Comprehensive Review

Vallejo City Unified School District Assessment and Improvement Plan Chief Executive Offi cer Joel D. Montero 1300 17th Street – CITY CENTRE Bakersfi eld, CA 93301-4533 Fifth Progress Report Telephone .............661-636-4611 Fax .............................661-636-4647 Web site ..............www.fcmat.org July 2, 2007 422 Petaluma Blvd. North, Suite C Petaluma, CA 94952 Telephone .............707-775-2850 Fax .............................707-775-2854 Administrative Agent Larry E. Reider Offi ce of Kern County Superintendent of Schools Executive Summary Introduction This report, dated July 2, 2007, is a progress report of the Vallejo City Unifi ed School District, monitoring the district’s progress in addressing the recommendations in the Vallejo City Unifi ed School District Assessment and Improvement Plan, issued on November 1, 2004 by the Fiscal Crisis and Management Assistance Team (FCMAT). Senate Bill 1190 (Chapter 53, Statutes of 2004) authorized an emergency state loan to the district of $60 million; the appointment of a State Administrator to govern the district; a comprehensive assessment and the development of an improvement plan in the operational areas of Community Relations/Governance, Personnel, Pupil Achievement, Finance and Facilities; and three six-month progress reports monitoring the progress of the district in implementing the recommendations in the improvement plans. Since SB 1190 provided authorization for only three six-month progress reports through May 2006, language was included in the 2006 State Budget Act authorizing FCMAT to utilize any of its own unexpended balances to conduct a progress report for the district which was issued in January 2007. The 2007 state budget trailer bill provides funds for this July 2, 2007 progress report for the district. These progress reports provide data to the district, community and legislature to assist the district in achieving fi scal solvency, building capacity within the district to promote student learning, and working toward the return of local governance to the Governing Board. The initial Assessment and Improvement Plan issued in November 2004 provided an assessment of the district in the fi ve operational areas of community relations and governance, personnel management, pupil achievement, fi nancial management, and facilities management, utilizing 415 professional and legal standards of school district operations. Each standard was evaluated on a scale of 0 (not implemented) to 10 (fully implemented and sustained) as to the degree of implementation. The ratings provided baseline data of the district’s status at that point in time in meeting the standards, and recommendations were developed by the FCMAT review teams for use as a basic improvement plan for successfully addressing the standards. In collaboration with the California Department of Education and the State-appointed Administrator, FCMAT subsequently identifi ed a subset of standards in each operational area for the district to address to return to local governance. These standards were selected as having the most probability, if successfully implemented, of assisting the district with recovery. It was agreed that an identifi ed subset of 129 of the original 415 standards would become the focus of the ongoing six-month progress reviews. Selecting a smaller subset of standards enables the district to focus its efforts and more quickly achieve a return to governance. Criteria for the return of powers were also established to indicate the level of progress substantial enough for a recommendation to be made to the Superintendent of Public Instruction for the incremental return of governance of an operational area to the Vallejo City USD Governing Board. Additional information on the identifi ed subset of standards and the established criteria can be found in another section of the executive summary of this report. Executive Summary 1 FCMAT issued the fi rst six-month progress report on May 1, 2005. The district requested that the two subsequent six-month progress reports be issued at the end of November and May instead of on the fi rst of the month so as not to impede the district’s efforts to open the 2005 school year effi ciently. FCMAT and the California Department of Education concurred with this request, so the second six-month progress report was issued on November 30, 2005 and the third report authorized by SB 1190 was issued on May 31, 2006. The fourth follow-up progress report issued on January 25, 2007 was authorized by language in the 2006 State Budget Act and funded by FCMAT. State funds are being provided in the 2007 state budget trailer bill to fund this fi fth progress report for the district, dated July 2, 2007. FCMAT assessment teams conducted on-site fi eldwork in the district in April and May 2007, meeting with staff, parents and community and board members, preparatory to issuing this progress report. The continuation of the assessment and monitoring process by FCMAT in the future may be commissioned by the district or required by new legislation. 2 Executive Summary Background Senate Bill 1190, which was signed into law on June 21, 2004, required the Superintendent of Public Instruction (SPI) to assume all the legal rights, duties and powers of the Governing Board of the Vallejo City Unifi ed School District (VCUSD) and to appoint, in consultation with the Solano County Superintendent of Schools, an administrator to act on his behalf in exercising authority over the school district. The bill appropriated $60 million as an emergency loan to the Vallejo City USD, and authorized the school district to sell property owned by the district and use the proceeds from the sale to reduce or retire the emergency loan. The bill, except as specifi ed, required the school district to bear the costs associated with the implementation of the bill’s provisions, and prohibited the district from being eligible for fi nancial hardship assistance under the Leroy F. Greene School Facilities Act of 1998 from June 2004 through June 2006. The bill further authorized the Fiscal Crisis and Management Assistance Team (FCMAT) to conduct comprehensive assessments and develop improvement plans for the Vallejo City Unifi ed School District in fi ve major operational areas: community relations/governance, pupil achievement, personnel management, fi scal management, and facilities management. It was the intent of the Legislature that the Governing Board, staff and community of Vallejo City USD fully participate in this assessment and improvement process. The improvement plans referenced under Education Code section 41327.1(b) are distinct and unique from the recovery plans required by the Superintendent of Public Instruction (SPI) and referenced under Education Code section 41327 (a)(1)(2). Assembly Bill 2756 (Chapter 52, Statutes of 2004), which was signed into law on June 21, 2004, made substantive changes to the provisions governing the existing law that provided emergency apportionments for school districts that have become insolvent. As AB 2756 preceded SB 1190, the district is subject to the changed provisions. One of the changes included Section 41328 of the Education Code, which was amended to read, “The qualifying district shall bear 100% of all costs associated with implementing this article, including the activities of the County Offi ce Fiscal Crisis and Management Assistance Team or regional team.” The district drew down $50 million of the $60 million state loan authorized by SB 1190 on June 23, 2004, within two days of the signing of the legislation. A State Administrator was appointed by the Superintendent of Public Instruction on June 23, 2004 and started full-time in the district in July 2004. The State Administrator assembled a team of several individuals with expertise to assist in the district’s improvement efforts and to serve as a leadership cabinet. The district drew down the remaining $10 million of the $60 million authorized loan amount on May 29, 2007, placing the funds in a special reserve fund to be used only for the payment of unresolved audit fi ndings. The district has indicated its plan to pay off this loan within a few years, or earlier, if pending audit fi ndings are resolved. The district has been under state receivership for three years, as of this report writing. Executive Summary 3 Study Guidelines FCMAT’s approach to implementing the statutory requirements of SB 1190 is based on a commitment to a standards-based, independent and external review of the Vallejo City Unifi ed School District’s operations. FCMAT performed the initial assessment of the district and developed the improvement plan in collaboration with three other external providers selected through a competitive process. Professionals from throughout California contributed their knowledge and applied the identifi ed legal and professional standards to the specifi c local conditions found in the Vallejo City Unifi ed School District. The initial assessment, entitled Vallejo City Unifi ed School District Assessment and Improvement Plan, November 1, 2004, was presented to the district on November 1, 2004. The same teams of professionals have continued to assist FCMAT with the May 1, 2005, the November 30, 2005, the May 31, 2006, the January 25, 2007 and this July 2, 2007 progress reports for the district. Prior to beginning work in the district, FCMAT adopted fi ve basic tenets to be incorporated in the assessment and improvement plans. These tenets were based on previous assessments conducted by FCMAT in school districts throughout California and a review of data from other states implementing external reviews of troubled school districts. These tenets formed the basis of FCMAT’s work in the district. The fi ve 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 standards-driven. FCMAT has noted positive differences between an objective standards-based approach versus a nonstandards-based approach. When standards are clearly defi ned, 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 Unifi ed School District review, potential providers responded to a Request for Applications (RFA) that identifi ed these standards as the basis of assessment and improvement. Moreover, the providers were required to demonstrate how the FCMAT-identifi ed standards would be incorporated into their work. It is these standards on which the improvement plans for the Vallejo City Unifi ed School District were based. The standards, while identifi ed specifi cally 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 defi nition 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 signifi cant evidence that the standard is implemented. 4 Executive Summary Partially Implemented (Scaled Score of 1 through 7) A partially implemented standard lacks completeness, and it is met in a limited degree. The degree of completeness varies as defi ned: 1. Some design or research regarding the standard is in place that supports preliminary development. (Scaled Score of 1) 2. Implementation of the standard is well into the development stage. Appropriate staff is engaged and there is a plan for implementation. (Scaled Score of 2) 3. A plan to address the standard is fully developed, and the standard is in the beginning phase of implementation. (Scaled Score of 3) 4. Staff is engaged in the implementation of most elements of the standard. (Scaled Score of 4) 5. Staff is engaged in the implementation of the standard. All standard elements are developed and are in the implementation phase. (Scaled Score of 5) 6. Elements of the standard are implemented, monitored and becoming systematic. (Scaled Score of 6) 7. All elements of the standard are fully implemented, are being monitored, and appropriate adjustments are taking place. (Scaled Score of 7) Fully Implemented (Scaled Score of 8-10) A fully implemented standard is complete relative to the following criteria. 8. All elements of the standard are fully and substantially implemented and are sustainable. (Scaled Score of 8) 9. All elements of the standard are fully and substantially implemented and have been sustained for a full school year. (Scaled Score of 9) 10. All elements of the standard are fully implemented, are being sustained with high quality, are being refi ned, 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 Unifi ed School District assessment and improvement plans. FCMAT’s reports represent fi ndings and improvement plans based on the external and independent assessments from various professional agencies. The following agencies assisted in the November 1, 2004 comprehensive Assessment and Improvement Plan, the May 1, 2005 First Six-Month Progress Report, the November 30, 2005 Second Six-Month Progress Report, the May 31, 2006 Third Six- Month Progress Report, the January 25, 2007 Fourth Progress Report, and this July 2, 2007 Fifth Progress Report. • California School Boards Association (CSBA) – Community Relations/Governance • Community Training and Assistance Center (CTAC) – Pupil Achievement • School Services of California (SSC) – Personnel Management • School Services of California (SSC) – Facilities Management • Fiscal Crisis and Management Assistance Team (FCMAT) – Financial Management Collectively, the three professional agencies that assisted FCMAT constitute FCMAT’s providers in the assessment process. The external and independent assessments of FCMAT and its providers serve as the primary basis for the reliability, integrity and credibility of the review. Executive Summary 5 3. Utilize Multiple Measures of Assessment For a fi nding to be considered legitimate, multiple sources need to be utilized to provide the same or consistent information. The assessments and improvement plans were based on multiple measures. Testing, personal interviews, group meetings, public hearings, observations, review and analysis of data all provide added value to the assessment process. The providers were required to utilize multiple measurements as they assessed the standards. This process allowed for a variety of ways of determining whether the standards were met. All school district operations with an impact on student achievement, including governance, fi scal, personnel, and facilities were reviewed and included in the improvement plan. 4. Empower Staff and Community The development of a strong professional development plan for the board and staff is a critical component of an effective school district. All FCMAT reports include the importance of a comprehensive professional development plan. The success of the improvement plans and their implementation are dependent upon an effective professional development process. For this reason, the empowerment of staff and community is one of the highest priorities, and emphasizing this priority with each of the partners is critical. As a result, a strong training component for board, staff and administration is called for consistently throughout the report. Of paramount importance is the community’s role of local governance. The absence of parental involvement in education is a growing national concern. A key to success in any school district is the re-engagement of parents, teachers, and support staff. Parents care deeply about their children’s future and most want to participate in improving the school district and enhancing student learning. The community relations section of the reports provides recommendations for the community to have a more active and meaningful role in the education of its children. 5. Engage Local, State and National Agencies It is critical to involve various local, state and national agencies in the recovery of the district. This was emphasized through the Request for Applications (RFA) process, whereby state- recognized agencies were selected as partners to assist with the assessment and improvement process. The city and county, professional organizations, and community-based organizations all have assisted and participate in the improvement of the Vallejo City Unifi ed School District. 6 Executive Summary Study Team The study team was composed of the following members: For the Fiscal Crisis and Management Assistance Team – Administration and Report Writing Roberta Mayor, Ed.D., Chief Management Analyst, FCMAT Laura Haywood, Public Information Specialist, FCMAT For the California School Boards Association – Community Relations/Governance Scott Plotkin, Executive Director, CSBA Ben Bartos, Research Consultant, CSBA Dan Walden, Director, Single District Executive Services, CSBA Martin Gonzalez, Assistant Executive Director, Governance & Policy Services, CSBA Diane Greene, Senior Consultant/Writer, CSBA Holly Jacobson, Assistant Executive Director, Policy Analysis & Continuing Education, CSBA For the Community Training and Assistance Center – Pupil Achievement Maribeth Smith, Senior Associate, National School Reform, CTAC Sara Accornero, Consultant, California English Language Learners, CTAC Bob Noble, Senior Associate, National School Reform, CTAC For School Services of California – Personnel Management Sheila Vickers, Project Lead, Associate Vice President, SSC Deberie Gomez, SSC Consultant, Human Resources For the Fiscal Crisis and Management Assistance Team – Financial Management Michelle Plumbtree, Fiscal Intervention Specialist, FCMAT Barbara Dean, Deputy Administrative Offi cer, FCMAT Anthony Bridges, Deputy Executive Offi cer, FCMAT Michele McClowry, Fiscal Intervention Specialist, FCMAT Andrew Prestage, Management Analyst, FCMAT For School Services of California – Facilities Management Ron Bennett, President and CEO, SSC Maureen Evans, Director, Management Consulting Services, SSC Executive Summary 7 Summary of Principal Findings and Recommendations This report provides an in-depth review of the current status of the Vallejo City Unifi ed School District’s progress in addressing the recommendations of the identifi ed subset of 129 professional and legal standards used to assess the district. The following is a summary of the principal fi ndings that are presented in greater detail in later sections of this report. This July 2, 2007 Fifth Progress Report represents data collection and analysis at a specifi c point in time. FCMAT review teams visited the district in April and May 2007. This report was distributed to the Vallejo City Unifi ed School District and the Superintendent of Public Instruction on July 5, 2007. This report continues the assessment and monitoring process begun in 2004 to assess the district’s readiness to reassume local governing authority. Areas of District Improvement The district has continued its efforts to implement the recommendations for the identifi ed subset of standards in the Assessment and Improvement Plan and has made substantial progress in all fi ve of the operational areas under review. In the fourth progress report issued in January 2007, two of the fi ve operational areas, Community Relations and Governance and Pupil Achievement, met the established criteria of an average rating in the operational area of 6.0 on a scale of 1-10, with no individual standard rated less than a 4.0. FCMAT recommended in the January 2007 report that those two areas could be considered by the Superintendent of Instruction (SPI) for return. At this reporting period, the operational area of Personnel Management has also met the established criteria. FCMAT recommends to the Superintendent of Public Instruction (SPI) that the three operational areas of Community Relations/Governance, Pupil Achievement, and Personnel Management have met the established criteria and could be considered for a return to local board governance. The district has made positive gains in several areas as noted below. 1. The district continues to update board policies on an incremental basis and develop written operating procedures to provide the necessary operational guidance for staff. All board policies need to be made current as soon as possible. 2. The district continues its focus on improving student achievement and addressing the needs of the lowest performing students. The number of students performing at profi cient and above on the California Standards Test in English language arts and mathematics has increased. The English learner program met all of its Annual Mea- surable Achievement Objectives (AMAOs) under NCLB. 3. Processes have been developed in the area of student support services to regularly review student attendance, suspension, and expulsion data. The district has imple- mented intervention classes in secondary schools by working with the course master schedules. The district has selected a student behavior program that emphasizes problem-solving skills (Second Step) to use throughout the district and begun train- ing of teaching staff. 8 Executive Summary 4. The district continues to closely monitor student enrollment and attendance data. The recruitment of teachers for the new school year is well defi ned. 5. Good working relationships have been maintained between the advisory board and the State Administrator and between the district and the community. The adminis- tration provides increased and timely communication to both staff and the communi- ty, and conducts several community forums each year to provide information, obtain community input, and respond to concerns. 6. The district offi ce move to the newly renovated Mare Island facility has been posi- tive and centralizes a number of support services in one location. District offi ce staff morale has increased and staff and student services are more effi ciently being pro- vided to the school sites. The district continues to make progress in the areas of Financial Management and Facilities Management. Numerous improvements have been made in fi nancial operations since 2004: accurate forecasting of enrollment and student attendance; hiring an internal auditor, a payroll supervisor, an administrative services manager, and reassigning the workload in the business offi ce; documenting many processes and procedures in procedural manuals and providing training to staff; establishing more effective internal controls for business functions; and using a multiyear budget projection software tool to more accurately project revenues and expenditures for the current and two subsequent years. The fi nance and facilities areas have been reorganized under a new administrator, which occurred just as the FCMAT review teams completed their fi eldwork. The position of Assistant Superintendent, Business Services, with responsibility for both fi nance and facilities, was fi lled by the former Director of Facilities and Planning. The sustainability of progress made in these two operational areas under this reorganization and new leadership will be assessed during the next review period. The district should ensure that the newly assigned administrator receives the necessary training and technical assistance to be effective in this position. Financial areas for the district to address include improved budget development and monitoring, cash management, and technology support. The district must provide in its multiyear projections specifi c information in the projection assumptions, such as future enrollment/ ADA estimates, teacher staffi ng, step and column, changes in property and liability insurance, workers’ compensation and utilities. The district also needs to forecast and verify revenue and expenditure budgets monthly in order to adequately manage its cash fl ow. The current year budget should be compared to the prior year actuals for reasonableness and updated to include any new information. The district should adhere to its plan to quickly repay the additional $10 million of authorized state loan funds recently drawn down to address pending unresolved audit fi ndings. Facilities areas for the district to address include ensuring sustainability under the new reorgani- zation of the improvements made in addressing site health and safety issues; completion of writ- ten procedural manuals, documents and board policies; monitoring the work order system; and maintaining open communications among central offi ce departments and sites. Executive Summary 9 A summary of the fi ndings of the review teams’ on-site visits for this July 2007 report follows on the next few pages. Greater detail is provided for each of the identifi ed 129 standards in the later sections of this report dealing with each of the fi ve operational areas. 10 Executive Summary Community Relations/Governance The Vallejo City Unifi ed School District continues to focus on building adequate capacity to sustain the systems and processes developed to help the district achieve its goals. The move to the new district offi ce is generally regarded as a positive development by staff and by the community. Other district priorities have included a commitment to being more responsive to parents, the community and other staff, and continuing to examine and improve the climate at district schools. Communications The district has sustained its progress in putting the components of the strategic communications plan into action. The district continues to host forums for the community while introducing the new practice of holding “coffee tours” to invite the public to see Vallejo schools fi rsthand. Communications training has continued for principals, including guidance on crafting effective messages and making the best use of the telephone call-out system. District staff has worked to tailor particular messages for the intended recipients to more effectively engage them. For example, the effort to communicate the decision to close high school campuses during the lunch period included communication with the press, with students and parents, and with the business community and neighbors who could be affected by this change in policy. The district’s Web site continues to serve as a resource for information and news. A proactive media strategy, including briefi ngs for the press is still a part of the district communications plan. Internal communications through staff newsletters and meetings are being utilized to both disseminate information and also to garner input from the school sites. Parent/Community Relations Vallejo’s coffee tours have been an effective means of engaging members of the community who may not normally have access to see schools fi rsthand. These tours, open to any member of the public who registers, are led by the State Administrator and typically include stops at multiple school sites. The district conducted a community survey in the past six months, gathering data about a number of areas including general perceptions of the district’s schools and community support for additional funding for schools. The move to the new district offi ce prompted district staff to initiate efforts to improve service and responsiveness to the public. Community members entering the building are to be greeted and welcomed, and telephone callers given an opportunity to speak to a person instead of being transferred directly to voice mail. The district has expanded the Web site to include forms that were previously only available at the district offi ce, and expanded the hours for registration into the evenings. Community Collaboratives, District Advisory Committees, School Site Councils The district has continued and expanded community partnerships, including joint efforts with the Greater Vallejo Recreation District, school resource offi cers’ partnership with the Vallejo Police Department, and the development of a new health clinic at Bethel High School. The State Administrator and board have identifi ed specifi c strategies to formalize the responsibilities of individual board members as liaisons to particular groups. The district’s recent community survey will help the district to continue to be successful in its outreach efforts. Executive Summary 11 Policy The district has continued its methodical process of reviewing and adopting policy. Both staff and the public have been engaged in this process as the district has reaffi rmed existing policies and developed new ones. The district has developed action plans to sustain this process and will specifi cally examine the board bylaws as the next phase of the plan. Fifteen new policies have been adopted since the last progress report, and a new policy on parent engagement has been drafted. The district should critically examine the procedures and forms associated with its policies, continue to use the district Web site as a resource that parents and community members use to access forms and policy language, and examine how easy it is for parents and community members to search and fi nd policies adopted by the district on the Web site. Board Roles/Boardsmanship Perceptions of the working relationship between the district offi ce staff and the board continue to be positive. The administration and board operate and communicate effectively. The board continues to demonstrate a belief that the vision and mission of the district drives the actions and strategies of staff. The board should regularly affi rm its support for the vision/mission and key district goals as a means of ensuring that the direction being set matches the current needs and conditions in the district. The district has continued to integrate training and professional development into board agenda items. The training focus has been on the use and analysis of specifi c data to inform the decisions that are to be made, in an effort to prepare the board to know what kinds of questions to ask and what types of information will be needed to make effective, data-driven decisions when local governing authority is returned. The board continues to affi rm policy decisions recommended by the State Administrator, modeling an effective and successful process of reaching agreement on key issues. Board Meetings Board meetings are professional and focused on substantive issues such as budget and student achievement. Board agendas include a specifi c notation tying items to the fi ve key district goals, and at every meeting, there is a public forum, providing an opportunity for staff and the public to offer comments. The board has participated in training on fi nances and data analysis as part of the budget process and the review of achievement test results and enrollment projections. Board members noted their satisfaction with the background materials they receive prior to board meetings, and understand that a key part of decision-making is the review of data and options for action. With the move to the new district offi ce, board meetings now accommodate a larger audience, as well as improved abilities for broadcasting board meetings on television. Recent meetings included the translation into Spanish of verbal business, and Spanish-language versions of supporting materials. Board members also have a workspace in the new district offi ce. 12 Executive Summary In Summary The review of Community Relations and Governance included the assessment of a selected subset of 17 professional and legal standards of performance. The average rating of this subset of 17 standards, on a scale of 1 to 10, with 10 the highest score possible is as follows: November 2004 3.35 May 2005 4.24 November 2005 5.24 May 2006 5.94 January 2007 6.88 July 2007 7.82 None of these 17 standards has a rating below a 4. FCMAT recommends that the Superintendent of Public Instruction consider the return of this operational area to local board governance. Executive Summary 13 Personnel Management The Human Resources Department has made signifi cant progress on the 35 priority standards in personnel management with many of them nearing the systemic level. Organization and Planning The board policies affecting personnel operations, such as the delivery of services, roles, processes for employment, and employee discipline and dismissal, have been adopted by the board. A total of nine new or revised policies in Human Resources now exist with a temporary numbering system. The district continues to review and revise policies, and Human Resources has developed a procedure for reviewing and updating the personnel procedures. The district hired a new Assistant Superintendent, Human Resources, and a new Director, Secondary Human Resources to fi ll the vacancies created by a retirement and a resignation. An updated organizational chart exists, with one version containing a list of the back-up positions/ people for each HR position and another showing career paths for employees within the HR Department. Development of desk manuals continues to be a priority and many of them are very nearly complete. The annual calendar is completed for the 12-month cycle and continues to be refi ned. Staff members confi rm that the calendar is a useful tool for planning and for seeing the big picture throughout the department. Internal and External Communications HR continues to post updated information to the district’s Web site, both for internal and external use. This includes the HR Department directory, a page for job openings that links to EdJoin, collective bargaining contracts, salary schedules, employee forms, the Vallejo City Unifi ed School District Make a Difference (PowerPoint) Brochure, and other information pertinent for use by the public or for internal use by employees only. The physical layout of the HR Department in the new building is more conducive to customer service and communications in the department. There has been a focus on using real-life customer service scenarios to provide training to staff members in HR on customer service. Staff members in and outside of HR report that customer service has improved signifi cantly. The reorganization combining the support staff members under the new position of Operations Manager, appears to be working well for the department. Teamwork, communications, and effi ciency continue to be improved, and signifi cant gains have been made in the area of preparing backup personnel for critical functions by providing training and refi ning desk manuals. Meetings of the HR management team, the HR department, the HR operations team, and HR and Payroll staff continue to occur on a regularly scheduled basis and involve signifi cant items for discussion, training, and resolution. 14 Executive Summary Employee Recruitment and Selection Teacher recruitment was improved for the 2006-07 school year. HR was more engaged in developing the 2007 spring teacher recruitment plan. The District Teacher Recruitment Plan included the 2007 recruitment goals based on knowledge of declining enrollment and needs in the hard-to-fi ll subject categories. Using baseline data from the previous year, the plan targeted six recruitment fairs including one district recruitment fair held at the district offi ce. More than 60 site and department administrators and teachers were trained to participate in recruiting events. The Recruitment Specialist is gathering data for the second annual recruitment report. The plan to develop a data bridge from the student Aeries system to California Educational Computer Consortium (CECC) was set aside with news that the CECC module for credentials will be redesigned to allow districts to automate credential audits. The Credentials Analyst conducted a districtwide audit by accessing the information from the Aeries system and manually matching it with a credentials report. While the audit has taken place, the correction of misassignments has not happened in all cases. Operational Procedures All job descriptions were completed in the new format and placed on the district’s Web site. The offi ce classifi ed job descriptions had to be removed from the Web site briefl y until the district completes a meet and confer with the union. A procedure is now in place for the update of job descriptions, and a tracking mechanism was developed to maintain the updated information. Cross training in the HR Department is continuing and one version of the organizational chart lists the back-ups for each position by name. Staff confi rms that the system is working. The process of staffi ng schools for the new year involved HR and curriculum staff working together determining staffi ng needs, implementing the recruitment process, and balancing the staffi ng allocations against budget and position control. The district followed the detailed procedures established last year for this process and has continued staff training so that the process can continue to be followed each year. Use of Technology The district’s core fi nancial and HR system resides on two different platforms and therefore is not integrated. This requires duplicate data entry and manual reconciliations. The district needs to continue to pursue upgrades to the CECC system so that all modules are integrated. In addition, the district is looking to the CECC to provide modules to automate personnel requisitions, employee leave usage, and other critical functions. HR has almost completed the conversion of its spreadsheet-based applicant tracking system to a Web-based system through EdJoin. Most applications are now electronic, and some hiring managers have been trained to use the paperless screening process. Full implementation will improve the reliability of applicant data, save processing time, and provide more timely and greatly improved management reporting. HR is preparing another annual set of Notices of Assignment (NOAs) for all employees through the school sites and departments for the next fi scal year. This is a process that HR should continue to follow each year as a way of verifying employee data and assignments. Executive Summary 15 HR has included technology training in its department staff development plan, and has provided opportunities for staff to receive training on the systems and reports currently in use. For the fi rst time since the FCMAT reviews began, staff members in HR believe that they have the necessary tools and training to access the data that they need from the automated systems. In addition, staff members have received training on systems soon to be in use, such as the EdJoin applicant tracking system and the SmartFind Express system for substitute management. The Web version of a substitute management system, SmartFind Express, is to be piloted in some locations in 2007-08. All employees will be required to report absences to the system. The system will provide an interface to the CECC system so that absence reporting and substitute time will automatically be fed to the payroll system. While the posting of employee leave usage to update leave balances in the system is still a manual process, for the fi rst time since these reviews began, the leave balances are up to date, and there are dedicated staff members and a process in place to keep them updated. Staff Training HR has developed a written Human Resources—Staff Development Plan, that lists the name of the person/position, the task areas, and the training needed. In addition, HR has created a listing of the professional development planned for all staff members for 2006-07, including the type of staff development, the source of the staff development, the persons from the department who will attend, and the dates. Staff reported attendance at the activities in the plan and documentation (purchase orders) also confi rmed attendance. Professional development is clearly a major district priority. Evaluation and Due Process Using the CECC system, employee evaluations for both certifi cated and classifi ed staff are being monitored and the evaluation data are being maintained. Lists of employees to be evaluated are sent to managers, and reminder memos ensure that the process continues. HR has continued to provide managers with both certifi cated and classifi ed evaluation training, and provided administrators with a handbook titled The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. Employer/Employee Relations Since the district has closed contracts with its bargaining units until 2008, most of the current activity consists of monthly communications meetings with the units to discuss current and upcoming events and issues. HR has included steps in its annual calendar to ensure that the procedures are followed for initiating the collective bargaining process. Refresher training needs to be provided when the district and its units embark upon the collective bargaining process when the current three-year contracts expire. HR continues to focus on providing training to the Leadership Team on how to address grievances at the lowest level, and other components of contract management. 16 Executive Summary In Summary The review of Personnel Management included the assessment of a selected subset of 35 professional and legal standards of performance. The average rating of this subset of 35 standards, on a scale of 1 to 10, with 10 the highest score possible, is as follows: November 2004 1.34 May 2005 2.51 November 2005 2.74 May 2006 4.26 January 2007 5.74 July 2007 7.20 None of these 35 standards has a rating below a 4. FCMAT recommends that the Superintendent of Public Instruction consider the return of this operational area to local board governance. Executive Summary 17 Pupil Achievement Overview of Instructional Reform in Vallejo In three years, Vallejo City Unifi ed School District has shown steady improvement in addressing all identifi ed pupil achievement standards covering planning processes, curriculum, instructional strategies, assessment and accountability, and professional development. With a clear direction from the State Administrator that all district improvements should benefi t students, the Academic Achievement and Accountability (Curriculum and Instruction) division of the district has implemented a reform centered on aligning school programs and classroom instruction with state standards and research-based practices. Standards-based texts, pacing guides, and formative assessments paired with a professional development agenda were the initial levers of change. Other initiatives and strategies have been added over time, including increased graduation requirements and targeted interventions. Improvement of Student Achievement and Opportunities to Learn The two years of California Standards Test (CST) data available (2005 and 2006) for use in the current FCMAT progress review indicate that overall gains were made in the percentage of students meeting or exceeding the state standards in reading/English language arts and mathematics, with variations at school, grade, and subgroup levels. The achievement gap that affects African American, low-income, and special education students, nonetheless persists within these gains. In 2005-06, the district was identifi ed for Program Improvement (PI), initiating corrective action plans that complement and add urgency to the district’s agenda to target underserved students and improve teaching and learning for all. District and school leaders have noted evidence beyond the CST in other growth measures, walk-throughs, and anecdotal data that the reform is taking root, particularly in the lower grades. Nearing the end of this third year of the reform, with the necessary organizational structures in place, district leaders believe that they are now able to pursue a deeper level of implementation, focusing on the “quality” and “intentionality” of the program changes that are underway. An example of quality and intentionality can be seen in the rigorous intervention plan for students scoring below standard on the CST, which was fully implemented in the 2006-07 academic year. Students are targeted for assistance, based on an assessment protocol, and placed in English language arts (ELA) and mathematics support classes with special texts and materials and trained teachers. These targeted interventions, coupled with the standards-based instruction for all students in ELA and math that uses common texts, pacing guides, and assessments, will result in a stronger achievement picture in upcoming years. A promising sign is the decrease in the percentage of students needing secondary school interventions in the coming year. Data indicates that the English learner program is addressing language acquisition in the district, meeting all three Annual Measurable Achievement Objectives (AMAOs) as required by NCLB. The student services division is addressing critical student behaviors – regular attendance, classroom engagement, discipline, dropouts, and health and safety – that disproportionately affect the lowest achieving students. Connecting school climate to the AAA division and convening a climate planning team were among the fi rst steps taken to address discipline systematically and proactively. The team’s actions included refi ning the student discipline data base so that schools can measure their results; creating a theory of action about the district’s role in school culture and climate; developing a climate assessment survey and rating system; and selecting and beginning 18 Executive Summary training for the implementation of Second Step, a student behavior program. The program is cognitive in nature, teaching principals, teachers, and students a problem-solving approach, which is critical to improving school-related behaviors and paves the way for schools to be more proactive in creating a climate that increases learning opportunities for all students. Sustaining Progress through Accountability for All The quality of leadership in the district and schools is a critical factor in turning around the instructional program. Leadership has been evident in the consistency of message; the focused curriculum and instruction choices; the ready use of the available data in improvement decisions; the partnership between district and site administration; and the ongoing assessment and refl ection built into district routines. The commitment of resources to extensive standards- based training for teachers and principals, particularly in reading/English language arts and mathematics, and to formative assessments, coupled with teacher collaboration time to work on improvements, are indicative of a belief that everyone in the system is capable and accountable for the improvement of teaching and learning. There is a point in school reform when a critical mass of educational staff in a school or district become knowledgeable, empowered, and accountable, rather than helpless, in the face of signifi cant student learning issues. There are signs that increased accountability for student achievement is taking root in the district in: 1. The vigorous response to the corrective action plans for district program improvement; 2. The willingness to make secondary master schedules more amenable to intervention classes, as well as small learning communities; 3. The use of a variety of feedback structures to revise and self-correct instruction as needed; and 4. The intention to tackle proactively student behaviors that can support or impede learning. Accountability for all district staff includes the ongoing commitment of resources for student assessment, teacher training and coaching, and allocated time for collaboration, so that teachers and principals can fi nd solutions for students. Individual accountability for student learning, coupled with school and district accountability, will be needed to sustain and strengthen the district’s instructional reform when local governance resumes. Sustaining Progress through the Written Record Also critical to the reform process is writing down what is expected from students and adults in the school system – vision, goals, standards, plans, policies and regulations, for example – and how these expectations are monitored, evaluated, and updated. At the time of the original comprehensive assessment in fall 2004, the written artifacts of a well-run instructional program were missing or seriously outdated. The district has produced the following documents over the last three years: 1. The Vallejo Instructional Action Plan, which outlines the vision, direction, and actions of the district in the interest of student performance; 2. A written organizational chart with new job descriptions and lines of supervision and reporting for the district staff; Executive Summary 19 3. A new Master Plan for English Language Learners; 4. Program Improvement Corrective Action Plans developed in conjunction with the SAIT consultants; 5. A modifi ed protocol for the Single School Plan; 6. A document explaining the basis and process of principal evaluation; and 7. Descriptions for student and parent behavioral expectations and high school graduation requirements and course descriptions. Additionally, there are informal written documents, and the AAA division has been careful in writing explanations, evaluations, and intentions. By comparison, the revision of board policy and regulations has been slow. In fall 2006, there was approval of fi ve revised policies, including Vision and Goals, Core Curriculum, Assessment and Testing, Program Evaluation, and Promotion and Retention. In spring 2007, a policy on Student Discipline has been approved and the high school graduation policy is pending. Policy outlines the accountability structure for adults educating students; thus the maintenance of current policy is another indicator of a district that is accountable for its youth as well as another critical component of passing on and sustaining the reform. It will be important to move more quickly with policy revision. In Summary The review of Pupil Achievement included the assessment of a selected subset of 23 professional and legal standards of performance. The average rating of this subset of 23 standards, on a scale of 1 to 10, with 10 the highest score possible, is as follows: November 2004 2.39 May 2005 3.45 November 2005 5.09 May 2006 5.91 January 2007 6.57 July 2007 7.61 None of these standards has a rating below a 4. FCMAT recommends that the Superintendent of Public Instruction consider the return of this operational area to local board governance. 20 Executive Summary Financial Management Internal Control Environment The Business Division continues to implement positive changes to improve operational effi ciency and the work environment. Although payroll errors are still a concern, there has been improvement in this area. All payroll positions have been fi lled, which should continue to assist in overall service and error control. There has been some improvement in department employee morale. Employees continue to accept change and are becoming more effi cient in their daily work activities. The lines of authority and supervision are more distinct, and job descriptions have been updated. Employees in the Business and Fiscal Department have been evaluated. Inter- and Intra-Departmental Communications Work continues on new procedural manuals and other resources for business-related functions and departments. Business department administrators have also drafted many new business procedures and other documents with internal control mechanisms incorporated for internal use. This will be a lengthy, ongoing process. Training should be conducted on policies and procedures as they are approved to ensure that the staff understands them and can be held accountable for them. The Business Services Division Procedures Manual should be updated and used as a training tool at in-service workshops before each school year begins. Although the business offi ce had formulated an action plan for developing the budget that would include communication and collaboration between its staff and the district’s school sites, programs, and departments, it was reported via interviews conducted outside of the business offi ce that the communication and collaboration is not perceived by customers. Board and Community Communications The district goal to provide more thorough narratives to the board with SACS reports is being implemented. The information provided recently appears clear and detailed. The many community meetings that are held have allowed broader community participation and input, and have assisted the community in understanding the budget process. In some ways, the community meetings fi ll the same role as a budget advisory committee. The meetings have focused attention on the district’s goals and objectives, budget, new district offi ce, unused district property, improving student attendance, and options for reductions and savings. Internal Audit The district added one additional position to work with the Internal auditor and is assisting with school site audits of instructional minutes, student body accounting and short term independent study. Several policies and procedures have been developed to address and correct prior year audit fi ndings. Many prior year fi ndings have been resolved. Procedural manuals and instructions for attendance and cash handling have been issued by the Internal Auditor. District offi ce and site staffs have been trained and are adhering to the new internal control policies in these operational areas. Executive Summary 21 Budget Development and Monitoring Budget development for 2007-08 was begun with defi ned budget priorities: adjusting for declining enrollment; consolidating and reorganizing programs and services; adjusting special education services based on the decline in special education enrollment; and closing or reorganizing elementary school facilities. At the conclusion of the budget development process, school sites can expect to have a budget and strategic spending plan for both unrestricted and restricted programs if the process is implemented as designed. Budget development packets were distributed to school principals and district offi ce managers in early April. Sites were notifi ed of the proposed reduction in allocations. Although the action plan for budget development included goals to increase communication and collaboration between the business offi ce staff and the district’s school sites, programs and departments, it was reported by interviewees outside of the business offi ce that communication and collaboration could be improved. Enrollment and ADA projections are routinely monitored and updated throughout the year. Second interim projections show the declining enrollment trend continuing through 2011-12 and the corresponding number of staff to be consequently reduced. The online purchase order system module has been implemented throughout the district, except at the community day school. The timeliness and quality of fi nancial information should improve with the online system as those with budget responsibility have greater access and accountability to their specifi c budgets. The system automatically verifi es fund availability and account coding when a site/department enters a requisition. The district has instituted a hard code block that cannot be overridden, so expenditure transactions (other than salary and benefi ts) cannot be processed until a budget transfer has been entered and approved. The school sites reported that they have a diffi cult time knowing what budgets are available for spending. The sites seem to need additional training on how to read the budget account structure and how to use Financial 2000 to understand their budgets. In addition, administrators need to be made aware of any adjustments to their budgets that they did not initiate. Multiyear Projections The district has continued to prepare the required multiyear fi nancial projections (MYFPs) as part of the statutory requirements, such as for interim reports and adopted budgets. The district’s multiyear fi scal recovery plan for 2004-2012 was presented to the board on March 7, 2007 and is currently being reviewed by CDE. It also contains a multiyear fi nancial projection, a critical component of the fi scal recovery plan. The district’s fi rst and second interim board items each included two different multiyear projections. The projection done in the CDE’s SACS software refl ected negative ending fund balances in 2007-08 and 2008-09 and the non-SACS software, Budget Explorer, refl ected positive projected balances in both years. Projections should be updated to refl ect the general fund budget as it is projected to June 30 in the base year of the projection. The second interim projection done in Budget Explorer should have been updated to refl ect changes in the projected ending fund balance between the fi rst and second interim reporting periods but it was not. The following table shows that the totals in the two different projection models and between interim reporting periods are not consistent: 22 Executive Summary 2nd Interim 1st Interim via Budget via Budget 2nd Interim Unrestricted 1st Interim via Explorer software Explorer via SACS Ending Balance SACS software (Non-SACS software software Projection) (Non-SACS Projection) 2006-07 $1,931,056 $5,553,224 $1,345,996 $5,553,224 2007-08 -$586,083 $2,619,837 -$296,870 $2,619,837 2008-09 -$5,296,746 $131,307 -$1,348,459 $131,307 Financial projections must be updated regularly, especially when large fi nancial assumptions change. For instance, the projection that is part of the recovery plan indicates that state loan repayments will be made from property proceeds deposited in the district’s state loan repayment reserve fund, which is allowed by current law. If the loan repayment fund does not have enough revenue for the repayment of the state loan, the difference will need to come from the unrestricted general fund, which could negatively affect the general fund in subsequent years. In addition, no expenditures have been included for any repayment of the 2003-04, 2004-05 or future audit fi ndings pending fi nal resolution. The district should consider using Budget Explorer for both the recovery plan and the projections submitted with SACS reports, rather than keeping two separate databases that do not correlate well with each other. Attendance Accounting The district prepared and distributed a manual of standard procedures for reporting student enrollment and taking attendance. These procedures include step-by-step instructions from registering a student through reporting on the J18/19. In addition, the manual include forms, common attendance codes, student drop guidelines, compulsory laws, and pertinent education codes. School site staff has been trained and appear to be properly performing attendance account procedures. Training should be mandatory for all attendance clerks on an annual basis, whether experienced or new to the position. Attendance clerks should be encouraged to share strategies and ideas with one another at annual trainings where open discussions can occur. Establishing standardized procedures and providing training for short-term independent study continues to be a concern that is being addressed by the internal auditing function through site audits of independent study. Accounting, Purchasing, and Warehousing The 2004-05 fi nancial audit prepared by the State Controller’s Offi ce indicated numerous fi ndings in the accounting activities, especially related to payroll operations. Most of the recommendations have been implemented. The 2005-06 fi nancial audit was not available during the April 2007 fi eldwork. Staff continues to address audit fi ndings and implement new procedures. Accounting and purchasing board policies have been updated and payroll deadlines have not been missed for over 10 months. Manual checks are still issued, although not as often, because payroll due dates from sites are still not strictly enforced by management and time cards are still not submitted on time by some school sites. Executive Summary 23 Several internal control and cash handling procedures and training have been provided to all employees who handle cash at the district offi ce and school sites. Procedures have been developed to ensure there is a clear separation of duties in all matters involving cash receipts, bank deposits and reconciliation and the recording of cash transactions into the accounting system. Monthly bank reconciliations are now being promptly prepared. This is as important as timely bank reconciliations in ensuring a sound internal control structure. The overpayment/collection process has improved, with an overpayment recovery document approved and implemented. All overpayments should be followed up and resolved. Long-Term Debt Obligations The district received an actuarial analysis of retiree health benefi ts as of July 1, 2006. This study will be a critical component of the long-term fi scal recovery plan and future budget planning. The valuation results include multiple scenarios that include the expense being recognized and defi ned as the annual required contribution (ARC) in accordance with GASB 45. As of July 1, 2006, the ARC is $3,174,000, including the normal costs of $1,785,000 plus $1,389,000 to amortize the unfunded actuarial accrued liability. The actuarial accrued liability as of July 1, 2006 is $31,019,000 that includes $9,292,000 for current retirees and $21,727,000 for employees. There were no reserves for retiree health benefi ts as of June 30, 2006. The district should disclose annually whether it will reserve suffi cient funds in the budget to pay the present value cost of retiree benefi ts. Collective Bargaining In fall 2005, the district successfully concluded negotiations with all bargaining units, resulting in a three-year collective bargaining agreement that included mid-year implementation of salary compensation, identifi ed savings by capping health and welfare benefi ts, and limited accumulation and payment of excess vacation benefi ts. The agreement included a reduction in district-paid health benefi ts beginning July 1, 2005 through June 30, 2008. AB 1200 and Government Code section guidelines were followed in this area. The district’s ADA continues to decline and is anticipated to further decline in the subsequent years. This will have a substantial effect on future negotiations, and the district has begun the process of downsizing the staff commensurate with the enrollment decline. Topics such as school closures, employee layoffs and other remedial concepts have been presented. The district has formed a benefi ts committee to discuss potential changes, enhancements and concepts to contain rising costs for health and welfare benefi ts. The committee meets once a month with recorded minutes for each meeting. Operational Fiscal Controls The current workers’ compensation insurance premium in the 2006-07 budget is projected at $2,873,215. Based on experience factors, changes to market conditions and the district’s active return-to-work program, the premiums for the 2007-08 workers’ compensation program are projected at $2,460,000. This is a potential savings of $413,215, and the district should be commended for its excellent work. 24 Executive Summary District personnel continue to receive technical training in self-insurance, understanding actuarial data, claims processing, subrogation recoveries, and reinsurance claims to better assist the district in this area. The district has utilized a third party broker to assist and train staff. The duties and responsibilities for risk management functions have now been moved from the Personnel Department to the Business Department. Special Education The district continues with its ongoing self-review process involving parents and community members. The fi scal employee assigned to monitor special education budgets continues to work closely with the department director, reviewing the budget regularly to ensure that actual expenditures are within the budgeted funds and recorded accurately, benefi ting the department as a whole and helping to keep errors down and unexpected costs at a minimum. The Special Education Director anticipates providing input into budget development for 2007-08, including the responsibility to reduce the department budget due to declining enrollment in special education programs. The Business Department is responsible for preparing state maintenance-of-effort (MOE) reports. This procedure has not been kept up to date. It is important to fi le MOE reports on time to ensure that baseline data is available. Management Information Systems Site administrators expressed frustration that technology staff members are not assigned to provide site support on any planned basis. Similar frustration was echoed by the technology support staff. This type of unorganized staffi ng assignment results in support staff members responding to numerous site requests each work day instead of ensuring that all sites receive more structured support, such as assigning technology support staff to specifi c sites on specifi c days. Site administrators should know when technology support staff will be on their campus to address support issues. Although the coordinator of technology and information services has focused attention on increasing the level of service orientation since January 2007, more work clearly should be done in this area. To open communication channels, technology staff meetings that occur weekly must be held using a more collaborative approach rather than top down. In order for the department to act more cohesively, staff members should be allowed to add items to the agenda and staff should have adequate time for input rather than being told there are time constraints. Input from staff members should be encouraged and welcomed during discussion of agenda items. Security issues exist, such as users not changing the default password assigned to them when new user accounts are created on the student information system. The district’s acceptable usage policy (AUP) is also out of date and is not signed by employees. Improvement has occurred in the area of staff training. A training needs analysis has been completed for all employees in the Technology Department. Steps have been taken to ensure the identifi ed training occurs. Executive Summary 25 In Summary The review of Financial Management included the assessment of a selected subset of 39 professional and legal standards of performance. The average rating of this subset of 39 standards, on a scale of 1 to 10, with 10 the highest score possible, is as follows: November 2004 1.31 May 2005 2.53 November 2005 3.56 May 2006 4.33 January 2007 4.41 July 2007 5.28 One of these 39 standards has a rating below a 4. 26 Executive Summary Facilities Management The district has continued to address identifi ed facilities defi ciencies, and progress is evident in areas such as training and work order management. The district has made signifi cant strides in this area with the adoption of several board policies in early April. The district also completed a Maintenance and Operations manual with policy and procedural information. The manual was approved a few days before this facilities review. Since the site visit in mid-April 2007, there has been a change in the structure of the Facilities, Maintenance and Operation divisions. The Director of Facilities and Planning and Director of Maintenance and Operations positions have been eliminated, and two Facilities Coordinator positions have been created to oversee all of Facilities, Maintenance, Operations, and Grounds. The coordinators report directly to the Assistant Superintendent, Business Services. The Assistant Superintendent, Business Services, has been newly appointed and was formerly the Director of Facilities and Planning. The newly appointed Assistant Superintendent, Business Services, indicated the reorganization was to promote departmental effi ciency and to achieve cost savings with a reduction in management positions. Some organizational changes also were made in Business/Fiscal Services, with two positions promoted from manager to director. Because the Facilities Department has been newly restructured, with different leadership, it will be important to monitor the ongoing implementation of the district’s action plan and the sustainability of the progress made in this operational area. The district has made progress during the three years under state administration in eliminating defi ciencies and addressing the recommendations as needed in all identifi ed standards. In the original Assessment and Improvement Plan, numerous facilities areas did not meet established performance standards, including: • Lack of documentation of policies, procedures, and processes • Numerous health and safety issues at the school sites • Inadequate communication among central offi ce departments, and the central offi ce and school sites • Lack of emphasis on preventive maintenance • Lack of a planned program maintenance system for facilities • Inconsistent handling of work orders and other facilities-related documentation Documentation of Policies, Procedures, and Processes The district has adopted several board policies and administrative regulations, with many approved on April 4, 2007. As policies and administrative regulations are adopted, the district posts them on its Web site. To date, the district has reviewed and updated six policies related to Facilities, Maintenance, and Operations: repair and supervision of school buildings; preventive maintenance; energy and water conservation; vandalism, theft and graffi ti; comprehensive school safety plan; and keys and security system. The six policies and regulations have not been numbered, but the district indicated this would be completed once all policies and regulations are updated and adopted. The exact time line for addressing all the policies and administrative regulations for Facilities, Maintenance, and Operations is not clear; however, the district has made signifi cant progress in this area since the previous six month visit. Executive Summary 27 The district’s action plan calls for the development of a comprehensive manual for Facilities, Maintenance, and Operations. This manual of policies and procedures is intended to address all operational aspects of those departments, and address fi ndings and recommendations identifi ed in the Assessment and Improvement Plan. The district has fi nalized its own manual to address a broad range of areas and issues, including operations, personnel, safety, equipment maintenance, and management. One district goal for the manual is to include more comprehensive personnel evaluation tools to increase staff capabilities and institute accountability. Implementation of this item will likely need to be addressed through collective bargaining. The manual was available for review, and the district staff indicates it is a work in progress that will be added to and updated annually. The fi nal document was approved on April 17, 2007, and the district’s goal is to review it with Maintenance and Operations staff at regularly scheduled meetings. Its contents have not been discussed or negotiated with the classifi ed bargaining unit. Communication Among Central Offi ce Departments The district reorganized the structure of the Facilities and Maintenance operations effective May 2007. The previous structure separated the Maintenance and Operations Department from the Facilities and Planning Department. The two departments were combined to maximize effi ciency and to reduce expenditures. Because this is a new development, the effectiveness of the reorganization will need to be evaluated in a future review. Communication with sites has improved regarding work orders due to improvements made to the work order management system. This has reduced the frustration that many principals felt in trying to ensure that requested work was scheduled and performed. It will be important to follow up in this area to ensure that the work order process and completion continues to improve with the changes in the structure of the Maintenance Department. The completion of several board policies, administrative regulations, and the maintenance and operations manual should help formalize the frequency, nature, and format of interdepartmental communications. Reorganizing the two departments and changing administrative titles require updating the new policies and regulations and the maintenance and operations manual. Work still needs to be done to formalize and document processes to ensure timely and ongoing communication between other central offi ce departments and sites so that facility issues are promptly addressed. Communication between Schools and Central Offi ce Communication between school sites and the Maintenance and Operations Department has been a problem in the past, but based on site visits during this latest facilities review, continued improvement was noted. Some sites still complained that work orders, e-mails, and voice mails either were not answered or not answered promptly, but the complaints were not as frequently heard. The district upgraded its work order/preventive maintenance system and archived old data. This improved the speed of the system, and simplifi ed the review of work order status for site staff. Feedback from site administrators regarding the system upgrade has been positive. In addition, the upgraded system helps the district better manage its facilities and reduces the number of repairs needed and work orders submitted. 28 Executive Summary The district must continue to be vigilant in monitoring the work order system, especially due to the changes in personnel in the maintenance offi ce. The district plans to implement the preventive maintenance crew concept beginning June 1, 2007. This area should be monitored and reviewed during a future review. Fire, Health, and Safety Issues at School Sites Prior reviews noted a major improvement in the area of fi re extinguishers. The district’s performance was maintained during the current review with two major exceptions. One elementary school had an entire wing of classrooms with noncompliant fi re extinguishers. It appeared the noncompliance was due to a staff oversight and the fi re extinguishers were not made available to the contracted service provider. At one high school visited, an entire row of modular classrooms was missing fi re extinguishers. At other sites visited, only a few expired extinguishers were noted, virtually all classrooms had fi re extinguishers, and access to fi re extinguishers was clear at the sites visited. Performance essentially has been maintained since the district has contracted for a fi re life safety survey. District staff states head custodians are required to perform a monthly inspection of fi re extinguishers and submit an inspection report. Documentation of monthly school site inspections was not available, and it is evident there is no follow through to ensure that the inspections are made and reports are submitted to the district. The district has a vendor contract to ensure that all safety systems (clocks, bells, alarms) are operating properly and that repairs are made as necessary. As the district updates its safety systems, it is transitioning to system self-maintenance. Five sites have been transitioned, two sites are in progress, and the goal is to complete the transition of all sites by the end of 2008-09. There was no change reported as of this facilities visit. The district continues its efforts to address problem areas. For example, a few unsanitary rest rooms were observed. In response to the need to improve bathroom cleanliness, the district continues to train custodial personnel on the use of rest room cleaning/sterilizing equipment, which has improved the quality and effi ciency of cleaning. Custodial staff is required to use the equipment, and district staff monitors its usage. In addition, the district has a full-time Operations Manager position established to evaluate the adequacy of night custodians’ work, including rest room cleaning. The district plans to reference the use of cleaning machines and supplies in employee evaluations. The employee contract is scheduled to be negotiated in 2008. While the district still needs to make improvements in this area, the number of sites with issues and the frequency of violations at sites has decreased. As the district continues formalizing and implementing operating procedures, ongoing improvement is expected; however, due to the reorganization in maintenance, operations, grounds and facilities, ongoing monitoring will be needed to ensure progress continues to be made. Facilities Planning The district has conducted an in-house facilities inventory and developed a multiphase facilities master plan. The site-by-site capacity information was compared to current and projected enrollment over the short term. This information and analysis resulted in a multiphase process to serve all district students in adequate facilities, while generating one-time and ongoing revenue to reduce the district’s obligations to the state and provide ongoing operational revenue. To date, the district has moved the Farragut Elementary School program to Mare Island, has moved or Executive Summary 29 plans to move the adult school and community day school to the Farragut site, and moved the home teaching school to the People’s site. The district offi ce has moved to Mare Island pursuant to an agreement with the developer. The prior district offi ce is being declared surplus, with the intent to sell the property and generate funds to repay the state loan. The later phases of the district’s facilities plan call for improvements to various schools throughout the district and the sale or lease of surplus property to generate revenue for the district’s fi scal recovery. The district appears to have successfully implemented the fi rst elements of Phase I of its facilities master plan. Nevertheless, the district should hire an outside consultant with signifi cant experience in developing successful school facilities master plans to independently prepare a plan to ensure that the district best serves its short- and long-term fi nancial and facility needs. As part of its recovery plan, the district is selling and leasing property and has declared fi ve properties as surplus. The district plans to sell the properties with entitlements. The district plans to use the proceeds from the sale/lease of property to repay the state loan and to offset general fund defi cit spending. The district states it has confi rmed the appropriate uses of the proceeds from the sale/lease of its property in order to feel confi dent in making long-term commitments. In Summary The review of Facilities Management included the assessment of a selected subset of 15 professional and legal standards of performance. The average rating of this subset of 15 standards, on a scale of 1 to 10, with 10 the highest score possible, is as follows: November 2004 2.46 May 2005 3.13 November 2005 3.87 May 2006 4.47 January 2007 5.20 July 2007 5.80 One of these 15 standards has a rating below a 4. 30 Executive Summary Returning the District to Local Governance Several conditions need to be met for the district’s eventual return to local governance. Senate Bill 1190, Chapter 53, Statutes of 2004, and AB 2756, Chapter 52, Statutes of 2004, clarify the conditions and intent regarding the return of the designated legal rights, duties and powers to the Governing Board. The authority of the Superintendent of Public Instruction (SPI) and his administrator designee shall continue until the SPI determines that the conditions of the law are satisfi ed. Consistent with Education Code section 41326, the Superintendent of Public Instruction has sole authority to decide when the return of legal rights, duties and powers to the Governing Board occurs. The conditions to be met include the following: 1. One complete fi scal year has elapsed following the district’s acceptance of a state loan or, at any time after one complete fi scal year has elapsed following that acceptance, the administrator determines, and so notifi es 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 fi ve operational areas if performance for that area has been demonstrated to the satisfaction of the SPI. 2. FCMAT completes the improvement plan specifi ed in the Act and has completed a minimum of two reports identifying the district’s progress. 3. The administrator certifi es that all necessary collective bargaining agreements have been negotiated and ratifi ed and that the agreements are consistent with the terms of the improvement plans. 4. The district completes all reports required by the SPI and the administrator. 5. The SPI determines that future compliance by the Vallejo City USD with the improvement plan and the multiyear fi nancial recovery plan is probable. SB 1190, Section 7, provides specifi c and direct responsibilities to FCMAT in assisting the Superintendent of Public Instruction and the Vallejo City Unifi ed 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 Unifi ed School District incorporating the following fi ve operational areas: • Financial Management • Pupil Achievement • Personnel Management • Facilities Management • Community Relations The improvement plan for personnel management shall include training for members of the Governing Board, the superintendent and district staff. Executive Summary 31 2. Based on the progress reports, FCMAT shall recommend to the Superintendent of Public Instruction those designated functional areas of school district operations that it determines are appropriate for the Governing Board of the school district to assume. 3. FCMAT shall fi le written status reports that refl ect 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 Unifi ed School District. The initial report assessed the district using 415 professional and legal standards in fi ve areas of school district operations. The scaled scores for all of the standards in each operational area provided an accurate measure of the district’s status regarding recovery at that time. Each standard was measured for completeness and a relative scaled score from zero (not met) to 10 (fully met) was applied. An average of the scores for each operational area was determined. The averages of those scaled scores became the baseline of data against which the district’s progress could be measured over time. For the subsequent six-month progress reviews, a smaller subset of these standards was selected by FCMAT in consultation with the California Department of Education (CDE) and the appointed State Administrator. The standards were selected as having the most probability, if addressed successfully, in assisting the district with recovery. The selected standards are identifi ed in the Tables of Standards in later sections of this report, and are the focus of each six- month review. The Vallejo City Unifi ed School District is not required to reach a scaled score of 10 in the selected standards, but the district is expected to make steady progress that can be sustained, as substantial and sustained progress is a requirement of SB 1190. It is reasonable to expect that the district can reach an average rating of at least a six in each of the fi ve operational areas, with no individual standard scored less than a four. In collaboration with the California Department of Education, FCMAT established the following criteria to measure the district’s progress. When the average score of the subset of standards in a functional area reaches a level of six, and it is considered to be substantial and sustainable, and no individual standard in the subset is below a four, FCMAT will recommend to the Superintendent of Public Instruction that this particular condition has been met and that this operational area could be returned to the Vallejo City USD Governing Board. The fi nal authority to return governance authority to the district board lies with the Superintendent of Public Instruction. Subject to progress, recommendations every six months will address the functional areas of school district operations that could be returned to the Governing Board of the school district by the SPI. The ultimate return of legal rights, duties and powers is based upon the SPI’s concurrence with the assessment of his administrator designee and FCMAT that the future compliance by the district with the improvement plans and the multiyear fi nancial recovery plan is probable. 32 Executive Summary Implementation Plan FCMAT assessed the district using 415 professional and legal standards for the November 1, 2004 Assessment and Improvement Plan, providing an in-depth review of these standards in the fi ve operational areas and a baseline score for each standard. A subset of standards in each operational area was identifi ed to assist the district in successfully achieving recovery and return to local governance. This subset of standards is the focus of the ongoing six-month progress reviews conducted in the district. Although all professional and legal standards utilized in the comprehensive assessment process are important to any district’s success, focusing on this identifi ed subset of standards will enable the Vallejo City Unifi ed School District to focus its efforts and more quickly achieve a return to local governance. FCMAT, with the collaboration of the California Department of Education and the State Administrator, identifi ed the following subset of 129 standards in the fi ve operational areas that are to be reviewed during each six-month progress review. 17 standards in Community Relations and Governance 35 standards in Personnel Management 23 standards in Pupil Achievement 39 standards in Financial Management 15 standards in Facilities Management A progress narrative for each of these standards is provided in following sections of this report. These standards are also identifi ed in bold print in the Table of Standards displayed at the end of each operational area section. In collaboration with the California Department of Education, FCMAT established the following criteria to measure the district’s progress. When the average score of the subset of standards in an operational area reaches a level of six and it is considered to be substantial and sustainable, and no individual standard in the subset is below a four, FCMAT will recommend to the Superintendent of Public Instruction (SPI) that this particular condition of SB 1190 has been met and that this operational area could be returned to the Governing Board. FCMAT will assess the district’s progress in each of the fi ve 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 fi nancial recovery plan is probable. The average of the subset of standards in each operational area is indicated below. The ratings for November 1, 2004 provided a baseline of data against which the district’s progress can be measured over each six-month period of review. Executive Summary 33 November 1, 2004: Community Relations/Governance: average rating 3.35, with 11 standards under a 4. Personnel Management: average rating 1.34, with 33 standards under a 4. Pupil Achievement: average rating 2.39, with 23 standards under a 4. Financial Management: average rating 1.31, with 37 standards under a 4. Facilities Management: average rating 2.46, with 11 standards under a 4. May 1, 2005: Community Relations/Governance: average rating 4.24, with 4 standards under a 4. Personnel Management: average rating 2.51, with 25 standards under a 4. Pupil Achievement: average rating 3.48, with 10 standards under a 4. Financial Management: average rating 2.53, with 28 standards under a 4. Facilities Management: average rating 3.13, with 9 standards under a 4. November 30, 2005: Community Relations/Governance: average rating 5.24, with 0 standards under a 4. Personnel Management: average rating 2.74, with 22 standards under a 4. Pupil Achievement: average rating 5.09, with 0 standards under a 4. Financial Management: average rating 3.56, with 24 standards under a 4. Facilities Management: average rating 3.87, with 5 standards under a 4. May 31, 2006: Community Relations/Governance: average rating 5.94, with 0 standards under a 4. Personnel Management: average rating 4.26, with 12 standards under a 4. Pupil Achievement: average rating 5.91, with 0 standards under a 4. Financial Management: average rating 4.33, with 13 standards under a 4. Facilities Management: average rating 4.47, with 5 standards under a 4. January 25, 2007: Community Relations/Governance: average rating 6.88, with 0 standards under a 4. Personnel Management: average rating 5.74, with 0 standards under a 4. Pupil Achievement: average rating 6.57, with 0 standards under a 4. Financial Management: average rating 4.41, with 15 standards under a 4. Facilities Management: average rating 5.20, with 3 standards under a 4. July 2, 2007: Community Relations/Governance: average rating 7.82, with 0 standards under a 4. Personnel Management: average rating 7.20, with 0 standards under a 4. Pupil Achievement: average rating 7.61, with 0 standards under a 4. Financial Management: average rating 5.28, with 1 standard under a 4. Facilities Management: average rating 5.80, with 1 standard under a 4. 34 Executive Summary Progress in Meeting the Criteria for Return of Powers Average of Ratings in Five Operational Areas Operational Nov. 2004 November May January July May 2005 Areas Baseline 2005 2006 2007 2007 Community Relations/ 3.35 4.24 5.24 5.94 6.88 7.82 Governance Personnel 1.34 2.51 2.74 4.26 5.74 7.20 Management Pupil 2.39 3.48 5.09 5.91 6.57 7.61 Achievement Financial 1.31 2.53 3.56 4.33 4.41 5.28 Management Facilities 2.46 3.13 3.87 4.47 5.20 5.80 Management Number of Standards in Each Operational Area Rated Less Than 4.0 Operational Nov. 2004 May 2005 Nov. 2005 May 2006 Jan. 2007 July 2007 Areas Stnds < 4 Stnds < 4 Stnds < 4 Stnds < 4 Stnds < 4 Stnds < 4 Community Relations/ 11 4 4 0 0 0 Governance Personnel 33 25 25 12 0 0 Management Pupil 23 10 10 0 0 0 Achievement Financial 37 28 24 13 15 1 Management Facilities 11 9 5 5 3 1 Management Executive Summary 35 Community Relations and Governance The Vallejo City Unifi ed School District has continued to exhibit progress in each priority stan- dard in the area of Governance and Community Relations. The district has focused on ensuring that adequate capacity is built and sustainable systems and processes are developed to help the district achieve its goals. The move to the new district offi ce is generally regarded as a posi- tive development by staff and by the community. Other priorities have included a commitment to being more responsive to parents, the community and other staff, and continuing to examine and improve the climate at district schools. The district has continued its momentum toward executing strategies for engaging the community and civic groups, working to refi ne internal and external communications, and expanding the process for the update, adoption and affi rmation of policy. Communications The district has sustained substantial progress in putting the components of the strategic com- munications plan into action. The district continues to host forums for the community while introducing the new practice of holding “coffee tours” to invite the public to see Vallejo schools fi rsthand. Communications training has continued for principals, including ad hoc guidance on crafting effective messages and making the best use of the telephone call-out system. The dis- trict offi ce staff has worked to build school site capacity for enhanced communication, providing support and coordination by developing strategies and identifying key points, but allowing site staff to develop specifi c communications to meet the needs of their parent audience. By target- ing communications to specifi c audiences, in addition to broad district-wide communications, the district staff has worked to tailor particular messages for the intended recipients to more effectively engage them. For example, the effort to communicate the decision to close high school campuses during the lunch period was multiphased and included communication with the press, with students and parents, and with the business community and neighbors who could be affected by this change in policy. The district’s Web site continues to serve as a resource for information and news. The district should stay vigilant in keeping the information on the site fresh, accurate and up to date. A proac- tive media strategy, including briefi ngs for the press is still a part of the district communications plan. Internal communications through staff newsletters and meetings are being utilized to both disseminate information and also to garner input from the school sites. Parent/Community Relations Vallejo’s coffee tours have been an effective means of engaging members of the community who may not normally have access to see schools fi rsthand. These tours, open to any member of the public who registers, are led by the state administrator and typically include stops at mul- tiple school sites. These site visits provide an opportunity for the public to observe the activities occurring on campus, see classrooms and academic lessons, and witness the climate at Vallejo schools. As part of improving the school climate, the district has implemented a greater involve- ment of the school resource offi cers, expanded the training for campus supervisors and provided training to parents and students about how attitudes and behaviors affect the learning environ- ment. Such training also helps to identify and anticipate potential issues, thereby reducing parent complaints or mitigating problems before they reach the district offi ce level. Community Relations/Governance 1 The district conducted a community survey in the past six months, gathering data about a number of areas including general perceptions of the district’s schools and community support for ad- ditional funding for schools. Understanding how the community perceives the district and using specifi c data from the survey results to inform the actions to be taken by the district will be an important step in helping the district to successfully engage many different facets of the public. The district continues to work to make information more accessible to parents, including expand- ing the Web site to include forms that were previously only available at the district offi ce, and expanding the hours for registration into the evenings. A new policy on parent engagement has been drafted, and is moving toward adoption while the district is working to establish expecta- tions for parents and for the district. The move to the new district offi ce is regarded as a positive development by staff and by the community. The physical move also prompted district staff representatives to create a committee to develop expectations for customer service. The new location provided staff an opportunity to initiate efforts to improve responsiveness to the public by developing the expectation that com- munity members entering the building would be greeted and welcomed. As part of this initiative, staff also recommended that telephone callers should be given an opportunity to speak to a per- son instead of being transferred directly to voicemail. The district has also tried to engage parents in issues affecting their students rather than simply notifying them about an issue to meet legal requirements. An example is the move toward later time slots for registration and for teacher conferences that are more convenient to parent schedules. Board members continue to play a role in developing stronger ties to the community, in a formal plan where specifi c board members are designated as the liaisons between the district and specifi c groups in the community. This outreach continues to demonstrate the board’s willingness to regain governing authority in the area of community relations. Community Collaboratives, District Advisory Committees, School Site Councils The district has continued and expanded community partnerships, including joint efforts with the Greater Vallejo Recreation District, school resource offi cers’ partnership with the Vallejo Police Department, and the development of a new health clinic at Bethel High School. The state admin- istrator and board have identifi ed specifi c strategies to formalize the responsibilities of individual board members as liaisons to particular groups. The district’s recent community survey will help the district to continue to be successful in its outreach efforts. Policy The district has continued its methodical and deliberate process of reviewing and adopting policy. Both staff and the public have been engaged in this process as the district has reaffi rmed existing policies and developed new ones. The district has developed action plans to sustain this process and will specifi cally examine the board bylaws as the next phase of the plan. Fifteen new policies have been adopted since the last progress report, and a new policy on parent engage- ment has been drafted. The district has worked on policy with the assumption that clearly written administrative regulations and related forms that actually refl ect policy are critical components in ensuring that policies are easy to understand, consistently applied, and not open to interpreta- tion. The district should continue to critically examine the procedures and forms that are asso- ciated with its policies, and continue to use the district Web site as a resource that parents and community members use to access forms and policy language. As part of the process of making 2 Community Relations/Governance information more accessible, the district must also critically examine how easy it is for parents and community members to be able to search and fi nd policies adopted by the district on the Web site. Board Roles/Boardsmanship Perceptions of the working relationship between the district offi ce staff and the board continue to be positive. The administration and board operate effectively and communicate with one another. The board continues to demonstrate a belief that the vision and mission of the district drives the actions and strategies of staff. It is recommended that the board continue to regularly affi rm its support for the vision/mission and key district goals as a means of ensuring that the direction being set matches the current needs and conditions in the district. Board liaison roles were defi ned in December 2005 and new appointments were made at the December 2006 organiza- tional meeting of the advisory board, making individual board members responsible for outreach to particular groups and organizations in the community. The district has continued to integrate training and professional development into board agenda items, allowing for the explanation of concepts and processes while embarking on the review of specifi c data. The training focus has been on the use and analysis of specifi c data to inform the decisions that are to be made, in an effort to prepare the board to know what kinds of questions to ask and what types of information will be needed to make effective, data-driven decisions when local governing authority is returned. The board continues to affi rm policy decisions rec- ommended by the state administrator, modeling an effective and successful process of reaching agreement on key issues. Board Meetings Board meetings continue to be professional and focus on substantive issues such as budget and student achievement. Board agendas include a specifi c notation tying items back to the fi ve key district goals, and at every meeting there is a public forum, providing an opportunity for staff and the public to offer comments. The board has participated in training on fi nances and data analysis as part of the budget process, including interim reports, and the review of achievement test results and enrollment projections. Board members have noted their satisfaction with the background materials they receive prior to board meetings, and through training, members have a sense of the type of data and analysis that should be provided during presentations. As such, the board understands that a key part of decision-making is the review of data and options for action. With the move of the district offi ce, board meetings can now accommodate a larger audience, as well as improved abilities for broadcasting board meetings on television. Recent meetings in- cluded the translation into Spanish of verbal business, and Spanish-language versions of support- ing materials. The physical move of the district offi ce has gained board members a workspace in the district offi ce. 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 continues to implement its comprehensive communications plan. District staff have worked to build capacity at the district offi ce and school sites to engage parents and community members in meaningful, two-way internal and external communications. The district has also worked to enhance internal capacity to develop key messages and communicate information to the public through formal training at principals’ meetings, as well as ad hoc training to respond to specifi c situations. The district’s Web site is a posi- tive resource, and the district’s communication plan should address the maintenance of the integrity of information on the site. 2. Background briefi ngs for the press continue to be one way the district proactively engages the media about district events, activities and developments. The district con- tinues to use community forums and a quarterly district newsletter as part of its efforts to publicize information. The introduction of a “coffee tour” that allows members of the public to schedule a visit to school sites and observe the campus environment and aca- demics fi rsthand has been a successful endeavor. Staff committees and principals’ meet- ings have also been utilized to augment two-way communication in the district. 3. The district conducted a community survey in the past six months, gathering data in a number of areas including general perceptions of the district’s schools and community support for additional school funding. In using specifi c data from the survey results to in- form the decisions that are to be made, the district is taking an important step to engage a broad cross-section of the community. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 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 identifi es the need to address both internal and external communication. Communications strategies are in place to address the need for information to fl ow from staff to the administration and vice versa, includ- ing staff committee meetings, principals’ meetings, Cabinet meetings, staff newsletters and the intranet. Community forums and “coffee tours” held by the state administrator are opportunities to share information and talk with the public and with staff. The district continues to use e-mail, press releases, and press briefi ngs to disseminate information. To ensure that attitudes about open communication remain strong, the district should peri- odically survey staff members about communications and ask for input about additional ways that two-way communications can be conducted. 2. The district has worked to be even more responsive to the needs of its customers, both internal and external. The move to the new district offi ce prompted district staff represen- tatives to create a committee that worked to develop expectations for customer service. In keeping with this philosophy, the district has also made efforts to have staff engage in communication with parents that is not simply a legal notifi cation, but a more systematic process for outreach about the issues that may be affecting particular students. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 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. The district’s communications plan specifi cally addresses the topic of staff input. The dis- trict holds staff and community forums, staff meetings, and board meetings as a means of gathering feedback from staff. The district made specifi c efforts to involve staff in focus groups while developing the plans to implement its initiative to improve school climate and in obtaining input on the attributes and skills desired in a new Superintendent. With the move to the new district offi ce, a committee of district staff representatives developed an initiative to set expectations for serving customers, both internal and external. The new location provided an opportunity for staff to initiate an effort to improve the responsiveness to the public, by developing the expectation that community members entering the building would be greeted and welcomed. Additionally, as part of this initiative, staff also made the recommendation to transfer telephone calls so that call- ers will have an opportunity to speak to a person and not be directed to voicemail. The district continues to work to anticipate issues as a means of preventing problems before they occur. The district should periodically evaluate that these expectations are consis- tently understood across departments to ensure that a customer service culture exists even when staff turnover occurs. 2. The district continues to utilize a staff intranet system in an effort to expand opportunities for feedback. The district should periodically assess staff about their perception of this resource to ensure that it meets the goals of meaningful two-way communications with employees. For staff members who may not have access to the intranet, the district should remain mindful of other avenues for input and feedback. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: Community Relations/Governance 7 1.4 Community Relations Professional Standard: Media contacts and spokespersons who have the authority to speak on behalf of the district have been identifi ed. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has clarifi ed the roles and responsibilities of board members, district staff and the administration with respect to responding to media and public inquiries and serving as spokespersons. The communications plans and policy on media relations refl ect these protocols. 2. There is a consistent pattern demonstrated by staff regarding the protocols and procedures for public and media inquiries. Site staff recognize that the district offi ce staff are avail- able to support them in developing key messages and responses to media inquiries. 3. The district spokespersons respond promptly to requests for information by the media. 4. Formal and ad hoc training on communications has continued for district staff, including principals. This strategy of tailoring training to specifi c issues as they arise has been an effective means of building capacity. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 8 July 2, 2007 Rating: 9 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 district has clearly identifi ed spokespersons. The board members, district staff, and site staff indicate that the policy on spokespersons is understood and consistently applied. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 8 July 2, 2007 Rating: 9 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. The district maintains documentation about the universal complaint procedures and Williams lawsuit complaint procedures on the district Web site and at the district offi ce. In an effort to be more responsive to both internal and external customers, the district is working to anticipate issues before problems surface. By better meeting parent expecta- tions, the district has become more fl exible and responsive. Two examples of this effort are the shift in time slots for registration, and appointment times for teacher conferences that are more convenient to parent schedules. The district has also continued and system- atized principal trainings focused on engaging the parent community and reducing the number of complaints. 2. The district’s policy on employee complaints is generally perceived to be effective. The district should periodically evaluate the complaints process to ensure that policies are consistently communicated and applied. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 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. Board liaisons’ roles were identifi ed for the second time at the December 2006 organi- zational meeting of the advisory board. This action continued the practice established in 2005 of formalizing the responsibility for individual board members to build relationships with particular groups and organizations within the community, including the Chamber of Commerce, faith-based organizations and ethnic groups. 2. Board members are visible within the community through their liaison roles and through participation in district events like the community forums and “coffee tours.” Board members have increasingly visited campuses in an effort to heighten understanding about school climate and to build relationships with site administrators and parents. 3. The board has continued and expanded their involvement in community partnerships, including the Omega Boys and Girls Club, the Greater Vallejo Recreation District, the Vallejo Police Department, and the health clinic on the campus of Jesse Bethel High School. 4. The board should periodically conduct a self-assessment to ensure that the liaison efforts are working as effectively as possible. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 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 maintained strong relationships with community collaborations and part- nerships. These outreach efforts have resulted in opportunities to share resources and to attempt to address some students’ unmet needs. The district should continually evaluate opportunities for new partnerships, with framework for alliances based on the alignment to the district’s key goals. 2. As the district moves forward in its initiative to improve school climate, the partnerships with the city of Vallejo and the Vallejo Police Department will remain important. The relationships between the district and civic organizations are generally perceived as effec- tive, focused on positively affecting the district’s key goals. 3. Implementation of the plan to address partnership-building should include considerations about supporting site-level efforts, including technical assistance, resources and/or other incentives for participation in collaboratives. 4. The district is moving forward with its initiative to engage in additional outreach and communication to parents on topics including community partnerships. Utilizing the results of the community survey, the district should set expectations about how frequently and in what ways these types of communication will occur. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 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 refl ects 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 have continued to utilize the input and feedback pro- vided by advisory committees consisting of parents, staff, community members and board members. The district prioritized key tasks toward achieving its goals and established a framework for improvement. As new challenges surface, the district should re-employ the successful process that was used and reconvene stakeholders if needed to provide guid- ance on policy and direction. 2. The district has convened board, staff, and community committees to identify the charac- teristics that would be desirable in a potential superintendent candidate. The district also continues to refi ne its plan toward improved parent engagement. A policy on the issue has been drafted and is in the process of being reviewed, analyzed, and strengthened in an effort to engage a broader cross-section of parents in the district and establish appropri- ate expectations for parents and the district in meeting students’ needs. The district has also continued to engage parents in the initiative to improve school climate. The district should periodically assess the impact of its efforts at engaging parents and refi ne the plans of action to meet changing needs. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 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. In the past six months, 15 policies have been proposed, reviewed, adopted and affi rmed by the district. Additionally, a new policy on parent engagement has been drafted, and the district is moving forward in the adoption process while working to establish expectations for parents and for the district. The district has continued its methodical and deliberate process of reviewing and adopting policy. Both staff and the public have been engaged in this process as the district has reaffi rmed existing policies and developed new policies. The district has developed action plans to sustain this process and plans to examine the board bylaws as the next phase of the plan. 2. The district has proceeded in its policy work under the assumption that clearly written administrative regulations and related forms that refl ect policy are critical components in ensuring that policies are easy to understand, consistently applied, and not open to inter- pretation. The district should continue to critically examine the procedures and forms that are associated with its policies, and continue to use the district Web site as a resource for parents and community members to access forms and policy language. As part of the process of making information more accessible, the district must also critically examine how easy it is for parents and community members to be able to search and fi nd poli- cies adopted by the district on the Web site. The district should consider adopting the CSBA sample policies and then review and customize the policies to refl ect local district custom, practice and need. With the adoption of a consistent indexing and numbering system, parents and administrators will then have access to the most recent version of all policies. The district should continue the practice of making policies available on its Web site and periodically assess the ease of use for parents and community members to fi nd and under- stand individual policies. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 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. Two of the goals of the district’s deliberate, methodical process of policy review have been to ensure that policies are clearly written and easily understood to facilitate their consistent enforcement and application. As the district proceeds with plans to update its policies, it must continue to take public input into account, as well as staff recommenda- tions. It is also important for the board and state administrator to critically consider the alignment between a particular policy and the district’s key goals. Furthermore, the administrative regulations and forms associated with particular policies should be clearly presented to help ensure consistent enforcement. The district should periodically assess the effi cacy of the policies to ensure that the direction set by the board is being effectively implemented by staff and that the policies align with the district’s goals. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 4 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 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 identifi ed 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 board and state administrator have adopted and affi rmed the fi ve key goal areas and vision/mission statement. These goals continue to serve as the framework for district operations. Board meeting agendas continue to explicitly tie particular items back to the district’s goals. The state administrator and board should continue to report on the prog- ress made toward achieving the goals as a routine part of board meetings. 2. The fi ndings and recommendations of the FCMAT progress report related to student achievement, fi scal management, facilities management, personnel management and governance/community relations have been reviewed and discussed by the board, state administrator and staff. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 5 May 1, 2005 Rating: 6 November 30, 2005 Rating: 7 May 31, 2006 Rating: 7 January 25, 2007 Rating: 8 July 2, 2007 Rating: 8 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. Providing the board with data and analysis has been a particular district focus. The budget options process, which involved decisions about school closures, was a model for the dis- trict in terms of providing clear information to the public and opportunities for reaction and feedback before decisions were made. The state administrator should continue to ensure that appropriate background information and presentation materials are provided to the board to facilitate thoughtful discussion and informed decision-making. Board meeting agendas continue to include a rationale for each item, tying items back to the fi ve key goals of the district. Agenda items also include cost estimates, data and the presenta- tion of options identifi ed by staff. Board members also receive a weekly informational letter from the state administrator. 2. The district continues to be able to better collect, organize, and analyze data than in the past. Having accurate data is a critical piece of the decision-making process for the board. There- fore, the district should ensure that specifi c measures and adequate staff capacity are in place to maintain the integrity of databases and other resources such as the student information system. 3. The district has engaged the board in further training integrated into board agenda items, allowing for the explanation of concepts and processes while embarking on the review of specifi c data. The specifi c focus of these trainings has been about the analysis of specifi c data to inform the decisions that are to be made. These efforts to prepare the board for the return of local governing authority include training about the kinds of ques- tions to ask and the types of information needed to made effective, data-driven decisions. The advisory board should continue to pursue both formal training and ad hoc, embedded training opportunities to demonstrate readiness to resume governing authority. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 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. Expectations about the roles of the board and the state administrator are clearly under- stood by both parties. There is general agreement that the members of the board and the state administrator work well together. The board specifi cally praised the state adminis- trator for modeling an effective process and demonstrating a great capacity for thoughtful decision-making as part of the budget options process throughout spring 2007. 2. The lines of communication between the board and state administrator are open, and routine updates continue through the state administrator’s weekly Friday letter to the board. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 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. Members of the board are generally perceived to be supportive and respectful toward staff during interactions at board meetings and during visits to school sites. 2. The board and state administrator should survey district staff periodically to assess em- ployee satisfaction. 3. As part of the comprehensive communications plan, the district should continue the prac- tice of proactively reaching out to the media to promote accomplishments by students and staff at district schools (see Standard 1.1). Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 7 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. A key goal identifi ed by the district is to improve achievement for students who are underperforming. The district continues to target the methods used for student instruc- tion. By analyzing disaggregated data to identify underperforming students, the district is better able to focus its efforts in ways that can produce the greatest results. With an understanding of the type of data and analysis that are required to make diffi cult policy decisions, the board can better focus its policy discussions on identifying options for ac- tion that will best meet the needs of all students. 2. The district continues to implement strategies to improve parent engagement, including the development of a new policy. The district continues to involve and engage the com- munity through forums and “coffee tours.” These successful programs should be con- tinued and additional initiatives developed in an effort to involve an even broader cross- section of the community in the district. 3. Board members and the state administrator attend community forums, “coffee tours” and other events at school sites. It is recommended that the board formalize a schedule for school visitation, similar to the board liaison roles to external organizations. Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 7 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. The board meeting agendas continue to be framed around the district’s fi ve key goals. With specifi c agenda items directly tied to the goals, topics are prioritized and structured to allow for appropriate public input, discussion and consideration. Board agendas have often focused on the budget and fi scal matters, but the district continues to move forward with its deliberate and thorough process of policy review, with 15 policies adopted and affi rmed in the past six months. The board continues to affi rm policy decisions made by the state administrator, modeling an effective and successful process of reaching agree- ment on key issues. The board should ensure that systems are put into place to monitor, evaluate, and refi ne district programs. As the district continues to move toward regaining local governing authority in some areas, using available data to analyze the alignment and progress of initiatives toward achieving the district’s goals will be even more important. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: Community Relations/Governance 21 22 Community Relations/Governance Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.1 PROFESSIONAL STANDARD - COM- MUNICATIONS The district has developed a 1 3 5 6 7 8 comprehensive plan for internal and external communications, including media relations. 1.2 PROFESSIONAL STANDARD - COM- MUNICATIONS Information is communicated to 3 4 5 6 7 8 the staff at all levels in an effec- tive and timely manner. 1.3 PROFESSIONAL STANDARD - COM- MUNICATIONS 2 3 5 6 7 8 Staff input into school and dis- trict operations is encouraged. 1.4 PROFESSIONAL STANDARD - COM- MUNICATIONS Media contacts and spokesper- 3 5 6 7 8 9 sons who have the authority to speak on behalf of the district have been identifi ed. 1.5 PROFESSIONAL STANDARD - COM- MUNICATIONS Individuals not authorized to speak on behalf of the district 3 5 6 7 8 9 refrain from making public com- ments on board decisions and district programs 1.6 PROFESSIONAL STANDARD - COM- MUNICATIONS Board spokespersons are skilled at 3 public speaking and communica- tion and are knowledgeable about district programs and issues. The identifi ed subset of standards appears in bold print. Community Relations/Governance 23 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 2.1 LEGAL STANDARD - PARENT/COM- MUNITY RELATIONS Annual parental notice of rights and responsibilities is provided at the beginning of the school year. 6 This notice is provided in Eng- lish and in languages other than English when 15 percent or more speak other languages (EC 48980, 48985). 2.2 LEGAL STANDARD - PARENT/COM- MUNITY RELATIONS A school accountability report card 7 is issued annually for each school site (EC 35256). 2.3 LEGAL STANDARD - PARENT/COM- MUNITY RELATIONS The district has developed and an- 6 nually disseminates uniform com- plaint procedures (Title 5, Section 4621, 4622) 2.4 PROFESSIONAL STANDARD - PAR- ENT/COMMUNITY RELATIONS Parents’ and community mem- 3 3 4 5 6 7 bers’ complaints are addressed in a fair and timely manner. 2.5 PROFESSIONAL STANDARD - PAR- ENT/COMMUNITY RELATIONS Board members refer informal 8 public concerns to the appropriate staff members for attention and response. 2.6 PROFESSIONAL STANDARD - PAR- ENT/COMMUNITY RELATIONS Parents and community members 3 are encouraged to be involved in school activities and in their children’s education. The identifi ed subset of standards appears in bold print. 24 Community Relations/Governance Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 2.7 PROFESSIONAL STANDARD - PAR- ENT/COMMUNITY RELATIONS Volunteers receive appropriate 2 training and play a meaningful role that contributes to the educational program. 2.8 LEGAL STANDARD - PARENT/COM- MUNITY RELATIONS The district has established proce- dures for visitor registration and 5 posts registration requirements at each school entrance. (Penal Code 627.2, 627.6) 2.9 PROFESSIONAL STANDARD - PAR- ENT/COMMUNITY RELATIONS Board members are actively 3 4 5 6 7 8 involved in building community relations. 3.1 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS 4 5 5 6 7 8 The board and Superintendent support partnerships and collab- orations with community groups, local agencies and businesses. The identifi ed subset of standards appears in bold print. Community Relations/Governance 25 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.2 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS The board and the Superinten- dent establish broad-based committees or councils to advise the district on critical district 3 4 5 5 6 7 issues and operations as ap- propriate. The membership of these collaboratives and councils should refl ect the full cultural, ethnic, gender and socioeco- nomic diversity of the student population. 3.3 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS Community collaboratives and dis- 4 trict and school advisory councils have identifi ed specifi c outcome goals that are understood by all members. 3.4 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS The district encourages and pro- vides the necessary training for 5 collaborative and advisory council members to understand the basic administrative structure, program processes and goals of all district partners. The identifi ed subset of standards appears in bold print. 26 Community Relations/Governance Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.5 PROFESSIONAL STANDARD - COM- MUNITY COLLABORATIVES, DIS- TRICT ADVISORY COMMITTEES, SCHOOL SITE COUNCILS Community collaboratives and district and school advisory coun- 4 cils effectively fulfi ll their respon- sibilities (e.g. researching issues, developing recommendations) and provide a meaningful role for all participants. 3.6 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVI- SORY COMMITTEES, SCHOOL SITE COUNCILS The school site council develops 8 a single plan for student achieve- ment at each school applying for categorical programs through the consolidated application (EC 64001). 3.7 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVI- SORY COMMITTEES, SCHOOL SITE COUNCILS 7 School plans are comprehensive and have suffi cient content to meet the statutory requirements (EC 52853, 64001). 3.8 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVI- SORY COMMITTEES, SCHOOL SITE COUNCILS The school site council annually 7 reviews the school plan and the board annually approves or disap- proves all site councils’ plans (EC 52853, 52855, 64001). The identifi ed subset of standards appears in bold print. Community Relations/Governance 27 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.9 LEGAL STANDARD - COMMUNITY COLLABORATIVES, DISTRICT ADVI- SORY COMMITTEES, SCHOOL SITE COUNCILS 10 Policies exist for the establish- ment of school site councils (EC 52852.5). 4.1 PROFESSIONAL STANDARD - POL- ICY Policies are written, organized 4 4 5 5 6 6 and readily available to all members of the staff and to the public. 4.2 PROFESSIONAL STANDARD - POLICY Policies and administrative regula- 4 tions are up to date and refl ect current law and local needs. 4.3 LEGAL STANDARD - POLICY The board has adopted all policies 6 mandated by state and federal law. 4.4 LEGAL STANDARD - POLICY The board annually reviews its policies on intradistrict open en- 4 rollment and extracurricular/cocur- ricular activities (EC 35160.5). 4.5 PROFESSIONAL STANDARD - POLICY The district has established a sys- tem of securing staff and citizen 3 input in policy development and review. 4.6 PROFESSIONAL STANDARD - POL- ICY The board supports and follows 3 3 4 4 5 6 its own policies once they are adopted. 5.1 LEGAL STANDARD - BOARD ROLES/ BOARDSMANSHIP Each board member meets the 10 eligibility requirements of being a board member (EC 35107). The identifi ed subset of standards appears in bold print. 28 Community Relations/Governance Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 5.2 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Board members participate in orientation sessions, workshops, conventions and special meetings sponsored by board associations, 4 and have access to pertinent lit- erature, statutes, legal counsel and recognized authorities to under- stand duties, functions, authority and responsibilities of members. 5.3 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board has established a districtwide vision/mission and uses that vision/mission as a 5 6 7 7 8 8 framework for district action based on the identifi ed needs of the students, staff and edu- cational community through a needs assessment process. 5.4 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board makes decisions based 3 4 5 6 7 8 on the study of all available data, including the recommenda- tions of the Superintendent. 5.5 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP 7 Functional working relations are maintained among board members. 5.6 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Individual board members respect 8 the decisions of the board majority and support the board’s actions in public. The identifi ed subset of standards appears in bold print. Community Relations/Governance 29 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 5.7 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Functional working relations are 3 4 5 6 7 8 maintained between the board and administrative team. 5.8 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board publicly demonstrates 5 5 5 6 7 7 respect for and support for the district and school site staff. 5.9 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board demonstrates respect 6 for public input at meetings and public hearings. 5.10 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Board members respect confi denti- 6 ality of information by the admin- istration. 5.11 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP Board members do not involve 8 themselves in operational issues that are the responsibility of the Superintendent and staff. 5.12 PROFESSIONAL STANDARD - BOARD ROLES/BOARDSMANSHIP The board acts for the commu- 5 5 6 6 7 7 nity and in the interests of all students in the district. 6.1 LEGAL STANDARD - BOARD MEET- INGS An adopted calendar of regular 9 meetings exists and is published specifying the time, place and date of each meeting (EC 35140). The identifi ed subset of standards appears in bold print. 30 Community Relations/Governance Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 6.2 LEGAL STANDARD - BOARD MEET- INGS The board agenda is made avail- able to the public in the manner 9 and under the time lines prescribed by law (Government Code 54954.1, 54954.2). 6.3 PROFESSIONAL STANDARD - BOARD MEETINGS Board members prepare for board 5 meetings by becoming familiar with the agenda and support mate- rials prior to the meeting. 6.4 PROFESSIONAL STANDARD - BOARD MEETINGS Board meetings are conducted ac- 8 cording to a set of bylaws adopted by the board. 6.5 LEGAL STANDARD - BOARD MEET- INGS Open and closed sessions are con- 5 ducted according to the Ralph M. Brown Act (GC 54950 et seq.). 6.6 PROFESSIONAL STANDARD - BOARD MEETINGS Board meetings proceed in a 6 businesslike manner while allowing opportunity for full discussion. 6.7 LEGAL STANDARD - BOARD MEET- INGS The board has adopted bylaws for 9 the placement of items on the board agenda by members of the public. (EC 35145.5) The identifi ed subset of standards appears in bold print. Community Relations/Governance 31 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 6.8 LEGAL STANDARD - BOARD MEET- INGS Members of the public have an opportunity to address the board before or during the board’s con- 9 sideration of each item of business to be discussed at regular or spe- cial meetings and to bring before the board matters that are not on the agenda (EC 35145.5). 6.9 PROFESSIONAL STANDARD - BOARD MEETINGS 4 5 6 7 7 8 Board meetings focus on matters related to student achievement. The identifi ed subset of standards appears in bold print. 32 Community Relations/Governance Personnel Management The Vallejo City Unifi ed School District must address 35 priority standards in the operational area of Personnel Management. The Human Resources Department maintains a binder system where documented progress on each standard is stored and retrieved. There has been signifi cant progress on the 35 priority standards, with many of them nearing the systemic level. Organization and Planning The board policies affecting personnel operations, such as the delivery of services, roles, pro- cesses for employment, and employee discipline and dismissal, have been adopted by the district Governing Board. A total of nine new or revised policies in Human Resources now exist with a temporary numbering system. The district continues its overall efforts to review and revise poli- cies, and Human Resources has developed a procedure for reviewing and updating the human resources procedures. The district hired a new Assistant Superintendent, Human Resources, and a new Director, Secondary Human Resources to fi ll the vacancies created by a retirement and a resignation. The new Assistant Superintendent decided to maintain the existing organizational structure. Two ver- sions of an updated organizational chart exist, with one version containing a list of the back-up positions/people for each HR position and another showing the career paths for HR Department employees. The desk manuals continue to be a priority. Although they will always be dynamic, many of them are very nearly complete. The new Assistant Superintendent has been reviewing the desk manu- als and is beginning to refi ne them. The Annual Calendar is completed for the 12-month cycle and continues to be refi ned. Staff members continue to confi rm that the calendar is a useful tool for planning and for seeing the big picture throughout the department. Internal and External Communications HR continues to post updated information to the district’s Web site, both for internal and external use. This includes the HR Department directory, a page for job openings that links to EdJoin, col- lective bargaining contracts, salary schedules, employee forms, the Vallejo City Unifi ed School District Make a Difference (PowerPoint) Brochure, and other information pertinent for use by the public or for internal use by employees only. The physical layout of the department in the new building is much more conducive to customer service and communications within the department. The Department and its customer service counters are no longer physically split between classifi ed and certifi cated employee support. In addition, there has been greater focus on using real-life customer service scenarios to train HR staff members on customer service. Staff members in and outside of HR report that customer service has improved signifi cantly. The reorganization of the HR Department, combining the support staff members under the new position of Operations Manager, continues to work well. Teamwork, communications, and effi - ciency continue to improve, and signifi cant gains have been made in preparing backup personnel for critical functions by providing training and refi ning desk manuals. Personnel Management 1 Scheduled meetings of the HR management team, the HR Department, the HR operations team, and HR and Payroll continue to occur regularly and involve signifi cant items for discussion, training, and resolution. These activities continue to support the FCMAT standards to make the operational improvements sustainable. Employee Recruitment and Selection Teacher recruitment was vastly improved for the 2006-07 school year. HR was more engaged in developing the 2007 spring teacher recruitment plan. The district’s Teacher Recruitment Plan in- cluded the 2007 recruitment goals based on knowledge of declining enrollment and needs in the hard-to-fi ll categories. Using the baseline data from the previous year, the plan carefully targeted six recruitment fairs, including one district recruitment fair held at the district offi ce. A budget of $25,000 was carefully planned to support recruitment activities. The district succeeded in offer- ing early contracts at several of the recruitment fairs. A “fi nder’s fee” program was established whereby district employees who referred a teaching candidate who was then hired received a $100 certifi cate to Home Depot. This year, over 60 site and department administrators and teach- ers were trained to participate in recruiting events. This year’s plan clearly represented efforts to refi ne teacher recruiting practices to target the needs of the district and to gain the advantage of early recruitment. The Recruitment Specialist is gathering the necessary data for the second an- nual recruitment report. The plan to develop a data bridge internally from the student Aeries system to California Edu- cational Computer Consortium (CECC) data was set aside with news that the CECC module for credentials will be redesigned to allow districts to automate credential audits. Therefore, the Credentials Analyst conducted a district-wide audit by accessing the information from the Aeries system and manually matching it with a credentials report. While the audit has taken place, the correction of misassignments has not happened in all cases, and the Assistant Superintendent may have to develop a process that will assist the Credentials Technician in gaining cooperation from the principals. Operational Procedures All job descriptions were completed in the new format and were placed on the district’s Web site. The offi ce classifi ed job descriptions had to be removed from the Web site briefl y until the district completes a meet and confer with the union. A procedure is now in place for updating job descriptions, and a tracking mechanism was developed to maintain the updated information. Cross training within the HR Department is continuing and one version of the organizational chart lists the backups for each position by name. Staff confi rms that the system is working. The process of staffi ng schools for the new year, as with last year, was handled through the hori- zontal alignment process, involving HR and curriculum staff working together to determine staff- ing needs, implement the recruitment process, and balance the staffi ng allocations against budget and position control. The district has continued to follow the detailed procedures established last year for this staffi ng and recruitment process and has continued to train the staff members involved so that the process can be followed each year. Use of Technology The district’s core fi nancial and HR system resides on two different platforms and so is not inte- grated. This requires duplicate data entry and manual reconciliations. The district needs to con- 2 Personnel Management tinue to pursue upgrades to the CECC system so that all modules are integrated. In addition, the district is looking to the CECC to provide modules to automate personnel requisitions, employee leave usage, and other critical functions. HR has almost completed the conversion of its spreadsheet-based applicant tracking system to a Web-based system through EdJoin. Most applications are now electronic, and some hiring managers have been trained to use the paperless screening process. The last major step required to fully implement this system is to establish kiosks for walk-in applicants to apply online. Full implementation will serve to improve the reliability of applicant data, save processing time, and provide more timely and greatly improved management reporting. HR is preparing to send another annual set of Notices of Assignment (NOAs) to all employees through the school sites and departments for the next fi scal year. A list of frequently asked ques- tions has been prepared, based upon the questions that employees had asked from last year’s NOAs. This is a process that HR should continue to follow each year as a way of verifying employee data and assignments. HR has included technology training in its department staff development plan, and has provided opportunities for staff to receive training on the systems and reports currently in use. For the fi rst time since the FCMAT reviews began, staff members in HR believe that they have the necessary tools and training to access the data that they need from the automated systems. In addition, staff members have received training on systems soon to be in use, such as the EdJoin applicant track- ing system and the SmartFind Express system for substitute management. The Web version of a substitute management system, SmartFind Express, is planned for piloting in some locations at the beginning of 2007-08. The plan is that all employees will be required to report absences to the system. In addition, the system will provide an interface to the CECC sys- tem so that absence reporting and substitute time will be automatically fed to the payroll system. While the posting of employee leave usage to update leave balances in the system is still a manual process, the leave balances are up to date for the fi rst time since these reviews began, and dedicated staff members and a process are in place to keep them updated. Staff Training HR has developed a written Human Resources Staff Development Plan that lists the name of the person/position, the task areas, and the training needed. In addition, HR has created a listing of the professional development planned for all staff members for 2006-07, including the type of staff development, the source of the staff development, the persons from the department who will attend, and the dates. Staff reported attendance at the activities in the plan and documentation (purchase orders) also confi rmed attendance. Professional development is clearly a major district priority, and it is decentralized. Professional development for teachers and administrators can be found in the district’s Instructional Plan, on the Web calendar, and in leadership team meeting agendas. Professional development activities for other employees can be found on the Web calendar. Personnel Management 3 Evaluation and Due Process Using the CECC system, employee evaluations for both certifi cated and classifi ed staff are being monitored and the evaluation data are being maintained. Lists of employees to be evaluated are sent to managers, and reminder memos ensure that the process continues. HR has continued to provide managers with both certifi cated and classifi ed evaluation training, and provides admin- istrators with a handbook titled The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. Employer/Employee Relations Since the district has closed contracts with its bargaining units until 2008, most of the current activity consists of monthly communications meetings with the units. These meetings are a forum to discuss current and upcoming events and issues, to keep the lines of communication open and avoid unnecessary effects on serving the district’s student population. HR has included steps in its Annual Calendar to ensure that the procedures are followed for initi- ating the collective bargaining process. Refresher training needs to be provided when the district and its units embark upon the collective bargaining process when the current three-year contracts expire. HR continues to focus on providing training to the leadership team on how to address griev- ances at the lowest level. As well, HR has been providing training on evaluation of certifi cated and classifi ed staff and other components of contract management, and is scheduled to continue providing these training sessions regularly. 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 offi ce. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan to address Standard 1.1 that is consistent with the dis- trict’s plans to update all of the board policies. In response to Standards 4.1 through 4.6 in the operational area of Community Relations and Governance, the district had developed a detailed action plan for: (4.1) evaluating the existing board policies, provid- ing for staff and public input, and distributing new and revised policies and regulations; (4.3) initiating a process to identify missing policies that are legally required and policies that need updating, 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 indicate where district decisions/perspective are needed; (4.4) providing for regular policy updates using California School Boards Association (CSBA) Policy Service notifi cations; and (4.6) pro- viding for the annual readoption of policies. 2. In accordance with the Community Relations and Governance action plan involving Stan- dards 4.1 through 4.6, HR submitted the following priority policies for review by March 15, 2005: • 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 • Standard 3.13: Board Policy 4113 • Standard 5.4: Board Policy 4213 and 4213 • Standard 8.1: Board Policy 4131 3. The new policies were designed to be very brief and broad so that departments could use accepted district procedures and practices to determine the ultimate wording of the poli- cies. The Assistant Superintendent of HR made revisions to the priority policies and sub- mitted them for a fi nal review and for adoption by the Governing Board. 4. HR’s detailed action plan for this standard was revised and updated on October 12, 2006, and again on February 9, 2007. The action plan is contained in a binder that also serves as the policy and procedures manual for the HR policies. 5. In 2006, the board adopted eight new/revised HR policies. The following board-adopted HR policies have temporary numbers: Personnel Management 5 • Employee Safety (4000a) (New) • Decision Not to Rehire (4000b) (Revised) • Complaint Policy (4000c) (Revised) • Suspension/Disciplinary Action (4000d) (New) • Recruitment and Selection (4000f) (New) • Classifi ed Evaluation and Supervision (4000g) (Revised) • Management Evaluation and Supervision (4000h) (Revised) • Competence in Evaluation of Teachers (4000i) (Revised) On April 4, 2007, the board adopted the policy of Leaves for Personal Illness, Injury, and Related Conditions (4000i) (Revised). 6. The entire remaining 4000 series of board policies are still active and will be the subject of continuing policy review until completed. HR lists the policy review as a governance item in the HR Annual Calendar. 7. HR has developed a detailed procedure for board policy updates, which is included in the Operational Procedures Manual. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 Implementation Scale: 6 Personnel Management 1.2 Organization and Planning Professional Standard The district has clearly defi ned and clarifi ed roles for board and administration relative to recruit- ment, hiring, evaluation, and dismissal of employees. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 1.2 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was updated on September 22, 2006, and was most recently updated on March 9, 2007. 2. During 2006, the following board policies that delineate the role of the board and admin- istration in the recruitment, hiring, evaluation, and dismissal of employees were adopted by the Governing Board: • Decision Not to Rehire (4000b) (Revised) • Suspension/Disciplinary Action (4000d) (New) • Recruitment and Selection (4000f) (New) • Classifi ed Evaluation and Supervision (4000g) (Revised) • Management Evaluation and Supervision (4000h) (Revised) • Competence in Evaluation of Teachers (4000i) (Revised) 3. HR has developed job descriptions, procedures, and instructions that help clarify the roles of the Governing Board and the administration. The following documents assist in the delineation of the roles: • HR managers’ job descriptions • Job postings • Applicant screening documents/procedures • Interview rubrics and questions • Interview fi les • Exit questionnaires • Pre-employment Inquiry Do’s and Don’ts • HR—The Art of Hiring • Cooperative Organization for the Development of Employee Selection Procedures (CODESP) Contract—Development of Employee Selection Procedures • Annual Teacher Recruitment Plan Personnel Management 7 4. The procedures linking recruitment, evaluation, and discipline to board policies and col- lective bargaining are being increased as each of the managers and HR staff members continue the development of a detailed desk manual. 5. As of April 2007, HR has incorporated specifi c procedures into the ongoing develop- ment of its Operational Procedures Manual that detail the roles and responsibilities of the Governing Board and members of the administrative staff for recruitment, hiring and evaluation. The detailed procedure for employee dismissal has not yet been developed for the operational procedures but has been clearly delineated in the board policy enumerated above. Therefore, all elements of the standard are fully and substantially implemented and are sustainable. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 8 Implementation Scale: 8 Personnel Management 1.3 Organization and Planning Professional Standard The Personnel Department has developed a mission statement that sets clear direction for person- nel staff. The Personnel Department has an organizational chart and a functions chart that include the names, positions, and job functions of all staff in the Personnel Department. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 1.3 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on September 22, 2006. 2. HR has continued to work toward horizontal alignment with the other district depart- ments, but has gained agreement with the State Administrator that some of the functions within HR work better vertically. 3. The organizational chart remains fundamentally the same but was revised on February 1, 2007, to refl ect the appointment of the new Assistant Superintendent and the new Direc- tor, Secondary Human Resources. The organizational chart lists the backup person for each position in the department and also indicates the potential career path movement available in the organization. 4. The mission statement is: “The Mission of the HR Department is to provide the district with diverse and highly qualifi ed staff, and ensure their success by: facilitating, monitor- ing, directing, and coordinating effective and caring support services.” The mission state- ment is posted on the wall, on the HR Web page, and can be found in all of the individual desk manuals that are being developed. The mission statement is accompanied by the HR Vision and Guiding Principles. 5. The mission statement also appears on the HR white board that is dedicated to posting department activities, an inspirational message, birthdays, and any other pertinent infor- mation for the week. 6. Although the actual organization of HR has undergone change each year of the FCMAT review process, the organizational chart has been continually updated and published with each change, and the vision statement has been in place for over a year and is a part of each employee’s desk manual. It is also displayed on the white board of daily and weekly activities. 7. All elements of the standard are fully implemented, and have been sustained for a year. Personnel Management 9 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 8 July 2, 2007 Rating: 9 Implementation Scale: 10 Personnel Management 1.5 Organization and Planning Professional Standard The Personnel Department has a monthly activities calendar and accompanying lists of ongoing personnel activities to be reviewed by staff at planning meetings. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 1.5 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on September 22, 2006. 2. The Monthly Activities Calendar has been completed for all 12 months. It is organized into categories by month: Governance, Contractual (VEA & CSEA), Departmental Lead- ership, and Operations. Each month now also has a listing, by priority, of the activities that must be accomplished with additional detail. 3. Staff members reported using the calendar to manage their time, plan ahead, and understand their department colleagues’ activities. The operations group meets weekly, using a preprinted agenda that includes the discussion of issues that are on the calendar for that period of time. Copies of agendas are maintained that list the issues and signatures of the employees attending the meeting. The calendar is a dynamic document that will be revised as appropriate. 4. The Monthly Activities Calendar is also formatted to cross reference activities associated with the HR FCMAT standards. 5. The Monthly Activities Calendar is the basis for the HR Department’s white board that con- tains weekly activities. When questioned, staff can recall and discuss what is on the white board. The white board is up to date, and staff confi rmed again how helpful it is. In the new location, the white board is centrally located and easily visible as the staff does their work. 6. All elements of the standard are fully and substantially implemented and are sustainable. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 Implementation Scale: Personnel Management 11 2.1 Communications: Internal/External Professional Standard The Personnel Department utilizes the latest technological equipment for incoming and outgoing communications. Progress on Implementing the Recommendations of the Improvement Plan: 1. The public section of HR’s portion of the district’s Web site includes: • The HR Mission Statement and Vision Statement, with a listing of HR staff members and their job titles and phone numbers. E-mail addresses and the department’s func- tional directory should also be included here. • For prospective job applicants, a page with the application procedures and required documents. • A link to EdJoin, where the district’s vacant positions are listed. The district no lon- ger posts job openings on its own Web site, eliminating the manual process of keep- ing the postings consistent with EdJoin. HR uses EdJoin’s application process and no longer has a separate application on the district’s Web site. Applications are accepted through EdJoin or by mail, fax, or in person at the district offi ce. • A separate page advertising opportunities for substitutes. This page remains rather static since it has generic information on substitute positions and does not list all of the specifi c openings. This page should be linked either to EdJoin or to another page so that users can access the specifi c openings and job application process. • A set of the current salary schedules for all certifi cated and classifi ed positions. • A one-page summary of the health and welfare benefi ts available for active employees. • Job descriptions for child development, confi dential, and management positions, with a notation that the rest of the classifi ed and certifi cated positions will be posted as they are updated, reviewed, and approved. 2. The StaffNet portion of the Web site is for employees only, and HR has posted the fol- lowing information: • Standard forms needed by employees • Internal-only job postings • Current collective bargaining contracts • New employee orientation materials • More information on employee benefi ts • Maps for the schools 12 Personnel Management 3. The process to post updated or new information to the district’s Web site requires the review and approval of the State Administrator’s offi ce before going to the Information Technology Department; then the item is placed into a queue. This process has resulted in some information not getting posted in a timely manner. It is important to have a review process, but an abbreviated process would allow time-sensitive but routine information to be posted directly by the HR Department, such as an updated job description, which has been submitted through its own approval process, that is linked to a current job opening. 4. The HR Department is relying more on e-mail as a method for mass communication to departments and sites. Notices to all employees, however, may still need to be on paper, since not all employees have an e-mail address or access to a computer. These notices also should be posted to the StaffNet portion of the Web site so that employees can refer to them as needed. 5. EdJoin includes the capability to communicate with applicants via e-mail, and HR has been using this feature as the primary method of communication with applicants. 6. HR staff members continue to receive training on generating reports from the automated systems they use. Further, staff members report that they are able to generate the reports that are needed for the department and its customers, and at this point the training is focused on building upon their current abilities. The one major exception is the Notices of Assignment (NOAs) reporting, which occurs annually and for the fi rst time last year, so HR staff members are scheduled to be trained in time to generate the NOAs this summer. 7. Further training to assist staff with ad hoc reporting from the automated systems is in- cluded in the department training plan and should be implemented. 8. Customer service continues to be one of the subjects of focus in the HR staff meetings, and HR has sustained its past progress in the area of customer service. In addition, the move to the new building, particularly the new physical layout, has served to further improve the department’s customer service. All support staff positions are located in the same general area, consolidating what used to be two different service counters for classi- fi ed and certifi cated personnel. All walk-in customers can be viewed more easily by more HR staff members, who report that customers are served more promptly in the new con- fi guration. 9. HR has implemented a program of upgrading the software and capabilities of the com- puter work stations in the department and providing training to be able to use the department’s technology more effectively and effi ciently. The department has created an administrative procedure in its procedures manual that identifi es the Administrative Assistant as responsible for surveying HR staff members each year to determine any desktop software upgrades needed. 10. HR has completed archiving old documents into digital images and all staff members are trained on preparing documents for archiving as an everyday process. Staff members are also being trained on how to access the archived documents when necessary. The department plans to eventually obtain scanners so that digitizing of current documents can be done locally. Personnel Management 13 Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 Implementation Scale: 14 Personnel Management 2.4 Communications: Internal/External Professional Standard The Personnel Department staff is cross-trained to respond to client need without delay. Progress on Implementing the Recommendations of the Improvement Plan: 1. In keeping with the district’s horizontal organizational realignment plan, HR has com- bined like functions across its elementary and secondary sections to streamline activities and provide better and more consistent customer service. To organize the support func- tions in HR, the department created an Operations Manager position to which most of the support positions report. This has been in place for almost a year, and has been signifi cant in improving customer service, communications, cross-training, and effi ciencies, while supporting the elementary and secondary functions as needed. 2. The cross-training schedule continues to be followed, and cross-training has become an everyday function of the department’s operations section, the Secretary and Administra- tive Assistant positions. This is evident in the documentation of procedures, staff meet- ings, and training opportunities provided to staff members. 3. The department has designated a backup for each job position, and most staff members are comfortable that the critical functions of their positions can be covered in their absence. They, in turn, are comfortable covering the critical functions of the other posi- tions to which they are assigned. Additional focus needs to be applied in the areas of a) credentials, as this is very technical and evolving (e.g., No Child Left Behind), b) certifi - cated layoffs, and c) substitutes, as the main backup for this is a temporary employee. 4. Desk manuals continue to be relied on and updated as staff members are cross-trained, as newer staff members perform their new duties, and as duties are added or changed. 5. HR has established career paths for department positions, and should continue to rein- force with employees the requirements for advancement to the next step. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: Personnel Management 15 2.5 Communications: Internal/External Professional Standard The Personnel Department holds regularly scheduled staff meetings. Progress on Implementing the Recommendations of the Improvement Plan: 1. Since the last progress report, this schedule of staff meetings has continued in the depart- ment: • Weekly HR manager meetings. Although a number of these have been cancelled in recent months, the team meets at least biweekly. • Weekly meetings of the operations team and the Secretary and Administrative Assistant positions. This is the forum in which most of the day-to-day departmental activities are handled. • Monthly meetings of all staff members in the department. All of these meetings are forums in which to discuss priorities, scheduled activities, goals for the week, and long-term projects that are in progress, as well as to provide training opportunities, including cross-training. 2. HR staff members continue to indicate that they are adequately informed of important issues and activities occurring in the district and the department, and believe that they have adequate input on the department’s operations. 3. Overall, the important role of regular staff meetings has become evident to HR staff members, even though the meetings take time away from the duties on their specifi c desks. The department continues to make regularly scheduled staff meetings a priority, with formal agendas and meaningful discussion items. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 0 May 1, 2005 Rating: 6 November 30, 2005 Rating: 4 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: 16 Personnel Management 3.4 Employee Recruitment/Selection Professional Standard The Personnel Department has a recruitment plan that contains recruitment goals, including the targeting of hard-to-fi ll positions such as those in the areas of math, science, special education, and bilingual education. The district has established an adequate recruitment budget that includes funds for travel, advertising, staff training, promotional materials, and the printing of a year-end report, and that effectively implements the provisions of the district’s recruitment plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 3.4 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on September 22, 2006, and again on March 27, 2007. 2. For spring 2007, the Human Resources Department was given full responsibility for de- veloping the annual certifi cated recruitment plan. HR prepared the district Annual Teacher Recruitment Plan, which included the recruitment goals. The detailed time line in the plans covered: • Attracting Candidates • Reviewing and Revising Selection and Hiring Protocols • New Teacher Training and Induction 3. As of the April 2007 fi eldwork, district recruitment teams had participated in four outside recruitment fairs and sponsored one all-day internal recruitment fair at the district offi ce. Al- though this is a smaller number of job fairs than in the previous year, they were specifi cally targeted for math, science, English, and special education since declining enrollments had reduced the need for recruiting teachers in general elementary and some secondary subject fi elds. 4. In 2005-06, the budget for recruitment was $45,000. Much of that budget was used in developing the marketing tools for the fi rst time as well as traveling to many job fairs, since there was no baseline data regarding successful venues. The budget for recruitment for 2006-07 was set at $25,000, broken down as follows: • Mileage $1,500 • Registration, Food, Tolls, Parking, etc. $4,000 • Extra Services Agreements $3,500 • Reproduction $1,500 • Overtime Costs $3,000 • Supplies $1,500 • Marketing and Other $10,000 Personnel Management 17 In light of declining enrollment resulting in a need for fewer new teachers for 2007-08, this budget was judged to be more than adequate. 5. Six job fairs were scheduled as follows: • Saint Mary’s College—March 23, 2007 • Vallejo City Unifi ed School District Recruitment Fair—March 24, 2007 • California State University Sacramento—March 26, 2007 • Solano County Offi ce of Education Recruitment Fair—April 21, 2007 • California State University San Francisco—April 26, 2007 • Project Pipeline Recruitment Fair—June 23, 2007 6. Human Resources was able to use the block grant funds to provide teacher signing bonuses. 7. As part of the recruitment plan, the district established a fi nder’s fee program where a district employee would receive a $100 certifi cate to Home Depot if they referred a cer- tifi cated individual who was hired by the district. 8. Human Resources is tracking the data from each job fair, indicating the number of people who attended and the number of contingent offers made. At the internal fair alone, six contingent offers were made in hard-to-fi ll subjects, including one to a special education credentialed teacher for moderately-severely handicapped students. In addition, three long-term special education positions were fi lled by candidates hired at this job fair. 9. The Annual Teacher Recruitment Plan is the second comprehensive recruitment plan to be developed and implemented. Human Resources will have sustained all elements of this standard if the year end report is once again developed as part of the cycle. Evidence shows that appropriate data are being collected for the year-end report. 10. All elements of the standard are fully and substantially implemented and are sustainable. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005: 0 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 Implementation Scale: 18 Personnel Management 3.5 Employee Recruitment/Selection Professional Standard The district has developed materials that promote the district and community, are attractive, in- formative, and easily available to all applicants and other interested parties. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan to address this standard that states the critical actions to be taken, general time frame, the responsible department/persons, planned documentation, and percentage completed. The action plan was revised October 9, 2006. 2. The marketing and materials group developed the district’s Make a Difference brochure, which is dedicated to teacher recruitment. This brochure is extremely well done and cost approximately $12,000 to print. These brochures were updated for the spring 2007 recruit- ment season. 3. HR has developed a brochure called Inviting You to Consider Joining the Teaching Team in the Vallejo City Unifi ed School District. 4. There is a Beginning Teacher Support and Assessment (BTSA) brochure. 5. Other promotional materials include: • District postcard for interviews with prospective teachers • Recruitment e-mails • Recruitment Prospective Teachers Visitation e-mails and forms • District’s Key Messages for Prospective Teachers • Recruitment/promotional materials folder • Business cards 6. The Recruitment Specialist worked with other departments to develop fl yers specifi c to classifi ed jobs in areas such as transportation, para-educators, and substitute custodians. 7. According to the Annual Report, data indicate that the Internet is now a better recruiting tool than ads in newspapers and is beginning to have a broader impact than job fairs, par- ticularly for teacher candidates. The district is moving toward the universal use of EdJoin for applications and applicant tracking. This means that advertising and marketing strate- gies must move toward the Internet, although brochures and marketing materials remain a viable way to drive people to the Internet. The Make a Difference brochure is also avail- able as a PowerPoint automated presentation on the district’s Web site. 8. The district used an attractive full freeway billboard display to advertise the internal job fair as well as newspapers and radio ads. Personnel Management 19 9. The marketing materials have been in use and have undergone necessary revisions for over a year. All elements of the standard are fully and substantially implemented and have been sustained for a full school year. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005: 3 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 9 Implementation Scale: 20 Personnel Management 3.6 Employee Recruitment/Selection Professional Standard The district has identifi ed people to participate in recruitment efforts, including principals, dis- trict personnel, and others, as appropriate, and has provided them with adequate training to carry out the district’s recruitment goals. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has a detailed action plan for Standard 3.6 that includes critical actions to be taken, a time line for implementation, the responsible department/ person, planned docu- mentation, and percentage completed. The action plan was revised October 11, 2006. 2. For 2006-07 teacher recruitment, over 60 individuals were trained to be part of the recruitment teams. These individuals included site administrators, teachers, HR directors, and selected department administrators (such as special education). All of the secondary site administrators were trained. 3. The teacher recruitment team members went through a training session. Participants were given a folder that contained the following: • Purpose and Roles of Recruitment Team Members—Plan/Goals • District Recruitment Team Contact List • Recruitment Team Assignments for Scheduled Job Fairs • Key Messages for Prospective Teachers • Criteria for Selecting Candidates for Interviews at Recruitment Events • Recommending Teacher Candidates for Hire • Recruitment and Hiring Do’s and Don’ts • Recruitment Teams “Keep in Mind” • Criteria & Procedures Reviewed • Short Interview form/rating sheet for job fairs (general teaching and special educa- tion) • Recruitment Team/Fair Feedback form 4. While team members were assigned to attend the various recruitment fairs based upon need, all of the secondary school teams participated in the internal job fair where they set up tables marketing their school sites. Personnel Management 21 5. The district has been identifying and training recruitment teams for well over a year, and has continually expanded the number of individuals trained and available to participate in teacher recruitment and selection. All elements of the standard are fully and substantially implemented and have been sustained for a full school year. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005: 2 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 Implementation Scale: 22 Personnel Management 3.13 Employee Recruitment/Selection Legal Standard: The district appropriately monitors teacher assignments and reports as required under Education Code Section 44258.9. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has a detailed action plan for Standard 3.13 that includes critical actions to be taken, a time line for implementation, the responsible department/ person, planned docu- mentation, and percentage completed. The action plan was revised on October 11, 2006. 2. A consultant who was working with the district on various technology projects had reported that changes are planned for the CECC system in the credentials module that should eventually allow a more automated process for monitoring credentials in the district. Therefore, the district’s earlier plan to build a database bridge to Aeries had been set aside. This means, however, that the Credentials Technician continues to perform the internal au- dits by accessing the teacher assignments from Aeries and then conducting a hand match to the credentials report. As of April 2007, the work to monitor credentials in the district is still being accomplished using Aeries information and a manual match process. 3. During the early spring 2007, the Credentials Technician conducted a credential audit and notifi ed principals of possible misassignments. In some instance, the Aeries data had not been updated and the misassignment was thus not really a misassignment. In some cases, the principal corrected the misassignment, which was confi rmed by the Creddentials Technician. In a few other cases, the principal has not yet corrected the misassignment. 4. The president of the Vallejo Education Association worked on a 20% basis with HR to develop and implement a process to ensure that teachers meet the standards of being highly qualifi ed in accordance with NCLB. Approximately 750 teachers were identifi ed who required documentation of highly qualifi ed status. The district has approximately 98% in qualifi ed status (100% at elementary), and the project is being completed. 5. The district has initiated the use of EdJoin for recruitment and hiring, and, as part of the new process, candidates will have credentials checked by the Credentials Technician before they are eligible to be interviewed and selected by principals. This is an additional step toward ensuring that teachers in the district are properly credentialed. 6. A credentials audit of the entire district must remain an institutional priority, and HR needs support in ensuring that principals respond and correct misassignments as they are found. 7. All elements of the standard are fully and substantially implemented and are sustainable. Personnel Management 23 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 4 November 30, 2005: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: 24 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 classifi cations: substitutes, teachers, and classifi ed employees. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department continues to use the automated presentation for orientation sessions for both certifi cated and classifi ed employees, which helps to ensure a uniform and full orientation for each employee, as well as to orient employees in groups. 2. The department continues to provide an online training course on workplace safety that all new employees are required to complete. 3. Detailed orientation procedures have been completed and included in the desk manuals. 4. The substitute teacher and certifi cated employee handbooks have been updated. The fi rst version of the classifi ed handbook has just been printed. It does not include the orienta- tion packet for classifi ed employees, which will be included in the fi rst revision. The handbook has not yet been used for an orientation process or provided to employees. Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 7 Implementation Scale: Personnel Management 25 5.2 Operational Procedures Professional Standard Personnel Department non-management staff members have individual desk manuals for all of the personnel functions for which they are held responsible. Progress on Implementing the Recommendations of the Improvement Plan: 1. As reported in the last review, the desk manuals in HR contain some standard informa- tion, such as the HR Mission Statement and Guiding Principles, Department organi- zational chart and backup assignments, the Annual Calendar, a job description for the position, a table of contents, and defi nitions for acronyms and abbreviations that are com- monly used in HR. From there, each manual contains procedures specifi c to that desk, including procedures for using the technology involved (CECC, SEMS, EdJoin, etc.). 2. A current review of the desk manuals found them to be largely complete. In addition to the procedures themselves, most of the desk manuals contain information that is impor- tant but not in support of accomplishing a particular task. Examples of this includes: staff meeting agendas, staff meeting handouts, and historical correspondence. Each staff mem- ber should ensure that their desk manual contains only enough information for the “how to” part of accomplishing their duties. Any historical or background information, as well as staff meeting documentation that is not related to a particular procedure, should be fi led elsewhere. 3. Staff members appear to have internalized the importance of desk manuals, especially when training new employees or when backing up other functions in the department. They have begun to recognize that desk manuals will continue to be a work in progress, as they are for any organization, especially since procedures and technology continue to change and improvements are made in effi ciency. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 7 Implementation Scale: 26 Personnel Management 5.3 Operational Procedures Professional Standard The Personnel Department has an operation procedures manual for internal department use in order to establish consistent application of personnel actions. Progress on Implementing the Recommendations of the Improvement Plan: 1. As reported in the previous review, the Human Resources Division Services and Proce- dures Manual 2006-07, developed by the HR Department, contains the district’s goals, HR Mission Statement and Guiding Principles, HR Annual Calendar, HR personnel task listing, some defi nitions, and an alpha list of all department procedures. Each procedure is linked to board policy. 2. As in the last review, about half of the procedures identifi ed have been written up and in- cluded in the procedures manual. Based on a current review, this manual is approximately two-thirds complete. The last third includes adding more information to the completed procedures to specify the position in the HR Department that is responsible for the proce- dures. HR needs to continue to add to this manual and continue to include the linkage to board policy and the HR Annual Calendar as applicable. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 3 January 25, 2007 Rating: 4 July 2, 2007 Rating: 6 Implementation Scale: Personnel Management 27 5.4 Operational Procedures Professional Standard The Personnel Department has a process in place to systematically review and update job descriptions. These job descriptions shall be in compliance with the Americans with Disabilities Act (ADA) requirements. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 5.4 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on September 25, 2006. 2. Job descriptions have all been updated in a consistent format that includes: job title, work year (including hours per day and days per week for classifi ed jobs), exempt or nonexempt status, position type (certifi cated, classifi ed, supervisor, manager, and/or con- fi dential), pay range (monthly, weekly, or hourly as appropriate), a summary statement of duties, specifi c duties, knowledge/skills/abilities, and working conditions. The working conditions section has been revised to be consistent with the physical standards of the Workers’ Compensation system for each job. 3. All job descriptions have been completed and placed on the district’s Web site. However, the union challenged the classifi ed white collar job descriptions, which have temporarily been removed from the Web site until the meet and confer process with the union can be completed. Management, confi dential, and child development job descriptions remain on the Web site. 4. A procedure has been developed and implemented for continuous review and updating of job descriptions. The job descriptions have been indexed and dates of review and revision are being tracked. All elements of the standard are fully and substantially implemented and are sustainable. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005: 1 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 8 Implementation Scale: 28 Personnel Management 5.5 Operational Procedures Professional Standard The Personnel Department has procedures in place that allow for both personnel and payroll staff to meet regularly to solve problems that develop in the processing of new employees, classifi ca- tion changes, and employee promotions. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR and Payroll staff members continue to hold monthly meetings with formal agendas, which include: upcoming deadlines, changes to procedures (documented by each person in their desk manuals) and other discussion items. Particular emphasis continues to be on coordinating employee leaves of absence and leave balances. The meetings include a core group of HR and Payroll staff members, augmented by other staff when particular sub- jects will be discussed, such as Workers’ Compensation or credentials. 2. The meetings between HR and Payroll have resulted in a number of procedures being documented, and should continue to be a mechanism to support the development of desk manuals and HR’s procedures manual. The interdepartmental procedures have been iden- tifi ed in the HR procedures manual, so these meetings should continue to be a way to document and update those procedures, including time lines and designating the respon- sible party for each step. This process should also help to ensure consistent interpretations of policy and bargaining unit contract provisions between departments and over time. 3. HR and Payroll staff members have attended the same training sessions, such as a work- shop on the Family Medical Leave Act and county training on how to bring the position control system into the new fi scal year. HR should continue to encourage its staff mem- bers to participate in training sessions with Payroll staff as their responsibilities interface. 4. At the time of the last progress review, the rest of the risk management functions had shifted to the Business Division, so now all risk management functions are contained in that divi- sion. This has served to better delineate the duties between the HR and Business divisions. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 0 May 1, 2005 Rating: 5 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 Implementation Scale: Personnel Management 29 5.8 Operational Procedures Professional Standard Personnel staff members attend training sessions/workshops to keep abreast of the most current acceptable practices and requirements facing personnel administrators. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has developed a detailed action plan for Standard 5.8. The plan includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The plan was revised October 16, 2006. 2. The detailed action plan includes an assessment of the HR nonmanagement staff to deter- mine the need for training in areas to include, but not be limited to, understanding of and profi ciency with the CECC system, other database tools, customer service, recruitment/ selection, testing procedures, credentialing, Workers’ Compensation, retirement systems, and collective bargaining. HR has been working with the Business and Technology departments, the Solano County Offi ce of Education, CODESP, and other identifi ed pro- viders of training and workshops. 3. HR has developed a written Human Resource—Staff Development Plan, which lists the name of the person/position, the task areas, and the training needed. The plan was devel- oped in August 2006 and revised in October 2006. 4. HR has created a listing of the professional development planned for all staff members for 2006-07, including the type and source of the staff development, the department em- ployees who will attend, and the dates. Purchase orders document that the plans are being followed. 5. HR continues to consider its own internal meetings and meetings with other departments, as well as meetings resulting from horizontal alignment projects, to be professional devel- opment for participating staff members. These are all viewed as ways to gain information regarding how the district functions. 6. Based on a review of the purchase orders for workshop registrations, the following train- ings and professional development sessions have been attended by HR staff members: • CalPERS Educational Forum • Center for Collaborative Solutions • CODESP • Lozano Smith, Attorneys at Law, Labor Law Consortium • Miller, Brown & Dannis Legal Consortium • eSchools Solutions, Inc. 30 Personnel Management • Solano County Offi ce of Education • Workers’ Compensation Hearings—Techniques and Strategies • Management of Employee Benefi ts Workshop • Offi ce Ergonomics Workshop • CalPERS Workshop—Solano County Offi ce of Education • ACSA Personnel Academy • VIPS Training • Managing Emotions Under Pressure • Managing Multiple Projects, Objectives and Deadlines • Human Resources for Professionals Who Have Recently Assumed HR Responsibilities • BTSA Induction Credentials “101” Workshop • Credentials Analysts of California (CCAC) Conference • CalPERS Educational Forum • ACSA’s 2006 Annual Conference • ACSA Personnel Institute • Business Writing Skill Workshop • Education Law Seminar • Collective Bargaining Summit 7. HR staff reports continuous training on the CECC system. 8. HR has subscribed to publications as a means for staff members to remain current with HR issues, including: • Miller, Brown & Dannis Law Alerts • ACSA HR Best Practices • National Association of Educational Negotiators (NAEN) materials • Thomas West • EEOC Posters • CODESP Newsletters 9. All elements of the standard are fully and substantially implemented and are becoming sustainable. Personnel Management 31 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 3 May 31, 2006 Rating: 5 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: 32 Personnel Management 5.10 Operational Procedures Professional Standard Established staffi ng formulas dictate the assignment of personnel to the various sites and programs. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district was able to successfully negotiate an agreement with its certifi cated employee bargaining unit to relax some of the requirements on class sizes, student contacts, and cus- todial services. This should continue to be pursued to provide more fl exibility with staffi ng and to assist the district with its fi nancial recovery. 2. The certifi cated staffi ng worksheets for all schools for 2007-08 have been completed, and at the time of this review, the staffi ng meetings were being held. The district has continued to involve those who prepare the enrollment projections, along with business, HR, and instruc- tional staff, with each school principal in determining the staffi ng for the next year. 3. Staffi ng formulas for custodians, clerical support at schools, campus supervisors, and site administrators are in place. 4. The certifi cated and classifi ed staffi ng formulas, as well as district initiatives such as more intervention classes at the middle schools, are being used to determine appropriate staffi ng levels at school sites and necessary layoff actions. At the time of this review, the certifi cated layoff administrative hearings were in progress and the district was preparing its classifi ed layoff information to go to the board. The district has continued this year to be on track with the time lines as required by law. 5. The district needs to determine other positions where staffi ng formulas could apply and develop them. The district should also compare its formulas with those of similar dis- tricts. The formulas should then be incorporated into Board Policies and Administrative Regulations, and should be reviewed annually for staffi ng adjustments. 6. The staffi ng formulas developed should specify the number of full-time equivalent (FTE) positions (daily work hours and number of days per week) to be allocated, as well as the length of the work year, so there is consistency between sites and so the work year match- es the workload. 7. The district needs to formalize and implement a process for adjusting staff to enrollment midyear to help keep pace with its declining student population. Personnel Management 33 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 6 November 30, 2005 Rating: 7 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: 34 Personnel Management 7.1 Use of Technology Professional Standard An online position control system is utilized and is integrated with payroll/fi nancial systems. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department continues to refl ect these items in its detailed action plan for this standard: • Move CECC from two different platforms to one, to integrate position control. This would relieve the administrative burden and the issues with the manual processes and reconciliations needed to keep the databases in sync. The district should proceed with this as soon as the applications are completed by the consortium and tested. • Automate leave accruals and the personnel requisition process when CECC is up- dated to automate the Personnel Action Form (PAF) module. Leave accruals are automated, but the leave usage is still posted manually by Payroll staff based on time sheets. The district should implement automated PAFs and automated leave usage posting (which would require automation of time sheets or an interface from the sub- stitute management system) as soon as those modules are available and tested. The district is considering an interim option that may provide some of this functionality using FileBound software’s e-forms. • In the meantime, by dedicating staff members in HR and Payroll to focus on employ- ee leaves, and by investing considerable time, focus, and effort, the district is able to keep current with the manual posting of employee leave usage. This is a signifi cant improvement, and is an effort that needs to remain a priority. • Determine if an appropriate audit trail exists within the CECC system once the upgrade is completed. Recommendations to improve the audit trail should be made to the county offi ce of education through the user group to eliminate any system loopholes, especially since this area relates to internal controls and could cause audit fi ndings if audit trails are not appropriately kept. • Designate users to attend CECC system user meetings and training sessions. This continues to be accomplished, as HR staff members have regularly been attending user meetings and training sessions as they become available, and along with Busi- ness Offi ce staff when appropriate. This is also in the HR Department’s training plan. • Prepare procedures for each staff member entering data to audit his/her own data before moving to the next step of the process. This function has been accomplished as HR staff members have documented the current processes in their individual desk manuals. These processes will need to be updated as new modules of the system are implemented. • Refi ne workfl ow processes, including identifying those no longer needed. As part of the functions of preparing the department’s operational procedures manual, prepar- ing individual desk manuals, and training new HR staff members, the department has largely been able accomplish this. Personnel Management 35 • Control FTE allocations by site. The HR Department continues to be an important contributor to the district’s process to manage FTE allocations by site, as evidenced by the enrollment planning and meetings for 2007-08 participated in by staff mem- bers from the State Administrator’s offi ce, the instructional division, the Business Offi ce, school sites, and HR, once again this year. The district should continue its investment of time and effort in this process in the future, as it drives a very signifi - cant portion of the district’s staffi ng plan and budget. • Provide for automatic payroll and hiring notifi cation when fi nal approvals are com- plete. This should be included in the automation of the PAF process when that is implemented. 2. The district has completed the implementation of all positions in the position control sys- tem. One of the most signifi cant issues that remains, however, is that there are no payroll encumbrances. There are assurances that the system will include this function, but no time line has been provided. Since this is an important component of managing staffi ng and budget control, the district should continue to pursue the modifi cation of the system to include it. 3. A test version of the CECC system has been set up and is available at the COE for train- ing. The district should work with the COE to establish a separate test version of the sys- tem that can be accessed by the districts so that users can test scenarios in the software. In addition, before more conversions of data are made (such as when the new benefi ts or PAF modules are integrated), users should be able to convert a sampling of data into the test system, verify that the data is correct and that the system functions appropriately using the data, and that users of the system can maintain the data. 4. HR and Business both prepare information on deadlines and time lines for internal use, and in the past there has been no combined effort to prepare and coordinate informa- tion before sending it to other departments and sites. Both departments have developed a schedule of requirements and deadlines for information from school sites and depart- ments, and this schedule is reviewed at the regularly scheduled Payroll/HR meetings, along with the internal schedule of deadlines. Training should be provided and managers held accountable for meeting deadlines and for providing complete and accurate informa- tion to HR and Payroll. 5. HR and Payroll have been working together to establish procedures and guidelines for employee leaves, including how they are designated within the system. Training is sched- uled for all managers on how and when to report on employee leave situations. 6. The district should determine whether tally sheets are still needed, and, if not, eliminate their use and the stipend that goes with them. 7. The HR Department is responsible for issuing the Notices of Assignment (NOAs) that will be generated in preparation for next year. The HR staff members involved are aware that this project is approaching, and they will need training and preparation. A list of fre- quently asked questions has been developed for employees to refer to when they receive their NOAs. HR plans to continue issuing these each year until the state auditors elimi- 36 Personnel Management nate the requirement; however, this process should continue. The NOA would serve as an annual contract for employment since it requires an employee signature and return to HR. 8. The seniority listings generated by CECC were verifi ed by manual calculations and then relied on for the layoff process. The positions determined to be eliminated were removed from the position control system by the Business Offi ce and then verifi ed by the HR department. This process has ensured that the positions acted upon by the board and State Administrator have been removed from the district’s staffi ng plan and position control system. The district imposed a hiring freeze of classifi ed positions earlier this spring, which provided more vacant positions for bumping into, and allowed the district to mini- mize the impact of layoffs on existing employees. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 Implementation Scale: Personnel Management 37 7.3 State and Federal Compliance Professional Standard The certifi cated and classifi ed departments of the Personnel Department have an applicant track- ing system. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR continues to follow its detailed action plan for this standard, including: • Reorganize HR and create a Recruitment Specialist position. This was accomplished as of the last review. • Develop and maintain a spreadsheet to track applicants. As of the last progress report, an Excel spreadsheet had been developed and continues to be used until the full applicant tracking capabilities available within EdJoin are implemented. • Use a Web-based application for applicant tracking. As mentioned above, HR is im- plementing EdJoin applicant tracking. Some managers have already been trained on accessing and screening applications online, which appears to be working well. HR still receives some applications on paper, and the plan to get all applications submit- ted electronically should be fulfi lled when a kiosk with a scanner is made available in the HR offi ce for walk-in applicants. HR also plans, where possible, to provide access to EdJoin at job fairs so applications can be completed online at that time. • Download applicant tracking data to CECC if this is determined to be more effi cient than entering data manually for new hires into CECC. • Pursue implementation of fully Web-based applicant tracking in CECC. While it would be best to have fully integrated HR database functions, the module still has to be developed and there have been no discussions to include it among the other modules planned for CECC. Implementing EdJoin and providing an automated interface (if it is cost benefi cial) should be suffi cient until there is a fully integrated CECC solution. • Train staff on the use of the applicant tracking system. HR staff members have been trained on the use of the new EdJoin applicant tracking system and are preparing for implementation. Some hiring managers have received training on the viewing and screening of applications online, and the other managers will be trained when the system is fully implemented and paperless. 38 Personnel Management Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 Implementation Scale: Personnel Management 39 7.5 State and Federal Compliance Professional Standard The Personnel Department has computerized its employee database system including, but not limited to: credentials, seniority lists, evaluations, personnel by funding source, program, and location, and Workers’ Compensation benefi ts. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department continues to pursue its detailed action plan to address this standard, which includes: • Fully integrate employee benefi ts, position budgeting, HR, and payroll on the same CECC platform. This is dependent on the modules being made available in CECC and then appropriately tested. HR should continue to pursue this to eliminate manual reconciliation processes and improve the accuracy and timeliness of the data (see Standard 7.1). • Research options to interface the employee attendance and substitute assignments in the substitute calling system to CECC. This is not currently available in CECC, so HR plans to move to a Web-based substitute and leave reporting system (SmartFind Express), which all employees will be required to use to report their absences. This system will also include an automated interface to CECC to feed the payroll process and update employee leave balances. This should save signifi cant staff time in enter- ing employee leave usage and substitute information into the payroll system, as well as in the current manual posting of leave usage to employee records. It should also provide a reconciliation of employee-reported leave to substitute usage, which the district should continue on a manual basis until the new system is implemented. • Fully automate leave accrual and usage in the CECC system. Normally this would require automation of time sheets, and the district is considering using FileBound software. In the meantime, converting to the Web-based leave reporting and substi- tute system mentioned above, with an automated interface to CECC, will accomplish much of what is needed to streamline payroll and keep employee leave balances up to date. • Provide training to maintain the system. HR continues to make training a high prior- ity for its staff members. Training has been offered and completed on the new Smart- Find Express system, rolling over and preparing for the next year in CECC, generat- ing CECC reports, and Monarch reporting, along with regular participation in CECC user group meetings. • Scan and upload documents into a digital storage system, including providing train- ing on how to access the records. As of the last progress report, HR had begun archiving HR documents in a digital format through the services of the SoftFile Company. HR staff members who need access to these documents have now been trained on the retrieval system. The scanning of documents is now in maintenance mode, where HR staff members as a part of their regular duties are preparing docu- ments for scanning as the need arises to archive them. The plan is to eventually 40 Personnel Management acquire scanners so that the digitizing of current documents can become part of an everyday process. • Continue downloading data from CECC to Excel as needed to perform analyses. HR has continued to use this process for analysis and for some forms of management reporting. • Research the value of integrating the Workers’ Compensation data with the rest of the system. This has been completed, and the HR Department has determined that integrating the Workers’ Compensation data into CECC is not feasible, since the district has been using a software package specifi cally to handle Workers’ Compen- sation data and cases, and CECC does not provide most of the data and functionality. Until CECC does have the functionality, the district should provide an automated interface between the two systems to eliminate the duplicate data entry and the errors that can occur from such a process. • Provide an annual NOA to every regular employee of the district, requiring feedback and corrections from employees. This was completed for the fi rst time in January 2006, and then again in advance of each employee’s fi rst paycheck for the 2006-07 school year. HR is responsible for ensuring that the NOAs for 2007-08 are generated, verifi ed, and returned (see Standard 7.1). 2. The HR Department’s new Operations Manager position has been designated as the tech- nology liaison with the internal Information Technology Department and the COE. This is helpful to the HR Department for coordinating and focusing on technology use, new technology development, and technology training for department staff. 3. The district has taken steps to automate the combination of data between the student sys- tem and the CECC system to produce CBEDS data, as well as to provide information for the credentials audit. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: Personnel Management 41 8.1 Staff Training Professional Standard The district has developed a systematic program for identifying areas of need for in-service train- ing for all employees. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 8.1 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on September 26, 2006, and again on March 15, 2007. 2. One of the district’s goals is building capacity to sustain the achievement, fi scal, and school climate improvements when local control is regained. Professional development for all employees is viewed as essential to the vision of regaining local control and build- ing capacity. Professional development is decentralized; each division leader is respon- sible for ensuring that professional development occurs for the staff of that division. That is, no one department controls the assessment, planning, and delivery of professional development. 3. The Academic Accountability and Achievement Division has developed and maintains the VCUSD Instructional Plan, which contains all of the professional development activi- ties associated with improving academic achievement, for the district’s certifi cated teach- ers. The plan also contains most of the professional development activities for site admin- istrators associated with improving academic achievement. 4. Beginning in 2006, HR and the Business Offi ce have held a joint monthly meeting with site administrators. HR and the Business Offi ce have used this time, as well as additional time at the leadership team meetings, to provide professional development associated with the operational aspects of school leadership. To date, HR has provided evaluation training, due process and discipline training (FRISK model), and contract administration training. 5. The Information Technology Department offers classes for clerical personnel in software technology use. 6. Documentation included evidence of job-specifi c training in departments such as Maintenance and Operations, Information Technology, Business Operations, and Human Resources. 7. HR initiated and maintains an online calendar (www.vallejo.k12.ca.us/calendar) that all departments may use to post professional development activities and major meet- ings for the year. The calendar shows substantial use, although it does not contain all of the professional development activities and does not include individual activities (e.g., the Credentials Technician attending the Commission on Teacher Credentialing creden- tials workshops). 42 Personnel Management 8. There is a vast array of clear evidence that professional development is a mandate of the State Administrator for all levels of staff in the district. Since there is no single point of responsibility associated with professional development across all types of employees, it cannot be stated that there is a systematic program for identifying areas of need for in- service training for all employees. Standard Implemented: Partially November 1, 2004 Rating: 0 May, 2005 Rating: 1 November 30, 2005: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 5 Implementation Scale: Personnel Management 43 8.5 Staff Training Professional Standard The district provides training for all management and supervisory staff responsible for employee evaluations. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a plan for Standard 8.5 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percent- age completed. The action plan was revised on October 9, 2006. 2. During the annual August retreat for administrators, HR staff members provide a presen- tation to principals on the evaluation of teachers. They deliver a packet that contains: (1) a description of the teacher evaluation process, including who should be evaluated and how often, in accordance with the Vallejo Education Association contract; (2) a copy of the VEA contract language; (3) an evaluation time line for the current year; and (4) the forms for completing the evaluation process. 3. HR has developed a handbook for classifi ed and certifi cated employee evaluations titled: The School Administrator’s Guide to Conducting Effective and Meaningful Evaluation. This handbook was distributed to the management team at the October 26, 2006, leader- ship meeting. 4. Although the evidence suggests that the site administrators are receiving, at minimum, annual training regarding certifi cated evaluations, it is not clear that all of the other man- agers and supervisors are receiving training or that there is focus, other than the hand- book, on training to evaluate classifi ed personnel. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005: 2 May 31, 2006 Rating: 4 November 30, 2006 Rating; 5 July 2, 2007 Rating: 5 Implementation Scale: 44 Personnel Management 8.6 Staff Training Professional Standard The district provides training opportunities to managers and supervisors in leadership develop- ment and supervision. Training topics might include interpersonal relationships, effective super- vision, confl ict resolution, cultural diversity, gender sensitivity, and team building. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 8.6 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. This detailed action plan was revised on October 9, 2006, and again on March 15, 2007. 2. Regularly scheduled district leadership meetings include formal and informal training on leadership-related skills and special topics related to managing. Examples of leadership topics from the leadership team meetings include, but are not limited to: Rights and Re- sponsibilities, The 8 Elements of Sustainability, and The Attributes of Leadership. 3. In January 2006, the leadership team received training to address sexual harassment and confl ict management. 4. Human Resources also sponsored training in contract management and avoiding litigation land mines and grievances. 5. While training has been provided each year, there does not appear to be a long-range plan for this type of training to continue. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 1, 2004 Rating: 1 May 31, 2006 Rating: 2 January 25, 2007 Rating: 5 July 2, 2007 Rating: 5 Implementation Scale: Personnel Management 45 8.7 Staff Training Professional Standard The district develops handbooks and materials for all training components. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed plan for Standard 8.7 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on October 17, 2006. 2. HR has developed a handbook for classifi ed and certifi cated employee evaluations titled: The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. This handbook was distributed at the October 26, 2006, leadership meeting. 3. The FRISK Handbook—Practical Guidelines for Evaluators in Documenting Unsatisfac- tory Performance has been purchased. 4. HR developed a New Employee Handbook—Certifi cated that is part of the new employee orientation induction/training process. 5. HR developed a Substitute Teacher Informational Handbook and is initiating a project to expand it into a substitute training program and handbook. 6. On October 5, 2006, HR held a training session on processing grievances and provided a handbook, Responding to Employee Grievances: A Public School Administrator’s Guide. 7. As training and staff development workshops continue to be designed, the materials for them should include handbooks or materials that the participants can use on the job. 8. While some professional development results in written guides and procedures, it is not apparent that this will always be a systemic outcome. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005: 0 May 31, 2006 Rating: 1 January 25, 2007 Rating: 5 July 2, 2007 Rating: 5 Implementation Scale: 46 Personnel Management 9.1 Evaluation/Due Process Assistance Professional Standard The evaluation process is a regular function related to each employee and involves criteria related to the position. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 9.1 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on October 17, 2006. 2. Board policies that set the foundation for employee evaluations have been reviewed, revised, and adopted by the board. These policies are: • Classifi ed Evaluation and Supervision (4000g) • Management Evaluation and Supervision (4000h) • Competence in Evaluation of Teachers (4000i) 3. HR developed a handbook for classifi ed and certifi cated employee evaluations titled: The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. This guide was distributed to the management team at the October 26, 2006, leadership meet- ing and contains evaluation standards and criteria related to classifi ed or certifi cated posi- tions and the evaluation forms for assessing performance. 4. HR has developed and implemented tracking procedures using the CECC system and Excel spreadsheets to ensure that every employee is evaluated on the appropriate evalua- tion schedule. 5. Human Resources has been following up with reminders to managers regarding the 2006-07 time line for evaluation completion. If managers fail to submit evaluations by the deadlines, their names will be placed on a list that the Assistant Superintendent of HR will take to the State Administrator. 6. All elements of the standard are fully and substantially implemented and are sustainable. Personnel Management 47 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005: 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 Implementation Scale: 48 Personnel Management 9.2 Evaluation/Due Process Assistance Legal Standard: Clear policies and practices exist for the written evaluation and assessment of classifi ed and cer- tifi cated employees and managers (E.C. 44663). Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 9.2 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on October 17, 2006. 2. The following board policies that provide the foundation for written employee evalua- tions were revised and adopted by the Governing Board: • Classifi ed Evaluation and Supervision (4000g) • Management Evaluation (4000h) • Competence in Evaluation of Teachers (4000i) 3. The VEA and CSEA collective bargaining agreements contain detailed evaluation proce- dures, time lines, content, and forms for the written employee evaluations. 4. HR notifi ed all managers of the employees requiring evaluations during the 2006-07 school year. HR is following up and monitoring submission of both classifi ed and certifi - cated evaluations. Failure to evaluate an employee will result in the manager’s name being submitted to the State Administrator. 5. All elements of the standard are fully and substantially implemented and are sustainable. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 Implementation Scale: Personnel Management 49 9.3 Evaluation/Due Process Assistance Professional Standard The Personnel Department provides a process for the monitoring of employee evaluations and the accountability reporting of their completion. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 9.3 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised on October 10, 2006. 2. HR created an automated system using CECC to generate reports of certifi cated evalua- tions that have not been completed on time. 3. HR developed a certifi cated evaluation workbook in Excel for each principal, listing the names of the teachers and their evaluation status, including teachers that are overdue, teachers in Highly Qualifi ed Teacher status (enabling an altered evaluation schedule), and teachers in the A or B process according to the collective bargaining agreement. Remind- er e-mails are sent by both the elementary and secondary directors as due dates approach. 4. HR has developed and maintained a spreadsheet showing the status of classifi ed employees’ evaluations for the last three years. Lists of classifi ed employees to be evalu- ated in 2006-07 have been distributed to supervisors. Reminder e-mails are sent to super- visors as due dates approach. Reminder e-mails are also sent to supervisors of classifi ed employees who are in probationary status and are required to have a three-month and a six-month evaluation. During this cycle, HR identifi ed a discrepancy in the lists due to the way the report was run. The report was corrected, which added names to the list. 5. The blank evaluation forms have been submitted to the Web Master to be included under the forms section of the HR Web site. 6. The Assistant Superintendent Human Resources plans to contact administrators who do not submit their evaluations by the May 20, 2007, deadline. If the Assistant Superinten- dent is unsuccessful in obtaining the evaluations, he will submit the names of the admin- istrators to the State Administrator. 7. All elements of the standard are fully and substantially implemented and are sustainable. 50 Personnel Management Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005: 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 Implementation Scale: Personnel Management 51 9.4 Evaluation/Due Process Assistance Professional Standard The Personnel Department has developed an evaluation handbook and provided due process training for managers and supervisors. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 9.4 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percent completion. The action plan was revised on October 17, 2006. 2. Principals were provided four training sessions in 2005-06 regarding certifi cated evalu- ations. These sessions included instructions on writing objectives and communicating them, observation and post-observation conferencing, and identifi cation of pertinent stu- dent behaviors. 3. HR has developed a handbook for classifi ed and certifi cated employee evaluations titled: The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations, which was distributed to the management team at the October 26, 2006, leadership meet- ing. 4. The district has purchased the FRISK Handbook—Practical Guidelines for Evaluators in Documenting Employee Performance, which was used in a training session for adminis- trators in August 2006. 5. HR will provide training annually during the August administrators’ retreat. 6. All elements of the standard are fully and substantially implemented and are sustainable. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 8 Implementation Scale: 52 Personnel Management 9.5 Evaluation/Due Process Assistance Professional Standard The Personnel Department has developed a process for providing assistance to certifi cated and classifi ed employees performing at a less than satisfactory levels. Progress on Implementing the Recommendations of the Improvement Plan: 1. HR has a detailed action plan for Standard 9.5 that includes critical actions to be taken, a time line for implementation, the responsible department/person, planned documentation, and percentage completed. The action plan was revised as of October 17, 2006. 2. Board policies that set the foundation for employee evaluations have been reviewed, revised, and adopted by the board. These policies are: • Classifi ed Evaluation and Supervision (4000g) • Management Evaluation and Supervision (4000h) • Competence in Evaluation of Teachers (4000i) 3. HR has developed a handbook for classifi ed and certifi cated employee evaluations titled: The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations. The guide was distributed to managers at the October 26, 2006, leadership meeting and contains guidance for the development of effective improvement plans for certifi cated employees and evaluation and progressive discipline for the classifi ed employees. 4. The district has purchased the FRISK Handbook—Practical Guidelines for Evaluators in Documenting Employee Performance, which was used in a training session for adminis- trators on August 10, 2006. 5. In accordance with the VEA Collective Bargaining Agreement (Article 15), the district maintains a Peer Assistance and Review (PAR) Program to assist certifi cated employees who are performing at less than satisfactory levels. 6. HR assistance is provided to site or department managers upon request. This may include training site staff or providing the format for remediation plans. 7. All elements of the standard are fully and substantially implemented and are sustainable. Personnel Management 53 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 5 July 2, 2007 Rating: 8 Implementation Scale: 54 Personnel Management 11.1 Employer/Employee Relations Professional Standard The district has collected data that compare the salaries and benefi ts of its employees with dis- tricts of similar size, geographic location, and other comparable measures. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department continues to follow the detailed action plan for this standard, includ- ing the following components: • Continue to collect updated information to compare the district’s compensation and other data to other districts based on their size, location, funding, and type. This has been included in the HR Annual Calendar, to be accomplished in November each year. • Collect copies of bargaining unit agreements from the comparable districts. Language from other districts’ contracts was used to develop the district’s initial proposal to the certifi cated bargaining unit for the negotiations completed in 2005 (see Standard 11.4). HR has added this to its annual calendar, to be completed in November each year. • 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 benefi ts. During the last negotiations, the district pre- pared these materials for the certifi cated bargaining unit, using a statewide database. Information on health and welfare benefi ts for both certifi cated and classifi ed em- ployees was collected and used as a key component in the negotiations completed in 2005. The district participates in a countywide survey of salary and benefi ts informa- tion to regularly provide comparative data among the districts. This has been added to the HR Annual Calendar, to be done in November each year. • Add staffi ng 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 November 30 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 Implementation Scale: Personnel Management 55 11.2 Employer/Employee Relations Professional Standard The Personnel Department involves site-level administrators in the bargaining and labor relations decision-making process. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department continues to follow its detailed action plan for this standard, which provides for: a. Involving administrators in the development of proposed language for the certifi cated bargaining unit contract. In preparing for its latest contract negotiations, the district held a number of meetings involving administrators, and used the results of a survey of administrators to estab- lish priorities and proposed changes to the contract. This input was used in develop- ing the language contained in the district’s initial proposal. The district also had several representatives from management on the negotiating team. The district con- tinued to keep the rest of the leadership team informed throughout the negotiating process as revised proposals were discussed at the bargaining table. Once the negotia- tions were completed, the district disseminated information on the general results of the negotiations process. b. Soliciting input from administrators and managers in the development of the district’s proposal to the classifi ed bargaining unit. This was done by way of a survey to all managers for use in developing the initial proposal to the classifi ed bargaining unit in March 2005. As discussed under (a) above, the leadership team was kept informed throughout the negotiations process. c. The successor agreements have been fi nalized and printed, and made available to each member of the leadership team. The HR Department should provide training so that the leadership team can make 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; and language that is unworkable or creates a barrier to quality education and/or effective and effi cient district operations. HR has begun this training with the evaluation process, the FRISK documentation model, and responding to grievances. Additional train- ing sessions are scheduled for the rest of this year and during this summer to address other contract management components. d. HR staff gathering implementation notes from all leadership team members on or before December 31 of each year and using this information to assist with crafting reopener or successor contract language. e. HR staff meeting with members of the district negotiating teams to review the sugges- tions and draft reopener language or proposals for successor agreements. 56 Personnel Management f. At the February meeting of the leadership team, HR staff engaging administrators in a critique of the draft language. g. In collaboration with Fiscal Services, HR staff analyzing the fi scal impact of the pro- posed language. h. Using feedback from the above steps, HR staff preparing a proposal to sunshine no later than the second board meeting in February for the certifi cated bargaining unit and March for the classifi ed bargaining unit. i. Ensuring that these steps are taken in preparation for each negotiations cycle by includ- ing the steps and dates in the HR Annual Calendar. This has been completed, as all of the above steps are included in the appropriate months of the HR Annual Calendar. 2. All of the above steps were included to some degree in the most recent negotiations pro- cess, which resulted in the successor agreements. Now that these agreements have been completed and include years with no reopeners, items (d) through (h) above will not be necessary during those particular years. The district needs to ensure that this process is followed during the years when proposals will be prepared and sunshined. The HR Department has planned for this by including these key steps in its Annual Calendar, as specifi ed in item (i) above. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 Implementation Scale: Personnel Management 57 11.3 Employer/Employee Relations Professional Standard The Personnel Department provides all managers and supervisors (certifi cated and classifi ed) training in contract management with emphasis on the grievance process and administration. The Personnel Department provides clearly defi ned forms and procedures in the handling of griev- ances for its managers and supervisors. Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department continues to follow its 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 training has not yet been completed in a comprehensive manner, but with the focus of HR and Payroll staff members on the leave of absence process and leave balances, school sites, and departments have become more cognizant of the need to notify HR or Payroll as soon as an employee leave situation occurs. Training on the evaluation and discipline of classifi ed employees will be provided on an annual basis. This occurred at last summer’s leadership team meeting, using the FRISK model and manuals. All of the leadership team members have the FRISK manual, and refresher training is planned for each summer’s leadership team summit. b. Training will be provided to the leadership team at the start of each school year on the certifi cated employee evaluation process. This training was provided, in the context of the new horizontal alignment of the district organizational structure, at the leadership team retreat held in August 2005, and then additional segments of the training have been provided in several sessions since that time. This training will also continue to be provided at each summer’s leadership team summit. In addition, HR prepared and distributed the “Administrator’s Handbook for Evalu- ation,” which includes contract language and other information on evaluation for both certifi cated and classifi ed employees. This handbook is being updated to refl ect NCLB provisions, as well as other new developments, in preparation for the leader- ship team annual meeting this summer. Refresher training is planned for each sum- mer. c. Training on the grievance procedures for both certifi cated and classifi ed employees was provided to the leadership team in each of the last two years. The district needs to make a concerted effort to continue to provide the necessary guidance and tools to site administrators to address grievances at the lowest level possible. d. 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 defi ned forms and procedures for the handling of grievances. Since the successor agreements have been in place, the training that has occurred has 58 Personnel Management been as discussed above, focusing on grievances and evaluations. As future agree- ments are negotiated, training must be scheduled to address any components of the contracts that managers need to be aware of that have been modifi ed. e. Purging old forms when new forms are developed to be consistent with new policy or contract language. Many of the forms needed by employees and managers have now been made available on the district’s Web site, which helps to ensure that the latest version is used by employees. f. Training will be provided annually on contract management and grievances. This has been implemented and in effect during the last two years, and is included in the HR Annual Calendar for continuation of the training in future years, including getting on the leadership team meeting schedule and agendas. HR managers are also planning school site visitations to further the training for each site manager, and to provide regularly scheduled training for school offi ce managers. 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: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 3 November 30 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 Implementation Scale: Personnel Management 59 11.4 Employer/Employee Relations Professional Standard The Personnel Department provides a clearly defi ned process for bargaining with its employee groups (i.e., traditional, interest-based.) Progress on Implementing the Recommendations of the Improvement Plan: 1. The HR Department has updated its detailed action plan to address this standard. The revised plan contains the following provisions: a. HR will facilitate the development of a set of core beliefs that will be used to guide decision-making in the collective bargaining process. 1) These core beliefs will be used in the development of proposed contract language for consistency with the district’s goals and the mandates and expectations set by the state. 2) The core beliefs will be communicated to all employee groups, the Governing Board, and the public. During the last round of negotiations in 2005, the district developed a set of core beliefs to guide the negotiations process. Also, a protocol was developed for conduct- ing bargaining sessions and debriefi ngs, including “staying focused on the target,” student achievement, and effi ciency of operations. This protocol also included ground rules and a check-in and check-out procedure for all sessions. b. In collaboration with the leadership team, HR will adopt a process for bargaining with employee groups that is clearly stated, is consistent with the 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 fi s- cal impact and its impact on student achievement. The district and its bargaining units have agreed to use the interest-based bargaining process for negotiations, for which training was provided in recent years. This training needs to be refreshed as the par- ties enter contract negotiations in the future. c. In collaboration with Fiscal Services, HR will ensure that any contract proposals made by management have been assessed for their fi scal impact on the district’s operating budget in the current fi scal year, as well as in future years. In the collective bargaining processes completed in 2005, the district did implement this provision by securing estimates of the fi scal impact of each revised proposal. d. The HR Annual Calendar contains the dates for sunshining contract reopeners and/ or full successor agreements with the certifi cated bargaining unit in February and the classifi ed bargaining unit in March. e. The process described in Standard 11.2 will be used annually to involve site-level administrators in the bargaining process. 2. In its initial proposal for the certifi cated bargaining unit contract, the district included language to address most of the areas of concern in the contract. The items not specifi - 60 Personnel Management 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 signifi cant in terms of the fi nancial or educational effect on the district, and can be addressed in future successor contract negotiations. The district included the provisions with the most signifi cant fi nan- cial effect (and therefore the most potential for improvement of the budget picture) in its initial proposal. During the negotiations process just completed, the district continued to be diligent in its information gathering and costing of various proposals as negotiations progressed to ensure that signifi cant fi nancial relief was provided from the restrictiveness of the contract. In the successor agreement ratifi ed in 2005, the district was able to: • Secure a cap on the district’s contribution to employee health and welfare benefi ts. • Reduce the level of effort required of custodial services. • Increase class size fl exibility at the high schools. • Increase staffi ng ratios for nurses and counselors. • Cap the hourly rate of pay for extra duty. • Make some improvements in management rights language. The agreement is for three years and includes salary increases but no reopeners. While this will allow the district to focus more of its efforts on academic and fi scal recovery, it closes the door on looking to the certifi cated unit agreement for further fi scal concessions until July 1, 2008. 3. With no reopeners in the agreements with both bargaining units, the district has scheduled monthly meetings with each unit to continue communication and address issues that arise. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 4 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 7 Implementation Scale: Personnel Management 61 11.5 Employer/Employee Relations Professional Standard The Personnel Department has a process that provides management and the board with informa- tion on the impact of bargaining proposals, e.g., fi scal, staffi ng, management fl exibility, student outcomes. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district completed the full contract negotiations process with both of its bargaining units in 2005. During that process, the Business Department provided information on the fi scal impact of the proposals as they were developed and modifi ed. As discussions and negotiations continue with the bargaining units regarding various issues, HR has been working with Fiscal Services and other district departments to determine the effects of these discussions on fi nances, staff, and students. HR needs to continue to develop a more comprehensive process that provides management and the board with ongoing informa- tion on the fi scal, staffi ng, management fl exibility, and student outcome impact of bar- gaining proposals. 2. Fiscal Services was able to provide the fi scal effect of various proposals to the district negotiating teams for the negotiations process completed in 2005, and this should be continued in future collective bargaining processes. A standard spreadsheet or multiyear projection software should be used to support this effort so that each iteration is clearly portrayed and documented on a multiyear basis during the process. Even though the par- ties currently have closed contracts, as issues have been discussed in the interim, HR has been working with the Business Department to develop cost analyses of the fi nancial effect, if any, of these issues. The Business Department regularly provides multiyear pro- jections with its budget updates, which include the effects of negotiated agreements. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 5 July 2, 2007 Rating: 5 Implementation Scale: 62 Personnel Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - OR- GANIZATION AND PLANNING An updated and detailed policy 1.1 and procedures manual exists 1 1 1 3 5 6 that delineates the responsibili- ties and operational aspects of the personnel offi ce. PROFESSIONAL STANDARD - OR- GANIZATION AND PLANNING The district has clearly defi ned 1.2 and clarifi ed roles for board and 1 1 1 3 5 8 administration relative to re- cruitment, hiring, evaluation and dismissal of employees. PROFESSIONAL STANDARD - OR- GANIZATION AND PLANNING The Personnel Division has devel- oped a mission statement that sets clear direction for personnel 1.3 2 2 2 4 7 9 staff. The Personnel Division has established goals and objectives directly related to the district’s goals that are reviewed and up- dated annually. PROFESSIONAL STANDARD - ORGA- NIZATION AND PLANNING The Personnel Division has an 1.4 organizational chart and a func- 0 tions chart that include the names, positions and job functions of all staff in the Personnel Division. PROFESSIONAL STANDARD - OR- GANIZATION AND PLANNING The Personnel Division has a monthly activities calendar and 1.5 2 4 2 4 6 8 accompanying lists of ongo- ing personnel activities to be reviewed by staff at planning meetings. The identifi ed subset of standards appears in bold print. Personnel Management 63 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - ORGA- NIZATION AND PLANNING The Personnel Division head is a 1.6 10 member of the Superintendent’s cabinet and participates in deci- sion making early in the process. PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.1 The Personnel Division utilizes 2 3 4 5 5 6 the latest technological equip- ment for incoming and outgoing communications. PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL The personnel and business divi- sions have developed and dis- 2.2 3 tributed a menu of services that includes the activities performed, the individual responsible, and the telephone numbers where they may be contacted. PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.3 0 The Personnel Division provides an annual report of activities and services provided during the year. PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.4 1 1 1 3 6 7 The Personnel Division staff is cross-trained to respond to client need without delay. The identifi ed subset of standards appears in bold print. 64 Personnel Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.5 0 6 4 6 7 8 The Personnel Division holds regularly scheduled staff meet- ings. PROFESSIONAL STANDARD - COM- MUNICATIONS: INTERNAL/EXTER- NAL 2.6 4 Various publications are provided on a number of subjects to orient and inform various clients. LEGAL STANDARD - EMPLOYEE RE- CRUITMENT/SELECTION The Governing Board provides equal employment opportunities 3.1 5 for all people without regard to race, color, creed, sex, religion, ancestry, national origin, age, or disability (EC 44100-44105). PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION Employment procedures and prac- 3.2 tices are conducted in a manner 5 that ensures equal employment op- portunities. Written hiring proce- dures are provided. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION 3.3 The job application form requests 5 information that is legal, useful, pertinent, and easily understood. The identifi ed subset of standards appears in bold print. Personnel Management 65 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The Personnel Division has a recruitment plan that contains recruitment goals, including the targeting of hard-to-fi ll positions such as those in the areas of math, science, special education 3.4 and bilingual education. The dis- 0 1 0 4 6 8 trict has established an adequate recruitment budget that includes funds for travel, advertising, staff training, promotional mate- rials and the printing of a year- end report, and that effectively implements the provisions of the district recruitment plan. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district has developed ma- terials that promote the district 3.5 3 3 3 5 6 9 and community, are attractive, informative and easily available to all applicants and other inter- ested parties. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district has identifi ed people to participate in recruitment efforts, including principals, 3.6 2 2 2 5 6 8 district personnel and others, as appropriate, and has provided them with adequate training to carry out the district’s recruit- ment goals. The identifi ed subset of standards appears in bold print. 66 Personnel Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district has effectively identi- 3.7 fi ed a variety of successful recruit- 2 ment sources, including Web sites, job fairs, colleges and universities and publications. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district has developed an an- nual written summary report of its recruitment efforts, including data detailing the goals for the year, sites visited, number of candidates 3.8 contacted, employees hired as a 0 result of the recruitment efforts and plans for any changes for the following year. This information can be provided as part of the divi- sion's annual report of personnel activities as called for in Standard 2.3. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district has developed alterna- 3.9 0 tive teacher certifi cation programs and process (i.e., preintern, intern, committee on assignment). PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district is preparing to address 3.10 5 new federal regulations as they relate to the No Child Left Behind Act. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION The district systematically initiates 3.11 4 and follows up on reference check- ing on all applicants being consid- ered for employment. The identifi ed subset of standards appears in bold print. Personnel Management 67 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION 3.12 10 Selection procedures are uniformly applied. LEGAL STANDARD - EMPLOYEE RECRUITMENT/SELECTION The district appropriately moni- 3.13 1 4 5 5 7 8 tors teacher assignments and reports as required under EC 44258.9. PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION 3.14 Appropriateness of required tests 4 for specifi c classifi ed positions is evident. LEGAL STANDARD - EMPLOYEE RE- CRUITMENT/SELECTION The district has implemented 3.15 1 procedures to comply with state legislation governing short-term employees (EC 45103). LEGAL STANDARD - EMPLOYEE RE- CRUITMENT/SELECTION In merit system districts, recruit- Not 3.16 ment and selection for classifi ed appli- service are delegated to the Per- cable sonnel Commission (EC 45240- 45320). LEGAL STANDARD - EMPLOYEE RE- CRUITMENT/SELECTION The Personnel Commission prepares Not 3.17 an eligibility list of qualifi ed can- appli- didates for each classifi ed position cable that is open, indicating the top three candidates (EC45272-45278) PROFESSIONAL STANDARD - EM- PLOYEE RECRUITMENT/SELECTION Not 3.18 Classifi ed recruitment results are appli- provided in an annual report to the cable Personnel Commission Board. The identifi ed subset of standards appears in bold print. 68 Personnel Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE INDUCTION AND ORIEN- TATION Initial orientation is provided 4.1 for all new staff, and orientation 5 5 6 7 7 7 handbooks are provided for new employees in all classifi cations: substitutes, teachers and classi- fi ed employees. PROFESSIONAL STANDARD - EM- PLOYEE INDUCTION AND ORIENTA- TION The Personnel Division has devel- 4.2 0 oped a video presentation (e.g., tape, CD-ROM, DVD) of the district activities and expectations for new employee orientation. PROFESSIONAL STANDARD - EM- PLOYEE INDUCTION AND ORIENTA- TION The Personnel Division has devel- oped an employment checklist to 4.3 6 be used for all new employees that includes district forms and state and federal mandated informa- tion. The checklist is signed by the employee and kept on fi le. PROFESSIONAL STANDARD - OPERA- TIONAL PROCEDURES 5.1 4 Personnel fi les are complete, well- organized and up to date. PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES Personnel Division nonmanage- 5.2 ment staff members have in- 0 1 1 3 5 7 dividual desk manuals for all of the personnel functions for which they are held responsible. The identifi ed subset of standards appears in bold print. Personnel Management 69 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES The Personnel Division has an 5.3 operation procedures manual for 0 1 1 3 4 6 internal department use in order to establish consistent applica- tion of personnel actions. PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES The Personnel Division has a pro- cess in place to systematically 5.4 review and update job descrip- 1 1 1 3 5 8 tions. These job descriptions shall be in compliance with the Americans with Disabilities Act (ADA) requirements. PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES The Personnel Division has procedures in place that allow for both personnel and payroll 5.5 0 5 4 5 6 8 staff to meet regularly to solve problems which develop in the process of new employees, clas- sifi cation changes and employee promotions. PROFESSIONAL STANDARD - OPERA- TIONAL PROCEDURES Wage and salary determination and 5.6 ongoing implementation are han- 4 dled without delays and confl icts (substitutes, temporary employees, stipends, shift differential, etc.). PROFESSIONAL STANDARD - OPERA- TIONAL PROCEDURES 5.7 Regulations or agreements cover- 2 ing various types of leaves are fairly administered. The identifi ed subset of standards appears in bold print. 70 Personnel Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES Personnel staff members attend training sessions/workshops to 5.8 3 4 3 5 7 8 keep abreast of the most current acceptable practices and require- ments facing personnel adminis- trators. PROFESSIONAL STANDARD - OPERA- TIONAL PROCEDURES The Personnel Division provides 5.9 employees with appropriate forms 5 for documenting requested actions (e.g., leaves, transfers, resigna- tions, retirements). PROFESSIONAL STANDARD - OP- ERATIONAL PROCEDURES Established staffi ng formulas 5.10 1 6 7 7 7 8 dictate the assignment of per- sonnel to the various sites and programs. LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE Policies and regulations exist regarding the implementation of 6.1 8 fi ngerprinting requirements for all employees. Education Codes: 44237, 45125, 45125.1, 44332.6, 44346.1, 44830.1, 45122.1. LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The Governing Board requires every 6.2 employee to present evidence 8 of freedom from tuberculosis as required by state law (EC 44839, 49406). The identifi ed subset of standards appears in bold print. Personnel Management 71 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE No person is employed as a teach- er’s aide unless that person has 6.3 4 passed the basic reading, writing, and mathematic skills profi ciencies required for graduation from high school (EC 45361.5). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE 6.4 A clear implemented policy exists 5 on the prohibition of discrimina- tion (Government Code 11135). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE All certifi cated employees hold one or more valid certifi cates, creden- 6.5 4 tials or life diplomas that allow the holder to engage in school services designated in the document (EC 44006). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE Duties to be performed by all per- 6.6 sons in the classifi ed service and 1 other positions not requiring certi- fi cation are fi xed and prescribed by the Governing Board (EC 45109). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE 6.7 Professional growth requirements 10 for maintenance of a valid creden- tial exist (EC 44277). The identifi ed subset of standards appears in bold print. 72 Personnel Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district has established a process by which all required notices and in-service training 6.8 sessions have been performed and 8 documented such as those for child abuse reporting, blood-borne pathogens, sexual harassment and nondiscrimination. (EC 44691, GC 8355). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district is in compliance with 6.9 Title IX policies on discrimination 9 and Government Code 12950(a) posting requirements concerning harassment or discrimination. LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district is in compliance with 6.10 2 the Consolidated Omnibus Budget Reconciliation Act of 1986 (CO- BRA). LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district is in compliance 6.11 1 with the Family Medical Leave Act (FMLA) including posting the proper notifi cations. LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district is in compliance with the Americans with Disabilities Act 6.12 (ADA) in application procedures, 2 hiring, advancement or discharge, compensation, job training and other terms, conditions, and privi- leges of employment. The identifi ed subset of standards appears in bold print. Personnel Management 73 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district has identifi ed exempt and nonexempt employees and has 6.13 1 promulgated rules and regulations for overtime that are in compliance with the Fair Labor Standards Act and California statutes. LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE Current position descriptions are 6.14 1 established for each type of work performed by certifi cated and clas- sifi ed employees (EC 35020) LEGAL STANDARD - STATE AND FED- ERAL COMPLIANCE The district obtains a criminal record summary from the Depart- 6.15 ment of Justice before employing 8 an individual, and does not employ anyone who has been convicted of a violent or serious felony (EC 44332.6, 44346.1, 45122.1). PROFESSIONAL STANDARD - USE OF TECHNOLOGY 7.1 An online position control sys- 4 5 4 5 5 6 tem is utilized and is integrated with payroll/fi nancial systems. PROFESSIONAL STANDARD - USE OF TECHNOLOGY The Personnel Division provides an automated substitute calling 7.2 5 system. The system has the ability to input and retrieve data. Data should be distributed to site and program managers. The identifi ed subset of standards appears in bold print. 74 Personnel Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - USE OF TECHNOLOGY The certifi cated and classifi ed 7.3 2 2 2 4 5 6 departments of the Personnel Division have an applicant track- ing system. PROFESSIONAL STANDARD - USE OF TECHNOLOGY The Personnel Division has a pro- 7.4 0 gram of providing funds and time for staff training and skills devel- opment in the use of computers. PROFESSIONAL STANDARD - USE OF TECHNOLOGY The Personnel Division has com- puterized its employee database system including, but not lim- 7.5 3 4 4 5 6 7 ited to: credentials, seniority lists, evaluations, personnel by funding source, program, loca- tion, and Workers’ Compensation benefi ts. PROFESSIONAL STANDARD - STAFF TRAINING The district has developed a 8.1 0 1 2 3 5 5 systematic program for identify- ing areas of need for in-service training for all employees. LEGAL STANDARD - STAFF TRAINING The district makes provisions for 8.2 0 department-directed staff develop- ment activities (EC 52034(g)). LEGAL STANDARD - STAFF TRAINING Teachers and other professional 8.3 school services personnel are pro- 4 vided with diversity training (EC 44560). The identifi ed subset of standards appears in bold print. Personnel Management 75 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating LEGAL STANDARD - STAFF TRAINING The district has adopted poli- 8.4 cies and procedures regarding the 9 recognition and reporting of sexual harassment (GC 12940). PROFESSIONAL STANDARD - STAFF TRAINING The district provides training for 8.5 2 2 2 4 5 5 all management and supervisory staff responsible for employee evaluations. PROFESSIONAL STANDARD - STAFF TRAINING The district provides training opportunities to managers and supervisors in leadership devel- 8.6 opment and supervision. Training 0 0 1 2 5 5 topics might include interper- sonal relationships, effective supervision, confl ict resolution, cultural diversity and gender sensitivity, team building. PROFESSIONAL STANDARD - STAFF TRAINING 8.7 The district develops handbooks 0 0 0 1 5 5 and materials for all training components. PROFESSIONAL STANDARD - EVALUATION/DUE PROCESS AS- SISTANCE 9.1 The evaluation process is a 2 2 2 4 6 8 regular function related to each employee and involves criteria related to the position. The identifi ed subset of standards appears in bold print. 76 Personnel Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating LEGAL STANDARD - EVALUATION/ DUE PROCESS ASSISTANCE Clear policies and practices exist 9.2 for the written evaluation and 2 2 2 3 6 8 assessment of classifi ed and cer- tifi cated employees and manag- ers (EC 44663). PROFESSIONAL STANDARD - EVALUATION/DUE PROCESS AS- SISTANCE The Personnel Division provides 9.3 2 2 2 4 6 8 a process for the monitoring of employee evaluations and the accountability reporting of their completion. PROFESSIONAL STANDARD - EVALUATION/DUE PROCESS AS- SISTANCE The Personnel Division has devel- 9.4 2 2 2 3 5 8 oped an evaluation handbook and provided due process train- ing for managers and supervi- sors. PROFESSIONAL STANDARD - EVALUATION/DUE PROCESS AS- SISTANCE The Personnel Division has de- 9.5 2 2 2 3 5 8 veloped a process for providing assistance to certifi cated and classifi ed employees performing at less-than-satisfactory levels. PROFESSIONAL STANDARD - EVALU- ATION/DUE PROCESS ASSISTANCE Not 9.6 The board evaluates the Superin- appli- tendent based upon preapproved cable goals and objectives. The identifi ed subset of standards appears in bold print. Personnel Management 77 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The Personnel Division has de- 10.1 veloped a program for retirement 4 counseling, including: STRS coun- seling, PERS counseling, and “life after retirement.” PROFESSIONAL STANDARD - EM- PLOYEE SERVICES 10.2 The Personnel Division has devel- 0 oped recognition programs for all employee groups. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The Personnel Division has avail- 10.3 4 able to its employees various refer- ral agencies to assist employees in need. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES Employee benefi ts are well un- derstood by employees through 10.4 periodic printed communications 8 provided by the Personnel Division. Timely notifi cation of annual open enrollment periods is sent to all employees. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The Personnel Division provides new hires and current employees with a detailed explanation of 10.5 5 benefi ts, the effective date of cov- erage, along with written informa- tion outlining their benefi ts and when enrollment forms must be returned to implement coverage. The identifi ed subset of standards appears in bold print. 78 Personnel Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYEE SERVICES Employees are provided the state's 10.6 9 injury report form (DWC Form 1) within one working day of having knowledge of any injury or illness. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The district notifi es the third party administrator of an employee’s 10.7 9 claim of injury within fi ve working days of learning of the injury and forwards a completed form 5020 to the insurance authority. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The district’s workers’ compensa- 10.8 3 tion experiences and activities are reported periodically to the Super- intendent’s cabinet. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The workers’ compensation unit is 10.9 actively involved in providing in- 5 jured workers with an opportunity to participate in a modifi ed duty program. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The workers’ compensation unit 10.10 maintains the California OSHA log 5 for all work sites and a copy is posted at each work site during the month of February as required. PROFESSIONAL STANDARD - EM- PLOYEE SERVICES The district does not pay tem- 10.11 7 porary disability benefi ts during those times when an employee is in an extended nonpay status. The identifi ed subset of standards appears in bold print. Personnel Management 79 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYER/EMPLOYEE RELATIONS The district has collected data that compare the salaries and 11.1 0 3 5 6 6 6 benefi ts of its employees with districts of similar size, geo- graphic location and other com- parable measures. PROFESSIONAL STANDARD - EM- PLOYER/EMPLOYEE RELATIONS The Personnel Division involves 11.2 0 3 5 6 6 6 site-level adminstrators in the bargaining and labor relations decision making process. PROFESSIONAL STANDARD - EM- PLOYER/EMPLOYEE RELATIONS The Personnel Division provides all managers and supervisors (certifi cated and classifi ed) training in contract management 11.3 with emphasis on the grievance 1 3 3 4 6 8 process and administration. The Personnel Division pro- vides clearly defi ned forms and procedures in the handling of grievances for its managers and supervisors. PROFESSIONAL STANDARD - EM- PLOYER/EMPLOYEE RELATIONS The Personnel Division provides 11.4 a clearly defi ned process for 0 4 6 7 7 7 bargaining with its employee groups (i.e., traditional, inter- est-based). The identifi ed subset of standards appears in bold print. 80 Personnel Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating PROFESSIONAL STANDARD - EM- PLOYER/EMPLOYEE RELATIONS The Personnel Division has a pro- cess that provides management 11.5 and the board with information 0 0 4 5 5 5 on the impact of bargaining proposals, e.g., fi scal, staffi ng, management fl exibility, student outcomes. LEGAL STANDARD - EMPLOYER/EM- PLOYEE RELATIONS Bargaining proposals and negoti- ated settlements are "sunshined" in accordance with the law to 11.6 4 allow public input and understand- ing of employee cost implications and, most importantly, the effects on the children of the district (EC 3547, 3547.5, and GC 41242). LEGAL STANDARD - EMPLOYEE BEN- EFITS/WORKERS' COMPENSATION The district has its self-insured workers' compensation programs 12.1 0 reviewed by an actuary in accor- dance with Education Code Section 17566 and fi led with the county offi ce of education. PROFESSIONAL STANDARD - EM- PLOYEE BENEFITS/WORKERS' COM- PENSATION 12.2 9 Timely notice of annual open enrollment period is sent to all eligible employees The identifi ed subset of standards appears in bold print. Personnel Management 81 Pupil Achievement Overview of Instructional Reform In three years, Vallejo City Unifi ed School District has shown steady improvement in addressing the FCMAT pupil achievement standards for planning processes, curriculum, instructional strategies, assessment and accountability, and professional development. With a clear direction from the State Administrator that all district improvements should benefi t students, the Academic Achievement and Accountability (Curriculum and Instruction) division of the district has implemented a reform centered on aligning school programs and classroom instruction with state standards and research- based practices. Standards-based texts, pacing guides, and formative assessments paired with a strong professional development agenda were the initial levers of change. Other initiatives and strategies have been added over time, including increased graduation requirements and targeted interventions. Vallejo, like many urban communities, has a diverse student population, with complex needs, and the district had lacked strong instructional leadership during a period of intense change in educational standards and expectations in the state and community that began in the late nineties. While district planning objectives and resource allocations are based largely on the essential program components identifi ed by the state, and district planning processes are unambiguous and transparent, the reality of day-to-day implementation is quite demanding. The instructional leadership’s level of accomplishment on behalf of students is commendable. Improvement of Student Achievement and Opportunities to Learn The two years of California Standards Test (CST) data available (2005 and 2006) for use in the current FCMAT review of progress indicate that there are small, overall gains in the percentage of students meeting or exceeding the state standards in reading/English language arts and math- ematics, with variations at school, grade, and sub-group levels. The achievement gap that affects African American, low income, and special education students, nonetheless persists within these gains. In 2005-06, the district was identifi ed for Program Improvement (PI), initiating Corrective Action Plans that complement and add urgency to the district’s agenda to target underserved students and improve teaching and learning for all. District and school leaders have noted evidence beyond the CST in other growth measures, walk- throughs, and anecdotal data that the reform is taking root, particularly in the lower grades. Near the end of this third year of the reform, with the necessary organizational structures in place, district leaders believe that they are now able to pursue a deeper level of implementation, focus- ing on the “quality” and “intentionality” of the program changes that are under way. An example of quality and intentionality can be seen in the rigorous intervention plan for students scoring below standard on the CST, which was fully implemented, including in secondary schools, in the 2006-07 academic year. Students are targeted for assistance, based on an assessment proto- col, and placed in English language arts (ELA) and mathematics support, strategic, and intensive classes with special texts and materials and trained teachers. These targeted interventions, coupled with the results of standards-based instruction for all students in ELA and math that uses common texts, pacing guides, and assessments, will result in a stronger achievement picture in upcoming years. A promising sign is the decrease in the percentage of students needing secondary school interventions in the coming year. Also of particular note, data indicates that the English learner program is addressing language acquisition in the district, meeting all three Annual Measurable Achievement Objectives (AMAOs), as required by NCLB, with room to spare. Pupil Achievement 1 The student services division is moving forward in addressing critical student and student-related behaviors—regular attendance, classroom engagement, discipline, dropouts, and health and safety—that disproportionately impact the lowest achieving students. Connecting school climate to the AAA division and convening a climate planning team were among the fi rst steps taken to address student discipline systematically and proactively, actions which included: the refi ning of the student discipline data base so that schools can measure their results; creating a theory of action about the district’s role in school culture and climate; developing a climate assessment survey and rating system; and selecting and beginning training for the implementation of Sec- ond Step, a student behavior program. The program is cognitive in nature, teaching principals, teachers, and students a problem-solving approach, which is critical to improving school-related behaviors and paves the way for schools to be more proactive in creating a climate that increases learning opportunities for all students. Sustaining Progress through Accountability for All The leadership in the district and schools is a critical factor in turning around the instructional program. Leadership has been evident in the consistency of message; the focused curriculum and instructional choices; the ready use of the available data in improvement decisions; the partner- ship between district and site administration; and the ongoing assessment and refl ection that is built into district routines. Furthermore, the commitment of resources to extensive standards- based training for teachers and principals, particularly in reading/English language arts and mathematics, and to formative assessments, coupled with teacher collaboration time to work on improvements, are indicative of a belief that everyone in the system is capable and accountable for the improvement of teaching and learning. There is a special point in school reform when a critical mass of educational staff in a school or district become knowledgeable, empowered, and accountable, rather than helpless, in the face of signifi cant student learning issues. There are signs that increased accountability for student achievement is taking root in the district in (1) the vigorous response to the Corrective Action Plans brought on by District Program Improvement; (2) the willingness (and hard work) to make secondary master schedules more amenable to support and intervention classes, as well as small learning communities; (3) the use of a variety of feedback structures to revise and self-correct instruction as needed; and (4) the intention to tackle proactively student behaviors that can sup- port or impede learning. Accountability for all district staff is about bringing science to the art of teaching. It means an ongoing commitment of resources for student assessment, teacher training and coaching, and allocated time for collaboration, so that teachers and principals can fi nd solu- tions for students. Individual accountability for student learning, coupled with school and district accountability, will be needed to sustain the reform when local governance resumes. Sustaining Progress through the Written Record Critical to the reform process is writing down what is expected from students and adults in the school system—vision, goals, standards, plans, policies and regulations, for example—and how these expectations are monitored, evaluated, and updated. At the time of the original compre- hensive assessment in fall 2004, the written artifacts of a well-run instructional program were, for the most part, missing or seriously outdated, a red fl ag announcing that focus, coherence, and results of a good program would be compromised. 2 Pupil Achievement To create focus and coherence in instruction, the district has produced over the last three years: (1) the Vallejo Instructional Action Plan, which outlines the vision, direction, and actions of the district in the interest of student performance; (2) a written organizational chart with new job descriptions and lines of supervision and reporting for the district staff; (3) a new Master Plan for English Language Learners; (4) PI Corrective Action Plans in conjunction with the SAIT consul- tants; (5) a modifi ed protocol for the Single School Plan; (6) a document explaining the basis and process of principal evaluation; and (7) descriptions for students and parents behavior expecta- tions and high school graduation requirements and course descriptions. Additionally, there are informal written documents and the AAA division has been punctilious in writing explanations, evaluations, and intentions. By comparison, the revision of board policy and regulations has been slow. In fall 2006, there was approval of fi ve revised policies, including Vision and Goals, Core Curriculum, Assess- ment and Testing, Program Evaluation, and Promotion and Retention. In spring 2007, Student Discipline has been approved while the high school graduation policy is pending. Policy outlines the accountability structure for adults educating students; thus the maintenance of current, living policy is another indicator of a district that is accountable for its youth as well as another critical component of passing on and sustaining the reform. It will be important to move more quickly with policy revision. Pupil Achievement 3 4 Pupil Achievement 1.1 Planning Processes Professional Standard: A common vision of what all students should know and be able to do exists and is put into practice. Progress on Implementing the Recommendations of the Improvement Plan: 1. In fall 2004, Vallejo City Unifi ed School District created a vision that emphasizes (1) access to necessary knowledge and skills, (2) a safe and orderly environment, and (3) systemic supports, including fi scal stability and capacity to sustain improvements. The vision of what students should know and be able to do is evident in the development and implementation of a common curriculum, based on the state standards and shored up by state-aligned texts and materials, pacing guides, formative assessments in English lan- guage arts and mathematics, and relevant principal and teacher training. A spring 2007 letter from the State Administrator welcoming incoming ninth-graders and introducing the 2007-08 high school course catalog demonstrates the movement to a college prepara- tory high school course of study. Steady strides toward access and equity in the curricu- lum for all students include the systemic support for underachievers via the implementa- tion of support curriculum and classes during the school day, which was fully realized in the 2006-07 school year. 2. Policy development shows the board’s commitment to the vision and the means of imple- menting and evaluating programs, including Vision and Goals (BP 6000a), adopted April 5, 2006; Core Curriculum (BP 6000b), adopted April 5, 2006; Assessment and Test- ing (BP 6000c), adopted April 15, 2006; Program Evaluation (BP 6000d), adopted June 21, 2006; and Promotion and Retention (BP 6000e), adopted October 18, 2006. In spring 2007, Student Discipline (BP 5000a) was adopted. The draft of BP 6146, High School Graduation, is important in communicating a vision of what students should know and be able to do and will be adopted in the summer. 3. The vision/goals are featured on the district’s Web site and in board agendas. The fi ve new instruction policies, along with two new student policies, are posted on the Web site in the board section. However, many critical instructional and student areas continue to be offi cially guided by outdated board policies. 4. The vision statement anchors the Vallejo City USD Instructional Plan, which is the dis- trict’s action plan, and is also included in the single school plans and the new English Learner Master Plan. To make the vision sustainable, the instructional leadership has embedded several high leverage strategies in the district’s instructional action plans and single school plans. Concomitantly, the district leadership has connected the supervision and evaluation of principals to the vision and instructional action plan with visits and dis- cussions with principals, and an evidence portfolio that encourages refl ection. Coaching by an outside provider was established for the principals of three at-risk schools in 2006- 07, as was leadership training in the middle and high schools.` Pupil Achievement 5 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: 6 Pupil Achievement 1.2 Planning Processes Professional Standard: The administrative structure of the district promotes student achievement. Progress on Implementing the Recommendations of the Improvement Plan: 1. By fall 2005, the district had developed an organizational schema that is both horizontal and vertical. The vertical dimension is the traditional organizational chart showing the titles and lines of supervision and reporting. The horizontal dimension formalizes the col- laborative work going on among district divisions to align people with resources and focus them on the district’s goals and priorities. The work of the horizontal teams includes both ongoing tasks and ad hoc ones. The horizontal dimension helps the district keep students at the center of all district activity and overcomes the effect of separate structures. The organizational structure also provides new job descriptions for all district staff that list titles, responsibilities, and lines of supervision. Evidence of the ongoing refi nement of the central administrative structure in fall 2006 included: (a) formation of a horizontal team of staff from the Student Support Services and Academic Achievement and Accountability (AAA) departments to work on imple- menting elements of the school climate plan together; and (b) some reorganizing of the AAA department itself to create better communication and focus. The division maintains a portfolio of evidence and provides refl ections on its own effectiveness and progress in improving student achievement. In spring 2007, fi ne-tuning of the organizational struc- ture to support student achievement appears in the linking/integrating of the school cli- mate/culture plan implementation to the AAA department. 2. The original comprehensive assessment conducted in November 2004 found that prin- cipals had been left out of the communication loop the previous spring as the district entered fi scal crisis and came under state scrutiny. Regular principals’ meetings were can- celed and many principal evaluations were not completed. Subsequent actions by district leaders addressed these concerns. a. By May 2005, the district had clarifi ed how principals were to be supervised and evaluated. For each level (elementary, middle, and high school) there is a written description of expectations that are the focus of principals’ evaluations for the current and upcoming years. The descriptions are categorized by the State Administrator’s fi ve goals as well as an “other” category that addresses signifi cant organizational factors. The descriptions also contain a time line and process for the completion of the evaluation activity. b. Interviews with a sample of principals at all levels in September 2005 found that they had been evaluated according to the identifi ed process and that evaluations had been conducted in a timely manner with helpful feedback. In the fall and spring of the 2006-07 school year, principals and teacher leaders who were interviewed reported the positive support they receive through district supervisory and evaluative structures such as regular walk-throughs and school portfolios. Pupil Achievement 7 c. Agendas of routine meetings of principals and vice- and assistant principals demon- strate the effort to keep the district expectations for students at the forefront and to also act as vehicles for two-way communication between the principals and central administration and for professional growth. d. Board Policy 1000a Media Relations, adopted January 11, 2006, states that the super- intendent will develop a crisis communication plan. The plan should address internal as well as external communication during a crisis. Recommendations from the school climate committee (September 20, 2006) indicate that improvements to the district’s phone system and other avenues of communication will be addressed. Principal meetings routinely address issues of program implementation and training. Principals are increasingly included in decisions and approaches to implementation. In fall 2006, the district leadership sees evidence that “ownership for students is tak- ing hold” as exemplifi ed in the work on middle and high school master schedules that enabled the schools to provide to students appropriate instruction identifi ed as inten- sive and strategic as well as to English learners and special education students. In spring 2007, principals and teacher leaders spoke openly of their collegial relation- ship with district leaders, including involvement in the decisions that have been made for intervention classes and ongoing evaluation and mid-course corrections of new programs and practices. Student assessments show a general upward achievement trend in 2005 and 2006. The State Administrator continues to promote high expectations for staff and students and to celebrate accomplishments. His fall 2006 message to staff provided an update on assessments, fi scal recovery, and school climate goals. Principals report that these messages are motivating and that there is a high level of trust for the State Adminis- trator and his staff among school staff members. 3. Compared with the 2004 opening of school in the district, the 2005 opening of school went smoothly, including the implementation of class size reduction. Several employees noted that the difference was “like night and day.” In particular, with a few exceptions, the schools were staffed on the fi rst day because of the hiring plan created in the spring and implemented throughout the summer. Principals participated in candidate recruit- ment. A district matrix shows the objectives for the opening of school, the person respon- sible, and the target date. Areas included central ordering, purchasing and delivery of textbooks, classroom cleaning, transportation, bell schedules, food services, secondary student schedules, and teacher orientation and buy-back days. This matrix also shows the horizontal teamwork of the district. In spring 2006, the work on enrollment and staffi ng fi gures for the fall and plans for teacher recruitment and placement was well under way, including use of the Web site to feature teacher recruitment information and dates to visit schools. On the October 2006 board agenda, the State Administrator reported a smooth opening of school. Principals affi rmed the generally smooth start of their schools. Classroom observations showed instruction to be proceeding, with teachers in place. Sample classroom observations 8 Pupil Achievement at three levels during October 2006 also showed students to be engaged in serious standards-based lessons, including those in SDAIE mathematics. There was a range of student engagement in lessons, from nominal to focused, but the administrative supports such as schedule, instructional materials and teacher training were all evident. Sample secondary classroom observations in spring 2007 showed the intervention classes moving forward, with only a few student engagement issues. 4. In spring 2006, the State Administrator’s focus on student attendance was evident, includ- ing monthly reports and an attendance contest among the schools. By fall 2006, a representative school climate committee had developed recommendations to incorporate into the State Administrator’s Action Plan. These included a schoolwide behavior program, teacher and staff training for successful implementation of the program, classroom management support and progressive discipline practices for the schools. Additional recommendations address the campus supervisor position, parent sup- port, adult consistency, and school communication systems. The improvement goals for school climate are accompanied by a plan for consistent collection and analysis of student behavioral data—attendance, suspensions, and expulsions—that provide an opportunity for evaluation and ongoing improvement of behavior. Several school staff observed or interviewed in October 2006 spoke appreciatively of positive new developments in school climate, noting areas where they could use additional help with student behavior. In spring 2007, the new student behavior program Second Step had been selected and training was under way. There was a strong feeling among staff interviewed that the program quality and consistent messages to students and parents were visible signs of the district’s administrative structure promoting student school behaviors that support academic achievement. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: Pupil Achievement 9 1.3 Planning Processes Professional Standard: The district has long-term goals and performance standards to support and improve student achievement. Progress on Implementing the Recommendations of the Improvement Plan: 1. In fall 2005, the district completed its Instructional Action Plan, which is prefaced by the vision, district goals, and a statement of purpose. The plan features eight essential pro- gram components with objectives, benchmarks, due dates and completion dates. 2. The State Administrator’s goals have become the district’s vision and goals in the Instruc- tional Plan. District goals to support and improve student achievement are also found in revised board policy through the following adoptions: Vision and Goals (BP 6000a), adopted April 5, 2006; Core Curriculum (BP 6000b), adopted April 5, 2006; Assessment and Testing (6000c), adopted April 15, 2006; Program Evaluation (6000d), adopted June 21, 2006; and Promotion and Retention (BP 6000e), adopted October 18, 2006. A draft of the high school graduation policy is slated for review in June 2007. 3. The original comprehensive assessment conducted in November 2004 found categorical programs to be working with good intentions but not fully aligned with the mainstream programs or state standards. Several actions taken by the AAA division have clarifi ed and strengthened the role of categorical programs in supporting and improving student achievement: a. In fall 2005, a matrix titled General Education and Categorical Programs Working Together was provided to show the role of categorical programs in supporting learn- ing and school improvement. The district is working toward greater coherence in a system where the base programs in the core areas are stable and categorical programs that support identifi ed students align with the core. b. Also in fall 2005, the district entered state/federal district Program Improvement. As a result, a School Assistance and Intervention Team (SAIT) developed site plans (February 2006) identifying corrective actions and benchmarks in nine essential areas: instructional programs, instructional time, principal leadership training, credentialed teachers and professional development opportunity, student achieve- ment monitoring system, ongoing instructional assistance and support for teachers, interventions for students below grade level, and fi scal support. These areas parallel many of the FCMAT standards, and validate the four district strategies selected to turn around student achievement. Identifying secondary schools for SAIT corrective action is an important step, as affecting student achievement is complex. c. By spring 2006, a new director and assistant director for categorical and English learner programs began work with the county offi ce to revise the District Master Plan for English Learners and to comply with state and federal regulations for this program and others. A written task list with time lines for plan completion guides the work 10 Pupil Achievement of the department. The director of categorical programs anticipates the Coordinated Compliance Review (CCR) self study as an opportunity to review compliance and quality elements in all programs. A draft of the Master Plan for English Learners was available in fall 2006, though by spring 2007 it had yet to be board approved. d. The substantial effort to align special education and English learner instruction with state standards, to the degree possible, is evident in the schools. Observations in sec- ondary schools both in fall 2006 and spring 2007 show schedules that accommodate students with special needs or with English language development requirements. Additionally, students with intensive or strategic needs in English and math are pro- vided instruction during the school day in the secondary schools. These classes are supported by special materials (REACH and Language!) and teacher training. 4. The Director of Assessment provides an annual cumulative report of progress on the California Standards Test (CST), with charts showing student performance by group. The State Administrator used these charts in his presentations to staff. Datawise also allows the management and display of data from formative assessments. The district leadership has made formative assessments a priority and provides support in setting classroom teaching priorities and developing interventions. The Datawise system provides greater data accessibility (more readable and more frequent) to teachers and staff. In spring 2007 interviews and visits, it was noted that consistently since fall 2005, principals have reported that the formative assessments, along with aligned material, pac- ing guides, and training and collaborative opportunities, are contributing to greater com- mitment to, success in, and most recently, individual teacher accountability for standards- based teaching and learning. Agendas for district professional development days demonstrate the routine use of data in discussions of curriculum and classroom practice. Principal interviews and school visits in fall 2006 and spring 2007 indicate that princi- pals and teacher leaders are using data to work with school faculties. Some have asked district assessment staff to help explain and present fi ndings from the state assessments. The routine use of data by teaching staff to track student performance will be a boon for special education staff as they begin to develop and phase in a more data-based system as now required under the Individuals with Disabilities Education Act. It also appears that the school staffs are ready for the more sophisticated data analyses that are possible by connecting multiple databases, such as achievement and student behavioral data and other student information. 5. In fall 2005, two signifi cant efforts were under way in an effort to continually monitor student attendance and behavior: (1) the Aeries system to track absenteeism and suspen- sions and to print reports that show patterns in these areas (several principals use these functions); and (2) a Student Support Services Division established for accounting, moni- toring and reporting student attendance and behavior, and for coordinating effective inter- ventions, providing training, and coordinating the work of principals and counselors. Pupil Achievement 11 Awareness of instructional time lost through poor attendance and discipline practices and a plan to address these is a signifi cant step in achieving equity of access to learn- ing (students in these categories are often disproportionately students of color and low income), decreasing dropout rates, and improving assessment results. Subsequent visits to the district have shown ongoing efforts to impact student school behaviors, as outlined below. • Evidence of district accomplishments in student services in spring 2006 includes: a. Evidence of progress in analyzing and disseminating data on student attendance, behavior, and program effectiveness, implementation of a Student Attendance Review Board (SARB) with collaborative participation of community agen- cies, and coordination of the school resource offi cer program and liaison with the Vallejo Police Department. The State Administrator and director promoted improved student attendance through a contest among schools, with individual prizes for high attendance. b. A press release in late February 2006 that outlines the district’s plan to withhold work permits for chronic absentees and to work with the SARB process and the county assistant district attorney to tackle truancy issues in the district. c. Agendas for the meetings of assistant and vice principals addressing a series of topics that assist these staff with discipline decisions: due process, expulsion procedures and time lines, suspensions and methods of reducing suspensions of African Americans, in-school suspension and opportunity program ideas, stipu- lated expulsions, school site intervention teams, and special education student discipline. Guest presenters, including county counsel, facilitated these sessions. • Further developments in student services in fall 2006 included: a. Use of the Aeries system to collect, analyze, and monitor student attendance and behavior. The baseline year is 2006-07, but data analysis already indicates that grades 7, 8, and 9 are critical areas for behavior incidents and referrals. Plans are under way for prevention, intervention and support at these grade levels. b. The work of the Safe School Climate and Behavior Committee, which has resulted in a series of recommendations for incorporation into the State Admin- istrator’s Action Plan to improve the quality and safety of the district’s learning environment. The committee is broad-based and includes staff and community. The State Administrator focused on the work of the committee, shared some beginning data, and outlined the new goals with the district staff at the opening of school. c. An effort to improve communications with the home and the advent of a parent educational series. 12 Pupil Achievement • Spring 2007 interviews, visits, and documentation found that: a. A student behavior program, Second Step, has been adopted for use throughout the district and that training is under way. For school site members who some- times feel alone dealing with student behavioral issues, this is a welcome sign that central leadership has heard their concerns and need for support. The selection and implementation of the program has been conducted under the auspices of the AAA department. Second Step is a cognitive program that develops empathy, impulse control, and anger management skills with lessons based on a fi ve-step problem- solving strategy. 6. Student health services come from the School-Based Health Center at Pennycook Ele- mentary School, which is in its second year of operation. Services clients receive include immunizations. A Student Wellness policy (BP 5000b) was approved by the board on August 9, 2006. Spring 2007 visits found that the second student clinic, in partnership with Kaiser Foun- dation, has opened on the Bethel High school campus. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: Pupil Achievement 13 1.6 Planning Processes Professional Standard: The district’s planning process focuses on supporting increased student performance. Progress on Implementing the Recommendations of the Improvement Plan: 1. District planning centers on increased performance for all students, which includes align- ing essential instructional components. As indicated in Standard 1.3, the district has completed and is implementing the VCUSD Instructional Action Plan, with objectives and benchmarks for the essential components and the Corrective Action Plans, developed through the SAIT process. District instructional leaders have implemented instructional reforms through a thoughtful analysis of data, priorities, and high leverage strategies. Focusing on student performance in planning and aligning essential elements requires align- ing district policy and regulations to send clear messages about district intent and to estab- lish accountability. A new policy, Core Curriculum (BP 6000b), lists the key components of the district’s plan: “to raise student achievement, close the gap, and ensure equal access.” It was adopted on April 5, 2006. This policy clarifi es the board and district intent that the dis- trict’s core program is based on state standards. Two other policies adopted in April 2006, Vision and Goals (BP 6000a) and Assessment (BP 6000c), highlight the district’s focus on increased student performance. The revision and adoption (October 18, 2006) of Promotion and Retention (6000e) supports the success of students in the core program. In spring 2007, district leaders indicated that as more critical program quality components fall into place, their planning would be more centered on “quality” and “intentionality” in the implementation of the instructional program. 2. School plans focus on supporting increased student performance and have a consistent format, along with key elements indicating direction, cooperation between the district and schools, and assistance in their development. As a second phase, the district has devel- oped a school planning process that retains the district focus but allows school issues and needs to guide local decisions. A matrix shows the areas of the school plan that are the district’s responsibility and those that are the school’s responsibility. The school plans are data-based and focused on causality so that solutions target the cause of underachieve- ment. The SAIT Corrective Action Plans for schools support this goal. A sample of school plans provided in fall 2006 show: (1) reference to school and district achievement data; (2) a distinction between district corrective action plans and single- school plans; and (3) a system of ongoing refl ection and evidence-based evaluation of prog- ress. Principal evaluations lead to school plan evaluation through evidence-based portfolios. After school ended for the 2005-06 year, a full-day was dedicated to a Review of Prog- ress (ROP), where school teams were given the opportunity to refl ect and talk about their attainments, ongoing issues and needs with other school teams. Another ROP session was planned for the end of the 2006-07 year. The day-long session was facilitated to keep the teams focused on evidence. 14 Pupil Achievement 3. The principals interviewed in fall 2005 and spring 2006 report that they have been pro- vided a data package for their schools on the CST data. In fall 2006, another data pack- age was distributed to schools. One principal described the helpfulness of the assessment director in reviewing the data with the school faculty. Use of data for improvement is a regular item on principal meeting agendas. Administrators have seen additional focus on the use of attendance data for improvement, led by the State Administrator. In spring 2007, the implementation of a new student behavior program is accompanied by baseline data on student referrals with a plan for regular monitoring of data to assess program effectiveness. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: Pupil Achievement 15 2.3 Curriculum Professional Standard: The district has clear and valid objectives for students, including the core curriculum content. Progress on Implementing the Recommendations of the Improvement Plan: 1. BP 6000b Core Curriculum (adopted April 5, 2006) indicates that the California standards will provide the content for district goals and objectives. It identifi es the district’s Instructional Action Plan as the district’s guide for instructional planning and ensuring that student objectives for reaching the standards are met. It identifi es key components of the district’s plan “to raise student achievement, close the gap, and ensure equal access.” For fall 2006, the district documented further progress in implementing the core cur- riculum, particularly in the middle and high schools where change and adequate supervi- sion and support can be complex. This included: (1) bell schedules that ensure adequate instructional time; (2) proof of availability of materials in the core English and math classes; and (3) AB 466 training schedules for all teachers and training activities. Revised report cards are in use in elementary schools, which include the essential standards at each grade level. Collaboration schedules and teacher commitment to collaboration con- tinues to grow and improve, with particular gains in the middle and high schools. BP 6000e, Promotion and Retention (adopted October 18, 2006), has been revised to conform/connect to the district’s reform agenda and meet the intent of California law. The policy is based on seven guiding principles, among which are equal access, support for students at risk of failing, and early identifi cation and notifi cation so that interven- tions can be timely and parents can be informed. Focus group sessions have allowed staff members to provide input into the implementation of the policy. A draft of an updated high school graduation policy, when adopted, will further clarify the core curriculum for district high school students. It includes a phase-in to 2009 of increased subject requirements in mathematics and modern languages. A spring 2007 letter from the State Administrator to parents of incoming ninth graders explains the new graduation requirements, which are being phased as a path to greater rigor for all students. 2. By fall 2005, the district had composed the VCUSD Instructional Action Plan, showing the relationship of the vision to the district’s goals and objectives for instructional pro- gram implementation. This plan uses many research-based strategies. The ongoing imple- mentation of objectives in the plan is validated by interviews and documentation. The district leadership notes that the Reading First grant in seven schools is anticipated to bring more rigor and consistency to the district’s K-3 programs. District assessments will need to align with this program. School visits in fall 2006 showed teacher efforts to provide equal access to the core instruc- tion. For example, classroom lessons in mainstream and SDAIE geometry classes addressed a similar topic with different methodologies appropriate to students. Visits to three grade 16 Pupil Achievement levels and three skill levels of high school English classes showed students working on a refl ective/autobiographical incident essay at increasing degrees of complexity. Visits to two secondary schools in spring 2007 with a focus on observations of strategic and intensive classes found that specialized materials for the reading and math levels of students, additional time, and training for teachers in the use of the scripted materials (e.g., Holt Interac- tive Reader, Language! and Reach in reading/English language arts) are in place. 3. The district’s Instructional Action Plan includes objectives for protecting instructional minutes in high school schedules for English and math and sets a date for completing common course guides in the high schools. An action plan for small learning communi- ties in the ninth grade at three high schools delineates the actions that will be taken by the principal, reform coordinator, and other staff to implement standards-based requirements. In fall 2005, the district was identifi ed for Program Improvement and by spring 2006, correc- tive action plans had been developed, along with agendas, minutes, and explanatory pieces that show the district preparing the plans for implementation. The district and schools are required to implement all nine components of the Academic Program Survey (APS) to ensure equal access and equity. This plan will assist district leaders in attaining full implementation of the state standards for reading/English language arts and math. The components of the APS dovetail nicely with much of the work already in progress and are based on three guiding principles—equity, transparency, and collaboration—that the AAA division has promoted and supported in the schools. This plan will help formalize district curriculum work, bring about more open dialogue on student learning issues, and tackle system failures. It is especially helpful that secondary schools, where change is complex, are receiving the guidance and support to address the core curriculum and implement the nine components. In fall 2006, changes in high schools were evident in school schedules, intervention and support classes, and newly implemented formative assessments. In spring 2007, as indicated above, curriculum, student learning materials, and teacher training to address underachievers at the secondary level were evident. The assessment protocols for student placement and the development of entrances onto student graduation paths should help schools avoid the potential inequities sometimes found in grouping practices. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: Pupil Achievement 17 2.4 Curriculum Professional Standard: A process is in place to maintain alignment among standards, practices, and assessments. Progress on Implementing the Recommendations of the Improvement Plan: 1. The May 2005 progress report noted that a standards-based alignment model is central to the State Administrator’s plan to improve student achievement and includes the following: (1) hav- ing clear measurable goals; (2) aligning resources to accomplish goals; (3) monitoring progress; (4) using proven instructional materials consistently; (5) developing immediate interventions at the student, teacher and school level; and (6) providing focused, data-driven professional devel- opment. At that time, the district was in the midst of implementing the model, which is similar to the state’s nine components of program implementation, by focusing on high-leverage strate- gies. The K-5 schools had already benefi ted from a state standards-aligned reading text, the use of pacing guides, the use of common and curriculum-embedded assessments, and training on the adopted ELA materials. Middle schools were using pacing guides to improve access and rigor; administering common assessments for language arts and math, and using structures such as meetings to improve the learning culture. Teachers had been provided coaches and collabo- ration time to review assessment data and work on alignment. High leverage alignment strate- gies for high schools included: examining course offerings; reviewing graduation requirements for rigor and access; developing common course descriptions and end-of-year course assess- ments; and using meetings, department time and walk-throughs to improve instruction. The May 2006 progress report found the process of alignment among standards, practices, and assessments to be further supported by the SAIT corrective action plans required because Vallejo has been identifi ed as a Program Improvement district. The minutes of the District Program Improvement Team (February 13, 2006) for secondary schools show care- ful planning to bring school site employees into the corrective actions as part of the overall effort to align program elements and improve achievement. Administrators and teacher leaders have been given talking points to use with school staffs about the Program Improve- ment effort and the rationale for creating systemwide success. In fall 2006, ongoing alignment work, with evaluation and revision as needed, included: (1) the new promotion and retention policy; (2) revision of the elementary report cards based on identifi ed essential standards; (3) analysis of the effectiveness of the pacing guides and proposed revisions; (4) new adoptions and pacing guides for the intensive intervention classes; and (5) secondary master schedules aligned to meet the diverse needs of students. To sustain this work, the AAA division has reorganized people resources and developed a new structure that can be replicated in other areas. A fi ve-circle logo shows “alignment to improve student achievement” from the board to measurable student outcomes. Another such logo could show the standards alignment, materials, pacing guides, interventions, training and assessments leading to the desired outcome. Overall, the 2006 CST showed a continued upward trend in the percentage of students pro- fi cient and advanced in English language arts (26.7% in 2004; 31.6% in 2005; and 32.6% in 18 Pupil Achievement 2006) and in math (21.3% in 2004; 26.6% in 2005; and 29.6% in 2006), indicating that the process to establish and maintain alignment is achieving some results. There is variation by grade level, school, and ethnic group, and the school population has declined from 2004 to 2006. Comparisons should be considered in the context of declining enrollment. 2. Documents, sign-ups, participant evaluations, and principal interviews show that the align- ment of professional development continues, with progress on AB 466 and AB 75 training. During the summer, about 210 elementary and middle school teachers voluntarily participated in English language arts AB 466 training and 16 of 18 principals participated in AB 75 train- ing. Written evaluations from the participants and reports from the principals characterized the workshops as effective and empowering. A schedule has been developed through January 2008 for AB 466 and AB 75 ELA and math trainings. Math teachers representing all middle schools are participating in a two-year grant-funded program through August 2007 designed to help more students complete algebra successfully. Algebra teachers met in February 2007 to review student misunderstandings and consider strategies to approach these issues in the classroom. Teachers who are teaching support, strategic, and intensive classes for the 2006-07 school year have received specialized training in the use of the materials and pacing guides. The reform coordinators indicate that the program trainer will come to the classroom to assist individual teachers, as needed. Professional development calendars and sign-in sheets for workshops demonstrate the district’s steady effort at the AB 466 and AB 75 trainings that help teachers and principals align standards, materials, assessments and classroom practices. Teachers have committed to trainings during spring break and summer, and sessions for English language develop- ment (ELD) teachers and resource specialists are included. Sign-up sheets and invoices show the district’s ongoing commitment to AB 466 training in math, language arts, and English language development. The summer training calendar was very ambitious. There is a system for tracking teacher completions and bringing new teachers into the system. The assistant superintendent for AAA noted the important role of principals in supporting the training and of teachers who give their own time to it. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: Pupil Achievement 19 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 defi ned professional development in implementing content standards. Progress on Implementing the Recommendations of the Improvement Plan: 1. The recommendation for this standard suggested by the fi ndings during the initial assess- ment and report to the district was for the district to create a plan that would allow the teaching staff and principals to catch up on AB 466 and AB 75 training, a huge undertak- ing considering the district’s size and the fact few staff members had attended these im- portant workshops. The district was considerably behind other school districts in utilizing the special state funding and training program. Subsequent progress reports have docu- mented the steady progress the district has made on this recommendation. The district made the trainings a high priority, and district leaders, principals, and teach- ers all committed time and effort so that a remarkable number of teachers and principals have completed them. Resource specialists and EL teachers have participated in the train- ing and received relevant materials. The summer 2006 training schedule was intensive and included training for teachers in supporting English learners. The training schedule and completions are well documented with calendars, rosters, invoices, evaluations, and various debriefi ngs. A monitoring system identifi es comple- tions and teachers who have yet to attend workshops (mostly new teachers). The cor- rective action plans urge the schools and district to train all ELA and math teachers and principals. Support and coaching for teachers learning new curricula and methodologies is available through teacher leaders in the elementary schools and reform coordinators in the second- ary schools. The district provides support and coaching to principals, and several princi- pals have an outside coach to work with them. In spring 2007, the ongoing commitment to AB 466 was evident in the summer training schedule. Besides training sessions for the core text materials, there is specifi c training for the intervention classes and materials. Mathematics teachers continue to participate in a lesson study approach to Algebra instruction. 20 Pupil Achievement Standard Implemented: Fully - Substantially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: Pupil Achievement 21 3.1 Instructional Strategies – Learning Opportunity Legal Standard: The district provides equal access to educational opportunities to all students regardless of race, gender, socioeconomic standing, and other factors (EC 51007). Progress on Implementing the Recommendations of the Improvement Plan: 1. As the original comprehensive report fi ndings in fall 2004 noted, the district statement on equal access is in board policy, and a non-discrimination clause is included in parent noti- fi cations. In spring 2007, uniform complaint policy and procedures were posted at stations throughout the district in a brochure (copies of the policy could not be found outside the policy manual during visits in 2004). The district has developed a vision state- ment saying that all students will be provided with access to the necessary knowledge and skills to access higher level education and career opportunities. However, a district that provides equal access to educational opportunity has to be proac- tive, and in that regard, the district has made changes beginning in 2007 that indicate an awareness of the learning opportunity issues in the district’s schools and community and the intent to overcome them, some of which include the following: • The use of assessment data to identify students who are not succeeding to intervene with support, placement in differentiated curricula, and critical services. • The collection of behavioral data and the initiation of more systematic approaches to school climate and student behavior issues; for example, pinpointing grade levels and specifi c groups with high disciplinary contact, and proactively adopting a behavioral intervention program in spring 2007, Second Step. • A pilot investigating the use of an EL Teacher Leader who can provide professional development and coach teachers to improve instruction. 2. For the community, a redesigned district Web site is more accessible, attractive, relevant, and timely, though portions are still being developed. On the Web, the agendas and actions of the board are more transparent, and board policies are posted. There is a “how to” section on the site (apply for GATE, fi le a complaint, etc.) that, when fully imple- mented, can help improve parent and student access, particularly as more items are added in key community languages. 3. Beginning in fall 2005, the district provided principals and schools with assessment data showing ethnic subgroup growth over time in an informational workshop session. The gap between and among ethnic groups was identifi ed at that time as a major district concern, and improvement of training, materials, and practices to better serve students performing below standard continue to be addressed in an ongoing and purposeful way. Increasing the achievement of subgroups has required addressing and monitoring the aca- demic growth of special education students and English learners, as well as identifying other struggling students for interventions. 22 Pupil Achievement From fall 2005 to spring 2007, several district initiatives, actions, and research-based practices are evidence of the district’s response to the need to improve access for all learners: • A universal access period for elementary schools with targeted interventions was implemented in fall 2005. Students were identifi ed for intervention based on CST and Datawise scores. A board presentation on October 19, 2005 explained the rationale for an aggressive intervention program backed by people, time, and fi nancial resources as a way to accelerate learning for the lowest performers. The buy-back staff development day at the beginning of school was dedicated to learning about and structuring for K-5 universal access and intervention. Subsequently, the quality and precision of the inter- ventions have changed, with additional improvements and mid-course corrections. • Corrective actions and benchmarks program improvement site plans (spring 2006), which support equal access, have been developed under Title I District Improvement. The March 17, 2006 staff development day agenda shows all staff working on under- achievement and intervention, including a common training session for ELD teachers. • Corrective action plans outline several components for ongoing monitoring of student achievement and interventions for those below grade level, including actions leading to revised master schedules to provide the required number of minutes for students in interventions. • Improvement of access to instructional minutes can be seen in the 2005-06 implemen- tation of class size reduction in third grade and ninth grade English language arts and math, and in the district’s monitoring of master schedules and student enrollments in ELA and math classes that will prepare them for success on the CAHSEE. Middle and high school schedules contain secondary intervention courses. • During the 2006-07 school year, secondary students identifi ed as “intensive” or “strategic” are afforded targeted instruction within the school day. This initiative has required signifi cant work with master schedules and student identifi cation for place- ment, as well as teacher training for and the purchase of Holt, Reach, and Language! materials for use in ELA/reading interventions. • A state math grant, CaMSP, which uses a lesson study model with an emphasis on content, has provided for two summers (2006 and 2007) of intensive workshops, along with four or fi ve school year meetings with the district’s math coaches to con- tinue the lesson study. • High school pathways have been analyzed to show how students in intervention classes can stay on target for graduation and possibly complete a-g courses. • Two hundred sixth graders (scoring Below Basic and Far Below Basic) benefi ted from an EETT grant wherein their teachers were trained to use the Brainchild pro- gram, TI graphing calculators, spreadsheets and other mathematics software, as well as the Internet as tools to support student understanding of mathematical concepts. Pupil Achievement 23 Throughout the 2006-2007 school year, teachers worked together and with coaches to develop lessons, observe student use of technology, and examine the effects of this technology on mathematics achievement. • In spring 2007, observations of secondary intensive and strategic classes in ELA and math validated the actions of the district and schools to ensure that students receive the “catch-up” instruction that they need to continue to grow. Secondary principals noted that they will have fewer students qualifying for these classes in 2007-08, as curricular changes, training, and earlier interventions are having an effect at earlier grades. • In spring 2007, elementary and middle school district protocols for the placement of students in sixth and ninth grade interventions and data analysis sessions at the middle school level to assess progress are evident. Four measures (the CST plus three pro- gram entry level and diagnostic assessments) are designated for use. This process is important for proper placement, making it more objective/scientifi c and lessening the opportunity for strategic and intensive classes to become an updated form of tracking and targeting the student’s programmatic needs more precisely. 4. Several other reform initiatives have converged to contribute to a greater awareness of and commitment to all students, including underachievers, in the district: • Defi nition of the role of resource specialists in addressing the standards and helping to accelerate the achievement of the lowest performing students, including RSP students. Inclusion of resource specialists in AB 466 trainings is part of the integration plan. • A phased-in implementation of the Response to Intervention (RtI) model for spe- cial education, which includes special education students with all other students in a single standards-based accountability model and leads to an integrated service delivery model for students with learning disabilities. The model is data-based and problem-solving in focus and will help reinforce the new data-decision practices emerging in the district. • An analysis of the type of support teachers need to meet English learner needs, result- ing in the use of the teacher leader strategy, used for other instructional changes in the district. Data from a pilot introduced in 2007 at six schools shows the support and coaching model to be promising for EL teacher support, so funding is being sought for 2007-08. • In spring 2007, district leaders reported that over multiple years, English learner gains are occurring at a faster rate on ELA district assessments. • Participation in a summer (2006) institute of elementary teachers who support English learners, using the HM curriculum. • Completion of a CPM self-assessment and State Department review of programs in spring 2007, with no fi ndings related to the district. 24 Pupil Achievement 5. Addressing the achievement gap also means analyzing disaggregated data on attendance, suspension, course enrollments, and grades/credits and developing solutions for students whose school behavior patterns interfere with their learning. Headway has been made in this area: • The State Administrator placed emphasis on improving these important school behav- iors and has begun a regular monitoring process to measure improvement. • A student support services division with a new director was established in fall 2005 to assist schools in monitoring and providing intervention strategies for students whose school behaviors impede their learning. By May 2006, a great deal had occurred in this department, including but not limited to: regular monitoring of student behavior; alternatives to suspension; assistant and vice principal workshops on suspension, expulsion, and alternatives; Site Intervention Teams; a reconstituted “aggressive” SARB; coordination with community agencies such as police and district attorney; and health services, as needed. • Recommendations from the school climate committee were unveiled in fall 2006 for inclusion in the State Administrator’s goals. These included prevention and interven- tion programs to targeted groups of students and parents to increase attendance and improve school behaviors. • Second Step, a cognitive behavior program that teaches problem-solving strategies, was selected and training was under way in spring 2007. 6. Comparisons of student progress over multiple years show an upward trend of students scoring profi cient and above, with variations among grade levels, schools and student groups. Data monitoring for equal access should also include an ongoing review of the percentages of students in the lower categories of the CST, particularly large groups of the traditionally underserved in the district, with comparisons of district performance and progress to that of the state, county, and similar school districts. Comparison of the Percentage of Assessed Students in VCUSD and in the State Performing at Below Basic and Far Below Basic English Language Arts California Standards Test, 2006 Grade VCUSD State VCUSD State VCUSD State VCUSD State All Students Afr American Stu Econ Disadv Stu Stu with Disability 2 29% 27% 37% 42% 37% 37% 73% 56% 3 38% 32% 45% 40% 47% 43% 84% 64% 4 29% 23% 43% 32% 38% 32% 72% 59% 5 30% 26% 42% 35% 37% 36% 81% 63% 6 36% 27% 44% 37% 46% 39% 86% 68% 7 37% 28% 51% 40% 45% 39% 91% 70% 8 35% 26% 46% 27% 44% 38% 85% 69% 9 38% 30% 55% 43% 48% 42% 92% 74% 10 41% 35% 57% 50% 55% 50% 88% 79% 11 43% 42% 58% 56% 55% 34% 96% 84% Pupil Achievement 25 The table shows the percentage of all district students scoring at below basic and far below basic in spring 2006. The range for the percentage of African American students scoring at these two levels, except for grade 2, is from 2% to 19% greater than the state percentage; economically disadvantaged students from 0 to 21% greater; and students with disabilities 9% to 21% greater than state percentages. While this table refl ects only one assessment with well-known vagaries, it is important to fi nd a way to benchmark out- side the district as well as inside for a balanced perspective on student access and growth. Because the groups (not mutually exclusive categories) shown in the table represent a sig- nifi cant part of the student population, their performances impact substantially the overall performance of the district. A second important reason to monitor student performance at all profi ciency levels is to determine the source of the students scoring profi cient or above when that percentage increases. If they are moving from the basic or third profi ciency level rather than from the bottom two levels, that is a different type of achievement gain for the district. Looking at scale scores or standardized items may provide a more thorough analysis. At the time of the spring 2007 review, the California Standards Test (CST) scores for the district were not yet available. Many of the fi ndings during this review indicates that the percentages of students in the lower two performance levels should continue to decline, and perhaps at a faster rate, but it continues to be important to keep these numbers in front of all of the district staff for reality checks. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 New Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: 26 Pupil Achievement 3.2 Instructional Strategies Professional Standard: Challenging learning goals and instructional plans and programs for all students are evident. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s staff have developed and the board has adopted (April 5, 2006) a core cur- riculum policy (BP 6000b) that identifi es the state standards as the basis for learning goals and objectives and ensures equal access to this core of learning. Board policy 6000a provides a vision and the goals for the district in realizing the vision. A draft of a new high school graduation policy includes the increased course requirements in math and modern languages. 2. District leadership developed expectations for a challenging curriculum based on full implementation of the state standards in reading and mathematics and began to act aggressively on these expectations in 2004-05 using several high-leverage, research- based strategies, including consistent materials adoptions, pacing guides, and regular assessments and monitoring, supported with AB 466 and AB 75 professional develop- ment, collaboration and coaching in K-8. New expectations for high school included a-g requirements for all students, common course guides and end-of-course assessments, as well as smaller learning communities. In 2005-06, the district’s instructional plan was developed to extend, formalize, and benchmark the district’s expectations for a challenging curriculum. The district began addressing universal access in the elementary program with additional training and mate- rials for students who required more focused instruction. In May 2006, initiation of the corrective action plans for the schools under the school assistance and intervention teams (SAIT) supported the district’s effort to implement standards-based instruction for all students. It validated and contributed to the signifi cant work already under way in grades K-5 and provided a substantial boost to the full imple- mentation of standards for all students in the secondary schools. A working document showed the district’s analysis of high school graduation requirements by grade level and the need to accelerate learning for strategic and intensive students simultaneously with the goal that all students should meet the a-g requirements and pass the California High School Exit Exam (CAHSEE) for graduation. In fall 2006, the secondary school master schedules had been successfully revised to allow students who required it to receive intensive and strategic instruction, as well as English learner support. Teachers were provided with training and appropriate materials to accelerate student learning programs for students who did not meet standards. Path- ways for high school students to receive this instruction and continue to progress toward graduation were identifi ed. It will be important to monitor expectations and progress of students in these programs to confi rm that student learning was accelerated rather than remediated. It was positive that counselors were included in this work. Pupil Achievement 27 In spring 2007, visits to intensive, strategic and support classes in a sample of secondary schools showed students to be involved in scripted programs at their instructional level. Some class structures provided additional time for students. Teachers using the new programs were provided with assistance and coaching by reform coordinators and, as is the case with Lan- guage!, on-site feedback and coaching from the trainer. 3. In fall 2005, a matrix was developed to demonstrate how categorical and district funds coordinated to support the common work in the schools, such as staff development. A core of district-funded services goes to schools, regardless of the schools’ entitlement to categorical funds. Other categorical funds go to serve the identifi ed students in their re- spective schools. The corrective action planning contributed to the effort to serve students well with the designated categorical funds. In May 2006, new district administrators for the categorical and English learner programs were assigned in the midst of a review and revision of the District Master Plan for Eng- lish Learners. They worked with county consultants to bring the programs into compli- ance. A plan and time line for the master plan documents the process, and a Coordinated Compliance Review (CCR) self-study was scheduled to occur in 2006-07. A fi nal draft of the Master Plan for English Learners was available. A Categorical Program Monitoring (CPM )self-assessment and state department review in spring 2007 validated the categori- cal program compliance. As of fall 2006, single school plans and school portfolios are part of the principals’ evalu- ations and provide an opportunity to refl ect, evaluate progress, and plan. 4. The formal adoption of revised curriculum policies and the VCUSD instructional plan, which marshals the district’s focus and resources toward challenging teaching and learn- ing, are evidence of district leadership to provide for and challenge all students. In fall 2005, the district began work on universal access and intervention that structures support for identifi ed students and which they continue to refi ne and target for a more evidence- based and consistent approach. During the 2005-06 school year, a new student services department began work on many of the issues that impeded student participation in chal- lenging learning programs. In fall 2006, the school climate committee submitted recom- mendations for improvements and programs to address the issues of attendance, student behavior, and parent involvement, and secondary master schedules have been modifi ed for interventions. In spring 2007, district leadership focused on the quality of implementation, noting that “plans are only as good as the implementation of these goals and plans.” Among the evi- dent quality management accomplishments are the following: • School and the district efforts to work with the union to secure more time during the instructional week for collaboration. There are gains in the Reading First schools and several other schools in which staff participate in and support collaboration schedules. 28 Pupil Achievement • Improvement of the districtwide monitoring system, such as assessment reports, teacher skill in using assessment data and the engagement of leadership in the use of data. The district elementary walk-through reveals more accountability on the part of the district, teachers and principals regarding practices and student results. • Development of a new elementary school report card and high school course catalog that refl ect content standards and graduation requirements. • Closing of feedback loops with the support of the Reading First specialists so that dis- trict leaders can provide more relevant feedback regarding goals and practice, which is essential as the district returns to self-governance. • Development of data-based protocols for placement in support classes, and the pro- grammatic training of teachers for these classes, with an emphasis on fi delity to the critical strategies, practices and pace. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 Implementation Scale: Pupil Achievement 29 3.4 Instructional Strategies Professional Standard: Students are engaged in learning, and they are able to demonstrate and apply their knowledge and skills. Progress on Implementing the Recommendations of the Improvement Plan: 1. In fall 2004, the State Administrator articulated the essential elements of the district’s academic programs, using research-based strategies and common texts and assessments to initiate a standards-based program. Two elements of the program are signifi cant for student engagement: (1) the use of pacing guides that focus and maximize instructional time; and (2) the common assessments administered at regular intervals that allow staff to monitor student application of knowledge and skills. By the spring, meeting agendas and supporting materials documented the team collaboration in building a shared understand- ing of an effective instructional program. In fall 2005, the district work was formalized in the Vallejo City USD Instructional Action Plan with eight program components, objectives, benchmarks, and due/completion dates. At that time, additional district actions that support student engagement in the learning program were evident in the following: (1) class size reductions in kindergarten, third, and ninth grade; (2) monitoring of the secondary schedules for student placement in courses leading to graduation and success on the CAHSEE; (3) the establishment of a student sup- port services division to monitor attendance, suspension, and other behavioral data and provide timely and effective interventions to re-engage students in learning; and (4) a vigor- ous and effective effort to provide a smooth opening of school, including qualifi ed teacher staffi ng, so that instruction could start on the fi rst day of school. At the secondary level, school reform coordinators provide a common, standards-based instructional program for each core course; create and implement a system for monitoring student progress; and use district support structures effectively to meet student needs. By May 2006, substantial strategies to support student engagement came from the student support services area where several efforts were under way to get truants into school and to reduce the impact of suspensions on student engagement in school. There is also signifi cant evidence of the success of the district’s focus on universal access, intervention strategies, master schedules that support all learners, and inclusion of resource teachers and ELD teachers in the standards-based teacher and principal trainings. In fall 2006, secondary schools were brought more fi rmly into the district’s reform with the introduction of formative assessments in the high schools and the work on master schedules that allows students who need intensive, strategic, or language interventions to be appropriately placed. Training and materials have accompanied this effort. • Observations of a small sample of schools in fall 2006 showed that students in the elementary and middle schools were clearly on task and focused; the high school 30 Pupil Achievement student engagement rate varied. The protocol for schoolwide classroom walkthroughs includes an assessment of student engagement. • Observations of ELA and math interventions and ELD support classes in a middle and high school during two days in spring 2007 showed the results of ongoing efforts to engage and accelerate students who have fallen signifi cantly behind their peers. While students in this category, who are grouped for instruction, are more likely to be off-task, most students in the classes observed were engaged in the lessons. The exceptions noted in the sample were in intensive ELA classes with new teachers or ELD classes without a fully qualifi ed teacher. • Observations from walk-throughs, according to district and school leaders, indicated that professional development, fi delity to the programs, and collaboration is combin- ing to create classrooms where students are more engaged rather than less engaged as some had predicted. 2. During summer 2005, 210 teachers began the AB 466 training sequence and 16 of 18 elementary principals began the AB 75 training. There is a written plan to complete the reading and math training sequence. In May 2006, there was additional documentation of teacher and principal training. The corrective action plans for district program improvement have given more impetus to this training. As outlined in other standards (see Standard 2.9), training continues and is moni- tored for participation and completion. In spring 2007, the effort, resources, and leadership that has brought focused professional development to the district’s teachers continues to be remarkable in its outcome, particu- larly the monitoring that seems to keep any teachers from slipping through the cracks. 3. The district began the use of the Datawise system in the fi rst year of the reform to make common assessment information available, and training was provided. With input from the principals, the 2005 CST data were arranged in a more useful format, providing use- ful disaggregations. Principals report that student data are central to their school and district work. Rosters show that the disaggregation of assessment data is available at the student level for intervention placement. In May 2006, there was evidence that the elementary school staffs were learning to use the data to identify students for targeted interventions and that progress was already apparent in elementary schools where several variables—a strong intervention program, quick results with the lowest performers, and high student engagement—converged to bring about successful implementation. Early results indicated that interventions in middle and high schools have improved, supported by the corrective action plans. In spring 2007, principals and the district’s leadership showed that walk-through data was collected systematically and used to improve the quality of the ongoing work in schools and classrooms. An example from Cooper Elementary School showed data collection and analysis using a three-question procedure, and decisions for next steps to improvement. Pupil Achievement 31 Another example showed a school tallying the types of student feedback in use and com- piling the data for analysis. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: 32 Pupil Achievement 3.5 Instructional Strategies Professional Standard: The district and school staffs promote and communicate high expectations for the learning and behavior of all students. Progress on Implementing the Recommendations of the Improvement Plan: 1. Key instructional policies adopted by the board on April 5, 2006 communicate the ex- pectations for district students: Board policy (BP) 6000a, Vision and Goals; BP 6000b, Core Curriculum, which designates the California standards as the expected student cur- riculum; and BP 6000c, Assessment and Testing. Board policy 6000e, Promotion and Retention, establishes criteria for decisions about student promotion. Board policy 5000a, Student Discipline, which outlines behavioral expectations for students, was adopted in spring 2007. In fall 2006, other actions by the district and school leadership to promote and communi- cate high expectations for learning and behavior included the following: a. The school climate committee made recommendations that, when implemented, will improve student behavior and support a strong learning environment. Collection of baseline data will provide for the ongoing monitoring of progress in this area. b. The district developed a draft of a new high school graduation policy with increased course requirements; c. The district expanded regular assessments and systematic and aggressive interven- tions into the secondary schools with a supportive master schedule; d. The district provided orientation to special education Response to Intervention (RtI) and professional development for special education teachers; and e. The district developed another draft of the Master Plan for English Learners. 2. Principals have been directed by the district’s leadership to share the new policies with the community and school staff. Principals have participated in the development and implementation of new policies through a special principals’ retreat and meeting agendas. The planned design of the new Web site includes making the board policies, vision, goals, and expectations available online. It is the practice of the AAA division to connect all initiatives to the expectations for stu- dents so that high expectations for adults are correlated with outcomes for students. Staff development days are well planned, with written communications that show the reasons for activities and how they connect to the district’s overall vision and expectations for students. The aggressive intervention program sends a clear message that there are high expectations for all students and that all staff members are enablers of these expectations. Pupil Achievement 33 In fall 2006, it was evident that teacher expectations for students and accountability for student learning was increasing, indicating a change from a culture of blaming students and parents for learning issues. In March 2007, a climate and culture meeting provided the opportunity for the AAA and student services staff to consider a systematic approach to school climate that will encourage and support academic achievement. Staff members developed a theory of action and evaluated the district’s practice in the following areas: agreed-upon vision, policies and practice, positive student discipline, classroom management, and clear responsibilities. The district subsequently adopted the Second Step program to communi- cate expectations for student behavior, and purchased materials and began training. 3. The direction to the staff from the State Administrator is that new policy statements should refl ect short- and long-range goals to build trust and confi dence. The goals of the State Administrator and the board include seeking a long-term solution to the fi scal crisis and a commitment to build the resources and ability of the district to sustain improve- ments when local control is returned. The State Administrator’s messages to the staff and community communicate high expectations for students and for the performance of all systems in the district on behalf of students. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: 34 Pupil Achievement 3.8 Instructional Strategies Professional Standard: Principals make formal and informal classroom visits. Based on these visits, principals provide constructive feedback and assistance to teachers. Progress on Implementing the Recommendations of the Improvement Plan: 1. In 2004-05, the district implemented a formal walk-through protocol and follow-up feed- back plan at the elementary level. Principal and lead teacher agendas indicate that train- ing and support is ongoing and provided at all levels as a strategy to support standards implementation. The district is aligning all systems, including formal evaluation, with the district’s achievement agenda. A planning calendar for secondary instructional leadership for 2005-06 included assigned roles and showed the preparation for aligning the secondary program with district goals by learning new tools such as a feedback protocol. In 2006, lead teachers and principals indicated that classroom walk-throughs had become an established practice. Walk-throughs are based on a district observation protocol that includes items such as the rate of student engagement. In some schools, other teachers may participate in these walk-throughs as well. Lead teachers identifi ed walk-throughs as a key strategy for working with teachers and identifying needs. In spring 2007, district leaders have compelling evidence that walk-throughs are a systematic component of all levels of the system. The visits are designed to monitor student progress and promote improved teacher practice through performance feedback. Walk-through data are systematically collected, summarized and analyzed so that consensus can be reached about best practices and needed improvements. Evidence of systems can be found in the visitation schedules and various observation tools, including those accompanying texts in use and those developed by a school to collect data on a topic of interest, such as strategies to engage all students. External support staff hired by the district have helped the district make progress in this area by assisting the district in raising the level of accountability for systematic visits and the visibility of site and district leadership in classrooms. 2. In 2004-05, the district developed three memoranda with time lines describing the ele- ments of principal evaluations at elementary, middle, and high schools. These elements are organized according to the State Administrator’s fi ve goals, and supervisors are assigned. The documentation includes a sample of a midyear progress report. Principals’ evaluations are tied to student achievement. In fall 2006, the district’s leadership identifi ed the expectations for and the supervision and evaluation of principals as key to success. Sample evaluations demonstrate the consistency of evaluation elements and the individualized feedback that principals receive. Principals of at-risk schools receive additional support, including coaching by an outside provider. Pupil Achievement 35 3. Documentation in May 2005 showed that elementary school principals received train- ing in data use, in conducting classroom observations and in data analysis. A principals’ meeting/workshop agenda (Sept. 28, 2005) showed that principals were provided with strategies to refocus teacher evaluation on student achievement goals, including help- ing teachers set objectives linked to district goals and strategies. Principals were also provided with norms for writing objectives and received a sample evaluation plan. The workshop and materials demonstrated how the contract evaluation form based on the California Standards for the Teaching Profession is used to support the district’s focus on student achievement (see also Standard 5.7.). In fall 2005, principals had received a list of teachers to be evaluated, with time lines. This met a need that had been identifi ed in fall 2004. The principals had been evaluated during the 2004-05 school year based on the state administrator’s goals and found the process very helpful. Principal and teacher leader interviews during two visits in 2006-07 indicated that formal (summative) evaluations of teachers are supported by walk-throughs and ongoing feedback and coaching (formative evaluation). The principals’ own evaluations are sup- ported by a school portfolio and a log of walk-through data. Principals feel accountable for student outcomes and overall school performance, but they like the partnership with district leaders to address learning issues, solve problems and self-correct during reform initiatives. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: 36 Pupil Achievement 3.10 Instructional Strategies Professional Standard: Clearly defi ned discipline practices have been established and communicated among the stu- dents, staff, board, and community. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district offi ce reorganized and restaffed in 2005 to form the Student Support Services Division with a director and three coordinators. Their roles center on assisting all schools with appropriate responses to student attendance, behavior and health issues. This in- cludes monitoring and intervening as needed through processes such as the school atten- dance review board (SARB) and establishing relationships with community agencies that are involved with youth. Board policy 5000(b), Student Attendance, is in draft form. In May 2006, a semiannual report from the Student Support Services Division provided a list of accomplishments to date and activities in progress. Some signifi cant work has occurred on behalf of students, including but not limited to the design and implementa- tion of a SARB that is aggressive, consistent, and effective; the implementation of the FAST family improvement program in seven elementary schools; collaboration with community agencies to participate in SARB hearings; and coordination of a School Resource Offi cer program. In fall 2006, the State Administrator unveiled his planned actions for responding to the fi ndings and recommendations of the school climate committee, including (a) select and implement a core schoolwide behavior program designed to create a safe, positive learn- ing environment; (b) provide the training needed to teachers and other staff to ensure the successful implementation of the selected program; (c) provide training and follow-up support to all staff needing or desiring classroom management support; (d) use progres- sive discipline strategies consistently across schools and classrooms; (e) restructure the campus supervision program; (f) build greater understanding among parents regarding student behavior and their role in their child’s success; (g) monitor consistency of adult behaviors at the school and classroom level; and (h) strengthen the use of the district phone system and other avenues of communication. For the 2006-07 academic year, a four-page document outlines the behavioral expecta- tions for students and the role of the school and parents in upholding the expectations. It is clearly written and, although it notes consequences, it is not threatening. Board policy 5000(a), Student Discipline, was adopted in spring 2007. In March 2007, a planning meeting set the stage for the AAA and student services staff and representatives from schools to consider a systematic approach to school and district climate and culture that will encourage achievement. They developed a theory of action and evaluated the district’s practices in six areas: agreed-upon vision, policies and practice, positive student discipline, classroom management, and clear responsibilities. One outcome of establishing the school climate committee will be the development of a corrective action plan to guide the district in this regard over the next two years. Pupil Achievement 37 The district has adopted the Second Step program to communicate expectations and teach processes for appropriate student behavior, and has purchased materials and begun to train staff. This cognitive approach to behavior change and life skills has a promis- ing research base. In 22 lessons it targets manners, attitudes toward authority and one another, and teaches communication and negotiation skills. The program focuses on early grades through the ninth grade. The student services staff believe that grades six and nine should be targeted because data show that these grades are pressure points for students. Everyone at the school is trained in the program, including bus drivers and cafeteria workers. 2. The Aeries student information system has been implemented to assist staff in the ongo- ing monitoring of attendance, suspension, and monthly dropout data. System and report generation training has been provided to principals and offi ce managers. Several princi- pals stated that they regularly use the reporting mechanism, as well as attendance/truancy letters and parent notifi cations required by law, which include student behavior standards and basic discipline. Documentation in 2005-06 showed that the AP/VP meeting was dedicated to professional development regarding expulsions, suspensions, and behavioral interventions. Outside expertise was brought in to assist with these sessions. In spring 2007, principals received a review of Education Code Section 48900, with an emphasis from the student services staff on providing due process for all. 3. The district dedicated a staff development buy-back day in August for staff to learn about and plan for structuring a universal access and intervention block to address the diverse needs of elementary students. Teachers also learned to use the Systematic Instruction in Phoneme Awareness, Phonics and Sight Words (SIPPS) assessment and placement instru- ment to place students in the three levels of the elementary program. At the secondary level, intervention courses have been identifi ed, including courses that provide curriculum sup- port, CAHSEE support and support for various levels of English language learners. In 2006-07, intervention classes for math, English language assessment (ELA), and Eng- lish language development (ELD) have been included in the secondary master schedules for students identifi ed as intensive or strategic, and in support classes for English learners. Teachers are provided with training and materials and sometimes with technology to help them work with diverse learners. 4. School staffs have been trained on the Aeries system, including its report-generating functions. 5. The student services division monitors student behavior and provides interventions and options. The spring 2006 semiannual report from student support services showed that routine monitoring of student suspensions and attendance was occurring. The department is also systematizing and monitoring other student processes, such as interdistrict and intradistrict transfers and work permits. For the 2006 opening of school, the State Administrator demonstrated the power of moni- toring data on student behaviors with an analysis of the types of referrals, the character of student absences and the relationship of GPA to absences. From the initial data analysis, 38 Pupil Achievement it was clear that behavior incidents peaked during the transition years from elementary school to high school, so that grades six and nine are critical periods for preventive behavior programs. In spring 2007, district data were analyzed to determine a baseline for attendance, referrals, expulsions, and other factors so that progress can be monitored in schools as behavior support strategies change with the implementation of the new behavior program, Second Step. Schools have a report of class referrals by teacher. Student services staff report a decline in the dropout rate as a result of independent stud- ies and the systematic use of work permits as an incentive for school attendance. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating 7 Implementation Scale: Pupil Achievement 39 3.11 Instructional Strategies Professional Standard: School class size and teacher assignments support effective learning. Progress on Implementing the Recommendations of the Improvement Plan: 1. District staff created and implemented a plan to accurately report and assign students to classes. The staffi ng and enrollment time line for 2005-06 indicated the activity, due date and who was responsible. Principals reported that work on the staffi ng plan, along with the more effective recruitment and hiring of teachers, contributed to a smooth opening of school and balanced classes in fall 2005. The R-30 and principals indicated that ELD stu- dents were placed with appropriately credentialed teachers. In spring 2006, work on enrollment projections and teacher recruitment for the 2006-07 academic year was well under way. Master schedule planning included working out appropriate instructional minutes for interventions. In spring 2007, visits to ELA strategic and intensive classes and math support classes in the secondary schools showed that students not only had the advantage of trained teachers and targeted instructional materials, but smaller class sizes. School principals and district staff continue to note the quality work done to accurately project enrollments and staff the schools in a timely manner with qualifi ed teachers, while maintaining class sizes and timely assignments of students to classes. Visits to a sample of classes in spring 2007 also found the following class size and staff- ing practices that should receive further consideration: (1) the assignment of new or relatively inexperienced teachers to secondary intervention classes; (2) the size of some secondary ELD classes; and (3) the lack of an adult tutor in some secondary ELD classes. 2. Class size reduction in kindergarten, third, and ninth grade English and algebra was implemented for the 2005-06 school year. The district will add one counselor to each middle school for the 2007-08 school year, and an additional counselor will be added to Vallejo High School and Bethel High School with special funds. 3. During the 2004-05 and the 2005-06 school years, the State Administrator conveyed to the staff and community the nature of the district’s fi nancial issues and the district’s prog- ress in addressing fi nances while keeping student achievement at the forefront. Principals report a great deal of trust at the school sites for the state administrative team for the open communication and for keeping student achievement as the top priority even as the dis- trict recovers from fi nancial crisis. This was demonstrated through the reinstatement of class size reduction and the commitment to monitoring teachers’ average class sizes. 40 Pupil Achievement In fall 2006 the State Administrator also communicated the district’s current fi scal and achievement status to the district’s staff. The fi scal information is also contained on the district’s Web site. In spring 2007, four dates were established for the administration’s district coffee tours, with space for 20 individuals, to show parents and residents the district’s students and its schools. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: Pupil Achievement 41 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. California English Language Development Test (CELDT) results from 2005-06 showed that 82% of the district’s K-12 English learners were in the top three profi ciency levels: advanced, early advanced and intermediate. The following table shows that the percent- age of the district’s English learners who have attended California public schools for 12 months or more and who are ranked in the lowest two categories (below basic [BB] and far below basic [FBB]) on the 2005 California Standards Test (CST) is less than the state- wide percentage of English learners in these category in all grades except grade 6. Grade 2 3 4 5 6 7 8 9 10 11 VCUSD # ELL Tested 424 365 298 238 178 193 190 156 149 107 VCUSD % BB & FBB 29% 42% 37% 37% 61% 58% 61% 55% 69% 79% CA % BB & FBB 41% 49% 39% 48% 57% 59% 61% 64% 75% 80% In 2004-05 the district’s redesignation rate for students ranked in these categories was 10.6%, which was below the county rate of 15.3% and above the state rate of 9.0%. In 2005-06, the redesignation rate (to FEP) increased to 15.2%, which was higher than the county rate of 11.6% and the state rate of 9.6%. The 2005-06 Title III accountability report from the state indicates that the district met all three annual measurable achievement objectives (AMAOs): (1) 56% of students made annual progress in learning English, exceeding the target of 52%; (2) 37.1% of students attained English profi ciency on the CELDT, exceeding the target of 31.4%; and (3) The English learner subgroup attained adequate yearly progress in English language arts and mathematics with regard to both participation and percent profi cient. 2. Implementation of the universal access and intervention block in elementary schools sup- ports English learners at their designated level in meeting state standards. Teachers have been provided with professional development in the key elements of English learner pro- grams in the areas of compliance and good practice. In May 2006, a sample of programs and CELDT scores for high school students showed that English learners could access the core curriculum. Almost every student had six classes, including English Language Development and Specially Designed Academic Instruction in English (SDAIE) math. In addition, most students had SDAIE classes in social studies and/or science. Beginning level students had more than one class in ELD and/or English, and English learners participated in district interventions to increase stu- dent success on the CAHSEE. 42 Pupil Achievement All students now participate in the core English language arts and math program, as well as in an access period that provides extra English for English learners, support for students below grade level and enrichment for advanced students. The district’s English language teacher leader provides extra support to the six elementary schools with the highest level of need. In fall 2005, principals reported that the percentage of teachers with CLAD training was rising and that they could staff schools appropriately for English learners. In May 2006, the R-30 reports for each school showed that all teachers providing instruction to English learners had appropriate credentials. The Corrective Action Plan (February 2006) requires the district to ensure that all core content teachers receive CLAD/BCLAD training and that the human resources department maintains accurate records of CLAD credentials. In the spring of 2007, the assessment of the EL program director was that approximately 75% of teachers have CLAD, BCLAD, CTEL or other certifi cation. The percentages are higher at the elementary schools than at secondary schools. One teacher leader indicated that there is some diffi culty in getting certifi ed middle school staff. The state numbers for 2005-06 indicated that of 880 teachers, 522, or 59.3%, were providing SDAIE or ELD instruction to EL students. The district is still providing classes to help teachers obtain the certifi cation. 3. The current district master plan and related documents help communicate the expecta- tions and articulation of the K-12 program. While transitions between levels can be dis- ruptive to all students, they are especially diffi cult for English learners. In May 2005, the district had a stated objective to shorten the waiting time for CELDT reports to no more than two weeks and to revise the structured interview form for secondary students. Wait time for CELDT results, though within the legal limit, may leave students in an inap- propriate placement. In fall 2005 these objectives were not yet verifi able because of personnel changes in the ELL offi ce. In May 2006 the program was undergoing a thorough revision. In fall 2006, a new draft of the English learner master plan was comprehensive and professional. The new district categorical department is now fully staffed, and staff have received assistance from the state and the county offi ce in building better budgets and trainings. As a result, the staff are able to distribute CELDT information faster so that student placement occurs in a timely manner. Parental support has also improved. Assessment staff discovered that providing parents a wait- ing room for summer assessment resulted in more information being sought and exchanged between parents and staff. Staff now hope to use this vehicle for parent education in the future. The redesigned Web site is still under development; it is not yet useful for non-English speakers. 4. The district and county offi ce provide extensive staff development for teachers and bilin- gual assistants in strategies for English learners. Secondary master schedules have class sections for English language development and SDAIE. Students observed in SDAIE math classes were engaged in lessons with the same topics as a mainstream class. Pupil Achievement 43 In 2006-2007, the district provided staff development with Charlotte Knox and tools for bilingual tutors. When not working with students, tutors work on their cumulative folders and similar tasks. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 New Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: 44 Pupil Achievement 4.1 Assessment and Accountability Professional Standard: The district has developed content and learning standards for all subject areas and grades that are understood and followed by school site staff. Progress on Implementing the Recommendations of the Improvement Plan: 1. On April 5, 2006, the district’s governing board adopted BP 6000b, the Core Curriculum Policy, which identifi es the state standards for English language arts, mathematics, sci- ence and history/social science as the district’s core curriculum. A new high school gradu- ation policy that includes increased subject requirements beginning with the class of 2009 is awaiting board review and approval. 2. There is no district guide to the standards; however, the district publishes pacing guides for English language arts and math and assists school site staff in implementing the state standards. The district’s instructional plan indicates that common course guides/pacing calendars for high school will be developed by department committees beginning with core and entry level classes, including world languages, in August 2006 and ending with all core subject courses completed in August 2008. Subjects such as art and music are not included in the plan. Job descriptions for the secondary reform coordinators state that they will “provide a common, standards-based instructional program for each core course so that all students have access to consistent and rigorous instruction and the support to be successful in meeting the new graduation requirements.” The corrective actions and benchmarks in the School Assistance and Intervention Team’s (SAIT’s) action plans focus on implementing the state standards, including interventions to help the lowest performing students meet the standards. The plans are an adjunct to the district’s plan, are well understood and are followed by school site staff. The ongoing commitment to training staff in implementation of standards-based material, the use of benchmark assessments, and methods of differentiation and intervention is still evident and clearly contributes to staff members’ understanding and efforts. 3. The implementation of standards-based texts, pacing guides, assessments and profes- sional development has resulted in greater understanding and discussion of the standards in grades K-8. High school teachers are also involved in standards implementation, in- cluding pacing guides and common formative assessments for English language arts and math. Secondary school master schedules and class visits demonstrate the progress made at the high schools in understanding and commitment to standards-based instruction for all students, including targeted assistance for those who need intervention or support in strategic and intensive classes. These intervention classes are operating and are part of the master schedule. Pupil Achievement 45 4. Teachers have time to collaborate, analyze assessment results and plan, which increases their knowledge of the standards and their skill and accountability in teaching standards- based lessons; teachers have parsed the state standards for their essential or critical teach- ing components. The district is implementing a revised report card for elementary schools that shows the essential components for each standard, providing parents with more specifi c information about student progress. The corrective action plans have helped the schools, particularly secondary schools, clarify what is needed to implement standards for all students. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007: 7 Implementation Scale: 46 Pupil Achievement 4.2 Assessment and Accountability Professional Standard: Student achievement is measured and assessed through a variety of measurement tools (e.g., standardized test, portfolios, projects, oral reports). Progress on Implementing the Recommendations of the Improvement Plan: 1. Regularly administered assessments and timely communication of information to teach- ers support the district’s progress monitoring and improve performance in English lan- guage arts and math. In addition, the state physical fi tness, STAR, CAHSEE and CELDT assessments include components that are standardized, referenced to criteria and based on performance. Common assessments are administered in high school English and math classes, and the CAHSEE is administered three times per year. In addition, high school students are given oppor- tunities to take College Board exams. Assessments are modifi ed or differentiated for students in intervention programs, includ- ing special education and English language development, and are key to determining placement in intervention and support classes. Improvement of the CELDT assessment process has resulted in more timely communication of information to the schools. Teachers evaluate students using a variety of assessment tools including projects, written products, oral presentations and portfolios. In 2006-07, curriculum-embedded and diagnostic assessments accompanying the Holt, Reach, and Language! materials for strategic, intensive and support ELA classes are part of the assessment protocol used for placing students in strategic and intensive classes. 2. Teachers, coaches and principals receive ongoing professional development regarding assessment analysis and decision making. Time is regularly set aside to improve skills re- lated to administering assessments and using assessment results. The district’s assessment plan for 2005-06, testing calendar and schedule for producing, delivering, and collecting common assessments all demonstrate a level of organization and work suffi cient to main- tain an ambitious program using a variety of measurement tools. The assessment calendar for 2006-07 also attests to the increasing complexity of assessment management and the district’s commitment. It is clear that measurement for improvement is a district priority. Pupil Achievement 47 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: 48 Pupil Achievement 4.3 Assessment and Accountability Professional Standard: The assessment tools are clear measures of what is being taught and provide information for the administration and staff to improve learning opportunities for all students. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district employs the theory that regular assessment, professional development and collaboration provides leaders with the tools needed to increase achievement. The dis- trict’s leadership is implementing a plan of regularly administered common ELA and math assessments that are aligned with the state standards. The Datawise system is being used to develop formative assessments from an item bank, assess students and analyze the results. Initial reports provided K-8 teachers with data regarding student strengths and gaps; high school assessments for English and math were introduced in fall 2006. The district monitors the use of data reports and trains teacher leaders to coach teachers in grade level collaboration on data analysis and data-based decisions. In May 2006, the district moved aggressively to improve learning opportunities for all students with interventions for the lowest performers. The impetus and validation for this effort has been the corrective action plans for Program Improvement. The plans are very helpful in the secondary schools, leading to master schedule analysis and a more data-based approach to intervention. The district has now developed a school-by-school intervention monitoring system. In 2006-07 the district developed schedules that included intervention and support classes for lower performing students identifi ed using a protocol based on multiple achievement measures. These classes operated in the fall of 2006 and spring of 2007. Assessments have played a critical role in the proper placement of students in the classes and in the quarterly benchmarks of student progress. High school exit exam results are used to identify and place students in support and tuto- rial classes. 2. K-8 and high school assessments are aligned with common texts, pacing guides, curricu- lum-embedded professional development and teacher collaboration, with a focus on pro- viding all students the opportunity to learn essential standards. The student achievement monitoring system is well supported and supervised by district and school leadership. District leaders believe that elementary school interventions are systematic and that high school interventions are well under way for the 2006-07 school year. Assessment-based placement protocols help ensure consistent placement decisions and prevent some of the missteps that can occur when grouping students. Pupil Achievement 49 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating 8 Implementation Scale: 50 Pupil Achievement 4.4 Assessment Accountability Professional Standard: Teachers and principals are provided assessment data in a timely and accessible format with training to analyze, evaluate, and solve issues of student performance. Progress on Implementing the Recommendations of the Improvement Plan: 1. District leaders’ actions include support for assessment events, timely data return, training in data use and teacher collaboration time for data analysis. Common formative assess- ments, time for analysis, and the expectation that data will guide schoolwide and class- room decisions are critical to the district’s instructional reform plan. Teachers are given state assessment data as well as the formative assessments that are administered to ascertain progress. These assessments become the content for much of the teacher collaboration time, which interviews indicate is becoming part of the district’s culture; teachers work independently and demonstrate accountability for learning issues in their classrooms and in the school. In 2006-07, the use of assessment data to provide targeted intervention and assistance at all grade levels highlighted the importance of assessment data for many staff members and provided more rationale for the amount of time given to assessment. The district staff and some school staffs have tried to come to agreement about how to fi nd more time for collaboration in the teacher work day to improve participation in col- laborative sessions. 2. The 2005 STAR and CAHSEE data from the state is broken down by ethnicity, socioeco- nomic status, English learner, disability, and gender. Data is accompanied by questions regarding how to think about the data, relate it to the district’s goals and monitor prog- ress. Teacher leaders and principals are provided with talking points to use with staff. The State Administrator uses achievement data to identify accomplishments and under- achievement issues. The staff are also using data for (a) the end of school review during which school teams evaluated progress with reference to assessment data and other evidence; (b) the district leadership team meeting in August at which 2006 STAR data were reviewed during discussion of the elements of sustainability; and (c) assessments to determine the need for student intervention and support. It is evident that staff members’ success in using achievement data to improve and address student needs has contributed to a willingness to use student behavior data (such as attendance, referral and suspension data) more systematically to measure the effects of a new student behavior program to be implemented in the new school year. The ability to relate achievement and behavioral data should help the district more effectively identify and address issues more effectively. Pupil Achievement 51 3. Meeting agendas show that principals and teachers have had input into the kind of data reports they would like, and that they have chosen results over time with a focus on subgroup breakdowns, as well as CST item analyses and individual reports. Principals reported that they have these data packages as well as sessions regarding how to interpret and use the data. Most indicated that they have studied the data with their staff. The school packet for the state assessment data included (1) a cumulative summary of the percent of students at each performance level of the CST from 2002 to 2006 by grade level and (2) subgroup reports from the state reports and from the CAHSEE and CAPA, where applicable. 4. On April 5, 2006, the board adopted BP 6000c, Assessment and Testing, which commits the district to using standards-based assessments to monitor the effectiveness of educa- tional programs and practices, including under-performing subgroups. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: 52 Pupil Achievement 4.6 Assessment and Accountability Professional Standard: A process to identify struggling 9-12 students and intervene with additional support necessary to pass the high school exit examination is well developed and communicated to teachers, students, and parents. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s high schools offer tutorial and parallel classes for the English Language Assessment (ELA) and math sections of the CAHSEE. At the start of the 2005-06 school year, district staff verifi ed that students who had not passed one or both sections of the CAHSEE were enrolled in these classes. In spring 2006 the district provided Kaplan’s CAHSEE Advantage program training for staff who tutor students. The program provided test taking strategies, critical thinking skills and a review of key content. High school master schedules for fall 2006 show that English and math exit exam classes are blocked into the school day. In 2006-07, targeted interventions in middle school and ninth grade ELA and mathemat- ics led to earlier assistance for students who might otherwise struggle to pass the exit exam or to succeed in high school coursework. 2. The district’s redesigned Web site has a place for student assessment and achievement information, but it does not work consistently. The Web site should include CAHSEE information, including sample questions and support services such as a link to the state CAHSEE site. A letter sent to the parents of grade 12 students in February 2006 outlined the conditions for participating in graduation ceremonies. Students graduating in 2006, 2007 or 2008 may participate and will receive a certifi cate instead of diploma if they meet credit and course requirements but not the CAHSEE requirement. Beginning in 2009, most students must complete both the CAHSEE requirement and other requirements to participate in graduation. A letter from the State Administrator to incoming ninth graders in the spring of 2007 pro- vides expectations for course work and assessment. 3. CAHSEE handbooks are distributed to schools. 4. A draft of the revised high school graduation policy and a new assessment policy address the exit exam requirement. A separate policy or regulation for the CAHSEE might resolve the issues resulting from having different aspects of the assessment and its consequences spread out over several policies. Pupil Achievement 53 Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2 2007 Rating: 7 Implementation Scale: 54 Pupil Achievement 5.1 Professional Development Professional Standard: Staff development demonstrates a clear understanding of purpose, written goals, and appropriate evaluations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s instructional plan includes staff development goals for teachers and prin- cipals that focus on the district’s priorities. District workshops demonstrate clearly stated purposes and objectives. Rationale connect the workshops to the district’s goals, and evaluations are carried out to gauge the workshops’ effectiveness. The intent of BP 4131.6, Professional Development, is being met; however, the district should consider revising the policy to align with new district goals and practices. Just as the district’s reform methods focus on standards implementation and alignment with textbooks, pacing guides, and common assessments, the staff development plan focuses on providing training to support the implementation. AB 466 training for teachers and AB 75 training for principals has been used to move the entire staff forward in less than two years. Special education teachers and English learner teachers have been included in these train- ings. Regular education teachers have also been provided with staff development regard- ing language acquisition and response to intervention (RtI). 2. A calendar of professional development events for teachers, principals and vice/assistant principals is available, as are a calendar and descriptions of the teacher leaders’ ongo- ing training and work. A contracted provider works with new teachers on the beginning teacher support and assessment (BTSA) program, as shown by a two year calendar of events. The district also maximizes professional development resources by structuring and moni- toring collaboration time, buy-back days and routine meeting agendas so that staff time is used effectively to support standards implementation. A matrix demonstrates how district and categorical funds are coordinated at the district level to support key district initiatives, including professional development. 3. One compelling element of the reform is the thought that goes into planning and evaluat- ing professional development. Because the district is aware that staff time is limited and that professional development time is critical to reform, there is stewardship of teacher and principal collaboration time, meeting agendas and available buy-back days to help maintain focus. Agendas are planned and debriefed, and the rationale are clear and based on student needs. A one-day progress review in June 2006 allowed principals and leadership teams from each school to refl ect publicly about the reform work and collaborate with colleagues to Pupil Achievement 55 build shared meaning and accountability. The day was carefully planned and facilitated, and the results were documented. Another one-day review will occur in the summer of 2007. Agendas for middle school and secondary school teacher leaders in 2006-07 show the planning for collaborative meetings, including expected outcomes, ongoing review of progress, opportunities to think about how an action might play out, and stewardship of time. Successes were also analyzed to help teacher leaders understand what works. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: 56 Pupil Achievement 5.2 Professional Development Professional Standard: Staff development provides the staff (e.g., principals, teachers, and instructional aides) with the knowledge and the skills to improve instruction and the curriculum. Progress on Implementing the Recommendations of the Improvement Plan: 1. From fall 2004 through fall 2006, district, school and teacher leaders moved steadily to provide teachers and principals with the knowledge and skills to improve student perfor- mance on the state standards. The plan of action included aligned materials for reading and mathematics, pacing guides, frequent common assessments of progress, collaboration time, adequate instructional minutes for reading, interventions and support, and teacher and principal professional development with an outside provider. Teacher leaders and reform coordinators are trained to support and extend the new skills and knowledge of teaching staff and principals. The district’s corrective action plan supports implementa- tion of the essential components of a standards-based instructional program, one of which is aligned staff development. An ongoing training schedule tracks AB466 training and intervention/differentiation training for teachers, resource specialists, ELD teachers and bilingual assistants. Mathematics department staff development is linked to two grants, one of which uses lesson study for improvement and another that is linked to computer-assisted curriculum. There is evidence that staff development is tightly linked to key district strategies and has addressed more deeply the district’s more diffi cult learning issues. There is a willingness to use outside resources when they meet student and/or program needs. Instructional leaders show purposeful staff development, including collaboration time and leadership meetings, and fi delity to the selected program Minutes of leadership meetings indicate that some of this work is diffi cult and that issues are discussed. A critical component of providing staff with knowledge and skills is the ongoing monitoring and troubleshooting that is evident in the minutes. 2. The district provides assessments and progress reports every six to eight weeks using the Datawise system. During teacher collaboration time, teacher leaders provide support in the use of data to plan instruction and interventions. Data analysis and use is also a rou- tine part of principals’ meetings. Pupil Achievement 57 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 8 Implementation Scale: 58 Pupil Achievement 5.7 Professional Development Professional Standard: Evaluations provide constructive feedback for improving job performance. Professional devel- opment is provided to support employees with less than satisfactory evaluations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The teacher contract outlines the standards and procedures for evaluation. Principals reported in September 2005 that they had received the names of teachers in their school to be evaluated and are accountable for completing employee evaluations. They have been provided with training regarding teacher evaluation standards, procedures, and forms to help focus teacher evaluation on student achievement goals. Principals were also provided with norms and sample objectives. The norms for objectives: (1) are linked to current district, school, grade-level, or department strategies for the standards; (2) describe what a teacher will do; and (3) are measurable or observable. The evaluation sessions are intended to align evaluation with the instructional agenda and lead to evalu- ations that better refl ect the strategies that teachers should master to be successful. The contract provides a peer assistance and review program for teachers who receive an over- all rating of unsatisfactory or who ask for assistance. The human resources department has instituted a system for monitoring the teacher evaluation cycle and ascertaining that evaluations are completed and returned. 2. The district revised the administrator evaluation for 2004-05 to align with the fi ve district goals. In September 2005, principals reported that they were evaluated and that the pro- cess, which included visits, walk-throughs and narrative feedback, was helpful. In 2006-07, there was a portfolio-based (School Change Portfolio) evaluation of prin- cipals. A narrative evaluation of each principal provided feedback regarding program implementation, interventions, monitoring of progress, climate, resource allocation, and building sustainability. The district has contracted with an outside provider to assist prin- cipals in at-risk schools. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: Pupil Achievement 59 60 Pupil Achievement Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.1 PROFESSIONAL STANDARD - PLANNING PROCESSES A common vision of what all 2 3 5 6 7 8 students should know and be able to do exists and is put into practice. 1.2 PROFESSIONAL STANDARD - PLANNING PROCESSES The administrative structure of 2 4 5 6 7 8 the district promotes student achievement. 1.3 PROFESSIONAL STANDARD - PLANNING PROCESSES The district has long-term goals 0 2 5 6 7 8 and performance standards to support and improve student achievement. 1.4 PROFESSIONAL STANDARD - PLAN- NING PROCESSES The district directs its resources 5 fairly and consistently to accom- plish its objectives. 1.5 LEGAL STANDARD - PLANNING PRO- CESSES Categorical and compensatory pro- 4 gram funds supplement and do not supplant services and materials to be provided by the district. 1.6 PROFESSIONAL STANDARD - PLANNING PROCESSES The district’s planning process 3 3 5 6 7 8 focuses on supporting increased student performance. 2.1 PROFESSIONAL STANDARD - CUR- RICULUM The district, through its adopted 0 policies, provides a clear opera- tional framework for management of the curriculum. The identifi ed subset of standards appears in bold print. Pupil Achievement 61 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 2.2 PROFESSIONAL STANDARD - CUR- RICULUM Policies regarding curriculum and 3 instruction are reviewed and ap- proved by the Governing Board. 2.3 PROFESSIONAL STANDARD - CUR- RICULUM The district has clear and valid 2 3 5 6 7 8 objectives for students, including the core curriculum content. 2.4 PROFESSIONAL STANDARD - CUR- RICULUM A process is in place to main- 3 4 5 6 7 8 tain alignment among standards, practices and assessments. 2.5 PROFESSIONAL STANDARD - CUR- RICULUM The Governing Board has adopted 4 and the district is implementing the California state standards and assessments. 2.6 PROFESSIONAL STANDARD - CUR- RICULUM 8 Suffi cient instructional materials are available for students to learn. 2.7 LEGAL STANDARD - CURRICULUM In subject areas for which the state has adopted standards, suffi cient 6 instructional materials are available to students that are aligned with the state standards. 2.8 PROFESSIONAL STANDARD - CUR- RICULUM Students in K-8 have access to standards-based materials; stu- 6 dents in 9-12 have access to standards-based materials through an adopted process outlined in board policy and regulation. The identifi ed subset of standards appears in bold print. 62 Pupil Achievement Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 2.9 PROFESSIONAL STANDARD - CUR- RICULUM Teachers in K-8 are provided with professional development in reading and mathematics by a 0 2 5 6 7 8 state-approved provider; teach- ers in 9-12 are provided with defi ned professional develop- ment in implementing content standards. 2.10 PROFESSIONAL STANDARD - CUR- RICULUM The district has adopted a plan for 5 integrating technology into cur- riculum and instruction at all grade levels. 2.11 PROFESSIONAL STANDARD - CUR- RICULUM The district optimizes state and 6 federal funding to install technol- ogy in its schools. 2.12 LEGAL STANDARD - CURRICULUM HIV prevention instruction occurs at least once in junior high or mid- 8 dle school and once in high school and is consistent with the CDE’s Health Framework (EC 51201.5). 3.1 LEGAL STANDARD - INSTRUCTION- AL STRATEGIES The district provides equal access to educational opportunities to 3 4 5 5 6 7 all students regardless of race, gender, socioeconomic standing, and other factors (EC 51007). 3.2 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Challenging learning goals and 3 4 5 6 6 8 instructional plans and programs for all students are evident. The identifi ed subset of standards appears in bold print. Pupil Achievement 63 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.3 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Every elementary school has em- 0 braced the most recent California School Recognition Program Stan- dards. 3.4 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Students are engaged in learn- 2 3 4 5 6 7 ing, and they are able to demon- strate and apply their knowledge and skills. 3.5 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES The district and school staffs 2 2 5 6 6 7 promote and communicate high expectations for the learning and behavior of all students. 3.6 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district and school sites ac- tively encourage parental involve- 3 ment in their children’s education (examples of programs EC 51100- 51143). 3.7 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES Each school has a school site coun- cil or leadership team, comprised 4 of teachers, parents, principal and students, that is actively engaged in school planning (EC 52010- 52039). 3.8 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Principals make formal and in- formal classroom visits. Based on 2 4 5 6 6 7 these visits, principals provide constructive feedback and assis- tance to teachers. The identifi ed subset of standards appears in bold print. 64 Pupil Achievement Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.9 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES 3 Class time is protected for student learning (EC 32212). 3.10 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Clearly defi ned discipline prac- tices have been established 2 3 5 5 6 7 and communicated among the students, staff, board, and com- munity. 3.11 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES School class size and teacher 3 4 6 6 6 7 assignments support effective student learning. 3.12 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Teachers use a variety of instruc- tional strategies and resources 3 that address their students’ diverse needs and modify and adjust their instructional plans appropriately. 3.13 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES All teachers are provided with pro- fessional development on special 3 needs, language acquisition, timely interventions for underperformers and culturally responsive teaching. 3.14 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES The identifi cation and placement 4 of English-language learners into appropriate courses is conducted in a timely and effective manner. The identifi ed subset of standards appears in bold print. Pupil Achievement 65 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.15 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Curriculum and instruction for English-language learners pre- 3 4 5 6 6 7 pares these students to transi- tion to regular class settings and achieve at a high level in all subject areas. 3.16 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Programs for English-language learners comply with state and 4 federal regulations and meet the quality criteria set forth by the California Department of Education. 3.17 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES The identifi cation and placement 5 of special education students into appropriate courses is conducted in a timely and effective manner. 3.18 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES 5 Individual education plans are reviewed and updated on time. 3.19 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Curriculum and instruction for spe- 5 cial education students is rigorous and appropriate to meet special education students’ learning needs. 3.20 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Programs for special education students meet the least restrictive 5 environment provision of the law and the quality criteria and goals set forth by the California Depart- ment of Education. The identifi ed subset of standards appears in bold print. 66 Pupil Achievement Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.21 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES The criteria for GATE identifi cation 3 is documented and understood by school site staff. 3.22 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES 4 Students are regularly assessed or reassessed for GATE participation. 3.23 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES All incoming kindergarten students are admitted following board-ap- 4 proved policies and administrative regulations (EC 48000-48002, 48010, 48011). 3.24 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district provides access and 5 encourages student enrollment in UC and CSU required courses (A-G requirement). 3.25 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES Students are prepared for, and may access, advanced placement 3 or other rigorous courses in core subject areas at all comprehensive high schools. 3.26 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES High school guidance counselors are knowledgeable about individual 3 student academic needs and work to create challenging and meaning- ful course schedules. The identifi ed subset of standards appears in bold print. Pupil Achievement 67 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.27 PROFESSIONAL STANDARD - IN- STRUCTIONAL STRATEGIES High school students have access 4 to career and college guidance counseling prior to the 12th grade. 3.28 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The district has plans for the provi- 5 sion of extended day programs at its respective school sites (EC 17264). 3.29 LEGAL STANDARD - INSTRUCTIONAL STRATEGIES The general instructional program 4 adheres to all requirements put forth in EC 51000-52950. 4.1 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY The district has developed con- tent and learning standards for 2 3 5 6 7 7 all subject areas and grades that are understood and followed by school site staff. 4.2 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY Student achievement is measured and assessed through a variety of 3 4 5 6 7 8 measurement tools (e.g., stan- dardized tests, portfolios, proj- ects, oral reports). 4.3 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY The assessment tools are clear measures of what is being taught 3 4 6 6 7 8 and provide information for the administration and staff to im- prove learning opportunities for all students. The identifi ed subset of standards appears in bold print. 68 Pupil Achievement Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 4.4 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY Teachers and principals are pro- vided with assessment data in 3 4 6 7 7 8 a timely and accessible format, and training in order for them to analyze, evaluate and solve is- sues of student performance. 4.5 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY The board has adopted and the dis- trict is implementing a K-8 policy that outlines clearly for teachers, 8 students and parents the bench- marks to be used for intervention, promotion and retention of strug- gling learners. 4.6 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY A process to identify struggling 9-12 students and intervene with additional support neces- 3 3 4 5 6 7 sary to pass the high school exit examination is well-developed and communicated to teachers, students and parents. 4.7 LEGAL STANDARD - ASSESSMENT AND ACCOUNTABILITY The district informs parents of the 8 test scores of their children and provides a general explanation of these scores (EC 60720, 60722). 4.8 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY The district has a process to no- tify high school students and their 2 parents regarding high school pro- fi ciency examination requirements and scores. The identifi ed subset of standards appears in bold print. Pupil Achievement 69 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 4.9 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY Principals and teachers in un- derperforming schools and/or in schools under mandated improve- 3 ment programs are provided spe- cial training and support by the district; improvement plans are monitored. 4.10 PROFESSIONAL STANDARD - AS- SESSMENT AND ACCOUNTABILITY The board and district understand the elements of state and federal 3 accountability programs and com- municate the availability of op- tions and special services to par- ents and students. 5.1 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Staff development demonstrates 3 4 5 6 7 8 a clear understanding of purpose, written goals, and appropriate evaluations. 5.2 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Staff development provides the staff (e.g., principals, teachers, 3 4 5 6 6 8 and instructional aides) with the knowledge and the skills to improve instruction and the cur- riculum. 5.3 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT The standards developed by the 6 California Standards for the Teach- ing Professions are present and supported. The identifi ed subset of standards appears in bold print. 70 Pupil Achievement Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 5.4 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Teachers are provided time and 5 encouraged to meet with other teachers. 5.5 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Collaboration exists among higher education, district, professional associations, and the community 0 in providing professional develop- ment. The district has formed part- nerships with state colleges and universities to provide appropriate courses accessible to all teachers. 5.6 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Administrative support and coach- ing are provided to all teachers, 5 and new teachers and principals are provided with training and sup- port opportunities. 5.7 PROFESSIONAL STANDARD - PRO- FESSIONAL DEVELOPMENT Evaluations provide construc- tive feedback for improving job 3 5 6 7 7 8 performance. Professional devel- opment is provided to support employees with less than satis- factory evaluations. The identifi ed subset of standards appears in bold print. Pupil Achievement 71 Financial Management Internal Control Environment The Vallejo City Unifi ed School District Business Division continues to improve its effi ciency and work environment. Internal accounting controls have improved, although they are not yet fully implemented. Although payroll errors are still a concern, there has been improvement in this area. After recent payroll upgrades, all payroll positions are fi lled, which should continue to improve overall ser- vice and error control. The board policy addressing ethical behavior that was adopted during summer 2005 was revised in 2007. The district has disbursed information to employees about the civility policy and plans to do so annually so that employees understand the policy and expectations regarding integrity and/or appropriate behavior. There has been some improvement in employee morale. Most employees continue to accept change and are becoming more effi cient in their daily work activities. The lines of authority and supervision are more distinct, and job descriptions have been updated. Employees in the Busi- ness and Fiscal Department have been evaluated. Employee discipline should be enforced in a fair and consistent manner. A full evaluation of the district’s internal controls is nearing completion, and internal audits at school sites have begun. Improvements are being made in the overall internal accounting control process. Changes and revised expectations need to be communicated to employees regularly. Employees still report that they do not know how to report the concerns or problems they ex- perience during routine daily activities. Some employees expressed a fear of retaliation if they reported concerns. A reliable system should be devised and employees encouraged to report perceived abuses and/or fraud. The district should consider implementing an anonymous tip line or other avenue for tips and suggestions. Inter- and Intra-Departmental Communications Work continues on new procedural manuals and other resources for business-related functions and departments. Business Department administrators have also drafted many new business procedures and other documents with internal control mechanisms incorporated for internal use. This will be a lengthy, ongoing process. Training should be conducted on approved policies and procedures as they are approved to ensure that the staff understands them and can be held accountable for them. There are plans to begin posting specifi c business procedures on the Staff Net portion of the district Web site to make employees aware of their existence. Other documents have been developed for distribution to assist sites in better understanding internal control and other business expectations. The district should communicate any changes in business service policies and procedures, along with reminders of what is expected at an in-service training prior to the school year beginning. The Business Services Division Procedures Manual is old and should be updated and used as a training tool at an in-service workshop before each school year begins. Separate training may need to be developed based on job level. Financial Management 1 The business offi ce formulated an action plan for budget development that included communication and collaboration between its staff and sites, programs, and departments, but customers perceive little communication and collaboration occurring. One-on-one meetings need to be held and overall communication improved. Board and Community Communications The district goal to provide more thorough narratives to the board with SACS reports is being implemented. In the past, current year budget assumption narratives have been brief and almost nonexistent for subsequent year data in multiyear projections. The information provided in the past six months appears clear, detailed and more useful. The district continues to draft and approve new board policies and administrative regulations related to business operations. The district should consider providing training and other communication methods to ensure the staff and community are aware of what these important documents contain. The district´s frequent community meetings help ensure that fi nancial communications are clear and concise, allow broader community participation and input, and help the community understand the budget process. In many ways, those community meetings fi ll the same role as a budget advisory committee. The meetings held during the current fi scal year have focused attention on the district’s goals and objectives, the budget, moving the district offi ce, unused district property, improving student attendance, options for reductions and savings, and the district´s latest ratings in the FCMAT progress report. The March 2007 meeting included a reminder on staffi ng by formula for many of the district positions, which helps with cost containment as student numbers continue to decline. Internal Audit The district added one additional position to work with the Internal Auditor and is assisting with school site audits in the areas of instructional minutes, student body accounting and short- term independent study. After the audits are completed, a comprehensive list will be developed detailing the changes required to correct any audit defi ciencies. The Internal Auditor has developed several policies and procedures to address prior-year audit fi ndings. Many prior-year fi ndings have been resolved, but some are still pending. The Internal Auditor has issued procedural manuals and instructions for attendance and cash handling. The district offi ce and site staffs have been trained in and are adhering to the new internal control policies in these operational areas. Budget Development and Monitoring Budget development for 2007-08 was begun, with defi ned budget priorities: adjusting to declining enrollment; consolidating and reorganizing programs and services that are mandatory to stay solvent; adjusting special education services based on the decline in special education enrollment; and closing or reorganizing elementary school facilities. After the budget is developed, the school sites can expect to have a budget profi le and strategic spending plan for both unrestricted and restricted programs. 2 Financial Management The March 2007 community meeting identifi ed options for achieving a balanced budget with the required reserve in the general fund. The budget development documents contained important information necessary for decision making. Information provided at public forums and board meetings should cover other funds as well. Budget development packets were distributed to school principals and district offi ce managers in early April for the 2007-08 budget process. Sites were notifi ed of a proposed reduction in allocations. The action plan for budget development included the goal of increasing communication and collaboration between the business offi ce staff and the district’s school sites, programs and departments. During interviews, site staff members indicated that communication and collaboration with the district offi ce could and should be improved. A review of the fi rst and second interim reports of 2006-07 indicated that district staff was updating the budget regularly and avoiding defi cit spending. Enrollment and ADA projections are routinely monitored and updated throughout the year. Second interim projections show declining enrollment continuing through 2011-12 and the number of staff to be reduced as a consequence. The online purchase order system module has been implemented throughout the district, except at the community day school. The time lines and quality of fi nancial information should improve with the online system as those with budget responsibility have greater access and accountability to their specifi c budgets. The system automatically verifi es fund availability and account coding when a site/department enters a requisition. The district has continued using a hard code block that cannot be overridden, so expenditure transactions (other than salary and benefi ts) cannot be processed until the budget transfer has been entered and approved. School sites reported they have a diffi cult time knowing what budgets are available for spending. The sites have not received budget reports from the district offi ce since December. Although the sites use Financial 2000´s online budget look-up feature, this feature has a limited view that is insuffi cient to determine the budgets available. Many sites also do not seem comfortable running the budget reports available to them on Financial 2000. The sites appear to need additional training on how to read the budget account structure and how to use Financial 2000 to view and understand their current budgets. Administrators need to be made aware of any budget adjustments that they did not initiate. The budget offi ce should continue working with site and department managers to determine what additional resources would make budget review and comprehension easier. Multiyear Projections The district has continued to prepare the required multiyear projections (MYPs) as part of the statutory requirements, such as for interim reports and adopted budgets. The district’s multiyear fi scal recovery plan from 2004-2012 was presented to the board on March 7, 2007 and is currently being reviewed by the CDE. It also contains a multiyear fi nancial projection, which is a critical component of the fi scal recovery plan. The fi nancial assumptions used in subsequent years are much more detailed than in the past. The district’s fi rst and second interim board items each included two distinct treatments of the multiyear projections. The projection completed in the CDE’s SACS software refl ected a negative ending fund balance in 2007-08 and 2008-09, and the non-SACS software, Budget Explorer, refl ected positive projected balances in both years. Financial Management 3 Projections should be updated to refl ect the general fund budget as it is projected to June 30 in the base year of the projection. The second interim projection completed in Budget Explorer should have been updated to refl ect changes in the projected ending fund balance between fi rst and second interim reporting periods, but this was not accomplished. The following table shows that the totals in the two different projection models and between interim periods are not consistent: 1st Interim via Budget 2nd Interim via Budget Unrestricted 1st Interim via 2nd Interim via Explorer software Explorer software (Non- Ending Balance SACS software SACS software (Non-SACS Projection) SACS Projection) 2006-07 $1,931,056 $5,553,224 $1,345,996 $5,553,224 2007-08 -$586,083 $2,619,837 -$296,870 $2,619,837 2008-09 -$5,296,746 $131,307 -$1,348,459 $131,307 Financial projections must be updated regularly, especially when large fi nancial assumptions change. For instance, the projection that is part of the recovery plan includes the assumption that all state loan repayments will be made from property proceeds deposited in the district’s state loan repayment reserve fund, which is allowed by current law. If the loan repayment fund has insuffi cient revenue to repay the state loan at some point, the difference will need to come from the unrestricted general fund, which could negatively affect the general fund in subsequent years. In addition, no expenditures have been included for any repayment of the 2003-04, 2004-05 or future audit fi ndings pending fi nal resolution. The multiyear fi nancial projections at fi rst and second interim were completed using the SACS software module instead of Budget Explorer. The Budget Explorer version for the recovery plan was submitted as part of the interim package, but the numbers in that projection are different from the numbers in the SACS version. The SACS module is not mandated by the state, and many county offi ces, such as Solano do not mandate use of only the SACS version since there are other options. The district should consider using only Budget Explorer for both the recovery plan and the projections submitted with SACS reports. This will make it easier to ensure one projection is complete and will make it unnecessary to keep two separate databases that do not correlate well with each other. Attendance Accounting The district prepared and distributed a manual of standard procedures for reporting student enrollment and taking attendance. These procedures include step-by-step instructions from registering a student through reporting on the J18/19. In addition, the manual included forms, common attendance codes, student drop guidelines, compulsory laws, and pertinent education codes. The school site staff has been trained and appears to be properly performing attendance account procedures. Some training sessions at the beginning of the 2006-07 year were voluntary for experienced attendance clerks. Training should be mandatory for all attendance clerks on an annual basis, whether experienced or new to the position. Attendance clerks should be encouraged to share strategies and ideas with each other at annual training sessions. Establishing standardized procedures and providing training for short-term independent study continue to be concerns that are being addressed by the internal auditing function through site audits of independent study. 4 Financial Management Accounting, Purchasing, and Warehousing The 2004-05 fi nancial audit prepared by the State Controller’s Offi ce indicated numerous fi ndings in the accounting activities, especially related to payroll operations. Most recommendations have been implemented. The 2005-06 fi nancial audit was not available for FCMAT’s review during the April 2007 fi eldwork. The staff continues to address audit fi ndings and implement new procedures. Accounting and purchasing board policies have been updated, and payroll deadlines have not been missed for more than 10 months. Manual checks are still being issued because payroll due dates are not strictly enforced by site management, and time cards are not submitted on time by some school sites. However, these checks are issued less frequently. The Internal Auditor has developed several internal control and cash handling procedures, and training has been provided to all employees who handle cash at the district offi ce and school sites. Procedures have been developed to ensure a clear separation of duties in all matters involving cash receipts, bank deposits and reconciliation and the recording of cash transactions in the accounting system. Monthly bank reconciliations are being promptly prepared, which is as important as timely bank reconciliations in ensuring a sound internal control structure. The district’s current spending pattern indicates that unless signifi cant budget adjustments are approved and implemented, the district may face a serious cash shortage after June 2008, when negotiations begin for 2008-09. Communication, teamwork and employee morale have improved in the Payroll Department since all vacant positions were fi lled, ending the necessity of working signifi cant overtime to meet deadlines. The overpayment/collection process is not perfect, but has improved with the approval and implementation of an overpayment recovery document. All overpayments should be followed up and resolved. Long-Term Debt Obligations The district received an actuarial analysis of retiree health benefi ts as of July 1, 2006. This study will be a critical part of the long-term fi scal recovery plan and future budget planning. The valuation results include multiple scenarios such as the expense being recognized and defi ned as the annual required contribution (ARC) in accordance with GASB 45. As of July 1, 2006, the ARC is $3,174,000, including the normal costs of $1,785,000 plus $1,389,000 to amortize the unfunded actuarial accrued liability. The actuarial accrued liability as of July 1, 2006 is $31,019,000, which includes $9,292,000 for current retirees and $21,727,000 for employees. There were no reserves for retiree health benefi ts as of June 30, 2006. The district should disclose annually whether it will reserve suffi cient funds in the budget to pay the present value cost of retiree benefi ts. Collective Bargaining In fall 2005, the district successfully concluded negotiations with all bargaining units, resulting in a three-year collective bargaining agreement that included mid-year implementation of salary compensation, identifi ed savings by capping health and welfare benefi ts, and limited accumulation and payment of excess vacation benefi ts. The agreement included a reduction in district-paid health benefi ts from July 1, 2005 through June 30, 2008. AB 1200 and Government Code section guidelines were followed in this area. Financial Management 5 The district’s ADA continues to decline and is anticipated to further decline in the subsequent years. This will have a substantial effect on future negotiations, and the district has begun the process of downsizing the district commensurate with the enrollment decline. Options such as school closures, employee layoffs and other remediation concepts have been presented. The district has formed a benefi t committee to provide a forum to discuss potential changes, enhancements and concepts to contain rising costs for health and welfare benefi ts. The committee meets once a month with recorded minutes for each meeting. Operational Fiscal Controls The current Workers’ Compensation Insurance Premium in the 2006-07 budget is projected at $2,873,215. Based on experience factors, changes to market conditions and the district’s active Return to Work Program, the premiums for the 2007-08 Workers’ Compensation Program are projected at $2,460,000. This is a potential savings of $413,215, and the district should be commended for its work. District personnel continue to receive technical training in self-insurance, understanding actuarial data, claims processing, subrogation recoveries, and insurance claims. The district has utilized a third party broker to assist and train the staff. The duties and responsibilities for risk management functions have been moved from the Personnel Department to the Business Department. Special Education The district continues with its ongoing self-review process involving parents and community members. The fi scal employee assigned to monitor special education budgets continues to work closely with the department director, reviewing the budget regularly to ensure that actual expenditures are within the budgeted funds and recorded accurately. This benefi ts the department as a whole and helps minimize errors and unexpected costs. The Special Education Director anticipates having an opportunity to provide input on budget development for 2007-08, including the responsibility to reduce the department budget due to declining enrollment in special education programs. The Business Department is responsible for preparing the state maintenance-of-effort (MOE) reports. This procedure has not been kept up to date. It is important to fi le MOE reports on time to ensure that baseline data is available. Management Information Systems Site administrators expressed frustration that technology staff members are not assigned to provide site support on any planned basis. Similar frustration was echoed by the technology support staff. This type of unorganized staffi ng allocation results in a situation in which support staff members respond to numerous site requests each work day rather than ensuring that all sites receive support on a more structured basis. One example of this type of approach is assigning technology support staff members to specifi c sites on specifi c days. Site administrators should know when technology support staff will be on their campus to address support issues. Although the Coordinator of Technology and Information Services has focused attention on improving the level of the department’s service orientation since January 2007, there is clearly more work to be done in this area. 6 Financial Management To improve communication, weekly technology staff meetings must be conducted using a more collaborative approach. Staff members should be allowed to add items to the agenda and have adequate time for input instead of being told there are time constraints. Input from staff members should be encouraged and welcomed during discussion of agenda items. Security issues exist, such as users not changing the default password assigned to them when new user accounts were created on the student information system. The district’s acceptable usage policy (AUP) is also out of date and is not being signed by employees. Improvement has occurred in the area of staff training. A detailed training needs analysis has been completed for all employees in the Technology Department. Steps have been taken to ensure the identifi ed training occurs. Staff Professional Development An annual staff development plan has been implemented for the Business and Fiscal Department, containing all requested training and the dates of implementation. The plan includes both routine and specialized training. Individual plans will be included as part of the annual performance report fi led with human resources. Implementation of a professional development plan for business-related information has not occurred for school site/department staff. When a plan is completed for nonbusiness personnel, it should include internal control procedures and a review of procedural changes made within the last year, such as conversions to new software and/or systems. The district is identifying ways to notify classifi ed staff members about specifi c in-service training. Frequent notices of all available staff development opportunities should be provided. Attendance and/or participation in workshops that match each employee’s individual training plan should be encouraged and supported. Notifying employees about training opportunities will help ensure the successful completion of job duties. Financial Management 7 8 Financial Management 1.1 Internal Control Environment—Integrity and Ethical Values Professional Standard: Integrity and ethical behavior is the product of the district’s ethical and behavioral standards, how they are communicated, and how they are reinforced in practice. All management-level per- sonnel exhibit high integrity and ethical values in carrying out their responsibilities and directing the work of others. [SAS-55, SAS-78] Progress on Implementing the Recommendations of the Improvement Plan: 1. The board policy addressing ethical behavior that was adopted during summer 2005 was discussed at management meetings, but not with all district staff. It was revised in 2007. All employees should understand the policy and district expectations regarding integrity and/or proper behavior. The policy should be communicated to all employees, and perfor- mance evaluations should be updated to include ethical expectations. 2. Administrators should continue to communicate employee expectations and demonstrate integrity and ethical behavior in their daily activities. The district has disbursed informa- tion to employees about the civility policy annually. 3. Most employees are cooperative, and attitudes are changing. Employees continue to ac- cept change and are becoming more effi cient in their daily work activities. 4. Employees in the Business and Fiscal Department have been evaluated. Evaluations should be conducted based on the bargaining unit contract provisions or annually by supervisors. Employees should be held accountable for appropriate behavior at all times. 5. Disciplinary action for inappropriate behavior is still not uniformly enforced. Employee discipline should be enforced in a fair and consistent manner. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 4 July 2, 2007 Rating: 5 Implementation Scale: Financial Management 9 1.4 Internal Control Environment Professional Standard: The organizational structure clearly identifi es key areas of authority and responsibility. Reporting lines are clearly identifi ed and logical within each area. [SAS-55, SAS-78] Progress on Implementing the Recommendations of the Improvement Plan: 1. Lines of authority and supervision are more distinct. The Business and Fiscal Depart- ment developed a new organizational chart that delineates the responsibilities of manag- ers, supervisors, and employees. Job descriptions have been updated. 2. The position of Payroll Supervisor has helped improve procedures. Payroll errors are still a concern, although there has been improvement in this area. The perception of payroll operations is better, but remains negative at school sites. After the recent payroll position upgrades, the department fi lled all formerly vacant positions. 3. Changes continue to take place in the Business and Fiscal Department. Several employees are new to their positions. At the time of FCMAT’s visit, there was only one open position (deal- ing with employee benefi ts). Staff training should be provided regularly. 4. The Business and Fiscal Department continues to make changes to improve effi ciency and the work environment. These changes and the resulting performance expectations should be communicated to all employees. 5. The department was recently reorganized after the team’s fi eldwork. A new Assistant Superintendent of Business Services, responsible for both Finance and Facilities, has been assigned. The sustainability of the district’s progress under the new reorganization will need to be assessed in future reviews. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 5 July 2, 2007 Rating: 5 Implementation Scale: 10 Financial Management 1.7 Internal Control Environment Professional Standard: All employees are evaluated on performance at least annually by a management-level employee knowledgeable about their work product. The evaluations criteria are clearly communicated and, to the extent possible, measurable. The evaluation includes a follow-up on prior performance is- sues and establishes goals to improve future performance. Progress on Implementing the Recommendations of the Improvement Plan: 1. All employees in the Business and Fiscal Department have been evaluated. Processes to ensure that employee evaluations are prepared regularly have been implemented by the Human Resources Department. 2. The evaluation criteria in the bargaining unit agreements may be outdated. The district and unions should review the evaluation criteria to ensure that all employees are evalu- ated annually. 3. Measurable goals and objectives should be in place for all positions. Employees should know the standards used to evaluate them. 4. Managers and supervisors must be held accountable for evaluating employees annu- ally and on time. They should be fully trained to properly evaluate employees. Training should include the areas of district procedures, proper use of district evaluation forms, bargaining unit restraints, and discipline/performance improvement procedures. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 2 May 31, 2006 Rating: 2 January 25, 2007 Rating: 3 July 2, 2007 Rating: 4 Implementation Scale: Financial Management 11 1.8 Internal Control Environment Professional Standard: The responsibility for reliable fi nancial reporting resides fi rst and foremost at the district level. Top management sets the tone and establishes the environment. Therefore, appropriate measures are implemented to discourage and detect fraud (SAS 82; Treadway Commission). Progress on Implementing the Recommendations of the Improvement Plan: 1. Internal accounting controls have improved, but are not yet fully implemented. Internal accounting controls and performance standards are necessary to hold employees account- able for following all district policies. 2. A board policy was adopted addressing fraud prevention, the misuse of funds, and con- fl ict of interest. Administrators and managers received training on the policy, but not all employees in the district offi ce or at school sites. All employees must be made aware of the policy and understand its contents. 3. The Internal Auditor is working with the district staff to develop procedures to improve internal controls throughout the district. A full evaluation of internal controls throughout the district is near completion, and internal audits at school sites have begun. The Inter- nal Auditor has proposed payroll procedures, but they have not been implemented due to differing opinions among the various business managers. Agreement on the correct poli- cies and procedures should be a major focus for management over the next few months. 4. The administration is making improvements in the overall internal accounting control process. Changes and revised expectations should be communicated to employees regu- larly. 5. Employees should know how to report concerns or problems that they experience during routine daily activities. Some employees indicated they still fear retaliation if they report concerns. A reliable system should be devised and employees encouraged to report abus- es and/or fraud using an anonymous hot line or other avenue for tips and suggestions. 6. A county CECC data processing system is being used and includes the necessary account- ing controls. Employees stated that they have received training on its use and continue to improve their overall skill levels. The district should continue to provide additional train- ing. 7. More training is needed in the area of Generally Accepted Accounting Principles (GAAP). Adequate training should be provided so that employees know, understand, and follow GAAP at all times. 8. The Internal Auditor reports directly to the State Administrator. If concerns arise, the In- ternal Auditor notifi es the State Administrator by e-mail and in regularly scheduled meet- ings. 12 Financial Management Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 4 July 2, 2007 Rating: 5 Implementation Scale: Financial Management 13 2.1 Inter- and Intra-Departmental Communications Professional Standard: The business and operational departments communicate regularly with internal staff and all user departments on their responsibilities for accounting procedures and internal controls. The communications are written whenever possible; particularly when they (1) affect many staff or user groups; (2) are issues of high importance; or (3) refl ect 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 confi dential nature). Progress on Implementing the Recommendations of the Improvement Plan: 1. The district plans to begin posting specifi c business procedures in the Staff Net portion of the district Web site to make employees aware of their existence. These posted procedures will include the following: • Cash collection reconciliation • Cash management • Fraud and theft reporting • Petty cash procedures • Student attendance accounting manual • Transportation workfl ow chart • Whistle blowing procedure The forms that will be posted are as follows: • Cashier’s recap sheet • Gym uniform collection sheet • Independent contractor/consultant services agreement and forms Posting procedures can be effective, but the staff at sites and departments should be notifi ed beforehand and told that the procedures must be reviewed and followed. 2. An “Understanding Internal Controls” document has been developed and will be distributed to school sites to give them a better understanding of what to expect when internal audits occur at their specifi c sites. Although the document has not been shared with sites, the Internal Auditor has done a thorough job of compiling the information. Developing and distributing these types of documents provides departments and sites with information on why processes are being developed, what is expected, and why these processes are important. This type of communication refl ects positively on the Business and Fiscal Department and shows customers that the department is respectful of site time. 3. The Business and Fiscal Services Department has drafted many new business procedures and other documents with internal control mechanisms incorporated for internal use. These include the following: 14 Financial Management • Accounts Reconciliation, Procedures and Training • Accounts Payable Audit Procedure Guide • Procedures for Annual Stores Inventory • Cash Confi rmation Steps • Statement of Cash Flow • Cash Management Procedures, Forms and Training • Fixed Assets • Budget Training • Fraud and Theft Reporting Procedures • Furniture Replacement • General Ledger Account Reconciliation Procedures • Reconciling Eligible Employees’ Health and Benefi t • Independent Contractor/Consultant Services Agreement • Job Description Update Procedures • General Journal Entries • Accounting for Leases Procedures • Manual General Ledger Journal Entries Procedures • Overpayment Recovery • Procedures for Purchasing Professional Services • Reconciliation of Balance Sheet Account Steps • Reviewing and Verifying Revenue, Expenditures and other Financial Reports • Student Attendance Accounting Manual • Middle and High School Transportation Workfl ow • Uniform complaint Procedures and Administrative Regulations • Vacation Accrual Procedures and Control • Work Order Procedures for Prioritizing and Completion Training should be conducted on these policies and procedures as they are approved to ensure that the staff understands them and is accountable for following them. These training sessions should include all customers that are affected by the procedures. 4. Although FCMAT was provided with many documents during the visit, including the previously mentioned procedures, customers indicated that they aren’t aware of many of the procedures, policies and communication being developed by the Business and Fiscal Department. A system needs to be developed to increase awareness of these procedures. One option is sending a cover sheet with the communication, including a requirement that customers (principals, offi ce managers or other positions) certify that they have received the communication and understand that they are responsible for following it. In addition, communications on new processes and procedures that contain signifi cant changes from the past practice should not be distributed without some type of meeting or training so that employees understand what is expected of them prior to being held accountable. Financial Management 15 5. Administrators in the Business and Fiscal Department plan to continue to spend time assessing their processes and procedures. This will be a lengthy, ongoing process. When manuals or other resources are developed, they should explain in detail the processes and procedures that are expected and/or necessary to comply with rules and regulations, as well as board and district policies and procedures. These resources should be updated at least annually. The completed procedure manuals should also function as a training tool for the staff, help ensure the accurate and appropriate discharge of job duties, and provide some continuity in the event of staff turnover. 6. The district should communicate changes in business services policies and procedures by offering in-service training before each school year begins. Updates to the procedures manual could be distributed and explained at the training. This would help ensure that the staff at sites and departments understands and properly implements the changes. These trainings should be provided for administrators and site and departmental personnel who regularly handle business tasks. Separate trainings may need to be developed based on job level (e.g., administrators attending less detailed training than offi ce managers). Currently, it appears that training is provided for administrators before the school year begins, but does not occur for other staff members except in special cases. 7. Organizational charts of the Business and Operations Division continue to be updated, with the latest update dated 3-21-07. Sites and departments are also provided with a district offi ce listing of staff by department, including specifi c phone extensions. Some Business and Fiscal Department areas have sent letters to sites and departments with additional information on who to call for different issues, such as when the Payroll Department sent a letter explaining which payroll employee covers what portions of the payroll. 8. Employees at sites and in departments seem to be gaining a better understanding of who to call for routine issues involving payroll, accounts payable, budget questions and purchase requisitions. A directory should be developed and distributed for all business and fi scal functions. Although FCMAT was provided with a detailed contact list of staff in the Business and Finance Department, the sites were not able to locate the same listing. FCMAT’s copy provided by the Business and Fiscal Department was dated 4-10-07. The phone list provided by the sites was more generic and listed personnel in all district departments, and did not list job titles/functions. The 4-10-07 copy that was provided to FCMAT consists of critical information that should be sent again if it has been already distributed to sites and departments. The document is well done and would help site and department employees contact the appropriate person with questions. 9. More phone calls to the business offi ce are being answered by individuals instead of going unanswered or being connected to voice mail. This has occurred in the Payroll Department as well. Many site employees continue to call the Payroll Supervisor directly because they know they will always get a response, but this is not the best use of the supervisor’s time. The Payroll Department’s schedule of being open for a half day on Tuesday and Wednesday mornings and full-time the rest of the week has been a benefi t to the department. Payroll submissions to the county offi ce have been on time since the new schedule began. Some sites have complained about the schedule, and the FCMAT 16 Financial Management team often heard “I wish we got to close to get our work done.” The Payroll Department should send another communication explaining why closure is so important and the benefi t to the whole district of submitting payroll on time. 10. The Business Department continues to increase written communication to sites and departments as specifi c issues arise. Changes and updates of a positive nature should also be conveyed as often as possible. The memos viewed by FCMAT clearly refl ect the sender, date and topic, but do not indicate the recipients. The memo format should be revised to include the recipient (s). 11. The district planned to begin using a different budget report structure to be sent to the school sites and departments beginning in October 2006. The reports initially were sent in December, but because of issues with the template and reports, they were not sent in January, February and March. Even though managers are able to run their own budget reports from the Financial 2000 system, school sites and departments complained about not receiving the reports from the district offi ce because they don’t fully rely on or trust the data from the Financial 2000 system. Although the self-run reports are simpler and provide basic budget information, the sites clearly need additional training and communication on the budget process to better utilize the Financial 2000 system. 12. The business offi ce formulated an action plan for budget development that includes communication and collaboration between its staff and the district’s school sites, programs, and departments. However, customers do not perceive that there is improved communication and collaboration. One-on-one meetings need to be held and overall communication increased. 13. District leadership meetings and principals’ meetings should include time set aside to share fi nancial and other information with department managers, principals, and program managers. Periodic offi ce manager/clerical meetings should also occur for information sharing and policy/procedure updates. Offi ce manager meetings will soon begin on at least a bimonthly basis. A chairperson has been selected, and at the end of the fi rst six months, participants will be asked to evaluate the usefulness of the meetings, and make recommendations for future planning. 14. The Payroll and Human Resources departments continue to meet monthly, more often if needed, so that they can discuss ongoing issues and develop solutions to common problems. The internal payroll procedure has been approved and is in place. The Internal Auditor has drafted payroll procedures and policies, which the Director of Fiscal Services is currently reviewing. This was one outcome of these regular meetings. Financial Management 17 Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: 18 Financial Management 2.2 Inter- and Intra-Departmental Communications Professional Standard: The fi nancial departments communicate regularly with the Governing Board and community on the status of district fi nances and the fi nancial 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 refl ect a change in policy. Progress on Implementing the Recommendations of the Improvement Plan: 1. The 2006-07 fi rst interim report was received by the Solano County Offi ce of Education on January 12, 2007 and the second interim on April 3, 2007. In both cases, the statutory deadlines were not met, although they were submitted closer to the deadlines than in the past couple of years. The district has stated that it is focusing on ensuring the fi nancial information contained in the reports is accurate rather than on making the deadline. 2. The county offi ce reported that submissions are improving for both the 2006-07 fi rst and second interim reports. In a letter about the submission, the county offi ce commended the overall quality of the second interim report and supporting documents. Some minor concerns were noted in the area of the Technical Review Checklist (TRC) and cash fl ow. Statutory submissions to the county offi ce and the CDE must accurately refl ect the district’s fi scal position. If all elements of the submissions are not completed, and/or if appropriate information is not included, additional fi scal concerns are likely to arise. 3. The new board members were provided with training to help them understand the district and their role. However, they indicated that they have not received any training as a whole board. In addition, the board members have not received training on state- mandated reports, even though such training has been planned for some time. 4. In the 2006-07 fi scal year, the district started to implement the goal of providing the board with more thorough narratives along with the SACS reports. In the past, the narratives had been brief regarding the assumptions used in the current year budget, and almost nonexistent for subsequent year data in multiyear projections. For the past six months, PowerPoint presentations have been clear, detailed and more useful. A review of fi nancial documents for the past six months also found that much additional detail was included. When the board receives fi nancial reports, whether they are SACS compliant or not, the accompanying narratives should thoroughly describe the assumptions used to prepare the information, explain variances from the last time the budget information was presented to the board, and detail all relevant data on ongoing and one-time revenues and expenditures. Financial reports must be user-friendly. 5. Board members continue to indicate that they need to receive fi nancial information in a more timely manner. The district intends to ensure that board members are fully informed on the issues so they can make informed decisions. To achieve this goal, detailed information must be sent to the members before the board meeting instead of at the meeting. Many of the board packets that the board receives before the meetings do not contain the full backup for all agenda items. Financial Management 19 6. The district continues to draft and approve new board policies and administrative regulations related to business operations, including: • Code of Ethics, adopted September 7, 2005 • Fraud Awareness, Identifi cation and Prevention Policy, adopted September 21, 2005 (First Reading revision April 4, 2007) • Food Service/Child Nutrition Program, adopted September 20, 2006 • Free and Reduced-Priced Meals, adopted September 20, 2006 • Environmental Safety, adopted February 1, 2006 • Hazardous Substances and Hazard Communication Program, adopted February 1, 2006 • Management, Supervisory and confi dential Personnel-Evaluation and Supervision, adopted October 18, 2006 • Fiscal Solvency, adopted April 29, 2006 • State Loan Repayment, adopted May 17, 2006 • Adequate Repair of School Buildings, adopted April 4, 2007 • Preventive Maintenance Program, adopted April 4, 2007 • Energy and Water Conservation, adopted March 21, 2007 • Vandalism, Theft and Graffi ti, adopted March 21, 2007 • Comprehensive School Safety Plans, adopted March 21, 2007 • Keys and Security Systems, adopted March 21, 2007 • Concepts and Roles, revised March 26, 2007 • Roles and Responsibilities Related to Financial Management, adopted April 18, 2007 • Safe Schools Assessment and Reporting, adopted April 18, 2007 7. The district’s divisions and departments continue to work on reviewing and revising existing board policies and administrative regulations as needed. In addition, new policies and regulations are being developed. Policies are adopted by the Governing Board, and administrative regulations are developed by district administration to carry out the board’s policies. The district has established the goal of completing this review/ update of policies and regulations by the end of the 2006-07 fi scal year. 8. Once board policies and administrative regulations are reviewed, revised and approved as needed, it is critical that they be understood and followed by the district staff. The district should consider training and other communication methods to ensure the staff is aware of the contents of these important documents. 9. One of the district’s goals is to provide easy access to board policies and administrative regulation on the district’s Web site. At present, the Web site includes all policies that were reviewed and approved in both the 2005 and 2006 fi scal years. 20 Financial Management 10. On March 26, 2007, the district revised Board Policy 3000, Concepts and Roles, to include the superintendent’s role of providing the board with frequent multiyear projection information. This allows the board to make more informed expenditure decisions and facilitates better understanding and timelier use of restricted categorical funding. These multiyear projections shall include assumptions underlying the future year calculations and will be thoroughly explained to ensure the board members’ familiarity with the data. 11. On March 26, 2007, the district revised Board Policy 3000, Concepts and Roles, to include the superintendent’s role of providing the board with monthly budget and fi nancial information that includes issues that will affect district fi nances as well as routine budget reports on the status of the general fund and categorical programs. These updates should include all issues that affect district fi nances, routine budget reports on the general fund, payroll and warrants reports and statutory requirements such as records and surplus property disposal, gifts and donations. This is a previous recommendation that has been established as a policy. 12. The Governing Board should ratify all district expenditures. This had not been occurring for payroll expenditures and accounts payable, but was implemented as of December 2006. 13. On March 7, 2007 the State Administrator gave a 2007-08 budget options presentation to the Governing Board, staff and community. Goals, budget calendar, budget assumptions, budget options and other important topics were covered. These community meetings continue to be held, in addition to the regular board meetings, to provide information and to allow question and answer sessions in a comfortable atmosphere. Additional meetings that have been held since FCMAT’s last visit include the following: (cid:131) May 21, 2007: Budget Options (cid:131) April 4, 2007: Second Interim Presentation (cid:131) March 12, 2007: State Administrator’s Staff and Community Forum (cid:131) February 12, 2007: State Administrator’s Staff and Community Forum (cid:131) November 29, 2006: State Administrator’s Staff and Community Forum 14. The many community meetings have been utilized to help the district ensure that fi nancial communications are clear and concise. At these meetings, various methods have been utilized to communicate fi nancial issues to the community and staff. The issues identifi ed and discussed have also been disseminated at board meetings. In many ways, these community meetings fi ll the same role as a budget advisory committee. 15. In addition to board meeting agenda items, the State Administrator includes budget information and updates about once a month in his reports at board meetings. Financial Management 21 Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 3 May 31, 2006 Rating: 3 January 25, 2007 Rating: 2 July 2, 2007 Rating: 4 Implementation Scale: 22 Financial Management 2.3 Inter- and Intra-Departmental Communications Professional Standard: The Governing Board is engaged in understanding globally the fi scal status of the district, both cur- rent and as projected. The board prioritizes district fi scal issues among the top discussion items. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district’s Web site contains information about the district, including the number of schools, students, staff members, and brief budget information. This type of information is an effective way to communicate with the community and should be updated at least semiannually. Summary budget information should also be included with communications to the school staff. 2. The many community meetings that have been held have allowed broader community participation, understanding and input into the budget process. 3. Board members would like to be more engaged in the audit process. The board cannot understand the district’s true fi scal status if it does not have adequate time to review fi nancial data, including audit fi ndings and recommendations. It is diffi cult do discuss fi nancial subjects such as the audit if board members have insuffi cient time to review the data prior to the board meeting. Providing the board with this information earlier will allow board members to thoroughly review the information, ask questions at board meetings and have more input into any corrective actions. The board would like to receive audit fi ndings when the district receives them. 4. Detailed information should accompany budget reports explaining existing funding and the length of time it will be available. This will allow the board to make expenditure decisions in a more informed manner. To date, this type of information has not been provided. If the recommendation were implemented, the board and community could have a better understanding of the specifi c funding sources and could potentially assist in the timelier use of restricted categorical funding. 5. The district’s multiyear fi scal recovery plan is now in its fi nal review phase at the California Department of Education (CDE). The plan covers the district’s fi nancial picture from 2004 to 2012. The fi nancial assumptions used in the 2007-2012 years are much more detailed than in the past, allowing the reader to better understand the amounts for subsequent years. 6. The budget offi ce needs to provide the board with frequent multiyear projection information while the district’s fi scal health is being restored. Plans to prepare and provide projections quarterly to the State Administrator and the Governing Board during the period of fi nancial recovery have not yet been implemented. To date, they have been completed and distributed only when mandated by state requirements, such as with interim reports and adopted budgets and as part of the recovery plan. The assumptions presented with the projections for the two subsequent years have increased over previous submissions. Assumptions behind multiyear projections need to be clearly identifi ed and continuously monitored for validity. When multiyear projections are presented, they need to be explained in detail to be thoroughly understood and trusted. Financial Management 23 7. School boards must understand the impact of all their fi scal decisions and how these decisions affect future year budgets. This can be easily refl ected in detailed, understandable multiyear projections. The projections should be thoroughly explained to ensure that board members are familiar with the data. 8. The district’s Internal Auditor presents quarterly updates to the board on audit matters. The latest update was on March 21, 2007 and included the information that while the district appeals fi ndings from past audits, new procedures are being implemented to mitigate future fi ndings. The State Controller’s Offi ce has fi nished its fi eldwork for the 2005-06 audit. 9. On March 7, 2007 a PowerPoint presentation was made at the board meeting, providing an overview of prior year audit fi ndings, and an update on fi nancial statements, federal compliance, state compliance and audit appeals. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 3 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 July 2, 2007 Rating: 4 Implementation Scale: 24 Financial Management 2.4 Inter- and Intra-Departmental Communications Professional Standard: The district has formal policies and procedures that provide a mechanism for individuals to report illegal acts, establish to whom illegal acts should be reported, and provide a formal inves- tigative process. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Governing Board approved a Fraud Awareness, Identifi cation and Prevention board policy September 21, 2005. It was revised in March 2007, with the fi rst reading on April 4, 2007. The administrative regulation for the policy was approved August 30, 2005 and revised March 2007. The policy is clear, thorough and well written. The policy provides direction to avoid fraud and fraudulent activities and a system for reporting suspicious activity while protecting the informant. 2. The code of ethics policy approved by the school district outlines the expectations that district employees will perform duties and conduct themselves with the utmost integrity, effi ciency and reliability and will comply with all applicable laws, board policies, regulations and procedures. It states that the Superintendent is expected to provide for implementation of the code of ethics. 3. On March 14, 2007, a letter was sent from the Business and Fiscal Department regarding fraud and theft reporting procedures. In that document, the code of ethics board policy is explained, fraud and theft reporting are defi ned, the issues covered are explained, and information is provided on where and how to report issues. Although these fraud and ethics policies have been in place for some time, most of the staff members interviewed could not recall whether the policies had been explained and/or shared with them. The March 14 letter should help ensure the policies are understood and reinforce the district’s expectations of the staff. 4. The Fraud Awareness, Identifi cation and Prevention administrative regulations state that all district staff will be provided with annual training on the district’s fraud policy and reporting procedures. A policy awareness program and specifi c procedures were originally planned for implementation by February 2006, but this has not yet occurred. The district is reviewing online training courses as an option. One course, titled Ethics and Business Conduct, is directed more to the managerial and administrative level. A course must also be offered to those who aren´t managers or administrators. Whatever course is chosen, the awareness program should be in place to inform the staff about the board policies and procedures addressing fraud, the common types of fraud and theft, and the consequences stated in the policy. Included should be signs of potential misuse, employee responsibilities to deter and prevent fraud and theft, and the process and procedures for reporting suspected fraud or other illegal activities through an anonymous hot line or other mechanism. Financial Management 25 Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 July 2, 2007 Rating: 4 Implementation Scale: 26 Financial Management 2.5 Inter- and Intra-Departmental Communications Professional Standard: Documents developed by the fi scal division for distribution to the Governing Board, fi nance committees, staff and community are easily understood. Those who receive documents devel- oped by the fi scal division do not have to wade through complex, lengthy computer printouts. Progress on Implementing the Recommendations of the Improvement Plan: 1. With both the 2006-07 fi rst and second interim reports, the county offi ce reported that the submissions have improved. The county offi ce commended the overall quality of the second interim report and supporting documents. Minor concerns were noted in the areas of the technical review checklist (TRC) and cash fl ow. Statutory submissions to the county offi ce and the CDE must accurately refl ect the district’s fi scal position. If all elements of the submissions are not completed, and/or if appropriate information is not included, time is lost and additional fi scal concerns are likely to arise. 2. The Governing Board as a whole should receive training on state-mandated reports. This has been a district goal for some time, but has yet to be implemented. 3. In the 2006-07 fi scal year, the district started to implement the goal of providing more thorough narratives to the board along with the SACS reports. In the past, narratives regarding the assumptions used in the current year budget have been brief, and almost nonexistent for subsequent year data in multiyear projections. FCMAT’s document review found that improvement is occurring in this area. When the board receives fi nancial reports, SACS compliant or not, it is important for the accompanying narratives to thoroughly describe the assumptions used to prepare the information, variances from the last time the budget information was presented to the board, and all relevant data on ongoing and one-time revenues and expenditures. Financial reports must be user-friendly. 4. On March 7, 2007 the State Administrator gave a 2007-08 budget options presentation to the Governing Board, staff and community. Goals, budget calendar, budget assumptions, budget options and other important topics were covered. These community meetings continue to be held, in addition to the regular board meetings, to provide information and to allow question and answer sessions in a comfortable atmosphere. Additional meetings that have been held since FCMAT’s last visit include the following: • May 21, 2007: Budget Options • April 4, 2007: Second Interim Presentation • March 12, 2007: State Administrator’s Staff and Community Forum • February 12, 2007: State Administrator’s Staff and Community Forum • November 29, 2006: State Administrator’s Staff and Community Forum 5. In addition to board meeting agenda items, the State Administrator includes budget information and updates about once a month in his reports at board meetings. Financial Management 27 6. Board policy number 3000q, titled “Roles and Responsibilities Related to Financial Management” was revised on March 26, 2007. It clearly outlines what the Governing Board expects of the Superintendent in this area. This includes providing the board with regular budget and fi nancial information, including issues that will affect district fi nances, as well as routine budget reports on the status of the general fund and categorical programs. This type of information must be clear, easily understood, and provided throughout the year. 7. Board policy number 3000q, titled “Roles and Responsibilities Related to Financial Management” was revised on March 26, 2007 and states that the Superintendent is to provide the Governing Board with frequent multiyear projection information. This data enables the board to make more informed expenditure decisions and facilitates better understanding and oversight of restricted categorical funding. Multiyear projections should include assumptions underlying the future year calculations. It is critical that the budget offi ce provide the board with frequent multiyear projection information while the district’s fi scal health is being restored. Assumptions behind multiyear projections need to be clearly identifi ed and continuously monitored for validity. When multiyear projections are presented, they need to be explained in detail to be thoroughly understood and trusted. 8. School boards must understand the effect of all their fi scal decisions and how these decisions affect future year budgets, which can be easily refl ected in detailed, understandable multiyear projections. The projections should be thoroughly explained to ensure that board members are familiar with the data. Board policy 3000q, “Roles and Responsibilities related to Financial Management,” states that the Superintendent shall regularly inform the Governing Board of the fi nancial effects of board decisions and that all recommended fi nancial plans presented to the board for approval shall support the district’s goals and objectives. 9. Detailed information should accompany budget reports explaining existing funding and how long it will be available to the district. This will allow the board to make more informed expenditure decisions. To date, this type of information has not been provided. This recommendation should be implemented to facilitate better understanding and timelier use of restricted categorical funding. 10. Adequate, easily understood information should accompany all business-related items brought to the board. The district’s intent has been to ensure that board members are fully informed on the issues so they can make informed decisions, but detailed information needs to be sent to members before board meetings instead of at the meetings. Many board packets received by the board contain full backup for all agenda items, but many do not. Because fi nancial information is complicated and often lengthy, any additional time the board has to review the complete packet will help members be better informed. 11. It is commendable that the district has revised board policy to outline expectations regarding the fi nancial information that the Superintendent is to provide to the board. However, it is critical that the policy be followed. 28 Financial Management Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 30, 2005 Rating: 3 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 July 2, 2007 Rating: 4 Implementation Scale: Financial Management 29 3.1 Staff Professional Development Professional Standard: The district has developed and uses a professional development plan for training business staff. The plan includes the input of business offi ce supervisors and managers, and, at a minimum, identifi es appropriate programs offi cewide. 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 been implemented for the Business and Fiscal De- partment, containing all requested training by dates of attendance. The plan includes both routine and specialized training. 2. The staff development plan appears to be consistent with the department plan, the em- ployee’s job duties, current skill and knowledge levels, and time lines for accomplishing training. Individual plans will be included as part of the annual performance report fi led with Human Resources. 3. FCMAT was provided with an extensive list of workshops that staff has attended, includ- ing those that were externally provided and those provided by the county offi ce or district staff members. Based on that information, all levels of employees are attending work- shops, which is an improvement over previous reviews. All employees working in the Business and Fiscal Department should attend workshops related to their duties whether they are new to the job or need a refresher course. 4. Joint meetings between the Human Resources and Payroll departments continue to occur at least once a month, and more often as needed for specifi c issues. The improvement in the working relationship of the two departments is greatly improved. 5. Employee evaluations in the Business and Fiscal Department are up to date and include the employee-developed individual training plan and supervisor’s identifi ed training needs for the employee. It is planned that in subsequent evaluations, the completion of training will be noted as well as updated plans for future training. 6. Through the Human Resources Department, the district should place documentation of completed staff development in the personnel fi les of employees. These employees should be recognized with awards or certifi cates. A draft payroll procedure includes a personnel section titled, “What should be in a personnel fi le” and a list of training and development items. These include training history records, training program application/ requests, a skills inventory questionnaire, training evaluation forms, in-house training notifi cation letters, and training expense reimbursement records. Although the procedure is a draft, it appears that staff development is being given attention. 30 Financial Management 7. The district is identifying ways to notify classifi ed staff members about specifi c in-service training. One idea is placing a bulletin board at a central location in the Business and Fis- cal Department where upcoming training events could be posted. The Human Resources Department effectively uses this method. Another consideration is using the StaffNet area of the Web site to post in-service trainings. At present, the only postings there are produced by the technology trainer. Frequent notices of all available staff development opportunities should be provided. Attendance and/or participation in workshops that match each employee’s individual plan should be encouraged and supported. Prior re- views found that the Internal Auditor, Assistant Superintendent and Director had attended staff development sessions outside the district relating to budget and business matters. Business staff members at other levels were not always notifi ed of upcoming workshops/ trainings. Notifying employees about these opportunities will help ensure the successful completion of job duties. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005 Rating: 0 May 31, 2006 Rating: 2 January 25, 2007 Rating: 3 July 2, 2007 Rating: 5 Implementation Scale: Financial Management 31 3.2 Staff Professional Development Professional Standard: The district develops and uses a professional development plan for the in-service training of school site/department staff by business staff on relevant business procedures and internal con- trols. The plan includes the input of the business offi ce and the school sites/departments and is updated annually. Progress on Implementing the Recommendations of the Improvement Plan: 1. A professional development plan has not been implemented for school site/department staff other than a master calendar of training events, workshops and conferences. A professional development plan has been developed for Business and Fiscal Department personnel. When one is completed for nonbusiness personnel, the completed professional development plan should cover internal control procedures and include a review of procedural changes made in the last year such as conversions to new software and/or systems. 2. An annual staff development plan still needs to be implemented for non-Business Department personnel so that departments and sites are updated on changes in business procedures and the application of routine internal control processes. When manuals or other resources are developed on business and business related items, they should explain in detail the processes and procedures that are expected and/or necessary to comply with rules and regulations, and board and district policies and procedures. These resources should be updated at least annually. The completed procedure manuals should also function as a training tool for staff. They help ensure the accurate and appropriate discharge of job duties, and provide some level of continuity in the event of staff turnover. 3. The Business and Fiscal Department has drafted many new business procedures and other documents with internal control mechanisms incorporated for internal use. These include the following: • Accounts Reconciliation, Procedures and Training • Accounts Payable Audit Procedure Guide • Procedures for Annual Stores Inventory • Cash Confi rmation Steps • Statement of Cash Flow • Cash Management Procedures, Forms and Training • Fixed Assets • Budget Training • Fraud and Theft Reporting Procedures • Furniture Replacement • General Ledger Account Reconciliation Procedures • Reconciling Eligible Employees’ Health and Benefi t • Independent Contractor/Consultant Services Agreement • Job Description Update Procedures 32 Financial Management • General Journal Entries • Accounting for Leases Procedures • Manual General Ledger Journal Entries Procedures • Overpayment Recovery • Procedures for Purchasing Professional Services • Reconciliation of Balance Sheet Account Steps • Reviewing and Verifying Revenue, Expenditures and other Financial Reports • Student Attendance Accounting Manual • Middle and High School Transportation Workfl ow • Uniform complaint Procedures and Administrative Regulations • Vacation Accrual Procedures and Control • Work Order Procedures for Prioritizing and Completion Training should be conducted on these policies and procedures as they are approved to ensure that the staff understands them and is held accountable for following them. These trainings must include all customers and others affected by the procedures. 4. Each staff in-service training on business subjects should be geared to a specifi c audience, with mandatory or optional attendance as dictated by the subject matter. The topics covered should pertain to the staff members invited. Employees should be informed when the meetings are mandatory, and sign-in sheets maintained. 5. The district plans to begin posting specifi c business procedures and forms in the Staff Net portion of the district Web site to make employees aware of their existence. It is critical that some type of communication occur beforehand so that staff members at sites and departments are aware of the procedures and the importance of following them. 6. An “Understanding Internal Controls” document has been developed and will be distributed to the sites to provide them with a better understanding of what to expect when internal audits occur at their specifi c sites in the near future. Although the document has not yet been shared with sites, the Internal Auditor has done a thorough job of compiling the information By developing and distributing these types of documents, departments and sites can understand why these processes are being developed, what can be expected, and why they are important. This type of communication refl ects positively on the Business and Fiscal Department and shows customers that the department is being respectful of site time. 7. Although FCMAT was provided with many documents, including these procedures, customers indicated that they are not aware of many of the procedures, policies and communications that are being developed by the department. Some type of system needs to be developed to increase awareness. One option is sending a cover sheet with the communication, including a requirement that customers (principals, offi ce managers or other positions) certify they have received the document and understand they are responsible for following it. In addition, new written processes and procedures should not be distributed without providing some type of meeting or training so that employees understand what is expected of them. Financial Management 33 8. Administrators in the Business and Fiscal Department plan to continue to spend time reviewing their processes and procedures for internal use. This will be a lengthy, ongoing process. When manuals or other resources are developed, the district should explain in detail the processes and procedures that are expected and/or necessary to comply with rules and regulations, as well as board and district policies and procedures. These resources should be updated at least annually. The completed procedure manuals should also function as a training tool for the staff, help ensure the accurate and appropriate discharge of job duties, and provide some continuity in the event of staff turnover. 9. The district should communicate changes in business services policies and procedures by offering in-service training before each school year begins. This would help ensure that the staffs at sites and departments understand and properly implement the changes. These in-service trainings should be for administrators and site and departmental personnel who regularly handle business tasks. Separate training sessions may need to be developed based on employee jobs. At present, it appears that some training occurs before the school year starts for administrators, but does not occur for other employees, except for specialized occurrences. 10. A work climate of mutual support should be encouraged so that ongoing questions and information sharing are the norm. The Payroll Department has initiated a payroll inquiry form available on the Web site, so that staff members with questions about their paychecks can have them answered quickly by the Payroll Department. Using this process, staff members do not need to travel to the district offi ce or leave a message on voice mail. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005 Rating: 1 May 31, 2006 Rating: 2 January 25, 2007 Rating: 3 July 2, 2007 Rating: 5 Implementation Scale: 34 Financial Management 4.1 Internal Audit Professional Standard: The Governing Board has adopted policies establishing an internal audit function that reports directly to the Superintendent/State Administrator and the audit committee or Governing Board. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Internal Auditor position has been fi lled since October 2005. The district added one position to the internal audit staff in November 2006. The new Internal Audit Analyst received training and assists the Internal Auditor with school site audits in the areas of in- structional minutes, student body accounting, and short-term independent study. 2. The Internal Auditor reports directly to the State Administrator and/or Superintendent. 3. The Internal Auditor communicates with the State Administrator through e-mail, and monthly meetings recently were scheduled to discuss issues related to both internal and external audit fi ndings. 4. The Internal Auditor developed several policies and procedures to address audit fi nd- ings in 2003-04 and 2004-05. Many prior year fi ndings were resolved, but some are still pending. Resolution of the potential loss of revenue due to audit penalties was assigned to district administrators other than the Internal Auditor. 5. The 2005-06 audit performed by the State Controller’s Offi ce was published. The district is aware of certain compliance fi ndings that may be included in the audit report, and the staff has begun to address those areas. 6. Policies and procedures related to cash handling and attendance were implemented. Pay- roll procedures that were developed by the Internal Auditor have not been fully imple- mented and are under review by the managers in the Fiscal Services Department. 7. The Internal Auditor developed and issued procedural manuals and instructions for attendance and cash handling. District offi ce and site employees have been trained and are adhering to the new internal control policies in these operational areas. 8. Fraud prevention is often managed by the Internal Auditor in businesses and governmen- tal agencies. This district function recently was assigned to the Risk Manager. If this practice continues, it is important for the Risk Manager and Internal Auditor to communi- cate regularly. Financial Management 35 Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 1, 2005 Rating: 3 May 31, 2006 Rating: 5 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 Implementation Scale: 36 Financial Management 4.2 Internal Audit Professional Standard: Internal audit functions are designed into the organizational structure of the district. These func- tions include periodic internal audits of areas at high risk for non-compliance with laws and regulations and/or at high risk for monetary loss. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has started conducting internal audits in the areas of instructional minutes, student body accounting, and short term independent study. To date, two secondary schools have been audited and a third school is in progress. 2. After all needs have been identifi ed, a comprehensive list of the changes required to cor- rect the audit defi ciencies will be developed and other internal audits will be scheduled. 3. Establishment of the district’s internal audit function should include, but not be limited to the following: • Providing assurance that the internal controls are adequate to ensure that management receives reliable fi nancial information. • Compliance with all laws and regulations. • Using the Internal Auditor as an independent appraiser who examines and evaluates district activities. • Assisting district personnel in performing their responsibilities by implementing good business practices and policies. • Properly training employees. • Authorizing full access to district records, physical property and personnel relevant to each area being audited. • Addressing and correcting audit fi ndings. 4. The district should consider establishing an independent audit committee. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 1, 2005 Rating: 0 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 July 2, 2007 Rating: 4 Implementation Scale: Financial Management 37 5.4 Budget Development Process (Policy)—Strategic Process to Analyze All Resources and Allocations Professional Standards 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 refl ects district priorities. Progress on Implementing the Recommendations of the Improvement Plan: 1. The mission statement of Business Services states “It is the mission of Business Services to provide effi cient and effective administrative support for the dynamic learning environ- ment of Vallejo City Unifi ed School District.” The district’s April 2007 progress report identifi es progress in staff evaluations, communication, training, internal auditing, budget functions, payroll processes, and multiyear projections. The addition of the Administra- tive Services Manager has improved the amount and quality of quantitative analysis con- ducted during key fi nancial development and reporting periods. 2. The February 2007 board item for budget development included a clear defi nition of revenue and expenditure items in the general fund and the anticipated impact of these assumptions on the 2007-08 budget. It is noted that as part of the Fiscal Recovery Plan, the district will take the necessary actions to adopt a balanced budget with a 3% reserve for 2007-08. The annual budget assumptions should include all funds, but do not at this time. 3. The community and staff forums conducted during the fi scal year focused attention on the district’s goals and objectives, budget, moving the district offi ce, unused district property, improving student attendance, options for reductions and savings, and updates on the dis- trict ratings in FCMAT progress reports. The March 12, 2007 forum included a reminder on staffi ng by formula for many of the district positions, which helps with cost contain- ment as student numbers continue to decline. 4. The March 7, 2007 budget options presentation identifi ed the 2007-08 budget options to be taken. The presentation included specifi c choices on achieving a balanced budget with the required reserve in the general fund. 5. The documents developed for 2007-08 budget development activities contained important information necessary for decision making and addressed the goal of achieving a balanced budget and required reserve in the general fund. Information provided at public forums and board meetings should include other funds as well. If the budget process is implemented as designed, the district will be better able to meet its goals and objectives. 38 Financial Management Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 4 November 1, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 4 July 2, 2007 Rating: 5 Implementation Scale: Financial Management 39 5.5 Budget Development Process (Policy)—Policy Methodology Used to Build the Preliminary Budget Professional Standards The district has policies to facilitate development of a budget that is understandable, meaningful, refl ective of district priorities, and balanced in terms of revenues and expenditures. Progress on Implementing the Recommendations of the Improvement Plan: 1. The business offi ce’s working mission statement focuses on revising board policy and departmental procedures “to provide regular, systematic, and easily understood fi nancial information to the Board, staff, and community.” The information will “utilize charts, graphs, and other visual aids to make complex information more understandable.” 2. The district has engaged in discussion internally and with the Department of Education regarding the use of monies from the sale of unused property for repayment of the State Loan. If this option materializes, the district can develop a fi scal plan to repay the loan without making loan payments from the general fund. 3. The State Administrator has defi ned budget priorities for 2007-08 to include: adjusting to declining enrollment; consolidating and reorganizing programs and services that are man- datory to stay solvent; adjusting special education services based on the decline in special education enrollment; and closing or reorganizing elementary school facilities. 4. The district has made progress in defi ning and achieving its fi scal goals and objectives. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 November 1, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 4 July 2, 2007 Rating: 5 Implementation Scale: 40 Financial Management 5.7 Budget Development Process (Policy)—Projection of the Net Ending Bal- ance Professional Standards The district has the ability to accurately refl ect its net ending balance throughout the budget monitoring process. The fi rst 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. With a focus on the projected ending balance of the unrestricted general fund, the district started the year with an adoption budget ending balance of $5,551,647. All parties, in- cluding the county offi ce, FCMAT, and CDE understood that proceeds from the sale of property were included in the projected balance. All parties also understood that if the sale did not materialize by Dec. 1, 2006, the district would reduce revenue projections at fi rst interim. First interim revenues were reduced by $3.9 million, resulting in a new projected balance of $1,931,056. At second interim, the projected ending balance was $1,345,996. 2. The district projected an overall increase to fund balance of $990,050 at fi rst interim, and revised the increase/decrease to the fund balance to $1,384,784 at second interim. This change was based on a revenue reduction of $355,034 and an expenditure reduction of $473,636, prior to transfers in and out and contributions to restricted programs. 3. It appears that the district staff is updating the budget regularly and adhering to the goal of avoiding defi cit spending. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 2 November 1, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 4 July 2, 2007 Rating: 5 Implementation Scale: Financial Management 41 6.1 Budget Development Process (Technical)—Technical Methodologies Used to Forecast Preliminary Budget Revenues and Expenditures Professional Standards The budget offi ce has a technical process to build the preliminary budget that includes: the forecast of revenues, the verifi cation and projection of expenditures, the identifi cation of known carryovers and accruals, and the inclusion of concluded expenditure plans. The process clearly identifi es 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 Administrative Services Manager distributed budget development packets to school principals and district offi ce managers in early April. Sites were notifi ed of a proposed reduction in allocations in line with the State Administrator’s budget options. 2. The action plan for budget development includes goals to increase communication and collaboration between the business offi ce staff and the district’s school sites, programs, and departments. Communication and collaboration could and should be improved. 3. School sites continue to be concerned about changes made to their unrestricted funds and categorical budgets without notice or discussion. 4. At the conclusion of the budget development process, school sites could expect to have a budget profi le and strategic spending plan for both unrestricted and restricted programs if the process is implemented as designed. 5. District departments have the opportunity to receive a budget model developed by the business offi ce if a modeling tool is not already in place. 6. April 30, 2007 was established as the due date for all templates, helping the district ad- here to the approved budget development calendar. 7. The policy of not carrying over school site unrestricted ending balances is clearly defi ned in the budget guidelines for 2007-08. In addition, sites and departments are reminded that one-time resources should not be used for ongoing expenditures, and that a districtwide budget augmentation process will be developed regarding the allocation of additional resources. 8. The budget criterion for other funds requires that the adult education, food services, and child development funds be self-supporting in 2007-08. 9. Enrollment and ADA projections are routinely monitored and updated throughout the year. Second interim projections show the declining enrollment trend continuing through 2011-12 (the last year noted in the report), as well as the corresponding number of staff to be reduced. 42 Financial Management 10. The district budget is anticipated to accurately refl ect the district’s fi nancial position in 2007-08 if the policies, procedures, and time lines are completed as defi ned by the State Administrator. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 3 November 1, 2005 Rating: 4 May 31, 2006 Rating: 4 January 25, 2007 Rating: 3 July 2, 2007 Rating: 5 Implementation Scale: Financial Management 43 7.5 Budget Adoption, Reporting, and Audits—Fund Balance Projections Professional Standards The fi rst 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. The Administrative Services Manager utilizes non-SACS projection software to prepare multiyear fi nancial projections for the general fund, FCMAT’s Budget Explorer. The software allows greater fl exibility in defi ning revenue and expenditure changes than the SACS form. The fi rst and second interim board items each included two distinct treat- ments of the projections. The SACS projection showed negative ending fund balances in 2007-08 and 2008-09 and the non-SACS projections showed positive projected balances. 2. The non-SACS projection showed the district’s adopted budget as the base year data for 2006-07, which included the $3.9 million for the sale of property that was eliminated from the district’s budget in both the fi rst and second interim reports. The district will eventually sell the property, and the revenue will be recorded in another time period. However, the projection should be updated to refl ect the general fund budget as projected to June 30 of the base year at the time of each fi nancial reporting period. The table below shows how this affected the totals shown in the two projection models. 3. The non-SACS projection included in the second interim packet was the same as what was included in the fi rst interim packet, with the exception of a change to the 2011-12 year in the expenditure category for debt service. The second interim projection should have been updated to refl ect changes in the projected ending balance between fi rst and second interim reporting periods. Unrestricted 1st Interim Non- 2nd Interim Non- 1st Interim SACS 2nd Interim SACS* Ending Balance SACS Projection SACS Projection 2006-07 $1,931,056 $5,553,224 $1,345,996 $5,553,224 2007-08 -$586,083 $2,619,837 -$296,870 $2,619,837 2008-09 -$5,296,746 $131,307 -$1,348,459 $131,307 *The second interim report document provided to FCMAT did not include the SACS MYP, although the electronic fi le provided by the district to FCMAT did include the form. 4. The cover sheet of the board item prepared for the interim reports should include infor- mation on the fi nancial projections for the two subsequent years in a summary form. 5. The narrative that accompanied the interim reports provided identifi cation of the revenue and expenditure areas affecting the current year budget for all funds. 6. The narrative identifi ed projected defi cits for the general fund through 2011-12. 44 Financial Management 7. The district reported on the resolution of the audit fi ndings for 2004-05 as follows: 21 of 34 fi nancial statement fi ndings have been resolved; 2 of 17 federal compliance fi ndings have been resolved; 9 of 16 state compliance fi ndings have been resolved. Four state fi ndings are under appeal, and 31 fi ndings overall remain outstanding. 8. The district’s responses to the 2005-06 audit had not been completed at the time of the FCMAT visit. The audit will be fi nalized once the district´s responses have been received and reviewed by the State Controller’s audit team. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 1, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 3 July 2, 2007 Rating: 4 Implementation Scale: Financial Management 45 8.1 Budget Monitoring Professional Standard: All purchase orders are properly encumbered against the budget until payment. Progress on Implementing the Recommendations of the Improvement Plan: 1. The online purchase order system module had been implemented throughout the district by the end of November 2006 except at the Community Day School, where it was scheduled, but did not occur. Training for all school site staff members responsible for entering requisitions occurred September 2006. Since online purchase orders are in use districtwide, the timeliness and quality of fi nancial information should improve as those with budget responsibility will have greater access and accountability for their specifi c budgets. The purchase control system automatically verifi es fund availability and account coding when the site/department enters a purchase requisition. It immediately encumbers the funds to avoid timing differences. If suffi cient funds are not available or the budget code is invalid, the system requires a budget transfer before processing, which the district offi ce enters on request of the site or department. The module also completes approved purchase orders, liquidates the pre-encumbrance and fully encumbers the funds. There are fewer delays in Purchasing Department paperwork with online approval of purchase orders. 2. School sites fi nd it diffi cult knowing what budgets are available for expenditure since budgets can be changed without the sites being informed of the reason. The sites have not received budget reports from the district offi ce since December 2006. Using Financial 2000’s online budget look-up feature is insuffi cient for the sites to determine what budgets are available in what areas since the system’s view is limited. Many sites also do not seem comfortable running budget reports that are available to them on Financial 2000. The sites appear to need additional training on how to read the budget account structure and how to use Financial 2000 to view and understand their current budgets. If changes are made to department or site budgets, administrators need to be made aware of any budget adjustments they did not initiate. 3. The district continues to implement the hard code block feature for purchase orders that cannot be overridden. This is essential especially for districts with fi scal issues, so expenditure transactions (other than salary and benefi ts) cannot be processed until a necessary budget transfer has been entered and approved. 46 Financial Management Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 Implementation Scale: Financial Management 47 8.2 Budget Monitoring Professional Standard: There are budget monitoring controls, such as periodic reports, to alert department and site man- agers of the potential for over expenditure of budgeted amounts. Revenue and expenditures are forecast and verifi ed monthly. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Administrative Services Manager and staff have worked hard to dedicate staff time to develop, monitor, and maintain the budget. Budget monitoring controls seem to have been strengthened at the district offi ce level. 2. The district Business and Fiscal Department formulated an action plan for developing the 2006-07 budget that included communication and collaboration between its staff and the district’s school sites, programs, and departments. Although initial meetings occurred, most of the program and department staff managers or directors interviewed by FCMAT reported that follow-up meetings did not. The site staff also expressed frustration about a lack of budget communication since FCMAT’s last visit. Many planned communications and visits have not occurred. In addition, the site staff complained about lacking knowledge of Financial 2000 data. It was clear that additional support, communication, and training are needed at the site level. Even though a more detailed process has been developed and seems to be working in the district offi ce, there is still much confusion and uncertainty about budget issues at the site level. 3. The district planned to send a different budget report structure to the school sites and departments during the 2006-07 fi scal year, beginning in October. This occurred through December, but because of system issues, the district offi ce was unable to send reports from January through March. Some of the sites indicated they were not told why the reports were not sent and how long it would be before they began to receive them again. 4. School sites and departments can run their own budget reports from the Financial 2000 system in addition to what the district offi ce sends them. Although these self-run reports are simpler and provide basic budget information, many sites are not running them because they lack confi dence in the data as compared to the information on other reports they receive from the district offi ce. 5. Online budget revisions for sites and departments have not been implemented as planned. FCMAT agrees with the district’s decision to delay this implementation because there is too much confusion on how to read and understand budgets, especially at the school sites. Once the idea of business partners becomes better utilized, the revision process should become more effi cient and accountable. Online budget revisions will eventually provide the business offi ce with greater budget control, provide site and department administrators with greater budget responsibility and promote better communication regarding assigned budgets. 48 Financial Management 6. Site and department managers continue to be concerned about their unrestricted general fund allocations and categorical budgets being changed without full explanation. Questions still exist regarding site allocations for unrestricted and restricted budgets that were changed during the year without notifi cation. Budget information is often not clear until late in the year, leaving minimal time in which to spend the funds. The budget offi ce should continue working with site and department managers to determine what additional resources would make budget review and comprehension easier. Site and department input can promote greater accountability for the budget. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 5 July 2, 2007 Rating: 5 Implementation Scale: Financial Management 49 8.5 Budget Monitoring Professional Standard: The district uses an effective position control system that tracks personnel allocations and expen- ditures. The position control system effectively establishes checks and balances between person- nel decisions and budgeted appropriations. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district continues to have effective internal controls for position control. The Human Resources and Business departments have different roles in the process and have improved overall effi ciency and accountability. 2. Position control drives the contracted salary and benefi ts in the adopted budget. Once the position control information is entered and validated during budget development, it is rolled into the adopted budget. During the year, as changes occur to contracted positions or new positions are added, position control is updated. The budget is also updated for changes in salary and benefi ts, but the information does not come directly from position control. Because position control does not include noncontracted positions, such as extra hire, stipends, overtime or substitutes, the data in position control cannot continue to be rolled into the budget once the fi scal year begins and adjustments are made to salary and benefi t accounts through the budget revision process. If it were, all manual salary and benefi t adjustments for noncontracted positions and other types of budget revisions would be deleted and would need to be re-entered each time position control data is rolled. 3. The district must utilize a process to ensure that position control data is reconciled to the budget periodically throughout the fi scal year since the changes do not occur electronically. Because the fi nancial system does not allow for salaries and benefi ts to be encumbered, it is even more diffi cult and time consuming to accurately refl ect and reconcile actual amounts to projections. The budget must refl ect the current and most accurate data because salaries and benefi ts are the budget’s largest expenditures. Reconciliations should be performed at least during each interim reporting period, and a review conducted to ensure completion. 4. The district is working toward fully utilizing the online position control system. At this time, attention is being given to substitute, extra hire and noncontracted positions, as all contracted positions are already in the system. The goal is to enter all salary accounts into the system, both contracted and noncontracted, so that they are not vulnerable to overexpenditure and so that manual transactions will rarely be necessary. Full implementation was planned for the 2005-06 fi scal year, but was not accomplished because of various time constraints. The district should formulate a plan to include noncontracted employees in the position control system because time card use is extensive. If those positions are not included in the system, budget overruns could easily occur. 50 Financial Management 5. On April 5, 2007, a meeting was held with the district staff to gain information on the FileBound system and fi nd a solution to the problem of paper-driven time cards and employee attendance. Position control drives the payroll function, so controls continue to be developed to ensure all contracted positions are correctly entered. The separate health and welfare benefi ts module is being utilized in the fi nancial system to drive the budget, but the data is not used to manage that portion of the payroll system. Standard Implemented: Partially November 1, 2004 Rating: 6 May 1, 2005 Rating: 7 November 30, 2005 Rating: 7 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 7 Implementation Scale: Financial Management 51 11.1 Attendance Accounting Professional Standard: An accurate record of daily enrollment and attendance is maintained at the sites and reconciled monthly. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district prepared and distributed a manual of standard procedures for reporting stu- dent enrollment and taking attendance. The school site staff has been trained and appears to be properly performing attendance accounting procedures. 2. The district conducts annual training at the beginning of the school year for attendance clerks and as needed during the year for employees needing more assistance and for new- ly hired employees. 3. All secondary school teachers have access to the Aeries system in their classrooms. 4. Establishing standardized procedures and providing training for short-term independent study continues to be a concern that is being addressed by the Internal Auditor through site audits of independent study. Standard Implemented: Partially November 1, 2005 Rating: 1 May 1, 2005 Rating: 4 November 1, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 Implementation Scale: 52 Financial Management 11.3 Attendance Accounting Professional Standard: Students are enrolled by staff and entered into the attendance system in an effi cient, accurate and timely manner. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district continues to provide training on the standard attendance reporting proce- dures. 2. Procedures were developed by the Internal Auditor, outlining the step-by-step instructions from registering a student through reporting on the J18/19. The procedures manual in- cludes forms, common attendance codes, student drop guidelines, compulsory laws, and pertinent education codes. 3. The Internal Auditor and district data processing staff provide training to ensure that all employees responsible for attendance accounting have the tools needed to continue with accurate and timely attendance reporting. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 1, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 Implementation Scale: Financial Management 53 11.6 Attendance Accounting Professional Standard: The district utilizes standardized and mandatory programs to improve the attendance rate of pupils. Absences are aggressively followed up by district staff. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district continues to emphasize the importance of accurate student attendance accounting procedures. Annual training should continue to be provided for principals, teachers, and site attendance staff. 2. Schools have developed and implemented attendance improvement plans. 3. The Attendance League, a program to reward good student attendance, was used in the past, but has not been utilized this year. 4. The importance of good student attendance is being stressed throughout the district. All student absences should be followed by a notifi cation to parents. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 3 November 1, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 Implementation Scale: 54 Financial Management 11.7 Attendance Accounting Professional Standard: School site personnel receive periodic and timely training on the district’s attendance procedures, system procedures and changes in laws and regulations. Progress on Implementing the Recommendations of the Improvement Plan: 1. Written documentation on the new attendance system has been prepared and distributed to the site staff. Procedural manuals are being used by the site staff. 2. The district conducts attendance training for the site and district staffs at the beginning of the school year. Attendance in the fall of 2006 was voluntary for experienced attendance clerks. This training should be mandatory for all attendance clerks on an annual basis. 3. Attendance clerks should be encouraged to share effective strategies and ideas at the annual training or another type of meeting where open discussions can occur. Standard Implemented: Partially November 1, 2005 Rating: 0 May 1, 2005 Rating: 1 November 1, 2005 Rating: 3 May 31, 2006 Rating: 4 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 Implementation Scale: Financial Management 55 12.2 Accounting, Purchasing, and Warehousing Professional Standard: The district timely and accurately records all information regarding fi nancial activity (unrestrict- ed and restricted) for all programs. Generally Accepted Accounting Principles (GAAP) requires that fi nancial reporting must be reliable and timely to serve the needs of the users. Therefore, the timely and accurate recording of the underlying transactions (revenue and expenditures) is an es- sential function of the district’s fi nancial management. Progress on Implementing the Recommendations of the Improvement Plan: 1. The fi nancial audit for 2004-05 prepared by the California State Controller indicated numerous fi ndings in the accounting activities, especially related to payroll operations. Most of the recommendations have been implemented. 2. The California State Controller’s fi nancial audit for 2005-06 was not available for the team’s review during fi eldwork in April, 2007. 3. Systems and procedures have improved since the district hired an Internal Auditor. The Internal Auditor and director of fi scal services continue to address audit fi ndings and implement new procedures. The district still has room to improve in implementing strong internal controls and developing good business practices to ensure that accounting activities are always performed in a timely manner. 4. Accounting and purchasing board policies have been updated. Payroll deadlines have not been missed for more than 10 months. Manually written checks are still being produced, since the sites’ payroll due dates are not strictly enforced by management, but not as often as before. Some school sites continue to submit time cards late. Diffi cult or questioned work is given to the Payroll Supervisor for resolution, improving the service provided to employees. All formerly vacant payroll positions are now fi lled. 5. Several employees are new to their jobs. Managers respond to employees’ questions promptly. Once the staff is fully trained and the workload is under control, response time should continue to improve. 6. Business management positions have been fi lled with qualifi ed employees. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 July 2, 2007 Rating: 5 Implementation Scale: 56 Financial Management 12.3 Accounting, Purchasing, and Warehousing Professional Standard: The district forecasts its revenue and expenditures and verifi es those projections monthly to adequately manage its cash. In addition, the district reconciles its cash to bank statements and reports from the county treasurer monthly. Standard accounting practice dictates that, to ensure that all cash receipts are deposited timely and recorded properly, cash is reconciled to bank state- ments monthly. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Internal Auditor has developed several internal control and cash handling procedures. Training has been provided to all employees who handle cash at the district offi ce and school sites. Employees must follow the proper procedures at all times. 2. The Internal Auditor has worked with the staff to develop procedures to ensure a clear separation of duties in all matters involving cash receipts, bank deposits and reconcilia- tions, and the recording of cash transactions in the accounting system. The 2003-04 audit performed by the State Controller included several fi ndings regarding the handling of cash transactions, which have been corrected. The 2004-05 audit fi ndings related to the handling of cash are also being addressed. The 2005-06 audit report had not yet been received by the district at the time of FCMAT’s fi eldwork. 3. Monthly bank reconciliations are promptly prepared. Timely bank reconciliations are an important part of a sound internal control structure. With the changes in staff, the district must closely supervise the bank reconciliation process to ensure timely and accurate oversight. Employees handling cash and performing bank reconciliations should be close- ly supervised and monitored. 4. New procedures have been implemented to pick up cash from sites and deliver it to the district offi ce. Two district-level employees are assigned to count and deposit cash. Proce- dures are in place to follow up on cash shortages. Controls and procedures regarding the use of petty cash should be strengthened when funds are distributed to school sites. 5. The Administrative Services Manager is responsible for developing and maintaining the district’s budget. Several employees and the work distribution have been reassigned under the direction of the Administrative Services Supervisor to better serve the users. Site staff members indicated that they were no longer receiving monthly budget reports and that us- ing the online system was cumbersome and confusing. More training and communication between the budget offi ce and sites needs to occur, and would improve the overall customer service from the Business and Fiscal Department. 6. The district’s current spending pattern may result in a serious cash shortage or budget shortfall after June 2008 when the district and teachers’ bargaining unit begin negotia- tions for 2008-09 unless signifi cant budget adjustments are approved and implemented. Financial Management 57 7. The responsibility for preparing monthly cash fl ow projections has been assigned to an Accounting Technician with direct oversight by the Director of Fiscal Services. The dis- trict should continue to strengthen procedures to forecast cash requirements, revenues and expenditures. 8. The Director of Fiscal Services continues to closely monitor cash each month. 9. Policies and accountability standards have been developed to prevent unauthorized bank accounts from being opened by school sites and other district employees. The district should determine that no unauthorized bank accounts exist. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 4 January 25, 2007 Rating: 3 July 2, 2007 Rating: 5 Implementation Scale: 58 Financial Management 12.4 Accounting, Purchasing, and Warehousing Professional Standard: The district’s payroll procedures are in compliance with the requirements established by the County Offi ce of Education, unless fi scally independent (Education Code Section 42646). Stan- dard accounting practice dictates that the district implements procedures to ensure the timely and accurate processing of payroll. Progress on Implementing the Recommendations of the Improvement Plan: 1. Communication and teamwork in the Payroll Department has improved. The relationship between the supervisor and department employees is positive. The overall morale of all payroll employees is improving now that all the vacant positions are fi lled, and signifi cant overtime is no longer necessary to meet deadlines. 2. The relationship between the Payroll and Human Resources departments has improved since monthly meetings were reinstated. Payroll and Human Resources are resolving issues and improving communication between the two departments. 3. Health benefi ts have been transferred back to the Business and Fiscal Department. Pay- ment reconciliations are being prepared regularly. 4. Employees are familiar with the new county payroll system. Regular training is provided and should continue. 5. The district revised the due dates for one payroll cycle to provide adequate time for pro- cessing paychecks. This change may help reduce the number of manual checks issued in the future. 6. Some school sites continue to submit time sheets late, causing problems such as an increased need for handwritten checks from the revolving fund. Until very recently, man- agement had not enforced compliance with payroll deadlines. All principals, managers and other administrators overseeing staff should be held accountable for meeting payroll deadlines. Management should enforce payroll deadlines and support payroll staff in their efforts to maintain processing time lines. 7. Employees should be evaluated and/or disciplined when rules and procedures are not fol- lowed. 8. Payroll employees do not always process work in a uniform manner. Internal control pro- cedures and effective business practices should be implemented. The Director of Fiscal Services is working with the Internal Auditor to make minor changes to the proposed new internal control procedures so that they can be implemented promptly. 9. Human Resources must continue to process employment paperwork in a timely manner and immediately forward all pertinent documents to Payroll. Financial Management 59 10. Paychecks are distributed at the work sites. Employee signature sheets are used and re- turned to Payroll to verify that all checks were properly distributed or accounted for. Procedures are in place to determine why a paycheck was not picked up at the site and to mail the paycheck to the employee if applicable. 11. As is the case with other school districts, it is possible for terminated employees to re- ceive paychecks because of untimely processing of paperwork by school sites or Human Resources. 12. Paychecks are processed for regular employees prior to receipt of time reports from sites. This occasionally causes overpayments because docked time is not reported in a timely manner. 13. Vacation and sick leave records are posted monthly and appear on paycheck stubs the month following an absence. A few outstanding issues are being researched related to vacation and sick leave accruals. 14. The overpayment collection process has improved but is not yet perfected. An overpay- ment recovery document has been approved and implemented. Employees are sent let- ters when overpayments occur, but if an employee does not return the letter approving a repayment plan, the new procedure calls for the district to take legal action. Employees report that to date, legal action has not been taken for any overpayments. For terminated employees, invoices for overpayments are mailed but no follow-up has occurred to col- lect the funds if they do not pay. Procedures to collect overpayments should be followed. 15. The county offi ce system incorporates adequate internal controls as they relate to the overall payroll processing functions. The county tracks the salary history adjustments for each district within the CECC payroll system in an effort to give feedback regarding payroll performance and accuracy. Vallejo has the highest number of corrections of any district in the county. The district needs to work diligently to prevent payroll errors. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 3 July 2, 2007 Rating: 5 Implementation Scale: 60 Financial Management 14.3 Multiyear Financial Projections Legal Standard: Multiyear fi nancial projections are prepared for use in the decision-making process, especially whenever a signifi cant multiyear expenditure commitment is contemplated. [EC 42142] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has continued to prepare the required multiyear projections as part of the statutory requirements, such as for interim reports and adopted budgets, using a variety of software. 2. The district’s multiyear fi scal recovery plan from 2004-2012 was presented to the board on March 7, 2007. The purpose of such a plan is to provide the blueprint for regaining and ensuring the fi scal health of the school district. The CDE is currently reviewing the plan, and once all clarifi cations and/or revisions are completed, it will be submitted and approved by the State Superintendent of Public Instruction. Afterward, it will be released publicly and to the state’s governing bodies, including the Legislature, other oversight agencies and the Governor. 3. The multiyear fi nancial projection, which is a critical component of the fi scal recovery plan, covers the district’s fi nancial picture from 2004 to 2012. The fi nancial assumptions used in the 2007-2012 years are much more detailed than in the past, allowing the reader to understand what is driving the amounts in subsequent years. This is a defi nite improvement over past projections. The district used Budget Explorer to prepare the projections. 4. It is important to remember that any fi nancial projection has to be updated regularly, especially when large fi nancial assumptions change. For instance, the projection that is part of the recovery plan includes the assumption that all state loan repayments will be made form property proceeds deposited in the district’s state loan repayment reserve fund, which is allowed by current law. At some point, if the loan repayment fund has insuffi cient revenue for repayment, the difference will need to come from the unrestricted general fund. This could signifi cantly worsen the district’s fi scal outlook in subsequent years. In addition, no expenditures have been included for any repayment of the 2003- 04, 2004-05, 2005-06 or future audit fi ndings pending fi nal resolution through appeals, corrective action plans or legislation if needed. 5. The multiyear fi nancial projections at fi rst and second interim were completed using the SACS software module instead of Budget Explorer. The Budget Explorer version for the recovery plan was submitted as part of the interim package, but the numbers in that projection are different from those in the SACS version. This can be confusing. The SACS module is not mandated by the state, and many county offi ces, such as Solano, do not mandate that only the SACS version be used since other options are available. The district should consider using only Budget Explorer for both the recovery plan and the projections submitted with SACS reports. This will make it easier to ensure one projection is complete instead of monitoring two separate databases that do not correlate well with each other. Financial Management 61 6. The fi rst and second interim board items each included two distinct treatments of the projections. The SACS projection showed negative ending fund balances in 2007-08 and 2008-09 and the non-SACS projections showed positive projected balances. 7. The non-SACS projection showed the district’s adopted budget as the base year data for 2006-07, which included the $3.9 million for the sale of property that was eliminated from the district’s budget in both the fi rst and second interim reports. The district will eventually sell the property, and the revenue will be recorded in another time period. However, the projection should be updated to refl ect the general fund budget as projected to June 30 of the base year at the time of each fi nancial reporting period. The following table demonstrates how this affected the totals shown in the two projection models. The non-SACS projection included in the second interim packet was the same as what was included in the fi rst interim packet, with the exception of a change to the 2011-12 year in the expenditure category for debt service. The second interim projection should have been updated to refl ect changes in the projected ending balance between fi rst and second interim reporting periods. Unrestricted 1st Interim 2nd Interim 2nd Interim Ending 1st Interim SACS Non-SACS Non-SACS SACS* Balance Projection Projection 2006-07 $1,931,056 $5,553,224 $1,345,996 $5,553,224 2007-08 -$586,083 $2,619,837 -$296,870 $2,619,837 2008-09 -$5,296,746 $131,307 -$1,348,459 $131,307 *The second interim report document provided to FCMAT did not include the SACS MYP, although the electronic fi le provided by the district to FCMAT did include the form. 8. The budget offi ce needs to provide multiyear projection information more frequently than at budget adoption and interim reporting periods while the district’s fi scal health is being restored. The board must understand the impact of all its fi scal decisions and their effect on the budget in future years. Multiyear projections should include suffi cient detail so that the board is familiar with the information and can more easily comprehend and have confi dence in the data. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 1, 2005 Rating: 1 May 31, 2006 Rating: 2 January 25, 2007 Rating: 1 July 2, 2007 Rating: 3 Implementation Scale: 62 Financial Management 15.4 Long-Term Debt Obligations Professional Standard: The district has developed and uses a fi nancial plan to ensure that ongoing unfunded liabilities from employee benefi ts are recognized as a liability of the school district. A plan has been estab- lished for funding retiree health benefi t costs as the obligations are incurred. Progress on Implementing the Recommendations of the Improvement Plan: 1. The Governmental Accounting Standards Board (GASB) published Statement Number 43 and 45 in 2004. Statement No. 43 requires the disclosure of the Retiree Health Plan and Statement No. 45 determines the methodology for computing expenditures for retiree health and welfare benefi ts. GASB 45 required school districts to conduct an actuarial study to determine the liability for post employment benefi ts. However, GASB 45 is not legally enforceable and the Education Code does not require an actuarial study. Educa- tion Code Section 42140 previously required disclosure of the liability for retiree benefi ts if offered after the age of 65. The code section became inoperative Jan. 1, 2005, and was repealed by AB 2855 as an unfunded mandate. The district provides post-employment health care benefi ts in accordance with the respective employment contracts to all em- ployees who retire from the district on or after attaining the age of 55 with a minimum service level of 15 years. Retirees receive district payment for single party Kaiser medical premiums for fi ve years. Post-retiree benefi ts for members of the Vallejo Education Asso- ciation and the Vallejo School Management Association end after the earlier of fi ve years or age 67. There is a California Public Employees Retirement System (PERS) minimum, and it is paid for life. The minimum was $64.60 monthly for 2006, $80.80 for 2007, and $97.00 in year 2008 with increases to the medical component adjusted by the Consumer Price Index (CPI). All expenditures for post-employment benefi ts are recognized on a pay-as-you-go basis as premiums are paid in each fi scal year. 2. The district received an Actuarial Analysis of Retiree Health Benefi ts as of July 1, 2006 from Steven T. Itelson enrolled actuary on April 3, 2007. The valuation results included multiple scenarios that included the expense being recognized and defi ned as the Annual Required Contribution (ARC) in accordance with GASB Statement No. 45 utilizing a 5.5% rate of return on investments over a 20 year period. As of July 1, 2006, the ARC is $3,174,000. This includes the normal costs of $1,785,000 plus $1,389,000 to amortize the Unfunded Actuarial Accrued Liability (UAAL). The total cost of $3,174,000 is computed as 3.59% of payroll for actuarial purposes. The Actuarial Accrued Liability (AAL) as of July 1, 2006 is $31,019,000 that includes $9,292,000 for current retirees and $21,727,000 for employees. There were no reserves for retiree health benefi ts as of June 30, 2006. The district presented the actuarial report at the April 18, 2007 board meeting and will utilize the analysis to prepare a plan to submit to the state for disclosure and funding purposes. The assumptions included in the actu- arial report are based on the pension valuations for the Public Employees Retirement Sys- tem (PERS) and the State Teachers’ Retirement System (STRS). Financial Management 63 Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 November 1, 2005 Rating: 2 May 31, 2006 Rating: 2 January 25, 2007 Rating: 2 July 2, 2007 Rating: 4 Implementation Scale: 64 Financial Management 16.1 Impact of Collective Bargaining Professional Standard: The district has developed parameters and guidelines for the collective bargaining process that ensure that the collective bargaining agreement is not an impediment to the effi ciency of dis- trict operations or academic progress. At least annually, collective bargaining agreements are analyzed by the management team consisting of the State Administrator, and Assistant Super- intendents of both Human Resources and Business Services. The group meets to identify those characteristics of the respective collective bargaining agreements that may pose an impediment to effective delivery of district operations and academic programs. The district identifi es those issues for consideration by the State Administrator that are considered a priority for the district to sustain its fi nancial recovery. The State Administrator considers the impact on district opera- tions of current collective bargaining language and proposes amendments to district language as appropriate to ensure effective and effi cient district delivery. Any parameters developed by the management team are provided in a confi dential environment, refl ective of the obligations of a closed executive board session. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has successfully concluded negotiations with all bargaining units, resulting in a three-year collective bargaining agreement that includes midyear implementation of sal- ary compensation, identifi ed savings by capping health and welfare benefi ts, and limited accumulation and payment of excess vacation benefi ts. The agreement included a reduc- tion in district-paid health benefi ts beginning July 1, 2005 through June 30, 2008. The agreement with CSEA and VTA was disclosed and reviewed under AB 1200 and Govern- ment Code Section 35457.5 guidelines by the Solano County Offi ce of Education. 2. The district’s collective bargaining agreements are analyzed by a management team con- sisting of the State Administrator and assistant superintendents of Human Resources and Business Services. The district developed this review team that meets monthly to evaluate and propose changes to the respective collective bargaining agreements and align with the district’s fi nancial recovery plan. Potential cost savings issues have been identifi ed and quantifi ed for evaluation by the State Administrator and community in public meet- ings. Any proposed modifi cations to the collective bargaining agreements are submitted to the bargaining units for review and consideration during the process. 3. The district has formed a Benefi ts Committee to provide a forum to discuss potential changes, enhancements and concepts to contain rising costs for health and welfare ben- efi ts. The committee consists of two members from VEA, two members from CSEA, one member from VSMA, the Risk Manager, and the Assistant Superintendent of Business or designee. The committee meets once a month with minutes recorded for each meeting. Financial Management 65 Standard Implemented: Fully - Substantially November 1, 2004 Rating: 1 May 1, 2005 Rating: 4 November 1, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 8 July 2, 2007 Rating: 8 Implementation Scale: 66 Financial Management 16.2 Impact of Collective Bargaining Professional Standard: The State Administrator ensures that any guideline developed for collective bargaining is fi s- cally aligned with the instructional and fi scal goals on a multiyear basis. The State Administrator ensures that the district has a formal process in which collective bargaining multiyear costs that are identifi ed. Proposed expenditure changes were identifi ed and implemented as necessary prior to any imposition of new collective bargaining obligations. The State Administrator ensures that costs and projected district revenues and expenditures are validated on a multiyear basis so that the fi scal issues faced by the district are not worsened by bargaining settlements. The public is informed about budget reductions that will be required for a bargaining agreement prior to any contract acceptance by the State Administrator. The public is notifi ed of the provisions of the fi nal proposed bargaining settlement and is provided with an opportunity to comment. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has prepared the required multiyear projections as part of the statutory budget requirements for all interim fi nancial reports and the adopted budget. 2. In accordance with AB 1200 and Government Code Section 3547.5, the district prepared public disclosure documents for the proposed agreements with CSEA and VTA including but not limited to the costs of proposed collective bargaining agreements for the current and two subsequent fi scal years, and submitted them to the county offi ce for review and analysis. 3. The district has prepared a schedule demonstrating the cost of a 1% salary increase for all bargaining units and all funds included in the budget. This schedule contains the statutory benefi ts that will be included in the assumptions of the adoption budget. Total compensa- tion should include the associated costs of salary, benefi ts, step and column, and cost-of- living increases (COLA), if any. 4. The district has convened study sessions with the State Administrator and public to ad- dress the fi scal impact of collective bargaining. The district concluded the development and implementation of a fi scal recovery plan in March 2007. The district’s ADA contin- ues to decline and is anticipated to further decline in the current and two subsequent fi scal years. This event will have a substantial effect on future negotiations, and the district has begun downsizing staff commensurate with the enrollment decline. Topics such as school closures, employee layoffs and other remediation concepts have been presented by the State Administrator. Financial Management 67 Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 2 November 1, 2005 Rating: 3 May 31, 2006 Rating: 5 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 Implementation Scale: 68 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 defi nition of needs, development of system specifi cations, 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. During interviews, the Coordinator of Technology and Information Services (TIS) demonstrated an understanding of the primacy of education and the support role TIS plays in the instructional environment. Since the January 2007 Progress Report, the coordinator has focused attention on increasing the level of service orientation demonstrated by all staff members in the department. 2. All staff members are present during weekly staff meetings to discuss district and department technology issues. Meetings are organized and follow a printed agenda that is distributed to each staff member. Staff members are not invited to share agenda items in advance of the department meetings. The coordinator commented that he uses staff meetings to increase collaborative problem solving, however, most staff members commented that although the meetings have improved communication, the fl ow of communication is predominantly top-down and that there is little opportunity for staff input due to time constraints. During staff meetings, all staff members should be encouraged to provide input during discussion of each agenda item. In addition, an e-mail should be sent to all department staff members in advance of the weekly department staff meeting, inviting items to be added to the agenda. Staff members should add items to the agenda to reserve time at the meeting to discuss issues as necessary. This should provide a more collaborative approach rather than a top-down approach, and it could help the department be more cohesive. 3. Partly due to numerous requests from TIS staff members for out-of-class salary compensation, the State Administrator recently requested a reclassifi cation study of TIS positions. The results of the study are not yet available. 4. Users are familiar with and make regular use of the formal process for submitting requests for technology support. The work order system provides an option for e-mail notifi cation to users who submit support requests, and the technology support staff member who enters new work orders routinely uses this option. It should be ensured that any user who submits a support request receives an e-mail verifi cation of the work order submission. Financial Management 69 5. Users who receive a new account on the district’s student information system are strongly encouraged to change the default password assigned to them. Despite this, some users have never changed their default password. All users should be required to change the default password assigned to them when new user accounts are created on the student information system. 6. Basic elements of the district’s Web page are not replicated by all school site Web pages to create a common appearance. All district and site Web pages should have a common appearance to create a more uniform Web presence. The basic structure, color scheme, and district logo should be a part of every site and district Web page. 7. Site administrators expressed frustration that technology staff members are not assigned to provide site support on any expected or scheduled basis. This unorganized staffi ng allocation is the result of a work order prioritization scheme that assigns technicians to support functions according to a predefi ned hierarchy of needs. Each successive layer in the hierarchy preempts lower layers. The goal is to ensure that support requests are taken care of according to importance. In practice however, this commonly prompts support staff members to travel to more than one school site each work day. This frustration was shared by technology support staff members who commented that they traveled to as many as seven sites in one day. The time wasted due to travel between school sites severely hampers technician productivity. A staff allocation plan should be developed that ensures all sites receive support on a more structured basis, such as assigning technology support staff members to specifi c sites on specifi c days. Each site administrator should know when technology support staff will be on site to address campus support issues. The site support assignments should be interrupted only for emergencies. 8. The district has no instructional technology leadership to provide professional development or assistance with instructional technology issues. The district should consider creating a position to address instructional technology issues. The position could be fi lled by a teacher on special assignment assigned to address districtwide professional development and instructional technology applications such as the Aeries Gradebook, which allows teachers to establish all class assignments and enter scores received by students for these assignments. 9. The district’s acceptable usage policy (AUP) is out of date and has not been signed by all employees. The AUP should be updated and every staff member should be required to sign the updated document. The signed AUP should be maintained by the human resources department. 10. A district employee maintains and submits all E-Rate funding documentation. Network documentation and diagrams are not up to date. The district should consider contracting with an external E-Rate consultant for support in application, documentation, and funding efforts. Typically, E-Rate consultants charge a fl at fee for services and a small percentage (usually capped) of the funding received. 70 Financial Management Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 6 November 1, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Rating: 4 July 2, 2007 Rating: 4 Implementation Scale: Financial Management 71 17.3 Management Information Systems Professional Standard: Selection of information systems technology conforms to legal procedures specifi ed in the Public Contract Code. Additionally, there is a process to ensure that needs analyses, cost/benefi t analy- ses, and fi nancing plans are in place prior to commitment of resources. The process facilitates involvement by users, as well as information services staff, to ensure that training and support needs and costs are considered in the acquisition process. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district does not have an organized software license library. As a result, the district is ill-prepared for a software compliance review by a commercial software licensing agency such as the Business Software Alliance (BSA). 2. A formal software license library should be established. The department Secretary should be assigned to maintain software license information on each of the commercial applications used throughout the district. The software license library should include information on operating systems, offi ce applications, and other miscellaneous applications. For most applications, detailed information is not necessary. It is suffi cient for site license information to show that the district has suffi cient licenses to cover all user workstations. For unique applications such as those used for graphics design and Web presence, more detailed information should be maintained. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 6 November 1, 2005 Rating: 8 May 31, 2006 Rating: 8 January 25, 2007 Rating: 4 July 2, 2007 Rating: 4 Implementation Scale: 72 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/benefi t analyses and fi nancing plans supporting the acquisition of technology systems. Progress on Implementing the Recommendations of the Improvement Plan: 1. The TIS Coordinator has completed a detailed training needs analysis for all staff members in the department. Each TIS staff member verifi ed that the coordinator had consulted them regarding their training needs and had actively taken steps to coordinate identifi ed training requirements. 2. The district’s student information system has a feature called the Aeries Browser Interface (ABI). ABI is required to take advantage of other SIS features such as online attendance and grade reporting. All high schools are on ABI and have implemented the online attendance and grade reporting features. Only two middle schools are on ABI, and two others still use scanner-based attendance reporting. None of the elementary sites have ABI, and they still record attendance by hands-on attendance rosters. An implementation plan should be developed to schedule the remaining tasks required to fully implement ABI districtwide. Associated equipment needs should be determined, and a detailed training plan developed to support the implementation for instructional staff that will be using the online attendance and grade reporting features. 3. The district´s Technology Support Specialist who has primary responsibility for the district´s student information system should attend CSIS-hosted best practices cohort training. Funding for this training is available from CSIS. This training will contribute to improved student performance through better, local data-driven decision-making and prepare the district to submit data to the California Longitudinal Achievement Data Systems (CALPADS). Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 7 November 1, 2005 Rating: 7 May 31, 2006 Rating: 8 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 Implementation Scale: Financial Management 73 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 fi nancial well-being of the district. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district continues to provide FCMAT with loss statistics, claims frequency reports, etc., on a quarterly basis that were compiled by independent consultant fi rms and now district staff. The district staff reviews all claims and makes recommendations based on the loss data. FCMAT reviewed property and liability claims provided by the Alliance of Schools for Cooperative Insurance Programs (ASCIP) and workers’ compensation claims provided by the district. 2. The district currently obtains its workers’ compensation insurance from State Compen- sation Insurance Fund. The district was self-insured between April 1, 2003 and July 31, 2005. The district completed a workers’ compensation actuarial on June 14, 2006. The actuarial report was done by Bay Actuarial Consultants. 3. The current Workers’ Compensation Insurance Premium in the 2006-07 budget is pro- jected at $2,873,215. Based on experience factors, changes to market conditions and the district’s active Return to Work Program, the premiums for the 2007-08 Workers’ Com- pensation Program are projected at $2,460,000. This is a potential savings of $413,215, and the district should be commended for its excellent work. 4. District personnel continue to receive technical training in self-insurance, understanding actuarial data, claims processing, subrogation recoveries, and reinsurance claims to bet- ter assist the district in this area. The district has utilized a third party broker to assist and train the staff. The duties and responsibilities for risk management functions have been moved from the Personnel Department to the Business Department. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 1, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 8 July 2, 2007 Rating: 8 Implementation Scale: 74 Financial Management 18.2 Maintenance and Operations Fiscal Controls Professional Standard: The district has a work order system that tracks all maintenance requests, the worker assigned, dates of completion, labor time spent and the cost of materials. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district utilizes two automated maintenance work order systems, including the PM+4 Web-based tracking system, to monitor preventative maintenance needs. The system has maintenance tracking advantages for systems, preventative maintenance, etc., and is an excellent online tool to meet the district’s work order system needs. Each school site has the ability to track online the status of any outstanding work order that has been submit- ted. The systems track labor and cost of materials. 2. The district has implemented cross training of clerical staff on the present work order sys- tem and now has Web access for all district sites to report maintenance needs. The district has continued its cross training program for active and substitute employees on the work order systems. There has been no change in this standard since the last review. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 1, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 8 July 2, 2007 Rating: 8 Implementation Scale: Financial Management 75 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 was performing an asset inventory and valuation project for all capital assets exceeding the $10,000 threshold. GASB 34 requires the district to maintain complete and current fi xed asset records for accounting purposes. The district imple- mented fi xed asset accounting in the 2001-02 fi scal year but has had diffi culty in prop- erly maintaining records of additions and deletions. The procedures and reporting time lines for fi xed assets should be updated and distributed to all departments. The project is being performed by Maximus and will conclude with all vehicles, buildings, etc. at each site being inventoried, with the goal of revising the current records database to refl ect additions, transfers and any surplus items. The June 30, 2005 annual audit completed by the State Controller could not establish complete accounting records and supporting data for fi xed assets for the district’s fi nancial statements. 2. The maintenance department should plan to automate its tracking and monitoring pro- cess for all power and hand tools either checked out or permanently located on district vehicles. It is estimated that over 95% of the tools utilized on the service trucks would not meet the capitalization threshold of $10,000 for fi xed assets. Although an inven- tory is still performed manually, it meets industry standards and is produced using a team concept. The equipment for vehicles may be checked out by a team number and is tracked to each vehicle, site location, hours utilized, and date checked in. Documen- tation was observed and verifi ed by the review team. No progress has been made on this item. Standard Implemented: Partially November 1, 2004 Rating: 1 May 1, 2005 Rating: 1 November 1, 2005 Rating: 2 May 31, 2006 Rating: 2 January 25, 2007 Rating: 4 July 2, 2007 Rating: 4 Implementation Scale: 76 Financial Management 22.1 Special Education Professional Standard: The district actively takes measures to contain the cost of special education services while still providing an appropriate level of quality instructional and pupil services to special education pupils. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has an ongoing self-review process involving parents and community mem- bers. Concerns and problems are discussed and shared with staff. The process is also monitored by the state. 2. The fi scal employee assigned to monitor special education budgets works closely with the department director and provides good customer service. 3. The Special Education Director anticipates having an opportunity to provide input into the budget development process for 2007-08 including the responsibility to reduce the department budget due to declining enrollment in special education programs. 4. The budget, including position control, is reviewed regularly to ensure that actual expen- ditures are within the budgeted funds and recorded accurately. This close monitoring has benefi ted the department, helped decrease the number of errors and kept unexpected costs to a minimum. 5. The Business Department is responsible for preparing the state maintenance-of-effort (MOE) reports. This procedure has not been kept up to date. It is important to fi le MOE reports on time to ensure that baseline data is available. Baseline data is used by the state to measure the level of service provided to special education students and will be vitally important to substantiate that any budget reductions are truly related to declining enroll- ment and not to reduced student services. Standard Implemented: Fully - Substantially November 1, 2004 Rating: 4 May 1, 2005 Rating: 5 November 1, 2005 Rating: 7 May 31, 2006 Rating: 8 January 25, 2007 Rating: 8 July 2, 2007 Rating: 8 Implementation Scale: Financial Management 77 78 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.1 PROFESSIONAL STANDARD - IN- TERNAL CONTROL ENVIRONMENT Integrity and ethical behavior are the product of the district’s ethical and behavioral standards, how they are communicated, and how they are reinforced in 2 2 3 4 4 5 practice. All management-level personnel exhibit high integrity and ethical values in carrying out their responsibilities and directing the work of others. [State Audit Standard (SAS) 55, SAS-78] 1.2 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT The district has an audit commit- tee to: (1) help prevent internal controls from being overridden by management; (2) help ensure 0 ongoing state and federal compli- ance; (3) provide assurance to management that the internal con- trol system is sound; and (4) help identify and correct ineffi cient processes. [SAS-55, SAS-78] 1.3 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT The attitude of the Governing Board and key administrators has a signifi cant effect on an organi- zation’s internal control. An ap- 2 propriate attitude balances the programmatic and staff needs with fi scal realities in a manner that is neither too optimistic nor too pes- simistic. [SAS-55, SAS-78] The identifi ed subset of standards appears in bold print. Financial Management 79 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.4 PROFESSIONAL STANDARD - IN- TERNAL CONTROL ENVIRONMENT The organizational structure clearly identifi es key areas of 2 2 3 4 5 5 authority and responsibility. Re- porting lines are clearly identi- fi ed and logical within each area. [SAS-55, SAS-78] 1.5 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT Management has the ability to 1 evaluate job requirements and match the requirements to the em- ployee’s skills. [SAS-55, SAS-78] 1.6 PROFESSIONAL STANDARD - INTER- NAL CONTROL ENVIRONMENT The district has procedures for re- 2 cruiting capable fi nancial manage- ment and staff and hiring compe- tent people. [SAS-55, SAS-78] 1.7 PROFESSIONAL STANDARD - IN- TERNAL CONTROL ENVIRONMENT All employees are evaluated on performance at least annually by a management-level employee knowledgeable about their work product. The evaluation criteria 1 1 2 2 3 4 are clearly communicated and, to the extent possible, measurable. The evaluation includes a follow- up on prior performance issues and establishes goals to improve future performance. The identifi ed subset of standards appears in bold print. 80 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.8 PROFESSIONAL STANDARD - IN- TERNAL CONTROL ENVIRONMENT The responsibility for reliable fi nancial reporting resides fi rst and foremost at the district level. Top management sets the 2 2 3 4 4 5 tone and establishes the envi- ronment. Therefore, appropriate measures are implemented to discourage and detect fraud (SAS 82; Treadway Commission). 2.1 PROFESSIONAL STANDARD - IN- TER- AND INTRADEPARTMENTAL COMMUNICATIONS The business and operational departments communicate 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 1 1 3 4 6 7 or user groups, (2) are issues of high importance, or (3) refl ect a change in procedures. Procedures manuals are necessary to the communication of responsibili- ties. The departments also are responsive to user department needs, thus encouraging a free exchange of information between the two (excluding items of a confi dential nature). The identifi ed subset of standards appears in bold print. Financial Management 81 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 2.2 PROFESSIONAL STANDARD - IN- TER- AND INTRADEPARTMENTAL COMMUNICATIONS The fi nancial departments com- municate regularly with the Governing Board and community on the status of district fi nances and the fi nancial impact of 2 2 3 3 2 4 proposed expenditure decisions. The communications are written whenever possible, particularly when they affect many com- munity members, are issues of high importance to the district and board, or refl ect a change in policy. 2.3 PROFESSIONAL STANDARD - IN- TER- AND INTRADEPARTMENTAL COMMUNICATIONS The Governing Board is engaged in understanding globally the 1 1 3 3 3 4 fi scal status of the district, both current and as projected. The board prioritizes district fi scal issues among the top discussion items. 2.4 PROFESSIONAL STANDARD - IN- TER- AND INTRADEPARTMENTAL COMMUNICATIONS The district has formal policies and procedures that provide a 0 0 2 3 3 4 mechanism for individuals to report illegal acts, establish to whom illegal acts should be reported, and provide a formal investigative process. The identifi ed subset of standards appears in bold print. 82 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 2.5 PROFESSIONAL STANDARD - IN- TER- AND INTRADEPARTMENTAL COMMUNICATIONS Documents developed by the fi scal division for distribution to the Governing Board, fi nance committees, staff and commu- 1 1 3 3 3 4 nity are easily understood. Those who receive documents devel- oped by the fi scal division do not have to wade through com- plex, lengthy computer print- outs. 3.1 PROFESSIONAL STANDARD - STAFF PROFESSIONAL DEVELOPMENT The district has developed and uses a professional development plan for training business staff. The plan includes the input of business offi ce supervisors and 0 0 0 2 3 5 managers, and, at a minimum, identifi es appropriate programs offi ce-wide. At best, each indi- vidual staff and management employee has a plan designed to meet their individual profes- sional development needs. 3.2 PROFESSIONAL STANDARD - STAFF PROFESSIONAL DEVELOPMENT The district develops and uses a professional development plan for the in-service training of school site/department staff by 0 0 1 2 3 5 business staff on relevant busi- ness procedures and internal controls. The plan includes the input of the business offi ce and the school sites/departments and is updated annually. The identifi ed subset of standards appears in bold print. Financial Management 83 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 4.1 PROFESSIONAL STANDARD - IN- TERNAL AUDIT The Governing Board has adopted policies establishing an inter- nal audit function that reports 0 1 3 5 5 6 directly to the Superintendent/ State Administrator and the audit committee or Governing Board. 4.2 PROFESSIONAL STANDARD - IN- TERNAL AUDIT Internal audit functions are designed into the organizational structure of the district. These 0 0 0 3 3 4 functions include periodic inter- nal audits of areas at high risk for non-compliance with laws and regulations and/or at high risk for monetary loss. 4.3 PROFESSIONAL STANDARD - INTER- NAL AUDIT Qualifi ed staff are assigned to 0 conduct internal audits and are su- pervised by an independent body, such as an audit committee. 4.4 PROFESSIONAL STANDARD - INTER- NAL AUDIT Internal audit fi ndings are reported on a timely basis to the audit committee, governing board and 0 administration, as appropriate. Management then takes timely ac- tion to follow up and resolve audit fi ndings. The identifi ed subset of standards appears in bold print. 84 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 5.1 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (POL- ICY) The budget development process requires a policy-oriented focus by the Governing Board to develop an expenditure plan that fulfi lls the district’s goals and objectives. The 3 Governing Board focuses on ex- penditure standards and formulas that meet the district goals. The Governing Board avoids specifi c line-item focus, but directs staff to design an entire expenditure plan focusing on student and district needs. 5.2 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (POL- ICY) 3 The budget development process includes input from staff, adminis- trators, board and community. 5.3 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (POL- ICY) 2 Policies and regulations exist regarding budget development and monitoring. 5.4 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district has a clear process to analyze resources and alloca- 2 4 5 5 4 5 tions to ensure that they are aligned with strategic planning objectives and that the budget refl ects district priorities. The identifi ed subset of standards appears in bold print. Financial Management 85 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 5.5 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district has policies to fa- cilitate development of a budget 3 5 5 5 4 5 that is understandable, meaning- ful, refl ective of district priori- ties, and balanced in terms of revenues and expenditures. 5.6 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (POL- ICY) Categorical funds are an integral part of the budget process and have been integrated into the entire budget development. The revenues and expenditures for cat- egorical programs are reviewed and evaluated in the same manner as unrestricted General Fund revenues and expenditures. Categorical program development is integrated with the district’s goals and used 4 to respond to district student needs that cannot be met by unre- stricted expenditures. The superin- tendent, superintendent’s cabinet and fi scal offi ce have established procedures to ensure that categori- cal funds are expended effectively to meet district goals. Carryover and unearned income of categori- cal programs are monitored and evaluated in the same manner as General Fund unrestricted expendi- tures. The identifi ed subset of standards appears in bold print. 86 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 5.7 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (POLICY) The district has the ability to accurately refl ect its net ending balance throughout the budget monitoring process. The fi rst and second interim reports provide 0 2 3 4 4 5 valid updates of the district’s net ending balance. The district has tools and processes that ensure that there is an early warning of any discrepancies between the budget projections and actual revenues or expenditures. 5.8 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (POL- ICY) The district utilizes formulas for allocating funds to school sites and departments. This can include 3 staffi ng ratios, supply allocations, etc. These formulas should be in line with the board's goals and directions, and should not be over- ridden. The identifi ed subset of standards appears in bold print. Financial Management 87 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 6.1 PROFESSIONAL STANDARD - BUDGET DEVELOPMENT PROCESS (TECHNICAL) The budget offi ce has a technical process to build the preliminary budget amounts that includes: the forecast of revenues, the verifi cation and projection of expenditures, the identifi cation 0 3 4 4 3 5 of known carryovers and accruals and the inclusion of concluded expenditure plans. The process clearly identifi es one-time sourc- es and uses of funds. Reasonable ADA and COLA estimates are used when planning and budget- ing. This process is applied to all funds. 6.2 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (TECH- NICAL) An adopted budget calendar exists that meets legal and management 3 requirements. At a minimum the calendar identifi es statutory due dates and major budget develop- ment activities. 6.3 PROFESSIONAL STANDARD - BUD- GET DEVELOPMENT PROCESS (TECH- NICAL) Standardized budget worksheets 3 are used in order to communicate budget requests, budget alloca- tions, formulas applied and guide- lines. The identifi ed subset of standards appears in bold print. 88 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 7.1 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district adopts its annual bud- get within the statutory time lines established by Education Code Section 42103, which requires that on or before July 1, the governing board shall hold a public hear- 3 ing on the budget to be adopted for the subsequent fi scal year. Not later than fi ve days after that adoption or by July 1, whichever occurs fi rst, the governing board shall fi le that budget with the county superintendent of schools. [EC 42127(a)] 7.2 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS Revisions to expenditures based on the State Budget are consid- ered and adopted by the govern- ing board. Not later than 45 days after the governor signs the annual 3 Budget Act, the district shall make available for public review any revisions in revenues and expen- ditures that it has made to its budget to refl ect funding available by that Budget Act. [EC 42127(2) and 42127(i)(4)] 7.3 PROFESSIONAL STANDARD - BUD- GET ADOPTION, REPORTING, AND AUDITS The district has procedures that provide for the development and 3 submission of a district budget and interim reports that adhere to criteria and standards and are approved by the county offi ce of education. The identifi ed subset of standards appears in bold print. Financial Management 89 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 7.4 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district completes and fi les its interim budget reports within the 2 statutory deadlines established by Education Code Section 42130, et. seq. 7.5 PROFESSIONAL STANDARD - BUD- GET ADOPTION, REPORTING, AND AUDITS The fi rst and second interim reports show an accurate projec- 0 0 3 4 3 4 tion of the ending fund balance. Material differences are pre- sented to the board of education with detailed explanations. 7.6 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district has complied with Governmental Accounting Standard No. 34 (GASB 34) for the period ending June 30, 2003. GASB 34 1 requires the district to develop policies and procedures and report in the annual fi nancial reports on the modifi ed accrual basis of ac- counting and the accrual basis of accounting. 7.7 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district has arranged for an 3 annual audit (single audit) within the deadlines established by Edu- cation Code section 41020. 7.8 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district should include in its audit report, but not later than 4 March 15, a corrective action for all fi ndings disclosed as required by Education Code Section 41020. The identifi ed subset of standards appears in bold print. 90 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 7.9 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS The district must fi le certain docu- ments/reports with the state as follows: J-200 series - (Education Code Section 42100); J-380 series 4 - CDE procedures; Interim fi nancial reports - (Education Code Sec- tion 42130); J-141 transportation report (Title V, article 5, Section 15270). 7.10 LEGAL STANDARD - BUDGET ADOP- TION, REPORTING, AND AUDITS Education Code Section 41020(c) (d) (e) (g) establishes procedures for local agency audit obligations and standards. Pursuant to Educa- tion Code Section 41020(h), the district submits to the county 5 superintendent of schools in the county that the district resides, the State Department of Education, and the State Controller’s Offi ce an audit report for the preceding fi scal year. This report must be submitted "no later than December 15." 8.1 PROFESSIONAL STANDARD - BUD- GET MONITORING All purchase orders are properly 3 4 5 5 6 6 encumbered against the budget until payment. The identifi ed subset of standards appears in bold print. Financial Management 91 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 8.2 PROFESSIONAL STANDARD - BUD- GET MONITORING There are budget monitoring controls, such as periodic re- ports, to alert department and 1 3 5 5 5 5 site managers of the potential for overexpenditure of budgeted amounts. Revenue and expendi- tures are forecast and verifi ed monthly. 8.3 PROFESSIONAL STANDARD - BUD- GET MONITORING The routine restricted maintenance account is routinely analyzed to ensure that income has been prop- erly claimed and expenditures are 6 within the guidelines provided by the State Department of Education. The district budget includes spe- cifi c budget information to refl ect the expenditures against the rou- tine maintenance account. 8.4 PROFESSIONAL STANDARD - BUD- GET MONITORING Budget revisions are made on a 5 regular basis and occur per estab- lished procedures, and are ap- proved by the Governing Board. 8.5 PROFESSIONAL STANDARD - BUD- GET MONITORING The district uses an effective po- sition control system that tracks personnel allocations and ex- 6 7 7 7 7 7 penditures. The position control system effectively establishes checks and balances between personnel decisions and budget- ed appropriations. The identifi ed subset of standards appears in bold print. 92 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 8.6 PROFESSIONAL STANDARD - BUD- GET MONITORING The district monitors both the revenue limit calculation and the special education calculation at 6 least quarterly to adjust for any differences between the fi nancial assumptions used in the initial cal- culations and the fi nal actuals as they are known. 8.7 PROFESSIONAL STANDARD - BUD- GET MONITORING The district monitors the site re- 0 ports of revenues and expenditures provided. 9.1 PROFESSIONAL STANDARD - BUD- GET COMMUNICATIONS The district budget is a clear manifestation of district policies 0 and is presented in a manner that facilitates communication of those policies. 9.2 PROFESSIONAL STANDARD - BUD- GET COMMUNICATIONS The district budget clearly identi- 0 fi es one-time sources and uses of funds. 10.1 LEGAL STANDARD - INVESTMENTS The Governing Board reviews and approves, at a public meeting and 0 on a quarterly basis, the district’s investment policy. [GC 53646] 11.1 PROFESSIONAL STANDARD - AT- TENDANCE ACCOUNTING An accurate record of daily 1 4 5 6 6 6 enrollment and attendance is maintained at the sites and rec- onciled monthly. The identifi ed subset of standards appears in bold print. Financial Management 93 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 11.2 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING Policies and regulations exist for independent study, home study, 1 inter/intradistrict agreements and districts of choice, and address fi s- cal impact. 11.3 PROFESSIONAL STANDARD - AT- TENDANCE ACCOUNTING Students are enrolled by staff 2 3 3 4 5 6 and entered into the attendance system in an effi cient, accurate and timely manner. 11.4 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING At least annually, the school dis- trict verifi es that each school bell 4 schedule meets instructional time requirements for minimum day, year and annual minute require- ments. 11.5 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING Procedures are in place to ensure that attendance accounting and 1 reporting requirements are met for alternative programs such as ROC/P and adult education. 11.6 PROFESSIONAL STANDARD - AT- TENDANCE ACCOUNTING The district utilizes standard- ized and mandatory programs to 0 3 4 5 6 6 improve the attendance rate of pupils. Absences are aggressively followed-up by district staff. The identifi ed subset of standards appears in bold print. 94 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 11.7 PROFESSIONAL STANDARD - AT- TENDANCE ACCOUNTING School site personnel receive pe- riodic and timely training on the 0 1 3 4 5 6 district’s attendance procedures, system procedures and changes in laws and regulations. 11.8 LEGAL STANDARD - ATTENDANCE ACCOUNTING Attendance records are not de- 5 stroyed until after the third July 1 succeeding the completion of the audit. (Title V, CCR, Section 16026) 11.9 PROFESSIONAL STANDARD - ATTEN- DANCE ACCOUNTING The district makes appropriate use of short-term independent study 0 and Saturday school programs as alternative methods for pupils to keep current on classroom course work. 12.1 LEGAL STANDARD - ACCOUNTING, PURCHASING, AND WAREHOUSING The district adheres to the Cali- fornia School Accounting Manual (CSAM) and Generally Accepted Accounting Principles (GAAP) as 2 required by Education Code Section 41010. Adherence to CSAM and GAAP helps to ensure that trans- actions are accurately recorded and fi nancial statements are fairly presented. The identifi ed subset of standards appears in bold print. Financial Management 95 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 12.2 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district timely and accu- rately records all information regarding fi nancial activity (unrestricted and restricted) for all programs. Generally Accepted Accounting Principles (GAAP) 2 2 2 3 3 5 require that in order for fi nan- cial reporting to serve the needs of the users, it must be reliable and timely. Therefore, the timely and accurate recording of the underlying transactions (revenue and expenditures) is an essential function of the district’s fi nan- cial management. 12.3 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district forecasts its rev- enues and expenditures and verifi es those projections on a monthly basis in order to ad- equately manage its cash. In addition, the district reconciles 1 2 2 4 3 5 its cash to bank statements and reports from the county trea- surer reports on a monthly basis. Standard accounting practice dictates that, in order to ensure that all cash receipts are depos- ited timely and recorded prop- erly, cash is reconciled to bank statements monthly. The identifi ed subset of standards appears in bold print. 96 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 12.4 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district’s payroll proce- dures are in compliance with the requirements established by the County Offi ce of Education, 1 2 2 3 3 5 unless fi scally independent. (Education Code Section 42646) Standard accounting practice dictates that the district imple- ment procedures to ensure the timely and accurate processing of payroll. 12.5 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING Standard accounting practice dictates that the accounting work is properly supervised and work 1 reviewed in order to ensure that transactions are recorded timely and accurately, and allow the preparation of periodic fi nancial statements. 12.6 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING Federal and state categorical programs, either through specifi c program requirements or through 1 general cost principles such as OMB Circular A-87, require that entities receiving such funds must have an adequate system to ac- count for those revenues and related expenditures. The identifi ed subset of standards appears in bold print. Financial Management 97 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 12.7 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING Generally accepted accounting practices dictate that, in order to ensure accurate recording of trans- actions, the district have standard 1 procedures for closing its books at fi scal year-end. The district’s year-end closing procedures should comply with the procedures and requirements established by the county offi ce of education. 12.8 LEGAL STANDARD - ACCOUNTING, PURCHASING, AND WAREHOUSING The district complies with the bid- ding requirements of Public Con- tract Code Section 20111. Standard accounting practice dictates that the district have adequate pur- chasing and warehousing proce- 2 dures to ensure that only properly authorized purchases are made, that authorized purchases are made consistent with district poli- cies and management direction, that inventories are safeguarded, and that purchases and inventories are timely and accurately recorded. 12.9 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district has documented proce- dures for the receipt, expenditure and monitoring of all construction- 3 related activities. Included in the procedures are specifi c require- ments for the approval and pay- ment of all construction-related expenditures. The identifi ed subset of standards appears in bold print. 98 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 12.10 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The accounting system has an 2 appropriate level of controls to prevent and detect errors and ir- regularities. 12.11 PROFESSIONAL STANDARD - AC- COUNTING, PURCHASING, AND WAREHOUSING The district has implemented the new Standardized Account Code 5 Structure. SACS ensures the dis- trict is in compliance with federal guidelines, which will ensure no loss of federal funds, e.g., Title I federal class size reduction. 13.1 LEGAL STANDARD - STUDENT BODY FUNDS The Governing Board adopts policies and procedures to ensure 4 compliance regarding how student body organizations deposit, invest, spend, raise and audit student body funds. [EC 48930-48938] 13.2 LEGAL STANDARD - STUDENT BODY FUNDS Proper supervision of all student body funds is provided by the board. [EC 48937] This includes establishing responsibilities for 4 managing and overseeing the activities and funds of student organizations, including providing procedures for the proper handling, recording and reporting of rev- enues and expenditures. The identifi ed subset of standards appears in bold print. Financial Management 99 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 13.3 PROFESSIONAL STANDARD - STU- DENT BODY FUNDS The district provides training and guidance to site personnel on the 4 policies and procedures govern- ing the Associated Student Body account. 13.4 PROFESSIONAL STANDARD - STU- DENT BODY FUNDS In order to provide adequate oversight of student funds and to ensure the proper handling and re- 2 porting, the California Department of Education recommends that pe- riodic fi nancial reports be prepared by sites, and then summarized by the district offi ce. 13.5 PROFESSIONAL STANDARD - STU- DENT BODY FUNDS In order to provide adequate oversight of student funds and to ensure proper handling and report- ing, the California Department of 2 Education recommends that inter- nal audits be performed. Such au- dits should review the operation of student body funds at both district and site levels. 14.1 PROFESSIONAL STANDARD - MULTI- YEAR FINANCIAL PROJECTIONS A reliable computer program that 0 provides reliable multiyear fi nan- cial projections is used. The identifi ed subset of standards appears in bold print. 100 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 14.2 LEGAL STANDARD - MULTIYEAR FINANCIAL PROJECTIONS The district annually provides a multiyear revenue and expendi- ture projection for all funds of the 0 district. Projected fund balance reserves are disclosed. The assump- tions for revenues and expendi- tures are reasonable and support- able. [EC 42131] 14.3 LEGAL STANDARD - MULTIYEAR FINANCIAL PROJECTIONS Multiyear fi nancial projections are prepared for use in the deci- 0 1 1 2 1 3 sion-making process, especially whenever a signifi cant multiyear expenditure commitment is con- templated. [EC 42142] 15.1 LEGAL STANDARD - LONG-TERM DEBT OBLIGATIONS The district complies with public disclosure laws of fi scal obliga- tions related to health and welfare 3 benefi ts for retirees, self-insured workers compensation, and collec- tive bargaining agreements. [GC 3540.2, 3547.5, EC 42142] 15.2 PROFESSIONAL STANDARD - LONG- TERM DEBT OBLIGATIONS When authorized, the district uses only non-voter approved, long- term fi nancing such as certifi cates of participation (COPS), revenue bonds, and lease-purchase agree- 2 ments (capital leases) to address capital needs, and not operations. Further, the general fund is used to fi nance current school operations, and in general is not used to pay for these types of long-term com- mitments. The identifi ed subset of standards appears in bold print. Financial Management 101 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 15.3 PROFESSIONAL STANDARD - LONG- TERM DEBT OBLIGATIONS For long-term liabilities/debt service, the district prepares debt service schedules and identifi es the dedicated funding sources to make those debt service payments. The district projects cash receipts from the dedicated revenue sources to ensure that it will have suffi cient 2 funds to make periodic debt pay- ments. The cash fl ow projections are monitored on an ongoing basis to ensure that any variances from projected cash fl ows are identi- fi ed as early as possible to allow the district suffi cient 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 fi nancial plan to ensure that ongoing unfunded liabili- ties from employee benefi ts are 1 2 2 2 2 4 recognized as a liability of the school district. A plan has been established for funding retiree health benefi t costs as the obli- gations are incurred. The identifi ed subset of standards appears in bold print. 102 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 16.1 PROFESSIONAL STANDARD - IM- PACT OF COLLECTIVE BARGAINING The district has developed pa- rameters and guidelines for collective bargaining that ensure that the collective bargaining agreement is not an impediment to effi ciency of district opera- tions. At least annually, col- lective bargaining agreements are analyzed by management to identify those characteristics that are impediments to ef- fective delivery of district op- erations. The district identifi es 1 4 5 6 8 8 those issues for consideration by the Governing Board. The Govern- ing Board, in the development of its guidelines for collective bargaining, considers the impact on district operations of current collective bargaining language, and proposes amendments to district language as appropriate to ensure effective and effi - cient district delivery. Governing Board parameters are provided in a confi dential environment, refl ective of the obligations of a closed executive board session. The identifi ed subset of standards appears in bold print. Financial Management 103 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 16.2 PROFESSIONAL STANDARD - IM- PACT OF COLLECTIVE BARGAINING The Governing Board ensures that any guideline developed for collective bargaining is fi scally aligned with the instructional and fi scal goals on a multiyear basis. The Superintendent en- sures that the district has a formal process in which collec- tive bargaining multiyear costs are identifi ed for the Govern- ing Board, and those expendi- ture changes are identifi ed and implemented as necessary prior to any imposition of new col- lective bargaining obligations. 1 2 3 5 5 6 The Governing Board ensures that costs and projected district revenues and expenditures are validated on a multiyear basis so that the fi scal 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 notifi ed of the provisions of the fi nal proposed bargaining settlement and is provided with an opportunity to comment. The identifi ed subset of standards appears in bold print. 104 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 17.1 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Management information sys- tems support users with infor- mation that is relevant, timely, and accurate. Needs assessments are performed to ensure that us- ers are involved in the defi nition of needs, development of system specifi cations, and selection of appropriate systems. Additional- 3 6 6 6 4 4 ly, district standards are imposed to ensure the maintainability, compatibility, and supportabil- ity of the various systems. The district ensures that all systems are compliant with the new Stan- dardized Account Code Structure (SACS), year 2000 requirements, and are compatible with county systems with which they must interface. The identifi ed subset of standards appears in bold print. Financial Management 105 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 17.2 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Automated systems are used to improve accuracy, timeliness, and effi ciency of fi nancial and report- ing systems. Needs assessments are performed to determine what systems are candidates for automa- tion, whether standard hardware and software systems are available to meet the need, and whether or not the district would benefi t. Au- 8 tomated fi nancial systems provide accurate, timely, relevant informa- tion and conform to all account- ing standards. The systems are designed to serve all of the various users inside and outside the dis- trict. Employees receive appropri- ate training and supervision in the operation of the systems. Appropri- ate internal controls are instituted and reviewed periodically. 17.3 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Selection of information sys- tems technology conforms to legal procedures specifi ed in the Public Contract Code. Addition- ally, there is a process to ensure that needs analyses, cost/benefi t 0 6 8 8 4 4 analyses, and fi nancing plans are in place prior to commitment of resources. The process facilitates involvement by users, as well as information services staff, to ensure that training and support needs and costs are considered in the acquisition process. The identifi ed subset of standards appears in bold print. 106 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 17.4 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Major technology systems are supported by implementation and training plans. The cost of implementation and training 0 7 7 8 6 6 is included with other support costs in the cost/benefi t analy- ses and fi nancing plans support- ing the acquisition of technology systems. 17.5 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Access to administrative systems is reliable and secure. Communica- tions pathways that connect users 3 with administrative systems are as free of single-points-of-failure as possible, and are highly fault tolerant. 17.6 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Hardware and software purchases conform to existing technology standards. Standards for copiers, printers, fax machines, network- ing equipment, and all other technology assets are defi ned and enforced to increase standardiza- tion and decrease support costs. Requisitions that contain hardware 3 or software items are forwarded to the technology department for approval prior to being converted to purchase orders. Requisitions for non-standard technology items are approved by the technology department unless the user is informed that district support for non-standard items will not be available. The identifi ed subset of standards appears in bold print. Financial Management 107 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 17.7 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS Computers are replaced on a 2 schedule based on hardware specifi cations. 17.8 PROFESSIONAL STANDARD - MAN- AGEMENT INFORMATION SYSTEMS The following network standards, established for school districts, are being followed by the district: • A stable fi rewall is used with a separate DMZ and "inside" network. • The district follows EIA/TIA 568-B for all network cabling. • A Web content fi lter is used for all outbound Internet access. • The district uses an e-mail spam fi lter for all inbound e-mail. 4 • Administrative and academic network traffi c is kept separate. • Switches and network hubs are installed, and the district ensures that switches support certain features. • Login banners are added to all network elements that will support them. • The district has transitioned from all non-TCP/IP protocols. • The district uses a VPN for any access to the internal network from the outside. The identifi ed subset of standards appears in bold print. 108 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 18.1 PROFESSIONAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS The district has a comprehensive risk-management program that monitors the various aspects of 3 3 5 5 8 8 risk management including work- ers compensation, property and liability insurance, and main- tains the fi nancial well being of the district. 18.2 PROFESSIONAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS The district has a work order sys- 3 4 6 7 8 8 tem that tracks all maintenance requests, the worker assigned, dates of completion, labor time spent and the cost of materials. 18.3 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS 6 The district controls the use of fa- cilities and charges fees for usage in accordance with district policy. 18.4 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS The Maintenance Department fol- lows standard district purchasing 6 protocols. Open purchase orders may be used if controlled by limiting the employees authorized to make the purchase and the amount. 18.5 PROFESSIONAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS Materials and equipment/tools 1 1 2 2 4 4 inventory is safeguarded from loss through appropriate physical and accounting controls. The identifi ed subset of standards appears in bold print. Financial Management 109 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 18.6 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS District-owned vehicles are used 2 only for district purposes. Fuel is inventoried and controlled as to use. 18.7 LEGAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS Vending machine operations are subject to policies and regula- tions set by the State Board of 3 Education. All vending machine contracts refl ect these policies and regulations. An adequate system of inventory control also exists. [EC 48931] 18.8 LEGAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS Capital equipment and furniture is 2 tagged as district-owned property and inventoried at least annually. 18.9 LEGAL STANDARD - MAINTENANCE AND OPERATIONS FISCAL CONTROLS The district adheres to bid and force account requirements found in the Public Contract Code (Sec- tions 20111 and 20114). These requirements include formal bids 7 for materials, equipment and maintenance projects that ex- ceed $50,000; capital projects of $15,000 or more; and labor when the job exceeds 750 hours or the materials exceed $21,000. The identifi ed subset of standards appears in bold print. 110 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 18.10 PROFESSIONAL STANDARD - MAIN- TENANCE AND OPERATIONS FISCAL CONTROLS Standard accounting practices dic- tate that the district has adequate purchasing and contract controls to ensure that only properly au- thorized purchases are made and independent contracts approved, 6 and that authorized purchases and independent contracts are made consistent with district policies, procedures, and management direction. In addition, appropri- ate levels of signature authoriza- tion are maintained to prevent or discourage inappropriate purchases or contract awards. 19.1 PROFESSIONAL STANDARD - FOOD SERVICE FISCAL CONTROLS In order to accurately record trans- actions and to ensure the accu- racy of fi nancial statements for the cafeteria fund in accordance with generally accepted account- ing principles, the district has adequate purchasing and warehous- ing procedures to ensure that: 1. 7 Only properly authorized purchases are made consistent with district policies, federal guidelines, and management direction. 2. Adequate physical security measures are in place to prevent the loss/theft of food inventories. 3. Revenues, expenditures, inventories, and cash are recorded timely and accurately. 19.2 PROFESSIONAL STANDARD - FOOD SERVICE FISCAL CONTROLS The district operates the food ser- 7 vice programs in accordance with applicable laws and regulations. The identifi ed subset of standards appears in bold print. Financial Management 111 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 19.3 PROFESSIONAL STANDARD - FOOD SERVICE FISCAL CONTROLS Food service software permits 7 point of sale transaction process- ing for maximum effi ciency. 20.1 PROFESSIONAL STANDARD - CHAR- TER SCHOOLS In the process of reviewing and approving charter schools, the district identifi es/establishes minimal fi nancial management and reporting standards that the char- ter school will follow. These stan- dards/procedures will provide some 1 level of assurance that fi nances will be managed appropriately, and allow the district to monitor the charter. The district monitors the fi nancial management and perfor- mance of the charter schools on an ongoing basis in order to ensure that the resources are appropri- ately managed. 21.1 PROFESSIONAL STANDARD - STATE- MANDATED COSTS The district has procedures that provide for the appropriate over- sight and management of man- dated cost claim reimbursement fi ling. Appropriate procedures cover: the identifi cation of chang- es to existing mandates; training 2 staff regarding the appropriate collection and submission of data to support the fi ling of mandated costs claims; forms, formats, and time lines for reporting mandated cost information; and review of data and preparation of the actual claims. The identifi ed subset of standards appears in bold print. 112 Financial Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 22.1 PROFESSIONAL STANDARD - SPE- CIAL EDUCATION The district actively takes mea- sures to contain the cost of special education services while 4 5 7 8 8 8 still providing an appropriate level of quality instructional and pupil services to special educa- tion pupils. The identifi ed subset of standards appears in bold print. Financial Management 113 114 Financial Management Facilities Management The Vallejo City Unifi ed School District has continued to address identifi ed facility defi ciencies, and progress is evident in areas such as training and work-order management. The district has made signifi cant strides in this area with the adoption of several business-related board policies in early April. A few days before fi eldwork was conducted for the facilities portion of this fi fth progress report, the district also completed a maintenance and operations manual containing policy and procedural information. As board policies and regulations have recently been adopted, the continued focus should be on implementing these policies. Since the FCMAT site visit in mid-April 2007, the organization of the Facilities, Maintenance and Operation divisions has changed. The Director of Facilities and Planning and Director of Maintenance and Operations positions have been eliminated. Two facilities coordinator positions have been created to oversee all of Facilities, Maintenance, Operations, and Grounds. The coordinators report directly to the Assistant Superintendent, Business Services. The Assistant Superintendent, Business Services has been newly appointed and was formerly the Director of Facilities and Planning. The newly appointed Assistant Superintendent, Business Services indicated the reorganization was completed to promote department effi ciency and achieve cost savings with a reduction in management positions. Some organizational changes also were made in Business/Fiscal Services, with two positions promoted from manager to director. Because the Facilities Department has been newly restructured with different leadership, it will be important to monitor the ongoing implementation of the district’s action plan and the sustainability of the progress made in this operational area. The district has made progress in eliminating the defi ciencies and addressing the recommendations as needed in the identifi ed standards. In the original Assessment and Improvement Plan, numerous facilities areas did not meet established standards, including the following: • Lack of documentation of policies, procedures, and processes • Numerous health and safety issues at the school sites • Inadequate communication among central offi ce departments and the central offi ce and school sites • Lack of emphasis on preventive maintenance • Lack of a planned program maintenance system for facilities • Inconsistent handling of work orders and other facilities-related documentation Documentation of Policies, Procedures, and Processes The district has adopted several board policies and administrative regulations, with many of them approved on April 4, 2007. As policies and administrative regulations are adopted, the district posts them on its Web site. To date, the district has reviewed and updated six policies related to Facilities, Maintenance, and Operations: repair and supervision of school buildings, preventive maintenance, energy and water conservation, vandalism, theft and graffi ti, the comprehensive school safety plan, and the keys and security system. The six policies and regulations have not been numbered, but the district indicated this would be completed once all policies and regulations are updated and adopted. The exact time line for addressing all policies and administrative regulations for Facilities, Maintenance, and Operations is not clear; however, the district has made signifi cant progress in this area. Facilities Management 1 The district’s action plan calls for the development of a comprehensive manual for Facilities, Maintenance, and Operations. This manual of policies and procedures is intended to address all operational aspects of those departments, and address fi ndings and recommendations identifi ed in the Assessment and Improvement Plan. The district has fi nalized its own manual to address a broad range of areas and issues, including operations, personnel, safety, equipment maintenance, and management. One of the district’s goals for the manual is to include more comprehensive personnel evaluation tools to increase staff capabilities and institute accountability. Implementa- tion of this item will likely need to be addressed through collective bargaining. The manual was available for review, and the district staff indicated it is a work in progress that will be added to and updated annually. The fi nal document was approved on April 17, 2007, and the district’s goal is to review it with the Maintenance and Operations staff at regularly scheduled meetings. Its contents have not been discussed or negotiated with the classifi ed bargaining unit. Communication between Central Offi ce Departments The district has reorganized the structure of the Facilities and Maintenance operations effective May 2007. The structure that existed previously separated the Maintenance and Operations Department from the Facilities and Planning Department. The two departments have been combined to maximize effi ciency and to reduce expenditures. Because this is a new development, the effectiveness of the reorganization will need to be evaluated in a future review. Communication with sites has improved regarding work orders due to improvements made to the work order management system. This has reduced the frustration that many principals felt in trying to ensure that requested work was scheduled and performed. It will be important to follow up in this area to ensure the work order process and completion continues to improve with the changes in the structure of the Maintenance Department. The completion of several board policies, administrative regulations, and the maintenance and operations manual should help formalize the frequency, nature, and format of interdepartmental communications. The reorganization of the two departments and changes in administrative titles require updating the new policies and regulations and the maintenance and operations manual. There is still work to be done to formalize and document processes to ensure timely and ongoing communication between other central offi ce departments and sites to ensure that facility issues are promptly addressed. Communication between Schools and Central Offi ce Communication between school sites and the Maintenance and Operations Department has been a problem in the past, but continued improvement has been noted. Some sites still complain that work orders, e-mails, and voice mails are not answered or are not answered promptly, but these complaints are not as frequently heard. The district upgraded its work order/preventive maintenance system and archived old data. This increased the speed of the system and simplifi ed the review of work order status for the site staff. Feedback from site administrators regarding the system upgrade has been positive. In addition, the upgraded system helps the district better manage facilities and reduces the number of repairs needed and work orders submitted. 2 Facilities Management The district must continue to be vigilant in monitoring the work order system, especially because of the changes in personnel in the maintenance offi ce. The district plans to implement the preventive maintenance crew concept beginning June 1, 2007. This area should be monitored in a future review. Fire, Health, and Safety Issues at School Sites Prior reviews noted a major improvement in the area of fi re extinguishers. The district’s performance was maintained during the current review with two major exceptions. One elementary school had an entire wing of classrooms with noncompliant fi re extinguishers. It appeared the noncompliance was due to a staff oversight, and the fi re extinguishers were not made available to the contracted service provider. At one high school visited, an entire row of modular classrooms was missing fi re extinguishers. At other sites visited, only a few expired extinguishers were noted, virtually all classrooms had fi re extinguishers, and access to fi re extinguishers was clear. Performance essentially has been maintained since the district has contracted for a fi re life safety survey. The district staff states that head custodians are required to perform a monthly inspection of fi re extinguishers and submit an inspection report. Documentation of monthly school site inspections was not available, and it is evident there is no follow through to ensure that the inspections are made and reports are submitted to the district. The district has a vendor contract to ensure that all safety systems (clocks, bells, alarms) are operating properly and that repairs are made as necessary. As the district updates its safety systems, it is transitioning to system self-maintenance. Five sites have been transitioned, two sites are in progress, and the goal is to complete the transition of all sites by the end of 2008-09. There was no change reported as of this facilities visit. The district continues its efforts to address problem areas. For example, there were few unsanitary rest rooms observed. Because of the need to improve bathroom cleanliness, the district continues to train custodial personnel to use rest room cleaning/sterilizing equipment, which has improved the quality and effi ciency of cleaning. The custodial staff is required to use the equipment, and the district staff monitors its usage. In addition, the district has a full-time Operations Manager to evaluate the adequacy of night custodians’ work, including rest room cleaning. The district plans to reference the use of cleaning machines and supplies in employee evaluations. The employee contract is scheduled to be negotiated in 2008. While the district still needs to make improvements in this area, the number of sites with issues and the frequency of violations at sites have decreased. As the district formalizes and implements operating procedures, ongoing improvement is expected. However, because of the reorganization in maintenance, operation, grounds and facilities, ongoing monitoring will be needed to ensure that progress continues to be made. Facilities Planning The district has conducted an in-house facilities inventory and developed a multiphase facilities master plan. The site-by-site capacity information was compared to current and projected enrollment over the short term. This information and analysis resulted in a multiphase process to provide adequate facilities to all district students, while generating one-time and ongoing revenue to reduce the district’s obligations to the state and provide ongoing operational revenue. To date, the district has moved the Farragut Elementary School program to Mare Island, has moved or Facilities Management 3 plans to move the adult school and community day school to the Farragut site, and moved the home teaching school to the People’s site. The district offi ce has moved to Mare Island pursuant to an agreement with the developer. The old district offi ce site is being declared surplus, with the intent to sell the property and generate funds to repay the state loan. The later phases of the facilities plan call for improvements to various schools throughout the district and the sale or lease of surplus property to generate revenue for the district’s fi scal recovery. The district appears to have successfully implemented the fi rst elements of Phase I of its facilities master plan. Nevertheless, the district should hire an outside consultant with signifi cant experience in developing successful school facilities master plans to prepare a plan to ensure that the district meets its short- and long-term fi nancial and facility needs. As part of its recovery plan, the district is selling and leasing property and has declared fi ve properties as surplus. The district plans to sell the properties with entitlements. The district plans to use the proceeds from the sale/lease of property to repay the state loan and to offset general fund defi cit spending. The district indicated it has confi rmed the appropriate uses of the proceeds from the sale/lease of its property in order to feel confi dent in making long-term commitments. 4 Facilities Management 1.3 School Safety—Plan for Protection of People and Property Legal Standard: The district should demonstrate that a plan of security has been developed that includes adequate measures of safety and protection of people and property. [EC 32020, 32211, 35294-35294.9] Progress on Implementing the Recommendations of the Improvement Plan: 1. The process of reviewing and updating board policies is still in progress. A signifi cant number of business polices were adopted just prior to the facilities team’s review. This items will continue to be reviewed to determine whether the board policies are identifi ed and numbered sequentially. The current process identifi es all business policies with a 3000 number and a letter. The district indicated it would number the policies once all of them were completed. 2. The districtwide and site-specifi c safety plans were self-reported as complete as of the fourth progress review. However, the plans need to be updated each year by March 1, according to board policy, and as of the team’s fi eldwork in April, had not been updated for the 2006-07 school year. Some site personnel had partially updated information and indicated that the changes had been submitted to the district offi ce to be updated. Some sites visited had old, outdated materials. As of the January 2007 fourth facilities review, sites were provided with a fl ip chart that details site specifi cs (examples: exit plan and emergency contact numbers) and, as of this fi fth facilities review, the fl ip charts were still current. This item will require follow up in the next review to determine the district’s progress in updating and maintaining current plans at all school sites. The plans should be updated annually at the beginning of the school year and checked to ensure alignment with the current board policies and regulations. 3. The district has evaluated and developed recommendations for exterior lighting at school sites. The evaluation was completed as part of the district’s overall assessment of workplace safety. The district has not developed a plan to upgrade exterior lighting and security fencing. The district self-reported that all exterior lighting at Bethel was replaced and/or repaired during winter break 2006. However, as of April 2007, no other improvements/additions have been made or planned to address exterior lighting at other school sites. 4. The district has evaluated perimeter security at school sites. Site reviews at selected sites indicated that many have several access points and do not have complete perimeter fencing. Perimeter security was included in the district’s assessment of workplace safety. Perimeter security fencing has been added at Hogan High School, but gates have not. The campus still has several access points. No separate action plan has been developed to prioritize and address security fencing issues at other sites. As of April 2007, no changes had been made to add perimeter fencing to school sites. All campuses are accessible from several entrances. The district staff indicated that there are no plans to add security perimeter fencing at any sites now or in the future. Facilities Management 5 5. The district has not added visitor signs at all school entrances. In general, sites have some signage for visitors only at the main entrance and not at all pedestrian entrances. As of April 2007, there is no change from the previous facilities visit in this area. 6. The district requires visitors, vendors, contractors, and other staff members to sign the visitor log and obtain a visitor sticker. However, the district has not made visitor stickers school- and date-specifi c at all sites. Sites are provided with visitor stickers that are school-specifi c with a line designated for the date. This was the case at two of the four sites visited. All four sites had visitor logs and stickers. Site personnel asked visitors to sign in and provided identifi cation when prompted by district offi ce personnel. The sites visited understood the proper procedures to follow when a visitor came on campus. Many school sites have several entrances, and visitors could enter sites without signing in at the offi ce. Addressing perimeter security will increase the effectiveness of the sign- in process for monitoring visitors to the campus. The district staff indicated there are no current or future plans to address perimeter security. 7. The district did not provide documentation that it implemented procedures to ensure that all volunteers are appropriately evaluated and approved. There is no change from the previous facilities visit in this area. 8. The district has not added “ no trespassing ” signs at all school sites, based on visits to selected sites. The district staff stated this would be completed by the end of summer 2006. There are multiple entrances at all sites, and some lack signage. Signage was consistent at the main entrances at sites visited. 9. The district has not added Tobacco Free Zone (TFZ) signs at all entrances at all school sites. However, sites more consistently had TFZ signage at the main entrance. There is no change from the previous third and fourth six-month visits. 10. The district has not ensured that all high school students have student identifi cation. The issue is being evaluated as part of the security plan development and the workplace safety assessment. The district intends to implement student identifi cation for all high schools, but only Vallejo High School has consistently provided student identifi cation cards to all students. Hogan High School implemented the student identifi cation requirement in 2006- 07; however, since the school had a dispute with the identifi cation card vendor in spring 2007, students have not consistently had identifi cation cards. Hogan High School intends to reimplement the requirement in school year 2007-08. 6 Facilities Management Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 Implementation Scale: Facilities Management 7 1.8 School Safety—Graffi ti and Vandalism Abatement Plan Professional Standard: The district has a graffi ti and vandalism abatement plan that is followed by all district employees. The district provides employees with suffi cient resources to meet the requirements of the abate- ment plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. Board Policy Number 3000n, Vandalism, Theft and Graffi ti was adopted on April 4, 2007. The district should ensure the policy is updated to refl ect the changes in its organizational structure since the position of Director of Maintenance and Operations has been eliminated. 2. The district’s written graffi ti and vandalism abatement plan has not been completed. The district’s action plan calls for a comprehensive manual that will address graffi ti and vandalism. As of the fourth facilities review, the district planned to include the graffi ti and vandalism abatement plan in the Maintenance and Operations Department manual. The manual was completed and approved April 17, 2007; however, it does not include or address graffi ti and vandalism. 3. The district has a process to address graffi ti and vandalism. At each site, the Head Custodian is responsible for walking the grounds each morning to fi nd graffi ti and vandalism. The security staff also report instances of any graffi ti and vandalism noted during its nightly rounds. Any noted instances are reported to the Maintenance and Operations Offi ce and assigned to a clean-up crew. The district has assigned specifi c staff members exclusively to vandalism repair and graffi ti abatement to ensure these problems are addressed quickly and to discourage future incidents. The district’s process continues to result in a relatively quick response to reported graffi ti and vandalism; however, these are ongoing problems that consume a signifi cant amount of labor and resources. The district has maintained its progress in this area. 4. The district has not provided training to all site personnel responsible for reporting and cleaning/repairing graffi ti and vandalism. New custodial staff members are trained on their duties in general, and are provided with the standards for cleaning procedures. These standards cover the cleaning of graffi ti, and the preparation of a vandalism report for the head custodian. However, training has not been extended to site administrators and staff. The Director of Maintenance and Operations has notifi ed site administrators in writing of the procedures used to report graffi ti and vandalism. The procedures should be reviewed with the custodial staff and site personnel at least annually. As of this fi fth facilities review, there has been no change in this practice. Due to the reorganization of the Business Department, it will be important to maintain continuity in this area, continue to provide training to new staff members, and start to provide training to site administrators and staff. 8 Facilities Management 5. The district has not adopted a districtwide paint scheme, but is attempting to limit the number of paint colors utilized in facilities and has reduced the number of inventory of available paint colors by 10. However, no formal standardization has occurred to date, nor has any policy been implemented that addresses the standardization of paint schemes. There has been no change since the prior visit in this area.. 6. The district provides supplies to site custodial staff for minor graffi ti abatement. Abatement supplies are on the standard custodial supply order form. In addition, it appears that appropriate staff, head custodians, and painters have received training on graffi ti abatement, and graffi ti abatement has been included in the job description of all head custodians. There has been no change since the prior visit. Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 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 fi re hazard. [CCR Title 5 §633] Progress on Implementing the Recommendations of the Improvement Plan: 1. The district adopted Board Policy and Regulation Numbers 3000k, Adequate Repair and Supervision of School Buildings, on April 4, 2007. As part of Regulation Number 3000k, work orders are prioritized using a multitiered system. The priorities are as follows: • Priority 1—Emergency, Life Threatening • Priority 2—Vandalism and Graffi ti • Priority 3—Mission Critical, System Failure and Preventative Maintenance Work Orders • Priority 4—Support System Malfunction—Equipment Relocation—Planned Change • Priority 5—Non Maintenance Duties The board policy and regulations were adopted two weeks prior to the facilities review and visit. This area will need to be followed up on a subsequent review. As of the last facilities review, the Maintenance and Operations Department sent a memo to all site administrators and informed custodians of the process to report urgent items (health and safety problems) to address fi re and safety issues promptly. Based on site reviews, health and safety problems such as missing fi re extinguishers, blocked/locked exits, wet fl oors, and unclean bathrooms with inadequate supplies were observed, but the frequency and severity of these occurrences has decreased. Issues related to unsatisfactory bathroom conditions likely are a result of staff members not performing their jobs. This is a supervisory issue that demands greater oversight and inspection of custodians’ job performance. The district has hired an Operations Manager to address the performance issues. At the time of this facilities review, the Operations Manager continued to supervise both daytime and nighttime custodians. The Operations Manager is still new, with less than one year in the position. Principals and the site staff need to be more involved in documenting and reporting unsatisfactory conditions due to inadequate custodial performance. If suffi cient information and documentation is provided, the district management is responsible for taking appropriate corrective action. 2. Consistent with the recommendation in the November 2004 comprehensive review, the district initiated monthly inspections of fi re extinguishers at each school site. This requires the head custodian at each site to inventory and inspect all fi re extinguishers (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. 10 Facilities Management 3. The monthly inspection reports that must be submitted to Maintenance and Operations also track when extinguishers need to be serviced or replaced, and document job performance for head custodians. Neither site staff nor the district provided validation of these monthly inspections. It appears that a contracted service provider detects out- of-compliance fi re extinguishers during annual inspections. At one school site visited, many fi re extinguishers were out of compliance. This appeared to be an oversight by the site custodian since the contract was in place for the annual inspection, but the fi re extinguishers were not serviced. Further investigation determined that the site custodian missed this wing of classrooms and did not make the fi re extinguishers available to the contracted service provider. Based on reviews made during site visits, fi re extinguisher compliance was maintained; however, a number of extinguishers were missing or noncompliant. 4. New custodial staff members are trained on general duties and provided with the standards for cleaning procedures. The Operations Manager provides training classes for all custodial staff. Once the fi ve-part training is completed, employees receive a certifi cate of training to recognize this achievement. The district has designated the fi rst and third Mondays of each month for staff training, and provides issue-/topic-specifi c training as available or needed. The training has been completed by all custodians. New custodians are trained as they are hired. As of this fi fth facilities review, there has been no change to this process. The district provided Building Operation Certifi cation training to some employees at the district offi ce. The training included instruction on heating, ventilation, and cooling (HVAC) systems and controls, lighting systems, and energy management applications. The training was completed at the end of 2006. 5. Based on interviews with the Director of Maintenance and Operations, safe and clean campuses are important to the district, and this has been conveyed to the staff. To monitor and improve staff performance in keeping school sites safe and clean, the district hired an Operations Manager, and the position was fi lled in January 2006. The Operations Manager has a checklist that evaluates sweeping; dusting; washing of table tops, sink counters, drinking fountains, walls, and desk tops; mopping of doorways, in front of sinks, rooms, hallways and entry ways; miscellaneous items, such as emptying trash cans, replacing light bulbs, securing the campus, and cleaning blackboards; and cleaning rest rooms, including chrome fi xtures, toilets, sinks, and fi lling toilet paper dispensers. The district staff stated the checklist continues to be used to measure performance. The district also created a Maintenance and Operations Manager position to supervise Maintenance and Grounds workers. The position was instituted to supervise daytime workers, including the custodial staff. Creating this position has provided the Operations Manager with additional support so the position can focus on swing shift/evening custodial positions. The district’s bargaining agreement with the teachers’ association requires the teachers association to report inadequate conditions in the classroom/work area. This provides additional feedback regarding the adequacy of staff in maintaining a clean and safe campus. The district staff reported a reduction in the number of inadequate conditions Facilities Management 11 since the Operations Manager was hired and the Custodial Action Committee (CAC) was created; however, there has been limited participation by the teachers association. As of this writing, there is disagreement between the district and the teachers association regarding the success of the CAC. Since the responsibility for monitoring the job performance of custodial and grounds staff and performing the related evaluations falls on one manager, the district may not have adequate oversight to improve employees’ job performance or dismiss employees for cause. Since the district has added a Maintenance and Operations Supervisor to assist the Operations Manager in this area, this should be reassessed at the next facilities review. 6. The recommendation to emphasize safety and cleanliness in employee evaluations is still being implemented. Adjustments to the evaluation form will need to be negotiated with the bargaining unit. A review of a sample of employee evaluations found that they clearly were not evaluated annually. The contract calls for employee evaluations every two years. Because of the changes in Maintenance and Operations, this is an area that needs continued emphasis. The evaluation form utilized is the same one has that been used in the past because any change must be negotiated. The current California School Employees Association contract does not expire until 2008. Therefore, the documentation does not explicitly indicate that there has been an emphasis on safety and cleanliness in employee evaluations. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 Implementation Scale: 12 Facilities Management 1.18 School Safety—Plan for Prevention of Campus Crime and Violence Legal Standard: A comprehensive school safety plan exists for the prevention of campus crime and violence. [EC 35294-35294.9] Progress on Implementing the Recommendations of the Improvement Plan: 1. Policy and Regulation Numbers 3000o, Comprehensive School Safety Plan, were adopted on April 4, 2007, two weeks prior to this fi fth facilities review. The policy states each school shall have a comprehensive school safety plan that is updated yearly. 2. The district has partially updated school safety plans and trained the staff. The district has completed its districtwide and site-specifi c safety plans based on the districtwide plan. However, some of the areas addressed in the districtwide plan and site plans are based on district board policies, which are not completed. Therefore, some areas in these plans will remain incomplete until all the board policies are completed, and the plans may need to be revised on adoption of the policies. The plans need to be updated annually and had not been revised as of the April 2007 site visits. School site employees are aware of the plan and can make them available; however, the plans are not up to date. 3. Based on the districtwide plan, the district has addressed the recommendation to include the following key components of a comprehensive school safety plan: • Status of school crimes committed on district campuses during district functions • Dangerous pupil notifi cation procedures • Strategies and programs for the maintenance of high levels of school site safety • Access procedures for students • Educational environment requirements • School discipline procedures • Sexual harassment policy Standard Implemented: Partially November 1, 2004 Rating: 4 May 1, 2005 Rating: 4 November 30, 2005 Rating: 4 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 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 conducted an in-house facilities inventory and developed a multiphase facilities master plan. The facilities inventory included consideration of total classrooms and total capacity by site, including relocatable buildings; and adjustments to capacity for class-size reduction, special education, and utilization of rooms for activities other than classes. The site-by-site capacity information was compared to current and projected enrollment over the short term. Based on this information and analysis, decisions were made regarding the adequacy of classroom capacity given projected growth trends and distributional factors. This information led to determinations regarding the reconfi guration of sites and programs, and the identifi cation of surplus property. Ultimately, the result was a multiphase process to serve all district students in adequate facilities, while generating one-time and ongoing revenue to reduce the district’s obligations to the state and provide ongoing operational revenue. The district continues progress on Phase I of its facilities master plan. To date, the district offi ce has completed its move to Mare Island. The district has rejected all bids for fi ve properties it is selling and plans to consolidate all the properties, contracting with a vendor to develop entitlements for them. The estimated time line for the sale was not determined as of this writing. The district expects this plan to generate revenue and assist in payment of its debt. Later phases of the plan call for improvements to various schools throughout the district, as well as the sale or lease of surplus property to generate revenue for the district’s fi scal recovery. The district appears to have successfully implemented the fi rst elements of Phase I of its facilities master plan. Nevertheless, an outside consultant with signifi cant experience in developing successful school facilities master plans should be hired to independently prepare a plan to ensure that the district meets its short- and long-term fi nancial and facility needs. 2. The district has retained consultants to assist with planning, development, and maintenance of a long-term facilities master plan. The district does not have a contract with an outside consultant to perform a new demographic study; it has been performing this in-house with current staff. The district has contracts with a separate consultant to provide fi nancial advisory services related to its capital facility needs, and a real estate appraiser and title company to assist with the evaluation of district property being considered for surplus status. 14 Facilities Management 3. As part of its recovery plan, the district is selling and leasing property and has declared fi ve properties as surplus. At the time of fi eldwork, the fi ve properties had not been sold, and the district plans to consolidate all fi ve properties with entitlements to ensure the best value is attained when they are sold . The district plans to use the proceeds from the sale/ lease of property to repay the state loan and to offset general fund defi cit spending. The district should confi rm that the proceeds from the sale/lease of its property are being used properly. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 4 November 30, 2005 Rating: 5 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: Facilities Management 15 2.14 Facility Planning—Consideration of an Asset Management Plan Professional Standard: The district should consider developing an asset management plan. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has hired a consultant to develop an asset management plan, but a plan was not available for review. To date, the work has been limited to an inventory of sites, classrooms, portables, capacity, and enrollment. A legal opinion dated January 9, 2006 details the available sources of revenue that can be used for Phase II of the Facilities and Property Asset Management Plan. As of the April 2007 visit, the district has declared fi ve properties surplus. The properties have been listed for sale several times, but all bids were rejected because they came in lower than anticipated based on appraised value. At this time, the district plans to consolidate all fi ve properties and develop entitlements for the parcels to maximize the benefi t of the sale. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005 Rating: 1 May 31, 2006 Rating: 2 January 25, 2007 Rating: 3 July 2, 2007 Rating: 3 Implementation Scale: 16 Facilities Management 3.7 Facilities Improvement and Modernization—Furniture and Equipment Included in Modernization Program Professional Standard: Furniture and equipment items are routinely included within the scope of modernization projects. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not included furniture and equipment in its school modernization plans because it is very close to completing its modernization program. It did not attempt to assess furniture and equipment needs related to the remaining projects. The district staff indicated that, because of declining enrollment, there is a surplus of furniture in good condition that can be used to replace damaged or old furniture. There is no change to report since the previous facilities review. 2. The Facilities Department issued a memo dated, April 11, 2007, detailing a furniture replacement procedure. A furniture needs survey will be taken each winter to identify the replacement furniture needed. The survey will classify furniture into four categories: 1) health and safety, 2) broken and outdated, 3) program needs, and 4) wish list. Furniture will be purchased using general, building, or school site funds or a combination of all three. As part of the procedure, the district intends to purchase approximately six rooms of furniture at the elementary level and two rooms of furniture at the middle and high school levels. The district has begun to establish a furniture and equipment standard for schools by type — elementary schools, middle schools, high schools — that includes a replacement schedule. The district has identifi ed certain types/classes of furniture and equipment and established the minimum allocation that a classroom of that type would receive. Based on the basic allocation level, the district has established base-cost information and useful lives. That information has been collected to estimate a yearly amount needed to budget for furniture and equipment replacement each year. This standard has not yet been imple- mented for all classroom furniture and equipment throughout all grade levels, nor is it clear that the district is committing the fi nancial resources and making replacements per the estimate. There is no change to report since the previous facilities review. 3. The district has not made a comprehensive assessment of existing furniture and equipment, noting factors such as age and condition, to identify current and future needs and to allow for the development of a replacement and funding plan. The district staff indicates that there is suffi cient surplus furniture to address district/site needs. As of this review, the district is still planning for the assessment. 4. The district has partially developed an equipment and furniture replacement funding plan based on certain assumptions about minimum needs for classrooms based on grade level and type. However, the district has not evaluated its actual furniture and equipment inventory, and the current status of this furniture and equipment to determine if its needs vary from the general standard identifi ed. Further, it does not appear that the current identifi ed standard covers all furniture/equipment that might be needed throughout the Facilities Management 17 district, given the variety of programs operated at the various school levels. The district staff has started to collect furniture and equipment inventories from school sites. As the data is collected, information is entered into a database. There is no change at this time other than a memo from the Facilities Department regarding a furniture replacement procedure. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 0 November 30, 2005 Rating: 2 May 31, 2006 Rating: 3 January 25, 2007 Rating: 4 July 2, 2007 Rating: 5 Implementation Scale: 18 Facilities Management 8.1 Facilities Maintenance and Custodial—Implementation of an Energy Con- servation Policy Professional Standard: An Energy Conservation Policy should be approved by the Board of Education and implemented throughout the District. Progress on Implementing the Recommendations of the Improvement Plan: 1. Policy and Regulation Numbers 3000m, Energy and Water Conservation, were adopted April 4, 2007. The district’s policy includes standards for heating, ventilation, and air conditioning temperatures. The policy includes standards for lighting and water use in and around facilities. The policy calls for regular inspections of facilities to confi rm that energy conservation strategies are implemented as well as an analysis of utility usage and costs periodically throughout the year. The district has been analyzing utility usage and related data and performing inspections at school sites. A utility meter at one school site was found to be running concurrently with another meter, so the district asked PG&E to investigate the situation. This resulted in a credit of more than $15,500. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 3 May 31, 2006 Rating: 3 January 25, 2007 Rating: 4 July 2, 2007 Rating: 5 Implementation Scale: Facilities Management 19 8.2 Facilities Maintenance and Custodial—Energy Accounting System and Completion of Energy Analyses Professional Standard: The district should create and maintain a system to track utilities costs, consumption and report on the success of the district’s energy program. An energy analysis has been completed for each site. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district continues to log its energy consumption and expense. The Maintenance Department uses a software program called School Project for Utility Rate Reduction (SPURR) that provides the department with the capability of data collection, analysis, and monitoring. The vendor also continues to perform an independent review and analysis of the data and makes recommendations to the district. The district continues to perform a detailed review of energy bills and information to identify errors, unusual changes in consumption or cost, and the overall effects of the energy conservation program across all sites. The district uses software to monitor and track utility costs for electricity, natural gas, and water, looking for larger users or anomalies in trends. The software vendor also continues to review and analyze the utility usage data to identify areas that should be reviewed and opportunities for effi ciency gain and cost savings. The district self-reports that it has completed its inventory of sites, meters, number of students, square footage, and other factors to improve its ability to monitor and analyze energy consumption data. Based on the energy usage report analysis, the district has determined the sites with higher- than-normal usage and is working to reduce usage. The district staff identifi ed a duplicate meter at one site and will receive a credit of more than $15,500 from PG&E. 2. The district has not formally identifi ed/catalogued sites and areas that need to be retrofi tted for energy conservation, nor has it hired a contractor to do this work. However, sites that have been through modernization have been retrofi tted, but generally only for heating, ventilation, and air conditioning (HVAC). Standard Implemented: Fully - Substantially November 1, 2004 Rating: 5 May 1, 2005 Rating: 6 November 30, 2005 Rating: 6 May 31, 2006 Rating: 7 January 25, 2007 Rating: 7 July 2, 2007 Rating: 8 Implementation Scale: 20 Facilities Management 8.3 Facilities Maintenance and Custodial—Energy Effi cient Design Criteria for New Construction and Modernization Professional Standard: Cost-effective, energy-effi cient design should be a top priority for all District construction proj- ects. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not augmented its building design standards with specifi c energy design criteria for all areas of school design, including lighting, HVAC, controls, insulation, and other related measures; and orientation, generation, renewable sources of energy, and criteria for comparing and accepting energy effi cient design. The district’s modernization projects appear to have included upgrades for items such as HVAC, windows, lighting, etc., that improve energy effi ciency, and the district self-reports it has been using design standards since November 2003. At the time of this fi fth facilities review, the district staff provided the team with a table of contents from the VCUSD Design Standards dated November 10, 2003. The district staff self-reports that it works closely with architects to use energy effi cient designs in all modernization and construction projects using the November 2003 district standards. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 2 November 30, 2005 Rating: 2 May 31, 2006 Rating: 2 January 25, 2007 Rating: 3 July 2, 2007 Rating: 4 Implementation Scale: Facilities Management 21 8.6 Facilities Maintenance and Custodial—Procedures for Evaluation of Main- tenance and Operations Staff Professional Standard: Procedures are in place for evaluating the work quality of Maintenance and Operations staff. The quality of the work performed by the Maintenance and Operations staff is evaluated on a regular basis using a board-adopted procedure that delineates the areas of evaluation and the types of work to be evaluated. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has not yet shifted the responsibility for evaluating custodial staff to site administrators. The custodial supervisor is still responsible for performing approximately 90 custodial evaluations. The district has not reduced the impact that such a large number of evaluations may have on the supervisor’s other workload. Based on a sample of custodial employee fi les, it does not appear that employees are evaluated annually. It appears that the evaluations are not representative of the employee’s performance. For the sample evaluations reviewed, most of the evaluations were satisfactory without much comment regarding areas of growth and/or needed improvement. There was no indication that the Operations Manager had performed evaluations since the prior six month review. The addition of the Operations Manager may not yet have improved the evaluation process as evidenced in the test samples; however, based on the evaluation schedule provided by Human Resources, almost all employees in Maintenance and Operations are not scheduled to be evaluated until 2008. Based on a sample of employee evaluations, additional comments on the evaluation form that could have spoken specifi cally to the issues of safety and cleanliness appeared to be minimal. The Maintenance and Operations Director and Operations Manager (hired in January 2006) indicated at the prior six-month review that there would be changes in upcoming evaluations based on raised expectations for standard performance. As of this fi fth facilities review, the evaluation process requires improvement. In a test sample of employee evaluations, 10 of 13 evaluations were not completed within the two-year time line for evaluations. In many cases, evaluation appointments were cancelled or missed by the employee and not rescheduled by the staff. In addition, site beautifi cation plans requested as a stipulation of three different employee evaluations were not submitted as of the next year’s evaluation with no obvious negative effect on the employees’ subsequent evaluation. In a test sample of evaluation comments, the staff recommended that employees work on self-improvement, but provided no guidance or suggested areas of improvement. Two employees created action plans to improve their job performance, but since the plans were implemented in the month of the site visit, it is not clear how they will affect the employees’ performance. One of the visible weaknesses of the action plans was that there is no concrete method to measure improved performance or learned skills. No obvious target dates to complete tasks or follow-up evaluations during the year were scheduled. 22 Facilities Management The custodial supervisor is supposed to receive input from the site administrator regarding the employee’s performance, and/or the site administrator participates in the face-to-face evaluation. This is intended to help ensure that the custodial supervisor has information about the day-to-day performance of the employee. Based on the evaluations reviewed, it was not clear that the site administrator had input. As of this fi fth facilities review, evaluations were not performed annually, and administrator input was not evident. 2. The district has implemented an annual evaluation reminder process. Per representations made by the Maintenance and Operations management staff, they receive notifi cation from the Human Resources Department regarding upcoming employee evaluations. The current contract requires evaluation every two years. 3. The district did not make available any documentation demonstrating that it had provided training for supervisory personnel regarding the proper documentation of employee performance based on established personnel and work standards. The School Administrator’s Guide to Conducting Effective and Meaningful Evaluations was provided; however, there was no indication that training was provided for supervisory personnel on the evaluation process. 4. Based on discussion with the district staff and review of employee fi les, the district continues to have the manager discuss the performance evaluation with the employee and provide him or her with a copy of it. Standard Implemented: Partially November 1, 2004 Rating: 3 May 1, 2005 Rating: 5 November 30, 2005 Rating: 6 May 31, 2006 Rating: 6 January 25, 2007 Rating: 7 July 2, 2007 Rating: 7 Implementation Scale: Facilities Management 23 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 verifi cation of the completion of work by the super- visor of the maintenance staff. Progress on Implementing the Recommendations of the Improvement Plan: 1. Policy and Regulation Numbers 3000l, Preventative Maintenance Program, were adopted April 4, 2007. 2. The district plans to begin implementing the Preventative Maintenance Program starting June 1, 2007. 3. The district has negotiated with its classifi ed bargaining unit to create Preventative Maintenance Technician (PMT) positions in the Maintenance and Operations Department. The PMTs will work in teams of two and systematically visit each school site for a specifi ed number of days two times a year. The PMTs will perform regular scheduled maintenance and service to protect property, systems, and equipment from damage and to extend useful life. Any work that cannot be completed during the scheduled visit will be reported, and work orders will be created for the regular maintenance staff. The program will need to be assessed in a subsequent review since it is not scheduled to begin until June 1, 2007. Standard Implemented: Partially November 1, 2004 Rating: 0 May 1, 2005 Rating: 1 November 30, 2005 Rating: 2 May 31, 2006 Rating: 2 January 25, 2007 Rating: 3 July 2, 2007 Rating: 4 Implementation Scale: 24 Facilities Management 8.10 Facilities Maintenance and Custodial—Adequate Repair and Supervision of School Buildings Legal Standard: The Governing Board of the district provides clean and operable fl ush toilets for use of pupils. Toilet facilities are adequate and maintained. All buildings and grounds are maintained. [CCR Title §631, CCR Title 5 14030, EC 17576] Progress on Implementing the Recommendations of the Improvement Plan: 1. Policy and Regulation Numbers 3000K, Adequate Repair and Supervision of School Buildings, were adopted April 4, 2007. The policy states that the Board is committed to providing school facilities that are safe, clean, and functional. As part of that commitment, the Superintendent shall develop and implement a facilities inspection and maintenance program to ensure that district schools are maintained in good repair. The inspection program shall determine conditions in need of repair, including any evidence of the following: • Gas leaks • Problems with heating, ventilation, or air conditioning systems • Broken windows, doors, gates, and fences that pose a security risk • Unsafe and unclean interior surfaces, such as walls, fl oors, and ceilings, including vandalism and graffi ti • Hazardous materials that may pose an immediate risk to students or staff • Structural damage that has the potential to create hazardous or uninhabitable conditions • Nonfunctioning fi re sprinklers and emergency equipment, such as alarms and fi re extinguishers • Power failure, electrical hazards, and inadequate lighting • Major pest or vermin infestation • Inaccessible and nonfunctioning drinking fountains • Inaccessible, unclean, and nonfunctioning rest rooms during school hours • Major sewer line stoppage The policy also requires an annual report to the Governing Board regarding the status of school facilities. 2. Regulation Number 3000K states that the Maintenance and Operations Department will review work order requests and prioritize them according to category of need. The categories are: • Priority 1—Emergency, Life Threatening: Approved work order requests in this category will be assigned to all necessary staff to complete immediately unless materials need to be ordered. One manager will be assigned to track and report progress to the Director of Maintenance and Operations. Resources shall be dedicated to mitigate hazards and return the facility to operation as soon as it is safe to do so. Facilities Management 25 • Priority 2—Vandalism and Graffi ti: Work needed in this category shall be identifi ed by the district’s security services, head custodian, or a site administrator and reported immediately to the Maintenance and Operations Department. Resources shall be dedicated to mitigate and remedy the results of vandalism immediately, if possible, the same day as reported. • Priority 3—Mission Critical, System Failure, and Preventative Maintenance Work Orders: Approved work order requests in this category will be assigned to a trade person to complete according to the following established district guidelines. The order for responding to approved work order requests within this priority is: (1) childcare, (2) kindergarten, (3) elementary, (4) secondary, and (5) support services. The task leader shall provide the staffi ng and resources needed to complete a project in this category within fi ve days. Resources shall be dedicated to mitigate hazards and return the facility to operation as soon as it is safe to do so. • Priority 4—Support System Malfunction—Equipment Relocation—Planned Change: The work in this category will be assigned to a group or a maintenance worker to complete following established district guidelines. The order for responding to approved work order requests within this priority is: (1) child care, (2) kindergarten, (3) elementary, (4) secondary, and (5) support services. The task leader shall provide the staffi ng and resources needed to complete the project within two weeks. • Priority 5—Nonmaintenance Duties: The work in this category will be assigned to the task leader to complete after following established district guidelines on all other higher priority work assignments. The task leader shall provide the staffi ng and resources needed to complete each project in four weeks or more, depending on resource availability. 3. The district has developed a process to immediately address health and safety issues and it is indicated as a Priority 1 as part of Regulation 3000k. The action plan calls for the manual to address all aspects of Maintenance and Operations, including health and safety issues. In addition, the manual has partially addressed the following: • Methods used to clean and maintain sites and facilities • Frequency of cleaning and maintenance • Materials and products used for cleaning and maintenance • Inspection criteria and District standards • Training The manual was in fi nal form just days before the April 2007 visit. The district has posted the Williams notifi cation, which includes the adequacy of facilities in the uniform complaint process, in all classrooms. The district plans to annually inspect classrooms to ensure the notices remain posted and unobstructed in the classroom. The Williams notifi cation was redistributed to all sites prior to the team’s visit and the notices were prominently posted in all classrooms. There were only a few cases were the Williams notifi cation was covered up by other paper notices. 26 Facilities Management The district has purchased and uses equipment that is intended to be more effi cient and effective at achieving clean and sterile bathroom facilities. Training has been provided on the proper and effective utilization of the equipment. The new equipment is in use at all district sites. The results of using the machines were evident districtwide. However, there were some unsanitary bathroom facilities, and some rest rooms had a strong smell of urine. The district plans to incorporate the use of the equipment in the employee evaluation to ensure the equipment is used to clean and sterilize bathrooms. As of this fi fth facilities review, there was no change to the status of the contract for an evaluation of life safety systems and for the repair of those systems. It was not evident that monthly fi re extinguisher inspections were performed, and no documentation was provided regarding monthly inspections. At one site visited, the team found that an entire wing of classrooms was missed and the fi re extinguishers were not compliant. At another school, fi re extinguishers were missing from an entire row of modular classrooms. 4. Some playing fi eld improvements still need to be completed; however, at the sites visited, the fi elds were generally acceptable. The expectation has been established for all grounds keepers to identify areas at school sites for beautifi cation. The Director of Maintenance and Operations has identifi ed budget dollars to fund the beautifi cation projects, and some sites have taken advantage of the funding to improve grounds areas. 5. The district has completed an inspection of every site. The information from these inspections has been used to develop the deferred maintenance plan. The plan was updated in March 2007. Plans for painting, roofi ng, electrical, heating, ventilation and air conditioning, fl oor coverings, paving, and lead/asbestos abatement are included in the district’s fi ve-year plan. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 5 July 2, 2007 Rating: 6 Implementation Scale: Facilities Management 27 8.12 Facilities Maintenance and Custodial—Priorities for Assignment of Rou- tine Repair Work Orders Professional Standard: The district has a documented process for assigning routine repair work orders on a priority basis. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district utilizes the School Preventive Maintenance Management System (SPMMS) work order system. To address issues raised by site administrators and staff regarding system slowness and diffi culty of use, the district updated the system and has archived a large volume of old data to improve performance. Based on observation and information provided by the site staff, system performance greatly improved, and it is viewed as a good tool for submitting and tracking work orders. School sites are very familiar with the system and are able to enter work orders and track their status easily. The district assigned a permanent staff member to process work orders to help with consistent and timely processing and prioritization. Progress continues to be made in completing and closing work orders in a timely fashion. The backlog of work orders has been addressed, and completed work orders have been identifi ed and closed. The work order system is up to date. School site personnel confi rmed that work orders generally were responded to and completed in a timely manner. They also stated that it is easy to use the work order system to determine the status of a request. The district has implemented a preventive maintenance system to increase the 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 will allow for timelier processing. The preventative maintenance team will begin June 1, 2007. 2. The action plan calls for a Maintenance and Operations manual to be developed. The manual is to address all aspects of Maintenance and Operations, including prioritization of work and health and safety issues. The manual was in fi nal form a few days before the facilities review. Regulation 3000k, adopted April 4, 2007, also defi nes work order categories and prioritization. 3. It was not clear whether active supervision is occurring to note backlogs, inadequate response times, inappropriate prioritization of work orders, and inadequate repairs, and to ensure adequate service and employee performance. 4. The district’s action plan did not directly address the recommendation to improve communication between the Maintenance and Operations Department and school sites; however, the Director of Maintenance and Operations and the Operations managers routinely visit all sites for operational inspections, maintenance inspections, and employee evaluations. This area will need to be revisited in a future review due to the reorganization of the Facilities and Finance departments. 28 Facilities Management 5. Information was provided during the current and prior reviews regarding the number of outstanding work orders. The time range for processing work orders continues to improve. 6. The district has implemented improvements to the work order system that will be required to maintain schools subsequent to the completion of the modernization program. The district’s action plan addresses issues related to improving the work order system and establishing a preventive maintenance program. HVAC and roofi ng needs continue to be top priorities. The preventative maintenance program will begin in June 2007. In addition to plans to implement the preventative maintenance program, the district’s updated deferred maintenance plan calls for HVAC and roofi ng needs to be addressed at some school sites. 7. In 2006-07, the district completed roofi ng projects at Grant Preschool, Solano Middle School, and Lincoln Elementary School; new fi re alarm systems at Cave, Cooper, and Highland elementary schools; a new bell system at Hogan High School; electrical upgrades at Mare Island and Vallejo High School; painting projects at Beverly Hills Elementary, Cave Elementary, Cooper Elementary, Dan Mini Elementary, Mare Island Elementary, Franklin Middle, and Vallejo High schools; fl ooring replacement at Vallejo High School; and plumbing repairs at Vallejo High School. 8. The district has implemented the prior recommendation for all work to be requested through a work order, except for health and safety and other emergency work. Ongoing communication with personnel regarding work order input and procedures should continue. 9. The district has revised its board policies and regulations to ensure that action plan items, including maintenance and work order processes, are encompassed in those policies. The policies were updated as of April 4, 2007. The action plan calls for the manual to address all aspects of Maintenance and Operations, including the work order process. The manual is in fi nal form. The manual detail relating to Maintenance Work Request System is not aligned with Regulation 3000k. The regulation or manual should be updated to align the two documents. Standard Implemented: Partially November 1, 2004 Rating: 2 May 1, 2005 Rating: 3 November 30, 2005 Rating: 4 May 31, 2006 Rating: 5 January 25, 2007 Rating: 6 July 2, 2007 Rating: 7 Implementation Scale: Facilities Management 29 9.1 Instructional Program Issues—Plan for Attractive Landscaped Facilities Professional Standard: The district has developed a plan for attractively landscaped facilities. Progress on Implementing the Recommendations of the Improvement Plan: 1. The district has partially developed a plan to improve school site landscaping. The plan will be fi nalized after most major modernization projects are completed. Standards for landscaping, including an annual assessment, will be included in the maintenance and operations manual, which is in fi nal draft form. The current draft does not include landscaping standards. The action plan calls for exploring and expanding opportunities to install and maintain landscaping with the city of Vallejo and the park district. No additional documentation or information was provided regarding progress in this area. 2. The district has not conducted an inventory/assessment to determine the current landscaping conditions at individual sites. However, the modernization program includes plans for site restoration at recently completed sites. 3. The district has not developed the desired standards of landscaping for various types of schools (elementary, junior high, high school, special program sites, etc.) as part of its manual. 4. The district has not measured the fi ndings of the inventory/assessment to determine needs and defi ciencies. However, it is committing $40,000 for landscaping and grounds upgrades throughout the district. The Director of Maintenance and Operations has set the expectation that every grounds keeper will identify beautifi cation projects at school sites. The director has set aside a portion of the budget annually to fund the projects. There is no change in this area from the fourth facilities review. 5. The district has not formally developed a broad-based set of potential funding sources to assist in implementing a landscaping plan. However, the district is identifying both modernization funds and district funds for landscaping needs. 6. The district has not developed a plan to correct any landscaping needs and defi ciencies that exist at its school sites. 7. The fi scal impact of plan implementation needs to be considered in the broader context of the district’s facilities-related needs, and in consideration of potential additional staffi ng requirements within the Grounds Department. The district has 17 grounds keeper positions. 30 Facilities Management Standard Implemented: Partially November 1, 2004 Rating: 5 May 1, 2005 Rating: 5 November 30, 2005 Rating: 5 May 31, 2006 Rating: 6 January 25, 2007 Rating: 6 July 2, 2007 Rating: 6 Implementation Scale: Facilities Management 31 32 Facilities Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.1 LEGAL STANDARD - SCHOOL SAFETY All school administrators are thor- oughly familiar with the California Department of Education, Civil Defense and Disaster Planning Not Guide for School Offi cials, 1972. Rated [EC 32000-32004, 32040, 35295- 35297, 38132, 46390-46392, 49505, GC 3100, 8607, CCR Title 5 §550, 560, Title 19 §2400] 1.2 LEGAL STANDARD - SCHOOL SAFETY The district includes the appropri- ate security devices in the design of new buildings as well as in 5 modernized buildings. [EC 32020, 32211, 35294-35294.9, 39670- 39675] 1.3 LEGAL STANDARD - SCHOOL SAFETY The district has developed a plan of security that includes 3 3 4 5 6 6 adequate measures of safety and protection of people and prop- erty. [EC 32020, 32211, 35294- 35294.9] 1.4 LEGAL STANDARD - SCHOOL SAFETY The district ensures that the custodial and maintenance staffs are regularly informed of restric- tions pertaining to the storage 4 and disposal of fl ammable or toxic materials. [EC 49341, 49401.5, 49411, F&AC 12981, H&SC 25163, 25500-25520, LC 6360-6363, CCR Title 8 §5194] The identifi ed subset of standards appears in bold print. Facilities Management 33 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.5 PROFESSIONAL STANDARD - SCHOOL SAFETY The district has a documented process for issuing master and sub- 4 master keys. A districtwide stan- dardized process for the issuance of keys to employees is followed by all district administrators. 1.6 PROFESSIONAL STANDARD - SCHOOL SAFETY Bus loading and unloading areas, delivery areas, and parking and parent loading/unloading areas are 4 monitored on a regular basis to ensure the safety of the students, staff and community. Students, employees and the public feel safe at all times on school premises. 1.7 PROFESSIONAL STANDARD - SCHOOL SAFETY Outside lighting is properly placed and monitored on a regular ba- sis to ensure the operability/ adequacy of such lighting and to ensure safety while activities are in progress in the evening hours. 2 Outside lighting provides suffi cient illumination to allow for the safe passage of students and the public during after-hours activities. Lighting also provides security per- sonnel with suffi cient illumination to observe any illegal activities on campus. The identifi ed subset of standards appears in bold print. 34 Facilities Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.8 PROFESSIONAL STANDARD - SCHOOL SAFETY The district has a graffi ti and vandalism abatement plan that is followed by all district em- 4 4 5 5 6 6 ployees. The district provides district employees with suf- fi cient resources to meet the requirements of the abatement plan. 1.9 LEGAL STANDARD - SCHOOL SAFETY The district has on fi le written plans describing procedures to be employed in case of emergency. 5 [EC 32000-32004, 32040, 35295- 35297, 38132, 46390-46392, 49505, GC 3100, 8607] [CCR Title 8, §3220] 1.10 LEGAL STANDARD - SCHOOL SAFETY Each elementary and intermedi- ate school in the district conducts a fi re drill at least once a month. 4 Each secondary school conducts a fi re drill not less than twice every school year. [EC 32000-32004, 32040, CCR Title 5 §550] 1.11 LEGAL STANDARD - SCHOOL SAFETY Maintenance/custodial personnel have knowledge of chemical com- pounds used in school programs that include the potential hazards 3 and shelf life. [EC 49341, 49401.5, 49411, F&AC 12981, H&SC 25163, 25500-25520, LC 6360-6363, CCR Title 8 §5194] The identifi ed subset of standards appears in bold print. Facilities Management 35 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.12 LEGAL STANDARD - SCHOOL SAFETY Building examinations are per- formed, and required actions are 4 taken by the Governing Board upon report of unsafe conditions. [EC 17367] 1.13 LEGAL STANDARD - SCHOOL SAFETY Each school that is entirely en- closed by a fence or partial build- ings has a gate of suffi cient size to permit the entrance of ambu- 10 lances, police and fi re fi ghting equipment. Locking devices are designed to permit ready entrance. [EC 32020] 1.14 LEGAL STANDARD - SCHOOL SAFETY Sanitary, neat and clean condi- tions of the school premises 2 3 5 5 6 6 exist and the premises are free from conditions that would cre- ate a fi re hazard. [CCR Title 5 §633] 1.15 LEGAL STANDARD - SCHOOL SAFETY The Injury and Illness Prevention Program (IIPP) requires periodic 6 inspections of facilities to identify conditions. [CCR Title 8 §3203] 1.16 LEGAL STANDARD - SCHOOL SAFETY Appropriate fi re extinguishers ex- ist in each building and current 6 inspection information is available. [CCR Title 8 §1922(a)] 1.17 LEGAL STANDARD - SCHOOL SAFETY All exits are free of obstructions. 6 [CCR Title 8 §3219] The identifi ed subset of standards appears in bold print. 36 Facilities Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.18 LEGAL STANDARD - SCHOOL SAFETY A comprehensive school safety 4 4 4 6 6 7 plan exists for the prevention of campus crime and violence. [EC 35294-35294.9] 1.19 LEGAL STANDARD - SCHOOL SAFETY Requirements are followed pertain- ing to underground storage tanks. 8 [H&SC 25292, CCR Title 26 §477, Title 23 § 2610] 1.20 LEGAL STANDARD - SCHOOL SAFETY All asbestos inspection and asbes- tos work completed is performed by Asbestos Hazard Emergency 6 Response Act (AHERA) accredited individuals. [EC 49410.5, 40 CFR Part 763] 1.21 LEGAL STANDARD - SCHOOL SAFETY All playground equipment meets safety code regulations and is inspected in a timely fashion as to ensure the safety of the stu- 6 dents. [EC 44807, GC 810-996.6, H&SC 24450 Chapter 4.5, 115725- 115750, PRC 5411, CCR Title 5 §5552] 1.22 LEGAL STANDARD - SCHOOL SAFETY Safe work practices exist with 6 regard to boiler and fi red pressure vessels. [CCR Title 8 §782] 1.23 LEGAL STANDARD - SCHOOL SAFETY The district maintains Materials Safety Data Sheets. [EC 49341, 2 49401.5, 49411, F&AC 12981, LC 6360-6363, CCR Title 8 §5194] The identifi ed subset of standards appears in bold print. Facilities Management 37 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 1.24 PROFESSIONAL STANDARD - SCHOOL SAFETY The district maintains a compre- hensive employee safety program. Employees are made aware of the 3 district safety program and the district provides in-service training to employees on the requirements of the safety program. 1.25 PROFESSIONAL STANDARD - SCHOOL SAFETY The district conducts periodic fi rst 0 aid training for employees as- signed to school sites. 2.1 PROFESSIONAL STANDARD - FA- CILITY PLANNING 3 4 5 5 6 7 The district has a long-range school facilities master plan. 2.2 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district possesses a California 10 State Department of Education Fa- cilities Planning and Construction Guide (dated 1991). 2.3 PROFESSIONAL STANDARD - FACIL- ITY PLANNING 6 The district seeks state and local funds. 2.4 PROFESSIONAL STANDARD - FACIL- ITY PLANNING 7 The district has a functioning fa- cility planning committee. 2.5 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district has a properly staffed 5 and funded facility planning de- partment. The identifi ed subset of standards appears in bold print. 38 Facilities Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 2.6 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district has developed and 7 implemented an annual capital planning budget. 2.7 LEGAL STANDARD - FACILITY PLAN- NING The district has standards for real 5 property acquisition and disposal. [EC 39006, 17230-17233] 2.8 LEGAL STANDARD - FACILITY PLAN- NING The district seeks and obtains waivers from the State Alloca- 0 tion Board for continued use of any nonconforming facilities. [EC 17284, 17285] 2.9 LEGAL STANDARD - FACILITY PLAN- NING The district has established and 10 utilizes a selection process for the selection of licensed architectural/ engineering services. [GC 17302] 2.10 LEGAL STANDARD - FACILITY PLAN- NING The district assesses its local 10 bonding capacity and monitors its legal bonding limits. [EC 15100, EC 15100, EC 15330] 2.11 PROFESSIONAL STANDARD - FACIL- ITY PLANNING 10 The district has developed a pro- cess to determine debt capacity. 2.12 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district is aware of and moni- 10 tors the assessed valuation of taxable property within its bound- aries. The identifi ed subset of standards appears in bold print. Facilities Management 39 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 2.13 LEGAL STANDARD - FACILITY PLAN- NING The district collects statutory 6 school fees. [EC 17620, GC 65995, 66000] 2.14 PROFESSIONAL STANDARD - FA- CILITY PLANNING 0 1 1 2 3 3 The district has developed an as- set management plan. 2.15 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district has pursued state funding for joint-use projects 0 through the fi ling of applications through the Offi ce of Public School Construction and the State Alloca- tion Board. 2.16 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district has established and 7 utilizes an organized methodol- ogy of prioritizing and scheduling projects. 2.17 PR0FESSIONAL STANDARD - FACIL- ITY PLANNING The district complies with Cali- 0 fornia Department of Education (CDE) recommendations relative to school site sizing. 2.18 PROFESSIONAL STANDARD - FACIL- ITY PLANNING The district distributes facility 10 funding in an equitable manner to all communities served and to all school levels. The identifi ed subset of standards appears in bold print. 40 Facilities Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 2.19 PROFESSIONAL STANDARD - FACIL- ITY PLANNING A district that has passed a gen- eral obligation bond has created a Citizens Oversight Committee to 10 ensure the appropriateness of ex- penditures related to the passage of the district's local school bond measure. 3.1 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The district has a restricted de- ferred maintenance fund and those funds are expended for mainte- 7 nance purposes only. The deferred maintenance fund is a stand-alone fund refl ecting the revenues and expenses for the major mainte- nance projects accomplished dur- ing the year. 3.2 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The district has pursued state funding for deferred maintenance - critical hardship needs by fi ling 0 an application(s) through the Of- fi ce of Public School Construction and the State Allocation Board. [State Allocation Board Regulation §1866] The identifi ed subset of standards appears in bold print. Facilities Management 41 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.3 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The district applies to the State Allocation Board for facilities 6 funding for all applicable projects, and consistently reviews and moni- tors its eligibility for state funding so as to capitalize upon maximal funding opportunities. 3.4 LEGAL STANDARD - FACILITIES IM- PROVEMENT AND MODERNIZATION The district maintains a plan for 6 the maintenance and moderniza- tion of its facilities. [EC 17366] 3.5 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The district establishes and imple- 9 ments interim housing plans for use during the construction phase of modernization projects and/or additions to existing facilities. 3.6 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION 5 The district has established and maintains a system for tracking the progress of individual projects. 3.7 PROFESSIONAL STANDARD - FA- CILITIES IMPROVEMENT AND MODERNIZATION 0 0 2 3 4 5 Furniture and equipment items are routinely included within the scope of modernization projects. The identifi ed subset of standards appears in bold print. 42 Facilities Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.8 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION Refurbishing, modernization, and 8 new construction projects should take into account technology in- frastructure needs. 3.9 LEGAL STANDARD - FACILITIES IM- PROVEMENT AND MODERNIZATION The district obtains approval of plans and specifi cations from the Division of the State Architect and 8 the Offi ce of Public School Con- struction (when required) prior to the award of a contract to the low- est responsible bidder. [EC 17263, 17267] 3.10 LEGAL STANDARD - FACILITIES IM- PROVEMENT AND MODERNIZATION All relocatables in use throughout 6 the district meet statutory require- ments. [EC 17292] 3.11 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The annual deferred maintenance contribution is made correctly. 10 The district annually transfers the maximum amount that the district would be eligible for in matching funds from the state. The identifi ed subset of standards appears in bold print. Facilities Management 43 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 3.12 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The district actively manages the deferred maintenance projects. The district reviews the fi ve-year de- ferred maintenance plan annually 7 to remove any completed projects and include any newly eligible projects. The district also verifi es that the expenses performed dur- ing the year were included in the state approved fi ve-year deferred maintenance plan. 3.13 PROFESSIONAL STANDARD - FACILI- TIES IMPROVEMENT AND MODERN- IZATION The staff within the district is 5 knowledgeable of procedures within the Offi ce of Public School Construction (OPSC) and the Divi- sion of the State Architect (DSA). 4.1 PROFESSIONAL STANDARD - CON- STRUCTION OF PROJECTS The district maintains an appro- 5 priate structure for the effective management of its construction projects. 4.2 PROFESSIONAL STANDARD - CON- STRUCTION OF PROJECTS Change orders are processed and receive prior approval from re- 8 quired parties before being imple- mented within respective construc- tion projects. 4.3 PROFESSIONAL STANDARD - CON- STRUCTION OF PROJECTS 4 The district maintains appropriate project records and drawings. The identifi ed subset of standards appears in bold print. 44 Facilities Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 4.4 PROFESSIONAL STANDARD - CON- STRUCTION OF PROJECTS 9 Each Inspector of Record (IOR) as- signment is properly approved. 5.1 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CONTRACTING LAWS AND PROCEDURES 7 The district complies with formal bidding procedures. [GC 54202, 54204, PCC 20111] 5.2 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CONTRACTING LAWS AND PROCEDURES 7 The district has a procedure for requests for quotes/proposals. [GC 54202, 54204, PCC 20111] 5.3 PROFESSIONAL STANDARD - COM- PLIANCE WITH PUBLIC CONTRACT- ING LAWS AND PROCEDURES The district maintains fi les of 7 confl ict-of-interest statements and complies with legal requirements. Confl ict of interest statements are collected annually and kept on fi le. 5.4 PROFESSIONAL STANDARD - COM- PLIANCE WITH PUBLIC CONTRACT- ING LAWS AND PROCEDURES The district ensures that bid- 8 dable plans and specifi cations are developed through its licensed architects/engineers for respective construction projects. 5.5 PROFESSIONAL STANDARD - COM- PLIANCE WITH PUBLIC CONTRACT- ING LAWS AND PROCEDURES 6 The district ensures that requests for progress payments are carefully evaluated. The identifi ed subset of standards appears in bold print. Facilities Management 45 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 5.6 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CONTRACTING LAWS AND PROCEDURES 7 The district maintains contract award/appeal processes. [GC 54202, 54204, PCC 2011] 5.7 LEGAL STANDARD - COMPLIANCE WITH PUBLIC CONTRACTING LAWS AND PROCEDURES The district maintains internal con- 7 trol, security, and confi dentiality over the bid submission and award processes. [GC 54202, 54204, PCC 20111] 6.1 PROFESSIONAL STANDARD - SPE- CIAL EDUCATION FACILITIES The district complies with Califor- 6 nia Department of Education (CDE) requirements relative to the provi- sion of Special Education facilities. 6.2 PROFESSIONAL STANDARD - SPE- CIAL EDUCATION FACILITIES The district provides facilities for its special education programs that ensure equity with other educa- 6 tional programs within the district and provide appropriate learning environments in relation to educa- tional program needs. 7.1 PROFESSIONAL STANDARD - IMPLE- MENTATION OF CLASS-SIZE REDUC- TION The district applies for state 10 funding for class size reduction facilities. The district applies for class size reduction (CSR) facilities funding annually. The identifi ed subset of standards appears in bold print. 46 Facilities Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 7.2 PROFESSIONAL STANDARD - IMPLE- MENTATION OF CLASS-SIZE REDUC- TION The district has provided adequate 10 facilities for the additional classes resulting from the implementation of class size reduction. 7.3 PROFESSIONAL STANDARD - IMPLE- MENTATION OF CLASS-SIZE REDUC- TION The district has complied with 9 CDE suggested space requirements relative to the provision of educa- tional environments for the imple- mentation of class size reduction. 7.4 PROFESSIONAL STANDARD - IMPLE- MENTATION OF CLASS-SIZE REDUC- TION The district has developed a plan 5 for the provision of permanent facilities in which to house its CSR programs. 8.1 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL An energy conservation policy 2 3 3 3 4 5 has been approved by the board of education and implemented throughout the district. 8.2 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL The district uses and maintains a system to track utility costs 5 6 6 7 7 8 and consumption, and to report on the success of the district’s energy program. An energy analysis has been completed for each site. The identifi ed subset of standards appears in bold print. Facilities Management 47 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 8.3 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL Cost-effective, energy-effi cient 2 2 2 2 3 4 design has been made a top pri- ority for all district construction projects. 8.4 PROFESSIONAL STANDARD - FACILI- TIES MAINTENANCE AND CUSTO- DIAL The district has analyzed the pos- 1 sibility of using alternative energy sources as a means of reducing the fi nancial impact of utilities on the district. 8.5 PROFESSIONAL STANDARD - FACILI- TIES MAINTENANCE AND CUSTO- DIAL Adequate maintenance records and reports are kept, including a complete inventory of supplies, materials, tools and equipment. All employees required to perform 5 maintenance on school sites are provided with adequate supplies, equipment and training to perform maintenance tasks in a timely and professional manner. Included in the training is how to inventory supplies and equipment and when to order or replenish them. The identifi ed subset of standards appears in bold print. 48 Facilities Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 8.6 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL Procedures are in place for evaluating the work quality of maintenance and operations staff. The quality of the work 3 5 6 6 7 7 performed by the maintenance and operations staff is evalu- ated on a regular basis using a board-adopted procedure that delineates the areas of evalua- tion and the types of work to be evaluated. 8.7 PROFESSIONAL STANDARD - FACILI- TIES MAINTENANCE AND CUSTO- DIAL Major areas of custodial and maintenance responsibilities and specifi c jobs to be performed have been identifi ed. Custodial and 4 maintenance personnel have writ- ten job descriptions that delineate the major areas of responsibili- ties that they will be expected to perform and on which they will be evaluated. 8.8 PROFESSIONAL STANDARD - FACILI- TIES MAINTENANCE AND CUSTO- DIAL Necessary staff, supplies, tools and equipment for the proper care and cleaning of the school(s) are available. In order to meet expec- 4 tations, schools are adequately staffed and staff are provided with the necessary supplies, tools and equipment as well as the training associated with the proper use of such. The identifi ed subset of standards appears in bold print. Facilities Management 49 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 8.9 PROFESSIONAL STANDARD - FA- CILITIES MAINTENANCE AND CUSTODIAL The district has an effective written preventive maintenance program that is scheduled and 0 1 2 2 3 4 followed by the maintenance staff. This program includes verifi cation of the completion of work by the supervisor of the maintenance staff. 8.10 LEGAL STANDARD - FACILITIES MAINTENANCE AND CUSTODIAL The Governing Board of the district provides clean and oper- able fl ush toilets for the use 2 3 4 5 5 6 of pupils. Toilet facilities are adequate and maintained. All buildings and grounds are main- tained. [CCR Title 5 § 631, CCR Title 5 14030, EC 17576] 8.11 PROFESSIONAL STANDARD - FACILI- TIES MAINTENANCE AND CUSTO- DIAL The district has implemented a planned program maintenance system that includes an inven- tory of all facilities and equipment 2 that will require maintenance and replacement. Data should include purchase prices, anticipated life expectancies, anticipated replace- ment timelines and budgetary resources necessary to maintain the facilities. 8.12 PROFESSIONAL STANDARD - FACIL- ITIES MAINTENANCE AND CUSTO- DIAL 2 3 4 5 6 7 The district has a documented pro- cess for assigning routine repair work orders on a priority basis. The identifi ed subset of standards appears in bold print. 50 Facilities Management Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 9.1 PROFESSIONAL STANDARD - IN- STRUCTIONAL PROGRAM ISSUES The district has developed a plan 5 5 5 6 6 6 for attractively landscaped facili- ties. 9.2 LEGAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES The Governing Board provides a warm, healthful place in which 7 children who bring their own lunches to school may eat their lunch. [EC 17573, CCR Title 5 §14030] 9.3 LEGAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES The district has developed and 7 maintains a plan to ensure equality and equity of its facilities through- out the district. [EC 35293] 9.4 PROFESSIONAL STANDARD - IN- STRUCTIONAL PROGRAM ISSUES All schools have adequate light- 8 ing, electrical service, heating and ventilation. 9.5 LEGAL STANDARD - INSTRUCTIONAL PROGRAM ISSUES Classrooms are free of noise and 6 other barriers to instruction. [EC 32212] 9.6 PROFESSIONAL STANDARD - IN- STRUCTIONAL PROGRAM ISSUES The learning environments provid- ed within respective school sites 6 within the district are conducive to high quality teaching and learn- ing. 10.1 PROFESSIONAL STANDARD - COM- MUNITY USE OF FACILITIES 7 The district has a plan to promote community involvement in schools. The identifi ed subset of standards appears in bold print. Facilities Management 51 Nov. May Nov. May Jan. July Standard to be addressed 2004 2005 2005 2006 2007 2007 Rating Rating Rating Rating Rating Rating 10.2 LEGAL STANDARD - COMMUNITY USE OF FACILITIES Education Code Section 38130 establishes terms and conditions of school facility use by commu- nity organizations, in the process 5 requiring establishment of both “direct cost” and “fair market” rental rates, specifying what groups have which priorities and fee schedules. “ 10.3 PROFESSIONAL STANDARD - COM- MUNITY USE OF FACILITIES The district maintains comprehen- 6 sive records and controls on civic center implementation and cash management. 11.1 PROFESSIONAL STANDARD - COM- MUNICATION The district’s public information offi ce coordinates a full apprisal 6 to students, staff and community of the condition of the district’s facilities and of efforts to rectify any substandard conditions. 11.2 PROFESSIONAL STANDARD - COM- MUNICATION The district provides clear and 6 comprehensive communication to staff of its facilities standards and plans. The identifi ed subset of standards appears in bold print. 52 Facilities Management