Comprehensive Review

Vallejo City Unified School District Assessment and Improvement Plan First Six-Month Progress Report May 1, 2005 Administrative Agent Larry E. Reider Office of Kern County Superintendent of Schools Chief Executive Officer Thomas E. Henry Executive Summary Introduction This report, dated May 1, 2005, is the first of three six-month progress reports required by Senate Bill 1190 (Chapter 53, Statutes of 2004) to monitor the district’s efforts to address the recom- mendations 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). This report provides data to the district, community and Legislature to assist the district in achieving fiscal solvency, building the capacity within the district to promote student learning, and working toward the return of local governance to the governing board of trustees. The 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 manage- ment, pupil achievement, financial management, and facilities management, utilizing 415 profes- sional 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 implementa- tion. 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 Admin- istrator, 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, to assist the district with recovery. It was agreed that an identified subset of 129 of the original 415 standards would become the focus of the ongoing six-month progress reviews. Focusing on the smaller subset of standards would enable the district to 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 identi- fied subset of standards and the established criteria can be found in another section of the execu- tive summary of this report. FCMAT assessment teams conducted on-site fieldwork in the district in late February and March, 2005, meeting with staff, parents and community and board members, preparatory to issuing this May 1, 2005 six-month progress report. Senate Bill 1190 requires FCMAT to provide six-month reports monitoring the district’s progress in implementing the recommendations of the identified subset of standards and calls for subsequent progress reports to be issued in November 2005 and May 2006. 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 Executive Summary 1 use the proceeds from the sale to reduce or retire the emergency loan. The bill, except as speci- fied, requires the school district to bear the costs associated with the implementation of the bill’s provisions, and prohibits 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 improvement plans for the Vallejo City Unified School District in five major operational areas: community relations/governance, pupil achievement, personnel management, fiscal management, and facilities management. It was the intent of the Legislature that the governing board, staff and community of Vallejo City USD fully participate in this assessment and improvement process. 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 Fis- cal Crisis and Management Team or regional team.” The district drew down $50 million of the $60 million state loan authorized by SB 1190 on June 23, 2004, within two days of the signing of the legislation. A state administrator was appointed by the Superintendent of Public Instruction on June 23, 2004 but was not able to start full-time in the district until late 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. 2 Executive Summary Study Guidelines FCMAT’s approach to implementing the statutory requirements of SB 1190 is based upon a commitment to a standards-based, independent and external review of the Vallejo City Unified School District’s operations. FCMAT performed the initial assessment of the district and devel- oped the improvement plan in collaboration with three other external providers selected through a competitive process. Professionals from throughout California contributed their knowledge and applied the identified legal and professional standards to the specific local conditions found in the Vallejo City Unified School District. The initial assessment, entitled Vallejo City Unified School District Assessment and Improvement Plan, November 1, 2004, was presented to the district on November 1, 2004. The same teams of professionals have continued to assist FCMAT in this May 1, 2005 six-month progress report for the district. Prior to beginning work in the district, FCMAT adopted five basic tenets to be incorporated in the assessment and improvement plans. These tenets were based on previous assessments conducted by FCMAT in school districts throughout California and a review of data from other states imple- menting external reviews of troubled school districts. These tenets formed the basis of FCMAT’s work in the district. The five basic tenets are: 1. Use of Professional and Legal Standards FCMAT’s experience indicates that for schools and school districts to be successful in program improvement, the evaluation, design and implementation of improvement plans must be stan- dards-driven. FCMAT has noted positive differences between an objective standards-based approach versus a nonstandards-based approach. When standards are clearly defined, reachable, and communicated, there is a greater likelihood they will be measured and met. In order to participate in the process of the Vallejo City Unified School District review, potential providers responded to a Request for Applications (RFA) that identified these standards as the basis of assessment and improvement. Moreover, the providers were required to demonstrate how the FCMAT-identified standards would be incorporated into their work. It is these standards on which the improvement plans for the Vallejo City Unified School District were based. The standards, while identified specifically for the Vallejo City USD, are benchmarks that could be readily utilized as an indication of success for any school district in California. Every standard was measured on a consistent rating format, and each standard was given a scaled score from zero to 10 as to its relative status of completeness. The following represents a defini- tion of terms and scaled scores. The single purpose of the scaled score is to establish a baseline of information by which the district’s future gains and achievements in each of the standard areas can be measured. Not Implemented (Scaled Score of 0) There is no significant evidence that the standard is implemented. Partially Implemented (Scaled Score of 1 through 7) A partially implemented standard lacks completeness, and it is met in a limited degree. The de- gree of completeness varies as defined: 1. Some design or research regarding the standard is in place that supports preliminary de- velopment. (Scaled Score of 1) Executive Summary 3 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 devel- oped 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 sus- tained for a full school year. (Scaled Score of 9) 10. All elements of the standard are fully implemented, are being sustained with high quality, are being refined, and have a process for ongoing evaluation. (Scaled Score of 10) 2. Conduct an External and Independent Assessment FCMAT employed an external and independent assessment process in the development of the Vallejo City Unified School District assessment and improvement plans. FCMAT’s reports rep- resent findings and improvement plans based on the external and independent assessments from various professional agencies. The following agencies assisted in the November 1, 2004 report: • California School Boards Association (CSBA) – Community Relations/Governance • Community Training and Assistance Center (CTAC) – Pupil Achievement • School Services of California (SSC) – Personnel Management • School Services of California (SSC) – Facilities Management • Fiscal Crisis and Management Assistance Team (FCMAT) – Financial Management Collectively, the three professional agencies that assisted FCMAT constitute FCMAT’s providers in the assessment process. Their external and independent assessments serve as the primary basis for the reliability, integrity and credibility of the review. 3. Utilize Multiple Measures of Assessment For a finding to be considered legitimate, multiple sources need to be utilized to provide the same or consistent information. The assessments and improvement plans were based on multiple measures. Testing, personal interviews, group meetings, public hearings, observations, review and analysis of data all provide added value to the assessment process. The providers were re- quired to utilize multiple measurements as they assessed the standards. This process allowed for a variety of ways of determining whether the standards were met. All school district operations 4 Executive Summary 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 are dependent upon an effective professional and community development pro- cess. For this reason, the empowerment of staff and community is one of the highest priorities, and emphasizing this priority with each of the partners is critical. As a result, a strong training component for board, staff and administration is called for consistently throughout the report. Of paramount importance is the community’s role of local governance. The absence of parental involvement in education is a growing concern nationally. A key to success in any school district is the re-engagement of parents, teachers, and support staff. Parents care deeply about their 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 necessary recommendations for the community to have a more active and meaningful role in the education of its children. 5. Engage Local, State and National Agencies It is critical to involve various local, state and national agencies in the recovery of the district. This was emphasized through the Request for Applications (RFA) process, whereby state-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 expressed and shown a desire to assist and participate in the improvement of the Vallejo City Unified School District. Executive Summary 5 Study Team The study team was composed of the following members: For the Fiscal Crisis and Management Assistance Team – Administration and Report Writing Roberta Mayor Laura Haywood For the California School Boards Association – Community Relations/Governance Scott Plotkin Marge Peterson Ben Bartos Dan Walden Martin Gonzalez Diane Green Holly Jacobson For the Community Training and Assistance Center – Pupil Achievement Donald Ingwerson Maribeth Smith Peggie Brown Barbara Helms For School Services of California – Personnel Management Carol Berg Sheila Bua John Gray Deberie Gomez For the Fiscal Crisis and Management Assistance Team – Financial Management Michelle Plumbtree Barbara Dean Eric Smith Michele McClowry Phil Scrivano Linda Grundhoffer For School Services of California – Facilities Management Ron Bennett Jerry Twomey Paul Woods Fred Good Benjamin Dolinka Teresa Romero 6 Executive Summary Summary of Principal Findings and Recommendations Section Two of this report provides an in-depth review of the current operational status of the Vallejo City Unified School District on the identified subset of 129 professional and legal stan- dards used to assess the district. The following is a summary of the general findings and recom- mendations presented in Section Two. This May 1, 2005 First Six-Month Progress Report represents data collection and analysis at a specific point in time. FCMAT review teams visited the district in late February and March 2005. This report was presented to the Vallejo City Unified School District and the Superintendent of Public Instruction on May 1, 2005. The district has made fiscal recovery a district priority and has taken positive steps to implement the recommendations in the identified subset of standards in the Assessment and Improvement Plan. Progress has been slow, but the administration is determined to make significant budget reductions for 2005-06 that are necessary for fiscal recovery. • The district has involved staff and community members in developing action plans to ad- dress the recommendations in the Assessment and Improvement Plan and for meeting the identified standards in each operational area. The plans have not yet been widely dissemi- nated, however, and some are in the early stages of implementation. • The district estimates it has reduced expenditures for 2004-05 by approximately $4.5 million. This was accomplished in part by not filling teacher vacancies that were based on overestimated student projections, and by renegotiating costly contracts for technology and legal services. The district plans to reduce expenditures for 2005-06 by approximate- ly $10-12 million. Many of the proposed expenditure reductions, however, are dependent on negotiated agreements with employee bargaining units. • As reported in the initial assessment report issued in November 2004, the district drew down $50 million of the $60 million authorized by Senate Bill 1190 in June 2004. The district’s fiscal condition remains precarious. • The November 2004 initial assessment report indicated that the district did not have a set procedure outlining the budget development process nor did it include input from site or department administrators. A budget development packet has been developed for use in the development of the 2005-06 budget and is being shared with site administrators. • The November 2004 initial assessment report indicated that there was no accurate student enrollment projection process being utilized. The district has since been closely monitor- ing enrollment and attendance data on a weekly/monthly basis. Although enrollment is expected to continue to decline for the 2005-06 year, the district is taking steps to adjust for the expected decline in students. • Communications have improved since the initial assessment report in November 2004. The state administrator’s office provides increased levels of communication to both staff and the community. However, communication from middle managers to staff and between departments still remains less than satisfactory. Executive Summary 7 • As early as August 2004, the district invited the employee bargaining units to begin ne- gotiations to seek their cooperation in addressing the district’s fiscal recovery. The cer- tificated bargaining unit filed a grievance in fall 2004 over a salary increase they did not receive for 2004-05. They indicated the contract language obligated the district to provide any COLA the district received. The district estimates the cost of such an increase at $1.8 million per year. The grievance has proceeded to arbitration. An arbitrator has been selected by the parties, but will not have an open hearing date until fall 2005. • It was reported in the initial assessment report in November 2004 that employee contract language restricts management’s ability to conduct the district’s business. The district sunshined a revised teacher contract document in February 2005 as management’s pro- posal to the teachers’ bargaining unit. Current employee contracts expire June 30, 2005. Contracts for 2005-06 have not yet been negotiated. • The state administrator has assembled a team of personnel with expertise in various school district operational areas to assist in the improvement process. Two are temporary consultants. Building staff capacity for the operations of the district is critical to sustain- ing the improvements made. A reorganization of central office staff is planned to establish a functional organizational structure that clearly identifies roles and responsibilities and effective use of resources. • There are few established procedures that are supported by written documentation in any of the five operational areas. Board policies have not yet been updated, and operating policies and procedures have not been developed to provide the necessary operational guidance for staff. Developing and maintaining a skilled work force is necessary for the district’s recovery. Staff must be regularly evaluated and professional development train- ing opportunities must be regularly provided. 8 Executive Summary Community Relations and Governance The Vallejo City Unified School District has made a concerted effort to involve parents, staff, community members and the board in developing action plans to address the priority standards identified in the Assessment and Improvement Plan. The district must focus its efforts on the implementation of these action plans and on building the district’s capacity to sustain progress. Communications The district has developed a strategic communications plan and several aspects have begun to be implemented. Staff, parents, and members of the community and the board were engaged in the process of developing the communications plan. The district has successfully held multiple community forums to reach parents and the com- munity about district operations and issues. The community forums are generally regarded by staff and parents as informative and should be continued. Many individuals interviewed reacted positively to the level of information shared with the community; however, some continue to be concerned about a lack of ability to provide feedback and input. The district must also ensure that communication with non-English-speaking and traditionally less-involved parents is made a priority. Spokesperson and media relations protocols have been created and communicated throughout the district. Through outreach to the media, the district has also successfully generated positive news coverage about the district’s schools, programs, students and staff. The district must focus on building staff capacity to ensure the long-term sustainability of the communications plan. Parent/Community Relations Although the district has made efforts to provide information to parents and to engage the com- munity in forums during the past six months, increasing the involvement of parents and volun- teers has not been a consistent priority across the district. Parent involvement and volunteerism are heavily dependent on the efforts of individual principals. The district must provide greater assistance to school sites in order to sustain the priority of improved parent/community relations, including the development of specific activities in which parents and volunteers can support the district in meaningful ways that are aligned to the district’s goals. Strengthening parent-teacher organizations at all sites should remain a priority for the district. The level of board member involvement in the community has varied in the past six months. Not all members of the board will seek reelection, and in their role as an advisory board, some mem- bers may be less motivated to actively engage in community outreach. All members of the board, however, have participated in the action plans development process. The district should make ongoing training regarding complaint resolution a priority for district and site staff. Community Collaboratives, District Advisory Committees, School Site Councils The district has begun the process of reinvigorating partnerships and collaboratives with com- munity organizations, agencies and businesses, which had not been active in recent years. The district has renewed efforts to work with the City of Vallejo and the Vallejo Chamber of Com- merce, with representatives from each entity participating in the development of action plans Executive Summary 9 for the district. Relationships between the leadership of the district and other organizations are generally regarded as positive and productive. However, the district needs to implement a coordi- nated district strategy for building community collaborations and partnerships. Policy In the past six months, the district has developed a plan to update its policy manual and has con- tracted with a law firm to help execute revisions to the policies to reflect current law and district practices. However, it is critical that the district begin to implement the process of policy review, updates and revisions as soon as possible in order to set in place the procedures for guiding op- erational functions in the district. The State Administrator and the board must also monitor policy implementation to ensure that district practice reflects the established policy. Board Roles/Boardsmanship Even in its advisory role, the board has placed an emphasis on working effectively as a team to address important district matters. The State Administrator and the board have agreed on the importance of five key goals for the district, and the actions of the district appear to be driven by these goals. The development of action plans in the district has involved the board, staff, parents and the community in a positive strategy to ensure a long-term focus on student needs. Board Meetings Board agendas have been reorganized to highlight matters important to student achievement. While meetings in the past six months were often focused on critical fiscal issues, each budget proposal discussed at the meetings included a rationale describing the impact on student achieve- ment. Board agendas now also include an opportunity to recognize community members who support the district and its schools. In Summary The review of Community Relations and Governance included the assessment of the selected subset of 17 professional and legal standards of performance. The average rating of this subset of 17 standards assessed in November 2004 was 3.35. The average rating for this subset of standards in this operational area as of this May 2005 six- month progress report is 4.24 on a scale of 1 to 10, with 10 the highest score possible. Four of these standards have ratings below a 4. 10 Executive Summary Personnel Management The district must address 35 priority standards in the operational area of Personnel Management and has elected to address a few of them at a time. Action plans for 10 standards were developed by March, 10 more have been scheduled for May, and the remaining 15 have been targeted for November 2005. Many standards in this operational area will therefore not reflect progress at this reporting. Organization and Planning The review of the board policies affecting personnel operations, such as the delivery of services, roles and processes for employment, employee discipline and dismissal, are among the standards being delayed until November 2005. The consultant hired to manage the Human Resources Department has since been hired as the Assistant Superintendent on a two-year contract. The department eliminated its receptionist posi- tion and plans to restructure the physical layout of the office so that all personnel staff will have some responsibility for providing customer service to walk-in clients. Some preliminary staff reorganization has started, such as moving benefits management to the Business Department. The department still needs to consider other organizational changes, such as reviewing the positions of Director of Community Affairs and Compliance, and the comparability of the Coordinator of Classified Personnel and the Director of Human Resources/Recruitment. Internal and External Communications The district’s Web site is being redesigned, so job postings are currently minimal until the rede- sign is completed. Job announcements are posted to the Web site, and on ED-JOIN. Some department staff members have increased their use of e-mail as a method of communica- tion within and outside of the department. The elimination of the receptionist position has also resulted in more staff members answering phones and assisting walk-in clients. Customers of the department believe that these changes have improved services. The department has now insti- tuted regularly scheduled staff meetings. Employee Recruitment and Selection For the last two years, the district has had to reduce staff due to lack of work, lack of funds, and declining enrollment. However, there remains a need to fill teaching positions in some of the hard-to-staff areas and to fill critical classified positions. The department plans to address the recruitment standards in May. The Solano County Office of Education’s audit of teacher credentials occurred during the review team’s visit in the district. The steps taken by the department in preparing for the audit will pro- vide the basis for the district’s internal monitoring of teacher credentials and will include the use of the automated systems in the district to accomplish this task. Operational Procedures Communication between department staff and the Payroll staff has improved significantly. Weekly meetings are scheduled between the two departments, with priority given to the most significant issues to address, such as employee leaves and leave accruals. Staff members also Executive Summary 11 communicate as needed between meetings. Communications issued from either department that affect the other department are now coordinated. Some classified staffing formulas have been implemented and were used as the basis for staff reductions this year. These formulas are continuing to be refined. Enrollment projections for ini- tial staffing of schools for the new school year have been completed. As enrollment continued to decline through this current year, some mid-year staffing adjustments were made. Use of Technology District-paid employee health and welfare benefits data has been audited and the system now reflects current benefits enrollment. Employee leave records in the system are now current and leave accruals are automated. A standing committee consisting of Human Resources and Payroll staff members was formed to address issues with employee leaves, and guidance is being pro- vided to district managers and administrators. Many staff members have attended training on the position control system and are participating in the monthly user group meetings. There is no progress to report on recommendations to imple- ment an applicant tracking system and to integrate the substitute calling system with position control and payroll. Employer/Employee Relations The district and the certificated bargaining unit have each presented their initial contract propos- als. The district involved administrators and managers in the review of the certificated bargaining unit contract in order to determine the articles that were most problematic and costly. The district has identified a group of comparable districts and is preparing comparisons of salary, benefits, and working conditions for discussion in negotiations. The district also surveyed managers about provisions in the classified bargaining unit contract in preparing the submittal of the district’s initial classified contract proposal to the board in March. In Summary The review of Personnel Management included the assessment of the selected subset of 35 pro- fessional and legal standards of performance. The average rating of this subset of 35 standards assessed in November 2004 was 1.34. The average rating for this subset of standards in this operational area as of this May 2005 six- month progress report is 2.51 on a scale of 1 to 10, with 10 the highest score possible. Twenty- five of these standards have ratings below a 4. 12 Executive Summary Pupil Achievement The district’s leadership subscribes to the findings and recommendations in the priority standards and indicates that the findings are consistent with their own observations, analyses, and priorities. Planning Processes The district has adopted the State Administrator’s five goals (increasing student proficiency, increasing equity, improving school climate, seeking a long-term solution to the fiscal crisis, and building capacity and sustainability when local control is regained) as the vision and focus for the district’s improvement efforts. Board policy revisions, as recommended in the Assessment and Improvement Plan, have not yet occurred. The district leadership has identified “high leverage strategies” that have the greatest potential for immediate impact on student performance. These strategies include: (1) implementing pacing guides; (2) developing frequent, common assessments for reading and math; and (3) supporting structured team (department, grade level) collaboration time. For the high school level, efforts were undertaken to ensure that course offerings are aligned with the standards and that students have access to rigorous curricula, such as those represented by the university a-g requirements. A common course guide has been developed for all district high schools to use. The review team noted the significant level of planning that has taken place in the district, al- though little plan implementation has occurred. Many of the Assessment and Improvement Plan recommendations require a long-term approach and, of course, resources for some of the critical work are not abundant. Many of the written components, such as policy revisions, guides, etc. are yet to be completed, a fact reflected in some of the ratings. However, the thoroughness and systematic nature of the planning undertaken suggests that district leaders understand the impor- tance of embedding the changes and improvements in district policy and in written documents, and that these will follow. Professional Development The administrative team is attempting to change district practices and thereby the culture in the district that has allowed underperformance as a norm to take root. Although the district has not yet undertaken the important AB 466 training for all teachers or the AB 75 training for all prin- cipals, it has provided training for Cooper Elementary, the school that will come under the SAIT process and possible sanctions. A teacher leader cadre has been created to train and coach Cooper Elementary staff in the implementation of the new reading program, and structured teacher col- laborative sessions have been established to increase teacher knowledge and skills in implement- ing standards and assessing student progress. In reviewing the curriculum meetings, minutes, workshops, and State Administrator’s communications, the review team noted the encouraging tone that accompanies the urgent improvement efforts, with staff having the opportunity for input and critique along the way. Principals and teachers have been provided professional development sessions on the analysis of assessment data. Work has begun to align standards, assessments, and instructional materials. Principals’ meeting agendas at all levels reflect commitment to the State Administrator’s goals and the identified high leverage strategies. Executive Summary 13 Equal Access The Assessment and Improvement Plan reported a persistent performance gap between the pro- ficiency level of African Americans and Hispanics, and Filipinos and Whites in the district. The district appears committed to addressing the serious learning issues in the district, and increasing performance for all student groups. The first two of the State Administrator’s five goals for the district indicate this focus. The district administration is exerting a strong leadership position with the schools on the in- structional program. The district’s action plan for pupil achievement contains explicit statements to reflect the district’s commitment to providing equal access to quality education to all students in the district. The plan calls for the systematic use of STAR and district attendance records, suspension data, enrollment projections, grade analysis and other diagnostic data to analyze aca- demic progress. This data is to be disaggregated by gender and ethnic subgroups. Assessment and Accountability The area of assessment and accountability shows the greatest instructional focus, reflecting the State Administrator’s commitment to systematic assessments as key to turning student perfor- mance around. Schools are administering common assessments of progress on standards as well as learning to use the curriculum-embedded assessments in the Houghton-Mifflin and Holt and McDougal textbook materials. Principals at each level have received an explicit description of performance expectations and the elements of their evaluation, using the State Administrator’s goals as an organizer. In Summary The review of Pupil Achievement included the assessment of the selected subset of 23 profes- sional and legal standards of performance. The average rating of this subset of 23 standards as- sessed in November 2004 was 2.39. The average rating for this subset of standards in this operational area as of this May 2005 six- month progress report is 3.48 on a scale of 1 to 10, with 10 the highest score possible. Ten of these standards have ratings below a 4. 14 Executive Summary Financial Management This first six-month progress report on Financial Management is based on a review of 39 priority standards from the Assessment and Improvement Plan addressing various internal fiscal opera- tions. The district has made modest improvement in some operational areas, with the greatest im- provement in the area of management information systems. The district has developed an action plan and timelines to address the priority standards. For standards that have not made significant progress in this first six-month period, the action plan and timelines indicate when they will be achieved. Organization and Staffing Board policies still need to be updated and communicated to all employees so that performance expectations can be understood and employees held accountable. The district’s fiscal employees would benefit from further staff development and training. Changes in policies and procedures also need to be communicated to business service users at the sites by offering staff training be- fore each new school year begins and as changes occur. An organizational structure needs to be developed that clearly delineates the responsibilities of business office managers, supervisors, and employees. Sites and departments also need to know who in the business office to contact when they have questions. Job descriptions are being dis- cussed and reviewed and are to be realigned as necessary. Written documentation of job respon- sibilities needs to be provided for employees. Employees need to know the standards by which they will be evaluated. The human resources department is working to ensure that employee performance evaluations are prepared on a regular basis. Budget Development and Monitoring The Fiscal Director and Chief Financial Officer have completed a budget development packet that clearly identifies budget criteria, budget guidelines, a budget calendar, budget assumptions, and responsibilities for the 2005-06 budget planning. If successfully implemented, the develop- ment of the 2005-06 budget will reflect the commitment of all stakeholders in addressing the district’s financial condition. The budget process is designed to include collaboration with site administrators and department and program managers, and the involvement of the community. The process must continue throughout the year to monitor and maintain a balanced budget and address the district’s priority of regaining fiscal solvency. The district’s first interim report, although submitted to the Solano COE by the December 15, 2004 deadline, did not include all required components and did not clearly project the shortfalls of the current and two subsequent fiscal years. Enrollment and ADA tracking and projections were not used in the first interim process to project the current and subsequent year revenue and expenditure information. Internal Controls The internal audit position is currently being reformulated and will soon be advertised for hire. This position, when filled, should provide ongoing reviews of district operations and should as- sist in deterring and detecting fraud and/or theft. Executive Summary 15 Online purchase requisitions are being used and many sites and departments are now able to run their own budget reports. Teaching the departments and sites to perform these online budget monitoring functions is reinforcing site and department responsibility for their local budgets. Once this process is fully implemented at all sites and departments, the process should improve the timeliness of financial information, improve efficiency of site and program operations, and provide greater internal control of resources. The online position control system is in the process of being fully utilized and strong internal controls are being implemented. When the position control system is fully utilized, salary and benefit accounts will have additional controls in place to accurately represent the true cost of personnel expenditures. In addition, the district now requires all hiring to be done through the human resources department, and not by a specific site or department. Multiyear Projections The district prepared a multiyear projection (MYP) as part of the 2004-05 First and Second Interim Reports, which is a requirement of interim report submittals. MYP assumptions were contained within a separate Budget Options document, but additional, more specific informa- tion is needed such as step and column or class increases for employees, increases in health and welfare insurance premiums, changes in district property and liability insurance, and increases in utilities costs. The district indicated deficit reductions of $10-$12 million in 2005-06 and $5-7 million in 2006- 07 as part of the MYP. Since the specific budget adjustments are being discussed and have not yet been approved by the State Administrator, the inclusion of these amounts in the MYP for both the first and second interim submissions is questionable. Only approved budget adjustments should be part of a projection. The purpose of an MYP is to provide a future financial picture of the district based on current revenues and expenditures of the district. Use of Technology The district’s technology department is functioning well under new leadership. The district is also in the process of switching its Internet service provider, which will save a significant amount of money. The district successfully implemented a conversion to a new student information sys- tem in the fall. A focus on cross training among all positions is occurring and individual training is now being offered to all technology staff. This training will enable the district to be less reliant on vendors for technology support. Collective Bargaining The State Administrator invited the district’s union leadership to begin the negotiations process as early as possible to collaboratively address the necessary expenditure reductions needed in the 2005-06 budget. The district expends approximately 90% of its budget for contractually obligat- ed salaries and benefits, as reflected in the 2002-03, 2003-04 and 2004-05 budgets. Negotiations with the associations are continuing. Any collective bargaining agreement the district negotiates will need to be fully disclosed, with detailed information regarding the agreement’s impact on the operating budget, total costs in- cluding statutory benefits, and the multiyear impact. Any district with a qualified or negative certification needs to allow the county office of education at least ten working days to review and comment on any proposed collective bargaining agreement prior to ratification. 16 Executive Summary In Summary The review of Financial Management included the assessment of the selected subset of 39 pro- fessional and legal standards of performance. The average rating of this subset of 39 standards assessed in November 2004 was 1.31. The average rating for this subset of standards in this operational area as of this May 2005 six- month progress report is 2.53 on a scale of 1 to 10, with 10 the highest score possible. Twenty- eight of these standards have ratings below a 4. Executive Summary 17 Facilities Management The majority of the district’s efforts in the six months since the comprehensive Assessment and Improvement Plan was issued have been focused on reviewing and analyzing the report find- ings, establishing a process to develop action plans for each operational area, and formalizing the action plans. The process for developing the action plans was a well-designed, comprehensive process that included participation by a large and diverse group of employees and community members. The facilities action plan appears to be sufficiently detailed to guide the activities that will be undertaken and should help to increase the district’s likelihood of successfully addressing the findings and implementing the recommendations of the Assessment and Improvement Plan. While the process to develop the action plans is detailed and well documented, the district has only recently adopted most of the action plans. As a result, implementation activities are only in the early stages. Documentation of Policies, Procedures, and Processes The district is in the process of revising and expanding its board policies and administrative regulations, but those changes are not complete. The district has hired a consultant to revise and update its board policies, but the exact status of the policies was not clear as the review team did not see any draft policies. The district’s action plan also calls for the development of a comprehensive Policies and Proce- dures Manual for the areas of facilities, maintenance, and operations. These policies and proce- dures are intended to address all aspects of the operation of those departments, as well as address findings and recommendations identified in the Assessment and Improvement Plan. However, the district has just begun to accumulate information, best practices, and sample manuals, which will provide the basis for the development of its own Policies and Procedures Manual. It does not ap- pear that the manual will be completed for several months. Communication between Central Office Departments The two departments basically responsible for district facilities are Student Housing Services, commonly known as Facilities, and Facilities Services, known as Maintenance and Operations. A weekly meeting is held for division staff, and the two directors participate in Cabinet meet- ings every other week. Informally, Student Housing, Facilities, and other central office depart- ments communicate via e-mail and phone calls as needed. Overall, communication appears to be improving, but there still are gaps, particularly related to modernization projects. FCMAT’s observations at a site undergoing modernization indicated that the modernization projects were impacting both the daily operation of the school, as well as maintenance and operations, in creat- ing safety issues for which the Maintenance and Operations Department is responsible. The completion of board policies, administrative regulations, and departmental policy and pro- cedures manuals should help to formalize the frequency, nature, and format of interdepartmental communications. Communication between Schools and the Central Office In the past, communication between school sites and the Maintenance and Operations Depart- ment has been problematic. Sites complained that work orders, e-mails, and voice mails were either not answered or not promptly answered. Further, the work order system was viewed as 18 Executive Summary cumbersome, time consuming, and not user friendly. As a result, the system was not consistently used, which created problems in managing and tracking work orders. Conversely, when the work order system was used, sites frequently were not aware of the status of any given work order. As a result, multiple work orders were frequently submitted for the same job, which created admin- istrative and tracking issues for the Maintenance Department. The district is in the process of implementing a new work order/preventive maintenance system. The system should better manage facilities, reduce the number of work orders submitted, stream- line the work order process and facilitate easier tracking and more timely completion. However, while progress is being made, observations and statements by site staff indicate that the issue of submission, tracking, and closure of work orders still has room for improvement. Fire, Health, and Safety Issues at School Sites The comprehensive Assessment and Improvement Plan identified fire, health, and safety issues at virtually all the sites visited. These issues included: • Classrooms without fire extinguishers or extinguishers moved from designated areas • Fire extinguishers that did not have current inspections • Access to fire extinguishers and fire alarms blocked • Fire doors or barrier doors blocked open • Unsanitary restrooms While many of these issues were still observed during the review team’s recent six-month visit, the number of sites with issues and the frequency of violations at the sites have lessened. In ad- dition, as the district moves forward with formalizing and implementing operating procedures, continued improvement is expected. Facilities Improvement and Utilization The district's facilities modernization program, Measure A, has helped to improve conditions at schools throughout the district. As the district is experiencing declining enrollment, it is identify- ing unused or underutilized property. Proposals are being considered to utilize such property to generate income for the district either through lease agreements or outright sale. However, at the time of the team's review, no action had been taken on these proposals. The district is also con- sidering different uses of some of its school sites. In Summary The review of Facilities Management included the assessment of the selected subset of 15 pro- fessional and legal standards of performance. The average rating of this subset of 15 standards assessed in November 2004 was 2.46. The average rating for this subset of standards in this operational area as of this May 2005 six- month progress report is 3.13 on a scale of 1 to 10, with 10 the highest score possible. Nine of these standards have ratings below a 4. Executive Summary 19 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, provide clarity, conditions and intent regarding the return of the designated legal rights, duties and powers to the Governing Board. The authority of the Superintendent of Public Instruction (SPI) and his admin- istrator designee shall continue until the SPI determines that the conditions of the law are satis- fied. 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 ad- ministrator 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 mini- mum 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 im- provement plans. 4. The district completes all reports required by the SPI and the administrator. 5. The SPI concurs with the assessment of the administrator and FCMAT that future com- pliance 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 20 Executive Summary The Improvement plan for personnel management shall include training for members of the Governing Board, the superintendent and district staff. 2. Based upon the progress reports, FCMAT shall recommend to the Superintendent of Pub- lic Instruction those designated functional areas of school district operation that it deter- mines are appropriate for the Governing Board of the school district to assume. 3. FCMAT shall file written status reports that reflect the progress the district is making in meeting the recommendations of the improvement plans. As required by SB 1190, the November 1, 2004 Assessment and Improvement Plan developed by FCMAT constituted the comprehensive assessment and improvement plan for the Vallejo City Unified School District. The initial report assessed the district using 415 professional and legal standards in five areas of school district operations. The scaled scores for all of the standards in each operational area provided an accurate measure of the district’s status regarding recovery at that time. Each standard was measured for completeness and a relative scaled score from zero (not met) to ten (fully met) was applied. An average of the scores for each operational area was determined. The averages of those scaled scores became the baseline of data against which the district’s progress could be measured over time. For the subsequent six-month progress reviews, including this May 2005 report, a smaller subset of these standards was selected by FCMAT in consultation with the California Department of Education (CDE) and the appointed State Administrator. The standards were selected as having the most probability, if addressed successfully, to assist the district with recovery. The selected standards are identified in the Tables of Standards in Section Two of this report, and will be the focus of each six-month review. The Vallejo City Unified School District is not required to reach a scaled score of 10 in every selected standard, but the district is expected to make steady progress that can be sustained, as substantial and sustained progress is a requirement of SB 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. 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 Superinten- dent 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 gover- nance authority to the district board lies with the Superintendent of Public Instruction. Subject to progress, recommendations every six months will address the functional areas of school district operations that could be returned to the Governing Board of the school district by the SPI. The ultimate return of legal rights, duties and powers is based upon the SPI’s concur- rence with the assessment of his administrator designee and FCMAT that the future compliance by the district with the improvement plans and the multiyear financial recovery plan is probable. Executive Summary 21 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. 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 stan- dards 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 im- portant to any district’s success, focusing on this identified subset of standards will enable the Vallejo City Unified School District to 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 These standards are 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. 22 Executive Summary November 1, 2004: Community Relations/Governance: average rating 3.35, with 11 standards under a 4. Personnel Management: average rating 1.34, with 33 standards under a 4. Pupil Achievement: average rating 2.39, with 23 standards under a 4. Financial Management: average rating 1.31, with 37 standards under a 4. Facilities Management: average rating 2.46, with 11 standards under a 4. May 1, 2005: Community Relations/Governance: average rating 4.24, with 4 standards under a 4. Personnel Management: average rating 2.51, with 25 standards under a 4. Pupil Achievement: average rating 3.48, with 10 standards under a 4. Financial Management: average rating 2.53, with 28 standards under a 4. Facilities Management: average rating 3.13 , with 9 standards under a 4. Progress in Meeting Criteria for Return of Powers Operational Area Nov. 2004 Nov. 2004 May 2005 May 2005 Average Standards Average Standards Rating Less Than 4 Rating Less Than 4 Community Relations/ Governance 3.35 11 4.24 4 Personnel 1.34 33 2.51 25 Management Pupil Achievement 2.39 23 3.48 10 Financial Management 1.31 37 2.53 28 Facilities Management 2.46 11 3.13 9 Executive Summary 23 Community Relations/Governance The Vallejo City Unified School District has made a concerted effort to involve parents, staff, community members and the board in developing action plans to address the priority standards identified in the Assessment and Improvement Plan. The district must focus its efforts on the implementation of these action plans and on building the district’s capacity to sustain progress. While community forums have been successful at providing information to parents and commu- nity members, additional parent outreach and translation services must continue to be integrated into plans to engage the public. The district also needs to focus on implementing its plan to engage in a comprehensive review of board policies. Communications The district has developed a strategic communications plan and several aspects have begun to be implemented. Staff, parents, and members of the community and the board were engaged in the process of developing the communications plan. The district has successfully held multiple community forums to reach parents and the com- munity about district operations and issues. The community forums are generally regarded by staff and parents as informative and should be continued. Many individuals interviewed reacted positively to the level of information shared with the community; however, some continue to be concerned about a lack of ability to provide feedback and input. The district must also ensure that communication with non-English-speaking and traditionally less-involved parents is made a priority. The district’s Web site is being redesigned. Spokesperson and media relations protocols have been created and communicated throughout the district. Through outreach to the media, the district has also successfully generated positive news coverage about the district’s schools, pro- grams, students and staff. School sites continue to send regular information about local campus events to parents through newsletters and the district’s broadcast phone message system. There are also signs that greater coordination and support from the central office are now available. While a quarterly newsletter is now sent from the district office, individual district office depart- ments continue to be inconsistent in their dissemination of information, which must be addressed as part of the implementation of the strategic communications plan. Progress has been made toward improving communications. The district must now focus on building staff capacity to ensure the long-term sustainability of the communications plan. Parent/Community Relations Although the Vallejo City USD has made efforts to provide information to parents and to engage the community in forums during the past six months, increasing the involvement of parents and volunteers has not been a consistent priority across the district. While thoughtful planning has occurred in the development of district action plans, additional efforts to involve more parents and the entire community must be implemented. The district must provide greater assistance to school sites in order to sustain the priority of improved parent/com- munity relations, including the development of specific activities in which parents and volunteers can support the district in meaningful ways that are aligned to the district’s goals. Strengthening parent-teacher organizations at all sites should remain a priority for the district. Community Relations/Governance 1 Overall, parent involvement and volunteerism are heavily dependent on the efforts of individual principals. The Solano Board of Realtors was recently recognized by the district for undertaking an effort to partner with and to provide supplies for each school site in the district. Cultivating additional partnerships such as this, ensuring that the support is aligned to the district’s goals, and sustaining the efforts will be critical in building stronger community involvement in Vallejo city schools. The level of board member involvement in the community has varied in the past six months. Not all members of the board will seek reelection, and in their role as an advisory board, some members may not have the same level of motivation to actively engage in community outreach. All members of the board, however, have participated in the action plans development process. The board and district administration must continue to reach out to invite parent and community involvement with the district and schools. The district must also continue to make ongoing train- ing regarding complaint resolution a priority for district and site staff. Community Collaboratives, District Advisory Committees, School Site Councils The district has begun the process of reinvigorating partnerships and collaboratives with com- munity organizations, agencies and businesses, which had not been active in recent years. The district has renewed efforts to work with the City of Vallejo and the Vallejo Chamber of Com- merce, with representatives from each entity participating on the advisory committee that devel- oped action plans for the district. Relationships between the leadership of the district and other organizations are generally regarded as positive and productive. However, the district still needs to implement a coordinated district strategy for building commu- nity collaborations and partnerships. This strategy should ensure that all partnerships are aligned to the district’s key goals. The district should also continue to refine its committee structure to ensure that it effectively uses and supports committees to provide broad-based input in support of the district’s key goals. Policy In the past six months, the district has developed a plan to update its policy manual and has con- tracted with a law firm to help execute revisions to the policies to reflect current law and district practices. However, it is critical that the district begin to implement the process of policy review, updates and revisions as soon as possible in order to set in place new procedures for guiding individual department functions at the district office. One major issue relative to policies in the Vallejo City USD continues to be an apparent lack of consistent and uniform adherence to the policies. As the district begins the process of policy de- velopment, the State Administrator and the board must monitor policy implementation to ensure that district practice reflects the policy. Board Roles/Boardsmanship Even in its advisory role, the board has placed an emphasis on working effectively as a team to address important district matters. The State Administrator and the board have agreed on the importance of five key goals for the district, and the actions of the district appear to be driven by these goals. The development of action plans in the district have involved the board, staff, parents and the community in a positive strategy to ensure a long-term focus on student needs. The board and the State Administrator should periodically revisit and update the district’s vision/ 2 Community Relations/Governance mission and goals to ensure that the statements reflect the current beliefs and conditions in the district. Improving achievement for underperforming students must remain a goal for the district, as plans are implemented to raise achievement by all student populations. Board Meetings Board agendas have been reorganized to highlight matters important to student achievement. While meetings in the past six months were often focused on critical fiscal issues, each budget proposal discussed at the meetings included a rationale describing the impact on student achieve- ment. Board agendas now also include an opportunity to recognize community members who support the district and its schools. A strategy to sustain this effort should be included in district plans. Board members generally agree that they are being provided with more information, data and analysis prior to meetings than in the past, but some board members expressed a desire for even more information. Community Relations/Governance 3 4 Community Relations/Governance 1.1 Communications Professional Standard: The district has developed and implemented a comprehensive plan for internal and external com- munications, including media relations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has developed a comprehensive communications plan encouraging proactive internal and external communications that integrates input from board members, district and site staff, parents and community members. The plan specifically addresses improv- ing the public perceptions of the school district and strengthening media relations. The plan also speaks to the district’s role in working with sites to strengthen communications with all parents. 2. The district has begun to provide more proactive information to the media about impor- tant district issues, programs and activities, including highlighting achievements of the district’s students and staff. Interviewees perceived an improvement in coverage of posi- tive events happening in schools. In the past six months, the district has employed new means of communication, including community forums and quarterly district newsletters to communicate with the public. As the communications plan is fully implemented, pro- tocols and procedures should be created and disseminated to all staff, board members and school sites in a timely and efficient manner. 3. As the plan is fully implemented, the district should evaluate its efforts through surveys, focus groups or other methods that encourage participants to freely give their opinions about district communications. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 3 Implementation Scale: Community Relations/Governance 5 1.2 Communications Professional Standard: Information is communicated to the staff at all levels in an effective and timely manner. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s comprehensive communications plan encourages proactive internal commu- nications (see Standard 1.1). Consistent implementation of internal communications strat- egies should now be the focus. Cabinet and principals’ meetings are generally regarded as venues where open discussion and feedback on internal communications issues can occur. In order to further strengthen communications, the district should work to ensure that staff at all levels have regular opportunities to provide feedback. 2. Site-level staff expressed that responses to requests for information and assistance from district office staff have improved. However, sites indicated that responsiveness was not consistent from all departments. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: 6 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. Opportunities for communications and suggestions from staff to their supervisors, district administrators and the board are addressed in the district’s communications plan. Such opportunities include staff and community forums, staff meetings, board meetings and suggestion boxes. 2. The district should implement the planned staff intranet system and expand other oppor- tunities for feedback to reassure staff that they are welcome to offer their input and sug- gestions. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: Community Relations/Governance 7 1.4 Communications Professional Standard: Media contacts and spokespersons that have the authority to speak on behalf of the district have been identified. Progress on Implementing the Recommendations of the Improvement Plan: 1. As part of the communications plan, the district has clarified the roles and responsibilities of board members, district staff and the administration with respect to responding to me- dia and public inquiries and serving as spokespersons. District policy on media relations should be reviewed and revised as necessary to ensure consistency. 2. District staff has demonstrated an awareness of the protocols and procedures regarding public and media inquiries and consistently directs such inquiries to the designated dis- trict staff. 3. Designated district staff respond promptly to media requests. 4. Additional media training for key district staff, including principals, should be conducted as noted in the communications plan to ensure that these efforts are sustained. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 Implementation Scale: 8 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 communications plan clarifies the role of the district spokespersons, and district staff and board members indicate that the protocols are being followed. School site staff ex- pressed a clear understanding of the protocols and procedures for referring media inqui- ries to the appropriate district office staff. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 Implementation Scale: Community Relations/Governance 9 2.4 Parent/Community Relations Professional Standard: Parents’ and community members’ complaints are addressed in a fair and timely manner. Progress on Implementing the Recommendations of the Improvement Plan: 1. Information and documentation about the universal complaint procedures continues to be available to parents. The district should conduct ongoing training regarding complaint resolution for district and site staff. 2. The district needs to implement processes to assess the effectiveness of its complaint pro- cedures and to ensure that staff are held accountable for the fair, consistent and thorough implementation of the complaint procedures. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 Implementation Scale: 10 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. Through participation in the development of action plans, the board has identified strate- gies for strengthening community relations and community involvement with the district and schools. These strategies should be continually reassessed to ensure that they are linked to the district’s key goals. 2. The level of board member involvement and visibility in community relations continues to vary for each individual. Community forums provide one opportunity for community members to provide input on district issues, but additional strategies identified in the ac- tion plans need to be implemented. 3. No board development specifically related to communications was reported. The board should consider participating in continuing education specifically related to strength- ening communications skills and building community relations, including working collaboratively with local governments and agencies. 4. The board should periodically assess its performance in this area. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: Community Relations/Governance 11 3.1 Community Collaboratives, District Advisory Committees, School Site Councils Professional Standard: The board and superintendent support partnerships and collaborations with community groups, local agencies and businesses. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has made progress by developing strategies for building community collabo- rations and partnerships at the district level to serve students and their families and facili- tate sharing of resources. As the strategies are implemented, the district must ensure that the partnerships are linked to the goals of the district. Further, the roles and responsibili- ties of the board and key staff must be identified, including designation of a coordinator to follow up on the district’s implementation of the strategies. 2. The district has renewed its efforts in working with the City of Vallejo and the Vallejo Chamber of Commerce, with representatives from each entity participating on the advi- sory committee that developed action plans for the district. Relationships between the leadership of the district and other organizations are generally regarded as positive and productive. While effort has been made to strengthen existing relationships, the board, state admin- istrator or designee should initiate new contacts with additional community agencies and organizations to invite their participation in meetings designed to develop a common vision for the community and consider ways in which community services may be coor- dinated. The Solano Board of Realtors was recently recognized by the district for under- taking an effort to partner with and to provide supplies for each school site. The district should also continue to work with the County Office of Education to strengthen two-way communications. 3. The district plan to address partnership-building should consider how greater support can be provided for site-level efforts, including technical assistance, resources and/or other incentives for participation in collaboration. 4. The district has identified means for regularly providing information about partnerships to parents, staff and the board. These efforts at communication should continue as the district initiates new partnerships and collaboratives. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 Implementation Scale: 12 Community Relations/Governance 3.2 Community Collaboratives, District Advisory Committees, School Site Councils Professional Standard: The board and the superintendent establish broad-based committees or councils to advise the district on critical district issues and operations as appropriate. The membership of these collaboratives and councils reflects the full cultural, ethnic, gender and socioeconomic diversity of the student population. Progress on Implementing the Recommendations of the Improvement Plan: 1. The board and state administrator created advisory committees consisting of parents, staff, community members and board members to create action plans addressing the district’s priorities, within the context of the district’s key goals. The district should peri- odically reassess the need to re-establish such working groups in order to receive broad- based input on critical district issues. 2. The membership of most district and site-level advisory committees and councils has not changed in the past six months. When such groups are newly appointed or elected, strate- gies need to be implemented to involve a broader cross-section of parents and community members. Recommendations in action plans address the dissemination of information about the purpose, responsibilities and successful results of these groups to parents, com- munity and staff in order to generate interest in participation; these recommendations now need to be implemented. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: Community Relations/Governance 13 4.1 Policy Professional Standard: Policies are well written, organized and readily available to all members of the staff and to the public. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has contracted with a law firm to assist in updating its policy manual. As policies are revised, added or deleted, the district must consistently notify staff and the public of changes that affect them. It should use internal and external communications strategies identified in the district’s communications plan (see Standard 1.1.), and should explore technological opportunities to provide more convenient access to district policies to the board, staff and public. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 4 Implementation Scale: 14 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. There continue to be concerns about an apparent lack of consistent and uniform adher- ence to district policies by district and site staff. As the district proceeds with plans to update its policies, it should examine the extent to which each policy meets the district’s needs and/or is enforceable, and make revisions as necessary to ensure the meaningful- ness of policies. Accountability mechanisms related to adherence to policy (e.g., staff evaluation, periodic reviews of critical policies) need to be established. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 Implementation Scale: Community Relations/Governance 15 5.3 Board Roles/Boardsmanship Professional Standard: The board has established a districtwide vision/mission and uses that vision/mission as a frame- work for district action based on the identified needs of the students, staff and educational com- munity through a needs assessment process. Progress on Implementing the Recommendations of the Improvement Plan: 1. The five key goals established by the state administrator appear to serve as a framework for district operations. For example, board agendas relate items to the key goals. The state administrator must implement processes to measure progress on the established goals and hold district personnel accountable. 2. The findings and recommendations of the FCMAT audits related to student achievement, fiscal management, facilities management, personnel management and governance/com- munity relations have been reviewed and discussed by the board, state administrator and staff. Advisory committees have identified district needs, established priorities and devel- oped improvement strategies. 3. As the long-term strategies are implemented, the state administrator and board must pe- riodically involve the board, staff, parents, students and the community in processes to determine the effectiveness of the strategies in meeting student needs and to update the district’s vision/mission and goals as necessary. Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 6 Implementation Scale: 16 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. Although the advisory board does not have decision-making authority, the administra- tion should ensure that appropriate materials and information are provided to the board to facilitate thoughtful discussion and informed decision-making. Recent board agendas do include a rationale for each item, relating proposals back to the five district goals. Agenda items also include cost estimates, data and staff recommendations. 2. Progress has been demonstrated in implementing systems that will generate more ac- curate and reliable data, including a new student information system. However, the state administrator must continue to focus on building and sustaining such internal systems and accountability structures. 3. In preparation for resumption of authority in the future, the board should consider partici- pating in continuing education related to understanding budget analysis and data-based decision-making. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: Community Relations/Governance 17 5.7 Board Roles/Boardsmanship Professional Standard: Functional working relations are maintained between the board and administration. Progress on Implementing the Recommendations of the Improvement Plan: 1. The state administrator and board appear to generally agree regarding their expected and appropriate roles and responsibilities. 2. Regular, proactive communications between the board and the state administrator are oc- curring. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: 18 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. It appears that the board continues to treat staff members with respect at board meetings and at site visits. 2. The district should periodically assess the satisfaction of employees through methods such as surveys and should develop plans to address issues of concern. 3. The district should continue its practice of promoting the accomplishments of staff to the media and community as part of the comprehensive communications plan (see Standard 1.1). Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 Implementation Scale: Community Relations/Governance 19 5.12 Board Roles/Boardsmanship Professional Standard: The board acts for the community and in the interest of all students in the district. Progress on Implementing the Recommendations of the Improvement Plan: 1. Improving achievement for underperforming students is one of the five district goals inte- grated into action plans developed to address the FCMAT priority standards. The district must now work to implement these plans and to use disaggregated data to determine the effectiveness of raising achievement by all student populations. 2. The district has developed strategies to strengthen community information and involve- ment (see Standards 1.1. and 2.9), used advisory committees to develop action plans, and conducted community forums to invite input. Additional efforts should focus on involv- ing a broader cross-section of the community. 3. Board members and the state administrator attend community forums and other events at school sites. The board should develop a process to ensure that regular visits to school sites occur, in order to be familiar with site issues. Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 Implementation Scale: 20 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. Meeting agendas continue to be primarily focused on matters related to the district’s pressing financial concerns. However, the state administrator has developed agendas that relate items to the district’s key goals for student achievement. Also, agendas now de- lineate high-priority topics more clearly, and are planned in a manner that will allow for maximum time to be spent on those important items. The state administrator must work to ensure that meeting agendas also allow for frequent discussions of relevant district pol- icies and that reports/analysis of program effectiveness are provided on an ongoing basis. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 Implementation Scale: Community Relations/Governance 21 22 Community Relations/Governance Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 1.1 PROFESSIONAL STANDARD - COMMUNICATIONS The district has developed a comprehensive plan 1 3 ❑ for internal and external communications, includ- ing media relations. 1.2 PROFESSIONAL STANDARD - COMMUNICATIONS Information is communicated to the staff at all 3 4 ❑ levels in an effective and timely manner. 1.3 PROFESSIONAL STANDARD - COMMUNICATIONS Staff input into school and district operations is 2 3 ❑ encouraged. 1.4 PROFESSIONAL STANDARD - COMMUNICATIONS Media contacts and spokespersons who have the 3 5 ❑ authority to speak on behalf of the district have been identified. 1.5 PROFESSIONAL STANDARD - COMMUNICATIONS Individuals not authorized to speak on behalf of 3 5 ❑ the district refrain from making public comments on board decisions and district programs 1.6 PROFESSIONAL STANDARD - COMMUNICATIONS Board spokespersons are skilled at public speaking 3 and communication and are knowledgeable about district programs and issues. 2.1 LEGAL STANDARD - PARENT/COMMUNITY RELATIONS Annual parental notice of rights and responsibilities is provided at the beginning of the school year. This 6 notice is provided in English and in languages other than English when 15 percent or more speak other languages (EC 48980, 48985). 2.2 LEGAL STANDARD - PARENT/COMMUNITY RELATIONS A school accountability report card is issued annually 7 for each school site (EC 35256). 2.3 LEGAL STANDARD - PARENT/COMMUNITY RELATIONS The district has developed and annually disseminates 6 uniform complaint procedures (Title 5, Section 4621, 4622) 2.4 PROFESSIONAL STANDARD - PARENT/COMMUNITY RELATIONS 3 3 ❑ Parents’ and community members’ complaints are addressed in a fair and timely manner. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Community Relations/Governance 23 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 2.5 PROFESSIONAL STANDARD - PARENT/COMMUNITY RELATIONS 8 Board members refer informal public concerns to the appropriate staff members for attention and response. 2.6 PROFESSIONAL STANDARD - PARENT/COMMUNITY RELATIONS Parents and community members are encouraged to 3 be involved in school activities and in their children’s education. 2.7 PROFESSIONAL STANDARD - PARENT/COMMUNITY RELATIONS Volunteers receive appropriate training and play a 2 meaningful role that contributes to the educational program. 2.8 LEGAL STANDARD - PARENT/COMMUNITY RELATIONS The district has established procedures for visitor reg- 5 istration and posts registration requirements at each school entrance. (Penal Code 627.2, 627.6) 2.9 PROFESSIONAL STANDARD - PARENT/COMMUNITY RELATIONS 3 4 ❑ Board members are actively involved in building community relations. 3.1 PROFESSIONAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVISORY COMMIT- TEES, SCHOOL SITE COUNCILS 4 5 ❑ The board and Superintendent support partner- ships and collaborations with community groups, local agencies and businesses. 3.2 PROFESSIONAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVISORY COMMIT- TEES, SCHOOL SITE COUNCILS The board and the Superintendent establish broad-based committees or councils to advise 3 4 ❑ the district on critical district issues and opera- tions as appropriate. The membership of these collaboratives and councils should reflect the full cultural, ethnic, gender and socioeconomic diver- sity of the student population. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 24 Community Relations/Governance Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.3 PROFESSIONAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS 4 Community collaboratives and district and school ad- visory councils have identified specific outcome goals that are understood by all members. 3.4 PROFESSIONAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS The district encourages and provides the necessary 5 training for collaborative and advisory council mem- bers to understand the basic administrative structure, program processes and goals of all district partners. 3.5 PROFESSIONAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS Community collaboratives and district and school 4 advisory councils effectively fulfill their responsibili- ties (e.g. researching issues, developing recommenda- tions) and provide a meaningful role for all partici- pants. 3.6 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVISORY COMMITTEES, SCHOOL SITE COUN- CILS The school site council develops a single plan for 8 student achievement at each school applying for categorical programs through the consolidated appli- cation (EC 64001). 3.7 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVISORY COMMITTEES, SCHOOL SITE COUN- CILS 7 School plans are comprehensive and have sufficient content to meet the statutory requirements (EC 52853, 64001). 3.8 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVISORY COMMITTEES, SCHOOL SITE COUN- CILS 7 The school site council annually reviews the school plan and the board annually approves or disapproves all site councils’ plans (EC 52853, 52855, 64001). The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Community Relations/Governance 25 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.9 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVISORY COMMITTEES, SCHOOL SITE COUN- CILS 10 Policies exist for the establishment of school site councils (EC 52852.5). 4.1 PROFESSIONAL STANDARD - POLICY Policies are written, organized and readily avail- 4 4 ❑ able to all members of the staff and to the public. 4.2 PROFESSIONAL STANDARD - POLICY Policies and administrative regulations are up to date 4 and reflect current law and local needs. 4.3 LEGAL STANDARD - POLICY The board has adopted all policies mandated by state 6 and federal law. 4.4 LEGAL STANDARD - POLICY The board annually reviews its policies on intradistrict 4 open enrollment and extracurricular/cocurricular ac- tivities (EC 35160.5). 4.5 PROFESSIONAL STANDARD - POLICY The district has established a system of securing staff 3 and citizen input in policy development and review. 4.6 PROFESSIONAL STANDARD - POLICY The board supports and follows its own policies 3 3 ❑ once they are adopted. 5.1 LEGAL STANDARD - BOARD ROLES/BOARDSMANSHIP Each board member meets the eligibility requirements 10 of being a board member (EC 35107). 5.2 PROFESSIONAL STANDARD - BOARD ROLES/ BOARDSMANSHIP Board members participate in orientation sessions, workshops, conventions and special meetings spon- 4 sored by board associations, and have access to perti- nent literature, statutes, legal counsel and recognized authorities to understand duties, functions, authority and responsibilities of members. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 26 Community Relations/Governance Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 5.3 PROFESSIONAL STANDARD - BOARD ROLES/ BOARDSMANSHIP The board has established a districtwide vision/ mission and uses that vision/mission as a frame- 5 6 ❑ work for district action based on the identified needs of the students, staff and educational com- munity through a needs assessment process. 5.4 PROFESSIONAL STANDARD - BOARD ROLES/ BOARDSMANSHIP The board makes decisions based on the study of 3 4 ❑ all available data, including the recommendations 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 the decisions of 8 the board majority and support the board’s actions in public. 5.7 PROFESSIONAL STANDARD - BOARD ROLES/ BOARDSMANSHIP 3 4 ❑ Functional working relations are maintained be- tween the board and administrative team. 5.8 PROFESSIONAL STANDARD - BOARD ROLES/ BOARDSMANSHIP 5 5 ❑ The board publicly demonstrates respect for and support for the district and school site staff. 5.9 PROFESSIONAL STANDARD - BOARD ROLES/ BOARDSMANSHIP 6 The board demonstrates respect for public input at meetings and public hearings. 5.10 PROFESSIONAL STANDARD - BOARD ROLES/ BOARDSMANSHIP 6 Board members respect confidentiality of information by the administration. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Community Relations/Governance 27 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 5.11 PROFESSIONAL STANDARD - BOARD ROLES/ BOARDSMANSHIP Board members do not involve themselves in opera- 8 tional issues that are the responsibility of the Super- intendent and staff. 5.12 PROFESSIONAL STANDARD - BOARD ROLES/ BOARDSMANSHIP 5 5 ❑ The board acts for the community and in the inter- ests of all students in the district. 6.1 LEGAL STANDARD - BOARD MEETINGS An adopted calendar of regular meetings exists and is 9 published specifying the time, place and date of each meeting (EC 35140). 6.2 LEGAL STANDARD - BOARD MEETINGS The board agenda is made available to the public in 9 the manner 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 meetings by becom- 5 ing familiar with the agenda and support materials prior to the meeting. 6.4 PROFESSIONAL STANDARD - BOARD MEETINGS Board meetings are conducted according to a set of 8 bylaws adopted by the board. 6.5 LEGAL STANDARD - BOARD MEETINGS Open and closed sessions are conducted according to 5 the Ralph M. Brown Act (GC 54950 et seq.). 6.6 PROFESSIONAL STANDARD - BOARD MEETINGS Board meetings proceed in a businesslike manner 6 while allowing opportunity for full discussion. 6.7 LEGAL STANDARD - BOARD MEETINGS The board has adopted bylaws for the placement of 9 items on the board agenda by members of the public. (EC 35145.5) The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 28 Community Relations/Governance Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 6.8 LEGAL STANDARD - BOARD MEETINGS Members of the public have an opportunity to address the board before or during the board’s consideration 9 of each item of business to be discussed at regular or special meetings and to bring before the board mat- ters that are not on the agenda (EC 35145.5). 6.9 PROFESSIONAL STANDARD - BOARD MEETINGS Board meetings focus on matters related to stu- 4 5 ❑ dent achievement. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Community Relations/Governance 29 Pupil Achievement The district’s administrative team has developed action plans to address the priority standards in the Assessment and Improvement Plan distributed in November 2004. The action plans include measurable objectives with implementation dates, identification of responsible parties, specifica- tion of the documentation or evidence that is expected to be available, and estimation of the fiscal impact. In developing these action plans, the district gathered input from or generated dialogues with staff and community members. Some implementation efforts are evident. The district’s leadership subscribes to the findings and recommendations in the priority standards and indicates that the findings are consistent with their own observations, analyses, and priorities. Planning Processes The district has adopted the State Administrator’s five goals (increasing student proficiency, increasing equity, improving school climate, seeking a long-term solution to the fiscal crisis, and building capacity and sustainability when local control is regained) as the vision and focus for the district’s efforts. Although no policy revisions have yet occurred as recommended in the Pupil Achievement improvement plan, there is an action plan developed for the Community Relations and Governance area that calls for the revision of the district’s policies. The district’s leadership decided to focus on “high leverage strategies,” those activities that have the greatest potential for immediate impact on student performance. These strategies include: (1) implementing pacing guides; (2) developing frequent, common assessments for reading and math; and (3) supporting structured team (department, grade level) collaboration time. For the high school level, efforts were undertaken to ensure that course offerings are aligned with the standards and that students have access to rigorous curricula, such as those represented by the university a-g requirements. A common course guide has been developed. The district has formed the Academic Achievement and Accountability (AAA) Team to address the issues of alignment among standards, practices, materials, and assessments. The district has focused on improving the instructional program and has articulated the elements of the academic programs. Principals’ meeting agendas are structured around the topics of becoming a district and/or school team. The district has developed a well-defined and articulated plan to address staffing in the schools. The process for determining enrollment numbers and the check for accuracy seems unprec- edented. The State Administrator’s budget priority document indicates various staffing cuts and their programmatic and fiscal impact on the district. Professional Development The administrative team is attempting to change district practices and thereby the culture in the district that has allowed underperformance as a norm to take root. Although the district has not yet begun the important AB 466 training for all teachers or the AB 75 training for all principals, it has provided training for Cooper Elementary, the school that will come under the SAIT process and possible sanctions. A teacher leader cadre has been created to train and coach the school’s staff in the implementation of the new reading program, and structured teacher collaborative sessions have been established to increase teacher knowledge and skills in implementing standards and Pupil Achievement 1 assessing student progress. In reviewing the curriculum meetings, minutes, workshops, and State Administrator’s communications, the review team noted the encouraging tone that accompanies the urgent improvement efforts, with staff given the opportunity for input and critique along the way. Principals and teachers have been provided professional development sessions on the analysis of assessment data. Work has begun to align standards, assessments, and instructional materials. Principals’ meeting agendas at all levels reflect commitment to the State Administrator’s goals and the identified high leverage strategies. Equal Access The Assessment and Improvement Plan reported a persistent performance gap between the pro- ficiency level of African Americans and Hispanics, and Filipinos and whites in the district. The district appears committed to addressing the serious learning issues in the district, and increasing performance for all student groups. The first two of the State Administrator’s five goals for the district indicate this focus. The district administration is exerting a strong leadership position with the schools on the instructional program. The district’s action plan for pupil achievement contains explicit state- ments to reflect the district’s commitment to providing equal access to quality education to all students in the district. The plan calls for the systematic use of STAR and district attendance records, suspension data, enrollment projections, grade analysis and other diagnostic data to analyze academic progress. This data is to be disaggregated by gender and ethnic subgroups. New graduation requirements, revised master schedules and the creation of intervention classes and programs will help address access issues of all students to high levels of curriculum. How- ever, intervention activities are only in the early stages of implementation. Little evidence is available to indicate that these interventions are occurring. Assessment and Accountability The area of assessment and accountability shows the greatest instructional focus, reflecting the State Administrator’s commitment to systematic assessments as key to turning around student performance. Using the Datawise software, schools are administering common assessments of progress on standards as well as learning to use the curriculum-embedded assessments in the Houghton-Mifflin and Holt and McDougal textbook materials. Principals at each level have received an explicit description of expectations and the elements of their evaluation, using the State Administrator’s goals as an organizer. The review team noted the level of planning that has taken place in the district, although little plan implementation has occurred. Many of the Assessment and Improvement Plan recommenda- tions require a long-term approach and, of course, resources for some of the critical work are not abundant. The administrative team has put major efforts into the high leverage strategies with the greatest potential for producing achievement gains. Consequently, many of the written components, such as policy revisions, guides, etc. are yet to be completed, a fact reflected in some of the ratings. However, the thoroughness and systematic nature of the planning suggests that district leaders understand the importance of embedding the changes and improvements in district policy and in written documents and that these improvements will follow. 2 Pupil Achievement 1.1 Planning Processes Professional Standard: A common vision of what all students should know and be able to do exists and is put into practice. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district indicates in its action plan that a written vision of what all students should know and be able to do will be available on May 1, 2005, that includes the state stan- dards, expected student learning results (from the high school accreditation process) and instructional supports that provide access and equity. While a written vision of this type is not yet available, there is much evidence that district leaders are using the State Administrator’s five goals as an interim vision. These goals include: (1) increased stu- dent proficiency on the STAR assessment; (2) closing the achievement gap; (3) improved climate for teaching and learning; (4) a long-term solution for the district’s fiscal crisis; and (5) district capacity to sustain improvements when local control is regained. Meeting agendas, administrative evaluations, and communications from the State Administrator’s office to parents, businesses, and staff continually reinforce these five goals. These ele- ments demonstrate that the district leadership understands the importance of a vision for gaining focus and commitment and is using the State Administrator’s goals for this pur- pose. 2. The common vision for learning should be in policy and regulations that outline proce- dures for review, monitoring, and accountability. The district’s action plan indicates that this policy will be completed on December 1, 2005. There is an action plan developed for the area of Community Relations and Governance to address all policy issues. 3. The district should develop guidelines for the communication of the vision of what students should know and be able to do. The action plan indicates that this will occur by August 1, 2005 but there is not yet a vision to communicate, or evidence of showcasing student achievements. 4. The district plans to include the vision in school plans and all other plans by June 1, 2005. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2004 Rating: 3 Implementation Scale: Pupil Achievement 3 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 district action plan indicates that an organizational schematic showing the names, titles, and areas of responsibility for the district staff, and how this information will be made available to the school and community, will be forthcoming on June 1, 2005. 2. The district has made progress in clarifying how principals are supervised and evaluated. For each level (elementary, middle, and high school) there is a written description of ex- pectations that are the focus of principals’ evaluations for the current and future years. The descriptions are categorized by the State Administrator’s five goals and by significant organizational factors. The descriptions also contain a timeline for the completion of the evaluation. A sample progress report was provided for review. The elements of the evalu- ation are consistent with the principals’ bi-monthly meeting agenda categories. Detailed planning for the principals’ agendas turns meetings into professional development oppor- tunities. Board Policy 6114, which outlines the mode of communication within the district and community during times of crisis, is under review for revision. 3. The district has completed a debriefing of the opening of school with its principals, with the goal of improving the opening of school in fall 2005 so that instruction can begin immediately and high expectations for schoolwork are communicated to students. A document shows the agreements on key dates and processes for enrollment, staffing, and master schedule events; and a list of issues to be resolved was generated. It is not clear from the documentation which employees are responsible for monitoring this process; however, items from the list of issues to be resolved are on principals’ meeting agendas. 4. The district action plan indicates that the district has developed a protocol for principals to use at the start of school for the communication of high expectations and the district vision and goals. This was not yet in evidence. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 Implementation Scale: 4 Pupil Achievement 1.3 Planning Processes Professional Standard: The district has long-term goals and performance standards to support and improve student achievement. Progress on Implementing the Recommendations of the Improvement Plan: 1. August 1, 2005, is the district's implementation date for written long-term goals and ex- plicit performance standards for the improvement of student achievement. In the mean- time, the district leadership has identified “high leverage” activities: regular assessments and pacing guides for the state standards, as well as opportunities to collaborate at grade levels and work on alignment. Other efforts have targeted the high school course guides for review, rigor and alignment with a-g requirements. Exploration of small learning communities and high school assessments is under way. 2. The State Administrator’s goals are currently guiding the district’s improvement efforts. However, for long-term efforts in the instructional area, there is a need for performance benchmarks by which evaluation of progress can occur (see also Standard 2.1). 3. Training has occurred to help principals with their budgets, including the proper use and access of categorical program funds. There is no evidence that the role of categorical pro- grams in supporting learning and school improvement has yet been defined. These pro- grams play a significant role in improving student achievement and should be part of any integrated support strategy. Student success in the mainstream can help reduce the cost of special education. Defining the relationship of categorical programs to the goals and performance standards will help ensure that the use of funds is driven by district goals as well as state and federal regulations. 4. The district leadership has made routine assessments a priority and is providing support for the use of these assessments in setting classroom priorities and developing interven- tions. The new Datawise system is providing greater accessibility of data to teachers and staff. The data is more readable and available to a variety of audiences more frequently. 5. No evidence was provided to show that routine analyses of student attendance and atten- dance statistics is occurring. The State Administrator has indicated in a letter to the staff (October 29, 2004) that a new Rights and Responsibilities pamphlet that outlines expec- tations for student behavior was released. Other strategies for improvement in this area include School Resource Officers for the high schools, increased training and support for campus supervisors, and improved communications that include the local police depart- ment. It is nonetheless important to develop a system of monitoring student behavior issues, so that root causes can be discerned and progress can be documented. 6. There is no indication that the district’s immunization records have been reviewed. Pupil Achievement 5 Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 Implementation Scale: 6 Pupil Achievement 1.6 Planning Processes Professional Standard: The district’s planning process focuses on supporting increased student performance. Progress on Implementing the Recommendations of the Improvement Plan: 1. While there is a district action plan to address necessary revisions to policy and regula- tions, there is still no policy to address the required planning processes for the district and its schools. The district’s implementation timeline indicates that this policy will be addressed by December 1, 2005. 2. The policy, when developed, is to include an annual evaluation of progress toward objec- tives and key school plan activities to be reported to the board. 3. The action plan indicates that a data package will be provided to each principal with subgroup disaggregations, trends, comparisons, and keys for analysis by August 1, 2005. This package must be “highly accessible” (timely, readable, and pertinent). Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 Implementation Scale: Pupil Achievement 7 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. The update of a core curriculum policy/regulation is scheduled for implementation by August 1, 2005 by the district. As indicated in the initial assessment report, the district’s work is progressing under the assumption that the state standards are the district’s core curriculum. The proposed priorities and options for budget allocations and reductions are moving forward, with the State Administrator’s five goals as the guiding principles. 2. The district leadership supports the state standards, and is working for more complete im- plementation and alignment through pacing guides, regular assessments, time for grade- level teams to work on alignment, training for K-5 staff on the English-Language Arts (ELA) program adoption, and training for principals and teacher leaders in data analysis. The new administrative team needed to work quickly in order to turn around the sliding student performance profile in Vallejo. However, the district must ascertain what is due each student, how that curriculum will be measured and supported, and who will be accountable for monitoring and making revisions. This should be documented in policy/regulation and/or in a plan with written guidelines. The written material will help fulfill the State Administrator’s fifth goal of turning over a district with improvements that are sustainable. 3. The action plan indicates that the alignment of the WASC Expected Student Learning Results (ESLRs) with high school student standards and expectations, including the CAHSEE, and the university a-g requirements will occur by June 30, 2005. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: 8 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 Academic Achievement and Accountability (AAA) Team has been formed to address the issues of alignment among standards, practices, materials, and assessments. An align- ment model is part of the State Administrator’s plan to improve student achievement and includes the following: (1) have clear measurable goals; (2) align resources to accomplish goals; (3) monitor progress; (4) use proven instructional materials consistently; (5) imme- diate interventions at the student, teacher and school level; and (6) focused, data-driven professional development. This model is similar to the state’s nine components of program implementation. A survey completed in spring 2004 showed a degree of imple- mentation. K-5 schools have benefited from a state standards-aligned reading text, the use of pacing guides, the use of common assessments and curriculum-embedded assessments, and training on the adopted ELA materials. Teachers have had coaches and time to review assessment data and work on alignment. A secondary instructional support model identifies the role of a three-member district team in designing direction, creating an action plan, supporting implementation at the sites, communicating direction, and evaluating performance. The high leverage strategies for high school include: examining course offerings and graduation requirements for rigor and access, common end of year course assessments, and using structures (meetings, department time, walk-throughs) to improve instruction. Middle schools are using pacing guides to improve access and rigor, administering common assessments for language arts and mathematics, and using structures such as meetings to improve the learning culture. 2. The K-5 teachers at Cooper Elementary, which may enter the SAIT process in the spring, have received the 40 hours of AB 466 training, and the principal has received the AB 75 training. Best Practices lead teachers and Best Practices staff are receiving the AB 466 training. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2004 Rating: 4 Implementation Scale: Pupil Achievement 9 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 district leadership has provided AB 466 training with a state-approved provider in reading for Cooper Elementary teachers and AB 75 training for the Cooper Elementary principal. Other AB466 training has been provided to the Best Practices lead teachers and Best Practices staff, who are in turn providing training on the Houghton-Mifflin text for other teachers and principals in the district. The next steps in bringing all teachers of reading and mathematics and all principals up to the current state expectation need to be explicit, including the source of the funds that will be allocated. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 Implementation Scale: 10 Pupil Achievement 3.1 Instructional Strategies – Learning Opportunity Legal Standard: The district provides equal access to educational opportunities to all students regardless of race, gender, socioeconomic standing, and other factors (EC 51007). Progress on Implementing the Recommendations of the Improvement Plan: 1. The district's action plan contains the following statement: “The district will explicitly reference “equal access” in all district publications, postings, and the VCUSD web site. Equal access will be incorporated into all district documents, district/school professional development, and other visible venues.” There is no documentation as yet. 2. The district's action plan indicates the district will print all publications in Spanish and other languages as needed and will stress the equal access policy statement and that this will be an ongoing practice. This statement is part of the district’s comprehensive plan- ning document, but at this time there is little evidence that this has occurred. 3. The district action plan calls for the use of STAR and district attendance records, suspen- sion data, enrollment projections, grade analysis and other diagnostic data systematically used to analyze academic progress. This data is to be disaggregated by gender and ethnic subgroups. The data does exist but how the data are used could not be verified. The professional activities for the principals, along with principals' meeting agendas/ minutes, feedback sheets and classroom observations will be the tools used to create and implement strategies for maximizing the use of instructional minutes. These tools were provided as evidence that the FCMAT recommendations were being addressed, although not at the systemic level. New graduation requirements, revised master schedules, and the creation of intervention classes/programs help address access issues of all students to higher levels of the curriculum. The district’s action plan addresses these areas. A new high school course booklet partially addresses these areas. Little evidence could be found that the interventions are taking place. Standard Implemented: Partially November 2004 Rating: 3 May 2005 New Rating: 4 Implementation Scale: Pupil Achievement 11 3.2 Instructional Strategies Professional Standard: Challenging learning goals and instructional plans and programs for all students are evident. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district staff has developed a board policy that identifies the state standards as the basis for learning goals and objectives. The policy was scheduled for completion by March 1, 2005. As of this writing, the only evidence of the policy is the minutes of a board meeting. 2. The district has provided copies of letters to principals and teachers concerning the use of pacing guides and the assessment calendar. Standards have been attached to packets of instructional materials and sent to each school and teacher. 3. The Houghton-Mifflin Implementation Walk Through Process and the Houghton-Mifflin Observation Tool are used to reference expectations and to establish two-way communi- cation about the progress of students, as well as the needs of the instructional staff. Copies of the appropriate forms were provided to the review team along with dates of school and classroom visits. 4. The district administration is exerting a strong leadership position with the schools on the instructional program. Meetings involving discussions of standards, the availability of materials and the use of implementation guidelines have been documented. Observation guidelines and feedback forms are available and being used at the sites. Several completed observation forms were provided to the team as evidence. District newsletters about the budget indicate the resource support provided to help meet the instructional needs of students and teachers. The newsletters are very positive and specific as to how money is being spent in the district. Standard Implemented: Partially November 1, 2004 Rating: 3 May l, 2005 Rating: 4 Implementation Scale: 12 Pupil Achievement 3.4 Instructional Strategies Professional Standard: Students are engaged in learning, and they are able to demonstrate and apply their knowledge and skills. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has focused on improving the instructional program and has articulated the elements of the academic programs. Principals’ agendas include presentations on the instructional program. Meeting agendas and supporting materials articulate how the dis- trict will work as a team in developing a strong, effective instructional program for stu- dents. These meetings increase the capacity of the district to work collaboratively, learn- ing what worked and what didn’t work in the past through data analysis. These forums help clarify district expectations for implementation of ELA and math curricula. The principals’ meeting agendas are structured around the topics of becoming a district/school team. These discussions include updates on data analysis to further the implementation of the Houghton-Mifflin program. The elementary instructional program improvements are well documented. Little evidence was provided, however, about middle school and high school program improvements. 2. A great deal of material was presented to the review team to indicate that principals and teacher leaders received professional development about the appropriate use of the Houghton-Mifflin Reading Program. Copies of the Houghton Anthology and Big Books to Teach Comprehension, Using the Classroom Handbook, Using the Weekly Lesson Plans in the Houghton-Mifflin Teacher’s Edition and Understanding the Organization of Houghton-Mifflin Reading were provided as documentation of the training that site per- sonnel received in how to use these instructional materials. 3. The district began using the Datawise system to make common assessment information available, and training has been provided on utilizing data. The elementary reading and math programs received much focus, as did classroom observations and analysis of stu- dent data. There was little evidence provided that data are available online at the class- room or school level. There was little evidence indicating program improvement efforts in the middle and high school subject areas . However, dialogues are under way about increasing the rigor of high school by making all courses meet the a-g requirements and revising the course of study to reflect the state standards. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: Pupil Achievement 13 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. A district action plan developed by a team of administrators indicates that board policies are to be revised to reflect current state and federal requirements, as well as to provide a blueprint for district expectations of all staff. The expected date for the policies to be revised is December 1, 2005. Currently, there is little documentation of this work. 2. The direction to the staff from the leadership is to share the new policies, when completed, with the community and staff. The manner in which the district plan was de- veloped indicates that this effort will be appropriately accomplished, but as of this date, there is little evidence. 3. The direction to the staff from the State Administrator is that new policy statements should reflect short- and long-range planning in order to build trust and confidence. There is no evidence at the present time except the written direction from the leadership that this has been accomplished. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: 14 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. The district has implemented a plan for formal classroom walk-throughs with follow-up feedback at the elementary level. The planning document the district has developed indi- cates that this process will be conducted for all grades K-12. Training agendas for prin- cipals and lead teachers indicate training has been provided and is ongoing. The training includes monitoring and feedback. It will be critical for principals to follow through on conducting the formal teacher evaluations according to the timeline. 2. The action plan developed to address the pupil achievement recommendations includes preparing, implementing and documenting principal evaluations. The district leadership has developed three memoranda with timelines that describe the elements of the principal evaluation at elementary, middle, and high school levels. These elements are organized according to the five goals of the State Administrator. Documentation includes a sample of a mid-year progress report. The principals’ evaluations are tied to student achievement. 3. Principals at the elementary level are receiving training in the analysis and use of data, and in conducting classroom observations. Documentation for program development at the middle and high school levels was not available. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 Implementation Scale: Pupil Achievement 15 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: l. The district's action plan for pupil achievement indicated that the School Attendance Review Board program would better serve students by involving police, legal and other community members. Evidence was not provided as to how this activity has changed from the past. 2. The action plan outlines the purchase and implementation of a student information sys- tem to monitor attendance, suspension, and dropout data on a monthly basis. Ongoing training is being provided to principals and office managers in the use of the system and the resulting data generated by the reports. Documentation was provided to the review team about the Aeries student information system as well as attendance/truancy letters and parent notifications required by law, including student behavioral standards and basic discipline. 3. The action plan clearly states that the staff will identify and implement intervention programs that address the needs of students who have not mastered the content of cur- rent courses, and will establish assessments for the monitoring of the students’ progress. Teachers will also receive training in the use of intervention materials and assessment data. There was documentation provided that reflects the efforts of the staff at the elemen- tary level but little evidence provided for the middle and high school levels. The docu- mentation for the intervention process is contained in “Reviewing Elementary Reading Intervention Materials.” 4. The recommendation that the district reconsider the need for counselors at the middle school has been addressed. The positions have been discussed and priorities established to reinstate them when possible. However, the decision as to whether the counselors will be reinstated or not has not been determined as of this writing. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: 16 Pupil Achievement 3.11 Instructional Strategies Professional Standard: School class size and teacher assignments support effective learning. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has developed a well-defined and articulated plan to address staffing in the schools, as demonstrated in several documents, including the Enrollment Confirmation/ Staffing Allocation Process. The central staff met with each principal and office manager during the first two weeks of school to ensure that all student enrollment data was cor- rect and to answer any questions. The process for determining enrollment numbers and the check for accuracy seemed unprecedented. The State Administrator’s budget priority document shows the consideration of various staffing cuts and their programmatic as well as fiscal impact. 2. The district created a plan that would accurately report and assign students to classes. The Staffing and Enrollment Timeline for 2005-06 indicated the activity, due date and who was responsible. This document, along with follow-up memos, provided an excellent ba- sis for monitoring the student enrollment in the district. 3. Documents sent to the staff and community explain the financial condition of the district, the need for cuts, and the goals of the recovery plan. Newsletters to the staff and commu- nity entitled, “The State Bailout: What does it mean?” have been frequent. Personal letters from the State Administrator to the staff explained the importance of understand- ing the financial problems of the district. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: Pupil Achievement 17 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. The district has taken advantage of support sessions offered by the Solano County Office of Education for its EL teachers. A committee that includes all stakeholders has been formed to update, revise, implement and monitor a single master plan for instruction for English Language Learner students, which will be submitted to the board and State Administrator for approval. This plan will ensure vertical articulation, and include com- munications processes to inform administrators, teachers and community of the plan. 2. The district has a stated objective to shorten the time schools wait for the California English Language Development Test reports to no more than two weeks. The district will revise the structured interview form for secondary students when the results are received from CTB McGraw-Hill. 3. Newsletters, professional development schedules, staff letters, news releases and parent letters have been provided in English and Spanish to improve communications. 4. The documents provided by the district indicate that all aspects of the ELD program are being addressed. The data provided indicated that the test scores of the ELD students have increased this past year. Teacher sign-in sheets indicate that a great number of teachers attended the Solano County Office professional development programs for Eng- lish language teachers. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 New Rating: 4 Implementation Scale: 18 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. The district’s action plan indicates that the development of content standards for all sub- ject areas and grades and the publication of a Standards Guide to ELA and mathematics, along with revised secondary course descriptions are activities slated for the 2005-06 school year. Workshops to introduce the guide will be held in October 2006. Other sub- ject area guides will be introduced in 2007. 2. The district leadership has placed intensive focus on the implementation of the state standards in ELA and math, starting with the implementation of common assessments of ELA and math standards at grades 2 to 5. With assessment data, teachers are also learn- ing to use the new text materials and pacing guides to adjust their teaching. It is clearly a method of helping teachers probe the standards for their essential teaching elements. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: Pupil Achievement 19 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. The district's action plan designates a fall 2004 implementation of districtwide ELA and math assessments to be given on a six-week basis. This program has clearly been imple- mented and includes structured collaboration time for teachers to review the results, which are coming to them through the Datawise system. This adds another type of assess- ment to the district's portfolio of tests, one that gives interim information on student prog- ress toward attaining proficiency on the state test. It can be used somewhat as a diagnostic instrument. Teachers and principals are receiving professional development on the interpretation and use of the test. Alternative assessments are slated for May 2006. It will be important to monitor the impact of the common assessments on the use of other assessments, such as portfolios, projects, and reports. The use of these may decrease as time for assessment be- comes scarcer. Standard Implemented: Partially November 1, 2004: 3 May 1, 2005: 4 Implementation Scale: 20 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 leadership has implemented a plan of regularly administered common ELA and math assessments, using the Datawise system to collect and analyze the results. They have identified data reports that provide teachers with the best data regarding student strengths and gaps and continue to help teachers with analysis and with adjustments to practice. They are also monitoring the use of data reports and coaching teacher leaders to coach teachers at grade level meetings. The assessments are standards-based so that the process in use with teachers has the potential to lead to more thorough and consistent implementation of standards. 2. Houghton-Mifflin training sessions indicate that there has been some introduction to curriculum-embedded assessments. The English language arts and math, K-5, 6-8, and 9-12 teacher leader committees will refine these assessments by August 1, 2005. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: Pupil Achievement 21 4.4 Assessment and Accountability Professional Standard: Teachers and principals are provided with assessment data in a timely and accessible format and with training in order to analyze, evaluate, and solve issues of student performance. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district's action plan indicates that district staff members are working on more ac- cessible and usable formats for the California Standards Test (CST) data to be available on August 1, 2005. This is an important adjunct to the routine assessment since teachers should have (1) greater interest in the results and (2) more investment in the standards implementation. 2. In developing the format of the data packet, users of the reports will provide input into what is the most useful format, and the use of the data will be monitored. Training in the use of the Datawise data reports has been occurring. The district's action plan indicates that a process to communicate information about assessments, results, and student place- ment to teachers, students, and parents is under development and will be completed by June 15, 2005. 3. Policies have not yet been revised. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: 22 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 use of regular assessments in the early grades should provide ongoing information about students who are falling behind and present the opportunity for earlier interven- tions. If used well, the CST data can pinpoint curriculum weaknesses (algebraic concepts, for example) early enough to adjust instruction. 2. The use of the district Web site has not changed since the fall. 3. There is no information on the current use of the student handbooks for the CAHSEE. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 Implementation Scale: Pupil Achievement 23 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 did not provide an approved professional development plan in accordance with Board Policy 4131.6. The district did present plans involving Solano County Office Professional Development Committee meetings and a math collaborative with UC Davis. Both of these programs involved AB 466 math training. A copy of the district's proposed revisions to the teacher contract was provided to the review team. The State Adminis- trator’s goals are expressed in the proposed contract and list teacher training and student achievement as priorities. 2. The district intends that professional development plans for each level will be developed by a committee of high, middle, and elementary school teachers by February 1, 2005. These plans will be shared with all stakeholders to obtain feedback and modification sug- gestions. There was no evidence presented that this activity has been accomplished. There is evidence of good collaboration with the county office and UC Davis. The professional development activities submitted were aligned with the state standards. 3. There are clear messages that the State Administrator and his team value staff develop- ment. Newsletters, the teacher contract and goal statements provided documentation. There is evidence that a loosely knit plan for professional development in the core areas has been developed, implemented, monitored, and evaluated. Teacher staff development features teacher leaders and coaching activities. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 New Rating: 4 Implementation Scale: 24 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. The material presented to indicate that teacher knowledge and skill sets on the state standards are being developed include: Elementary principals’ meeting on outcomes, principals’ meeting on best practices, principals’ meeting on walk-through/instructional leadership, ELA staff development classes, grade level support meeting for Houghton- Mifflin best practices, kindergarten support meeting for best practices, best practices grades 4 and 5, Houghton-Mifflin reading in combination classes, second grade language arts support for best practices, middle school support plan, middle school teacher leader meeting, notes from middle school department meeting debriefing, 6th grade planning guide, reflections from district coaches, support for non-title schools’ Houghton-Mifflin implementation, and agendas for staff development for teachers. The high school level was not well documented. 2. The district is planning to provide teachers with the state assessment data with color graphs for ease of use. This service is to be provided each fall. The district’s plan indicates a provision for curriculum-embedded assessments at six- to eight-week inter- vals. Training is to be provided on how to use the assessment and to aid in intervention programs for students having difficulty. The due date for completion was February 1, 2005. Evidence was not available to indicate that this activity has yet been completed. However, many elements of the plan are being implemented. 3. The district leadership has made regular, common assessments the major thrust in the elementary program, together with the use of pacing guides and grade level collaboration. Dialogues are in progress for high schools. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: Pupil Achievement 25 5.7 Professional Development Professional Standard Evaluations provide constructive feedback for improving job performance. Professional devel- opment is provided to support employees with less than satisfactory evaluations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The administrators in the district are held accountable for completing employee evalu- ations. A plan has been developed for monitoring and sanctioning, if necessary, those administrators not in compliance. Expectations have been communicated and discussions held as to the consequences. Letters and memos to the staff outlining the process were provided. The document, California Professional Standards for Educational Leaders, was provided as background material for the district’s expectations of its administrators. A conference with the human resources staff indicated that all evaluations were completed this past year. As a follow through in this area, some attention should be given to the effectiveness of the Peer Assistance and Review program. 2. Administrative evaluation expectations and timeline have been clarified and communi- cated. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 Implementation Scale: 26 Pupil Achievement Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 1.1 PROFESSIONAL STANDARD - PLANNING PROCESSES A common vision of what all students should 2 3 ❑ know and be able to do exists and is put into practice. 1.2 PROFESSIONAL STANDARD - PLANNING PROCESSES The administrative structure of the district pro- 2 4 ❑ motes student achievement. 1.3 PROFESSIONAL STANDARD - PLANNING PROCESSES The district has long-term goals and performance 0 2 ❑ standards to support and improve student achieve- ment. 1.4 PROFESSIONAL STANDARD - PLANNING PROCESSES The district directs its resources fairly and consis- 5 tently to accomplish its objectives. 1.5 LEGAL STANDARD - PLANNING PROCESSES Categorical and compensatory program funds supple- 4 ment and do not supplant services and materials to be provided by the district. 1.6 PROFESSIONAL STANDARD - PLANNING PROCESSES The district’s planning process focuses on support- 3 3 ❑ ing increased student performance. 2.1 PROFESSIONAL STANDARD - CURRICULUM The district, through its adopted policies, provides a 0 clear operational framework for management of the curriculum. 2.2 PROFESSIONAL STANDARD - CURRICULUM Policies regarding curriculum and instruction are 3 reviewed and approved by the Governing Board. 2.3 PROFESSIONAL STANDARD - CURRICULUM The district has clear and valid objectives for stu- 2 3 ❑ dents, including the core curriculum content. 2.4 PROFESSIONAL STANDARD - CURRICULUM A process is in place to maintain alignment among 3 4 ❑ standards, practices and assessments. 2.5 PROFESSIONAL STANDARD - CURRICULUM The Governing Board has adopted and the district is 4 implementing the California state standards and as- sessments. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Pupil Achievement 27 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 2.6 PROFESSIONAL STANDARD - CURRICULUM Sufficient instructional materials are available for 8 students to learn. 2.7 LEGAL STANDARD - CURRICULUM In subject areas for which the state has adopted standards, sufficient instructional materials are 6 available to students that are aligned with the state standards. 2.8 PROFESSIONAL STANDARD - CURRICULUM Students in K-8 have access to standards-based materials; students in 9-12 have access to standards- 6 based materials through an adopted process outlined in board policy and regulation. 2.9 PROFESSIONAL STANDARD - CURRICULUM Teachers in K-8 are provided with professional development in reading and mathematics by a 0 2 ❑ state-approved provider; teachers in 9-12 are pro- vided with defined professional development in implementing content standards. 2.10 PROFESSIONAL STANDARD - CURRICULUM The district has adopted a plan for integrating tech- 5 nology into curriculum and instruction at all grade levels. 2.11 PROFESSIONAL STANDARD - CURRICULUM The district optimizes state and federal funding to 6 install technology in its schools. 2.12 LEGAL STANDARD - CURRICULUM HIV prevention instruction occurs at least once in junior high or middle school and once in high school 8 and is consistent with the CDE’s Health Framework (EC 51201.5). 3.1 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district provides equal access to educational opportunities to all students regardless of race, 3 4 ❑ gender, socioeconomic standing, and other factors (EC 51007). 3.2 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATEGIES 3 4 ❑ Challenging learning goals and instructional plans and programs for all students are evident. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 28 Pupil Achievement Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.3 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES Every elementary school has embraced the most 0 recent California School Recognition Program Stan- dards. 3.4 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATEGIES Students are engaged in learning, and they are 2 3 ❑ able to demonstrate and apply their knowledge and skills. 3.5 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATEGIES The district and school staffs promote and com- 2 2 ❑ municate high expectations for the learning and behavior of all students. 3.6 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district and school sites actively encourage 3 parental involvement in their children’s education (examples of programs EC 51100-51143). 3.7 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES Each school has a school site council or leadership team, comprised of teachers, parents, principal and 4 students, that is actively engaged in school planning (EC 52010-52039). 3.8 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATEGIES Principals make formal and informal classroom 2 4 ❑ visits. Based on these visits, principals provide constructive feedback and assistance to teachers. 3.9 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES Class time is protected for student learning (EC 3 32212). 3.10 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATEGIES Clearly defined discipline practices have been es- 2 3 ❑ tablished and communicated among the students, staff, board, and community. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Pupil Achievement 29 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.11 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATEGIES 3 4 ❑ School class size and teacher assignments support effective student learning. 3.12 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES Teachers use a variety of instructional strategies and 3 resources that address their students’ diverse needs and modify and adjust their instructional plans ap- propriately. 3.13 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES All teachers are provided with professional develop- 3 ment on special needs, language acquisition, timely interventions for underperformers and culturally responsive teaching. 3.14 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES The identification and placement of English-language 4 learners into appropriate courses is conducted in a timely and effective manner. 3.15 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATEGIES Curriculum and instruction for English-language 3 4 ❑ learners prepares these students to transition to regular class settings and achieve at a high level in all subject areas. 3.16 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES Programs for English-language learners comply with 4 state and federal regulations and meet the quality criteria set forth by the California Department of Education. 3.17 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES The identification and placement of special education 5 students into appropriate courses is conducted in a timely and effective manner. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 30 Pupil Achievement Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.18 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES 5 Individual education plans are reviewed and updated on time. 3.19 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES Curriculum and instruction for special education 5 students is rigorous and appropriate to meet special education students’ learning needs. 3.20 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES Programs for special education students meet the 5 least restrictive environment provision of the law and the quality criteria and goals set forth by the Califor- nia Department of Education. 3.21 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES 3 The criteria for GATE identification is documented and understood by school site staff. 3.22 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES 4 Students are regularly assessed or reassessed for GATE participation. 3.23 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES All incoming kindergarten students are admitted fol- lowing board-approved policies and administrative 4 regulations (EC 48000-48002, 48010, 48011). 3.24 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district provides access and encourages student 5 enrollment in UC and CSU required courses (A-G requirement). 3.25 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES Students are prepared for, and may access, advanced 3 placement or other rigorous courses in core subject areas at all comprehensive high schools. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Pupil Achievement 31 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.26 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES High school guidance counselors are knowledgeable 3 about individual student academic needs and work to create challenging and meaningful course schedules. 3.27 PROFESSIONAL STANDARD - INSTRUCTIONAL STRATE- GIES 4 High school students have access to career and col- lege guidance counseling prior to the 12th grade. 3.28 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district has plans for the provision of extended 5 day programs at its respective school sites (EC 17264). 3.29 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The general instructional program adheres to all re- 4 quirements put forth in EC 51000-52950. 4.1 PROFESSIONAL STANDARD - ASSESSMENT AND AC- COUNTABILITY The district has developed content and learning 2 3 ❑ standards for all subject areas and grades that are understood and followed by school site staff. 4.2 PROFESSIONAL STANDARD - ASSESSMENT AND AC- COUNTABILITY Student achievement is measured and assessed 3 4 ❑ through a variety of measurement tools (e.g., standardized tests, portfolios, projects, oral re- ports). 4.3 PROFESSIONAL STANDARD - ASSESSMENT AND AC- COUNTABILITY The assessment tools are clear measures of what 3 4 ❑ is being taught and provide information for the administration and staff to improve learning op- portunities for all students. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 32 Pupil Achievement Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 4.4 PROFESSIONAL STANDARD - ASSESSMENT AND AC- COUNTABILITY Teachers and principals are provided with assess- 3 4 ❑ ment data in a timely and accessible format, and training in order for them to analyze, evaluate and solve issues of student performance. 4.5 PROFESSIONAL STANDARD - ASSESSMENT AND AC- COUNTABILITY The board has adopted and the district is implement- ing a K-8 policy that outlines clearly for teachers, 8 students and parents the benchmarks to be used for intervention, promotion and retention of struggling learners. 4.6 PROFESSIONAL STANDARD - ASSESSMENT AND AC- COUNTABILITY A process to identify struggling 9-12 students and intervene with additional support necessary to 3 3 ❑ pass the high school exit examination is well-de- veloped and communicated to teachers, students and parents. 4.7 LEGAL STANDARD - ASSESSMENT AND ACCOUNTABIL- ITY The district informs parents of the test scores of their 8 children and provides a general explanation of these scores (EC 60720, 60722). 4.8 PROFESSIONAL STANDARD - ASSESSMENT AND AC- COUNTABILITY The district has a process to notify high school stu- 2 dents and their parents regarding high school profi- ciency examination requirements and scores. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Pupil Achievement 33 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 4.9 PROFESSIONAL STANDARD - ASSESSMENT AND AC- COUNTABILITY Principals and teachers in underperforming schools 3 and/or in schools under mandated improvement pro- grams are provided special training and support by the district; improvement plans are monitored. 4.10 PROFESSIONAL STANDARD - ASSESSMENT AND AC- COUNTABILITY The board and district understand the elements of 3 state and federal accountability programs and com- municate the availability of options and special services to parents and students. 5.1 PROFESSIONAL STANDARD - PROFESSIONAL DEVEL- OPMENT Staff development demonstrates a clear under- 3 4 ❑ standing of purpose, written goals, and appropri- ate evaluations. 5.2 PROFESSIONAL STANDARD - PROFESSIONAL DEVEL- OPMENT Staff development provides the staff (e.g., prin- 3 4 ❑ cipals, teachers, and instructional aides) with the knowledge and the skills to improve instruction and the curriculum. 5.3 PROFESSIONAL STANDARD - PROFESSIONAL DEVELOP- MENT The standards developed by the California Standards 6 for the Teaching Professions are present and sup- ported. 5.4 PROFESSIONAL STANDARD - PROFESSIONAL DEVELOP- MENT 5 Teachers are provided time and encouraged to meet with other teachers. 5.5 PROFESSIONAL STANDARD - PROFESSIONAL DEVELOP- MENT Collaboration exists among higher education, district, professional associations, and the community in 0 providing professional development. The district has formed partnerships with state colleges and universi- ties to provide appropriate courses accessible to all teachers. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 34 Pupil Achievement Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 5.6 PROFESSIONAL STANDARD - PROFESSIONAL DEVELOP- MENT Administrative support and coaching are provided 5 to all teachers, and new teachers and principals are provided with training and support opportunities. 5.7 PROFESSIONAL STANDARD - PROFESSIONAL DEVEL- OPMENT Evaluations provide constructive feedback for 3 5 ❑ improving job performance. Professional develop- ment is provided to support employees with less than satisfactory evaluations. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Pupil Achievement 35 Personnel Management The district must address 35 priority standards in the operational area of Personnel Management. Of the 35 standards, the Human Resources Department elected to develop action plans for 10 of the standards by March 2005. Action plans for an additional 10 standards were designated for completion by May and the remaining 15 by November 2005. Many standards reviewed during this first six-month period may thus reflect little progress in ratings. The district has adopted a format for the development of the action plans to address the FCMAT standards. The format includes critical actions to be taken, timelines for implementation, persons/ departments responsible, planned documentation, and fiscal impact and resources needed. The completed action plans are placed on the district’s Web site. Organization and Planning The consultant hired by the State Administrator to manage Human Resources has now been hired as the Assistant Superintendent for Human Resources on a two-year contract. The review of the board policies affecting personnel operations, such as the delivery of services, roles and processes for employment, employee discipline and dismissal, are among the standards being delayed until November 2005. However, the priority standards in the operational area of Community Relations and Governance calls for a complete review of all board policies. The ac- tion plan for that operational area is currently being addressed, and will involve all departments, including Human Resources. The department eliminated its receptionist position and plans to restructure the physical layout of the office so that all personnel staff will have some responsibility for providing customer service to walk-in clients. Some preliminary staff reorganization has started, such as moving benefits management to the Business Department. The department still needs to consider other organiza- tional changes, e.g., reviewing positions such as the Director of Community Affairs and Compli- ance, and reviewing the comparability of positions such as the Coordinator of Classified Person- nel and the Director of Human Resources/Recruitment. The department is in need of a new mission statement and guiding principles that reflect the State Administrator’s priorities for the district. The department is developing a written monthly calen- dar of activities. Internal and External Communications The district’s Web site is being redesigned, so job postings are currently minimal until the rede- sign is completed. Job announcements are posted to the Web site, and on ED-JOIN. Some department staff members have increased their use of e-mail for communications within and outside the department. The elimination of the receptionist position has also resulted in more staff members answering phones and assisting walk-in clients. Customers of the depart- ment believe that these changes have improved services. The redesign of the physical layout of the office, intended to improve customer service, should be completed soon. Plans for employee training and cross-training to provide a backup for critical personnel functions are slated for November. Personnel Management 1 The department has now instituted regularly scheduled staff meetings. The focus of these meet- ings has been on the action plans for the FCMAT standards, but the meetings have also addressed developing a department calendar, general communications issues, and training. Employee Recruitment and Selection For the last two years, the district has had to reduce staff due to lack of work, lack of funds, and declining enrollment. However, there remains a need to fill teaching positions in some of the hard-to-staff areas and to fill critical classified positions. The department plans to address the recruitment standards in May. The recruitment plan that is developed should include the district’s recruitment strategy (where and when to recruit), marketing (materials, Web marketing, etc.), a budget for recruiting, and identification of the district personnel who will participate in recruit- ment activities and how they will be trained. The recruitment plan should be in a format that will allow annual updates as revisions are required. The plan should also address early recruiting to attract and retain the brightest and best teachers, rather than waiting until late in the year when other districts have already hired them. The Solano County Office of Education’s audit of teacher credentials occurred during the team’s visit in the district. The steps taken by the department in preparing for the Solano COE’s audit will provide the basis for the district’s internal monitoring of teacher credentials and will include the use of the automated systems in the district to accomplish this task. Operational Procedures While a detailed action plan was developed to assess training needs for Human Resources staff, the first deadline in the plan was missed. It will be critical for Human Resources to develop a strategy that ensures that each person responsible successfully meets the established deadlines. The standard for employee induction and orientation will be addressed in November. Opera- tional procedures, desk manuals, and job description review and development also will not be addressed until November. In the meantime, some progress is occurring as the staff has begun to develop more systematic operational procedures. Communication between the department staff and Payroll staff has improved significantly. Week- ly meetings are scheduled between the two departments, with priority given to the most signifi- cant issues, starting with employee leaves and leave accruals. Staff members also communicate as needed between meetings. Communications issued from either department that affect the other department are now coordinated. As interpretations of law or contract language are discussed, decisions and procedures are being documented for use by both departments. Some classified staffing formulas have been implemented and were used as the basis for staff reductions this year. These formulas are continuing to be refined. Enrollment projections for ini- tial staffing of schools for the new school year have been completed. As enrollment continued to decline through this current year, some mid-year staffing adjustments were made. Use of Technology District-paid employee health and welfare benefits data has been audited and the system now reflects current benefits enrollment and the split of premiums between the district and employees. Procedures have been implemented to compare the district’s data against carrier billings. Supple- 2 Personnel Management mental benefits, which are fully paid for by employees, are now being audited to ensure proper enrollment and payroll deductions. Employee leave records in the system are now current and leave accruals are automated. A standing committee consisting of Human Resources and Payroll staff members was formed to address issues with employee leaves and guidance is being provided to district managers and administrators. Many staff members have attended training on the position control system and are participating in the monthly user group meetings. Some staff members have not yet received the basic system training. Advanced training is also needed and more staff members need to be able to generate reports. The district has requested this additional training from the County Office of Education, but the sessions have not yet been scheduled. There is no progress to report on recommendations to implement an applicant tracking system and to integrate the substitute calling system with position control and payroll. Staff Training The district is providing professional development for certificated teachers and for site adminis- trators through the Academic Achievement and Accountability Department, on implementation of curriculum, leadership in instruction, and using assessments to guide instruction. Human Re- sources has identified some training needs for classified staff, such as safety training. However, there is no overall plan for assessing training needs for all personnel districtwide. The district may want to consider developing a professional development plan jointly between Human Re- sources and the Academic Achievement and Accountability Department. Evaluation and Due Process Action plans to address employee evaluation, evaluation training, and evaluation monitoring have been targeted to be addressed in November. Board policies and administrative procedures were scheduled to be reviewed and revised in May. The articles of the collective bargaining agreements for employee evaluations are in place. The department will develop evaluation moni- toring procedures for implementation this year. Employer/Employee Relations The district and the certificated bargaining unit have each presented their initial contract propos- als. The district involved administrators and managers in the review of the certificated bargaining unit contract in order to determine which articles were most problematic and costly. The district then selected language from other bargaining unit contracts in the state and included the language from those contracts in its initial proposal to address its priority issues. The district has identified a group of comparable districts and is preparing comparisons of salary, benefits, and working conditions for discussion in negotiations. The district also surveyed managers about provisions in the classified bargaining unit contract in preparing the submittal of the district’s initial classified contract proposal to the board in March. The district has scheduled an August leadership retreat that will include contract management training. However, the leadership team continues to address contract issues as they arise during the year. Personnel Management 3 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. The Human Resources Department (HR) has determined that the detailed action plan for this standard will be available in November 2005. However, in response to Standards 4.1 through 4.6 in the operational area of Community Relations and Governance, the district has 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 regula- tions; (4.3) initiating a process to identify missing policies that are legally required and policies that need updating, and 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 in- dicate where district decisions/perspective are needed; (4.4) providing for regular policy updates using CSBA Policy Service notifications; and (4.6) providing for the annual re- adoption of policies. The detailed action plan is posted on the district Web site. The district sent the entire set of board policies and administrative regulations to a private law firm and requested a review and proposal for services to help the district bring the policy manual into full and useful compliance. The law firm has responded with a three- page letter outlining problems with existing policy and a proposal for services. In accordance with the Community Relations and Governance detailed plan involving Standards 4.1 through 4.6, HR must participate in the steps of the plan including identi- fying priorities based on the FCMAT findings (by March 15, 2005) and any other steps required by the State Administrator’s Office and/or the external policy contractor. This standard for HR thus cannot wait for a November implementation. HR should immedi- ately designate the person responsible for the actions assigned to HR to meet the specified timelines for policy updates. For the first deadline, HR must submit the priority policies from the 4000 Series for review and updating to the external policy contractor by March 15, 2005. These policies are: 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. Personnel Management 5 2. HR has determined that the detailed action plan for this standard will be available in No- vember 2005. When board policies have been updated, HR needs to develop an ongoing process for reviewing and updating board policies and regulations pertaining to personnel matters. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 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 stated that the detailed action plan for this standard will be available in November 2005. However, this standard cannot wait to be addressed in November be- cause it is already being addressed pursuant to a plan that has been developed for all of the district’s policies under the Community Relations and Governance standards (see Standard 1.1). It is necessary that HR immediately designate the person responsible for the actions that are assigned to HR within that plan. Foundation policies for these func- tions are a high priority, since they are basic and essential to the operational procedures that will result in operational efficiency and success of the HR functions. 2. HR has stated that the detailed action plan for the completion of the Human Resource Services Reference Manual will be available in November 2005. The procedures linking recruitment, evaluation, and discipline to the board policies and the collective bargaining agreements must be developed by the Assistant Superintendent of HR and the HR staff and then documented through the completion of this manual. The timeline for this should be moved up in the department's priorities. 3. HR has stated that the detailed action plan for the development of written procedures will be available in November 2005. Written procedures for these functions are a high prior- ity, since they are basic and essential to the operational efficiency and success of the HR functions. The timeline should reflect the urgency and priority of this task. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 Implementation Scale: Personnel Management 7 1.3 Organization and Planning Professional Standard: The Personnel Division has developed a mission statement that sets clear direction for personnel staff. The Personnel Division has an organizational chart and a functions chart that include the names, positions, and job functions of all staff in the Personnel Division. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has stated that the detailed action plan for the revision of the HR organi- zational structure will be available in May 2005. The organization chart has not been changed or updated because the State Administrator is reviewing the structure of the entire central office. The structural organization chart must continually be revised as deci- sions are made regarding the functions that belong in HR. The current HR mission statement is: “The mission of the Human Resources Services Division is to ensure a successful education for all students by providing and maintaining certificated and classified staff in a positive and caring environment.” This will remain in force until a new mission statement is developed. Dates were set for a two-day retreat for HR management in March, and outcomes were to include revising the mission statement and developing guiding principles for the department. 2. The organization chart has not been changed or updated because the State Administra- tor is reviewing the structure of the entire central office. The functions of student welfare and attendance, community affairs, and compliance and work permits should be carefully considered, since they do not ordinarily reside in HR. 3. Since the last report, employee benefits was moved from Risk Management to Fiscal Services. Workers’ compensation is still divided between Risk Management and HR. As previously recommended, all of risk management, including employee benefits, should be within the HR Department. 4. It was noted in the initial report that the current HR Department organization has more positions than needed. It was recommended that the organization be redesigned to elimi- nate redundancy in the workflow of functions associated with recruitment, selection, and hiring. Since the detailed action plan for the revision of the HR organizational structure is not planned until May 2005, there has been no progress to report on this item. 5. The detailed action plan for this standard should include the process for developing a new mission statement, as well as timelines for completing the new mission statement, reor- ganizing the department, preparing a structural organizational chart, and then preparing a functional organizational chart. 8 Personnel Management Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: Personnel Management 9 1.5 Organization and Planning Professional Standard: The Personnel Division 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. A detailed action plan has been developed to address the need for a monthly activities calendar, and has been posted on the district’s Web site. The plan includes using the exist- ing HR Services Annual Calendar draft as the base. Using chart paper and staff research and brainstorming, each month’s activities will be developed. Research includes staff memory, review of board agendas from the prior two years, review of board policies and administrative regulations, and review of collective bargaining agreements. The annual calendar completion date was set for March 31, 2005. The completed calendar is to be posted on the district’s server as a “view only” document and a hard copy given to each HR staff member. The calendar will be reviewed at a staff meeting on the last Friday of each month. The chart paper brainstorm results were displayed on the hall walls of Human Resources at the time of the review team's fieldwork. Implementation of the detailed action plan was on track per the timeline of the plan. The district should continue to implement this de- tailed action plan within the specified time frame. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 Implementation Scale: 10 Personnel Management 2.1 Communications: Internal/External Professional Standard: The Personnel Division utilizes the latest technological equipment for incoming and outgoing communications. Progress on Implementing the Recommendations of the Improvement Plan: 1. The detailed action plan for using the district’s Web site as an HR communication tool is scheduled to be prepared by November 2005. The district’s Web site is being redesigned, so all HR postings (with the exception of job announcements) are on hold until the rede- sign is completed by the end of March. The Technology Department currently posts items to the Web site for HR. Once the Web site is ready for full use, several HR staff members can begin keeping the site updated, as they are already trained on the process. As recommended in the initial FCMAT report, the district’s Web site should be used as more of a communication tool between the HR Department and its customers. Publica- tions and forms prepared by the department that would have broad interest among cus- tomers should be posted and available. A staff member needs to be designated to keep these items up to date and to notify customers via e-mail when there are new postings. 2. The task of synchronizing the job postings between the ED-JOIN Web site and the dis- trict’s Web site is planned to be accomplished when the redesign of the District’s Web site has been completed. HR staff members can then update both ED-JOIN and the district’s site at the same time to synchronize the job postings. 3. Some additional use of e-mail has been noted within HR, but the department has yet to establish e-mail as the main method for mass communications within the department, and between the department and other departments and school sites. Notices to all employees will still need to be on paper, since not all employees have an e-mail address or access to a computer, but these notices can be posted to the Web site for employees to refer to as needed. The detailed action plan for this standard is scheduled to be completed by No- vember 2005. 4. Although the detailed action plan for technology training is not scheduled to be com- pleted until November, some employees in HR are using e-mail for more communica- tions, and others have been sent to training sessions on how to generate reports from systems used in the department. Still, a technology training plan should be developed for the department and be incorporated into the staff development plan so that all department employees can fully utilize technology to gain efficiencies and provide better customer service. Personnel Management 11 5. HR has made some progress in improving customer service. Although the receptionist position was eliminated, HR improved some services by providing customers with direct access to the HR staff members who are able to provide the appropriate answers or as- sistance. Customers are seeing improved response times from some areas of the depart- ment. Also, the physical layout of the department is being redesigned so that more staff members are facing, and can more readily assist, the walk-in customers. There are now two separate entries and service counters for certificated and classified personnel. The HR management retreat, scheduled for mid-March, will develop guiding principles for operation of the department, which can be the basis for the customer service protocol that needs to be established. This protocol should specify how and when the department’s employees respond to its customers, and should establish acceptable time frames for re- turning phone calls and e-mails, even if it’s only to say “we’re working on it and will get back to you when we have the answer.” Department employees then need to be held ac- countable for adhering to the expectations for customer service. 6. It was recommended in the initial FCMAT report that HR employees be trained to be cog- nizant of customers’ needs, and to be more communicative. For example, they can update other departments on the status of recruitment and hiring for positions in that department. Another example would be that, as soon as an employee submits his/her resignation, a quick e-mail copied to Benefits and Payroll could prevent issues of overpayment down the road. The detailed action plan for this standard has been scheduled for November 2005. It should be coordinated with the development of customer service parameters. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: 12 Personnel Management 2.4 Communications: Internal/External Professional Standard: The Personnel Division staff is cross-trained to respond to client need without delay. Progress on Implementing the Recommendations of the Improvement Plan: The district plans to develop the detailed action plan to address this standard by November 2005. In the meantime, there has been no progress to report in this area. The recommendations made in the initial report are still applicable: 1. Combine like functions across the three sections of the department in order to streamline activities and provide better and more consistent customer service. This should also im- prove communications and relationships between the different sections of the department. 2. Develop a cross-training schedule for the critical functions of all positions, and ensure that employees appropriately fill in for each other during absences. 3. List the backup employee for each function in the department directory. 4. Establish career paths for employees within the department, and ensure that employees are aware of the requirements to move to the next step. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 Implementation Scale: Personnel Management 13 2.5 Communications: Internal/External Professional Standard: The Personnel Division holds regularly scheduled staff meetings. Progress on Implementing the Recommendations of the Improvement Plan: 1. A detailed action plan to address this standard has been developed and posted to the district’s Web site. The HR management team has established weekly meetings to discuss priorities, departmentwide issues and scheduled activities, and to set goals for the week. The managers should then promptly communicate decisions or information from these meetings to their staff members, but this does not occur consistently. This could be ac- complished right after the HR management team meeting through e-mail or by holding a quick section staff meeting with written handouts or procedures, depending on the infor- mation to be disseminated. In addition, a two-day retreat for HR management was scheduled in mid-March to work on the department’s mission statement, standards for customer service, ideas for team building, addressing the Implementation Plan, and other departmental planning needs. 2. The detailed action plan specifies that each manager hold monthly meetings of his/her section of the department to discuss the outcomes of other meetings in the department, develop plans and goals, discuss projects, review and revise procedures, discuss ideas to improve efficiency, and address other topics of concern. Meetings have occurred more often than monthly, mainly to address a backlog of significant and urgent issues. Once the backlog has been addressed, each section of HR should set up a schedule of regular monthly meetings as specified in the plan, and document the results of these meetings for staff reference. 3. The entire HR Department now holds regularly scheduled meetings, as called for in the detailed action plan. These meetings cover the activities for the month on the HR calen- dar, as well as the assignment of duties, the monitoring of workload across the depart- ment, and any other departmentwide issues that have arisen. Additional regular meetings are held (weekly for January and February) for staff members developing and working on the detailed action plans. Documentation of the actions in departmental meetings, in the form of minutes or revised procedures, should be prepared and distributed to all staff soon after each meeting is held. 14 Personnel Management Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 6 Implementation Scale: Personnel Management 15 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 recruitment plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has stated that the detailed action plan for this standard will be available in May 2005. HR has proposed but not yet approved a spring recruitment schedule. The schedule lists visits to job fairs in six different locations beginning in late March and extending through April. At least one of the job fairs is specifically targeted for special education, at least two of the job fairs require a registration fee, and one requires an over- night stay. The district needs to confirm the 2004-05 recruitment schedule and thoroughly plan for each event, including arranging for the recruiters who will attend. HR needs to develop the detailed action plan that will lead to a comprehensive recruit- ment plan for the 2005-06 school year, and can provide a model for future years. 2. Written recruitment goals have not been developed for filling of certificated and classified positions based upon projected needs. These goals should be part of the detailed action plan slated to be available in May 2005 and should include focused efforts to find and attract candidates in the hard-to-staff areas of special education, math, science, and bilin- gual education, where needed. 3. The district does not have a recruitment budget, which should also be part of the detailed action plan to be prepared in May. The recruitment budget should include, but not be lim- ited to, registration fees for job fairs and conferences, travel expenses for district recruit- ers, and marketing materials to be used to attract applicants. 4. The progress made in the area of customer services is included in Standard 2.1. 5. Progress made in the areas of customer service, reorganization of the department, and cross training of staff is now included in Standards 1.3, 2.1, and 2.4. 16 Personnel Management Standard Implemented: Partially November 1, 2004 Rating 0 May 1, 2005 Rating: 1 Implementation Scale: Personnel Management 17 3.5 Employee Recruitment/Selection Professional Standard: The district has developed materials that promote the district and community, are attractive, in- formative, and easily available to all applicants and other interested parties. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has stated that the detailed action plan for this standard will be available in May 2005. There is a brightly colored one-sheet certificated job announcement and an announcement for Dominican University’s intern program. There are also marketing bro- chures for four middle schools and one high school, the Beginning Teacher Support and Assessment program, the Solano/Napa/Yolo intern program, and the district’s Professional Development Center. All of these materials are used as appropriate in certificated recruit- ment packets that are taken to job fairs. The district needs to complete the detailed action plan to develop materials that promote the district and community that are attractive, in- formative, and easily available to all applicants and other interested parties. This detailed action plan should be incorporated into the recruitment plan included in Standard 3.4. 2. The detailed action plan should include providing classified job applicants with materials that promote the district and the community. 3. The detailed action plan should also include provisions for using the district’s Web site as a promotional tool. Once the Web site redesign has been completed, the marketing mate- rials can be posted and additional promotional activities can be developed. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 Implementation Scale: 18 Personnel Management 3.6 Employee Recruitment/Selection Professional Standard: The district has identified people to participate in recruitment efforts, including principals, dis- trict personnel and others, as appropriate, and has provided them with adequate training to carry out the district’s recruitment goals. Progress on Implementing the Recommendations of the Improvement Plan: The district has stated that the detailed action plan for this standard will be available in May 2005, so there is little progress to report in this area. 1. The district has stated that, due to layoffs in the last two years, it has not done active re- cruitment. Prior to that time, HR used to send out a form to principals to complete in or- der to volunteer at recruitment events. HR would provide training and written instructions specifying what to do and what not to do as a teacher recruiter for the district. The district needs to resurrect this information, update it, and provide principals, district personnel, and others with formal training so that they can participate in the district’s recruitment ef- forts utilizing this standard format. This format and process should reflect all legal obliga- tions placed on employers in the public sector. 2. Based upon the recruitment goals, the Assistant Superintendent of Human Resources needs to conduct advanced planning and establish participation in recruitment efforts. Recruitment teams should be formed no later than February of each year in order to allow enough time for the training referenced above before participating in the spring recruit- ment activities and job fairs. This means that the participants need to be determined im- mediately for 2005-06. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: Personnel Management 19 3.13 Employee Recruitment/Selection Legal Standard: The district appropriately monitors teacher assignments and reports as required under Education Code Section 44258.9. Progress on Implementing the Recommendations of the Improvement Plan: 1. A detailed action plan addresses credential monitoring. It includes review of Board Policy 4113 by HR managers to determine if the affidavit process is desirable. Working with Technology Services, HR managers will consider a systems approach for review of mas- ter schedules and integration with credentials. These activities will be done by May 15, 2005. 2. Based upon decisions about the use of technology to support this effort, the HR staff will complete the procedure for annual review of elementary credentials and semiannual re- view of secondary credentials by July 1, 2005. Board Policy 4113 will be revised accord- ingly. The Uniform Complaint Procedure will be updated to include misassignments con- sistent with the regulations from the Williams case. The district should, at least annually, complete an entire local credential audit incorporating all of these provisions. HR was able to download the master schedules for each school site from the Aeries sys- tem. Lists of teachers by school with their credentials were then downloaded from the CECC system. HR compiled a notebook, which was given to the Solano County Office of Education for its four-year audit process. The process of comparing the teachers and their credentials to the master schedules is still manual, but it is an excellent process that is commonly used in school districts where the technology systems are not yet integrated. This will become an annual process for completing the internal credentials monitoring. 3. The procedures and timeline developed in No. 2 above will be added to the HR annual calendar, and will be incorporated in the reference and procedure manuals. 4. Site administrators were given a copy of the Site Administrator Credentials Manual so that they can correctly assign their teachers. The process developed above will be re- viewed each August with site administrators during an annual retreat. The district needs to include office managers in the training. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 4 Implementation Scale: 20 Personnel Management 4.1 Employee Induction and Orientation Professional Standard: Initial orientation is provided for all new staff, and orientation handbooks are provided for new employees in all classifications: substitutes, teachers, and classified employees. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has scheduled the completion of the detailed action plan for this standard by November 2005, so there is no progress to report. Based on the number of new hires pro- cessed each year, it appears that the district is able to handle the volume doing personal one-on-one orientations. However, because the process also involves employee benefits, to ensure that the entire process is performed, the Personnel Department should develop a video presentation of district activities and expectations for new employee orientation. This will ensure a uniform and full orientation for each employee and may be used to ori- ent employees in groups. 2. The district has an old version of a classified employee handbook, which needs to be up- dated, provided to all classified employees, and included in the orientation process. Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 Implementation Scale: Personnel Management 21 5.2 Operational Procedures Professional Standard: Personnel Division 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 district has scheduled the completion of the detailed action plan for this standard by November 2005. However, through meetings and resolution of issues, the district is be- ginning to document its processes. With the conversion from the old HR/Payroll system to CECC, the district needs to refine all of its operating procedures, document them, and provide them in desk manuals for the various functions in the Human Resource Services Department. Efficiencies could be gained by completing these procedures during the cross-training activities in Standard 2.4. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 Implementation Scale: 22 Personnel Management 5.3 Operational Procedures Professional Standard: The Personnel Division has an operation procedures manual for internal department use in order to establish consistent application of personnel actions. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has scheduled the completion of the detailed action plan for this standard by November 2005. However, through meetings and resolution of issues, the district is beginning to document its processes. All of the department’s procedures need to be docu- mented in a manual that can be provided to all of the staff members in HR. Portions of this manual will need to be provided to Payroll staff as well. This action plan should be moved up in the priorities, as it establishes the overall procedures for the department, and should be tied to the review and updating of policies and the annual calendar discussed in Standards 1.1 and 1.5. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 Implementation Scale: Personnel Management 23 5.4 Operational Procedures Professional Standard: The Personnel Division 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. The district has stated that the detailed action plan for this standard will be available in May 2005. However, the district provided 23 job descriptions that had been developed or revised in 2004-05. The format was somewhat inconsistent—for example, some job descriptions included a “Working Conditions” section, which included physical demands, and others did not. All of the new/revised job descriptions were for classified personnel and were addressed as the positions were prepared for posting. The district needs to document a process to systematically review and update job de- scriptions for all jobs, both certificated and classified. A job description format should be developed to cover: job title, work year (including hours per day and days per week for classified jobs), exempt or non-exempt status, position type (certificated, classified, su- pervisor, manager, confidential), pay range (monthly, weekly, or hourly as appropriate), summary statement of duties, specific duties, knowledge/skills/abilities, and working con- ditions. 2. While most of the job descriptions designate the essential functions, a few do not. The essential functions of all job descriptions should be designated in order to be consistent with the Americans with Disabilities Act. 3. The detailed action plan that HR develops to address this standard should include a time- line for complete review and revision of all job descriptions into the new format. Only significant changes to the job duties of a job description should require approval of the Governing Board when powers are returned. 4. The detailed action plan should include an ongoing process for the review of job descrip- tions for the Human Resource Services Reference Manual. For some positions, job de- scriptions may have an annual review. For others, the job description may require review only when the position is vacated and a new recruitment is taking place. Still other posi- tions may require review on a three- to four-year schedule or whenever technology or other forces cause a change in job duties. 5. Instructions should be developed for the creation of new job descriptions, as well as a process for bringing them through board approval. 6. A long-term plan should be developed for having the job descriptions maintained in elec- tronic format and published on the district’s Web site. 24 Personnel Management 7. A process should be developed for presenting all classified personnel with their job de- scriptions upon employment and with each change of classification. This process should be contained in the Human Resource Services Reference Manual and in the classified em- ployee handbook when it is developed (see Standard 4.1). Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 Implementation Scale: Personnel Management 25 5.5 Operational Procedures Professional Standard: The Personnel Division has procedures in place that allow for both Personnel and Payroll staff to meet regularly to solve problems that develop in the process of new employees, classification changes, and employee promotions. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department has completed a detailed action plan to address this standard, and has begun holding weekly meetings with Payroll staff as specified in the plan. These meetings have been necessary to address a backlog of issues, mostly having to do with employee leaves. These meetings function as focus groups for addressing issues, so only the specific staff members involved attend a particular meeting. The action plan specifies that, after the backlog of issues has been addressed, the meetings will be monthly and will involve all Payroll, Certificated HR, and Classified HR staff together. Each depart- ment should submit items for the agenda, and the meeting should be expanded to include Benefits, Risk Management, and Budget/Accounting personnel when the topics being discussed affect them. Each meeting should result in the documentation of decisions, new procedures, revised procedures, assignments made, and issues that need to be further in- vestigated. 2. Other communications between the departments have improved as well. Individuals in each department contact each other as urgent issues need to be resolved, and special meetings are called if group involvement is needed. 3. The detailed action plan specifies that the meetings between HR and Payroll will be a fo- rum for establishing procedures, some of which have been completed. The district should establish a list of interdepartmental procedures that need to be documented, and use this list to prepare meeting agendas. Afterward, each procedure should be documented and distributed to the employees who need to use it. A schedule of timelines and deadlines between the departments should be prepared, and all employees should be aware of and respect the schedule. 4. HR and Payroll have established a process to work together when issuing joint memos or when issuing communications about policies and procedures that affect both departments to the rest of the district. 5. Interpretations of policy, regulation, bargaining unit contract, or law have been included in the HR/Payroll meetings as the highest priority issues to be discussed. For example, as issues with extended illness leave were discussed, interpretations of the bargaining unit contracts were clarified and staff members were trained on implementing the provisions. There is a significant need to continue working on interpretations and documenting them to ensure consistent application of these provisions over time and between departments. 26 Personnel Management 6. The district has also made progress in delineating the duties between the HR and Busi- ness departments. These areas are being discussed in joint meetings as issues arise. For example, as issues with employee leaves were discussed, it was specified that HR is to provide the advice to employees on the type of leave to be used for a particular situation. It has also been determined that, while Payroll is responsible for managing the leave ac- cruals and balances, this process is slated to be shifted to HR at a later time. Since the ini- tial report, the benefits section has been moved from HR to Business. The district needs to continue delineating the responsibilities between the two departments so that employ- ees can be trained and held responsible for performing their duties and so that customers receive more accurate and prompt information. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 5 Implementation Scale: Personnel Management 27 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. The district has developed a detailed action plan that is available on its Web site. It in- cludes the establishment of a professional development plan for HR management staff, including attending labor law consortium meetings, the ACSA Personnel Institute, annual collective bargaining training, and other events. HR will determine publications that can be purchased for professional development. This plan is to be completed by July 1, 2005. The district needs to assess the training needs of HR employees through observation and discussions, and a consideration of the following key elements: a. An analysis of who should be trained. b. Identification of who will provide the training. c. Identification of subjects to be covered in training. d. Scheduling of initial and refresher training sessions. e. Identification and development of training materials. f. An analysis of training costs and related resources. 2. The detailed action plan includes an assessment of the HR non-management staff to de- termine the need for training in areas to include, but not be limited to, understanding and proficiency with the CECC system, other database tools, customer service, recruitment/ selection, testing procedures, credentialing, workers’ compensation, retirement systems, and collective bargaining. HR will then work with the Business and Technology depart- ments, the Solano County Office of Education, CODESP, and other identified providers of training and workshops. To minimize costs during this fiscal crisis, the district should consider sending one employee to the training and having him/her present what was learned to the rest of HR. HR staff members have attended training sessions on test devel- opment from CODESP and on the CECC system from the County Office of Education. The assessment of needs for staff development for non-management staff members that was slated in the district’s action plan to be completed by March 1, 2005, is not yet com- plete. HR needs to devise a strategy that ensures that the person designated as responsible for the elements of each action plan completes the items in accordance with stated time- lines. 3. Staff members in HR have begun attending CECC training sessions and user group meet- ings, and the district intends to continue this procedure. 4. The district should continue to seek resources to fund training and professional develop- ment and to seek providers internally and externally. 28 Personnel Management Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: Personnel Management 29 5.10 Operational Procedures Professional Standard: Established staffing formulas dictate the assignment of personnel to the various sites and pro- grams. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has, in its initial proposal to the certificated employee bargaining unit, includ- ed provisions for relief from the restrictions on class size, student contacts, and custodial services. This should continue to be pursued in order to assist the district with its financial recovery and to restore some management rights. 2. The district has prepared a detailed action plan for this standard. Staffing formulas for custodians and elementary school vice principals were already in place, but the district has not recently compared these to other similar districts. In preparation for the mid-year layoff process for classified staff, the district gathered staffing formulas from other dis- tricts and developed a formula for school site clerical staff and campus supervisors. The district’s plan includes the preparation of staffing formulas for other site administrators before 2005-06. The district needs to determine the other positions where staffing for- mulas could apply and develop them. The district should also compare its formulas with those of other similar districts. The formulas should then be incorporated into board poli- cies and administrative regulations, and should be reviewed annually for staffing adjust- ments. 3. The staffing formulas developed should specify the number of full-time equivalent posi- tions (daily work hours and number of days per week) to be allocated and the length of the work year so that there is consistency between sites and so the work year matches the workload. 4. Rounding up to the next full-time equivalent (FTE) still occurs in determining the initial staffing levels for schools, but only where the program is so small that there is less flex- ibility to address enrollment changes. Generally, the results are rounded down. The dis- trict needs to develop a plan so that the necessary adjustments in staffing are done with minimal disruption to schools, but with a strong focus on minimizing the district’s cost and liability. 5. A timeline has been developed for staffing and enrollment preparations for the 2005-06 school year, designating a deadline and responsible person for each task. Enroll- ment and staffing projections were being completed at the end of March, and meetings scheduled with the schools during April. This is a much improved timeline, but in future years initial staffing projections should be completed in February and reviewed with schools in early March to ensure meeting the statutory deadlines related to reducing staff. The district has prepared a process for continual monitoring of enrollment and, when enrollment continued to decline during this year, did make some reductions mid-year by eliminating vacant positions. 30 Personnel Management Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 6 Implementation Scale: Personnel Management 31 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: The district has scheduled the detailed action plan for this standard to be completed in May 2005. Although the action plan isn’t yet completed, progress has been made in the recommended areas. 1. Each employee’s leave balance information has been audited and corrected in the system. Leave accruals now occur automatically. The district has also completed an audit of each employee’s health benefit information and corrected it in the system, addressing errors in the employee/district premium split. Benefits functions have been transferred from HR to Business. The district now compares the carrier billings to employee records to ensure proper payments. An audit of elective supplemental benefits that are fully employee paid is under way and should be completed as soon as possible. There will be a more complete health and welfare benefits process within the CECC system, which the district is prepar- ing to use. 2. Issues with the system’s audit trail have not yet been addressed. The district needs to determine whether the audit trail identifies the user for each transaction, and whether records can be deleted, leaving no audit trail. Recommendations should be made to the 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 appropri- ately kept. 3. Position control procedures have not been completed, so the district needs to include this in its detailed action plan. Staff members in Business and HR have attended more training on the CECC system, and representatives are sent to each user group meeting. Additional training is still needed for staff members who are beginners, as well as staff members who need more advanced training on generating reports. The district should request the County Office of Education to offer more frequent sessions of the basic overview training so there is timely opportunity for employees to attend. 4. The district plans to include the rest of its positions in position control in May, when it is needed for budget development. This should be included in the district’s detailed action plan for this standard. 5. A test version of the CECC system has been set up and is available at the COE for train- ing. The district should work with the county to establish a separate test version of the system that can be accessed by the districts so that users can test scenarios within the software. In addition, before more conversions of data are done (such as when the new benefits module is implemented), users should be able to convert a sampling of data into the test system and verify that the data is correct, the system functions appropriately us- ing the data, and that the users can maintain the data. 32 Personnel Management 6. HR and Business staff members attend the monthly user group meetings and share perti- nent information with other staff members. This practice should be continued and includ- ed in the detailed action plan for this standard. 7. The district should include the development of procedures in its detailed action plan so that each department involved in position control can verify or audit its own data before going to the next step. The district should train employees on these procedures and ensure that they are done correctly to minimize errors and reduce staff time required to follow audit trails and make corrections. 8. Documents “lost” in the process are now a rare occurrence. This is due to increased com- munication with other departments, especially Payroll, so that the process is streamlined and better understood. The district still needs to automate the personnel requisition pro- cess, including electronic authorizations, to eliminate paperwork. 9. HR and Business both prepare information on deadlines and timelines for internal use. However, there is no combined effort to prepare and coordinate information before send- ing it to other departments and sites. These departments need to develop a schedule of re- quirements and deadlines for information from school sites and departments. This should include the requirement that an employee’s hours or status cannot be changed and that a new employee cannot work until the paperwork is completed and approved. Training should be provided and managers held accountable for meeting deadlines and for provid- ing complete and accurate information. 10. HR and Payroll have been working together to establish procedures and guidelines for employee leaves, including how they are designated within the system. This work needs to be completed and documented, with training provided to all managers on how and when to report on employee leave situations. 11. The Budget Department still uses Excel spreadsheets to control FTE allocations by site. The district should improve the system, if necessary, to eliminate this extra step. 12. The district should determine whether tally sheets are still needed, and, if not, eliminate their use and the stipend that goes with them. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 Implementation Scale: Personnel Management 33 7.3 State and Federal Compliance Professional Standard: The certificated and classified departments of the Personnel Division have an applicant tracking system. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s timeline for developing the detailed action plan for this standard is May 2005, and there is no progress to report. This action plan should include exploration of the reporting capabilities of both ED-JOIN and the district’s Web application so that a set of management reports can be generated for use by HR and managers in other depart- ments and sites. Training should be provided for managers on how to run and interpret the reports. For example, the district should be able to run reports from the applicant da- tabase on the types of certifications and credentials that are represented in the applicant pool. 2. The district’s detailed action plan should include the implementation of an automated sys- tem that carries the application process through testing and interviews to the point of em- ployment, with an automated interface to the main human resources system. The district should also investigate the option of developing more functions within the application system that was developed in-house for the Web site versus purchasing applicant tracking software available on the market. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: 34 Personnel Management 7.5 State and Federal Compliance Professional Standard: The Personnel Division has computerized its employee database system including, but not lim- ited to: credentials, seniority lists, evaluations, personnel by funding source, program, and loca- tion, and Workers’ Compensation benefits. Progress on Implementing the Recommendations of the Improvement Plan: 1. Progress has been made in the areas of employee leave balances and benefits (see Stan- dard 7.1). 2. Progress on the test version of CECC is explained in Standard 7.1. 3. The district has scheduled completion of the detailed action plan for this standard for May 2005. There is no progress to report other than that detailed in Standard 7.1. The district needs to include an automated interface between the substitute calling system and CECC in its action plan. Properly interfaced, the process of paying substitutes, adjusting the permanent employee’s leave balance, and docking as necessary could be automated. In addition, it would allow a district-level reconciliation of substitute pay and leave/re- lease time. 4. Until the automated interface is done, the district needs to implement a manual reconcili- ation between the two systems prior to processing the substitute payroll each month. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: Personnel Management 35 8.1 Staff Training Professional Standard: The district has developed a systematic program for identifying areas of need for in-service train- ing for all employees. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has stated that the detailed action plan for this standard will be available in May 2005. The district needs to determine which of its divisions is responsible for districtwide professional development and training, most likely curriculum and instruc- tion. HR should be consulted regarding professional development needs for inclusion in the districtwide plan. HR has identified training needs, such as safety training, for some groups of employees. The Academic Achievement and Accountability Division (AAA) has developed a professional development plan for elementary school teachers. Teacher Leaders are full-time release teachers who assist elementary teachers in implementation, leadership, and assessment. They work in classrooms to inform the teachers and to devel- op leadership and collaboration among teachers. AAA has also developed a professional development plan for middle school teachers. Department chairs assist the middle school teachers in implementation, leadership, and assessment. The plan for high school teacher professional development will be ready for 2005-06. Various staff development activities are under way, but HR needs to develop the detailed action plan that includes designating the person or persons responsible for ensuring that the district has a systematic program for identifying areas of in-service training for all employees. The action plan should include the following elements: a. An analysis of who should be trained. b. Identification of who will provide the training. c. Identification of subjects to be covered in training. d. Scheduling of initial and refresher training sessions. e. Identification and development of training materials. f. An analysis of training costs and related resources. Standard Implemented: Partially November 1, 2004 Rating: 0 May, 2005 Rating: 1 Implementation Scale: 36 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. The district has stated that the detailed action plan for this standard will be available in May 2005. The plan should address the timeline for initial and follow-up training for cur- rent managers and supervisors, as well as the training of all new managers and supervi- sors on an ongoing basis. This plan should include the specification of the legal timelines required, a process for reminding managers of who must be evaluated by when, and a process for holding managers accountable for meeting the deadlines. This plan can be part of an overall plan that addresses Standards 9.1 through 9.5 on Due Process and Eval- uation. 2. The action plan should also include a provision that all staff responsible for evaluation are required to participate in an evaluation refresher in-service training conducted by dis- trict staff. The district plans to review the certificated employee evaluation process and timelines at the August management retreat. 3. The detailed action plan needs to include the requirement to file evaluations in the per- sonnel files in a timely manner. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: Personnel Management 37 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. The district has stated that the detailed action plan for this standard will be available in November 2005. The district should proceed with developing the detailed action plan to outline the content, delivery mechanism, and timeline for providing training to manag- ers and supervisors in leadership development and supervision. Development of the plan should include conducting a needs assessment among managers and supervisors seeking their input into the leadership training topics. The plan may be part of the plan for Standard 8.5, which is focused on professional development for all employees, including principals. 2. The district holds an annual retreat for all administrators before school starts. The retreat includes some training, particularly on compliance issues. There are also bimonthly meet- ings of all principals focused on building understanding of the implementation of the cur- riculum, leadership in curriculum implementation, and using assessment information to guide instruction. Regularly scheduled training sessions for all managers and supervisors should be incorporated into the district’s detailed action plan for this standard. Standard Implemented: Not Implemented November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 Implementation Scale: 38 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. The district has stated that the detailed action plan for this standard will be available in November 2005. As training and staff development workshops and trainings are de- signed, the materials for them should include handbooks or material that the participants can use when they return to work. The plan for this standard may be incorporated into the plan for Standard 8.1, which addresses professional development for all staff. Standard Implemented: Not Implemented November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 Implementation Scale: Personnel Management 39 9.1 Evaluation/Due Process Assistance Professional Standard: The evaluation process is a regular function related to each employee and involves criteria re- lated to the position. Progress on Implementing the Recommendations of the Improvement Plan: The district has stated that the detailed action plan for this standard will be available in Novem- ber 2005. The district should attempt to accomplish this sooner since evaluations for 2005-06 will depend upon the plan being in place. 1. The district should proceed with developing a detailed action plan that makes the evalu- ation process a regular function and ensures that it is based on criteria related to the position. The action plan must specifically address Board Policy 4315, which calls for management evaluation to be on a form prescribed by the Superintendent. The certifi- cated bargaining unit contract describes the exact procedure and timelines for certificated employee evaluations. The Cabinet should review all board policies that set the founda- tion for employee evaluations and make modifications in accordance with their current intent for the employee evaluation process. Specific attention must be paid to BP 4315.1, Competence to Evaluate, to determine if this is the desired process. Annual review of this policy is pursuant to Education Code, so this task should be added to the HR annual cal- endar. 2. As a part of its detailed action plan, HR needs to lead the process to review the classified employee evaluation forms and make recommendations for revision. 3. Administrative regulations and the classified employee bargaining unit contract delineate the timing of evaluations for probationary classified employees and the schedule of evalu- ations for permanent employees. There is no schedule for evaluations prescribed in policy or regulation for classified management. Confidential employees are to be evaluated on a schedule consistent with their nonconfidential peers. As a part of its detailed action plan, HR needs to develop detailed procedures, including timelines, for the evaluation of all classified personnel. This information should be presented annually to managers and su- pervisors, along with a list of classified employees to be evaluated. 4. HR should include in the detailed action plan a provision to review and improve the tracking mechanism for both certificated and classified employee evaluations. An auto- mated system should be used to track the evaluation dates, trigger notices to supervisors, and track the return of completed evaluations. This may be accomplished within the CECC system or by a separate system. Regardless, there should be an ability to generate a report of evaluations that have not been completed on time so that Cabinet can follow up and take appropriate action with the responsible manager. 5. HR should take the lead, as a part of the detailed action plan, to provide training in evalu- ation, due process, and discipline either in-house or by a third party. 40 Personnel Management 6. As a long-range plan, HR should store the blank evaluation forms on the district’s Web site so that managers and supervisors can download them when needed. 7. HR should begin to develop procedures for managers to use in assisting employees whose performance is less than satisfactory. The procedures should include resources that can be used for assistance with particular performance problems. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: Personnel Management 41 9.2 Evaluation/Due Process Assistance Legal Standard: Clear policies and practices exist for the written evaluation and assessment of classified and cer- tificated employees and managers (EC 44663). Progress on Implementing the Recommendations of the Improvement Plan: The district has stated that the detailed action plan for this standard will be available in Novem- ber 2005. The district should try to address this sooner since evaluations for 2005-06 will depend upon this plan being in place. The detailed action plan developed for Standard 9.1 should be designed to include this standard so that the policies and practices for written evaluation and as- sessment of classified and certificated employees and managers are clear and up to date. Recom- mendations for the detailed action plan include the following: 1. The Cabinet should review the board policies that set the foundation for employee evalu- ations and make modifications in accordance with their intent for the employee evalua- tion process. 2. HR should take the lead to review the classified employee evaluation forms and make recommendations regarding changes. 3. HR should develop detailed procedures, including timelines for the evaluation of classi- fied personnel. These should be delivered annually to managers and supervisors, along with a list of classified employees who are to be evaluated. 4. HR should develop a better tracking mechanism for both certificated and classified em- ployee evaluations. This should include an end-of-year report showing any outstanding evaluations. This report should be provided to the Cabinet and State Administrator so that appropriate action can be taken when managers fail to evaluate. 5. HR should begin to develop procedures for managers to use in assisting employees whose performance is less than satisfactory. The procedures should include resources that can be used for assistance with particular performance problems. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: 42 Personnel Management 9.3 Evaluation/Due Process Assistance Professional Standard: The Personnel Division provides a process for the monitoring of employee evaluations and the accountability reporting of their completion. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has stated that the detailed action plan for this standard will be available in November 2005. The district should try to move this timeline up since evaluation for 2005-06 will depend upon this plan being in place. The action plan should ensure that the evaluation process for all employees is completed correctly and timely. The plan should also include Cabinet review of the board policies that set the foundation for employee evaluations and modifications made to reflect the current intent for the employee evalua- tion process. See also Standard 9.1. 2. For classified employee evaluations, HR issued a memo in November 2004 to site ad- ministrators with lists of the names of classified employees with overdue evaluations (some were last evaluated in 1991), as well as the names of classified employees whose evaluations would be due in May. In January 2005, HR sent reminder e-mails to site ad- ministrators seeking the evaluations of classified employees that were overdue. Also, HR has developed and maintained a spreadsheet showing the status of classified employees’ evaluations. For certificated employee evaluations, HR sent a memo in September 2004 to site admin- istrators with the timeline for certificated evaluations, the guidelines about who should be evaluated, and the forms to be used. At the time the memo was issued, a list of the names of the teachers to be evaluated at a given site was not available. A reminder memo was sent to site administrators in November 2004, citing the frequency of teacher evaluations and outlining the process. In December 2004, a memo was issued to site and department administrators instructing them to provide their documentation for any releases of proba- tionary teachers to HR by February 4, 2005. An evaluation plan for high school administrators was developed and disseminated to the high school principals. The plan addressed four goals including: academic improve- ment and equity, school climate, fiscal recovery, and building capacity. The evaluations of administrators now include a component addressing their evaluation of employees under their purview. The evaluation timeline began in December 2004 and the evaluations are to be completed by July 2005. The detailed action plan to be developed for this standard should provide for automated reports that can be used to provide managers and supervisors with lists of classified and certificated employees to be evaluated, a process for following up with managers and su- pervisors on timelines, and a process for receiving and possibly reviewing all evaluations. An annual report to the Cabinet and State Administrator should be developed that informs them of the status of all evaluations. Personnel Management 43 3. HR should take the lead in providing training in evaluation, due process, and discipline. The training may be developed and delivered in-house or by a third party. 4. HR should begin to develop procedures for managers to use in assisting employees whose performance is less than satisfactory. The procedures should include resources that can be used for assistance with particular performance problems. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: 44 Personnel Management 9.4 Evaluation/Due Process Assistance Professional Standard: The Personnel Division has developed an evaluation handbook and provided due process training for managers and supervisors. Progress on Implementing the Recommendations of the Improvement Plan: The district has stated that the detailed action plan for this standard will be available in Novem- ber 2005. This timeline should be moved to May 2005 since evaluations for 2005-06 will depend upon this plan being in place. 1. The action plan should include the development of an evaluation handbook. Training us- ing the handbook should be made available to all supervisors and managers each year. See also Standard 9.1. 2. HR should take the lead in providing training in employee evaluation, due process, and discipline. The training may be developed and delivered in-house or by a third party. See also Standard 9.3. 3. Several years ago, the district provided training using the FRISK model and many of the managers have the FRISK manual to follow. The action plan should include the devel- opment of a handbook of procedures and timelines to follow in situations of employee discipline and due process. The district should consider building upon the FRISK training with follow-up and refresher training. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: Personnel Management 45 9.5 Evaluation/Due Process Assistance Professional Standard: The Personnel Division has developed a process for providing assistance to certificated and clas- sified employees performing at a less-than-satisfactory levels. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has stated that the detailed action plan for this standard will be available in November 2005. The district should try to shorten the timeline since evaluations for 2005-06 will depend upon the plan being in place. The plan should include a process for Cabinet members to review and modify the board policies that set the foundation for em- ployee evaluations. Specific attention must be paid to Board Policy 4315.1, Competence to Evaluate, to determine if this is the desired process. Annual review of this policy is pursuant to Education Code, so this task should be added to the HR annual calendar as well. See also Standards 9.1 and 9.3. 2. HR assistance is provided to site or department managers upon request. This may include training site staff or providing the format for remediation plans. Also, some training on conducting walkthroughs in classrooms has been provided. HR needs to take the lead in providing a full complement of training sessions in employee evaluation, due process, and discipline. 3. As a part of the detailed action plan, HR should plan to store the evaluation forms on the district’s Web site so that managers and supervisors can download them when needed. 4. The district should quickly develop processes and timelines for evaluators to use to assist employees whose performance is less than satisfactory. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: 46 Personnel Management 11.1 Employer/Employee Relations Professional Standard: The district has collected data that compare the salaries and benefits of its employees with dis- tricts of similar size, geographic location, and other comparable measures. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has completed the detailed action plan for this standard, including the following com- ponents: a. Identify comparable districts based on size, location, funding, and type of district. This task was completed in February 2005, resulting in a list of similar nearby dis- tricts. b. Collect copies of bargaining unit agreements from the comparable districts. This has been completed for the certificated bargaining unit. Language from other district con- tracts was used to develop the district’s initial proposal to the certificated bargaining unit in February (see Standard 11.4). c. Review the collective bargaining unit contracts and statewide databases to compare salary levels at the beginning, middle, and top of the salary schedule, as well as the levels of health and welfare benefits. The district is researching and preparing these materials. For the certificated unit, the district can access a statewide database that has the data. Information on health and welfare benefits for both certificated and classified employees has been collected, as the district has determined this to be a critical area of focus for the current negotiations. d. Using the bargaining process described in the detailed action plan for Standard 11.4, analyze comparability on an annual basis. The district needs to specify the timeline for this each year, as well as the sources and methods to be used as it develops the procedures to address this area. e. The district should add staffing and enrollment, revenues, expenditures, and other fi- nancial data to its 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 Implementation Scale: Personnel Management 47 11.2 Employer/Employee Relations Professional Standard: The Personnel Division involves site-level administrators in the bargaining and labor relations decision-making process. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has developed the detailed action plan for this standard, including the responsible staff member(s), to address this standard. The detailed action plan provides for: a. Involving administrators in the development of proposed language for the certificated bargaining unit contract. The district held a number of meetings involving adminis- trators, and used the results of a survey of administrators to establish priorities and proposed changes to the contract. This input was used in developing the language contained in the district’s initial proposal as presented in February 2005. The district should continue to solicit input from the Leadership Team as revised proposals are discussed at the bargaining table throughout the negotiating process. After the nego- tiations are completed, HR should lead a discussion at a Leadership Team meeting, presenting the general results of the negotiations process and soliciting feedback and suggestions on how to improve the process for soliciting input and for keeping the Leadership Team informed about negotiations. b. Soliciting input from administrators and managers in the development of the district’s proposal to the classified bargaining unit. This was done by way of a survey to all managers for use in developing the initial proposal to the classified bargaining unit in March 2005. As recommended under “a” above, the Leadership Team should be kept informed and have input throughout the negotiations process, and a feedback loop needs to be provided at the conclusion of negotiations. c. Beginning in 2005-06, after the successor agreements are in place, providing each member of the Leadership Team with a copy of each contract, who will make contract interpretation notes within the document to track information related to each article, such as: dates and responses to grievances; grievance resolutions; other informal meetings with employees or groups of employees related to interpretation of contract language; provisions that are unclear, confusing, or ambiguous; language that is unworkable or creates a barrier to quality education and/or effective and efficient district operations. This is slated to commence by September 2005. d. HR gathering implementation notes from all Leadership Team members on or before December 31 of each year and using this information to assist with crafting re-opener or successor contract language. This information gathering will be completed for the first time by December 31, 2005. Although not specified in the district’s detailed ac- tion plan, the HR department’s records on grievance activity and employee meetings about contract issues would be included in this step. 48 Personnel Management e. HR staff meeting with members of the district negotiating teams to review the sugges- tions and draft re-opener language or proposals for successor agreements. f. At the February meeting of the Leadership Team, HR engaging administrators in a critique of the draft language. g. In collaboration with Fiscal Services, HR analyzing the fiscal impact of the proposed language. h. Using feedback from the above steps, HR preparing a proposal to sunshine no later than the second board meeting in February for the certificated bargaining unit and March for the classified bargaining unit. 2. HR should continue to implement the provisions of this action plan, and refine it to in- clude more specific time frames for each activity. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 3 Implementation Scale: Personnel Management 49 11.3 Employer/Employee Relations Professional Standard: The Personnel Division provides all managers and supervisors (certificated and classified) train- ing in contract management with emphasis on the grievance process and administration. The Personnel Division 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. HR has completed the detailed action plan to address this standard, with the components as follows: a. Training on leaves of absence, along with a one-page protocol on managing employee leaves, will be provided to the Leadership Team at the start of each new school year. This is slated to be completed for the first time in August 2005. b. Training will be provided on the evaluation and discipline of classified employees at Leadership Team meetings starting in August. This training will be repeated in Sep- tember of each year. The FRISK model and manuals will be used for this training. c. Training will be provided to the Leadership Team at the start of each school year on the certificated employee evaluation process. d. Training will be provided to the Leadership Team at the start of each school year on the grievance procedures for both certificated and classified employees. e. As changes are made to the collective bargaining unit agreements, training will be provided to the Leadership Team on their implementation and management. HR will also provide clearly defined forms and procedures in the handling of grievances. f. Purging old forms when new forms are developed to be consistent with new policy or contract language. An online district forms management system will be explored. At a minimum, the forms should be made available on the district’s Web site for adminis- trators and managers to download as needed. g. Training will be provided annually on contract management and grievances. This will be added to the annual calendar for HR. HR has already prepared information for administrators and managers and has provided some training to the Leadership Team in such areas as employee leaves and evaluations, but no formal comprehensive training on contract management has been held this year. The district’s detailed action plan should continue to be implemented, notably with the full complement of preparation and training to be completed for the first time by August or September 2005. 50 Personnel Management 2. The detailed action plan for this standard needs to be augmented to provide for contract management training as new managers and administrators are appointed. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 3 Implementation Scale: Personnel Management 51 11.4 Employer/Employee Relations Professional Standard: The Personnel Division 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 district has prepared a detailed action plan to address this standard. The plan contains the following provisions: a. HR will facilitate the process of developing a set of “VCUSD Core Beliefs” that will be used to guide decision making in the collective bargaining process. 1) These “Core Beliefs” will be used in the development of proposed contract lan- guage for consistency with the district’s goals and the mandates and expectations set by the state. 2) The “Core Beliefs” will be communicated to all employee groups, the Governing Board, and the public. 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. 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 future years. d. The HR annual calendar will contain dates for the sunshining of contract re-openers and/or full successor agreements with the certificated bargaining unit in February and the classified bargaining unit in March. For this year, the February 2005 time frame has been met for the certificated contract, and the March time frame for the classified contract. e. The process described in Standard 11.2 will be used annually to involve site-level administrators in the bargaining process. The district conducted several planning sessions in preparation for bargaining with the certificated unit. Administrators were asked for input on which contract provisions were the most difficult to implement or provided the most significant impediments to the edu- cational process. Also, collective bargaining contracts from other districts were collected and reviewed to determine options for improving contract language. The input from ad- ministrators and the language options were then reviewed by the district, and the initial 52 Personnel Management proposal to the certificated bargaining unit was prepared to include specific language to resolve the highest priority areas. This initial proposal was formally presented in Febru- ary 2005. The district also solicited input from administrators and managers on the classified bar- gaining unit contract and used this information to prepare its initial proposal in March 2005. 2. In its initial proposal for the certificated bargaining unit contract, the district included language to address most of the areas of concern in the contract. The items not specifi- cally addressed in the district’s initial proposal included: (c) Department Chairs and Team Leaders (3.11), (e) Professional Growth (4.1), (h) Personal Necessity Leave (7.1.4), and (k) Personal Property Damage (9.5). These provisions were not as significant in terms of the financial or educational impact on the district, and can be addressed in future succes- sor contract negotiations. The district did include the provisions with the most significant financial impact (and therefore the most potential for improvement of the budget picture) in its initial proposal. The district needs to continue to be diligent in its information gath- ering and costing of various proposals as negotiations progress, to ensure that significant financial relief is provided from the restrictiveness of the contract. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 4 Implementation Scale: Personnel Management 53 11.5 Employer/Employee Relations Professional Standard: The Personnel Division has a process that provides management and the board with informa- tion on the impact of bargaining proposals, e.g., fiscal, staffing, management flexibility, student outcomes. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has scheduled the detailed action plan for this standard to be completed in May 2005. The district is conducting the negotiations process with both of its bargaining units. HR needs to work with Fiscal Services to develop a process that provides manage- ment and the board with information on the fiscal, staffing, management flexibility, and student outcome impact of bargaining proposals. 2. The district needs to implement the process to provide a multiyear financial impact for every proposal. The analysis should be done on a spreadsheet or other multiyear projec- tion software that can be updated quickly and easily. Standard Implemented: Not Implemented November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 Implementation Scale: 54 Personnel Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus PROFESSIONAL STANDARD - ORGANIZATION AND PLANNING 1.1 An updated and detailed policy and procedures 1 1 ❑ manual exists that delineates the responsibilities and operational aspects of the personnel office. 1.2 PROFESSIONAL STANDARD - ORGANIZATION AND PLANNING The district has clearly defined and clarified roles 1 1 ❑ for board and administration relative to recruit- ment, hiring, evaluation and dismissal of employ- ees. 1.3 PROFESSIONAL STANDARD - ORGANIZATION AND PLANNING The Personnel Division has developed a mission statement that sets clear direction for personnel 2 2 ❑ staff. The Personnel Division has established goals and objectives directly related to the district’s goals that are reviewed and updated annually. 1.4 PROFESSIONAL STANDARD - ORGANIZATION AND PLANNING The Personnel Division has an organizational chart 0 and a functions chart that include the names, posi- tions and job functions of all staff in the Personnel Division. 1.5 PROFESSIONAL STANDARD - ORGANIZATION AND PLANNING The Personnel Division has a monthly activities 2 4 ❑ calendar and accompanying lists of ongoing per- sonnel activities to be reviewed by staff at plan- ning meetings. 1.6 PROFESSIONAL STANDARD - ORGANIZATION AND PLANNING The Personnel Division head is a member of the 10 Superintendent’s cabinet and participates in decision making early in the process. 2.1 PROFESSIONAL STANDARD - COMMUNICATIONS: INTERNAL/EXTERNAL The Personnel Division utilizes the latest tech- 2 3 ❑ nological equipment for incoming and outgoing communications. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Personnel Management 55 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 2.2 PROFESSIONAL STANDARD - COMMUNICATIONS: INTER- NAL/EXTERNAL The personnel and business divisions have developed 3 and distributed a menu of services that includes the activities performed, the individual responsible, and the telephone numbers where they may be contacted. 2.3 PROFESSIONAL STANDARD - COMMUNICATIONS: INTER- NAL/EXTERNAL 0 The Personnel Division provides an annual report of activities and services provided during the year. 2.4 PROFESSIONAL STANDARD - COMMUNICATIONS: INTERNAL/EXTERNAL 1 1 ❑ The Personnel Division staff is cross-trained to respond to client need without delay. 2.5 PROFESSIONAL STANDARD - COMMUNICATIONS: INTERNAL/EXTERNAL 0 6 ❑ The Personnel Division holds regularly scheduled staff meetings. 2.6 PROFESSIONAL STANDARD - COMMUNICATIONS: INTER- NAL/EXTERNAL 4 Various publications are provided on a number of subjects to orient and inform various clients. 3.1 LEGAL STANDARD - EMPLOYEE RECRUITMENT/SELEC- TION The Governing Board provides equal employment 5 opportunities for all people without regard to race, color, creed, sex, religion, ancestry, national origin, age, or disability (EC 44100-44105). 3.2 PROFESSIONAL STANDARD - EMPLOYEE RECRUITMENT/ SELECTION Employment procedures and practices are conducted 5 in a manner that ensures equal employment opportu- nities. Written hiring procedures are provided. 3.3 PROFESSIONAL STANDARD - EMPLOYEE RECRUITMENT/ SELECTION 5 The job application form requests information that is legal, useful, pertinent, and easily understood. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 56 Personnel Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.4 PROFESSIONAL STANDARD - EMPLOYEE RECRUIT- MENT/SELECTION The Personnel Division has a recruitment plan that contains recruitment goals, including the target- ing of hard-to-fill positions such as those in the areas of math, science, special education and bi- 0 1 ❑ lingual 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 recruitment plan. 3.5 PROFESSIONAL STANDARD - EMPLOYEE RECRUIT- MENT/SELECTION The district has developed materials that promote 3 3 ❑ the district and community, are attractive, infor- mative and easily available to all applicants and other interested parties. 3.6 PROFESSIONAL STANDARD - EMPLOYEE RECRUIT- MENT/SELECTION The district has identified people to participate in recruitment efforts, including principals, dis- 2 2 ❑ trict personnel and others, as appropriate, and has provided them with adequate training to carry out the district’s recruitment goals. 3.7 PROFESSIONAL STANDARD - EMPLOYEE RECRUITMENT/ SELECTION The district has effectively identified a variety of suc- 2 cessful recruitment sources, including Web sites, job fairs, colleges and universities and publications. 3.8 PROFESSIONAL STANDARD - EMPLOYEE RECRUITMENT/ SELECTION The district has developed an annual written summa- ry report of its recruitment efforts, including data de- tailing the goals for the year, sites visited, number of 0 candidates contacted, employees hired as a result of the recruitment efforts and plans for any changes for the following year. This information can be provided as part of the division's annual report of personnel activities as called for in Standard 2.3. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Personnel Management 57 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.9 PROFESSIONAL STANDARD - EMPLOYEE RECRUITMENT/ SELECTION The district has developed alternative teacher certifi- 0 cation programs and process (i.e., preintern, intern, committee on assignment). 3.10 PROFESSIONAL STANDARD - EMPLOYEE RECRUITMENT/ SELECTION 5 The district is preparing to address new federal regu- lations as they relate to the No Child Left Behind Act. 3.11 PROFESSIONAL STANDARD - EMPLOYEE RECRUITMENT/ SELECTION The district systematically initiates and follows up on 4 reference checking on all applicants being considered for employment. 3.12 PROFESSIONAL STANDARD - EMPLOYEE RECRUITMENT/ SELECTION 10 Selection procedures are uniformly applied. 3.13 LEGAL STANDARD - EMPLOYEE RECRUITMENT/SE- LECTION 1 4 ❑ The district appropriately monitors teacher assign- ments and reports as required under EC 44258.9. 3.14 PROFESSIONAL STANDARD - EMPLOYEE RECRUITMENT/ SELECTION 4 Appropriateness of required tests for specific classi- fied positions is evident. 3.15 LEGAL STANDARD - EMPLOYEE RECRUITMENT/SELEC- TION The district has implemented procedures to comply 1 with state legislation governing short-term employ- ees (EC 45103). 3.16 LEGAL STANDARD - EMPLOYEE RECRUITMENT/SELEC- TION Not In merit system districts, recruitment and selection appli- for classified service are delegated to the Personnel cable Commission (EC 45240-45320). The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 58 Personnel Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.17 LEGAL STANDARD - EMPLOYEE RECRUITMENT/SELEC- TION Not The Personnel Commission prepares an eligibility list appli- of qualified candidates for each classified position cable that is open, indicating the top three candidates (EC45272-45278) 3.18 PROFESSIONAL STANDARD - EMPLOYEE RECRUITMENT/ Not SELECTION appli- Classified recruitment results are provided in an an- cable nual report to the Personnel Commission Board. 4.1 PROFESSIONAL STANDARD - EMPLOYEE INDUCTION AND ORIENTATION Initial orientation is provided for all new staff, 5 5 ❑ and orientation handbooks are provided for new employees in all classifications: substitutes, teachers and classified employees. 4.2 PROFESSIONAL STANDARD - EMPLOYEE INDUCTION AND ORIENTATION The Personnel Division has developed a video pre- 0 sentation (e.g., tape, CD-ROM, DVD) of the district activities and expectations for new employee orienta- tion. 4.3 PROFESSIONAL STANDARD - EMPLOYEE INDUCTION AND ORIENTATION The Personnel Division has developed an employment checklist to be used for all new employees that in- 6 cludes district forms and state and federal mandated information. The checklist is signed by the employee and kept on file. 5.1 PROFESSIONAL STANDARD - OPERATIONAL PROCE- DURES 4 Personnel files are complete, well-organized and up to date. 5.2 PROFESSIONAL STANDARD - OPERATIONAL PROCE- DURES Personnel Division nonmanagement staff members 0 1 ❑ have individual desk manuals for all of the per- sonnel functions for which they are held respon- sible. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Personnel Management 59 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 5.3 PROFESSIONAL STANDARD - OPERATIONAL PROCE- DURES The Personnel Division has an operation proce- 0 1 ❑ dures manual for internal department use in order to establish consistent application of personnel actions. 5.4 PROFESSIONAL STANDARD - OPERATIONAL PROCE- DURES The Personnel Division has a process in place to systematically review and update job descriptions. 1 1 ❑ These job descriptions shall be in compliance with the Americans with Disabilities Act (ADA) require- ments. 5.5 PROFESSIONAL STANDARD - OPERATIONAL PROCE- DURES The Personnel Division has procedures in place that allow for both personnel and payroll staff to 0 5 ❑ meet regularly to solve problems which develop in the process of new employees, classification changes and employee promotions. 5.6 PROFESSIONAL STANDARD - OPERATIONAL PROCE- DURES Wage and salary determination and ongoing imple- 4 mentation are handled without delays and conflicts (substitutes, temporary employees, stipends, shift differential, etc.). 5.7 PROFESSIONAL STANDARD - OPERATIONAL PROCE- DURES 2 Regulations or agreements covering various types of leaves are fairly administered. 5.8 PROFESSIONAL STANDARD - OPERATIONAL PROCE- DURES Personnel staff members attend training sessions/ 3 4 ❑ workshops to keep abreast of the most current ac- ceptable practices and requirements facing per- sonnel administrators. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 60 Personnel Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 5.9 PROFESSIONAL STANDARD - OPERATIONAL PROCE- DURES The Personnel Division provides employees with ap- 5 propriate forms for documenting requested actions (e.g., leaves, transfers, resignations, retirements). 5.10 PROFESSIONAL STANDARD - OPERATIONAL PROCE- DURES Established staffing formulas dictate the assign- 1 6 ❑ ment of personnel to the various sites and pro- grams. 6.1 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE Policies and regulations exist regarding the imple- mentation of fingerprinting requirements for all 8 employees. Education Codes: 44237, 45125, 45125.1, 44332.6, 44346.1, 44830.1, 45122.1. 6.2 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE The Governing Board requires every employee to pres- 8 ent evidence of freedom from tuberculosis as required by state law (EC 44839, 49406). 6.3 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE No person is employed as a teacher’s aide unless that person has passed the basic reading, writing, and 4 mathematic skills proficiencies required for gradua- tion from high school (EC 45361.5). 6.4 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE A clear implemented policy exists on the prohibition 5 of discrimination (Government Code 11135). 6.5 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE All certificated employees hold one or more valid cer- tificates, credentials or life diplomas that allow the 4 holder to engage in school services designated in the document (EC 44006). 6.6 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE Duties to be performed by all persons in the classified service and other positions not requiring certification 1 are fixed and prescribed by the Governing Board (EC 45109). The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Personnel Management 61 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 6.7 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE Professional growth requirements for maintenance of 10 a valid credential exist (EC 44277). 6.8 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE The district has established a process by which all required notices and in-service training sessions have been performed and documented such as those for 8 child abuse reporting, blood-borne pathogens, sexual harassment and nondiscrimination. (EC 44691, GC 8355). 6.9 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE The district is in compliance with Title IX policies on discrimination and Government Code 12950(a) post- 9 ing requirements concerning harassment or discrimi- nation. 6.10 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE The district is in compliance with the Consolidated 2 Omnibus Budget Reconciliation Act of 1986 (COBRA). 6.11 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE The district is in compliance with the Family Medi- 1 cal Leave Act (FMLA) including posting the proper notifications. 6.12 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE The district is in compliance with the Americans with Disabilities Act (ADA) in application procedures, hir- 2 ing, advancement or discharge, compensation, job training and other terms, conditions, and privileges of employment. 6.13 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE The district has identified exempt and nonexempt employees and has promulgated rules and regulations 1 for overtime that are in compliance with the Fair Labor Standards Act and California statutes. 6.14 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE Current position descriptions are established for each 1 type of work performed by certificated and classified employees (EC 35020) The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 62 Personnel Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 6.15 LEGAL STANDARD - STATE AND FEDERAL COMPLIANCE The district obtains a criminal record summary from the Department of Justice before employing an in- 8 dividual, and does not employ anyone who has been convicted of a violent or serious felony (EC 44332.6, 44346.1, 45122.1). 7.1 PROFESSIONAL STANDARD - USE OF TECHNOLOGY An online position control system is utilized and 4 5 ❑ is integrated with payroll/financial systems. 7.2 PROFESSIONAL STANDARD - USE OF TECHNOLOGY The Personnel Division provides an automated sub- stitute calling system. The system has the ability to 5 input and retrieve data. Data should be distributed to site and program managers. 7.3 PROFESSIONAL STANDARD - USE OF TECHNOLOGY The certificated and classified departments of 2 2 ❑ the Personnel Division have an applicant tracking system. 7.4 PROFESSIONAL STANDARD - USE OF TECHNOLOGY The Personnel Division has a program of providing 0 funds and time for staff training and skills develop- ment in the use of computers. 7.5 PROFESSIONAL STANDARD - USE OF TECHNOLOGY The Personnel Division has computerized its em- ployee database system including, but not limited 3 4 ❑ to: credentials, seniority lists, evaluations, per- sonnel by funding source, program, location, and Workers’ Compensation benefits. 8.1 PROFESSIONAL STANDARD - STAFF TRAINING The district has developed a systematic program 0 1 ❑ for identifying areas of need for in-service train- ing for all employees. 8.2 LEGAL STANDARD - STAFF TRAINING The district makes provisions for department-directed 0 staff development activities (EC 52034(g)). 8.3 LEGAL STANDARD - STAFF TRAINING Teachers and other professional school services 4 personnel are provided with diversity training (EC 44560). The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Personnel Management 63 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 8.4 LEGAL STANDARD - STAFF TRAINING The district has adopted policies and procedures 9 regarding the recognition and reporting of sexual harassment (GC 12940). 8.5 PROFESSIONAL STANDARD - STAFF TRAINING The district provides training for all management 2 2 ❑ and supervisory staff responsible for employee evaluations. 8.6 PROFESSIONAL STANDARD - STAFF TRAINING The district provides training opportunities to managers and supervisors in leadership devel- opment and supervision. Training topics might 0 0 ❑ include interpersonal relationships, effective supervision, conflict resolution, cultural diversity and gender sensitivity, team building. 8.7 PROFESSIONAL STANDARD - STAFF TRAINING The district develops handbooks and materials for 0 0 ❑ all training components. 9.1 PROFESSIONAL STANDARD - EVALUATION/DUE PRO- CESS ASSISTANCE The evaluation process is a regular function relat- 2 2 ❑ ed to each employee and involves criteria related to the position. 9.2 LEGAL STANDARD - EVALUATION/DUE PROCESS AS- SISTANCE Clear policies and practices exist for the written 2 2 ❑ evaluation and assessment of classified and cer- tificated employees and managers (EC 44663). 9.3 PROFESSIONAL STANDARD - EVALUATION/DUE PRO- CESS ASSISTANCE The Personnel Division provides a process for the 2 2 ❑ monitoring of employee evaluations and the ac- countability reporting of their completion. 9.4 PROFESSIONAL STANDARD - EVALUATION/DUE PRO- CESS ASSISTANCE The Personnel Division has developed an evalua- 2 2 ❑ tion handbook and provided due process training for managers and supervisors. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 64 Personnel Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 9.5 PROFESSIONAL STANDARD - EVALUATION/DUE PRO- CESS ASSISTANCE The Personnel Division has developed a process for 2 2 ❑ providing assistance to certificated and classified employees performing at less-than-satisfactory levels. 9.6 PROFESSIONAL STANDARD - EVALUATION/DUE PRO- Not CESS ASSISTANCE appli- The board evaluates the Superintendent based upon cable preapproved goals and objectives. 10.1 PROFESSIONAL STANDARD - EMPLOYEE SERVICES The Personnel Division has developed a program for 4 retirement counseling, including: STRS counseling, PERS counseling, and “life after retirement.” 10.2 PROFESSIONAL STANDARD - EMPLOYEE SERVICES The Personnel Division has developed recognition 0 programs for all employee groups. 10.3 PROFESSIONAL STANDARD - EMPLOYEE SERVICES The Personnel Division has available to its employees 4 various referral agencies to assist employees in need. 10.4 PROFESSIONAL STANDARD - EMPLOYEE SERVICES Employee benefits are well understood by employees through periodic printed communications provided by 8 the Personnel Division. Timely notification of annual open enrollment periods is sent to all employees. 10.5 PROFESSIONAL STANDARD - EMPLOYEE SERVICES The Personnel Division provides new hires and current employees with a detailed explanation of benefits, 5 the effective date of coverage, along with written information outlining their benefits and when enroll- ment forms must be returned to implement coverage. 10.6 PROFESSIONAL STANDARD - EMPLOYEE SERVICES Employees are provided the state's injury report form 9 (DWC Form 1) within one working day of having knowledge of any injury or illness. 10.7 PROFESSIONAL STANDARD - EMPLOYEE SERVICES The district notifies the third party administrator of an employee’s claim of injury within five working 9 days of learning of the injury and forwards a com- pleted form 5020 to the insurance authority. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Personnel Management 65 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 10.8 PROFESSIONAL STANDARD - EMPLOYEE SERVICES The district’s workers’ compensation experiences and 3 activities are reported periodically to the Superinten- dent’s cabinet. 10.9 PROFESSIONAL STANDARD - EMPLOYEE SERVICES The workers’ compensation unit is actively involved 5 in providing injured workers with an opportunity to participate in a modified duty program. 10.10 PROFESSIONAL STANDARD - EMPLOYEE SERVICES The workers’ compensation unit maintains the Califor- nia OSHA log for all work sites and a copy is posted 5 at each work site during the month of February as required. 10.11 PROFESSIONAL STANDARD - EMPLOYEE SERVICES The district does not pay temporary disability ben- 7 efits during those times when an employee is in an extended nonpay status. 11.1 PROFESSIONAL STANDARD - EMPLOYER/EMPLOYEE RELATIONS The district has collected data that compare the 0 3 ❑ salaries and benefits of its employees with dis- tricts of similar size, geographic location and other comparable measures. 11.2 PROFESSIONAL STANDARD - EMPLOYER/EMPLOYEE RELATIONS The Personnel Division involves site-level admin- 0 3 ❑ strators in the bargaining and labor relations deci- sion making process. 11.3 PROFESSIONAL STANDARD - EMPLOYER/EMPLOYEE RELATIONS The Personnel Division provides all managers and supervisors (certificated and classified) training in contract management with emphasis on the 1 3 ❑ grievance process and administration. The Person- nel Division provides clearly defined forms and procedures in the handling of grievances for its managers and supervisors. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 66 Personnel Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 11.4 PROFESSIONAL STANDARD - EMPLOYER/EMPLOYEE RELATIONS The Personnel Division provides a clearly defined 0 4 ❑ process for bargaining with its employee groups (i.e., traditional, interest-based). 11.5 PROFESSIONAL STANDARD - EMPLOYER/EMPLOYEE RELATIONS The Personnel Division has a process that provides management and the board with information on 0 0 ❑ the impact of bargaining proposals, e.g., fiscal, staffing, management flexibility, student out- comes. 11.6 LEGAL STANDARD - EMPLOYER/EMPLOYEE RELATIONS Bargaining proposals and negotiated settlements are "sunshined" in accordance with the law to allow public input and understanding of employee cost 4 implications and, most importantly, the effects on the children of the district (EC 3547, 3547.5, and GC 41242). 12.1 LEGAL STANDARD - EMPLOYEE BENEFITS/WORKERS' COMPENSATION The district has its self-insured workers' compensa- 0 tion programs reviewed by an actuary in accordance with Education Code Section 17566 and filed with the county office of education. 12.2 PROFESSIONAL STANDARD - EMPLOYEE BENEFITS/ WORKERS' COMPENSATION 9 Timely notice of annual open enrollment period is sent to all eligible employees The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Personnel Management 67 Financial Management This first six-month progress report on Financial Management is based on a review of 39 priority standards from the Assessment and Improvement Plan addressing various internal fiscal opera- tions. The district has made modest improvement in some operational areas, with the greatest im- provement in the area of management information systems. The district has developed an action plan and timelines to address the priority standards. For standards that have not made significant progress in this first six-month period, the action plan and timelines indicate when they will be achieved. Organization and Staffing The Assessment and Improvement Plan issued in November 2004 reported that the district lacked current board policies, processes and procedures for effective financial management. Board poli- cies still need to be updated as soon as possible and communicated to all employees so that per- formance expectations can be understood and employees held accountable. The district’s fiscal employees would benefit from further staff development and training. The district has provided some specific examples of training, such as on the Aeries system, on running budget reports and on budget development, but significant training support is still needed. Business office administrators need to find ways to improve staff morale and rebuild trust at all levels in the office. Changes in policies and procedures also need to be communicated to busi- ness service users at the sites by offering staff training before each new school year begins and as changes occur. An organizational structure needs to be developed that clearly delineates the responsibilities of business office managers, supervisors, and employees. Some of the lines of authority are still blurred. Job descriptions are being discussed and reviewed and are to be realigned as necessary. All employees, including managers and supervisors, need to be held accountable for performing their job duties effectively and efficiently, but written documentation of what those responsibili- ties include needs to be provided to them. Sites and departments also need to know who in the business office to contact when they have questions. Employee evaluations have not occurred for many years. Employees need to know the standards by which they will be evaluated. The human resources department is working to monitor evalu- ation practices and to ensure that employee performance evaluations are prepared on a regular basis. Budget Development and Monitoring The Fiscal Director and Chief Financial Officer have completed a budget development packet that clearly identifies budget criteria, budget guidelines, a budget calendar, budget assumptions, and responsibilities for the 2005-06 budget planning. If successfully implemented, the develop- ment of the 2005-06 budget will reflect the commitment of all stakeholders in addressing the district’s financial condition. The budget process is designed to include collaboration with site administrators and department and program managers, and the involvement of the community. The structured process must continue throughout the year to monitor and maintain a balanced budget and adhere to the district’s priority of regaining fiscal solvency. Financial Management 1 The district’s first interim report, although submitted to the Solano COE by the December 15, 2004 deadline, did not include all required components and did not clearly project the shortfalls of the current and two subsequent fiscal years. Enrollment and ADA tracking and projections were not used in the first interim process to project the current and subsequent year revenue and expenditure information. The consultant hired to improve communications and serve as the media spokesperson also assists with enrollment and ADA tracking and reporting. The improved student enrollment and attendance data was not used in the early projections. Internal Controls The internal audit position is currently being reformulated and will soon be advertised for hire. This position, when filled, should provide ongoing reviews of district operations and should as- sist in deterring and detecting fraud and/or theft. Online purchase requisitions are being used and many sites and departments are now able to run their own budget reports. Teaching the departments and sites to perform these functions is reinforcing site and department responsibility for their local budgets. Once this process is fully implemented at all sites and departments, it should improve the timeliness of financial informa- tion and efficiency of site and program operations, and provide greater internal control of re- sources. One-on-one training on the online purchase requisition system and budget reports has been provided to the site/department staff as each site has acquired online capability. All sites and departments are expected to have this capability before the start of the 2005-06 school year. The online position control system is in the process of being fully utilized and strong internal controls are being implemented. When the position control system is fully utilized, salary and benefit accounts will have additional controls in place to accurately represent the true cost of personnel expenditures. In addition, the district now requires all hiring to be done through the human resources department, and not by a specific site or department. Attendance and Enrollment All sites appear to be satisfied with the new Aeries attendance accounting system, indicating that it is user friendly and easier than previous systems. There is no system manual in place, but sites have some handouts from the trainings. Attendance taking is still done manually at some sites. The district should encourage all sites to implement online attendance taking. Training for principals and site attendance staff should be continued to address the issues of reporting attendance correctly and increasing student attendance. The district should develop policies and procedures for instituting and implementing programs that would increase student attendance. Multiyear Projections The district prepared a multiyear projection (MYP) as part of the 2004-05 first and second interim reports, which is a requirement of interim report submittals. MYP assumptions were contained in a separate Budget Options document, but additional, more specific, information is needed such as information on step and column or class increases for employees, increases in health and welfare insurance premiums, changes in district property and liability insurance, and increases in utilities costs. These items were mentioned but no cost amounts were specified. 2 Financial Management The district indicated deficit reductions of $10-$12 million in 2005-06 and $5-7 million in 2006- 07 as part of the MYP. Since the specific budget adjustments are being discussed and have not yet been approved by the State Administrator, the inclusion of these amounts in the MYP for both the first and second interim submissions is questionable. Only approved budget adjustments should be part of a projection. Use of Technology The district’s technology department is functioning well under new leadership. A new policy routes all communication with the department through the technology help desk, which has en- abled the department to increase its efficiency and effectiveness. The district is also in the pro- cess of switching its Internet service provider, which will save a significant amount of money. The technology department staff members now feel involved in district technology decisions. District and school site administrators include and support the department in technology plan- ning activities. The State Administrator helped ensure the success of the new student information system implementation. A focus on cross training among all positions is occurring and individual training is now being offered to all technology staff. This training will enable the district to be less reliant on vendors for support. Collective Bargaining The State Administrator invited the district’s union leadership to begin the negotiations process as early as possible to collaboratively address the necessary expenditure reductions needed in the 2005-06 budget. With the certificated contract, the district conducted an analysis of current contract language and identified those articles that were determined to impede efficient district operations and fiscal recovery. The district sought existing contract language from other opera- tional certificated contracts in California and has proposed replacing current contract language with language from those other contracts. A revised certificated contract document has been sunshined as the district’s initial proposal. The district expends approximately 90% of its budget for contractually obligated salaries and benefits, as reflected in the 2002-03, 2003-04 and 2004- 05 budgets. Negotiations with the associations are continuing. Any collective bargaining agreement the district negotiates will need to be fully disclosed with detailed information regarding the agreement’s impact on the operating budget, total costs in- cluding statutory benefits, and the multiyear impact. Any district with a qualified or negative certification under Education Code 42131 needs to allow the County Office of Education at least six working days to review and comment on any proposed collective bargaining agreement prior to ratification. The passage of AB 2756 has increased the number of days for COE review from six to ten. Financial Management 3 4 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. Board policies do not adequately address integrity or behavioral expectations. Poli- cies need to be developed and approved as soon as possible, and communicated to all employees. 2. The State Administrator and new Business Office administrators are communicating their expectations to employees, and are demonstrating integrity and ethical behavior in their daily activities. 3. Employees are hopeful, but trust and morale are still low. Business Office administra- tors should communicate new policies and expectations to employees and find ways to improve morale and rebuild trust at all levels. 4. Not all employees are cooperating or making the necessary changes in attitude or work ethics that are necessary to reach maximum efficiency. Employees should be encouraged to adapt to the changes, accept more responsibility, and become more ef- ficient in their daily work activities. 5. Business Office administrators should continue to establish new lines of communica- tion with employees to encourage teamwork and more effective and efficient work procedures. 6. New administrators are beginning to set standards of behavior for all employees to follow. Employees have not been evaluated for several years. Employees should be evaluated annually by their supervisors, and held accountable for appropriate behavior at all times. 7. Disciplinary action for inappropriate behavior is still not uniformly enforced. Employee discipline should be enforced in a fair and consistent manner. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: Financial Management 5 1.4 Internal Control Environment—Organizational Structure Professional Standard: The organizational structure clearly identifies key areas of authority and responsibility. Reporting lines are clearly identified and logical within each area. [SAS-55, SAS-78] Progress on Implementing the Recommendations of the Improvement Plan: 1. The lines of authority and supervision are still blurred. The business division should develop an organizational structure that clearly delineates the responsibilities of man- agers, supervisors and employees. Job descriptions should be realigned as necessary. 2. Some areas of the business operations do not have adequate supervision, such as the warehouse and until recently, Payroll. A Payroll supervisor was recently hired. Some supervisors function as clerical staff, perform duties that are not within their job de- scription, or are ineffective in their capacity as a supervisor. All employees, including managers and supervisors, should be held accountable for performing their job duties effectively and efficiently. 3. Accounting employees often ask one long-term employee for assistance, even though that person has been given a different job assignment. Highly qualified employees should be hired to fill vacancies, and training for staff should be provided to lessen the frequency of staff asking a specific employee for assistance. 4. The business division continues to make positive changes to improve efficiency and the work environment. These changes and the resulting performance expectations should be communicated to all employees. 5. The district should work closely with the bargaining units to implement necessary changes to improve district operations. Contract negotiations are in progress. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: 6 Financial Management 1.7 Internal Control Environment—Staff Evaluations 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 is- sues and establishes goals to improve future performance. Progress on Implementing the Recommendations of the Improvement Plan: 1. If standard evaluation forms are available, they are not being used on a regular basis. Standard procedures and forms for employee performance evaluations must be devel- oped, implemented, and used by all managers and supervisors. 2. Employees have not been evaluated annually. Some employees have not been evalu- ated for several years. Processes to ensure that employee evaluations are prepared regularly are not in place or followed. Employee performance evaluations must be conducted at least annually. 3. Evaluation criteria may be outdated and not appropriate for the current job functions. Measurable goals and objectives are not in place for all positions. Employees do not know the standards by which they will be evaluated. Appropriate and measurable goals, objectives, and evaluation criteria should be developed for all positions. 4. The district should work closely with the bargaining units to implement new evalua- tion standards. 5. Managers and supervisors are not being held accountable for evaluating employees annually. Managers and supervisors should be held accountable for evaluating all em- ployees under their supervision in a timely manner. 6. The Human Resources department is working toward better evaluation practices to ensure that employee performance evaluations are prepared regularly. Managers and supervisors should be fully trained to properly evaluate employees. Training should include following district procedures, proper use of district evaluation forms, bargain- ing unit restraints, and discipline/performance improvement procedures. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 Implementation Scale: Financial Management 7 1.8 Internal Control Environment-Responsibility for Fraud Prevention and Detection Professional Standard: The responsibility for reliable financial reporting resides first and foremost at the district level. Top management sets the tone and establishes the environment. Therefore, appropriate measures are implemented to discourage and detect fraud (SAS 82; Treadway Commission). Progress on Implementing the Recommendations of the Improvement Plan: 1. Internal accounting controls have not been fully implemented or enforced in the district office to protect against inapppropriate staff behavior. Board policies do not properly ad- dress fraud prevention and conflict of interest. Board policies should be developed and/ or revised to properly address conflict of interest and accountability, strengthen internal accounting controls, set performance standards, and prevent misuse of funds and fraud. 2. The prior administration did not provide accurate financial information to the board of trustees. Only highly qualified new administrators with integrity and high ethical standards should be hired. New administrators are making improvements in the over- all internal accounting control process. Changes and revised expectations should be communicated to employees regularly. 3. Employees do not know of ways to report concerns or problems that they notice dur- ing routine daily activities. Employees fear retaliation if they report concerns. A reli- able system should be devised and employees encouraged to report abuses or fraud. 4. A new county data processing system has been installed with many enhanced account- ing controls in place. Employees expressed concern that they have not received proper training to use the new system effectively. The district should continue to use the new county data processing accounting system, and all employees should be properly trained to use the new system correctly. 5. Not all employees are following Generally Accepted Accounting Principles (GAAP) due to lack of knowledge and training. All employees should follow proper proce- dures. Adequate training should be provided so that employees know, understand, and follow Generally Accepted Accounting Principles (GAAP). Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: 8 Financial Management 2.1 Inter- and Intra-Departmental Communications—Timing, Content and Quality of 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 re- sponsive 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. The district has not yet developed new procedure manuals, or similar resources, for business-related functions, with the exception of the technology department. 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 regula- tions, as well as board and district policies and procedures. These resources should be updated at least annually. A consultant may need to be hired to assist in this area. 2. Procedure manuals covering business and business-related functions could also func- tion as a training tool for staff when they are complete. They would also help to ensure the accurate and appropriate discharge of job duties, and provide for some level of continuity in the case of staff turnover. 3. The Business Services Division Procedures Manual, apparently last revised in 1990, should be updated and distributed to business operations customers. 4. Organizational charts need to be updated and kept up to date so that sites and depart- ments know who to contact when they have questions at any given time. 5. The district should communicate changes in policies and procedures related to busi- ness services by offering in-service training before each school year begins. At this training, updates to the Procedures Manual would be handed out and explained. This would help ensure that staff at sites and departments understand and properly imple- ment the changes. An in-service training is planned for summer 2005. 6. The business department is increasing written communication to sites and departments as specific issues arise. For example, when accounts payable and expense reports are submitted incorrectly to the business office, correspondence is sent to the originator explaining why the document cannot be processed as submitted. Changes and updates of a positive nature should also be conveyed. Communications have become more effective regarding audit findings and corrective actions with the State Controller’s Office. Financial Management 9 7. In-service training/workshops should occur annually to update business system users. Training also needs to occur in a timely manner when systems change. For example, training is currently being provided to both sites and departments on how to run their own budget reports. This ensures that the process is understood. 8. Financial system reports are now sent to sites and departments monthly. A cover sheet that requires a response should accompany the report to ensure that the report is re- ceived and reviewed. 9. District leadership meetings and principals’ meetings should continue. Time should be set aside to share periodic financial and other information with managers of support departments, principals and program managers. Periodic office manager/clerical meet- ings should also occur for information sharing and updates on policies/procedures. Payroll employees and human resources staff have been meeting at least monthly so that these two departments can discuss ongoing issues and develop solutions to com- mon problems. 10. The district’s goal for full implementation of this standard is July 1, 2006. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 Implementation Scale: 10 Financial Management 2.2 Inter- and Intra-Departmental Communications —Identification and Response to Governing Board and Community Audiences 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 first interim report was brought to the board in compliance with the December 15, 2004 deadline. The second interim report was not presented in compliance with the March 15, 2005 deadline. In addition, board members have not had any type of train- ing on interpreting state-mandated reports at a higher level. 2. For both first and second interim reports, all supplemental forms were submitted to the board in addition to the specific fund reports. Board members had not received the supplemental reports earlier, which included cash flow, technical review corrections and revenue limit/attendance information. More understandable information could also be part of the packet to the board and stakeholders. User Friendly Budget soft- ware is very easy to use and complements the required state budget reports. It can be obtained through School Services of California at no cost. 3. Adequate, easily understood information should accompany all business-related items that are brought to the board. Also, the district should consider placing business items before the administration and instructional items on the board agenda because of the district’s financial issues. The district plans to implement this priority in September. 4. The district has not drafted or approved any new board policies. Once that process begins, the district should adopt policies and procedures requiring that budget and financial information be presented monthly. The information should include issues that will affect district finances, as well as routine budget reports on the status of the general fund and categorical programs. 5. When the Budget Advisory Committee (BAC) is reactivated (planned for November 2005), it should discuss various methods of communicating financial issues to the community and staff. Many districts distribute a user-friendly “Fingertip Facts” docu- ment that describes the district’s financial status. Issues identified and discussed at the BAC meetings should also be disseminated at board meetings. 6. The district should provide an informational packet to board members several days prior to board meetings so that they have adequate time to prepare. In addition to contracts and purchase orders, payroll expenditures and accounts payable should be brought to the board for approval. Financial Management 11 7. Community meetings continue to be held regarding the district’s financial recovery process and progress. Each meeting/forum has provided information and a question- and-answer session. These meetings include: September 22 - State bailout and goals November 9 - Student achievement and the findings of the first state review January 31 - Budget status 2004-05, and budget development for 2005-06 February 24 - Budget options and phase I property recommendations March 22 - Budget options, phase II property recommendations, and overview of other state initiatives Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: 12 Financial Management 2.3 Inter- and Intra-Departmental Communications—Interest and Response by the Governing Board Professional Standard: The Governing Board is engaged in understanding globally the fiscal status of the district, both current and as projected. The board prioritizes district fiscal issues among the top discussion items. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Budget Advisory Committee is currently inactive, so it is not assisting in the pro- cess of budget and audit review. 2. To increase communication with the community, a “Fingertip Facts” document should be produced containing a user-friendly version of the district budget. It should be made available to the public at board meetings and school sites. Summary information about the budget should also be dispensed with school communications. 3. Once the Budget Advisory Committee is reactivated, it should obtain community input into the budget and assist in monitoring financial issues in detail. This would provide additional review, consideration and oversight of fiscal matters. Although the committee existed prior to state administration, it has not been utilized for oversight. 4. Detailed information should accompany budget reports explaining the funding that exists and how long that funding will be available to the district. This will allow the board to make expenditure decisions in a more informed and accountable manner. This recommendation has not yet been implemented. 5. Once the Budget Advisory Committee is reactivated, the Governing Board needs to consistently receive the BAC meeting minutes to assist it with its fiduciary duties. 6. The budget office needs to provide the board with frequent multiyear projection information while the district’s fiscal health is being restored. Currently, projections are only completed and distributed at first and second interim reporting periods. The board must understand the impact of all fiscal decisions it makes and how these deci- sions affect future year budgets. The multiyear projections should be explained in detail to ensure the board members’ familiarity with the data. 7. Business items should be placed near the beginning of the agenda so that board mem- bers are not rushed to make important decisions in these areas. Financial Management 13 Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 Implementation Scale: 14 Financial Management 2.4 Inter- and Intra-Departmental Communications—Communication of Illegal Acts 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 should adopt a policy specifically addressing fraud. It should state that the board will have zero tolerance for employee theft or fraud. The policy should facilitate the development of controls that will aid in the detection and preven- tion of fraud, impropriety or irregularity within the district. The policy should address the actions that will be taken when fraud is disclosed, including termination, criminal prosecution, and restitution. The district’s plan is that after the internal auditor position is filled, a policy addressing fraud will be drafted and approved by November 2005. 2. The board’s intent should be to promote consistent organizational behavior by pro- viding guidelines and assigning responsibility for the development of controls and conduct of investigation. The district plans to address this recommendation once the internal audit position is filled and a board policy/administrative regulations are for- mulated. 3. An awareness program and specific procedures should be implemented to inform staff about the common types of fraud and theft, red flags for potential misuse, employee responsibilities to deter and prevent fraud and theft, and process and procedures for reporting suspected fraud through an anonymous fraud hotline or other mechanism. February 2006 is the anticipated implementation date. 4. A job description for an internal audit position has been developed and will soon be open for applications. CASBO and other publications will be used to advertise the opening to reach a wide applicant pool. The position, when filled, should provide an ongoing review of district operations and assist in deterring and investigating reported instances of fraud and theft. September 2005 is the planned implementation date. Standard Implemented: Not Implemented November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 Implementation Scale: Financial Management 15 2.5 Inter- and Intra-Departmental Communications—Understandable Documents 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 first and second interim reports submitted to the Governing Board contained supplemental forms in addition to the specific fund reports. Board members previous- ly had not received the supplemental reports (cash flow, technical review corrections and revenue limit/attendance information). More understandable information should be a part of the packet for the board and other stakeholders, utilizing the User Friendly Budget software mentioned in Standard 2.2. The first interim report did not contain all the required components and did not provide responses required by California Educa- tion Code 33128, Standards and Criteria, to identify the problems in the district that have resulted in the district failing to meet certain standards. 2. Adequate explanatory information should accompany reports to the board on addition- al business-related items. The district should give business items priority on the board agenda, due to the district’s financial issues. The district should provide an informa- tional packet to board members several days prior to board meetings so that they have adequate time to prepare. 3. The district still needs to update and/or adopt board policies to require monthly budget and financial information. These financial updates should include issues that will af- fect district finances, as well as routine budget reports on the status of the general fund and categorical programs. 4. Detailed information should accompany budget reports explaining the funding that exists and how long that funding will be available to the district. This will allow the board to make expenditure decisions in a more informed and accountable manner when powers are returned. 5. The budget office needs to provide multiyear projection information more frequently than at interim reporting periods while the district’s fiscal health is being restored. To date, the projections have only been completed and distributed at first and second interim reporting periods. The board must understand the impact of all fiscal decisions that it makes and the effect on the budget in future years. Multiyear projections should be explained in more detail so that the board is familiar with the information and can more easily comprehend and trust the data. 16 Financial Management Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 Implementation Scale: Financial Management 17 3.1 Staff Professional Development—Training Programs and Plans 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 em- ployee has a plan designed to meet their individual professional development needs. Progress on Implementing the Recommendations of the Improvement Plan: 1. An annual staff development plan has not yet been prepared for each department. The contents of the plan should be based on a needs assessment and should include routine updates and specialized training. The planned implementation date is October 2005. 2. Employees do not yet have individual professional development plans that are con- sistent with the department’s plan, the employee’s job duties, and current skill and knowledge levels. The evaluation of employee training needs can be done as part of the annual performance appraisal when the plan is initiated. Planned implementation date is January 2006. 3. Once the staff development plan is developed, sessions can be conducted in-house, through one-on-one mentoring and training, or through outside workshops and confer- ences. 4. Specific, additional training has not yet occurred for payroll functions to ensure that applicable rules and information are understood in this specialized area, such as those related to CalPERS and CalSTRS. Joint meetings with Human Resources and Payroll have addressed specific issues, but no training has occurred. 5. Employee evaluations should be conducted annually and should include the employ- ee-developed individual training plan, as well as the supervisor’s identified training needs for the employee. Training plans should correlate to the training catalog and employee evaluation. Subsequent evaluations should address the completion of identi- fied training needs and should document updated plans. 6. The district should establish a practice to place notices in the personnel files of em- ployees who complete staff development as listed in the professional development plan. These employees also should be recognized with awards or certificates. Imple- mentation of this recommendation is planned for February 2006. 7. The district should increase efforts to notify classified staff members about specific in- service training. 18 Financial Management Standard Implemented: Not Implemented November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 Implementation Scale: Financial Management 19 3.2 Staff Professional Development—Training Programs for School Site/ Department Staff by Business Staff 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 for school site/department staff has not been devel- oped. The Assistant Superintendent should develop an annual staff development plan for both business and non-business personnel regarding internal control procedures that need to be followed. The program should include all business and operational functions for site and departments, as well as changes that have been made within the last year, including conversions to new software and/or systems. Implementation of this standard is planned for February 2006. 2. An annual staff development plan still needs to be developed so that departments and sites are updated on changes in business procedures and the application of routine internal control processes. Meetings and some specific training is being offered on request, but an annual plan is not in place. The areas covered should include purchas- ing, attendance, ASB procedures, changes in policies and/or procedures, and changes in law/statute. The annually updated binder of business and business-related functions would be explained and distributed at this training. 3. Each staff in-service on business and operations subjects should be established for a specific audience, with mandatory or optional attendance as dictated by the subject matter. The district should ensure the topics covered pertain to the staff members in- vited to the training. Standard Implemented: Not Implemented November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 Implementation Scale: 20 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 functions of the internal auditor position have not been performed. A new audit position is being advertised. Once a new internal auditor is hired, board policies and procedures will be revised or updated. 2. The Internal Auditor will report to the State Administrator and/or Superintendent and an audit committee. 3. The district will adopt policies requiring the establishment of an audit committee and internal audit function once the internal audit position is in place. Duties of the inter- nal audit position should be clarified in board policy. 4. The functions of the internal audit position that are part of the newly approved job description include: identifying inefficiencies in the system, updating policies and procedures and keeping the board/State Administrator updated on areas of risk. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 Implementation Scale: Financial Management 21 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. A calendar has not been established for scheduling audits on a regular basis. 2. A comprehensive list of the types of audits to be performed has not been developed by the State Administrator, audit committee and Internal Auditor. 3. Establishment of the internal audit function, when in place, should include, but not be limited to: a. Providing internal auditing activity that supplies all levels of management with information to control the operations for which they are responsible. b. Using the internal auditor as an independent appraiser who examines and evalu- ates district activities. c. Assisting district personnel in performing their responsibilities by furnishing rec- ommendations and information concerning the areas reviewed. d. Authorizing full access to district records, physical property and personnel rel- evant to each area being audited. Standard Implemented: Not Implemented November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 Implementation Scale: 22 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 district's consultant working with enrollment and ADA provides monthly reports that identify grade level data by school sites. The consultant includes a narrative analysis to help define the trend information for the current year. It is anticipated that the consultant will continue to provide these services to the district into the 2005-06 year, and will train a district employee in the process of enrollment and ADA monitor- ing and projections. 2. The State Administrator’s budget goals for the 2005-06 year identify a priority to “Balance the District’s budget so that expenditures are not greater than revenues by the 2006-07 school year” and “Develop a long-term solution to the District’s fiscal cri- sis so that we can concentrate on the business of educating students, meeting expecta- tions the State has for Vallejo, and returning to local control.” 3. Clerical site allocations for employee salaries and benefits will be determined by the business office based on the enrollment data from the Aeries system and the staffing ratios for positions that are funded by unrestricted resources. School sites will have the responsibility for allocations using remaining funds in the areas of supplies, services, and equipment. 4. The worksheets identifying all allocations for the upcoming fiscal year should be maintained in budget development binders at the conclusion of the budgeting process in June. Throughout the year, major budget revisions should be added to the budget binder in order to provide an audit trail of the year’s budget activity. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 Implementation Scale: Financial Management 23 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 Fiscal Director and the Chief Financial Officer have completed a budget de- velopment packet that clearly identifies budget criteria, budget guidelines, a budget calendar, budget assumptions, and responsibilities for the 2005-06 budget planning. If successfully implemented, the development of the budget will reflect the global commitment needed to address the district’s financial condition. 2. The budget process for the 2005-06 year is designed to include collaboration with site administrators and department and program managers. The structured process must continue throughout the year to maintain balanced budgets and adhere to the district’s priority of restoring fiscal solvency. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 Implementation Scale: 24 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 first interim report of fiscal year 2004-05 did not include all of the required com- ponents and did not clearly project the shortfalls of the current and two subsequent fiscal years. 2. Monthly analysis and projection of general fund balances has not been instituted. Business department staff members do work with site and program budgets to verify that expenditures are covered by budget allocations. 3. The setup of accounts receivable will take place in July 2005 and will be reviewed in the next six-month review. 4. The first interim report should include each fund that has a projected negative balance for the current or subsequent year, as general fund support will be necessary for other funds to maintain the required positive fund balance. An exception is Adult Education, which may not receive general fund support. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 Implementation Scale: Financial Management 25 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 budget development documents for the 2005-06 fiscal year define a plan for com- munication and collaboration by multiple parties. 2. Budget binders should be maintained as the 2005-06 process moves forward. 3. FCMAT did not receive copies of any documents that are being used for trend analy- sis. However, in times of material reductions in expenditures, an analysis of previous deficit spending characteristics would not be particularly helpful. 4. The consultant hired to assist the district with enrollment and ADA tracking, report- ing, and projections has instituted good procedures to support the integrity of student data in these areas. However, this information was not used in the first interim process to project the current and subsequent year revenue and expenditure information for the general fund. 5. Estimates of year-end revenue and expenditure accruals will be established in July 2005 and will be discussed in the next six-month review. 6. The budget criteria for 2005-06 indicate that the costs for salaries, benefits, and co-curricular activities will be budgeted in accordance with the collective bargain- ing agreements, board policy, and direction of the State Administrator. This process should result in actual expenditures conforming to budgeted allocations within avail- able resources. 7. The district is not using a rollover budget model to develop the 2005-06 budget. 8. Categorical budgets are being closely monitored by the business office and program staff. 26 Financial Management Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 3 Implementation Scale: Financial Management 27 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. Ma- terial differences are presented to the board of education with detailed explanations. Progress on Implementing the Recommendations of the Improvement Plan: 1. FCMAT did not receive documentation or analysis to support the first interim report projections. The report did not contain all of the required components and did not pro- vide responses required by California Education Code 33128, Standards and Criteria, to identify the problems in the district that have resulted in the district failing to meet certain standards. The Chief Financial Officer and Fiscal Director should consider requesting an extension on the timeline to complete the required financial reports, if needed, in order to submit reports that present an accurate reflection of the district’s fiscal condition. 2. The CFO indicated that the Budget Advisory Committee will likely not be actively involved in the 2005-06 budget development process due to the pressing time line to deliver a proposed budget to the board in mid-May. 3. The CFO and Fiscal Director have not yet been able to conduct ongoing analysis of the available revenues and corresponding expenditures because they have had to focus on day-to-day staffing and procedural needs and budget development for the upcom- ing year. Standard Implemented: Not Implemented November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 Implementation Scale: 28 Financial Management 8.1 Budget Monitoring—Encumbrance of Overexpenditures Professional Standard: All purchase orders are properly encumbered against the budget until payment. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has begun training site and department staff on online purchase requisi- tions and running budget reports. Performing these functions will reinforce site and department responsibility for budgets and will improve the timeliness of financial information, efficiency and internal controls once the processes are fully implemented. Online budget transfers have not been initiated and will not be for some time. 2. The purchase control system automatically verifies fund availability and account cod- ing when the site/department enters a purchase requisition into the system. If funds are not available, the system requires a budget transfer before processing. It also immedi- ately encumbers the funds to avoid timing difference problems. 3. With online approval of the purchase order in the purchasing department, there are no delays in the paperwork. The categorical fund process still needs to be developed because program manager approvals are required in addition to the site/department administrator and the purchasing manager. Sites that are still using manual purchase requisitions are scheduled to go online before the 2005-06 fiscal year begins. 4. Salaries and benefits need to be encumbered in the financial system to accurately re- flect and reconcile these amounts to projections. Currently, the district’s CECC finan- cial system does not have the capability to encumber funds. The district is discussing this with the vendor and has listed August 2005 as the planned implementation. 5. The district is working toward full utilization of the online position control system. At this time, attention is being given to substitute, extra hire and non-contracted posi- tions. The goal is to input all salary accounts into the system so that they are not vul- nerable to overexpenditure and so manual transactions will rarely be necessary. Full implementation is planned by August 2005. 6. The district should consider utilizing a substitute calling system that can interface with payroll and with the employee absence system so that personal necessity, illness, vacation and other absence transactions for employees can be properly interfaced and tracked. This would provide additional internal control features to safeguard district funds. Planned implementation is August 2005. Financial Management 29 Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: 30 Financial Management 8.2 Budget Monitoring—Monitoring of Department and Site Budgets 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. Sites/departments should be required to notify the business office that budget reports have been received and reviewed by the appropriate manager. The district plans to implement this recommendation in July 2005. 2. A new system is in place for handling incorrect payroll charges. When an employee’s time has been charged to an incorrect budget, the business department does not pro- cess any journal vouchers correcting the costs to the appropriate budget until the hu- man resources department completes a new Form 6. Correcting the costs in the same time frame ensures that future costs will be charged to the correct budget and that future journals will not be necessary. 3. Sites and departments can run their own budget reports, but very few employees at the sites know how to do this. The Assistant Superintendent of Business has been visiting sites and departments to discuss their specific budgets and to train administrators and their assistants to run their reports. The business office will continue to send monthly reports to the sites and departments, but sites and departments can also choose to run other types of reports that are helpful to them. 4. Online budget revisions should be implemented to allow more efficient, accurate and timely processing of budget transactions. The district should investigate instances where transactions were processed with insufficient funds available in the budget and should initiate proper controls so that it does not continue. 5. The budget office is working with sites and departments to find out what additional resources would make it easier for them to review their own budgets. Site and depart- ment input will contribute to greater accountability for budget issues overall. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 3 Implementation Scale: Financial Management 31 8.5 Budget Monitoring—Position Control Professional Standard: The district uses an effective position control system that tracks personnel allocations and expen- ditures. The position control system effectively establishes checks and balances between person- nel decisions and budgeted appropriations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The position control function resides mostly in the business office, which is appropri- ate. 2. The budget office is responsible for verifying the completeness and accuracy of Per- sonnel Action Forms (Form 6), which is the recommended control. 3. The district has initiated effective internal controls in the area of position control. 4. The district has strengthened measures to require all hiring to be processed through the human resources department, and not by a specific site or department. When this action is fully centralized, expenditures will be much less likely to exceed budgets. 5. The district is formulating a plan to include substitute employees and employees on time cards in the position control system. Since the district uses time cards extensive- ly, if those positions are not included in the position control system, budget overruns could occur. Standard Implemented: Partially November 2004 Rating: 6 May 1, 2005 Rating: 7 Implementation Scale: 32 Financial Management 11.1 Attendance Accounting Professional Standard: An accurate record of daily enrollment and attendance is maintained at the sites and reconciled monthly. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district installed the Aeries attendance accounting system in August. All sites appear to be satisfied with Aeries and feel it is user friendly and easier than previous systems. 2. Sites are following up with teachers on unsigned attendance records. 3. Training on the new attendance system seems uneven. Some sites have had more thor- ough training than others. 4. There is no system manual, but sites have some handouts from the trainings. 5. The methods of taking attendance have not changed. The district should consider online attendance taking at all sites. This would reduce data entry at the site offices, leaving more time for calls home and other attendance duties. 6. District office staff members are starting to make site visits to verify that the atten- dance processes being used are correct. 7. The State Administrator should establish and implement an evaluation component for principals and teachers related to the accurate and timely completion, signing and submission of attendance reports. 8. The district should set up more in-depth training on the Aeries system as soon as pos- sible. In the future, annual in-service training days should be set up during the sum- mer for all staff. 9. The district should develop a manual of standard procedures for attendance taking and reporting. Review of these procedures should be a part of an annual in-service training for all staff. Standard Implemented: Partially November 1, 2005 Rating: 1 May 1 2005 Rating: 4 Implementation Scale: Financial Management 33 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. District office staff members are making site visits to validate attendance procedures. Most elementary schools have been visited at this time. 2. District office staff members should visit all school sites to validate timely entries and address any uncertainties about the process at the site level. 3. The district should develop a handbook that outlines the step-by-step instructions from registering a student up to and including J18/19 reporting procedures. This handbook should also include forms, common attendance codes, dropping students, compulsory laws, and pertinent education codes. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: 34 Financial Management 11.6 Attendance Accounting Professional Standard: The district utilizes standardized and mandatory programs to improve the attendance rate of pu- pils. Absences are aggressively followed up by district staff. Progress on Implementing the Recommendations of the Improvement Plan: 1. There have been training sessions conducted for middle and high school staff mem- bers on the importance of correct attendance taking and their responsibility for calling home regarding absences. There have been discussions with principals regarding mak- ing attendance a priority and sharing their success stories. The State Administrator set a goal of 93% attendance for the 2004-05 year. The district was at 94.5% at the time of fieldwork for this report. 2. Training for principals and site attendance staff must continue to be provided on the issues of reporting attendance correctly and increasing student attendance. 3. The district should develop policies and procedures for instituting and implementing programs and incentives that would increase student attendance. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 3 Implementation Scale: Financial Management 35 11.7 Attendance Accounting Professional Standard: School site personnel receive periodic and timely training on the district’s attendance procedures, system procedures and changes in laws and regulations. Progress on Implementing the Recommendations of the Improvement Plan: 1. Written documentation on the new attendance system is being prepared by a consul- tant hired by the district. 2. If the district cannot afford to send all applicable personnel to attendance workshops, it should consider bringing in a professional development group such as CASBO to conduct a district training, or send two or three people to the workshops who could then provide a district in-service training. 3. All new or amended laws, regulations and/or policies regarding attendance account- ing, both state and district, should be reviewed with all applicable staff. 4. Desk reference manuals should be developed for both site and district attendance staff that include clear instructions, forms, and laws. 5. Comprehensive systems manuals should be distributed to site personnel. 6. The district should provide periodic “job alike” meeting opportunities. This would enable site and district staffs to share ideas and methods for attendance taking and monitoring. Standard Implemented: Partially November 1, 2005 Rating: 0 May 1, 2005 Rating: 1 Implementation Scale: 36 Financial Management 12.2 Accounting, Purchasing, and Warehousing—Accounting Procedures: Timely and Accurate Recording of Transactions Professional Standard: The district timely and accurately records all information regarding financial activity (unrestrict- ed and restricted) for all programs. Generally Accepted Accounting Principles (GAAP) requires that in order for financial reporting to serve the needs of the users, it must be reliable and timely. Therefore, the timely and accurate recording of the underlying transactions (revenue and expen- ditures) is an essential function of the district’s financial management. Progress on Implementing the Recommendations of the Improvement Plan: 1. Board policies have not been updated or reviewed in the areas of accounting and purchasing. The annual financial audit for 2003-04 was not yet available. Systems and procedures have been improved but are not fully in place. 2. Deadlines are still not enforced. Payroll due dates are still overridden because some school sites do not submit time cards on time. Difficult or questioned work is occa- sionally set aside rather than researched and processed in a timely manner. 3. The district should implement good business practices to assure that accounting activi- ties are performed in a timely manner and hold managers and employees accountable for performing job duties accurately. 4. The district should enhance accountability by including standards for compliance with rules in the annual employee evaluation process. 5. Employees ask questions of the new Director of Fiscal Services and usually get an- swers promptly. As the staff becomes fully trained and the workload gets under con- trol, the director’s response time should continue to improve. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: Financial Management 37 12.3 Accounting, Purchasing, and Warehousing—Accounting Procedures: Cash Professional Standard: The district forecasts its revenue and expenditures and verifies those projections on a monthly basis in order to adequately to manage its cash. In addition, the district reconciles its cash to bank statements and reports from the county treasurer on a monthly basis. Standard accounting practice dictates that, in order to ensure that all cash receipts are deposited timely and recorded properly; cash is reconciled to bank statements on a monthly basis. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Director of Fiscal Services prepares monthly cash flow projections and closely monitors cash on a monthly or more frequent basis. 2. The current pattern of spending indicates that the district may be facing a shortage of cash over the next two years. The district should develop internal controls and cash management procedures and insist that all employees follow the proper procedures at all times. 3. The district should continue to implement and strengthen reliable procedures to fore- cast revenues and expenditures. 4. Monthly bank reconciliations are prepared but staff assigned to that responsibility has turned over frequently. With the change in staff, the district must closely supervise the bank reconciliation process to ensure accuracy and accountability. Employees han- dling cash and performing bank reconciliations should be supervised and monitored. 5. The district should monitor all budget line items monthly. 6. One person is assigned to count and deposit cash but adequate procedures to follow up on cash shortages are not yet fully in place. Petty cash has not been distributed to school sites for 2004-05. The department must ensure that all employees are fully trained in proper cash management techniques. Controls and procedures regarding the use of petty cash should be strengthened before the funds are distributed to school sites. 7. Procedures and accountability standards are not fully in place to prevent unauthorized bank accounts being opened by school sites and other district employees. The district should determine that no unauthorized bank accounts exist. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 Implementation Scale: 38 Financial Management 12.4 Accounting, Purchasing, and Warehousing—Accounting Procedures: Payroll Professional Standard: The district’s payroll procedures are in compliance with the requirements established by the County Office of Education, unless fiscally independent (Education Code Section 42646). Stan- dard accounting practice dictates that the district implements procedures to ensure the timely and accurate processing of payroll. Progress on Implementing the Recommendations of the Improvement Plan: 1. There is a lack of communication and teamwork within the Payroll department, between the new supervisor and the department employees, and between Payroll and Human Resources. 2. Payroll and Human Resources have begun to hold meetings to resolve ongoing issues and problems between the two departments. These meetings should be conducted at least monthly. 3. Employees are becoming more familiar with the new county payroll system but still require more training on a regular basis. 4. Payroll employees are not held accountable for adhering to the rules and cooperat- ing with management. They are unwilling to work overtime as needed to meet criti- cal deadlines. Communication should be improved and teamwork encouraged. Clear lines of authority and supervision should be explained to employees and enforced. Employees should be evaluated and/or disciplined when rules and procedures are not followed. 5. School sites often submit timesheets late, causing problems such as an increased need for hand-written checks from revolving cash. Because management does not enforce compliance with payroll deadlines, the staff cannot cut off payroll processing on time, which places additional pressure on the staff. All principals and managers should be held accountable for meeting payroll deadlines. Management should enforce payroll deadlines and support Payroll staff in their efforts to maintain payroll-processing time- lines. 6. Payroll employees do not process work in a uniform manner. Internal control proce- dures and good business practices should be developed and implemented immediately to ensure that Payroll employees are processing work uniformly. 7. Human resources should process employment paperwork in a timely manner and for- ward all pertinent documents to Payroll immediately. 8. Paychecks are distributed at the work sites but there is no employee signature sheet returned to Payroll to verify that all checks were properly distributed or accounted for. There are no clear procedures in place to return or mail checks that are not picked up by employees at the sites. It is possible that terminated and/or fraudulent employees Financial Management 39 could receive paychecks due to the lack of proper controls, overriding deadlines, and untimely processing of paperwork in human resources. Employees should sign for their paychecks at the worksites and the signature sheets returned to Payroll with any unclaimed checks. 9. Paychecks are processed for regular employees prior to receiving time reports from sites, occasionally causing overpayments because docked time is not known in a time- ly manner. The overpayment collection process is flawed. There is no defined method or process in place to collect overpayments from active employees. Invoices for over- payments are mailed to former employees but no procedures are in place to follow up or collect the funds if people do not pay. Procedures to collect overpayments should be developed and implemented immediately. All overpayments should be followed up and resolved. 10. The dates that time reports are submitted to the Payroll department should be analyzed to determine if changes would enhance the controls over hand written paychecks and prevent overpayments. The county office system incorporates adequate internal con- trols as they relate to the overall payroll processing functions. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 Implementation Scale: 40 Financial Management 14.3 Multiyear Financial Projections—Use of Projections in Planning and Decision-Making Professional Standard: Multiyear financial projections are prepared for use in the decision-making process, especially whenever a significant multi-year expenditure commitment is contemplated. [EC 42142] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district prepared the required multiyear projections (MYP) as part of the 2004-05 first and second interim reports. The CDE’s SACS software was utilized for the pro- jections. Multiyear projections were contained in the first and second interim packets submitted to the Advisory Board, the CDE, the Solano County Office of Education and interested public and staff. The MYP assumptions were included as part of the State Administrator’s Potential Budget Options document presented to the Governing Board, staff and community on February 2, 2005. 2. Although the projections were completed, they lacked required detail. Information on step and class increases for employees, increases in health and welfare insurance pre- miums, changes in district property and liability insurance and increases in utilities did not include specific amounts. Distinctions were not made between onetime and ongo- ing funding. Specific assumptions were provided for cost of living increases, STRS employer contributions, attendance decline, increases in K-3 Class Size Reduction funding, lottery income, mandated costs income, and deficit reduction totals. A deficit reduction of $10-$12 million in 2005-06 and $5-$7 million in 2006-07 was included in the assumptions and in the MYP. Since specific budget adjustments have not yet been approved by the State Administrator, their inclusion in the MYP is questionable for both the first interim and second interim submissions. 3. When MYPs are developed to reflect the potential changes in future years, it is ap- propriate to include information on the changes to reflect their long-term effect on the budget. An MYP could be included with the Potential Budget Options document to es- timate the future budget impacts and aid in decision-making. Different types of MYPs can satisfy different needs. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 Implementation Scale: Financial Management 41 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. In accordance with Education Code Section 42140, the district is required to pres- ent annually the accrued but unfunded cost of health and welfare benefits for retired employees over the age of 65. The last actuarial study of retiree health benefits was performed as of June 30, 2002. The district has not requested a new post retirement benefit actuarial. 2. The district should disclose annually as a separate agenda item whether or not the district will reserve sufficient funds in its budget to pay for the present value or “pay as you go” cost of retiree benefits. The district has not requested a new post retirement benefit actuarial. Moreover, the district has not disclosed annually in a separate agenda item whether the district has reserved sufficient funds for the present value cost of retiree benefits. 3. The district is not using a spreadsheet or database application to track the projected cost of active and retired employees’ health benefits. Such a database or spreadsheet should be developed to assist in calculating present and future retiree health benefit costs. 4. The district has conducted a mandatory re-enrollment process for all active employees and retirees that receive health and welfare benefits, and is taking measures to recoup funds from active, former, and retired employees that were not entitled to these ben- efits. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 Implementation Scale: 42 Financial Management 16.1 Impact of Collective Bargaining Professional Standard: The district has developed parameters and guidelines for collective bargaining that ensure that the collective bargaining agreement is not an impediment to efficiency of district operations. At least annually, collective bargaining agreements are analyzed by management to identify those characteristics that are impediments to effective delivery of district operations. The district iden- tifies those issues for consideration by the Governing Board. The Governing Board, in the devel- opment of its guidelines for collective bargaining, considers the impact on district operations of current collective bargaining language and proposes amendments to district language as appro- priate to ensure effective and efficient district delivery. Governing Board parameters are provided in a confidential environment, reflective of the obligations of a closed executive board session. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has developed an initial proposal to the Vallejo Education Association (VEA). The proposal contains contract language used successfully in other California Teacher Association-represented school districts. The district’s proposal is for three years. It contains no provision for salary rollbacks, proposes a cap on health and wel- fare benefits and modest changes to class size, retains annual step and column move- ment and continues current contract language for evaluations, grievance procedures, professional rights and responsibilities and organizational rights. The initial proposal to VEA aligns with the district’s core beliefs, which are as follows: a. The district must regain fiscal solvency by adopting a balanced budget by the 2006- 07 school year. In order to achieve this goal and have enough state loan funds left to cover the continuing deficit, the district must reduce the 2005-06 budget by $10-12 million. b. The district must build its capacity to sustain long-term fiscal solvency and restore lo- cal control. c. The district will openly share information and will provide accurate data to staff, em- ployee groups, and the community. d. The district will comply with the new State Financial Accountability Legislation (AB 2756 enacted in 2004) which mandates responsibilities of the state, county and school districts in the review and certification of proposed collective bargaining agreements. The district was optimistic that it could achieve a tentative agreement with the VEA by April 19, 2005. Negotiations, however, were continuing as of this writing. 2. The district has developed a review team to evaluate and recommend proposed chang- es to the respective collective bargaining agreements. Potential cost savings issues have been identified and quantified for evaluation by the Governing Board and com- munity in public meetings. Any proposed modifications to the collective bargaining agreements will be submitted to the bargaining units for review and consideration. The district should continue with this effort with regard to all its collective bargaining agreements. Financial Management 43 3. The district conducted a health benefit re-enrollment in fall 2004 as recommended in the initial assessment report. The district must now use the new enrollment data to en- sure that it is being invoiced only for the employees eligible to receive benefits. Also, the district did not re-enroll retirees and should do so as soon as possible. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 4 Implementation Scale: 44 Financial Management 16.2 Impact of Collective Bargaining Professional Standard: 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 ensures that the district has a formal process in which collective bargaining multiyear costs are identi- fied for the Governing Board, and those expenditure changes are identified and implemented as necessary prior to any imposition of new collective bargaining obligations. 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. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has hired a Chief Business Official with California school district expe- rience. This position oversees the district’s business functions and prepares legally required collective bargaining disclosures and multiyear financial projections. 2. As notified by the Solano COE and in accordance with Government Code Section 3547.5, the district needs to prepare public disclosure documents including but not limited to the costs of proposed collective bargaining agreements for the current and subsequent fiscal year and submit them to the COE. Under AB 2756 (Daucher), the COE has 10 working days to review and comment on the district’s proposed agree- ment. 3. The district has not prepared a schedule demonstrating the cost of a 1% salary in- crease for all bargaining units. This schedule should contain the statutory benefits that will be included in the assumptions of the adoption budget. Total compensation should include the associated costs of salary, benefits, step and column, and cost of living increases (COLA), if any. 4. The district has not prepared or solicited consultants to prepare a multiyear financial recovery plan in accordance with EC Section 41327. Staff should be provided techni- cal training in multiyear projection software that will demonstrate the fiscal impact to the district’s budget for the current and two subsequent fiscal years. Employees require sufficient training to update their skills and to ensure that fiscal operations continue efficiently. 5. The district has convened study sessions with the Governing Board and public to ad- dress the fiscal impact of the collective bargaining process. However, it has not pro- ceeded with the development or implementation of a fiscal recovery plan. Financial Management 45 Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 Implementation Scale: 46 Financial Management 17.1 Management Information Systems Professional Standard: Management information systems support users with information that is relevant, timely, and accurate. Needs assessments are performed to ensure that users are involved in the definition of needs, development of system specifications, and selection of appropriate systems. Additionally, district standards are imposed to ensure the maintainability, compatibility, and supportability of the various systems. The district ensures that all systems are compliant with the new Standard- ized Account Code Structure (SACS), year 2000 requirements, and are compatible with county systems with which they must interface. Progress on Implementing the Recommendations of the Improvement Plan: 1. Director and coordinator positions have been established for the technology depart- ment, which is functioning well under new leadership. The department director has sufficient access to the administration to effectively represent the department and ensure that procedures are followed by all technology customers in the district. The department has implemented a policy that routes all communications with the department through the technology help desk. This has enabled the department to increase its efficiency and effectiveness. 2. The coordinator of the department conducts Education Technology meetings for school site staff once a month. Attendance at these meetings has been sparse, which may mean that the technology department is doing a better job of meeting the needs of the district. However, the department should explore ways to increase participation at the meetings to increase communications with the school sites. For example, each month one technology staff member could be featured to explain his/her job functions and to offer attendees some technology tips. 3. The district is in the process of switching its Internet service provider to SBC Global, at a much lower rate than its present service. Binders are now kept that detail the projects completed during modernization. How- ever, most of the documentation is based on what was to be done. The documentation needs to reflect the actual work completed. This information is available from the main- tenance department, but it has not yet been shared with the technology department. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 6 Implementation Scale: Financial Management 47 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. Technology department staff members now feel involved in district technology deci- sions. District and school site administrators include and support the department in technology planning activities. The State Administrator helped to ensure the success of the student information system implementation. All procurement policies are being followed at this time. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 6 Implementation Scale: 48 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. One of the first successes of the new department has been a focus on cross training among all positions. In addition, individual training is now being offered to all tech- nology staff. This training will enable the district to be less reliant on vendors for support. Training is being provided online, onsite, and offsite. Goals have been estab- lished for each technology employee. An evaluation of job descriptions will need to be done when staff members achieve stated goals and pass certification tests. Classifications and job descriptions may need to be revised over the next two years. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 7 Implementation Scale: Financial Management 49 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 should perform quarterly reconciliations of paid claims reflected on the loss run reports for property and liability insurance. 2. The district’s accrued liability for workers’ compensation claims on an undiscounted basis was $4,301,000 as of June 30, 2004. This amount represents self-insured claims and deductibles in the self-insurance fund, including claims incurred but not reported. The district needs to review and evaluate annually the workers’ compensation rates charged in the payroll benefit mapping and accounts to fund the workers’ compensa- tion self-insurance fund. 3. The district should continue the practice of requesting an actuarial study for workers’ compensation annually and disclosing the district’s unfunded claims liability in public. 4. All personnel should receive technical training in the area of self-insurance, under- standing actuarial data, claims processing, subrogation recoveries, and reinsurance claims to better assist the district in this area. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 Implementation Scale: 50 Financial Management 18.2 Maintenance and Operations Fiscal Controls Professional Standard: The district has a work order system that tracks all maintenance requests, the worker assigned, dates of completion, labor time spent and the cost of materials. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district should transition to one work order system that will reduce the overall input and tracking time for the district. The PM+4 system appears to have mainte- nance tracking advantages for systems, preventative maintenance, etc., and should be reviewed for modifications to fulfill the district’s work order system needs. 2. The district has implemented cross training of clerical staff on the present work order systems. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: Financial Management 51 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 does not conduct an annual physical inventory of its fixed assets. GASB 34 requires the district to maintain complete and current fixed asset records for ac- counting purposes. The district implemented fixed accounting in the 2001-02 fiscal year but has failed to properly maintain records of additions and deletions. The proce- dures and reporting time lines for fixed assets should be updated and distributed to all departments. 2. The maintenance department should automate its tracking and monitoring process for all power and hand tools either checked out or permanently located on district ve- hicles. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 Implementation Scale: 52 Financial Management 22.1 Special Education Professional Standard: The district actively takes measures to contain the cost of Special Education services while still providing an appropriate level of quality instructional and pupil services to Special Education pupils. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Special Education department seems to be aware of the program’s impact on the general fund and has instituted many strategies for keeping encroachment at the state average. 2. A thorough analysis of the coding of expenditures for Special Education must be per- formed and any discrepancies corrected for future spending and budgeting. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 Implementation Scale: Financial Management 53 54 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 1.1 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT Integrity and ethical behavior are the product of the district’s ethical and behavioral standards, how they are communicated, and how they are 2 2 ❑ reinforced in practice. All management-level per- sonnel exhibit high integrity and ethical values in carrying out their responsibilities and direct- ing the work of others. [State Audit Standard (SAS) 55, SAS-78] 1.2 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT The district has an audit committee to: (1) help prevent internal controls from being overridden by management; (2) help ensure ongoing state and 0 federal compliance; (3) provide assurance to man- agement that the internal control system is sound; and (4) help identify and correct inefficient pro- cesses. [SAS-55, SAS-78] 1.3 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT The attitude of the Governing Board and key ad- ministrators has a significant effect on an organiza- 2 tion’s internal control. An appropriate attitude bal- ances the programmatic and staff needs with fiscal realities in a manner that is neither too optimistic nor too pessimistic. [SAS-55, SAS-78] 1.4 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT The organizational structure clearly identifies 2 2 ❑ key areas of authority and responsibility. Report- ing lines are clearly identified and logical within each area. [SAS-55, SAS-78] 1.5 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT Management has the ability to evaluate job require- 1 ments and match the requirements to the employ- ee’s skills. [SAS-55, SAS-78] The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 55 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 1.6 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT The district has procedures for recruiting capable fi- 2 nancial management and staff and hiring competent people. [SAS-55, SAS-78] 1.7 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT All employees are evaluated on performance at least annually by a management-level employee knowledgeable about their work product. The 1 1 ❑ evaluation criteria are clearly communicated and, to the extent possible, measurable. The evalua- tion includes a follow-up on prior performance issues and establishes goals to improve future performance. 1.8 PROFESSIONAL STANDARD - INTERNAL CONTROL ENVIRONMENT The responsibility for reliable financial reporting resides first and foremost at the district level. 2 2 ❑ Top management sets the tone and establishes the environment. Therefore, appropriate mea- sures are implemented to discourage and detect fraud (SAS 82; Treadway Commission). 2.1 PROFESSIONAL STANDARD - INTER- AND INTRADE- PARTMENTAL COMMUNICATIONS The business and operational departments com- municate 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 1 1 ❑ 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 re- sponsive to user department needs, thus encour- aging a free exchange of information between the two (excluding items of a confidential na- ture). The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 56 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 2.2 PROFESSIONAL STANDARD - INTER- AND INTRADE- PARTMENTAL COMMUNICATIONS The financial departments communicate regularly with the Governing Board and community on the status of district finances and the financial 2 2 ❑ 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. 2.3 PROFESSIONAL STANDARD - INTER- AND INTRADE- PARTMENTAL COMMUNICATIONS The Governing Board is engaged in understand- ing globally the fiscal status of the district, both 1 1 ❑ current and as projected. The board prioritizes district fiscal issues among the top discussion items. 2.4 PROFESSIONAL STANDARD - INTER- AND INTRADE- PARTMENTAL COMMUNICATIONS The district has formal policies and procedures that provide a mechanism for individuals to 0 0 ❑ report illegal acts, establish to whom illegal acts should be reported, and provide a formal investi- gative process. 2.5 PROFESSIONAL STANDARD - INTER- AND INTRADE- PARTMENTAL COMMUNICATIONS Documents developed by the fiscal division for distribution to the Governing Board, finance 1 1 ❑ 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. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 57 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.1 PROFESSIONAL STANDARD - STAFF PROFESSIONAL DEVELOPMENT The district has developed and uses a profession- al development plan for training business staff. The plan includes the input of business office 0 0 ❑ supervisors and managers, and, at a minimum, identifies appropriate programs office-wide. At best, each individual staff and management em- ployee has a plan designed to meet their indi- vidual professional 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 business staff 0 0 ❑ on relevant business procedures and internal controls. The plan includes the input of the busi- ness office and the school sites/departments and is updated annually. 4.1 PROFESSIONAL STANDARD - INTERNAL AUDIT The Governing Board has adopted policies estab- lishing an internal audit function that reports di- 0 1 ❑ rectly to the Superintendent/State Administrator and the audit committee or Governing Board. 4.2 PROFESSIONAL STANDARD - INTERNAL AUDIT Internal audit functions are designed into the organizational structure of the district. These functions include periodic internal audits of 0 0 ❑ areas at high risk for non-compliance with laws and regulations and/or at high risk for monetary loss. 4.3 PROFESSIONAL STANDARD - INTERNAL AUDIT Qualified staff are assigned to conduct internal 0 audits and are supervised by an independent body, such as an audit committee. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 58 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 4.4 PROFESSIONAL STANDARD - INTERNAL 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 action to follow up and resolve audit findings. 5.1 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The budget development process requires a policy- oriented focus by the Governing Board to develop an expenditure plan that fulfills the district’s goals and objectives. The Governing Board focuses on 3 expenditure 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 - BUDGET DEVELOPMENT PROCESS (POLICY) 3 The budget development process includes input from staff, administrators, board and community. 5.3 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) 2 Policies and regulations exist regarding budget de- velopment and monitoring. 5.4 PROFESSIONAL STANDARD - BUDGET DEVELOP- MENT PROCESS (POLICY) The district has a clear process to analyze re- 2 4 ❑ sources and allocations to ensure that they are aligned with strategic planning objectives and that the budget reflects district priorities. 5.5 PROFESSIONAL STANDARD - BUDGET DEVELOP- MENT PROCESS (POLICY) The district has policies to facilitate develop- 3 5 ❑ ment of a budget that is understandable, mean- ingful, reflective of district priorities, and bal- anced in terms of revenues and expenditures. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 59 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 5.6 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) Categorical funds are an integral part of the bud- get process and have been integrated into the entire budget development. The revenues and expenditures for categorical programs are reviewed and evaluated in the same manner as unrestricted General Fund revenues and expenditures. Categori- cal program development is integrated with the 4 district’s goals and used to respond to district student needs that cannot be met by unrestricted expenditures. The superintendent, superintendent’s cabinet and fiscal office have established proce- dures to ensure that categorical funds are expended effectively to meet district goals. Carryover and unearned income of categorical programs are moni- tored and evaluated in the same manner as General Fund unrestricted expenditures. 5.7 PROFESSIONAL STANDARD - BUDGET DEVELOP- MENT PROCESS (POLICY) The district has the ability to accurately reflect its net ending balance throughout the budget monitoring process. The first and second interim 0 2 ❑ reports provide valid updates of the district’s net ending balance. The district has tools and pro- cesses that ensure that there is an early warning of any discrepancies between the budget projec- tions and actual revenues or expenditures. 5.8 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district utilizes formulas for allocating funds to school sites and departments. This can include 3 staffing ratios, supply allocations, etc. These for- mulas should be in line with the board's goals and directions, and should not be overridden. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 60 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 6.1 PROFESSIONAL STANDARD - BUDGET DEVELOP- MENT 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 ❑ of known carryovers and accruals and the inclu- sion 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. 6.2 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (TECHNICAL) An adopted budget calendar exists that meets legal 3 and management requirements. At a minimum the calendar identifies statutory due dates and major budget development activities. 6.3 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (TECHNICAL) Standardized budget worksheets are used in order to 3 communicate budget requests, budget allocations, formulas applied and guidelines. 7.1 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district adopts its annual budget within the statutory time lines established by Education Code Section 42103, which requires that on or before July 1, the governing board shall hold a public 3 hearing on the budget to be adopted for the sub- sequent 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)] The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 61 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 7.2 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS Revisions to expenditures based on the State Bud- get are considered and adopted by the governing board. Not later than 45 days after the governor 3 signs the annual Budget Act, the district shall make available for public review any revisions in revenues and expenditures that it has made to its budget to reflect funding available by that Budget Act. [EC 42127(2) and 42127(i)(4)] 7.3 PROFESSIONAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district has procedures that provide for the de- 3 velopment and submission of a district budget and interim reports that adhere to criteria and standards and are approved by the county office of education. 7.4 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district completes and files its interim budget 2 reports within the statutory deadlines established by Education Code Section 42130, et. seq. 7.5 PROFESSIONAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The first and second interim reports show an 0 0 ❑ accurate projection of the ending fund balance. Material differences are presented to the board of education with detailed explanations. 7.6 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district has complied with Governmental Ac- counting Standard No. 34 (GASB 34) for the period ending June 30, 2003. GASB 34 requires the district 1 to develop policies and procedures and report in the annual financial reports on the modified accrual basis of accounting and the accrual basis of ac- counting. 7.7 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district has arranged for an annual audit (single 3 audit) within the deadlines established by Educa- tion Code section 41020. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 62 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 7.8 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district should include in its audit report, but 4 not later than March 15, a corrective action for all findings disclosed as required by Education Code Section 41020. 7.9 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS The district must file certain documents/reports with the state as follows: J-200 series - (Education 4 Code Section 42100); J-380 series - CDE procedures; Interim financial reports - (Education Code Section 42130); J-141 transportation report (Title V, article 5, Section 15270). 7.10 LEGAL STANDARD - BUDGET ADOPTION, REPORTING, AND AUDITS Education Code Section 41020(c) (d) (e) (g) estab- lishes procedures for local agency audit obligations and standards. Pursuant to Education Code Section 41020(h), the district submits to the county super- 5 intendent of schools in the county that the district resides, the State Department of Education, and the State Controller’s Office an audit report for the preceding fiscal year. This report must be submitted "no later than December 15." 8.1 PROFESSIONAL STANDARD - BUDGET MONITORING All purchase orders are properly encumbered 3 4 ❑ against the budget until payment. 8.2 PROFESSIONAL STANDARD - BUDGET MONITORING There are budget monitoring controls, such as periodic reports, to alert department and site 1 3 ❑ managers of the potential for overexpenditure of budgeted amounts. Revenue and expenditures are forecast and verified monthly. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 63 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 8.3 PROFESSIONAL STANDARD - BUDGET MONITORING The routine restricted maintenance account is routinely analyzed to ensure that income has been properly claimed and expenditures are within the 6 guidelines provided by the State Department of Edu- cation. The district budget includes specific budget information to reflect the expenditures against the routine maintenance account. 8.4 PROFESSIONAL STANDARD - BUDGET MONITORING Budget revisions are made on a regular basis and 5 occur per established procedures, and are approved by the Governing Board. 8.5 PROFESSIONAL STANDARD - BUDGET MONITORING The district uses an effective position control system that tracks personnel allocations and expenditures. The position control system effec- 6 7 ❑ tively establishes checks and balances between personnel decisions and budgeted appropria- tions. 8.6 PROFESSIONAL STANDARD - BUDGET MONITORING The district monitors both the revenue limit calcu- lation and the special education calculation at least 6 quarterly to adjust for any differences between the financial assumptions used in the initial calcula- tions and the final actuals as they are known. 8.7 PROFESSIONAL STANDARD - BUDGET MONITORING The district monitors the site reports of revenues 0 and expenditures provided. 9.1 PROFESSIONAL STANDARD - BUDGET COMMUNICA- TIONS The district budget is a clear manifestation of 0 district policies and is presented in a manner that facilitates communication of those policies. 9.2 PROFESSIONAL STANDARD - BUDGET COMMUNICA- TIONS 0 The district budget clearly identifies one-time sourc- es and uses of funds. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 64 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 10.1 LEGAL STANDARD - INVESTMENTS The Governing Board reviews and approves, at a 0 public meeting and on a quarterly basis, the dis- trict’s investment policy. [GC 53646] 11.1 PROFESSIONAL STANDARD - ATTENDANCE AC- COUNTING An accurate record of daily enrollment and atten- 1 4 ❑ dance is maintained at the sites and reconciled monthly. 11.2 PROFESSIONAL STANDARD - ATTENDANCE ACCOUNT- ING Policies and regulations exist for independent study, 1 home study, inter/intradistrict agreements and dis- tricts of choice, and address fiscal impact. 11.3 PROFESSIONAL STANDARD - ATTENDANCE AC- COUNTING Students are enrolled by staff and entered into 2 3 ❑ the attendance system in an efficient, accurate and timely manner. 11.4 PROFESSIONAL STANDARD - ATTENDANCE ACCOUNT- ING At least annually, the school district verifies that 4 each school bell schedule meets instructional time requirements for minimum day, year and annual minute requirements. 11.5 PROFESSIONAL STANDARD - ATTENDANCE ACCOUNT- ING Procedures are in place to ensure that attendance 1 accounting and reporting requirements are met for alternative programs such as ROC/P and adult education. 11.6 PROFESSIONAL STANDARD - ATTENDANCE AC- COUNTING The district utilizes standardized and manda- 0 3 ❑ tory programs to improve the attendance rate of pupils. Absences are aggressively followed-up by district staff. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 65 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 11.7 PROFESSIONAL STANDARD - ATTENDANCE AC- COUNTING School site personnel receive periodic and timely 0 1 ❑ training on the district’s attendance procedures, system procedures and changes in laws and regu- lations. 11.8 LEGAL STANDARD - ATTENDANCE ACCOUNTING Attendance records are not destroyed until after the 5 third July 1 succeeding the completion of the audit. (Title V, CCR, Section 16026) 11.9 PROFESSIONAL STANDARD - ATTENDANCE ACCOUNT- ING The district makes appropriate use of short-term 0 independent study 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 California School Ac- counting Manual (CSAM) and Generally Accepted Ac- 2 counting Principles (GAAP) as required by Education Code Section 41010. Adherence to CSAM and GAAP helps to ensure that transactions are accurately re- corded and financial statements are fairly presented. 12.2 PROFESSIONAL STANDARD - ACCOUNTING, PUR- CHASING, AND WAREHOUSING The district timely and accurately records all information regarding financial activity (unre- stricted and restricted) for all programs. Gen- erally Accepted Accounting Principles (GAAP) 2 2 ❑ require that in order for financial reporting to serve the needs of the users, it must be reliable and timely. Therefore, the timely and accurate recording of the underlying transactions (rev- enue and expenditures) is an essential function of the district’s financial management. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 66 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 12.3 PROFESSIONAL STANDARD - ACCOUNTING, PUR- CHASING, AND WAREHOUSING The district forecasts its revenues and expendi- tures and verifies those projections on a monthly basis in order to adequately manage its cash. In addition, the district reconciles its cash to bank 1 2 ❑ statements and reports from the county treasurer reports on a monthly basis. Standard accounting practice dictates that, in order to ensure that all cash receipts are deposited timely and recorded properly, cash is reconciled to bank statements monthly. 12.4 PROFESSIONAL STANDARD - ACCOUNTING, PUR- CHASING, AND WAREHOUSING The district’s payroll procedures are in compli- ance with the requirements established by the County Office of Education, unless fiscally inde- 1 2 ❑ pendent. (Education Code Section 42646) Stan- dard accounting practice dictates that the dis- trict implement procedures to ensure the timely and accurate processing of payroll. 12.5 PROFESSIONAL STANDARD - ACCOUNTING, PURCHAS- ING, 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 prepa- ration of periodic financial statements. 12.6 PROFESSIONAL STANDARD - ACCOUNTING, PURCHAS- ING, 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 account for those revenues and related expenditures. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 67 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 12.7 PROFESSIONAL STANDARD - ACCOUNTING, PURCHAS- ING, AND WAREHOUSING Generally accepted accounting practices dictate that, in order to ensure accurate recording of trans- actions, the district have standard procedures for 1 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 bidding requirements of Public Contract Code Section 20111. Standard accounting practice dictates that the district have adequate purchasing and warehousing procedures to 2 ensure that only properly authorized purchases are made, that authorized purchases are made consis- tent with district policies and management direc- tion, that inventories are safeguarded, and that purchases and inventories are timely and accurately recorded. 12.9 PROFESSIONAL STANDARD - ACCOUNTING, PURCHAS- ING, AND WAREHOUSING The district has documented procedures for the receipt, expenditure and monitoring of all construc- 3 tion-related activities. Included in the procedures are specific requirements for the approval and pay- ment of all construction-related expenditures. 12.10 PROFESSIONAL STANDARD - ACCOUNTING, PURCHAS- ING, AND WAREHOUSING The accounting system has an appropriate level of 2 controls to prevent and detect errors and irregulari- ties. 12.11 PROFESSIONAL STANDARD - ACCOUNTING, PURCHAS- ING, AND WAREHOUSING The district has implemented the new Standardized Account Code Structure. SACS ensures the district 5 is in compliance with federal guidelines, which will ensure no loss of federal funds, e.g., Title I federal class size reduction. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 68 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 13.1 LEGAL STANDARD - STUDENT BODY FUNDS The Governing Board adopts policies and procedures to ensure compliance regarding how student body 4 organizations deposit, invest, spend, raise and au- dit 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 managing and over- 4 seeing the activities and funds of student organiza- tions, including providing procedures for the proper handling, recording and reporting of revenues and expenditures. 13.3 PROFESSIONAL STANDARD - STUDENT BODY FUNDS The district provides training and guidance to site 4 personnel on the policies and procedures governing the Associated Student Body account. 13.4 PROFESSIONAL STANDARD - STUDENT BODY FUNDS In order to provide adequate oversight of student funds and to ensure the proper handling and report- 2 ing, the California Department of Education recom- mends that periodic financial reports be prepared by sites, and then summarized by the district office. 13.5 PROFESSIONAL STANDARD - STUDENT BODY FUNDS In order to provide adequate oversight of student funds and to ensure proper handling and reporting, the California Department of Education recommends 2 that internal audits be performed. Such audits should review the operation of student body funds at both district and site levels. 14.1 PROFESSIONAL STANDARD - MULTIYEAR FINANCIAL PROJECTIONS 0 A reliable computer program that provides reliable multiyear financial projections is used. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 69 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 14.2 LEGAL STANDARD - MULTIYEAR FINANCIAL PROJEC- TIONS The district annually provides a multiyear revenue and expenditure projection for all funds of the dis- 0 trict. Projected fund balance reserves are disclosed. The assumptions for revenues and expenditures are reasonable and supportable. [EC 42131] 14.3 LEGAL STANDARD - MULTIYEAR FINANCIAL PRO- JECTIONS Multiyear financial projections are prepared for 0 1 ❑ use in the decision-making process, especially whenever a significant multiyear expenditure commitment is contemplated. [EC 42142] 15.1 LEGAL STANDARD - LONG-TERM DEBT OBLIGATIONS The district complies with public disclosure laws of fiscal obligations related to health and welfare ben- 3 efits for retirees, self-insured workers compensation, and collective bargaining agreements. [GC 3540.2, 3547.5, EC 42142] 15.2 PROFESSIONAL STANDARD - LONG-TERM DEBT OBLI- GATIONS When authorized, the district uses only non-voter approved, long-term financing such as certificates of participation (COPS), revenue bonds, and lease- 2 purchase agreements (capital leases) to address capital needs, and not operations. Further, the general fund is used to finance current school op- erations, and in general is not used to pay for these types of long-term commitments. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 70 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 15.3 PROFESSIONAL STANDARD - LONG-TERM DEBT OBLI- GATIONS For long-term liabilities/debt service, the district prepares debt service schedules and identifies the dedicated funding sources to make those debt ser- vice payments. The district projects cash receipts from the dedicated revenue sources to ensure that 2 it will have sufficient funds to make periodic debt payments. The cash flow projections are monitored on an ongoing basis to ensure that any variances from projected cash flows are identified 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- 1 2 ❑ ties from employee benefits are recognized as a liability of the school district. A plan has been established for funding retiree health benefit costs as the obligations are incurred. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 71 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 16.1 PROFESSIONAL STANDARD - IMPACT OF COLLEC- TIVE BARGAINING The district has developed parameters and guide- lines for collective bargaining that ensure that the collective bargaining agreement is not an impediment to efficiency of district operations. At least annually, collective bargaining agree- ments are analyzed by management to identify those characteristics that are impediments to effective delivery of district operations. The dis- trict identifies those issues for consideration by 1 4 ❑ the Governing Board. The Governing Board, in the development of its guidelines for collective bar- gaining, considers the impact on district opera- tions of current collective bargaining language, and proposes amendments to district language as appropriate to ensure effective and efficient district delivery. Governing Board parameters are provided in a confidential environment, reflec- tive of the obligations of a closed executive board session. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 72 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 16.2 PROFESSIONAL STANDARD - IMPACT OF COLLEC- TIVE 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 ensures that the district has a formal process in which collective bargaining multiyear costs are identi- fied for the Governing Board, and those expen- diture changes are identified and implemented as necessary prior to any imposition of new collective bargaining obligations. The Governing 1 2 ❑ 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 bargain- ing agreement prior to any contract acceptance by the Governing Board. The public is notified of the provisions of the final proposed bargaining settlement and is provided with an opportunity to comment. 17.1 PROFESSIONAL STANDARD - MANAGEMENT INFOR- MATION SYSTEMS Management information systems support users with information that is relevant, timely, and accurate. Needs assessments are performed to ensure that users are involved in the definition of needs, development of system specifications, and selection of appropriate systems. Addition- 3 6 ❑ ally, district standards are imposed to ensure the maintainability, compatibility, and sup- portability 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. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 73 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 17.2 PROFESSIONAL STANDARD - MANAGEMENT INFORMA- TION SYSTEMS Automated systems are used to improve accuracy, timeliness, and efficiency of financial and reporting systems. Needs assessments are performed to deter- mine what systems are candidates for automation, whether standard hardware and software systems are available to meet the need, and whether or not 8 the district would benefit. Automated financial sys- tems provide accurate, timely, relevant information and conform to all accounting standards. The sys- tems are designed to serve all of the various users inside and outside the district. Employees receive appropriate training and supervision in the opera- tion of the systems. Appropriate internal controls are instituted and reviewed periodically. 17.3 PROFESSIONAL STANDARD - MANAGEMENT INFOR- MATION SYSTEMS Selection of information systems technology conforms to legal procedures specified in the Public Contract Code. Additionally, there is a pro- cess to ensure that needs analyses, cost/benefit 0 6 ❑ analyses, and financing plans are in place prior to commitment of resources. The process facili- tates involvement by users, as well as informa- tion services staff, to ensure that training and support needs and costs are considered in the acquisition process. 17.4 PROFESSIONAL STANDARD - MANAGEMENT INFOR- MATION SYSTEMS Major technology systems are supported by implementation and training plans. The cost of 0 7 ❑ implementation and training is included with other support costs in the cost/benefit analyses and financing plans supporting the acquisition of technology systems. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 74 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 17.5 PROFESSIONAL STANDARD - MANAGEMENT INFORMA- TION SYSTEMS Access to administrative systems is reliable and se- cure. Communications 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 - MANAGEMENT INFORMA- TION SYSTEMS Hardware and software purchases conform to exist- ing technology standards. Standards for copiers, printers, fax machines, networking equipment, and all other technology assets are defined and enforced to increase standardization 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 avail- able. 17.7 PROFESSIONAL STANDARD - MANAGEMENT INFORMA- TION SYSTEMS 2 Computers are replaced on a schedule based on hardware specifications. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 75 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 17.8 PROFESSIONAL STANDARD - MANAGEMENT INFORMA- TION 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 in- bound 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 in- ternal network from the outside. 18.1 PROFESSIONAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS The district has a comprehensive risk-manage- ment program that monitors the various aspects 3 3 ❑ of risk management including workers compen- sation, property and liability insurance, and maintains the financial well being of the district. 18.2 PROFESSIONAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS The district has a work order system that tracks 3 4 ❑ all maintenance requests, the worker assigned, dates of completion, labor time spent and the cost of materials. 18.3 PROFESSIONAL STANDARD - MAINTENANCE AND OP- ERATIONS FISCAL CONTROLS 6 The district controls the use of facilities and charg- es fees for usage in accordance with district policy. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 76 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 18.4 PROFESSIONAL STANDARD - MAINTENANCE AND OP- ERATIONS FISCAL CONTROLS The Maintenance Department follows standard 6 district purchasing protocols. Open purchase orders may be used if controlled by limiting the employees authorized to make the purchase and the amount. 18.5 PROFESSIONAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS Materials and equipment/tools inventory is safe- 1 1 ❑ guarded from loss through appropriate physical and accounting controls. 18.6 PROFESSIONAL STANDARD - MAINTENANCE AND OP- ERATIONS FISCAL CONTROLS District-owned vehicles are used only for district 2 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 regulations set by the State Board of Education. 3 All vending machine contracts reflect these policies and regulations. An adequate system of inventory control also exists. [EC 48931] 18.8 LEGAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS Capital equipment and furniture is tagged as dis- 2 trict-owned property and inventoried at least annu- ally. 18.9 LEGAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS The district adheres to bid and force account re- quirements found in the Public Contract Code (Sections 20111 and 20114). These requirements 7 include formal bids for materials, equipment and maintenance projects that exceed $50,000; capital projects of $15,000 or more; and labor when the job exceeds 750 hours or the materials exceed $21,000. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 77 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 18.10 PROFESSIONAL STANDARD - MAINTENANCE AND OP- ERATIONS FISCAL CONTROLS Standard accounting practices dictate that the dis- trict has adequate purchasing and contract controls to ensure that only properly authorized purchases are made and independent contracts approved, and 6 that authorized purchases and independent con- tracts are made consistent with district policies, procedures, and management direction. In addition, appropriate levels of signature authorization are maintained to prevent or discourage inappropriate purchases or contract awards. 19.1 PROFESSIONAL STANDARD - FOOD SERVICE FISCAL CONTROLS In order to accurately record transactions and to ensure the accuracy of financial statements for the cafeteria fund in accordance with generally accepted accounting principles, the district has adequate pur- chasing and warehousing procedures to ensure that: 7 1. Only properly authorized purchases are made con- sistent 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, invento- ries, and cash are recorded timely and accurately. 19.2 PROFESSIONAL STANDARD - FOOD SERVICE FISCAL CONTROLS 7 The district operates the food service programs in accordance with applicable laws and regulations. 19.3 PROFESSIONAL STANDARD - FOOD SERVICE FISCAL CONTROLS 7 Food service software permits point of sale transac- tion processing for maximum efficiency. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 78 Financial Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 20.1 PROFESSIONAL STANDARD - CHARTER SCHOOLS In the process of reviewing and approving charter schools, the district identifies/establishes minimal financial management and reporting standards that the charter school will follow. These standards/pro- cedures will provide some level of assurance that 1 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 appropriately managed. 21.1 PROFESSIONAL STANDARD - STATE-MANDATED COSTS The district has procedures that provide for the appropriate oversight and management of man- dated cost claim reimbursement filing. Appropri- ate procedures cover: the identification of changes to existing mandates; training staff regarding the 2 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. 22.1 PROFESSIONAL STANDARD - SPECIAL EDUCATION The district actively takes measures to contain the cost of special education services while still 4 5 ❑ providing an appropriate level of quality instruc- tional and pupil services to special education pupils. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Financial Management 79 Facilities Management In the six months since the comprehensive Assessment and Improvement Plan was issued in November 2004, the district has been addressing the identified deficiencies. The majority of the district’s efforts have been focused on reviewing and analyzing the findings, establishing a pro- cess to develop action plans for each operational area, and formalizing the action plans. The pro- cess for developing the action plans was well designed and comprehensive, including participa- tion by a large and diverse group of employees and community members. A goal in this process was to achieve widespread support for the action plans in each operational area. The facilities action plan appears to be sufficiently detailed to guide the activities that will be undertaken. The action plans generally identify specific activities to be performed, the responsible party, the target completion date, and the resulting outcomes, output, and documentation. The action plans should help to increase the district’s likelihood of successfully addressing the findings and implementing the recommendations of the Assessment and Improvement Plan. While the process to develop the action plans is detailed and well documented, the district has only recently adopted most of the plans. As a result, it is just starting to move forward with the actual activities that will correct noted deficiencies and implement the recommendations. There- fore, while district personnel are very aware of the issues that need to be addressed and efforts are being made to implement the action plans, implementation activities are only in the early stages. Documentation of Policies, Procedures, and Processes The district is in the process of revising and expanding its board policies and administrative regulations, but those changes are not complete. The district has hired a consultant to revise and update its board policies, but the exact status of the policies was not clear as the review team had not seen any draft policies. Staff stated that the policies would not be completed until the end of the school year at the earliest. At that time the policies will be presented to the State Administra- tor for review, approval, and adoption. It is intended that the updated policies will adequately support all the necessary activities identified in the action plans for the facilities area. However, as the policies were not completed at the time of the six-month review, this could not be verified. The district’s action plan also calls for the development of a comprehensive policies and pro- cedures manual for facilities, maintenance, and operations. These policies and procedures are intended to address all aspects of the operation of those departments, as well as address findings and recommendations identified in the Assessment and Improvement Plan. However, the district has just begun to accumulate information, best practices, and sample manuals, which will pro- vide the basis for the development of its own policies and procedures manual. The action plan identifies February 2005 as the target date for completion of the manual. However, given the workload and other issues confronting the Maintenance and Operations Department, it does not appear that the manual will be completed for several months. Communication between Central Office Departments The two departments basically responsible for district facilities are Student Housing Services, commonly known as Facilities, and Facilities Services, known as Maintenance and Operations. The relationship between the administrators of these departments appears good. A weekly meet- ing is held for division staff to facilitate consistent communication between Student Housing and Facilities. In addition, the two directors participate in Cabinet meetings every other week. Facilities Management 1 Informally, Student Housing, Facilities, and other central office departments communicate via e-mail and phone calls on an as-needed basis. Overall, communication appears to be improving, but there still are gaps in communication, particularly related to modernization projects. At a site undergoing modernization the projects were impacting both the daily operation of the school and maintenance and operations by creating safety issues for which the Maintenance and Operations Department is responsible. The completion of board policies, administrative regulations, and departmental policy and pro- cedures manuals should help to formalize the frequency, nature, and format of interdepartmental communications. Therefore, while communication is improving, there is still work to be done to formalize and document processes to ensure timely and ongoing communication between the two departments in coordinating their work. Communication between Schools and the Central Office In the past, communication between school sites and the Maintenance and Operations Depart- ment has been problematic. Sites complained that work orders, e-mails, and voice mails were either not answered or not promptly answered. Further, the work order system was viewed as cumbersome, time consuming, and not user friendly. As a result, the system was not consistently used, which created problems in managing and tracking work orders. Conversely, when the work order system was used, sites frequently were not aware of the status of any given work order. As a result, multiple work orders were frequently submitted for the same job, which created admin- istrative and tracking issues for the Maintenance Department. The district is in the process of implementing a new work order/preventive maintenance system. The system is intended to better manage facilities and reduce the actual number of repairs needed and work orders submitted. The system should also help to streamline the work order process and facilitate easier tracking and more timely completion. In addition, the district is upgrading its work order system and archiving old data in order to improve system speed and responsiveness. However, while progress is being made, observations and statements by site staff indicate that the issue of submission, tracking, and closure of work orders still has room for improvement. Fire, Health, and Safety Issues at School Sites The district’s facilities generally provide an adequate school environment. The comprehensive Assessment and Improvement Plan identified fire, health, and safety issues at virtually all the sites visited. Problems included: • Classrooms without fire extinguishers or extinguishers moved from designated areas • Fire extinguishers that did not have current inspections • Access to fire extinguishers and fire alarms blocked • Fire doors or barrier doors blocked open • Unsanitary restrooms 2 Facilities Management The district has made progress in addressing fire and other safety hazards at school sites, but some issues still existed at every site visited. General cleanliness of bathroom facilities could be improved and there were instances where bathrooms had plugged toilets, broken sinks, or lacked soap or toilet seat covers. Facilities Improvement and Utilization The district’s facilities modernization program is funded from local bonds authorized by Measure A. This measure provided the district the authority to issue $133 million in general obligation bonds for facilities modernization projects. This funding has been augmented by state funds and interest earnings. To date the district has completed 74 projects at 26 school sites. The program is scheduled for completion by the end of the 2005-2006 year. The modernization program has helped to improve conditions at schools throughout the district. However, a rapid increase in actual construction costs resulted in the scope of many projects be- ing reduced or other cost saving measures being instituted. As a result, site improvements may not be sustainable and the district may still have unmet modernization needs at some sites at the end of the district’s modernization program. As the district is experiencing declining enrollment, the district is identifying unused or underutilized property. Proposals are being considered to utilize such property to generate in- come for the district either through lease agreements or outright sale. However, at the time of the team’s review, no action had been taken on these proposals. The district is also considering different uses of some of the district’s school sites. Facilities Management 3 4 Facilities Management 1.3 School Safety—Plan for Protection of People and Property Legal Standard: Demonstrate that a plan of security has been developed, which includes adequate measures of safety and protection of people and property. [EC 32020, 32211, 35294-35294.9] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has partially implemented the recommendation to update its board policies and administrative regulations by hiring a consultant to review and update them. That process is ongoing. The consultant plans to complete the draft of the updated board poli- cies by the end of the school year. At that time, the policies will be presented to the State Administrator for review, approval, and adoption. This item will require follow-up in the next six-month review to determine if the board policies sufficiently address a plan of se- curity. 2. Districtwide and site-specific safety plans are not yet complete. Per its action plan, the district has hired a consultant to develop comprehensive safety and security plans. The target date for completion is December 2005. The outline for the districtwide school safety plan shows that the plan will address the following areas: • General Safety Information • Child Abuse Reporting • Disaster Procedures • Notification of Dangerous Pupils • Suspension, Expulsion, and Due Process • Sexual Harassment Policies • School Dress and Grooming • Safe Ingress and Egress • Rules and Procedures for School Discipline • Crime Assessment • Appendices—Reference and Resource Information The consultant has completed five of the topic areas. However, several sections of the plan are based on the district’s board policies and administrative regulations. To the ex- tent that board policies have not yet been updated, these sections remain open items. The district’s plan was to distribute the plan to site administrators, with training provided during late March and April 2005 (prior to the scheduled completion of the board poli- cies). As a result, it is possible that the plan will not accurately reflect certain district Facilities Management 5 policies, and the manual may need to be updated shortly after it is distributed. Follow- ing distribution and training, site administrators will develop individual site safety plans using the districtwide school safety plan as the template/format. The consultant will be available as needed to assist with preparation of the plans. This item will require follow-up in the next six-month review to determine the district’s progress in developing site safety plans and addressing pertinent safety issues. 3. Exterior lighting is still not consistently adequate at all school sites. The district’s risk management consultant is assessing workplace safety, including lighting and security fencing at each site. Based upon the assessment, the district intends to develop a separate action plan to prioritize and address these issues. No specific date was identified for the completion of the workplace safety assessment or the related action plan. 4. Many sites have multiple access points and incomplete perimeter fencing. The district’s risk management consultant is assessing workplace safety, including lighting and security fencing at each site. The district intends to develop a separate action plan to prioritize and address these issues. No specific date was identified for the completion of the workplace safety assessment or the related action plan. 5. The district has not implemented the prior recommendation to add visitor signs at all en- try points to schools. In general, sites have some signage for visitors at the main point of entry for the school but not at all pedestrian entry points. As the district addresses the is- sue of perimeter security fencing, it should also ensure that appropriate signage is posted at each entry point. 6. The district requires visitors, vendors, contractors, and other staff to sign the visitor log and obtain a visitor’s sticker. However, not all visitor stickers are date specific. The dis- trict should consider utilizing date-specific stickers at all sites. Given that many school sites have multiple entry points, it is possible for people to enter sites without signing in at the office. Therefore, addressing the issue of perimeter security will increase the effectiveness of the sign-in process for monitoring visitors. 7. The district did not provide documentation to show that it has implemented procedures to ensure that all volunteers are appropriately evaluated and approved. 8. The district has not implemented the recommendation to add “No Trespassing” signs at all school sites. 9. The district has not implemented the recommendation to add Tobacco Free Zone (TFZ) signs at all entry points at all school sites. Some sites had no signage, while others only had signage at the main entry point to the school. It does not appear that the district has comprehensively considered or addressed this issue. 6 Facilities Management 10. The district has not implemented the recommendation to provide additional resources to ensure that all high school students have student identification. However, the issue is be- ing evaluated as part of the development of the security plan and the workplace safety as- sessment. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 Implementation Scale: Facilities Management 7 1.8 School Safety—Graffiti and Vandalism Abatement Plan Professional Standard: The district has a graffiti and vandalism abatement plan that is followed by all district employees. The district provides employees with sufficient resources to meet the requirements of the abate- ment plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has hired a consultant to review and update its board policies and administra- tive regulations. This item will require follow-up in the next six-month review to deter- mine if board policies sufficiently address vandalism and graffiti. 2. The district’s written graffiti and vandalism plan has not been finalized. The district’s ac- tion plan indicates that a comprehensive maintenance and operations manual will be de- veloped by February 2005. However, the manual is still in the development process. The portion of the manual related to graffiti and vandalism is in an early draft form and has not yet been circulated for comments. 3. The district has a process for addressing graffiti and vandalism. At each site, the head custodian is responsible for walking the grounds each morning and reporting any noted graffiti or vandalism to the Maintenance and Operations office. The district has assigned specific staff to quickly address vandalism repair and graffiti abatement to discourage fu- ture incidents. 4. The district has not yet established a formalized training plan or provided annual training to site staff responsible for reporting and addressing maintenance issues and graffiti/van- dalism. However, new custodians are trained on their general duties and are given the standards for cleaning procedures, which identify cleaning graffiti and preparing a report for the head custodian regarding vandalism. In addition, a memo was provided to all site principals in January 2005 reminding them of the general maintenance request process. 5. The district is attempting to limit the number of paint colors utilized in facilities. Howev- er, no formal standardization has occurred to date, nor has any policy been implemented that addresses the issue of standardization of paint schemes. 6. In the first draft of the graffiti plan the district has partially addressed the recommenda- tion to provide supplies to site custodial staff for minor graffiti abatement. However, the actual items needed are not identified. It also does not appear that staff have received spe- cific training on graffiti abatement beyond basic cleaning methods. 8 Facilities Management Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 4 Implementation Scale: Facilities Management 9 1.14 School Safety—Sanitation is Maintained and Fire Hazards are Corrected Legal Standard: Sanitary, neat, and clean conditions of the school premises exist and the premises are free from conditions that would create a fire hazard. [CCR Title 5 §633] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not completed revising its board policies; therefore, updated policies regarding sanitation hazards were not available at the time of the review. This item will require follow-up in the next six-month review to determine if the board policies suffi- ciently address items related to fire safety and other safety and sanitation issues. Because board policies, administrative regulations, and the maintenance and operations procedures manual have not been revised/developed, the district has not yet formalized the recommendation requiring staff to immediately report health and safety issues to the Office of Facilities Services. Development of a comprehensive Maintenance and Operations policies and procedures manual is still in progress. Data gathering and examples of other manuals have been ob- tained and reviewed. One of the manuals will be selected to be the basis of the district’s manual, and customized to specifically address the district’s unique situation. In the absence of formal policies, regulations, and manuals, the Maintenance and Opera- tions Department has sent out a memo to all site administrators and informed custodians of the process to report urgent items (health and safety issues) to have them addressed promptly. Nevertheless, issues such as missing fire extinguishers, blocked/locked exits, wet floors, and unclean bathrooms with inadequate supplies were observed. While some progress has been made, health and safety issues do not appear to always be reported promptly to maintenance and operations staff for correction. 2. In March 2005, the district initiated monthly inspection of fire extinguishers at each school site. The process requires the head custodian at each site to inventory and inspect all fire extinguishers at the site (including location, size, and type) to verify that the pin is in place, the charge is adequate, the hose and nozzle are in good condition, and access is not blocked. Because the process was recently initiated, no evaluation of its effectiveness could be made. However, based on inspections at selected sites, some violations were noted at each site. Observed violations included: • Fire extinguishers past inspection date • Fire extinguishers missing or moved from designated location • Rooms without extinguishers • Access to fire extinguishers or alarms blocked 10 Facilities Management This item will require follow-up in the next six-month review to determine if the monthly process of inspecting fire extinguishers is being adhered to and is effective in ensuring that fire extinguishers are appropriately maintained. 3. It does not appear that the district has implemented the recommendation to establish a formalized training plan and provide annual training to all site staff responsible for re- porting and addressing maintenance, cleanliness, and safety issues. New custodial staff are provided training on their duties in general and are provided with the standards for cleaning procedures. In addition, a memo was provided to all site principals in January 2005 reminding them of the general maintenance request process. However, given the fact that safety and cleanliness issues were noted at essentially all sites visited, additional training for all site staff regarding cleanliness and safety issues is appropriate. 4. Based on interviews with the Director of Facilities, having safe and clean campuses is an important issue for the district and this has been conveyed to staff. However, the district has not yet implemented a formal process to have supervisors periodically review the progress made at each school site. As the director attempts to visit each site at least once a month, a checklist should be used to evaluate conditions and track the number and nature of items not in compliance with the established standards. This would provide a basis for tracking conditions over time. 5. Employees are evaluated annually. The district has attempted to raise the expectation of what constitutes standard performance. That is, employee performance that previously might have been rated above standard is now likely to just meet the standard expectation. However, the actual evaluation form utilized is the same one that has been used in the past. Therefore, the documentation does not provide explicit evidence of the emphasis on the areas of safety and cleanliness in employee evaluations. In addition, based on a sam- ple of employee evaluations, additional comments on the evaluation form that could have specifically addressed the issues of safety and cleanliness appeared to be minimal. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: Facilities Management 11 1.18 School Safety—Plan for Prevention of Campus Crime and Violence Legal Standard: A comprehensive school safety plan exists for the prevention of campus crime and violence. [EC 35294-35294.9] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not completed revising its board policies. Therefore, updated policies regarding school safety plans were not available at the time of the review. This item will require follow-up in the next six-month review to determine if the board policies have been updated to sufficiently address school safety plans and staff training. An outside consultant has recently completed the outline for the districtwide school safety plan. The plan will address the following areas: • General Safety Information • Child Abuse Reporting • Disaster Procedures • Notification of Dangerous Pupils • Suspension, Expulsion, and Due Process • Sexual Harassment Policies • School Dress and Grooming • Safe Ingress and Egress • Rules and Procedures for School Discipline • Crime Assessment • Appendices—Reference and Resource Information The consultant has completed five of the topic areas. However, several sections of the safety plan will utilize district board policies and administrative regulations as the basis or support for the plan. To the extent that the board policies have not yet been updated, these sections remain open items. Sections impacted include: • Suspension, Expulsion, and Due Process • Sexual Harassment Policies • School Dress and Grooming • Rules and Procedures for School Discipline • Crime Assessment 12 Facilities Management 2. The district intended to distribute the plan to site administrators, with training provided during late March and April 2005, prior to the scheduled completion of the board poli- cies. As a result, the plan may not accurately reflect certain district policies. Following distribution and training, site administrators will develop individual site safety plans, using the districtwide school safety plan as the template/format. The consultant will be available as needed to assist with plan preparation. This item will require follow-up in the next six-month review to determine the district’s progress in developing site safety plans and addressing pertinent safety issues. 3. The district appears to be in the process of producing plans that include the following key components of a comprehensive school safety plan: • Status of school crimes committed on district campuses during district functions • Dangerous pupil notification procedures • Strategies and programs for the maintenance of high levels of school site safety • Access procedures for students • Educational environment requirements • School discipline procedure • Sexual harassment policy Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 4 Implementation Scale: Facilities Management 13 2.1 Facility Planning—Maintenance of a Long-Range Facilities Master Plan Professional Standard: The district should have a long-range school facilities master plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has hired consultants to perform a new demographic study, evaluate district assets, and develop an asset management plan. The information from these studies will be utilized to produce a comprehensive new facilities master plan. In addition, the district’s action plan calls for ongoing contractual relationships with the consultants to update the plan annually. Concurrent with the above activities, the district has prepared some smaller scope plans to assess the short-term needs of specific sites that would ultimately be folded into the overall facilities master plan. 2. The district has retained consultants to assist with facility planning and the development and maintenance of a long-term facilities master plan. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 Implementation Scale: 14 Facilities Management 2.14 Facility Planning—Consideration of an Asset Management Plan Professional Standard: The district should consider developing an asset management plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has hired a consultant to develop an asset management plan, with a projected completion date of July 2005. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 Implementation Scale: Facilities Management 15 3.7 Facilities Improvement and Modernization—Furniture and Equipment Included in Modernization Program Professional Standard: Furniture and equipment items are routinely included within the scope of modernization projects. Progress on Implementing the Recommendations of the Improvement Plan: 1. While the district is in the last two years of its modernization program, it has not made any attempt to assess furniture and equipment needs related to the remaining projects. 2. The district has not established a furniture and equipment standard for schools by school type (elementary schools, middle schools, high school) that includes the replacement schedule for furniture and equipment. 3. The district has not made a comprehensive assessment of existing furniture and equip- ment, noting factors such as age and condition, in order to identify current and future needs and to allow for the development of a replacement and funding plan. 4. The district has not conducted a needs assessment. 5. The district has not developed an equipment and furniture replacement and funding plan. Standard Implemented: Not Implemented November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 Implementation Scale: 16 Facilities Management 8.1 Facilities Maintenance and Custodial—Implementation of an Energy Conservation Policy Professional Standard: An Energy Conservation Policy should be approved by the Board of Education and implemented throughout the district. Progress on Implementing the Recommendations of the Improvement Plan: 1. This item will require follow-up in the next six-month review to determine if the board policies were updated to sufficiently address energy conservation. The district’s action plan related to energy conservation identifies and includes many of the items that were anticipated to be included in the recommended board policy. Items identified in the action plan included: • Room temperature range of 68˚ to 74˚ heating and 72˚ to 78˚ cooling. • Propping doors or windows open when air conditioning or heating is on is a viola- tion of board policy unless a work order has been documented regarding a needed repair. • Interior lights, heating, or cooling will be set back or turned off from 6 p.m. to 6 a.m. Monday through Friday and from 6 p.m. Friday to 6 a.m. Monday except when there is a permitted facility use. • Energy use reports for each site are posted on the district Web page for review by site management. • Energy use reports drive preventive maintenance and routine restricted maintenance funding to improve underperforming energy consumption situations. • Site management will be required to evaluate energy consumption and the site’s performance in energy conservation. The action plan calls for the energy conservation plan to be in place by August 2005. This item will be reviewed for implementation in the next follow-up review. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: Facilities Management 17 8.2 Facilities Maintenance and Custodial—Energy Accounting System and Completion of Energy Analyses Professional Standard: Create and maintain a system to track utilities costs, consumption and report on the success of the district’s energy program. An energy analysis has been completed for each site. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has partially implemented the recommendation to have energy consumption and expenses logged. The action plan calls for the Facilities Department to do the data collection, analysis, and monitoring. The action plan also calls for the purchase of an en- ergy management tool to facilitate this work. The tool is in the process of being installed. 2. The district has partially implemented the recommendation to perform the detailed re- view of energy bills and information to identify errors, unusual changes in consumption or cost, or the overall effects of the energy conservation program across all sites. The dis- trict is in the process of installing software to monitor and track utility costs for electric- ity, natural gas, and water. In the coming months, the district will be monitoring cost per square foot and cost per student, in total and by site. 3. The district has not formally identified/catalogued sites and areas that have not been ret- rofitted for energy conservation nor has it hired a contractor to do this work. However, only sites that have been through modernization would have been retrofitted, and gener- ally only for heating, ventilation, and air conditioning (HVAC). Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 6 Implementation Scale: 18 Facilities Management 8.3 Facilities Maintenance and Custodial—Energy Efficient Design Criteria for New Construction and Modernization Professional Standard: Cost-effective, energy-efficient design should be a top priority for all district construction proj- ects. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not augmented its building design standards to include specific energy de- sign criteria for all areas of school design, including lighting, HVAC, controls, insulation and related measures, orientation, generation, renewable sources of energy and criteria for comparing and accepting energy efficient design. The district’s goal is to have these standards developed after the board policies are developed, with a target date of Novem- ber 2006. The district should move expeditiously to implement more extensive building design standards to encompass all areas of energy management. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 Implementation Scale: Facilities Management 19 8.6 Facilities Maintenance and Custodial—Procedures for Evaluation of Maintenance and Operations Staff Professional Standard: Procedures are in place for evaluating the work quality of maintenance and operations staff. The quality of the work performed by the maintenance and operations staff is evaluated on a regular basis using a board-adopted procedure that delineates the areas of evaluation and the types of work to be evaluated. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not shifted the responsibility for evaluating custodial staff to site admin- istrators. The custodial supervisor still performs the approximately 90 custodial evalua- tions. The district has taken no action to reduce the impact that having to do such a large number of evaluations may have on the supervisor’s other workload. The custodial supervisor receives input from the site administrator regarding the em- ployee’s performance and/or the site administrator participates in the actual face-to-face evaluation. This helps to ensure that the custodial supervisor has information about the day-to-day performance of the employee. Based on a sample of custodial employee files, it appears that employees are generally being evaluated annually and that the evaluations are representative of the employee’s performance. 2. The district has implemented the recommendation for an annual evaluation reminder pro- cess. Facilities management staff receive notification from the Human Resources Depart- ment regarding upcoming employee evaluations. The district has attempted to simplify the evaluation process by evaluating all employees within a three-month period each year. 3. The district did not produce documentation that it provides training for supervisory per- sonnel regarding the proper documentation of employee performance based upon estab- lished personnel and work standards. 4. Based on discussion with district staff and review of employee files, the district has im- plemented the recommendation to have the supervisor discuss the performance evaluation with the employee and to provide a copy of the evaluation to the employee. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 Implementation Scale: 20 Facilities Management 8.9 Facilities Maintenance and Custodial—Implementation of a Preventive Maintenance Program Professional Standard: The district has an effective preventive maintenance program that is scheduled and followed by the maintenance staff. This program includes verification of the completion of work by the super- visor of the maintenance staff. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not yet created and implemented a board policy related to preventive maintenance. This item will require followup in the next six-month review to determine if the board policies were updated to sufficiently address preventive maintenance. Per the district’s action plan, the new/revised board policies are slated for completion in June 2005. 2. The district has partially implemented the recommendation to implement a preventive maintenance program as part of the overall action/recovery plan. The action plan calls for the development of board policies and a procedures manual for maintenance and opera- tions that are focused on preventive maintenance. Both of these items are to be completed by June 2005. The goal of moving to a preventive maintenance approach is to generate regularly scheduled maintenance project work orders in order to decrease the amount of work orders generated by the need for actual repairs. The district action plan also calls for the purchase and implementation of a preventive maintenance system to replace the current work order system in August 2005. This should improve maintenance and reduce costs. 3. Since the district has not fully implemented the recommendation to develop and put into practice an effective preventive maintenance program, as identified by the district, it has not provided information and training to employees regarding energy conservation. 4. The district has not implemented the recommendation to provide training to site adminis- trators and maintenance workers regarding the preventive maintenance system and soft- ware being implemented. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 Implementation Scale: Facilities Management 21 8.10 Facilities Maintenance and Custodial—Adequate Repair and Supervision of School Buildings Legal Standard: The Governing Board of the district provides clean and operable flush toilets for use of pupils. Toilet facilities are adequate and maintained. All buildings and grounds are maintained. [CCR Title §631, CCR Title 5 14030, EC 17576] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not implemented the recommendation to create and implement a board policy stating that all sanitation hazards are to be reported and corrected immediately. The action plan for this item identifies November 2005 as the anticipated completion date for the board policy related to this standard. However, district staff stated that it is anticipated that the consultant hired to revise/update the board policies will complete the draft of the policies by the end of the school year. 2. The district has partially implemented the recommendation to develop a process to have health and safety issues addressed immediately. The action plan calls for the Maintenance and Operations policies and procedures manual to be completed in June 2005. The man- ual is to address all aspects of maintenance and operations, including health and safety issues. In addition, the policy and procedures manual will address: • Methods used to clean and maintain sites and facilities • Frequency of cleaning and maintenance • Materials and products used for cleaning and maintenance • Inspection criteria and district standards • Training In the interim, the Director of Maintenance and Operations has sent a memo to all site administrators and informed custodians of the process to report urgent items (health and safety issues) in order to have fire and safety issues addressed promptly. 3. As the modernization process is still in progress at several sites, some play field improve- ments still need to be completed. However, at the selected sites visited where moderniza- tion was not in progress, the fields were generally in good condition. 4. It does not appear that the district has implemented the recommendation to provide train- ing to all site staff responsible for reporting and addressing maintenance, cleanliness, and safety issues. New custodial staff are provided training on their duties in general and are provided with the standards for cleaning procedures. 5. Based on interviews with the Director of Facilities, having safe and clean campuses is an important issue for the district, and this has been conveyed to staff. However, the district has not implemented a formal process to have supervisors periodically review progress 22 Facilities Management made at each school site. As the director attempts to visit each site at least once a month, a checklist should be used to evaluate conditions and track the number and nature of items not in compliance with the established standards. This would provide a basis to track conditions over time. 6. The recommendation to emphasize safety and cleanliness in employee evaluations is still in the process of being implemented. Employees are evaluated annually. Clearly, the issues of safety and cleanliness are im- portant to the district. The Director of Facilities has attempted to raise the expectation of what constitutes standard performance. That is, employee performance that previously might have been rated above standard is now likely to just meet the standard expectation. There is an attempt to provide some emphasis for safety and cleanliness in the evalua- tion process. However, the actual evaluation form utilized is the same form that has been used in the past. Therefore, the documentation does not provide explicit evidence of the emphasis on safety and cleanliness in employee evaluations. Based on a sample of evalu- ations, additional comments on the evaluation form that could have spoken specifically to the issues of safety and cleanliness appeared to be minimal. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: Facilities Management 23 8.12 Facilities Maintenance and Custodial—Priorities for Assignment of Routine Repair Work Orders Professional Standard: The district has a documented process for assigning routine repair work orders on a priority basis. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has implemented the recommendation to utilize the School Preventive Main- tenance Management System (SPMMS) work order system. To address issues raised by site administrators and staff regarding its slowness and difficulty of use, the district is scheduled to update the system in April. In addition, the district will archive a large volume of old data to improve system performance. A permanent staff member will be assigned to process work orders to improve consistency, timely processing and prioritiza- tion. However, these actions have not been completed and the above issues continued to be raised by site staff. The district is also implementing a preventive maintenance system. The goal of the sys- tem is to increase the performance and usable life of facilities and assets, and reduce the number of repairs needed. If successful, the system should reduce the number of work orders that sites submit and allow timelier processing. 2. The action plan calls for the Maintenance and Operations policies and procedures manual to be completed in June 2005. In the interim, the Director of Maintenance and Opera- tions has sent a memo to all site administrators and informed custodians of the process to report urgent items (health and safety issues) in order to have fire and safety issues ad- dressed promptly. 3. The director is attempting to develop a prioritization system for work orders that requires staff to be accountable for completing assigned work orders. However, the policies and procedures related to this process have not yet been formalized. The district’s action plan calls for the Maintenance and Operations policies and procedures manual to be completed in June 2005. 4. The district has not met with site administrators and support staff to review the work order system and identify options to improve performance of the system. However, the district’s process to develop its action plan is fairly comprehensive and includes participa- tion and input from a diverse group, including site administrators and staff. 5. Implementation of the recommendation to review the work order monitoring system was not clear from the district’s documentation of the action plan process. However, the district is currently planning to improve the performance of the work order system by up- grading the software and archiving old data. 24 Facilities Management 6. The district’s action plan did not directly address the recommendation to improve com- munication between the Facilities Services Department and school sites. However, the Director of the Facilities Services Department visits sites monthly. It appears that the re- lationship and level of communications is improving. 7. The district is in the process of implementing the recommendation to improve the work order process and tracking system and eliminate the sites’ perceived need to submit mul- tiple work orders. The work order system is being upgraded and all old items archived. However, the district did not provide documentation showing the number of outstanding work orders, the time range or average time for completing work orders (in aggregate or by categories), or a reduction in the completion time. 8. The district’s action plan addresses issues related to improving the work order system and establishing a preventive maintenance program. However, no additional staffing or fund- ing has specifically been identified to perform and support maintenance for modernized schools. 9. The district has partially implemented the recommendation that all work, except for health and safety and other emergency work, be requested through a work order. The ac- tion plan for this item identifies November 2005 as the anticipated completion date for the board policy related to this standard. However, it is anticipated that the consultant will complete the draft of the updated board policies by the end of the school year. At that time the policies will be presented to the State Administrator for review, approval, and adoption. In addition, the action plan calls for the Maintenance and Operations policies and proce- dures manual to be completed in June 2005. In the interim, the Director of Maintenance and Operations has sent a memo to all site administrators and informed custodians of the process to report facility needs through work orders with the exception of urgent items (health and safety issues) in order to ensure that health and safety issues are addressed promptly. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 Implementation Scale: Facilities Management 25 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 action plan calls for the district to draft a plan regarding improving landscaping at school sites. The plan will be finalized after the completion of most major modernization projects in September 2005. In addition, standards for landscaping, including an annual assessment, are to be included in the Maintenance and Operations procedures manual, which has not yet been drafted. The action plan also calls for exploring and expanding opportunities for the installation and maintenance of landscaping with the City of Vallejo and the park district. 2. After the completion of all modernization projects the district should conduct an inven- tory/assessment to determine the actual landscaping conditions that exist at individual district sites. 3. The district should develop standards of landscaping that are desired at various types of schools (elementary, junior high, high school, special program sites, etc.). 4. The district should measure the findings of the aforementioned inventory/assessment us- ing the standards developed to determine site needs and deficiencies. 5. The district should develop a broad-based set of potential funding sources to assist in the implementation of a landscaping plan. 6. The district should develop a plan to correct any landscaping needs and deficiencies that exist at its respective school sites. The fiscal impact associated with the implementation of this plan needs to be developed and considered within the broader context of facilities- related needs within the district, along with the potential additional staffing requirements within the grounds department. Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 Implementation Scale: 26 Facilities Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 1.1 LEGAL STANDARD - SCHOOL SAFETY All school administrators are thoroughly familiar with the California Department of Education, Civil Not Defense and Disaster 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 appropriate security devices in the design of new buildings as well as in modern- 5 ized 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 adequate measures of safety and protec- 3 3 ❑ tion of people and property. [EC 32020, 32211, 35294-35294.9] 1.4 LEGAL STANDARD - SCHOOL SAFETY The district ensures that the custodial and mainte- nance staffs are regularly informed of restrictions pertaining to the storage and disposal of flammable 4 or toxic materials. [EC 49341, 49401.5, 49411, F&AC 12981, H&SC 25163, 25500-25520, LC 6360-6363, CCR Title 8 §5194] 1.5 PROFESSIONAL STANDARD - SCHOOL SAFETY The district has a documented process for issuing master and sub-master keys. A districtwide standard- 4 ized 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 monitored on a regular basis to ensure the safety of 4 the students, staff and community. Students, employ- ees and the public feel safe at all times on school premises. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Facilities Management 27 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 1.7 PROFESSIONAL STANDARD - SCHOOL SAFETY Outside lighting is properly placed and monitored on a regular basis to ensure the operability/adequacy of such lighting and to ensure safety while activities are in progress in the evening hours. Outside lighting 2 provides sufficient illumination to allow for the safe passage of students and the public during after-hours activities. Lighting also provides security personnel with sufficient illumination to observe any illegal activities on campus. 1.8 PROFESSIONAL STANDARD - SCHOOL SAFETY The district has a graffiti and vandalism abate- ment plan that is followed by all district employ- 4 4 ❑ ees. The district provides district employees with sufficient resources to meet the requirements of the abatement plan. 1.9 LEGAL STANDARD - SCHOOL SAFETY The district has on file written plans describing procedures to be employed in case of emergency. [EC 5 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 intermediate school in the dis- trict conducts a fire drill at least once a month. Each 4 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 compounds used in school programs that in- 3 clude the potential hazards and shelf life. [EC 49341, 49401.5, 49411, F&AC 12981, H&SC 25163, 25500- 25520, LC 6360-6363, CCR Title 8 §5194] 1.12 LEGAL STANDARD - SCHOOL SAFETY Building examinations are performed, and required 4 actions are taken by the Governing Board upon report of unsafe conditions. [EC 17367] The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 28 Facilities Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 1.13 LEGAL STANDARD - SCHOOL SAFETY Each school that is entirely enclosed by a fence or partial buildings 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 conditions of the school premises exist and the premises are free from 2 3 ❑ conditions that would create a fire hazard. [CCR Title 5 §633] 1.15 LEGAL STANDARD - SCHOOL SAFETY The Injury and Illness Prevention Program (IIPP) 6 requires periodic inspections of facilities to identify conditions. [CCR Title 8 §3203] 1.16 LEGAL STANDARD - SCHOOL SAFETY Appropriate fire extinguishers exist in each building 6 and current inspection information is available. [CCR Title 8 §1922(a)] 1.17 LEGAL STANDARD - SCHOOL SAFETY 6 All exits are free of obstructions. [CCR Title 8 §3219] 1.18 LEGAL STANDARD - SCHOOL SAFETY A comprehensive school safety plan exists for 4 4 ❑ the prevention of campus crime and violence. [EC 35294-35294.9] 1.19 LEGAL STANDARD - SCHOOL SAFETY Requirements are followed pertaining to underground 8 storage tanks. [H&SC 25292, CCR Title 26 §477, Title 23 § 2610] 1.20 LEGAL STANDARD - SCHOOL SAFETY All asbestos inspection and asbestos work completed is performed by Asbestos Hazard Emergency Response 6 Act (AHERA) accredited individuals. [EC 49410.5, 40 CFR Part 763] The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Facilities Management 29 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 1.21 LEGAL STANDARD - SCHOOL SAFETY All playground equipment meets safety code regu- lations and is inspected in a timely fashion as to 6 ensure the safety of the students. [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 regard to boiler and 6 fired pressure vessels. [CCR Title 8 §782] 1.23 LEGAL STANDARD - SCHOOL SAFETY The district maintains Materials Safety Data Sheets. 2 [EC 49341, 49401.5, 49411, F&AC 12981, LC 6360- 6363, CCR Title 8 §5194] 1.24 PROFESSIONAL STANDARD - SCHOOL SAFETY The district maintains a comprehensive 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 aid training for 0 employees assigned to school sites. 2.1 PROFESSIONAL STANDARD - FACILITY PLANNING The district has a long-range school facilities mas- 3 4 ❑ ter plan. 2.2 PROFESSIONAL STANDARD - FACILITY PLANNING The district possesses a California State Department 10 of Education Facilities Planning and Construction Guide (dated 1991). 2.3 PROFESSIONAL STANDARD - FACILITY PLANNING The district seeks state and local funds. 6 2.4 PROFESSIONAL STANDARD - FACILITY PLANNING The district has a functioning facility planning com- 7 mittee. 2.5 PROFESSIONAL STANDARD - FACILITY PLANNING The district has a properly staffed and funded facility 5 planning department. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 30 Facilities Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 2.6 PROFESSIONAL STANDARD - FACILITY PLANNING The district has developed and implemented an an- 7 nual capital planning budget. 2.7 LEGAL STANDARD - FACILITY PLANNING The district has standards for real property acquisi- 5 tion and disposal. [EC 39006, 17230-17233] 2.8 LEGAL STANDARD - FACILITY PLANNING The district seeks and obtains waivers from the State 0 Allocation Board for continued use of any noncon- forming facilities. [EC 17284, 17285] 2.9 LEGAL STANDARD - FACILITY PLANNING The district has established and utilizes a selection 10 process for the selection of licensed architectural/en- gineering services. [GC 17302] 2.10 LEGAL STANDARD - FACILITY PLANNING The district assesses its local bonding capacity and 10 monitors its legal bonding limits. [EC 15100, EC 15100, EC 15330] 2.11 PROFESSIONAL STANDARD - FACILITY PLANNING The district has developed a process to determine 10 debt capacity. 2.12 PROFESSIONAL STANDARD - FACILITY PLANNING The district is aware of and monitors the assessed 10 valuation of taxable property within its boundaries. 2.13 LEGAL STANDARD - FACILITY PLANNING The district collects statutory school fees. [EC 17620, 6 GC 65995, 66000] 2.14 PROFESSIONAL STANDARD - FACILITY PLANNING The district has developed an asset management 0 1 ❑ plan. 2.15 PROFESSIONAL STANDARD - FACILITY PLANNING The district has pursued state funding for joint-use projects through the filing of applications through 0 the Office of Public School Construction and the State Allocation Board. 2.16 PROFESSIONAL STANDARD - FACILITY PLANNING The district has established and utilizes an organized 7 methodology of prioritizing and scheduling projects. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Facilities Management 31 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 2.17 PR0FESSIONAL STANDARD - FACILITY PLANNING The district complies with California Department of 0 Education (CDE) recommendations relative to school site sizing. 2.18 PROFESSIONAL STANDARD - FACILITY PLANNING The district distributes facility funding in an equi- 10 table manner to all communities served and to all school levels. 2.19 PROFESSIONAL STANDARD - FACILITY PLANNING A district that has passed a general obligation bond has created a Citizens Oversight Committee to ensure 10 the appropriateness of expenditures related to the passage of the district's local school bond measure. 3.1 PROFESSIONAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION The district has a restricted deferred maintenance fund and those funds are expended for maintenance 7 purposes only. The deferred maintenance fund is a stand-alone fund reflecting the revenues and expens- es for the major maintenance projects accomplished during the year. 3.2 PROFESSIONAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION The district has pursued state funding for deferred maintenance - critical hardship needs by filing an 0 application(s) through the Office of Public School Construction and the State Allocation Board. [State Allocation Board Regulation §1866] 3.3 PROFESSIONAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION The district applies to the State Allocation Board for facilities funding for all applicable projects, and con- 6 sistently reviews and monitors its eligibility for state funding so as to capitalize upon maximal funding opportunities. 3.4 LEGAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION 6 The district maintains a plan for the maintenance and modernization of its facilities. [EC 17366] The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 32 Facilities Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.5 PROFESSIONAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION The district establishes and implements interim hous- 9 ing plans for use during the construction phase of modernization projects and/or additions to existing facilities. 3.6 PROFESSIONAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION 5 The district has established and maintains a system for tracking the progress of individual projects. 3.7 PROFESSIONAL STANDARD - FACILITIES IMPROVE- MENT AND MODERNIZATION Furniture and equipment items are routinely 0 0 ❑ included within the scope of modernization proj- ects. 3.8 PROFESSIONAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION Refurbishing, modernization, and new construction 8 projects should take into account technology infra- structure needs. 3.9 LEGAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION The district obtains approval of plans and specifica- tions from the Division of the State Architect and the 8 Office of Public School Construction (when required) prior to the award of a contract to the lowest respon- sible bidder. [EC 17263, 17267] 3.10 LEGAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION 6 All relocatables in use throughout the district meet statutory requirements. [EC 17292] 3.11 PROFESSIONAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION The annual deferred maintenance contribution is 10 made correctly. 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. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Facilities Management 33 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 3.12 PROFESSIONAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION The district actively manages the deferred mainte- nance projects. The district reviews the five-year deferred maintenance plan annually to remove any 7 completed projects and include any newly eligible projects. The district also verifies that the expenses performed during the year were included in the state approved five-year deferred maintenance plan. 3.13 PROFESSIONAL STANDARD - FACILITIES IMPROVEMENT AND MODERNIZATION The staff within the district is knowledgeable of pro- 5 cedures within the Office of Public School Construc- tion (OPSC) and the Division of the State Architect (DSA). 4.1 PROFESSIONAL STANDARD - CONSTRUCTION OF PROJ- ECTS The district maintains an appropriate structure for 5 the effective management of its construction proj- ects. 4.2 PROFESSIONAL STANDARD - CONSTRUCTION OF PROJ- ECTS Change orders are processed and receive prior approv- 8 al from required parties before being implemented within respective construction projects. 4.3 PROFESSIONAL STANDARD - CONSTRUCTION OF PROJ- ECTS 4 The district maintains appropriate project records and drawings. 4.4 PROFESSIONAL STANDARD - CONSTRUCTION OF PROJ- ECTS 9 Each Inspector of Record (IOR) assignment is prop- erly approved. 5.1 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CON- TRACTING LAWS AND PROCEDURES 7 The district complies with formal bidding procedures. [GC 54202, 54204, PCC 20111] The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 34 Facilities Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 5.2 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CON- TRACTING LAWS AND PROCEDURES 7 The district has a procedure for requests for quotes/ proposals. [GC 54202, 54204, PCC 20111] 5.3 PROFESSIONAL STANDARD - COMPLIANCE WITH PUB- LIC CONTRACTING LAWS AND PROCEDURES The district maintains files of conflict-of-interest 7 statements and complies with legal requirements. Conflict of interest statements are collected annually and kept on file. 5.4 PROFESSIONAL STANDARD - COMPLIANCE WITH PUB- LIC CONTRACTING LAWS AND PROCEDURES The district ensures that biddable plans and specifi- 8 cations are developed through its licensed architects/ engineers for respective construction projects. 5.5 PROFESSIONAL STANDARD - COMPLIANCE WITH PUB- LIC CONTRACTING LAWS AND PROCEDURES 6 The district ensures that requests for progress pay- ments are carefully evaluated. 5.6 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CON- TRACTING LAWS AND PROCEDURES 7 The district maintains contract award/appeal process- es. [GC 54202, 54204, PCC 2011] 5.7 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CON- TRACTING LAWS AND PROCEDURES The district maintains internal control, security, and 7 confidentiality over the bid submission and award processes. [GC 54202, 54204, PCC 20111] 6.1 PROFESSIONAL STANDARD - SPECIAL EDUCATION FA- CILITIES The district complies with California Department of 6 Education (CDE) requirements relative to the provi- sion of Special Education facilities. 6.2 PROFESSIONAL STANDARD - SPECIAL EDUCATION FA- CILITIES The district provides facilities for its special educa- tion programs that ensure equity with other edu- 6 cational programs within the district and provide appropriate learning environments in relation to educational program needs. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Facilities Management 35 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 7.1 PROFESSIONAL STANDARD - IMPLEMENTATION OF CLASS-SIZE REDUCTION The district applies for state funding for class size 10 reduction facilities. The district applies for class size reduction (CSR) facilities funding annually. 7.2 PROFESSIONAL STANDARD - IMPLEMENTATION OF CLASS-SIZE REDUCTION The district has provided adequate facilities for the 10 additional classes resulting from the implementation of class size reduction. 7.3 PROFESSIONAL STANDARD - IMPLEMENTATION OF CLASS-SIZE REDUCTION The district has complied with CDE suggested space 9 requirements relative to the provision of educational environments for the implementation of class size reduction. 7.4 PROFESSIONAL STANDARD - IMPLEMENTATION OF CLASS-SIZE REDUCTION The district has developed a plan for the provision of 5 permanent facilities in which to house its CSR pro- grams. 8.1 PROFESSIONAL STANDARD - FACILITIES MAINTE- NANCE AND CUSTODIAL An energy conservation policy has been approved 2 3 ❑ by the board of education and implemented throughout the district. 8.2 PROFESSIONAL STANDARD - FACILITIES MAINTE- NANCE AND CUSTODIAL The district uses and maintains a system to track 5 6 ❑ utility costs and consumption, and to report on the success of the district’s energy program. An energy analysis has been completed for each site. 8.3 PROFESSIONAL STANDARD - FACILITIES MAINTE- NANCE AND CUSTODIAL Cost-effective, energy-efficient design has been 2 2 ❑ made a top priority for all district construction projects. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 36 Facilities Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 8.4 PROFESSIONAL STANDARD - FACILITIES MAINTENANCE AND CUSTODIAL The district has analyzed the possibility of using 1 alternative energy sources as a means of reducing the financial impact of utilities on the district. 8.5 PROFESSIONAL STANDARD - FACILITIES MAINTENANCE AND CUSTODIAL Adequate maintenance records and reports are kept, including a complete inventory of supplies, materials, tools and equipment. All employees required to per- form maintenance on school sites are provided with 5 adequate supplies, equipment and training to per- form maintenance tasks in a timely and professional manner. Included in the training is how to inventory supplies and equipment and when to order or replen- ish them. 8.6 PROFESSIONAL STANDARD - FACILITIES MAINTE- NANCE AND CUSTODIAL Procedures are in place for evaluating the work quality of maintenance and operations staff. The quality of the work performed by the maintenance 3 5 ❑ and operations staff is evaluated on a regular basis using a board-adopted procedure that de- lineates the areas of evaluation and the types of work to be evaluated. 8.7 PROFESSIONAL STANDARD - FACILITIES MAINTENANCE AND CUSTODIAL Major areas of custodial and maintenance responsi- bilities and specific jobs to be performed have been 4 identified. Custodial and maintenance personnel have written job descriptions that delineate the major areas of responsibilities that they will be expected to perform and on which they will be evaluated. 8.8 PROFESSIONAL STANDARD - FACILITIES MAINTENANCE AND CUSTODIAL Necessary staff, supplies, tools and equipment for the proper care and cleaning of the school(s) are 4 available. In order to meet expectations, 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. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Facilities Management 37 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 8.9 PROFESSIONAL STANDARD - FACILITIES MAINTE- NANCE AND CUSTODIAL The district has an effective written preventive maintenance program that is scheduled and fol- 0 1 ❑ lowed 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 operable flush toilets for the use of pupils. 2 3 ❑ Toilet facilities are adequate and maintained. All buildings and grounds are maintained. [CCR Title 5 § 631, CCR Title 5 14030, EC 17576] 8.11 PROFESSIONAL STANDARD - FACILITIES MAINTENANCE AND CUSTODIAL The district has implemented a planned program maintenance system that includes an inventory of all facilities and equipment that will require mainte- 2 nance and replacement. Data should include purchase prices, anticipated life expectancies, anticipated replacement timelines and budgetary resources neces- sary to maintain the facilities. 8.12 PROFESSIONAL STANDARD - FACILITIES MAINTE- NANCE AND CUSTODIAL 2 3 ❑ The district has a documented process for assign- ing routine repair work orders on a priority basis. 9.1 PROFESSIONAL STANDARD - INSTRUCTIONAL PRO- GRAM ISSUES 5 5 ❑ The district has developed a plan for attractively landscaped facilities. 9.2 LEGAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES The Governing Board provides a warm, healthful place in which children who bring their own lunches to 7 school may eat their lunch. [EC 17573, CCR Title 5 §14030] The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 38 Facilities Management Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 9.3 LEGAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES The district has developed and maintains a plan to 7 ensure equality and equity of its facilities throughout the district. [EC 35293] 9.4 PROFESSIONAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES 8 All schools have adequate lighting, electrical service, heating and ventilation. 9.5 LEGAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES Classrooms are free of noise and other barriers to 6 instruction. [EC 32212] 9.6 PROFESSIONAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES The learning environments provided within respective 6 school sites within the district are conducive to high quality teaching and learning. 10.1 PROFESSIONAL STANDARD - COMMUNITY USE OF FA- CILITIES 7 The district has a plan to promote community in- volvement in schools. 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 requiring establishment 5 of both “direct cost” and “fair market” rental rates, specifying what groups have which priorities and fee schedules. “ 10.3 PROFESSIONAL STANDARD - COMMUNITY USE OF FA- CILITIES The district maintains comprehensive records and 6 controls on civic center implementation and cash management. 11.1 PROFESSIONAL STANDARD - COMMUNICATION The district’s public information office coordinates a full apprisal to students, staff and community of the 6 condition of the district’s facilities and of efforts to rectify any substandard conditions. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. Facilities Management 39 Nov. May Nov. Standard to be addressed 2004 2005 2005 Rating Rating Focus 11.2 PROFESSIONAL STANDARD - COMMUNICATION The district provides clear and comprehensive com- 6 munication to staff of its facilities standards and plans. The identified subset of standards appears in bold print. These standards, indicated by ❑, will be targeted for in- depth review for the November 2005 report. 40 Facilities Management