: 44 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 interim reports reflect the most up-to-date information from the business office at the time. 2. The multiyear financial projections included in the 2008-09 second interim SACS report did not reflect the SSC Dartboard (updated February 2008) projected deficit factor of 6.99% for 2009-10, thereby omitting a deficit of $6.9 million and overstating the project- ed ending balance by that amount. Notes included in the SACS projection indicated that a non-SACS projection had been prepared using FCMAT’s Budget Explorer software. The note goes on to say that the non-SACS projection had not been approved in time for the second interim report so was not included in the second interim packet. The SACS MYP form also notes that the district expects to have a firmer forecast presentation during the third interim reporting period and intends to make the necessary reductions to continue to maintain the 3% reserve and fund balance. 3. Providing an incomplete or inaccurate report in order to meet a reporting requirement can contribute to a misinterpretation of the district’s financial position until the accu- rate report is provided at a later date. For example, the time span when the second and third interim reports are presented to the Governing Board is from March 15 to June 1. Informed decisions and actions based on an incomplete second interim report could be compromised before the third interim report and multiyear projection in Budget Explorer is provided to the Governing Board by June 1. 4. The district worked with the Department of Finance and the State Controller’s Office to develop a settlement agreement related to penalties for audit findings in the 2003-04 annual audit report. The district has agreed to spend a total of $125,000 by 2009-10 for attendance, expenditure, and purchase accounting; upgrades to the district’s financial system including training of business staff on payroll systems; site level attendance accounting; and development and distribution of fiscal handbooks and desk manuals. In addition, the state controller will withhold $104,333 from the 2007-08 second prin- cipal apportionment, $104,333 from the 2008-09 second principal apportionment, and $104,334 from the 2009-10 second principal apportionment as one-time adjustments that will need to be reflected in the multiyear projections and adoption budgets for each of these years. Financial Management 45 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 July 2, 2007 Rating: 4 June 30, 2008 Rating: 4 Implementation Scale: 46 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. Training on the system should occur regularly, especially for new users. Since online pur- chase orders are in use district wide, the timeliness and quality of financial information continues to improve as those with budget responsibility have greater access and account- ability for their specific budgets. 2. The online purchase order system automatically verifies fund availability and account coding when the site/department enters a purchase requisition into the system. It immedi- ately encumbers 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 business office enters on request of the site or department. These purchase orders must also be approved by the Special Projects department if they involve adjust- ments to categorical funding before they are forwarded to the Business Services and Operations Department due to the many constraints on restricted funding. Time delays are being reported because of the additional approval needed for purchases from categorical funds. Sites often do not realize that delays in categorical fund purchases occur because a revision needs to be approved by another department before processing. Communication to sites and departments reminding users about the additional approvals required might remind customers of the importance of keeping budgets updated and current. If a budget revision was not necessary, the overall purchase order transaction would take less time to complete. 3. School sites continue to report they find it difficult to know which budgets are available for expenditure since budgets can be changed without the sites being told why. The sites have not received budget reports from the district office since December 2007, although the Business Services and Operations Department plans to again send out budget reports once the 2008-09 year begins. Although the departments and school sites have access to the Financial 2000 online budget look-up feature, they reported that it is insufficient to determine which budgets are available in what areas since the system’s view is limited. Many sites also do not seem comfortable running budget reports that are available to them in Financial 2000. The Business Services and Operations Department has been testing a new system, EduReports, which will be accessible to all sites and departments during the 2008-09 year. Training will be provided on this new feature, which will allow much greater access to information in a more user-friendly manner. In addition to training on the EduReport system, staff should be taught how to read the budget account structure and how to use Financial 2000 to view and understand current budgets. In addition, if changes are made to department or site budgets, a new method must be developed to make administrators Financial Management 47 aware of any budget adjustments they did not initiate themselves so they will know when adjustments occur. 4. The district continues to implement the hard code block feature for purchase orders that cannot be overridden. This is essential especially for districts with fiscal issues, so expen- diture transactions (other than salary and benefits) cannot be processed until a necessary budget transfer has been entered and approved. 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 July 2, 2007 Rating: 6 June 30, 2008 Rating: 7 Implementation Scale: 48 Financial Management 8.2 Budget Monitoring Professional Standard: There are budget monitoring controls, such as periodic reports, to alert department and site man- agers of the potential for overexpenditure of budgeted amounts. Revenue and expenditures are forecast and verified monthly. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Business Services and Operations Department has worked hard to dedicate staff time to develop, monitor, and maintain the budget. Budget monitoring controls seem to have been strengthened at the district office level. 2. Even though a more detailed process has been developed and seems to be working in the district office, there is still much confusion and uncertainty about budget issues at the site level. School site staff continue to express frustration about a lack of budget communica- tion between the district office and the sites, as well as lacking knowledge of Financial 2000 data. Additional support, communication, and training are needed at the site level. The Business Services and Operations Department seems to recognize this frustration, and although no changes have been implemented during the 2007-08 fiscal year, more information will be available and accessible through the EduReports system in 2008-09. Once training and understanding of the system occurs, these complaints should decrease. 3. The Business Services and Operations department does not send financial reports to the sites and departments, other than reports on staffing levels and attendance information. School sites and departments can run their own budget reports from the Financial 2000 system. Although these self-run reports can provide basic budget information, many sites are not running them because they lack confidence in the data as compared to the infor- mation on other reports they receive from the district office. 4. Online budget revisions for sites and departments have not been implemented as planned. FCMAT agrees with the district’s decision to delay this implementation because there is too much confusion on how to read and understand budgets, especially at the school sites. Once the concept of business partners becomes better utilized, the revision process should become more efficient and accountable. Online budget revisions will eventually provide the business office with greater budget control, provide site and department administra- tors with greater budget responsibility and promote better communication regarding assigned budgets. 5. Site and department managers continue to be concerned about their unrestricted gen- eral fund allocations and categorical budgets being changed without full explanation. Questions still exist regarding site allocations for unrestricted and restricted budgets that were changed during the year without notification. Budget information 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 can promote greater accountability for the budget. Financial Management 49 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 6 Implementation Scale: 50 Financial Management 8.5 Budget Monitoring Professional Standard: The district uses an effective position control system that tracks personnel allocations and expenditures. The position control system effectively establishes checks and balances between personnel decisions and budgeted appropriations. Progress on Implementing the Recommendations of the Improvement Plan: 1. There have not been any changes in this area since the last update. The district continues to have effective internal controls for position control. The Human Resources and Busi- ness departments have different roles in the process and have improved overall efficiency and accountability. 2. 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 noncontracted positions, 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 adjustments are made to salary and benefit accounts through the budget revision process. If it were, all manual salary and benefit adjustments for noncontracted positions and other types of budget revisions would be deleted and would need to be re-entered each time position control data is rolled. 3. The district must utilize 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. Because the financial system does not allow for salaries and benefits to be encumbered, it is even more difficult and time consuming to accurately reflect and recon- cile actual amounts to projections. The budget must reflect the current and most accurate data because salaries and benefits are the budget’s largest expenditures. Reconciliations should be performed at least during each interim reporting period, and a review con- ducted to ensure completion. 4. The district is working toward fully utilizing the online position control system. At this time, attention is being given to substitute, extra hire and noncontracted positions, as all contracted positions are already in the system. The goal is to enter all salary accounts into the system, both contracted and noncontracted, so they are not vulnerable to overexpenditure and so manual transactions will rarely be necessary. The district should formulate a plan to include noncontracted employees in the position control system because time card use is extensive. If those positions are not included in the system, bud- get overruns could easily occur. Financial Management 51 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 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: 52 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 sites have received a manual of standard procedures for reporting student enrollment and attendance. The district has implemented a monthly audit checklist for the sites to complete to help ensure that attendance is reported properly. 2. The district should ensure annual training is conducted for site attendance clerks prior to the beginning of each school year. 3. State attendance reports are completed by the district office attendance clerk. The district should ensure that someone in the district is cross-trained to perform these duties, as they are essential. 4. The district needs to reconcile site attendance reports with the district summary reports for each attendance reporting period. The district should ensure that P-2 and annual state attendance reports are revised as attendance accounting is adjusted at the school sites. 5. To maximize funding opportunities, the district should provide additional training and standardized procedures for staff regarding short-term independent study contracts. 6. The district should ensure that all site bell schedules are reviewed by district office staff and verified by the business office prior to the beginning of each school year. 7. The district’s student attendance office should investigate attendance variances monthly and ensure that the Business Services Department is provided with all information relat- ing to any discrepancies so budget adjustments can be made as needed. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 4 November 1, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 June 30, 2008 Rating: 6 Implementation Scale: Financial Management 53 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 should continue to provide annual training on the standard attendance report- ing procedures. 2. The 2005-06 independent audit report contained several findings related to student atten- dance accounting. Continuing to provide annual training to site staff and more closely monitoring student attendance systems and procedures and school site bell schedules throughout the year will result in greater accountability and fewer discrepancies in stu- dent attendance accounting. The 2006-07 independent audit had not yet been completed at the time of the FCMAT review. 3. Annual audit findings are shared with management in an effort to make them aware of needed changes. Site staff and managers specific to the areas being audited should also be aware of the audit findings to help them perform their jobs in a more accountable and compliant manner. 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 July 2, 2007 Rating: 6 June 30, 2008 Rating 6 Implementation Scale: 54 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 emphasize the importance of accurate student attendance accounting procedures. Annual training should continue to be provided for principals, teachers, and site attendance staff. 2. The district has implemented a common student attendance calendar district wide and has scheduled the first semester to end prior to winter recess in an effort to improve student attendance. 3. There have been no specific programs to award good student attendance in the current or prior fiscal year, although their implementation has been discussed. The 2007-08 second principal apportionment report (P-2) compared to the 2006-07 P-2 indicates that the district’s ratio of average daily attendance (ADA) to enrollment has dropped by .69%, resulting in a possible loss of revenue limit funding of more than $660,000 for the 2008-09 fiscal year (based on continued declining enrollment). In addition to revenue limit funding, several unrestricted and restricted programs are funded based on ADA. The attendance to enrollment ratios should be calculated monthly and shared in the small cabinet meetings and administrative team meetings in an effort to improve the ratio. 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 July 2, 2007 Rating: 6 June 30, 2008 Rating: 6 Implementation Scale: Financial Management 55 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. The district conducts annual attendance training for all attendance clerks before the start of the school year. The district should make this attendance training mandatory for all site and district office attendance personnel. 2. The district should continue to ensure that any changes in attendance procedures and/or changes in laws and regulations are included in the annual attendance training. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 1, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 June 30, 2008 Rating: 6 Implementation Scale: 56 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 2005-06 independent audit report prepared by the Office of the California State Con- troller indicated 49 findings. Several of the findings were also reflected in the 2004-05 audit and had either not been implemented or were partially implemented in 2005-06. 2. The independent audit report for 2006-07 was not completed for the team’s review during fieldwork in May 2008. 3. The Internal Auditor and the Chief Financial Officer continue to address audit findings and implement new procedures. The district continues to work to improve internal con- trols and develop good business procedures to ensure that accounting activities are per- formed in a timely manner. 4. The Chief Financial Officer should continue to work with the Public Information Officer to ensure that board policies related to business functions are kept up to date. Changes in policy should be shared with business office staff. 5. All payroll positions are now filled and the new Payroll Manager was scheduled to begin in May 2008. Payroll errors and the number of requests to the county office for payroll deadline extensions have decreased in recent months. A minimal number of manual checks are written each month due to payroll errors. A complete payroll audit should be performed at the beginning of each fiscal year and mid-year and a random sampling of audit procedures should be performed at every payroll period prior to submission to the county office. 6. The 2007-08 first and second interim reports were not completed by the required due dates, December 15 and March 15, respectively. The district should prepare time lines for staff to ensure that all interim and other budget reports are filed on time. 7. Several employees in the Business Services Department are new to their jobs. The district should continue to ensure that employees receive the necessary training and direction needed to perform their job duties and ensure that staff members are responding to employee questions in a timely manner. Financial Management 57 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 5 Implementation Scale: 58 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 should monitor cash handling procedures periodically throughout the year and provide additional training as necessary. 2. The Internal Auditor should evaluate the separation of duties in all matters involving cash receipts, bank deposits and reconciliations, and the recording of cash transactions in the accounting system to ensure that the established procedures are being followed and make adjustments if needed. 3. The district should ensure that site staff members are provided with mandatory training for associated student body (ASB) funds annually and provide staff with updated ASB manuals. Training and manuals were developed by the Internal Auditor for the 2007-08 fiscal year, which should continue. 4. The district’s 2007-08 second interim report cash flow worksheet does not include the beginning cash balance for July 2007 and the annual totals for receipts and disbursements do not balance to the annual revenue and expenditure totals on Form 01. The cash flow worksheet reflects the June apportionment as being received in June rather than being deferred to July, thus overstating the June cash balance. 5. The district’s 2007-08 second interim report multiyear projections form did not apply the projected ongoing deficit factor to the revenue limit in 2009-10, as projected in the Gov- ernor’s January Budget Proposal. This results in an overstatement of an estimated $6.9 million in revenue limit funding, which substantially reduces the district’s projected end- ing fund balance and results in a reserve level of less than the required 3%. It appears that some of the budget assumptions for expenditures may also not be reasonable. 6. Site staff members continue to indicate that they are not receiving monthly budget reports, and that they do not completely trust the data because the online financial system is difficult to understand. The district should provide additional training regarding the Financial 2000 system throughout the year so it is better utilized. Plans to make the sys- tem’s EduReports reporting tool available to sites and departments in 2008-09 will allow a wider range of data to be run and seen than in the past. The department must follow through with training for all employees who will utilize the new system, and train new staff when they are hired. Unless staff is confident in using the system, the benefit to sites and departments will not be realized. Financial Management 59 7. Continued deficit spending patterns, declining enrollment and current state budget issues require that the district and community continue their efforts to modify and update the financial recovery plan. 8. The district should continue to strengthen procedures to forecast accurate cash require- ments, revenues and expenditures. During this period of uncertainty with the state budget, these forecasts should be reviewed and updated monthly. 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 4 Implementation Scale: 60 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). Standard 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. The Payroll Department has filled two open positions in the last six months. Management should ensure that payroll employees are provided with adequate training to complete their job duties and continue to require payroll staff to attend meetings sponsored by the county office. 2. The Payroll and Human Resources departments should begin meeting again periodically to address and strengthen communication between the departments. Ongoing meetings are essential to improve processes, procedures and internal controls. 3. The 10th of the month payroll has been moved from the payroll technicians to the payroll analyst position, which has helped relieve the workload of the technicians and allowed them to complete the remaining two monthly payrolls in a timely manner. In the last few months, the payroll staff have met more of the county payroll deadlines; however, some of the payroll staff continue to claim overtime monthly. 4. Some school sites continue to submit time sheets late or with missing information, which requires additional follow up by payroll staff. All district staff members should be trained and held accountable for providing complete payroll information on time. 5. The Human Resources and Payroll departments should continue to work cooperatively to process employment documents. 6. The number of manual payroll checks resulting from payroll errors has been reduced sig- nificantly. 7. The overpayment collection process has improved but is not yet perfected. The district needs to implement and carry out a defined process and procedure, including legal action if necessary, to appropriately track and collect all overpayments to employees. 8. Functions and components of payroll duties should be clearly identified and assigned based on job classifications within the certificated and classified payroll divisions to help ensure proper distribution of duties and accountability for each position. 9. Each payroll should be verified by payroll staff utilizing a cross-check and balance sys- tem prior to the audit review by management staff. Financial Management 61 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 July 2, 2007 Rating: 5 June 30, 2008 Rating: 6 Implementation Scale: 62 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 as part of the stat- utory requirements, such as for interim reports and adopted budgets, using both Budget Explorer and the California Department of Education’s SACS software. 2. The district’s Multiyear Fiscal Recovery Plan 2004-2012 has been approved by the State Superintendent of Public Instruction. The plan has been in development and review for the past four years and was reviewed and discussed at two district board meetings dur- ing the 2006-07 school year. The plan is one of the requirements for the district to regain local control in the future. It also helps provide the blueprint for regaining, retaining and ensuring the fiscal solvency of the school district. 3. Any financial projection has to be updated regularly, especially when large financial assumptions change. The State Administrator plans to establish a process and time line for twice yearly updates of the projections, which will be important as there are various large uncertainties that could affect the projections, and thus the fund balance of the dis- trict. For instance, $10 million of the state loan has been set aside for potential payment of audit findings. If the $10 million is not sufficient, there would be a significant impact to the general fund, which would need to be factored into the multiyear projection. In addition, the fiscal outlook at both the state and federal levels can affect the projections and must be closely monitored for its impact on the projected revenues and fund balance in future years. Property sales could also impact the district’s projection, as the district plans to use the anticipated income from those sales for the state loan repayment. If that income were to be lower than anticipated, the difference would need to come from another source, such as the general fund, thus affecting the projection. Continued deficit spending patterns, declining enrollment and current state budget issues also require the district to continually modify and update the financial recovery plan. 4. The budget office needs to provide multiyear projection information more frequently than at budget adoption and interim reporting periods while the district’s fiscal health is being restored. The board must understand the impact of all its fiscal decisions and their effect on the budget in future years. Multiyear projections should include sufficient detail so that the board is familiar with the information and can more easily comprehend and have confidence in the data. 5. The Solano County Office of Education relayed concerns about the multiyear projections submitted with the adopted budget 2007-08. The letter to the district dated July 24, 2007 stated, “We remain concerned that the multiyear projection indicates that the General Fund 07-08 unrestricted continues to have an operational deficit of about $2M and breaks even in 09-10. The district accomplishes this through very little to no growth in non- Financial Management 63 salary expenditure budgets. The projection’s assumptions are very vague and they refer to the recovery plan. The assumptions state that the district assumes that it will reduce all operational deficits annually via selections from the recovery plan option list. However, the numbers do not all tie back to the assumptions listed in the draft of the recovery plan. For this projection to have meaning, specific options should be listed as having been chosen to achieve this control over expenditure growth. It should also detail where the current projection deviates from the draft recovery plan. Ideally, all assumptions should be updated and resubmitted with each financial report since information and data usually changes from one reporting period to the next.” 6. The multiyear financial projections included in the 2008-09 second interim SACS report did not reflect the ongoing projected revenue limit deficit factor of 6.99% for 2009-10, as projected in the governor’s January Budget Proposal. This results in an overstatement of an estimated $6.9 million in revenue limit funding, substantially overstating the projected ending balance by that amount, and results in a reserve level of less than the required 3% in that year based on the budget adjustments. 7. The multiyear financial projections included in the SACS documents are not consistent with the non-SACS projections completed using Budget Explorer software. Although the two projection softwares are completely separate, if the district continues to develop two different projections, they must tie back to each to provide a strong check and balance as to the overall correctness of the projection. Notes included in the SACS projection at 2007-08 second interim indicated that a non-SACS projection had been prepared using FCMAT’s Budget Explorer software, but since the non-SACS projection had not been approved in time for the second interim report it was not included in the second interim packet. The SACS MYP form also notes that the district expects to have a firmer forecast presentation during the third interim reporting period and intends to make the necessary reductions to continue to maintain the 3% reserve and fund balance. 8. The 2007-08 multiyear projections that FCMAT reviewed show that the district will be able to maintain the state-required 3% reserve in subsequent years (2008-09 and 2009-10), but they do not specify the budget adjustments that will be made to maintain that reserve. Rather, budget adjustments are input into the MYP so that the bottom line reflects the targeted fund balance necessary to maintain the reserve. The projection’s as- sumptions are very vague, only stating that the district will reduce operational deficits an- nually. For multiyear projections to have value, specific approved expenditure reductions or revenue enhancements should be listed. Assumptions should be updated and resubmit- ted with each financial report since information and data will normally change from one reporting period to the next. 9. The district worked with the Department of Finance and State Controller’s Office to develop a settlement agreement related to penalties for audit findings in the 2003-04 annual audit report. The district has agreed to spend a total of $125,000 by 2009-10 for attendance, expenditure, and purchase accounting; upgrades to the district’s financial sys- tem including training of business staff on payroll systems; site level attendance account- ing; and development and distribution of fiscal handbooks and desk manuals. In addition, the State Controller will withhold $104,333 from the 2007-08 second principal apportion- 64 Financial Management ment, $104,333 from the 2008-09 second principal apportionment, and $104,334 from the 2009-10 second principal apportionment as one-time adjustments. Each of these amounts will need to be reflected in the multiyear projections and current year budget, along with any other known revenue or expenditure changes. 10. Rather than continuing to maintain two separate multiyear projections in two different softwares, the district should consider using only one. The SACS module is not mandated by the state, and many county offices, such as Solano, do not mandate that only the SACS version be used since other options are available. The district should consider using only Budget Explorer for both the recovery plan and the projections submitted with SACS reports. This will make it easier to ensure one projection is complete instead of monitor- ing two separate databases that do not correlate well. Interviews with the CFO revealed that one of the reasons the SACS software continues to be submitted with the interims is that there will be a technical error if it is not utilized. Although that is true, once the form is completed, Budget Explorer could be used in the final submittal rather than the SACS model, allowing all stakeholders to see more detail and likely obtain a better understand- ing of the assumptions and future outlook. 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 July 2, 2007 Rating: 3 June 30, 2008 Rating: 4 Implementation Scale: Financial Management 65 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. 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. Retirees receive district payment for single-party Kaiser medical premiums for five 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. There is a California Public Employees Retirement System (PERS) minimum, and it is paid for life. The minimum amount for 2008 is $97.00, with increases projected by the actuary at 4% to the medical component. All expenditures for post-employment benefits are recognized on a pay-as- you-go basis as premiums are paid in each fiscal year. In 2004, GASB issued two statements related to Other Post Employment Benefits (OPEB): GASB 43and 45. In April 2004, GASB 43, Financial Reporting for Postemployment Benefit Plans Other Than Pension Plans, related to OPEB Plans. The most common framework for this statement is the establishment of a qualifying irrevo- cable trust administered as an OPEB Plan. A school agency using a trust or agency fund to administer financing and payment of benefits would apply GASB 43 requirements for the OPEB Plan. If GASB 43 applies, it must be implemented one year prior to GASB 45 (see table below). This statement deals exclusively with issues of disclosure and financial reporting and does not require that the liability be prefunded. School agencies may continue funding OPEB on a pay-as-you-go basis. However, according to published reports from Fitch and Standard & Poor’s credit rating agencies, reporting a substantial unfunded liability on the agency’s financial statements may have a negative effect on future credit and bond ratings. GASB Implementation Time Line The new accounting standards have been phased in over several years, based on the amount of revenue collected by each school agency in its governmental and enterprise funds as of June 30, 1999. 66 Financial Management All School Agency Governmental GASB 43 GASB 45 and Enterprise Funds Implementation Date Implementation Date Revenues over $100 million 2006-07 2007-08 Revenues between $10 million and 2007-08 2008-09 $100 million Revenues under $10 million 2008-09 2009-10 2. To comply with GASB, a school agency will recognize on its government wide financial statements not only the payment of current year expenses (pay-as-you-go), but also the future liability over a maximum period not to exceed 30 years. Even if the OPEB is not fully funded by the local agency, the liability must be recognized in the annual audited financial statements. The annual OPEB cost consists of the annual required contribution (ARC) and is broken down into the following categories: Normal Cost: The present value of future benefits being earned by current employees Past Service Cost: The amortization of the unfunded actuarial accrued liability (UAAL) or benefits already earned by current and former school agency employees. If the agency contributes an amount less than the ARC, the net result is an increase in the OPEB obligation recorded in the agency’s financial statement. The UAAL will normally appear in a related footnote. The district received an Actuarial Analysis of Retiree Health Benefits as of January 1, 2008 from Steven T. Itelson enrolled actuary on April 21, 2008. The valuation results included multiple scenarios that included the expense being recognized as the Annual Required Contribution (ARC) in accordance with GASB Statement No. 45. As of July 1, 2008, the ARC is $2,848,000. The total cost of $2,848,000 is computed as 3.48% of pay- roll for actuarial purposes. The Actuarial Accrued Liability (AAL) including interest as of January 1, 2008 is $27,551,000 that includes $7,993,000 for current retirees and $19,558,000 for current em- ployees. There were no reserves projected for retiree health benefits as of June 30, 2008. 3. The district is in the process of evaluating the Entry Age Normal Cost Actuarial Method that was utilized by the actuary and will utilize the analysis to prepare a plan to submit to the state for disclosure and funding purposes. The assumptions included in the actuarial report are based on the pension valuations for the Public Employees Retirement System (PERS) and the State Teachers’ Retirement System (STRS). Although the projection is depicted for a 20-year period, the ARC will be revised based on future actuarial valua- tions. Actuarial valuations should be conducted at least biannually according to GASB requirements. Financial Management 67 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 July 2, 2007 Rating: 4 June 30, 2008 Rating: 5 Implementation Scale: 68 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 cur- rent collective 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 execu- tive board session. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s current three-year collective bargaining agreement included midyear imple- mentation of salary compensation, identified savings by capping health and welfare ben- efits, and limited accumulation and payment of excess vacation benefits. The agreement concludes June 30, 2008. It included a 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. The district is in the process of negotiating new col- lective bargaining agreements with each respective unit and no final resolution had been identified at the time of this report. 2. The district’s collective bargaining agreements are analyzed by a management team consisting of the State Administrator and assistant superintendents of Human Resources and Business Services. Based on the Governor’s January and May Budget Revisions, the district has proposed a number of budget reductions as part of the negotiations process. The district developed this review team that meets monthly to evaluate and propose changes to the respective collective bargaining agreements and align them with the district’s financial recovery plan. Potential cost savings issues have been identified 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. 3. The district has formed a Benefits Committee to provide a forum to discuss potential changes, enhancements and concepts to contain rising costs for health and welfare ben- efits. The committee consists of two members from VEA, two members from CSEA, one member from VSMA, the Risk Manager, and the Assistant Superintendent of Business or designee. The committee meets once a month with minutes recorded for each meeting. Financial Management 69 4. In April 2008 the district requested authorization to establish a comprehensive list of established design benefit firms for the purposes of 403(b) tax sheltered annuities and 457 deferred compensation plans. 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 July 2, 2007 Rating: 8 June 30, 2008 Rating 8 Implementation Scale: 70 Financial Management 16.2 Impact of Collective Bargaining Professional Standard: The State Administrator ensures that any guideline developed for collective bargaining is fiscally 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 in accordance with AB 1200 for all interim financial reports and the adopted budget. 2. In accordance with AB 1200 and Government Code Section 3547.5, the district prepared public disclosure documents for the proposed agreements with CSEA and VTA for the current agreement that concludes June 30, 2008. This analysis included the costs of pro- posed collective bargaining agreements for the current and two subsequent fiscal years, and was submitted to the county office for review and analysis. The district’s current contracts for each respective bargaining group will expire on June 30, 2008. Negotiations were under way but no resolution had been reached at the time of this report. 3. The district has convened multiple budget study sessions as supported by a calendar to develop the 2008-09 budget. Monthly board meetings with the State Administrator/ Trustee and public were slated to address the fiscal impact of the budget, which has included collective bargaining issues. The district concluded the development and imple- mentation of a fiscal recovery plan in March 2007. The district’s ADA is projected to decline by 364 students in the 2008-09 fiscal year and to further decline in the two subse- quent fiscal years. This decline, along with the proposed reductions to the state budget for the 2008-09 fiscal year, will substantially affect future negotiations. 4. In April the district presented a report on budget reduction options for the 2008-09 fiscal year. The presentation reported that the state’s proposed budget would necessitate district budget reductions in the range of $4.7 million to $6.2 million to keep the district fiscally solvent. This does not account for any additional negotiated agreements. Financial Management 71 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 July 2, 2007 Rating: 6 June 30, 2008 Rating 7 Implementation Scale: 72 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 supportabil- ity of the various systems. The district ensures that all systems are compliant with the new Standardized Account Code Structure (SACS), year 2000 requirements, and are compatible with county systems with which they must interface. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district recruited a new Director of Technology and Information Services (TIS) in October 2007 following the departure of the former department leader. Department staff members indicated that department morale has increased. 2. Staff members commented that the new TIS director has divided the department staff into a technology focus group and a data focus group. Each group meets every other week to discuss issues relating to their respective responsibilities. The data focus group consists of staff members responsible for the support and maintenance of the student information system and financial information system. The technology focus group consists of staff members responsible for network and hardware support. 3. Without exception, staff members expressed disappointment and confusion regarding comments contained in the technology services study completed by a private contractor in spring 2007, and indicated that the report had a temporary negative impact on morale. The report did not contain recommendations to move employees performing work outside their job classification into formal reassignments of duties. 4. Users who receive a new account on the district’s student information system are strongly encouraged to change the default password assigned to them. Despite this, some users have never changed their default password. All users should be required to change the default password assigned to them when new user accounts are created on the student in- formation system. 5. The district has not regularly provided professional development or assistance with instructional technology issues. The district should consider creating a position to ad- dress instructional technology issues. The position could be filled by a teacher on special assignment assigned to address districtwide professional development and instructional technology applications such as the Aeries Gradebook, which allows teachers to establish all class assignments and enter scores received by students for these assignments. 6. The district’s acceptable usage policy (AUP) is out of date and has not been signed by all employees. The AUP should be updated and every staff member should be required to sign the updated document. The signed AUP should be maintained by the Human Resources department. Financial Management 73 7. A district employee maintains and submits all E-Rate funding documentation. The district should consider contracting with an external E-Rate consultant for support in application, documentation, and funding efforts. Typically, E-Rate consultants charge a flat fee for services and a small percentage (usually capped) of the funding received. 8. After several department staff members shared a concern that they were routinely per- forming functions beyond the scope of their job descriptions, district administrators agreed to temporary out-of-class compensation agreements formalized by memorandums of understanding (MOU). Terms within the MOU specify the Network Computer Techni- cian and Communication Technician positions to be temporarily compensated at range 21 (up from 17) until comparative salary information can be gathered. In addition, the MOU specifies the Technical Support Secretary classification to be compensated at range 13 (up from 12) pending the results of a comparative salary survey. The current MOU expires at the end of June 2008. Comparative salary information for the affected positions is pre- sented below. Network Computer Technician Communications Technician Comparative Salary Information Rank District Range Lowest Step Highest Step 1 Fairfield-Suisun 5,876.71 7,909.07 2 Santa Clara 5,072.90 6,188.94 3 Antioch 4,938.00 6,321.43 4 Livermore Valley 4,734.00 6,036.00 5 Milpitas 4,566.00 5,558.00 6 Vallejo 21 4,509.00 5,755.00 7 San Ramon Valley 4,343.84 5,543.96 8 Cupertino 4,254.23 5,174.90 9 S. San Francisco 4,119.00 5,008.00 10 Alameda City 3,896.16 4,746.74 11 Pleasanton 3,895.38 4,746.06 12 Vallejo 17 3,710.00 4,735.00 The data above depicts comparative salary information showing Vallejo USD classified employee pay ranges 17 and 21 versus monthly compensation received by similar positions in other Bay Area unified school districts. Based on these results, FCMAT believes that range 21 may represent a more competitive salary compensation. 74 Financial Management Technical Support Secretary Comparative Salary Information Rank District Range Lowest Step Highest Step 1 Cupertino 4,138.00 5,033.00 2 Antioch 3,954.00 5,061.00 3 Milpitas 3,843.00 4,679.00 4 Alameda City 3,532.37 4,291.57 5 Santa Clara 3,410.94 4,352.70 6 Fairfield-Suisun 3,392.00 4,728.00 7 Pleasanton 3,357.84 4,093.26 8 S. San Francisco 3,283.00 3,988.00 9 San Ramon Valley 3,241.44 4,136.99 10 Vallejo 13 3,051.00 3,896.00 11 Vallejo 12 2,905.00 3,710.00 12 Livermore Valley 2,899.00 3,736.00 The data above depicts comparative salary information showing the Vallejo USD classified employee pay ranges 12 and 13 versus monthly compensation received by similar positions in other Bay Area unified school districts. Based on these results, FCMAT believes that both pay ranges are low compared with similar positions in this salary survey. 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 July 2, 2007 Rating: 4 June 30, 2008 Rating: 5 Implementation Scale: Financial Management 75 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 district does not have an organized software license library. As a result, the district is ill-prepared for a software compliance review by a commercial software licensing agency such as the Business Software Alliance (BSA). 2. A formal software license library should be established. The department Secretary should be assigned to maintain software license information on each of the commercial applica- tions used throughout the district. The software license library should include information on operating systems, office applications, and other miscellaneous applications. For most applications, detailed information is not necessary. It is adequate for site license information to show that the district has sufficient licenses to cover all user workstations. For unique applications such as those used for graphics design and Web presence, more detailed information should be maintained. 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 July 2, 2007 Rating: 4 June 30, 2008 Rating: 4 Implementation Scale: 76 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 technology department staff member provides training courses and professional de- velopment for the district’s financial and office applications including Aeries Browser Interface, the library (Destiny) software, and student information systems. Despite these improvements in professional development offerings most district employees, including those at sites, believe that additional training is needed. 2. The district’s Technology Support Specialist who has primary responsibility for the dis- trict’s student information system should attend best practices cohort training hosted by the California Student Information System (CSIS). Funding for this training is available from CSIS. This training will contribute to improved student performance through better local data-driven decision-making and will prepare the district to submit data to the Cali- fornia Longitudinal Achievement Data Systems (CALPADS). 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 July 2, 2007 Rating: 6 June 30, 2008 Rating: 6 Implementation Scale: Financial Management 77 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 district provided FCMAT with loss statistics, claims frequency reports, etc., on a quarterly basis that were compiled by independent consultant firms and district staff. The district staff reviews all claims and makes recommendations based on the loss data. FCMAT reviewed property and liability claims provided by the Alliance of Schools for Cooperative Insurance Programs (ASCIP) and workers’ compensation claims analysis provided by Edgewood Partners Insurance Center (EPIC). 2. The district obtains its workers’ compensation insurance from State Compensation In- surance Fund but 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. 3. As a budget planning tool, the district has completed a claims cost projection analysis for the 2008-09 fiscal year. The district’s workers’ compensation insurance premium for the 2008-09 budget is projected to be between $2,918,000 and $3,616,000. 4. District personnel continue to receive technical training in self-insurance, understanding actuarial data, claims processing, subrogation recoveries, and reinsurance claims. The district has utilized a third party broker to assist and train the staff. The duties and re- sponsibilities for risk management functions have been moved from Human Resources to the Business Department. District staff have attended workshop sessions on workstation ergonomic evaluations, work restrictions and return to work programs, and have trainings in the fall that include accident investigation training and school site safety. 5. The district has completed a draft risk management instruction booklet that includes topics including but not limited to student accidents, first aid training, athletic insurance, and workers’ compensation responsibilities. 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 July 2, 2007 Rating: 8 June 30, 2008 Rating 9 78 Financial Management Implementation Scale: Financial Management 79 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 an automated Web-based maintenance work order system to moni- tor maintenance needs. The system also tracks preventative maintenance, labor, and cost of materials, and is an excellent online tool that meets the district’s work order system needs. Each school site can track online the status of any outstanding work order that has been submitted. 2. The district has cross trained clerical staff on the 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 system. There has been no change in this standard since the last review. 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 July 2, 2007 Rating: 8 June 2008 Rating 8 Implementation Scale: 80 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 conducted and completed an asset inventory and valuation project for all capital assets in June 2007. The appraisal report was completed by Maximus Asset Man- agement Services and accounts for all capital assets by fund and account as of June 30, 2007. GASB 34 requires the district to maintain complete and current fixed asset records for accounting purposes. 2. Board polices and administrative regulations were completed and adopted in February 2008. Policies were established to ensure that the district’s accounting records correctly reflect the district’s current assets and their value. Policies include an annual inventory and sign off by each site and year end certification to verify the location of fixed assets prior to the end of each fiscal year. Site principals will be provided with a computerized detail printout of all fixed assets. Since this is the first year of the policy and new sign-off method, communication of expectations is essential, as is follow-up once information is sent to the sites. 3. The maintenance department has not automated its tracking and monitoring processes 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 $5,000 for fixed assets. Although an inventory 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. Documentation was observed and verified by the review team. 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 July 2, 2007 Rating: 4 June 30, 2008 Rating 6 Implementation Scale: Financial Management 81 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 fiscal employee assigned to monitor special education budgets works closely with the department director and meets at least quarterly to review the special education budget. 2. The Special Education Director had the opportunity to participate in the budget develop- ment process for 2008-09 and expects to reduce the costs for special education based on declining special education enrollment. 3. The Special Education Department is reviewing all current IEPs to determine the appro- priate requirements for transportation for each special education student. 4. The Business Department is responsible for preparing the Maintenance of Effort (MOE) reports. It is important to file MOE reports on time and accurately to ensure that the district is meeting its required obligations and is receiving its maximum funding level. The Special Education Director should review this report prior to filing to ensure that it is accurate. The district should complete the Special Education Maintenance of Effort (MOE) reporting forms at each interim reporting period to ensure that the MOE require- ments are being met. 5. The Special Education Director is monitoring the special education encroachment and continues to look for ways to contain the encroachment. 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 July 2, 2007 Rating: 8 June 30, 2008 Rating: 9 Implementation Scale: 82 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 1.1 PROFESSIONAL STANDARD - IN- TERNAL 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 reinforced in 2 2 3 4 4 5 6 practice. All management-level personnel exhibit high integrity and ethical values in carrying out their responsibilities and directing the work of others. [State Audit Standard (SAS) 55, SAS-78] 1.2 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT The district has an audit commit- tee to: (1) help prevent internal controls from being overridden by management; (2) help ensure 0 ongoing state and federal compli- ance; (3) provide assurance to management that the internal control system is sound; and (4) help identify and correct inefficient processes. [SAS-55, SAS-78] 1.3 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT The attitude of the Governing Board and key administrators has a significant effect on an organi- zation’s internal control. An ap- 2 propriate attitude balances the programmatic and staff needs with fiscal realities in a manner that is neither too optimistic nor too pes- simistic. [SAS-55, SAS-78] The identified subset of standards appears in bold print. Financial Management 83 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 1.4 PROFESSIONAL STANDARD - IN- TERNAL CONTROL ENVIRONMENT The organizational structure clearly identifies key areas of 2 2 3 4 5 5 6 authority and responsibility. Re- porting lines are clearly identi- fied and logical within each area. [SAS-55, SAS-78] 1.5 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT Management has the ability to 1 evaluate job requirements and match the requirements to the em- ployee’s skills. [SAS-55, SAS-78] 1.6 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT The district has procedures for re- 2 cruiting capable financial manage- ment and staff and hiring compe- tent people. [SAS-55, SAS-78] 1.7 PROFESSIONAL STANDARD - IN- TERNAL CONTROL ENVIRONMENT All employees are evaluated on performance at least annually by a management-level employee knowledgeable about their work product. The evaluation criteria 1 1 2 2 3 4 5 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. The identified subset of standards appears in bold print. 84 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 1.8 PROFESSIONAL STANDARD - IN- TERNAL CONTROL ENVIRONMENT The responsibility for reliable financial reporting resides first and foremost at the district level. Top management sets the 2 2 3 4 4 5 5 tone and establishes the envi- ronment. Therefore, appropriate measures are implemented to discourage and detect fraud (SAS 82; Treadway Commission). 2.1 PROFESSIONAL STANDARD - IN- TER- AND INTRADEPARTMENTAL COMMUNICATIONS The business and operational departments communicate regu- larly with internal staff and all user departments on their re- sponsibilities for accounting procedures and internal controls. The communications are written whenever possible, particularly when they (1) affect many staff 1 1 3 4 6 7 6 or user groups, (2) are issues of high importance, or (3) reflect a change in procedures. Procedures manuals are necessary to the communication of responsibili- ties. 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). The identified subset of standards appears in bold print. Financial Management 85 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 2.2 PROFESSIONAL STANDARD - IN- TER- AND INTRADEPARTMENTAL COMMUNICATIONS The financial departments com- municate regularly with the Governing Board and community on the status of district finances and the financial impact of 2 2 3 3 2 4 6 proposed expenditure decisions. The communications are written whenever possible, particularly when they affect many com- munity members, are issues of high importance to the district and board, or reflect a change in policy. 2.3 PROFESSIONAL STANDARD - IN- TER- AND INTRADEPARTMENTAL COMMUNICATIONS The Governing Board is engaged in understanding globally the 1 1 3 3 3 4 5 fiscal status of the district, both current and as projected. The board prioritizes district fiscal issues among the top discussion items. 2.4 PROFESSIONAL STANDARD - IN- TER- AND INTRADEPARTMENTAL COMMUNICATIONS The district has formal policies and procedures that provide a 0 0 2 3 3 4 4 mechanism for individuals to report illegal acts, establish to whom illegal acts should be reported, and provide a formal investigative process. The identified subset of standards appears in bold print. 86 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 2.5 PROFESSIONAL STANDARD - IN- TER- AND INTRADEPARTMENTAL COMMUNICATIONS Documents developed by the fiscal division for distribution to the Governing Board, finance 1 1 3 3 3 4 5 committees, staff and commu- nity are easily understood. Those who receive documents devel- oped by the fiscal division do not have to wade through complex, lengthy computer printouts. 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 0 0 0 2 3 5 5 managers, and, at a minimum, identifies appropriate programs office-wide. At best, each indi- vidual staff and management employee has a plan designed to meet their individual profes- sional development needs. 3.2 PROFESSIONAL STANDARD - STAFF PROFESSIONAL DEVELOPMENT The district develops and uses a professional development plan for the in-service training of school site/department staff by 0 0 1 2 3 5 5 business staff on relevant busi- ness procedures and internal controls. The plan includes the input of the business office and the school sites/departments and is updated annually. The identified subset of standards appears in bold print. Financial Management 87 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 4.1 PROFESSIONAL STANDARD - IN- TERNAL AUDIT The Governing Board has adopted policies establishing an inter- nal audit function that reports 0 1 3 5 5 6 7 directly to the Superintendent/ State Administrator and the audit committee or Governing Board. 4.2 PROFESSIONAL STANDARD - IN- TERNAL AUDIT Internal audit functions are designed into the organizational structure of the district. These 0 0 0 3 3 4 5 functions include periodic inter- nal audits of areas at high risk for non-compliance with laws and regulations and/or at high risk for monetary loss. 4.3 PROFESSIONAL STANDARD - INTER- NAL AUDIT Qualified staff are assigned to 0 conduct internal audits and are su- pervised by an independent body, such as an audit committee. 4.4 PROFESSIONAL STANDARD - INTER- NAL AUDIT Internal audit findings are reported on a timely basis to the audit committee, governing board and 0 administration, as appropriate. Management then takes timely ac- tion to follow up and resolve audit findings. The identified subset of standards appears in bold print. 88 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 5.1 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (POL- ICY) The budget development process requires a policy-oriented focus by the Governing Board to develop an expenditure plan that fulfills the district’s goals and objectives. The 3 Governing Board focuses on ex- penditure standards and formulas that meet the district goals. The Governing Board avoids specific line-item focus, but directs staff to design an entire expenditure plan focusing on student and district needs. 5.2 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (POL- ICY) 3 The budget development process includes input from staff, adminis- trators, board and community. 5.3 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (POL- ICY) 2 Policies and regulations exist regarding budget development and monitoring. 5.4 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district has a clear process to analyze resources and alloca- 2 4 5 5 4 5 5 tions to ensure that they are aligned with strategic planning objectives and that the budget reflects district priorities. The identified subset of standards appears in bold print. Financial Management 89 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 5.5 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district has policies to fa- cilitate development of a budget 3 5 5 5 4 5 5 that is understandable, meaning- ful, reflective of district priori- ties, and balanced in terms of revenues and expenditures. 5.6 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (POL- ICY) Categorical funds are an integral part of the budget process and have been integrated into the entire budget development. The revenues and expenditures for cat- egorical programs are reviewed and evaluated in the same manner as unrestricted General Fund revenues and expenditures. Categorical program development is integrated with the district’s goals and used 4 to respond to district student needs that cannot be met by unre- stricted expenditures. The superin- tendent, superintendent’s cabinet and fiscal office have established procedures to ensure that categori- cal funds are expended effectively to meet district goals. Carryover and unearned income of categori- cal programs are monitored and evaluated in the same manner as General Fund unrestricted expendi- tures. The identified subset of standards appears in bold print. 90 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 5.7 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district has the ability to accurately reflect its net ending balance throughout the budget monitoring process. The first and second interim reports provide 0 2 3 4 4 5 5 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. 5.8 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (POL- ICY) The district utilizes formulas for allocating funds to school sites and departments. This can include 3 staffing ratios, supply allocations, etc. These formulas should be in line with the board's goals and directions, and should not be over- ridden. The identified subset of standards appears in bold print. Financial Management 91 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 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 0 3 4 4 3 5 5 of known carryovers and accruals and the inclusion of concluded expenditure plans. The process clearly identifies one-time sourc- es and uses of funds. Reasonable ADA and COLA estimates are used when planning and budget- ing. This process is applied to all funds. 6.2 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (TECH- NICAL) An adopted budget calendar exists that meets legal and management 3 requirements. At a minimum the calendar identifies statutory due dates and major budget develop- ment activities. 6.3 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (TECH- NICAL) Standardized budget worksheets 3 are used in order to communicate budget requests, budget alloca- tions, formulas applied and guide- lines. The identified subset of standards appears in bold print. 92 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 7.1 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district adopts its annual bud- get within the statutory time lines established by Education Code Section 42103, which requires that on or before July 1, the governing board shall hold a public hear- 3 ing 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 superintendent of schools. [EC 42127(a)] 7.2 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS Revisions to expenditures based on the State Budget are consid- ered and adopted by the govern- ing board. Not later than 45 days after the governor signs the annual 3 Budget Act, the district shall make available for public review any revisions in revenues and expen- ditures that it has made to its bud- get to reflect funding available by that Budget Act. [EC 42127(2) and 42127(i)(4)] 7.3 PROFESSIONAL STANDARD - BUD- GET ADOPTION, REPORTING, AND AUDITS The district has procedures that provide for the development and 3 submission 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. Financial Management 93 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 7.4 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district completes and files its interim budget reports within the 2 statutory deadlines established by Education Code Section 42130, et. seq. 7.5 PROFESSIONAL STANDARD - BUD- GET ADOPTION, REPORTING, AND AUDITS The first and second interim reports show an accurate projec- 0 0 3 4 3 4 4 tion of the ending fund balance. Material differences are pre- sented to the board of education with detailed explanations. 7.6 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district has complied with Governmental Accounting Standard No. 34 (GASB 34) for the period ending June 30, 2003. GASB 34 1 requires the district to develop policies and procedures and report in the annual financial reports on the modified accrual basis of ac- counting and the accrual basis of accounting. 7.7 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district has arranged for an an- 3 nual audit (single audit) within the deadlines established by Education Code section 41020. 7.8 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district should include in its audit report, but not later than 4 March 15, a corrective action for all findings disclosed as required by Education Code Section 41020. The identified subset of standards appears in bold print. 94 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 7.9 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district must file certain docu- ments/reports with the state as follows: J-200 series - (Education Code Section 42100); J-380 series 4 - CDE procedures; Interim financial reports - (Education Code Sec- tion 42130); J-141 transportation report (Title V, article 5, Section 15270). 7.10 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS Education Code Section 41020(c) (d) (e) (g) establishes procedures for local agency audit obligations and standards. Pursuant to Educa- tion Code Section 41020(h), the district submits to the county 5 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 - BUD- GET MONITORING All purchase orders are properly 3 4 5 5 6 6 7 encumbered against the budget until payment. The identified subset of standards appears in bold print. Financial Management 95 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 8.2 PROFESSIONAL STANDARD - BUD- GET MONITORING There are budget monitoring controls, such as periodic re- ports, to alert department and 1 3 5 5 5 5 6 site managers of the potential for overexpenditure of budgeted amounts. Revenue and expendi- tures are forecast and verified monthly. 8.3 PROFESSIONAL STANDARD - BUD- GET MONITORING The routine restricted maintenance account is routinely analyzed to ensure that income has been prop- erly claimed and expenditures are 6 within the guidelines provided by the State Department of Education. The district budget includes spe- cific budget information to reflect the expenditures against the rou- tine maintenance account. 8.4 PROFESSIONAL STANDARD - BUD- GET MONITORING Budget revisions are made on a 5 regular basis and occur per estab- lished procedures, and are ap- proved by the Governing Board. 8.5 PROFESSIONAL STANDARD - BUD- GET MONITORING The district uses an effective po- sition control system that tracks personnel allocations and ex- 6 7 7 7 7 7 7 penditures. The position control system effectively establishes checks and balances between personnel decisions and budget- ed appropriations. The identified subset of standards appears in bold print. 96 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 8.6 PROFESSIONAL STANDARD - BUD- GET MONITORING The district monitors both the revenue limit calculation and the special education calculation at 6 least quarterly to adjust for any differences between the financial assumptions used in the initial calculations and the final actuals as they are known. 8.7 PROFESSIONAL STANDARD - BUD- GET MONITORING The district monitors the site re- 0 ports of revenues and expenditures provided. 9.1 PROFESSIONAL STANDARD - BUD- GET COMMUNICATIONS The district budget is a clear manifestation of district policies 0 and is presented in a manner that facilitates communication of those policies. 9.2 PROFESSIONAL STANDARD - BUD- GET COMMUNICATIONS The district budget clearly identi- 0 fies one-time sources and uses of funds. 10.1 LEGAL STANDARD - INVESTMENTS The Governing Board reviews and approves, at a public meeting and 0 on a quarterly basis, the district’s investment policy. [GC 53646] 11.1 PROFESSIONAL STANDARD - AT- TENDANCE ACCOUNTING An accurate record of daily 1 4 5 6 6 6 6 enrollment and attendance is maintained at the sites and rec- onciled monthly. The identified subset of standards appears in bold print. Financial Management 97 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 11.2 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING Policies and regulations exist for independent study, home study, 1 inter/intradistrict agreements and districts of choice, and address fis- cal impact. 11.3 PROFESSIONAL STANDARD - AT- TENDANCE ACCOUNTING Students are enrolled by staff 2 3 3 4 5 6 6 and entered into the attendance system in an efficient, accurate and timely manner. 11.4 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING At least annually, the school dis- trict verifies that each school bell 4 schedule meets instructional time requirements for minimum day, year and annual minute require- ments. 11.5 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING Procedures are in place to ensure that attendance accounting and 1 reporting requirements are met for alternative programs such as ROC/P and adult education. 11.6 PROFESSIONAL STANDARD - AT- TENDANCE ACCOUNTING The district utilizes standard- ized and mandatory programs to 0 3 4 5 6 6 6 improve the attendance rate of pupils. Absences are aggressively followed-up by district staff. The identified subset of standards appears in bold print. 98 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 11.7 PROFESSIONAL STANDARD - AT- TENDANCE ACCOUNTING School site personnel receive pe- riodic and timely training on the 0 1 3 4 5 6 6 district’s attendance procedures, system procedures and changes in laws and regulations. 11.8 LEGAL STANDARD - ATTENDANCE ACCOUNTING Attendance records are not de- 5 stroyed 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 0 and Saturday school programs as alternative methods for pupils to keep current on classroom course work. 12.1 LEGAL STANDARD - ACCOUNTING, PURCHASING, AND WAREHOUSING The district adheres to the Cali- fornia School Accounting Manual (CSAM) and Generally Accepted Accounting Principles (GAAP) as 2 required by Education Code Section 41010. Adherence to CSAM and GAAP helps to ensure that trans- actions are accurately recorded and financial statements are fairly presented. The identified subset of standards appears in bold print. Financial Management 99 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 12.2 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district timely and accu- rately records all information regarding financial activity (unrestricted and restricted) for all programs. Generally Accepted Accounting Principles (GAAP) 2 2 2 3 3 5 5 require that in order for finan- cial reporting to serve the needs of the users, it must be reliable and timely. Therefore, the timely and accurate recording of the underlying transactions (revenue and expenditures) is an essential function of the district’s finan- cial management. 12.3 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district forecasts its rev- enues and expenditures and verifies those projections on a monthly basis in order to ad- equately manage its cash. In addition, the district reconciles 1 2 2 4 3 5 4 its cash to bank statements and reports from the county treasurer reports on a monthly basis. Stan- dard accounting practice dictates that, in order to ensure that all cash receipts are deposited timely and recorded properly, cash is reconciled to bank state- ments monthly. The identified subset of standards appears in bold print. 100 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 12.4 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district’s payroll proce- dures are in compliance with the requirements established by the County Office of Educa- 1 2 2 3 3 5 6 tion, unless fiscally independent. (Education Code Section 42646) Standard accounting practice dictates that the district imple- ment procedures to ensure the timely and accurate processing of payroll. 12.5 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING Standard accounting practice dictates that the accounting work is properly supervised and work 1 reviewed in order to ensure that transactions are recorded timely and accurately, and allow the preparation of periodic financial statements. 12.6 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING Federal and state categorical programs, either through specific program requirements or through 1 general cost principles such as OMB Circular A-87, require that entities receiving such funds must have an adequate system to ac- count for those revenues and related expenditures. The identified subset of standards appears in bold print. Financial Management 101 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 12.7 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING Generally accepted accounting practices dictate that, in order to ensure accurate recording of trans- actions, the district have standard 1 procedures for closing its books at fiscal year-end. The district’s year-end closing procedures should comply with the procedures and requirements established by the county office of education. 12.8 LEGAL STANDARD - ACCOUNTING, PURCHASING, AND WAREHOUSING The district complies with the bid- ding requirements of Public Con- tract Code Section 20111. Standard accounting practice dictates that the district have adequate purchas- ing and warehousing procedures to 2 ensure that only properly autho- rized purchases are made, that authorized purchases are made consistent with district policies and management direction, that inventories are safeguarded, and that purchases and inventories are timely and accurately recorded. 12.9 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district has documented proce- dures for the receipt, expenditure and monitoring of all construction- 3 related activities. Included in the procedures are specific require- ments for the approval and pay- ment of all construction-related expenditures. The identified subset of standards appears in bold print. 102 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 12.10 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The accounting system has an 2 appropriate level of controls to prevent and detect errors and ir- regularities. 12.11 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district has implemented the new Standardized Account Code 5 Structure. SACS ensures the dis- trict is in compliance with federal guidelines, which will ensure no loss of federal funds, e.g., Title I federal class size reduction. 13.1 LEGAL STANDARD - STUDENT BODY FUNDS The Governing Board adopts policies and procedures to ensure 4 compliance regarding how student body organizations 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 establishing responsibilities for 4 managing and overseeing the activities and funds of student organizations, including providing procedures for the proper handling, recording and reporting of rev- enues and expenditures. The identified subset of standards appears in bold print. Financial Management 103 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 13.3 PROFESSIONAL STANDARD - STU- DENT BODY FUNDS The district provides training and guidance to site personnel on the 4 policies and procedures govern- ing the Associated Student Body account. 13.4 PROFESSIONAL STANDARD - STU- DENT BODY FUNDS In order to provide adequate oversight of student funds and to ensure the proper handling and re- 2 porting, the California Department of Education recommends that pe- riodic financial reports be prepared by sites, and then summarized by the district office. 13.5 PROFESSIONAL STANDARD - STU- DENT BODY FUNDS In order to provide adequate oversight of student funds and to ensure proper handling and report- ing, the California Department of 2 Education recommends that inter- nal audits be performed. Such au- dits should review the operation of student body funds at both district and site levels. 14.1 PROFESSIONAL STANDARD - MULTI- YEAR FINANCIAL PROJECTIONS A reliable computer program that 0 provides reliable multiyear finan- cial projections is used. The identified subset of standards appears in bold print. 104 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 14.2 LEGAL STANDARD - MULTIYEAR FINANCIAL PROJECTIONS The district annually provides a multiyear revenue and expendi- ture projection for all funds of the 0 district. Projected fund balance reserves are disclosed. The assump- tions for revenues and expendi- tures are reasonable and support- able. [EC 42131] 14.3 LEGAL STANDARD - MULTIYEAR FINANCIAL PROJECTIONS Multiyear financial projections are prepared for use in the deci- 0 1 1 2 1 3 4 sion-making process, especially whenever a significant multiyear expenditure commitment is con- templated. [EC 42142] 15.1 LEGAL STANDARD - LONG-TERM DEBT OBLIGATIONS The district complies with public disclosure laws of fiscal obliga- tions related to health and welfare 3 benefits for retirees, self-insured workers compensation, and collec- tive 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 participation (COPS), revenue bonds, and lease-purchase agree- 2 ments (capital 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 com- mitments. The identified subset of standards appears in bold print. Financial Management 105 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 projects cash receipts from the dedicated revenue sources to ensure that it will have sufficient 2 funds to make periodic debt pay- ments. The cash flow projections 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 appropriate 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 liabili- ties from employee benefits are 1 2 2 2 2 4 5 recognized as a liability of the school district. A plan has been established for funding retiree health benefit costs as the obli- gations are incurred. The identified subset of standards appears in bold print. 106 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 16.1 PROFESSIONAL STANDARD - IM- PACT OF COLLECTIVE BARGAINING The district has developed pa- rameters and guidelines for collective bargaining that ensure that the collective bargaining agreement is not an impediment to efficiency of district opera- tions. At least annually, col- lective bargaining agreements are analyzed by management to identify those characteristics that are impediments to ef- fective delivery of district op- erations. The district identifies 1 4 5 6 8 8 8 those issues for consideration 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 effi- cient district delivery. Governing Board parameters are provided in a confidential environment, reflective of the obligations of a closed executive board session. The identified subset of standards appears in bold print. Financial Management 107 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 16.2 PROFESSIONAL STANDARD - IM- PACT OF COLLECTIVE BARGAINING The Governing Board ensures that any guideline developed for collective bargaining is fiscally aligned with the instructional and fiscal goals on a multiyear basis. The Superintendent en- sures that the district has a formal process in which collec- tive bargaining multiyear costs are identified for the Govern- ing Board, and those expendi- ture changes are identified and implemented as necessary prior to any imposition of new col- lective bargaining obligations. 1 2 3 5 5 6 7 The Governing Board 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 Governing Board. The public is notified of the provisions of the final proposed bargaining settlement and is provided with an opportunity to comment. The identified subset of standards appears in bold print. 108 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 17.1 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Management information sys- tems support users with infor- mation that is relevant, timely, and accurate. Needs assessments are performed to ensure that us- ers are involved in the definition of needs, development of system specifications, and selection of appropriate systems. Additional- 3 6 6 6 4 4 5 ly, district standards are imposed to ensure the maintainability, compatibility, and supportabil- ity of the various systems. The district ensures that all systems are compliant with the new Stan- dardized Account Code Structure (SACS), year 2000 requirements, and are compatible with county systems with which they must interface. The identified subset of standards appears in bold print. Financial Management 109 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 17.2 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Automated systems are used to improve accuracy, timeliness, and efficiency of financial and report- ing systems. Needs assessments are performed to determine what systems are candidates for automa- tion, whether standard hardware and software systems are available to meet the need, and whether or not the district would benefit. Au- 8 tomated financial systems provide accurate, timely, relevant informa- tion and conform to all account- ing standards. The systems are designed to serve all of the various users inside and outside the dis- trict. Employees receive appropri- ate training and supervision in the operation of the systems. Appropri- ate internal controls are instituted and reviewed periodically. 17.3 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Selection of information sys- tems technology conforms to legal procedures specified in the Public Contract Code. Addition- ally, there is a process to ensure that needs analyses, cost/benefit 0 6 8 8 4 4 4 analyses, 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. The identified subset of standards appears in bold print. 110 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 17.4 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Major technology systems are supported by implementation and training plans. The cost of implementation and training 0 7 7 8 6 6 6 is included with other support costs in the cost/benefit analy- ses and financing plans support- ing the acquisition of technology systems. 17.5 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Access to administrative systems is reliable and secure. Communica- tions pathways that connect users 3 with administrative systems are as free of single-points-of-failure as possible, and are highly fault tolerant. 17.6 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Hardware and software purchases conform to existing technology standards. Standards for copiers, printers, fax machines, network- ing equipment, and all other technology assets are defined and enforced to increase standardiza- tion and decrease support costs. Requisitions that contain hardware 3 or 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. The identified subset of standards appears in bold print. Financial Management 111 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 17.7 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Computers are replaced on a 2 schedule based on hardware specifications. 17.8 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS The following network standards, established for school districts, are being followed by the district: • A stable firewall is used with a separate 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 network 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 network 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. The identified subset of standards appears in bold print. 112 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 18.1 PROFESSIONAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS The district has a comprehensive risk-management program that monitors the various aspects of 3 3 5 5 8 8 9 risk management including work- ers compensation, property and liability insurance, and main- tains the financial well being of the district. 18.2 PROFESSIONAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS The district has a work order sys- 3 4 6 7 8 8 9 tem that tracks all maintenance requests, the worker assigned, dates of completion, labor time spent and the cost of materials. 18.3 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS 6 The district controls the use of fa- cilities and charges fees for usage in accordance with district policy. 18.4 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS The Maintenance Department fol- lows standard district purchasing 6 protocols. Open purchase orders may be used if controlled by limit- ing the employees authorized to make the purchase and the amount. 18.5 PROFESSIONAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS Materials and equipment/tools 1 1 2 2 4 4 6 inventory is safeguarded from loss through appropriate physical and accounting controls. The identified subset of standards appears in bold print. Financial Management 113 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 18.6 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS District-owned vehicles are used 2 only for district purposes. Fuel is inventoried and controlled as to use. 18.7 LEGAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS Vending machine operations are subject to policies and regula- tions set by the State Board of 3 Education. 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 (Sec- tions 20111 and 20114). These requirements include formal bids 7 for materials, equipment and maintenance projects that ex- ceed $50,000; capital projects of $15,000 or more; and labor when the job exceeds 750 hours or the materials exceed $21,000. The identified subset of standards appears in bold print. 114 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 18.10 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS Standard accounting practices dic- tate that the district has adequate purchasing and contract controls to ensure that only properly au- thorized purchases are made and independent contracts approved, 6 and that authorized purchases and independent contracts are made consistent with district policies, procedures, and management direction. In addition, appropri- ate levels of signature authoriza- tion are maintained to prevent or discourage inappropriate purchases or contract awards. 19.1 PROFESSIONAL STANDARD - FOOD SERVICE FISCAL CONTROLS In order to accurately record trans- actions and to ensure the accu- racy of financial statements for the cafeteria fund in accordance with generally accepted account- ing principles, the district has adequate purchasing and warehous- ing procedures to ensure that: 1. 7 Only properly authorized purchases are made consistent with district policies, federal guidelines, and management direction. 2. Adequate physical security measures are in place to prevent the loss/theft of food inventories. 3. Revenues, expenditures, inventories, and cash are recorded timely and accurately. 19.2 PROFESSIONAL STANDARD - FOOD SERVICE FISCAL CONTROLS The district operates the food ser- 7 vice programs in accordance with applicable laws and regulations. The identified subset of standards appears in bold print. Financial Management 115 Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 19.3 PROFESSIONAL STANDARD - FOOD SERVICE FISCAL CONTROLS Food service software permits 7 point of sale transaction process- ing for maximum efficiency. 20.1 PROFESSIONAL STANDARD - CHAR- TER SCHOOLS In the process of reviewing and approving charter schools, the district identifies/establishes minimal financial management and reporting standards that the char- ter school will follow. These stan- dards/procedures will provide some 1 level of assurance that finances will be managed appropriately, and allow the district to monitor the charter. The district monitors the financial management and perfor- mance of the charter schools on an ongoing basis in order to ensure that the resources are appropri- ately managed. 21.1 PROFESSIONAL STANDARD - STATE- MANDATED COSTS The district has procedures that provide for the appropriate over- sight and management of man- dated cost claim reimbursement filing. Appropriate procedures cover: the identification of chang- es to existing mandates; training 2 staff regarding the appropriate collection and submission of data to support the filing of mandated costs claims; forms, formats, and time lines for reporting mandated cost information; and review of data and preparation of the actual claims. The identified subset of standards appears in bold print. 116 Financial Management Nov. May Nov. May Jan. July July Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 22.1 PROFESSIONAL STANDARD - SPE- CIAL EDUCATION The district actively takes mea- sures to contain the cost of special education services while 4 5 7 8 8 8 9 still providing an appropriate level of quality instructional and pupil services to special educa- tion pupils. The identified subset of standards appears in bold print. Financial Management 117 Facilities Management Facilities Management The Vallejo City Unified School District has continued to address facility deficiencies by main- taining or improving its progress in addressing the standards for this sixth progress report. The organizational structure of the Facilities, Maintenance and Operations division changed just after the FCMAT site visit in mid-April 2007. During the FCMAT site visit in May 2008, the new organiza- tional structure had been in place for a little more than a year. The two Facilities Coordinator posi- tions created as part of the restructuring are responsible for all functional departments in the division, including facilities, maintenance, operations, and grounds. The employees promoted to these positions have worked together to improve division support services. Custodial staffing has been added to school sites to provide for daily cleaning. District staff also developed custodial standards for cleaning, and a new custodial staffing and scheduling system and training program. These additions should help the district make continued progress in this operational area. The Facilities Division will require monitoring to ensure the ongoing implementation of the dis- trict’s action plan and ensure sustainability of progress regarding maintenance of effort. Resource/ dollar support in the budget is an important part of ongoing implementation, and critical to success and continued progress. In the original Assessment and Improvement Plan, numerous facilities areas did not meet estab- lished standards, including the following: • Lack of documentation of policies, procedures, and processes. • Numerous health and safety issues at the school sites. • Inadequate communication among central office departments and 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. Significant improvement has been made to address these issues. Documentation of Policies, Procedures, and Processes The district adopted several board policies and administrative regulations just before the April 2007 facilities review. Since then, no new policies or regulations have been adopted related to Facilities, Maintenance, and Operations. Many board policies and administrative regulations still need to be updated to reflect the new department positions. The six policies and regulations adopted in April 2007 still have not been numbered, and the district indicated this would be com- pleted once all policies and regulations are updated and adopted. The district’s action plan calls for the development of a comprehensive manual for Facilities, Mainte- nance, and Operations. The manual was completed on April 17, 2007 and had not been updated prior to the May 2008 facilities review. The manual should be updated to reflect the recommendations of the last report as well as changes to the department staff. If the manual is to be maintained as a com- prehensive document for the department, it must be reviewed and updated annually. In the last facili- ties review, its contents still had not been discussed or negotiated with the classified bargaining unit. Facilities Management 1 Communication between Central Office Departments The district reorganized the structure of the Facilities and Maintenance operations effective May 2007. The previous structure separated the Maintenance and Operations Department from the Facilities and Planning Department. The two departments were combined to maximize efficiency and reduce expenditures. Because this is a new development, the review of the effectiveness of the reorganization is limited. Communication with the sites regarding work orders has improved because of changes 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. It is important to ensure that the work-order process and work completion continues to improve with the changes in the Mainte- nance Department’s structure. Completing several board policies, administrative regulations, and the maintenance and opera- tions manual should help formalize the frequency, nature, and format of interdepartmental com- munications. Reorganizing the two departments and changing administrative titles require an update of the new policies and regulations and the maintenance and operations manual. Process- es should be documented and formalized to ensure timely and ongoing communication between other central office departments and sites so that facility issues are addressed promptly. Communication between Schools and Central Office Communication between school sites and the Maintenance and Operations Department has been ineffective in the past, but there has been ongoing effort and improvement. Some sites still com- plain that work orders, e-mails, and voice mails are not answered promptly or not at all, but these complaints were minimal during the May 2008 visit and review. The district upgraded its work order/preventive maintenance system, archived old data, and reduced backlog on work orders. This increased the system’s speed and simplified the review of work order status for the site staff. Feedback from site administrators regarding the system upgrade has been positive. In addition, the upgraded system helps the district better manage facilities and reduces the number of repairs needed and work orders submitted. The district should continue to be vigilant in monitoring the work order system, especially because of the changes in personnel in the maintenance office. The district planned to implement the preventive maintenance crew concept beginning June 1, 2007, however, actual implementation did not begin until November 2007. Fire, Health, and Safety Issues at School Sites Prior reviews noted a major improvement regarding fire extinguishers. The district’s improved performance was maintained during the current review. The visited sites had only a few expired fire extinguishers, virtually all classrooms had extinguishers, and access to this equipment was clear. Performance essentially has been maintained since the district contracted for a fire life safety survey. The district staff indicated that head custodians are required to perform a monthly inspection of fire extinguishers and submit an inspection report. Documentation of monthly school site inspections was not available, however, the district is working on a process to ensure that inspections are made and reports submitted to the district office. The district has a vendor contract to ensure that all safety systems (clocks, bells, alarms) operate properly, and repairs are made as necessary. The district is transitioning to a system of self-main- tenance as it updates safety systems. Five sites have made the change, two sites are in progress, 2 Facilities Management and the goal is to complete the transition of all sites by the end of 2008-09. No change or update was reported in the most recent facilities visit. The district has continued efforts to address problem areas. The district also added custodial staff to school sites and provides for classroom cleaning every day instead of every other day. While the district still needs to make improvements, the number of sites with issues and the fre- quency of violations at sites have decreased. As the district formalizes and implements operating procedures, ongoing improvement is expected. However, because of the reorganization in Main- tenance, Operations, Grounds and Facilities, the district needs to ensure that progress continues. Facilities Planning The district previously conducted an in-house facilities inventory and developed a multiphase fa- cilities 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 provide all district students with adequate facilities, generate one-time and ongoing revenue to reduce the district’s obligations to the state, and provide ongoing operational revenue. The later phases of the facilities plan call for improvements to various schools throughout the district and the sale or lease of surplus property to generate revenue for the district’s fiscal re- covery. The district appears to have successfully implemented the first elements of its facilities master plan. As part of its recovery plan, the district plans to sell properties with entitlements and use the pro- ceeds to repay the state loan and offset general fund deficit spending. The district has confirmed the appropriate uses of proceeds from the sale/lease of its property and is confident in making long-term commitments. There is no change to the status in this area since the prior report. Facilities Management 3 4 Facilities Management 1.3 School Safety—Plan for Protection of People and Property Legal Standard: The district should 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. Board policies were still being updated and reviewed before the last visit. A significant number of business polices were adopted just prior to FCMAT’s fifth review a year ago. Current board business policies are identified with a 3000 number and a letter, and this remains unchanged since the last visit. During the fifth review, the district indicated it would number the policies when all of them were completed. The district has not adopted additional policies since the last visit, so the policy numbers remain unchanged. The dis- trict should update the board policies to reflect the changes in its organizational structure since the position of Director of Maintenance and Operations was eliminated and the two Facilities Coordinator positions were created. 2. The Risk Manager, who started work in September 2007, reported that there was insuf- ficient time to request and collect site-specific safety plans for the 2007-08 school year because other job duties were given priority. Some schools updated the site safety plans internally, but because the district did not request the plans, they were not submitted to the district office. Some plans were available only electronically, and some office staff members were not aware of the site safety plan’s location. The district should ensure that each school site has an updated, accessible, site-specific safety plan, and that all appropri- ate office staff knows the location of the document. The district Risk Manager indicated that the plans for the 2008-09 school year will be requested in August 2008. There has been no change to this area since the last report. The district should ensure that sites up- date and submit the site-specific safety plans at the start of each school year and that the site staff receives the appropriate training on the plans. It should also be verified that the plans align with current board policies and regulations. 3. The district evaluated and developed recommendations for exterior lighting at school sites. The evaluation was completed as part of the district’s overall assessment of workplace safe- ty. During the fifth report, the district had not developed a plan to upgrade exterior lighting and security fencing, and no plan had been developed at the time of this sixth report. 4. During the fifth progress report, the district had evaluated the perimeter security at school sites. Many sites had several access points and lacked complete perimeter fencing. Perimeter security was included in the district’s assessment of workplace safety. Prior to the fifth review, perimeter security fencing had been added at Hogan High School, but gates had not. The campus still had several access points. No separate action plan had been developed to prioritize and address security fencing issues at other sites. During the sixth site review, no changes had been made to add perimeter fencing to school sites. The campuses were accessible from several entrances and remained unchanged from the previous visits. The district staff again indicated that there are no plans to add security perimeter fencing at any sites. Facilities Management 5 5. During this sixth site visit, the district staff reported that the district’s insurance carrier, Alliance of Schools for Cooperative Insurance Programs (ASCIP), was completing secu- rity surveys at all the school sites, but no reports were provided. 6. Prior to the recent site visit in May 2008, a signage audit was prepared by ASCIP, and a copy of the signage report was provided. Based on this audit, the Risk Manager reported that she and the maintenance and operations staff would replace or purchase any needed signage over the summer of 2008. The Risk Manager had not identified the source of funding to purchase the new signs, but should do so before proceeding. Site visits to el- ementary, middle, and high schools indicated that the district added new signage since the April 2007 review. Based on this May 2008 site visits and the corresponding results of the signage audit, only two school sites lacked the proper visitor signage, and all other schools were in compliance. The district has erected Tobacco Free Zone (TFZ) signs at the main entrances of all visited school sites. Although some signs appeared to be new, no signage was added to the pedestrian entrances at the visited schools. The school sites still generally had signage only at the main school entrance. 7. The district continues to require visitors, vendors, contractors, and other staff members to sign the visitor log and obtain a visitor sticker. However, all schools except the high schools used general visitor stickers that were not site specific and did not identify the date or time of the visit or the visitor’s name. All school sites had visitor logs and stick- ers, and the review team was always asked to sign in. A review of the sign-in logs showed that the sign-ins were current and ongoing. Staff members at the visited sites understood the proper procedures for visitors to the campus. In addition, in February 2008, the Co- ordinator of Facilities, Maintenance, and Grounds instituted a sign-in procedure for the Maintenance and Operations staff at all school sites. Maintenance and Operations staff members traveling to school sites for maintenance and repair work have been instructed to report to the office to notify the staff that they are on-site, report the work order or task to be completed, and sign in on the Maintenance and Operations log. When the work is completed, the Maintenance and Operations staff is to report back to the school office, provide a work status report, and sign out in the Maintenance and Operations log. The Maintenance and Operations staff has followed this procedure. The Risk Manager does not oversee the school site sign-in procedures and was unclear on whether this job re- sponsibility had been assigned to a staff member. This task should be assigned to the ap- propriate staff member to ensure that sign-in procedures are followed and that all school sites use site-specific visitor stickers with the date and visitor’s name clearly visible. 8. Many schools have several entrances, allowing visitors to enter the sites without signing in at the office. As indicated in last year’s fifth progress report, addressing perimeter secu- rity will increase the effectiveness of the sign-in process for monitoring campus visitors. The district staff indicated that there are no plans to address perimeter security, and this remained unchanged at the time of this sixth progress report. 9. During the May 2008 site visit, the district did not provide any new documentation show- ing that it implemented procedures to ensure that all volunteers are appropriately evalu- ated and approved. There is no change from the previous facilities visit. 6 Facilities Management 10. No change has occurred in the student identification program since the last facilities re- view. During the last visit, some high school students lacked student identification. The issue was being evaluated as part of security plan development and workplace safety as- sessment. The district intended to implement student identification for all high schools, but only Vallejo High School had consistently provided student identification cards to all students during the last site visit. Hogan High School implemented the student identifica- tion requirement in 2006-07, however, since the school had a dispute with the identifica- tion card vendor in spring 2007, students have not consistently had identification cards. The district reported in the fifth progress report that Hogan High School intended to re- instate the requirement in the 2007-08 school year, but based on the May 2008 site visit, the program had not been reinstated. During interviews for the sixth progress report, the Risk Manager indicated that this position had no control over the student identification program and that each individual school was responsible for implementing and moni- toring the program. The district should evaluate this program and determine whether it should be part of security plan development and workplace safety assessment. If so, the implementation should either be districtwide, or a program should be prepared for the in- dividual schools to implement. 11. Since the last facilities review, the district has created a Safe Schools Steering Commit- tee co-chaired by the Facilities Coordinator of Planning and Operations, and a consultant. According to district documentation, the district determined that video surveillance would be the most appropriate security system to monitor campuses and curtail vandalism. In the approved consent item for State Administrator action #14.9, dated April 9, 2008, the State Administrator/Trustee authorized the district staff to advertise a request for qualifi- cations for a video surveillance system. The item also details the usage of the video sur- veillance systems, notification to students and employees of the systems, and a time line for the system to be implemented. 12. Video surveillance cameras will observe the following public areas: outdoor facilities and grounds, including but not limited to common areas, such as parking lots, walkways, picnic areas, athletic fields, stadiums, and points of ingress and egress; indoor facilities including foyers, lobbies, hallways, gymnasiums, technology labs, music rooms, offices, other work locations; and other indoor common areas containing money, property, and/or expensive technical or specialized district equipment. The cameras will not be used where individuals can reasonably expect privacy, including the interior of any restroom, locker room, or changing area. The district plans to begin the project at the three comprehensive high schools and implement the systems by August 2008, with the remaining schools to be completed in later phases. The fiscal impact of the consent item was to be determined. As of May 7, 2008, the State Administrator through a consent item authorized the district to begin contract negotiations with Surveillance Systems Integration to provide design services for the districtwide video surveillance system. Facilities Management 7 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 July 2, 2007 Rating: 6 June 30, 2008 Rating: 7 Implementation Scale: 8 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. Board Policy Number 3000n, Vandalism, Theft and Graffiti was adopted on April 4, 2007, and has not been updated to reflect the changes in the district organizational struc- ture since the position of Director of Maintenance and Operations was eliminated and two Facilities Coordinator positions were created. 2. The district’s written graffiti and vandalism abatement plan still has not been completed. The district’s action plan calls for a comprehensive manual that will address graffiti and vandalism. The district planned to include the graffiti and vandalism abatement plan in a Maintenance and Operations Department manual that was completed and approved April 17, 2007. However, the manual does not address graffiti and vandalism, and the manual has not been updated since April 2007. Two draft handbooks include graffiti removal, but do not outline a complete graffiti and vandalism abatement plan. A draft Custodial Hand- book dated April 2008 addresses graffiti removal from carpets, but this handbook had not been distributed to the staff. A draft Risk Management Instruction Booklet, created by the Risk Management team, briefly covers property damage and vandalism repair, but does not include the detail necessary for a graffiti and vandalism abatement plan. 3. The district continues to follow the existing process of addressing graffiti and vandalism, but the process is not documented. The Head Custodian at each site is responsible for walking the grounds each morning to find graffiti and vandalism. The security staff also reports any graffiti and vandalism noted during nightly rounds. When graffiti or vandal- ism is reported to the Maintenance and Operations Department, the Facilities Coordinator of Planning and Operations reassigns the maintenance and operations staff to remove it immediately. In restrooms where graffiti has been especially problematic, the custodial staff paints the walls black to discourage graffiti and allow faster removal. The district’s process continues to result in a quick response to reported graffiti and vandalism, and progress continues. A documented abatement program should be developed to standard- ize the processes. 4. The district continues to provide supplies to the site custodial staff for minor graffiti abatement. Abatement supplies are included on the standard custodial supply order form. There has been no change in the training on graffiti abatement received by appropriate staff, head custodians, and painters since the prior visit. 5. There has been no change to the procedures used by site administrators and staff to report graffiti and vandalism since the last facilities review. The procedures for reporting graffiti and vandalism should still be reviewed at least annually with the custodial staff and site personnel. Facilities Management 9 6. The district has not adopted a districtwide paint scheme, but indicated that the staff has tried to limit the number of colors used in facilities and reduce the inventory of colors. However, a new education plan to create school communities will call for several paint schemes to be used at one site. Although the total number of paint colors has been re- duced, no plan has been created to implement a districtwide paint scheme or a limit of one to two colors per 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 July 2, 2007 Rating: 6 June 30, 2008 Rating: 7 Implementation Scale: 10 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 adopted Board Policy and Regulation Number 3000k, Adequate Repair and Supervision of School Buildings, on April 4, 2007. As part of Regulation Number 3000k, work orders are prioritized using a multitiered system. The priorities are as follows: • Priority 1—Emergency, Life Threatening • Priority 2—Vandalism and Graffiti • Priority 3—Mission Critical, System Failure and Preventative Maintenance Work Orders • Priority 4—Support System Malfunction—Equipment Relocation—Planned • Change • Priority 5—Nonmaintenance Duties 2. The board policy and regulations were adopted two weeks before the fifth facilities re- view and visit a year ago. At that time, the Maintenance and Operations Department sent a memorandum to all site administrators and custodians detailing the process of reporting urgent items (health and safety problems) and addressing fire and safety issues promptly. This sixth facilities review still found health and safety problems such as missing fire extinguishers, blocked/locked exits, wet floors, and unclean bathrooms with inadequate supplies, but the frequency and severity of these occurrences has continued to decrease. The board policy and regulations should continue to be reviewed and should be updated to reflect the new staff positions that were created in the restructuring of the Maintenance and Operations Department. 3. A Williams complaint was filed with the district in September 2007, alleging that the restroom facilities at Vallejo High School were locked, insufficiently clean, and lacked the proper supplies. The district conducted an investigation and concluded that these rest- rooms were inaccessible because of offensive graffiti that was scheduled to be removed. Photographs were taken, demonstrating that the restrooms were clean and well supplied in the mornings, but littered with trash and missing supplies at the end of the day. The district plans to implement the Clean Schools Program, which would redistribute custo- dial services to maintain clean restroom standards throughout the day, and use incentives to encourage students to help keep them clean. The complaint was closed based on the investigation’s findings. A visit to Vallejo High School during this sixth review found that the facilities were clean and well-stocked and that any trash or unclean facilities occurred because of student misuse during the school day. 4. The Clean Schools Program (CSP) was created in August 2007 and implemented in February 2008. The California School Employees Association (CSEA) signed a memo- randum of understanding that agreed to the program. The CSP outlines the cleaning Facilities Management 11 processes, disciplinary procedures for the staff, custodian work hours, and job respon- sibilities. The CSP also divides the custodians into two custodial teams, each managed by a supervisor who monitors the cleaning assignments, provides support, ensures that the custodian work hours are respected, and helps with security checks. With the imple- mentation of the CSP, custodial staff members have specific cleaning assignments, and daily cleaning is now completed at every site. Zone schedules that outline each zone and custodian duties were created for each school site. With the implementation of the CSP, the Facilities Manager now conducts classroom inspections. Based on documentation provided by the school district, the daily cleanings usually meet and exceed standards. Condition-of-classroom forms are still available for the teachers to complete, but they are also used by head custodians to conduct inspections. According to documentation provided by the district, complaints about classroom conditions have decreased from 163 in February 2008 to 44 in April 2008. In addition, the district used the California Association of School Business Officials (CASBO) custodial formula to calculate the ratios of custodians to teachers, students, and classrooms and determine that there was a need for additional custodial staff members. The district increased the custodial staff from 81.50 to 83.50 full-time equivalents (FTEs) to meet these standards and complete daily cleanings. 5. In previous facilities reviews, unsatisfactory bathroom conditions were likely the result of staff members not performing their jobs. An increase in supervision was recommended, including inspections of the custodial staff’s job performance. Implementation of the daily cleaning schedule has improved bathroom and classroom cleanliness. Increased oversight has improved supervision at the school sites and resulted in a more effective process. The few reported instances of unclean or unsupplied bathrooms seem to be the result of student or trespasser vandalism that occurs during the day after the site cleaning has occurred. 6. The district continues to maintain its contract with an inspection company to monitor the fire extinguishers, including inspecting the inventory, ensuring that extinguishers are in good working condition, and making sure that access to this equipment is not blocked. With a few exceptions, all extinguishers observed during site visits were current and in the appropriate and required locations. The district provided a 2008 Annual Fire Extin- guisher Service Schedule, although it is unclear from district-provided data whether head custodians are still responsible for inspecting fire extinguishers. 7. A new draft custodial handbook was created and last updated in April 2008. The hand- book includes cleaning procedures for the facilities including gyms, cafeterias, class- rooms, and other buildings, graffiti removal procedures, machinery operation instruc- tions, equipment repair orders, and other information to be used by the custodial staff. The handbook has not been implemented. The district reported that once this document is finalized, training will be conducted for the staff, and a copy of the handbook will be available at all sites. 8. No change has occurred in the training process for new custodial staff members. New custodial staff members continue to be trained as hired. The Facilities Coordinator of Maintenance and Grounds provided documentation that facilities services safety meet- 12 Facilities Management ings have been conducted weekly since January 2008 for all custodial staff members. The meeting topics cover issues such as eye protection, hazardous materials spills, vehicle safety, and other safety issues. The district should continue the weekly safety meetings. When the custodial handbook is finalized, all custodial staff members should be trained in its use, and a copy should be available at all school sites. 9. The last report indicated that there was a disagreement between the district and the teach- ers association regarding the success of the process used to report inadequate classroom/ work area conditions. Since the last facilities review, the process and staffing in the Main- tenance and Operations Department has changed. Implementation of the Clean Schools Program and use of custodial teams with supervisors have prompted an increase in pro- ductivity and clean facilities. 10. The bargaining unit contract requires employee evaluations every two years. Because of the changes in Maintenance and Operations, this area needs continued emphasis. During the site visit, staff evaluations were being scheduled, but had not been conducted. Safety and cleanliness should still be emphasized in employee evaluations. District-provided data showed that some evaluations were conducted since the last site visit, but the process has not been completed. The evaluation form for employee evaluations has not changed since the last review because changes need to be negotiated as part of the bargaining unit contract. The CSEA contract expires in 2008, and the documentation does not explicitly indicate that employee evaluations should emphasize safety and cleanliness. 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 Rating: 6 July 2, 2007 Rating: 6 June 30, 2008 Rating: 7 Implementation Scale: Facilities Management 13 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. Policy and Regulation Numbers 3000o, Comprehensive School Safety Plan, were adopted on April 4, 2007. The policy states that each school shall have a comprehensive school safety plan that is updated yearly. The district did not enforce this board policy for the 2007-08 school year. 2. The district did not complete its districtwide and site-specific safety plans based on the districtwide plan for the 2007-08 school year. The district should continue to complete the board policies that are integral to the districtwide and site-specific safety plans to ensure that the safety plans can be completed for the 2008-09 school year. The plans need to be updated annually and had not been revised during the May 2008 site visits. 3. School site employees were generally aware of the plan during the sixth facilities review site visits, but the district office did not require sites to update and submit site-specific plans. Some visited sites updated the site-specific plans internally, but none submitted the plans to the district office. Some site staff members did not know the location of the safety plans, and the plan was available only in electronic copy at some sites. The Risk Manager indicated that plans for the 2008-09 school year will be updated and collected at the start of the school year (August-September 2008). 4. There has been no change or update to the districtwide safety plan since the last facilities review. The plan continues to address the recommended key components: • 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 5. Since last year’s facilities review, the district created a Safe Schools Steering Committee co-chaired by the Facilities Coordinator of Planning and Operations, and a consultant. According to district-provided documentation, the district determined that video surveillance cameras would be the most appropriate system to monitor campuses and curtail vandalism. As of May 7, 2008, the State Administrator through a consent item authorized the district to begin contract negotiations with Surveillance Systems Integration to provide design services for the districtwide video surveillance system. The process for beginning the video surveillance systems is in place, and the system’s effectiveness should be reviewed by the district. 14 Facilities Management 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 Rating: 6 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: Facilities Management 15 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 continues to update its in-house facilities inventory and develop a multiphase facilities master plan. The facilities inventory includes 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. Site-by-site capacity information was compared to current and projected enroll- ment over the short term. Based on this information and subsequent analysis, decisions were made on the adequacy of classroom capacity given projected growth trends and distributional factors. This information was also used to make decisions on reconfiguring sites and programs and identifying surplus property. Ultimately, the result was a multi- phase process to provide all district students with adequate facilities, generate one-time and ongoing revenue to reduce the district’s obligations to the state, and provide ongoing operational revenues. 2. Later phases of the facilities master 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 its facilities master plan. 3. The district retained consultants to help plan, develop, and maintain a long-term facilities master plan. The district does not have a contract with an outside consultant to perform a new demographic study and has performed this in-house with the current staff. The dis- trict 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 help evaluate district property that is being considered for surplus status. 4. As part of its recovery plan, the district is selling and leasing property and has declared five properties as surplus. During fieldwork, the five properties had not been sold, and the district plans to consolidate all five properties with entitlements to ensure the best value is attained. The district plans to use the proceeds from the sale/lease of property to repay the state loan and offset general fund deficit spending. 5. Significant changes to the facilities master plan were not reported during the May 2008 visit. 16 Facilities 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 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: Facilities Management 17 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 asset management plan was prepared in 2005 and lists three phases. During last year’s site visit, the work was limited to an inventory of sites, classrooms, portables, capacity, and enrollment. A legal opinion dated January 9, 2006 details the available sources of revenue that could be used for Phase II of the Facilities and Property Asset Management Plan. The district identified four parcels intended for sale: the district administrative office, McKinley Adult School, Federal Terrace School, and Rollingwood. On December 21, 2007, these four properties were sold to Vallejo Unified Brooks LLC with rights to entitlements. 2. In conjunction with the Greater Vallejo Recreation District, the district plans to develop a K-5 elementary school and an adjacent park to serve Hiddenbrooke residents and the larger Vallejo community. An initial CEQA study was completed in April 2008 by LAS Associates, Inc. As of April 9, 2008, the district proposed to adopt a Mitigated Negative Declaration (MND) for the Hiddenbrooke School and Park. The proposed MND was still undergoing a 30-day public review during the recent site visit. Immediately following the 30-day public review period, which would end May 9, 2008, the State Administrator/ Trustee will review and consider all comments. It was anticipated that adoption of the MND would occur in May 2008. 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 Rating: 3 July 2, 2007 Rating: 3 June 30, 2008 Rating: 4 Implementation Scale: 18 Facilities Management 3.7 Facilities Improvement and Modernization—Furniture and Equipment Included in Modernization Program Professional Standard: Furniture and equipment items are routinely included in the scope of modernization projects. Progress on Implementing the Recommendations of the Improvement Plan: 1. No changes have occurred to the furniture replacement procedure that was outlined in the last reports. However, the district provided documentation that the purchasing department requested a quote for new furniture at a number of schools in April 2008, but during the site visit, no purchase of the quoted furniture was completed. 2. No change has been made to the district’s furniture and equipment standards for schools by type, including a replacement schedule. The district identified certain types/classes of furniture and equipment and established the minimum allocation that a classroom of that type would receive. Based on the basic allocation level, the district established base-cost information and useful lives. This standard still has not been implemented for all class- room furniture and equipment throughout all grade levels, nor has the district committed the financial resources to make replacements per the estimate. There is no change since the previous facilities review. 3. The district has not made the recommended comprehensive assessment of existing fur- niture and equipment, 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. In the previous report, the district staff indicated that there was sufficient surplus furniture to ad- dress district/site needs. 4. The district 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 inventory and the current status of these items to determine whether its needs vary from the general standard identified. Further, it does not appear that the current identified standard covers all furniture/equipment that might be needed throughout the district given the variety of programs operated at the various school levels. The district staff has started to collect fur- niture and equipment inventories from school sites. As the data is collected, information is entered into a database. No significant changes have occurred since the last reporting period. Facilities Management 19 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: 4 July 2, 2007 Rating: 5 June 30, 2008 Rating: 5 Implementation Scale: 20 Facilities Management 8.1 Facilities Maintenance and Custodial—Implementation of an Energy Con- servation 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. Policy and Regulation Number 3000m, Energy and Water Conservation, was adopted April 4, 2007. The district’s policy includes standards for heating, ventilation, and air conditioning temperatures. The policy also includes standards for lighting and water use in and around facilities and calls for regular facilities inspections to confirm that energy conservation strategies are implemented and an analysis of utility usage and costs per- formed periodically throughout the year. The policy should be updated to reflect the re- structuring of the Maintenance and Operations Department and designate the appropriate staff member to coordinate the district’s program for energy and water conservation. 2. The district has continued to analyze utility usage and related data utilizing the School Project Utility Rate Reduction (SPURR) program to monitor natural gas usage. The last report noted that a utility meter at one school site was found to be running concurrently with another meter, so the district asked PG&E to investigate. This resulted in a credit of more than $15,500 to the district. It was unclear at the May 2008 site visit whether the credit had been received from PG&E. 3. The Facilities Coordinator of Maintenance and Grounds has the ability to generate energy cost reports that list usage by month. In addition, the Facilities Coordinator can review account statistics for natural gas by school site. This comparative data enables the Facili- ties Coordinator to project future energy costs and to propose energy saving practices. For example, the two Facilities Coordinators sent a districtwide memorandum in April 2008 to remind the staff to conserve energy use by turning off all electronic devices when they are not in use. 4. The district also acknowledges the need to upgrade the HVAC systems to become more energy efficient and has included upgrades and repairs in the Deferred Maintenance Five- Year Plan. 5. In April 2008, based on preliminary research of the market prices of natural gas, the district started requesting proposals from natural gas suppliers to obtain a better rate for natural gas. After the process began, the district discovered that its existing contract with SPURR, the district’s natural gas supplier, was missing a page in the district’s file copy, and that the contract did not expire until June 30, 2009. As a result, the bid process was stopped. The district will resume the process of requesting proposals from natural gas suppliers upon termination of the existing SPURR contract to secure a less expensive natural gas rate. Although the district is committed to the SPURR rates for the 2008-09 school year, it should continue to look for other energy-saving practices to offset high natural gas prices. Facilities Management 21 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 Rating: 4 July 2, 2007 Rating: 5 June 30, 2008 Rating: 6 Implementation Scale: 22 Facilities Management 8.2 Facilities Maintenance and Custodial—Energy Accounting System and Completion of Energy Analyses Professional Standard: The district should 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 continues to log its energy consumption and expense. The Maintenance and Operations Department uses the SPURR software program, which can collect data, analyze and monitor. The vendor also continues to perform an independent review and analysis of the data and makes recommendations to the district. 2. The district continues to perform 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 continues to use software to monitor and track utility costs for electricity, natural gas, and water, looking for larger users or anomalies in trends. 3. In last year’s facilities review, the district staff identified a duplicate meter at one site and was to receive a credit of more than $15,500 from PG&E. During the May 2008 review, it was unclear whether the district had received the credit from PG&E. 4. The district has not formally identified/catalogued sites and areas that need to be retrofitted 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 heating, ventilation, and air conditioning (HVAC). There has been no change from the last report. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 5 May 1, 2005 Rating: 6 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 June 30, 2008 Rating: 8 Implementation Scale: Facilities Management 23 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. There has been no change to the 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 continue to include upgrades for items such as HVAC, windows, lighting, etc., that improve energy efficiency. There has been no change to the design standards since November 2003, and the district continues to self-report that it has been using these stan- dards. 2. The district staff self-reports that it continues to work closely with architects to use ener- gy-efficient designs in all modernization and construction projects using the November 2003 district standards. 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 Rating: 3 July 2, 2007 Rating: 4 June 30, 2008 Rating: 4 Implementation Scale: 24 Facilities Management 8.6 Facilities Maintenance and Custodial—Procedures for Evaluation of Main- tenance 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. Evaluations have been assigned to the Facilities Coordinators and custodial team supervi- sors in the Maintenance and Operations Department. The coordinators organize the evalu- ation times and process, while the team supervisors complete evaluations. The district gave the school principals the option of participating in the evaluations of the custodial staff who work at their schools. Last year’s report noted that only one custodial supervi- sor completed evaluations for all custodians, which had a significant impact on the su- pervisor’s normal workload. With the new process that uses the new team supervisors to evaluate their respective team members, evaluation should better identify the individual needs for improvement and areas of improved work for each staff member without un- necessarily affecting the team supervisors’ normal workload. 2. According to the bargaining unit contract, custodial staff members are to be evaluated ev- ery two years. During the last site evaluation, most custodial staff evaluations were due, and the district was completing them. Some staff evaluations were conducted in Decem- ber 2007, and others were scheduled for mid-2008. The scheduled evaluations should re- flect the employees’ performance and should comment on areas of growth and/or needed improvement. In addition, employee self-improvement plans should be monitored, and progress should be measured and noted in evaluations. There was no change in the evalu- ation form during the sixth site visit. 3. The district has not implemented the evaluation reminder process detailed in the last fa- cilities review report. The Maintenance and Operations management staff was to receive notification from the Human Resources Department regarding upcoming employee evalu- ations. According to the current contract, evaluations should occur every two years. The evaluation reminder process should be implemented under the current contract specifica- tions. 4. No additional training has been provided to the supervisory personnel regarding the proper documentation of employee performance based on established personnel and work standards. The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations was provided, however, there was no indication that training was provided for supervisory personnel on the evaluation process. 5. Based on discussion with the district staff and review of employee files, the district con- tinues to have the supervisor discuss the performance evaluation with the employee and provide him or her with a copy. Facilities Management 25 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 Rating: 7 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: 26 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. Policy and Regulation Nos. 3000l, Preventative Maintenance Program, were adopted April 4, 2007. 2. The district planned to begin implementing the Preventative Maintenance Program start- ing June 1, 2007, but documentation provided by the district shows that the program did not start until November 2007. 3. The district negotiated with its classified bargaining unit to create Preventative Main- tenance Technician (PMT) positions in the Maintenance and Operations Department. The PMT positions were filled and are actively working in the preventative maintenance program. The PMTs work as a team of two and systematically visit each school site for a specified number of days two times a year. They use inspection sheets to rate the bath- rooms, exteriors, and interiors of the sites including electrical, flooring, doors, etc. They also perform regular scheduled maintenance and service to protect property, systems, and equipment from damage and to extend useful life. Any work that cannot be completed during the scheduled visit is reported, and work orders are created for the regular mainte- nance staff. Based on the work orders and inspection sheets provided by the district, the Preventative Maintenance Program functions as designed. The program will need to be assessed by the district since it began in November 2007, when only the first of the two annual visits to sites was completed. 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 Rating: 3 July 2, 2007 Rating: 4 June 30, 2008 Rating: 5 Implementation Scale: Facilities Management 27 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. Policy and Regulation Numbers 3000K, Adequate Repair and Supervision of School Buildings, were adopted April 4, 2007. The policy states that the board is committed to providing school facilities that are safe, clean, and functional. As part of that commit- ment, the Superintendent shall develop and implement a facilities inspection and mainte- nance program to ensure that district schools are maintained in good repair. The inspec- tion program shall determine conditions in need of repair, including any evidence of the following: • Gas leaks • Problems with heating, ventilation, or air conditioning systems • Broken windows, doors, gates, and fences that pose a security risk • Unsafe and unclean interior surfaces, such as walls, floors, and ceilings, including vandalism and graffiti • Hazardous materials that may pose an immediate risk to students or staff • Structural damage that has the potential to create hazardous or uninhabitable condi- tions • Nonfunctioning fire sprinklers and emergency equipment, such as alarms and fire extinguishers • Power failure, electrical hazards, and inadequate lighting • Major pest or vermin infestation • Inaccessible and nonfunctioning drinking fountains • Inaccessible, unclean, and nonfunctioning restrooms during school hours • Major sewer line stoppage 2. The policy also requires an annual report to the Governing Board regarding the status of school facilities. 3. Regulation Number 3000K states that the Maintenance and Operations Department will review work order requests and prioritize them according to category of need. The cat- egories are as follows: • Priority 1—Emergency, Life Threatening: Approved work order requests in this cate- gory will be assigned to all necessary staff to complete immediately unless materials need to be ordered. One manager will be assigned to track and report progress to the Director of Maintenance and Operations. Resources shall be dedicated to mitigate hazards and return the facility to operation as soon as it is safe to do so. 28 Facilities Management • Priority 2—Vandalism and Graffiti: Work needed in this category shall be identified by the district’s security services, head custodian, or a site administrator and reported immediately to the Maintenance and Operations Department. Resources shall be dedicated to mitigate and remedy the results of vandalism immediately, if possible, the same day as reported. • Priority 3—Mission Critical, System Failure, and Preventative Maintenance Work Orders: Approved work order requests in this category will be assigned to a trade person to complete according to the following established district guidelines. The order for responding to approved work order requests within this priority is: (1) childcare, (2) kindergarten, (3) elementary, (4) secondary, and (5) support services. The task leader shall provide the staffing and resources needed to complete a project in this category within five days. Resources shall be dedicated to mitigate hazards and return the facility to operation as soon as it is safe to do so. • Priority 4—Support System Malfunction—Equipment Relocation—Planned Change: The work in this category will be assigned to a group or a maintenance worker to complete following established district guidelines. The order for responding to ap- proved work order requests within this priority is: (1) child care, (2) kindergarten, (3) elementary, (4) secondary, and (5) support services. The task leader shall provide the staffing and resources needed to complete the project within two weeks. • Priority 5—Nonmaintenance Duties: The work in this category will be assigned to the task leader to complete after following established district guidelines on all other higher priority work assignments. The task leader shall provide the staffing and resources needed to complete each project in four weeks or more, depending on resource availability. 4. The district continues to follow the existing process to immediately address health and safety issues and it is indicated as a Priority 1 as part of Regulation 3000k. The action plan calls for the manual to address all aspects of Maintenance and Operations, including health and safety issues. In addition, the manual has partially addressed the following: • 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 5. The manual was finalized just before the April 2007 visit and had not been updated as of the May 2008 facilities review. During the May 2008 review, the Maintenance and Op- erations Department had developed a draft custodial handbook. The handbook addresses standardized cleaning procedures for facilities as well as some safety procedures. The Clean Schools Program, which was implemented in February 2008, establishes a stan- dardized cleaning schedule and cleaning responsibilities for the custodial staff. 6. The district continues to post the Williams notification in all classrooms, including the ad- equacy of facilities in the uniform complaint process. The district reported that all class- rooms were provided with the Williams notification at the beginning of the school year. During the May 2008 facilities site visits, some classrooms had no notices or the docu- Facilities Management 29 ments were covered by wall decorations or other notices. The district should periodically inspect classrooms to ensure the notices remain posted and unobstructed in the classroom. 7. The district continues to use bathroom sterilization equipment at school sites. The bath- room facilities were generally well-stocked and clean during site visits. As the school day progressed, it became evident that student misuse and vandalism of restrooms caused some sanitary issues and often required the restrooms to be closed while the vandalism was repaired or the sanitary issue was fixed. 8. During the May 2008 facilities review, there was no change to the status of the contract for an evaluation of life safety systems and for the repair of those systems. The district contracts with an inspection company to monitor and replace fire extinguishers. Based on the current site visit, almost all extinguishers were current and located in the required areas. There were a few instances of expired or missing extinguishers, but the number has decreased from the last report. 9. At Vallejo Middle School, an interior exit door was blocked with classroom supplies. Though the interior hall is not accessible to student traffic, the exit should be unobstructed. 10. Although the district has had no large-scale site beautification projects since last year’s facilities review, the grounds staff has maintained school site landscaping. At the visited sites, the grass was mowed, and landscaping was free of debris. 11. The Facilities Coordinator of Maintenance and Grounds has completed an informal in- spection of each school site that lists needed repairs for the deferred maintenance and preventative maintenance programs. The deferred maintenance plan is current for the 2007-08 school year and should be updated annually. The district’s five-year plan still in- cludes projects for painting, roofing, electrical, heating, ventilation and air conditioning, floor coverings, paving, and lead/asbestos abatement. 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 Rating: 5 July 2, 2007 Rating: 6 June 30, 2008 Rating: 7 Implementation Scale: 30 Facilities Management 8.12 Facilities Maintenance and Custodial—Priorities for Assignment of Rou- tine 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 continues to utilize the School Preventive Maintenance Management System (SPMMS) work order system. Work orders are being processed and completed. The dis- trict continues to work on completing and clearing backlogged work orders. 2. Progress continues in completing and closing work orders in a timely fashion. School site personnel continue to confirm that work orders generally were responded to and com- pleted in a timely manner. They also stated that it is easy to use the work order system to determine the status of a request. In addition, the Facilities Coordinator of Maintenance and Grounds instituted a new policy for completing work orders at school sites. This policy calls for Maintenance and Operations staff to sign in at the school office when on site to complete a work order. At that time, they are to notify the site administrators what work is to be completed. When the work order is complete, the Maintenance and Opera- tions staff must have a site administrator, office manager, or head custodian sign off that the work order has been fulfilled. This process had been in place for less than two months at the time of the site visit, and progress should continue to be evaluated. 3. The district has implemented the preventive maintenance program to help increase the performance and usable life of facilities and assets and reduce the number of repairs needed. The preventative maintenance program was newly implemented at the May 2008 review, and the impact on routine work orders was not clear. Its progress should continue to be monitored. 4. The Maintenance and Operations manual has not been updated since the last facilities review and does not address the work order process or the priority basis for routine work orders. 5. The two new Facilities Coordinator positions work together to prioritize and monitor the work order system, but the process of noting backlogs, inadequate response times, inap- propriate prioritization of work orders, and inadequate repairs to ensure adequate service and employee performance has not been documented. 6. No change has occurred in the district’s action plan, which did not directly address the recommendation to improve communication between the Maintenance and Operations Department and school sites in the last review. With the implementation of the Clean Schools Program and the preventative maintenance programs, communication between the school sites and the Maintenance and Operations Department has increased to some degree. The Facilities Manager now conducts site inspections, and the site personnel can still complete condition-of-classroom forms to notify the Maintenance and Operations Department of any substandard cleaning conditions. Facilities Management 31 7. The district continues to follow the prior recommendation for all work to be requested through a work order, except for health and safety and other emergency work. Ongoing communication with personnel regarding work order entry and procedures should con- tinue. 8. The district should continue to update its board policies and regulations to ensure that any updates to action plan items, including maintenance and work order processes, are en- compassed in those policies. 9. The action plan calls for the manual to address all aspects of Maintenance and Opera- tions, including the work order process. The manual has not been updated since the last facilities review. The manual detail relating to the maintenance work request system is still not aligned with Regulation 3000k. The regulation or manual should be updated to align the two documents. 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 Rating: 6 July 2, 2007 Rating: 7 June 30, 2008 Rating: 7 Implementation Scale: 32 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 Maintenance and Operations manual was to be updated to include landscaping stan- dards. During the May 2008 facilities review, the manual had not been updated and still did not address landscaping standards. The district has not finalized the plan to improve school site landscaping and focuses on maintaining the landscaping that exists at the school sites. 2. The Facilities Coordinator of Maintenance and Grounds requested bids from tree services to begin the preventive maintenance of tree trimming in addition to clearing any dead trees that could become hazardous. The coordinator also requested bids to repair and repave broken asphalt at numerous school sites. The Facilities Coordinator of Mainte- nance and Grounds implemented a facilities services grounds program that includes site schedules. These schedules assign the grounds teams to specific sites with the hours and duties to be completed at each site. Site clean-up instructions include landscaping duties to ensure that the existing landscaping and site inspections are completed as a part of this program. 3. As of the May 2008 facilities review, the district conducted an informal inventory/assess- ment to determine landscaping conditions at individual sites. These conditions are ad- dressed by the facilities services grounds program. 4. The district still 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. There has been no change since the last facilities review. 5. There has been no change to the beautification projects. The district should plan to com- plete site beautification projects as budget and staffing allow. 6. The district has not formally developed a broad-based set of potential funding sources to help implement a landscaping plan. 7. The district has begun to address some landscaping needs and deficiencies that exist at its school sites. These needs and deficiencies are limited to those that are most necessary and relate to safety standards, such as broken asphalt and tree trimming. 8. The fiscal impact of implementing a landscaping plan must consider the broader context of the district’s facilities-related needs, and any potential additional staffing requirements in the Grounds Department. Facilities Management 33 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: 6 July 2, 2007 Rating: 6 June 30, 2008 Rating: 7 Implementation Scale: 34 Facilities Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 1.1 LEGAL STANDARD - SCHOOL SAFETY All school administrators are thoroughly familiar with the California Department of Educa- tion, Civil Defense and Disaster Not Planning Guide for School Of- Rated ficials, 1972. [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 ap- propriate security devices in the design of new buildings as well 5 as in 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 6 7 adequate measures of safety and protection of people and property. [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 35 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 ba- sis to ensure the operability/ adequacy 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. 36 Facilities Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 6 7 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 writ- ten plans describing proce- dures to be employed in case of 5 emergency. [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 37 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 6 7 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. 38 Facilities Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 1.18 LEGAL STANDARD - SCHOOL SAFETY A comprehensive school safety 4 4 4 6 6 7 7 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 39 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 7 7 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. 40 Facilities Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 41 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 3 4 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. 42 Facilities Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 43 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 5 5 Furniture and equipment items are routinely included within the scope of modernization projects. The identified subset of standards appears in bold print. 44 Facilities Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 45 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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. 46 Facilities Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 47 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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. 48 Facilities Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 5 6 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 8 8 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 49 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 8.3 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL Cost-effective, energy-efficient 2 2 2 2 3 4 4 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. 50 Facilities Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 7 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 51 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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 4 5 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 6 7 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 7 7 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. 52 Facilities Management Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating Rating Rating Rating Rating Rating 9.1 PROFESSIONAL STANDARD - IN- STRUCTIONAL PROGRAM ISSUES The district has developed a plan 5 5 5 6 6 6 7 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 53 Nov. May Nov. May Jan. July June Standard to be addressed 2004 2005 2005 2006 2007 2007 2008 Rating Rating 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. 54 Facilities Management