Comprehensive Review

Administrative Agent Larry E. Reider Office of Kern County Superintendent of Schools Chief Executive Officer Thomas E. Henry WEST FRESNO ELEMENTARY SCHOOL DISTRICT ASSESSMENT AND IMPROVEMENT PLAN Introduction This progress report dated July 2005 provides data to the district, community and legislators to assist the West Fresno Elementary School District in building capacity within the district to promote student learning, conduct business operations effectively, and re-establish local governance. The report indicates the progress made by the West Fresno Elementary School District state-appointed administrator, advisory board of trustees, district administrators and staff to address the recommendations for improvement made in the West Fresno Elementary School District Assessment and Improvement Plan that was first presented to the district by the Fiscal Crisis and Management Assistance Team (FCMAT) in July 2003. Progress reports were provided to the district, community and legislators in January 2004 and July 2004. This progress report continues the use of FCMAT’s legal and professional standards in the assessment process in the five operational areas of Community Relations and Governance, Personnel Management, Pupil Achievement, Financial Management and Facilities Management. The initial Assessment and Improvement Plan of July 2003 assessed all aspects of school district operations using 357 legal and professional standards. The number of standards was reduced by FCMAT, in consultation with the California Department of Education, to a subset of 114 standards, which, if addressed successfully, would provide the greatest probability for the district to achieve the necessary improvement and return to local governance. The same 114 standards have been assessed in all subsequent progress reviews conducted in the district. Reducing the number of standards allows the district to focus its improvement efforts in key areas. The report also provides a process and identifying criteria for the eventual return of the district from the Superintendent of Public Instruction to the governance of the local board. The findings presented in this report represent a snapshot of the district at a specific point in time, and are intended to assist the district with the improvement of student learning. In the time since the data-gathering fieldwork for this report, the district has continued to address certain areas of concern, making progress that may not be reflected in this report. FCMAT would like to acknowledge the cooperation of the state-appointed administrator and the district’s community and staff during the review process. Executive Summary 1 Background On March 6, 2003, Assembly Bill 38 (Reyes) was signed into law. The bill authorized the appointment of a State Administrator and provided an emergency state loan of $2 million to the West Fresno Elementary School District. The legislation required the Fiscal Crisis and Management Assistance Team (FCMAT) to conduct a comprehensive assessment of the district in five major operational areas. The bill further required FCMAT to file status reports for two six- month periods through June 2004 with various entities, including the Legislature, on the school district’s progress in meeting the recommendations of the various improvement plans. In March 2003 the Superintendent of Public Instruction, in consultation with the Fresno County Superintendent of Schools, appointed a State Administrator to the West Fresno Elementary School District to serve as his designee. Also in March 2003, FCMAT organized a team of independent and external professional experts from both the private and public sectors to conduct a comprehensive assessment of the district and to develop a plan of improvement in five school district operational areas: Community Relations and Governance, Personnel Management, Pupil Achievement, Financial Management, and Facilities Management. Fieldwork in the district was conducted in April and May 2003. In December 2003, the district accessed $1.3 million of the $2 million emergency apportionment made available by Assembly Bill 38. The funds were mainly required for three reasons. The district was required to repay the state $430,000 for a 2001-02 audit finding relating to categorical program non-compliance issues. The district needed $667,000 to offset its negative beginning balance for the 2003-04 fiscal year. The remaining amount was needed for lawsuits that were projected to be settled by the end of the fiscal year. To date, the district has not accessed any additional funds from the balance of the state funds available. In July 2003, FCMAT distributed the West Fresno Elementary School District Assessment and Improvement Plan to the district and various entities, including the California Department of Education and specific members of the Legislature. The July 2003 report assessed the district utilizing 357 professional and legal standards applicable to all California school districts. The six-month progress reports issued in January 2004 and July 2004 provided an assessment of the district’s progress in addressing the recommendations of an identified subset of 114 standards. As Assembly Bill 38 did not provide funding or authorization beyond the development of the two six-month progress reports, newly enacted legislation, AB 2525, provided authorization for FCMAT to utilize any of its own 2003-04 appropriated balances to develop an annual progress report for the West Fresno Elementary School District. No new funding was provided. The report would be due to the district on July 1, 2005, one year from the last six-month progress report provided to the district on July 1, 2004. FCMAT maintained the same review teams to continue the monitoring of the district. This July 2005 progress report continues to report on the district’s progress in addressing the subset of 114 identified standards. The use of a standards-based assessment process provided a 2 Executive Summary baseline of information concerning district operations in July 2003, against which improvements made by the district have been measured over time. The State Administrator appointed by the Superintendent of Public Instruction in March 2003 retired on June 8, 2005, and the SPI appointed a new State Administrator to the district, effective June 9, 2005. Executive Summary 3 Returning the District to Local Governance Certain conditions must be met before the West Fresno Elementary School District is returned to local governance. Assembly Bill 38, Reyes, Statutes of 2003, provides specifics regarding the return of the designated legal rights, duties and powers to the district’s Governing Board. The authority of the Superintendent of Public Instruction (SPI) and his administrator designee shall continue in the district until the conditions are met. The return of legal rights, duties and powers to the Governing Board occurs when the Superintendent of Public Instruction determines that the conditions of AB 38, subdivision (e) have been satisfied. AB 38 provides specific and direct responsibilities to FCMAT in assisting the SPI with the district’s recovery. These duties include the following: 1. FCMAT shall complete the assessment and improvement plans for the district in five designated functional areas: Community Relations and Governance, Pupil Achievement, Personnel Management, Financial Management and Facilities Management. 2. Based upon its progress reports, FCMAT shall recommend to the Superintendent of Public Instruction those designated functional areas of school district operation that are appropriate for the Governing Board of the school district to assume. 3. FCMAT shall file written status reports that reflect the progress the district is making in meeting the recommendations of the improvement plans. 4. FCMAT, after consultation with the administrator, determines that for at least the immediately previous six months the district made substantial and sustained progress in the following functional areas: 1. Community Relations and Governance 2. Personnel Procedures 3. Pupil Achievement 4. Financial Management 5. Facilities Management As required by AB 38, FCMAT developed the West Fresno Elementary School District Assessment and Improvement Plan for the district in July 2003. In consultation with the California Department of Education, FCMAT selected a subset of 114 standards to target for ongoing progress reports. These standards were selected as having the most probability to assist the district with the eventual return to local governance if addressed successfully. The selected standards are identified in the Table of Standards for each operational area in Section Two of this report and are discussed more fully in Section Two. The 114 standards in the five major operational areas were assessed at three progress review periods and the district’s improvement reported in FCMAT progress reports issued in January 2004, July 2004 and this current July 2005 report. A relative scaled score from zero (not met) to a 10 (fully met) was applied to each standard as to completeness. The scores applied to the standards provide a measure of the district’s progress toward recovery over time. The West Fresno Elementary School District is not required to reach a scaled score of 10 in every standard, but is expected to make steady progress that can be sustained, as this is a requirement 4 Executive Summary of AB 38. It is reasonable to expect the district to reach an average rating of at least six. As the average score of the subset of standards in a functional area reaches a level of six and it is considered to be 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 of AB 38 has been met and that the operational area could be returned to the Governing Board. Assembly Bill 38 suggests an incremental return of powers to the district. Additional conditions specified in AB 38 that need to occur for the return of all legal rights, duties and powers to the district’s Governing Board include the following: • The state administrator certifies that all necessary collective bargaining agreements have been negotiated and ratified, and that the agreements are consistent with the terms of the recovery and improvement plans. • The district completes all reports required by the SPI and the state administrator. The ultimate return of legal rights, duties and powers is based upon the Superintendent of Public Instruction’s concurrence with the assessment of his administrator designee and FCMAT that the future compliance by the West Fresno Elementary School District with the improvement plans and the multiyear financial recovery plan is probable. Executive Summary 5 Study Guidelines FCMAT’s approach to implementing the statutory requirements of Assembly Bill 38 is based upon a commitment to a standards-based, independent and external review of the West Fresno Elementary School District’s operations. FCMAT performed the assessment and developed the improvement plan in collaboration with four other external providers selected through a competitive process. Professionals from throughout California contributed their knowledge and applied the identified legal and professional standards to the specific local conditions found in the West Fresno Elementary School District. Prior to beginning work in the district, FCMAT adopted five basic tenets to be incorporated in the assessment and improvement plans. These tenets were based on previous assessments conducted by FCMAT in school districts throughout California and a review of data from other states implementing external reviews of troubled school districts. The five basic tenets are: 1. Use of Professional and Legal Standards FCMAT’s experience indicates that for schools and school districts to be successful in program improvement, the evaluation, design and implementation of improvement plans must be standards-driven. FCMAT has noted positive differences between an objective standards-based approach versus a non-standards-based approach. When standards are clearly defined, reachable, and communicated, there is a greater likelihood they will be measured and met. Every standard is measured on a consistent rating format, and each standard is given a scaled score from zero to 10 as to its relative status of completeness. The following represents a definition of terms and scaled scores. The single purpose of the scaled score is to establish a baseline of information by which the district’s future gains and achievements in each of the standard areas can be measured. Not Implemented (Scaled Score of 0) There is no significant evidence that the standard is implemented. Partially Implemented (Scaled Score of 1 through 7) A partially implemented standard lacks completeness, and it is met in a limited degree. The degree of completeness varies as defined: 1) Some design or research regarding the standard is in place that supports preliminary development. (Scaled Score of 1) 2) Implementation of the standard is well into the development stage. Appropriate staff is engaged and there is a plan for implementation. (Scaled Score of 2) 3) A plan to address the standard is fully developed, and the standard is in the beginning phase of implementation. (Scaled Score of 3) 4) Staff is engaged in the implementation of most elements of the standard. (Scaled Score of 4) 5) Staff is engaged in the implementation of the standard. All standard elements are developed and are in the implementation phase. (Scaled Score of 5) 6) Elements of the standard are implemented, monitored and becoming systematic. (Scaled Score of 6) 7) All elements of the standard are fully implemented, are being monitored, and appropriate adjustments are taking place. (Scaled Score of 7) 6 Executive Summary Fully Implemented (Scaled Score of 8-10) A fully implemented standard is complete relative to the following criteria: 8) All elements of the standard are fully and substantially implemented and are sustainable. (Scaled Score of 8) 9) All elements of the standard are fully and substantially implemented and have been sustained for a full school year. (Scaled Score of 9) 10) All elements of the standard are fully implemented, are being sustained with high quality, are being refined, and have a process for ongoing evaluation. (Scaled Score of 10) 2. Conduct an External and Independent Assessment FCMAT employs an external and independent assessment process in the development of school district assessment and improvement plans. FCMAT assessment reports present findings and improvement plans based on the external and independent assessment from professional experts and agencies recruited to assist FCMAT in the assessment process. Collectively, these professional experts and agencies constitute FCMAT’s providers in the assessment process. Their external and independent assessments serve as the primary basis for the reliability, integrity and credibility of the review. 3. Utilize Multiple Measures of Assessment For a finding to be considered legitimate, multiple sources need to be utilized to provide the same or consistent information. The assessment and improvement plans are 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 are required to utilize multiple measurements as they assess the standards. This process allows for a variety of ways of determining whether the standards are met. All school district operations with an impact on student achievement, including governance, fiscal, personnel, and facilities are 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. The assessment reports include the importance of a comprehensive professional development plan. The success of the improvement plans and their implementation are dependent upon an effective professional and community development process. For this reason, the empowerment of staff and community is one of the highest priorities, and emphasizing this priority with each of the providers is critical. As a result, a strong training component for board, staff and administration is called for consistently throughout FCMAT’s assessment reports. Of paramount importance is the community’s role in local governance. The absence of parental involvement in education is a growing concern nationally. A key to success in any school district is the re-engagement of parents, teachers, and support staff. Parents generally care deeply about their children’s future and many are willing to participate in improving their school district and enhancing student learning. The community relations section of FCMAT’s assessment reports provides necessary recommendations for the community to have a more active and meaningful role in the education of its children. Executive Summary 7 5. Engage Local, State and National Agencies It is critical to involve various local, state and national agencies in the recovery of a school district. This is emphasized by engaging state-recognized agencies as partners to assist with the assessment and improvement process. The city and county interests, professional organizations, and community-based organizations all have expressed and shown a desire to assist and participate in the improvement of the West Fresno Elementary School District. Study Team The study team was composed of the following members: For the Fiscal Crisis and Management Assistance Team – Administration and Report Writing Roberta Mayor Laura Haywood For California School Boards Association – Community Relations and Governance: Stephanie Farland Martin Gonzalez Ben Bartos Diane Greene For Schromm and Associates – Personnel Management: Richard Schromm Michael J. Keebler For MGT of America – Pupil Achievement: Karin Bloomer Michael Hearn For School Services of California – Financial Management: Jerry Twomey Ron Bennett Michele Huntoon For School Services of California – Facilities Management: Jerry Twomey Ron Bennett 8 Executive Summary Summary of Principal Findings and Recommendations Except in the areas of Pupil Achievement and Personnel Management, the district has made minimal progress in the last 12 months in addressing the recommendations made in the initial West Fresno Elementary School Assessment and Improvement Plan, July 2003. The district is very small, with limited staff to implement the necessary improvements in the district, and progress toward recovery in most district operational areas has been slow. District staff morale continues to be positive and improvement has been noted in instructional areas, in staff development, in personnel procedures, and in the revision of many board policies. The numerous lawsuits against the district have largely been resolved or settled. However, the review teams expected more progress to have been made to address the recommendations in the improvement plan since July 2003. As reported in a previous report, staff has demonstrated little desire for a return of powers to a governing board viewed as dysfunctional, and therefore feels little impetus to aggressively implement the recommendations in the Assessment and Improvement Plan. No plan has been developed to systematically address the issues or to develop or sustain operational systems. The district must develop responsible self-sufficiency by more proactively addressing the recommendations in all of the operational areas. Staff capacity must be built and written policies and procedures must be developed to provide clear guidance for district operations in the future. Specific assignments should be made to staff to address the recommendations made in the 114 identified standards. The development of staff capacity is of particular concern as a number of changes in district positions are occurring. The State Administrator appointed by the Superintendent of Public Instruction in March 2003 retired on June 8, 2005 and a new State Administrator has been appointed, effective June 9, 2005. The business manager and the maintenance director are retiring in June 2005 and able replacements need to be found. Many board policies and regulations have been revised and/or updated and adopted by the State Administrator in the last year. Training on the newly adopted policies needs to be provided for board members and staff to ensure that the policies are widely disseminated, implemented and enforced. Board members need to reengage with the district, learning their appropriate roles and responsibilities and becoming knowledgeable about the district’s programs and operations. The district drew down $1.3 million of the $2 million authorized by Assembly Bill 38, and does not expect to draw on any additional loan funds. The district has developed a Multiyear Financial Recovery Plan that includes the loan repayment. The plan should provide additional detail to explain how the district expects to achieve its fiscal recovery goals. A summary of the findings and recommendations for this progress review is provided here for the five operational areas of Community Relations and Governance, Personnel Management, Pupil Achievement, Financial Management, and Facilities Management. Section Two of this report provides further detail for each of the individual standards reviewed. Executive Summary 9 Community Relations and Governance The West Fresno Elementary School District has demonstrated progress in the adoption of policies, however no progress toward meeting most other priority standards for Community Relations and Governance has occurred during the past year. Communications No progress has been made toward developing a comprehensive communications plan, nor has the district implemented any proactive media relations strategies. As noted in prior reports, the district has made some progress in keeping staff, parents and community members informed through more direct means. A number of specific mechanisms are in place to keep staff informed, such as regular meetings, e-mails and informal communications. Strategies to communicate directly with parents and the community include notices and phone calls, primarily to encourage participation in meetings and school events. The district continues to have an ongoing need to strengthen communications with non-English-speaking and traditionally less-involved parents. Parent/Community Relations The district has maintained positive strategies to bring parents and community members to the school sites, primarily by hosting annual events such as Open House and monthly “meet and greets,” and through the outreach efforts of three parent advisers employed by the district. The district also held a few modestly attended community forums. Parental notifications and uniform complaint procedures had been distributed in accordance with law earlier in the school year, although concerns remain about the availability of the documents translated into languages other than English. The district’s school accountability report cards contained all of the data required by state and federal law, and the district should continue this practice. Community Collaboratives, District Advisory Committees and School Site Councils The district has been able to maintain previous partnerships and collaborative efforts with community groups. The district should continue to build such partnerships and to sustain the existing ones. All of the district efforts in this area should be linked to a coordinated strategy based on the identified needs of children and families in the community. Policy Progress has been demonstrated on the priority standards in this area over the past year. The district has developed and updated its policies to reflect the requirements as provided by state and federal law. However, procedures and plans still must be developed for communicating policy changes, maintaining the updated manual so it remains current, and involving the board as appropriate to generate support for the policies. Board Roles/Boardsmanship Slight progress was evident in the level of individual participation in board training, although there has been no coordinated continuing education agenda established. Board members appear to generally respect the communication channels established by the state administrator. The board has not engaged in the process of reevaluating the vision and mission of the district. As noted in prior progress reports, improvement on most of the boardsmanship standards is dependent on the state administrator’s willingness to embrace the FCMAT process and engage 10 Executive Summary the board in addressing the standards as appropriate. As a result, the board has not demonstrated much additional progress in this area in the past year. Board Meetings The district has shown no progress on the priority standards pertaining to board meetings. It is essential that the state administrator establish and model best practices in terms of board meetings, including properly noticing and publicizing meetings, ensuring that adequate background materials are provided to the board in advance of meetings, ensuring that the public has a formal opportunity to provide input, and ensuring that official minutes of all meetings are prepared and made available. Conclusion A subset of 28 professional and legal standards was identified in the area of Community Relations and Governance for ongoing assessment. These 28 standards were assessed in each of the progress reviews conducted. An average rating of 6.0 in this subset, with no standard rated lower than a 4, will indicate that the district has met the criteria for the return of this operational area to local governance. The average rating of the identified subset of Community Relations and Governance standards at this review period is 3.11, with 17 standards rated less than 4. This has increased from the average rating for this identified subset of standards of 2.82 reported in July 2004. Executive Summary 11 Personnel Management Prior to July 2004, the Personnel Office activities of the district were shared by the State Administrator and his Administrative Assistant. In the last year, the district reorganized the responsibilities of available staff and established a Human Resources Assistant position that is shared between the Business and Personnel Offices and reports to the State Administrator. Since the position was added, many accomplishments can be reported, including the update of policies and procedures; the use of the SACS system; the completion of extensive salary comparison research; the correction of the classified salary schedule and correct placement of classified personnel on the new salary schedule; making job descriptions for all employees ADA compliant; reviewing personnel files for proper credential and transcript documentation and verifying the number of units on file to justify step and range of pay; auditing all files for TB expiration dates, entering this data into the SACS system, and notifying all employees of their TB expiration dates, establishing a schedule for all employee evaluations and notifying department managers of evaluations to be completed; and implementing a standardized hiring process. The study team still has concerns that position control is not fully operational; a formal document reference checking system is lacking; written operational procedures are lacking; evaluation and due process training is needed, particularly for classified managers/supervisors; and credential training for the two Personnel Office staff members is needed. Operations The district has worked with the California School Boards Association (CSBA) to establish and maintain all pertinent policies and regulations covering personnel activities. The Personnel Office is working on an office procedures manual and desk manuals. The district still lacks any written procedures on the method for completing reference checks for certificated employees. No reference checking form is available for use to document completion of the task. A new classified employee evaluation instrument is being implemented for the first time since 2001. The Personnel Office has developed Standard Operating Procedures to cover both the vacancy process and the interview and selection process for classified employees. The district still has no classified reference checking form or written procedures to provide supervisors and site administrators with guidelines on how to conduct reference checks. The district has developed a new classified salary schedule and classification listing. All pertinent information has been entered into the Standardized Accounting Code System (SACS) that now allows the district to make immediate wage and salary determinations. Job descriptions have been developed for all job classifications, and the district has established a process to evaluate the necessary physical characteristics for each position to comply with the Americans with Disabilities Act (ADA). All job descriptions have been evaluated and now record the physical characteristics for each position. Training The district has made progress in developing materials on nondiscrimination, child abuse reporting, bloodborne pathogens and sexual harassment and providing the materials to new 12 Executive Summary employees. There is still work to be done on providing training to employees in some of these areas. Site principals indicated they received evaluation and due process training in the Assembly Bill 75 leadership program in which they are participating. Emphasis needs to be given to training of classified managers/supervisors in employee evaluation and due process. Technology The district has completed entering all pertinent information on employees into the SACS system, and the district is effectively using the database to run numerous reports. The SACS system used by the district now contains all pertinent data to allow the district to maintain a position control system; however, a specific position control software program is still being developed by the Fresno County Office of Education. Both the Business Office and the Personnel Office actively collect salary and benefit information from numerous school districts and use the data to evaluate the district’s salary comparability. The district Business Office has effectively developed a process to use its Standardized Accounting Code System (SACS) to evaluate current salary and benefit costs and to project cost information that can be used in collective bargaining. Conclusion A subset of 21 professional and legal standards was identified in the area of Personnel Management for ongoing assessment. These 21 standards were assessed in each of the progress reviews conducted. An average rating of 6.0 in this subset, with no standard rated lower than a 4, will indicate that the district has met the criteria for the return of this operational area to local governance. The average rating of the identified subset of Personnel Management standards at this review period is 5.10, with 3 standards rated less than a 4. This has increased from the average rating for this identified subset of standards of 3.86 reported in July 2004. Executive Summary 13 Pupil Achievement The West Fresno Elementary School District has continued its commitment to improving instruction and student performance since the team’s last visit in July 2004. Special Needs Students The district has made significant strides in the area of English language development. A major accomplishment was the completion of an English Learner (EL) Master Plan that documents how the district will address the needs of its EL students regarding placement in classes, instructional time, and assessments. The district also has adopted a new literacy intervention program, Highpoint that is specifically designed to assist EL students. Additionally, in grade levels one through three, EL students receive either targeted instruction for certain periods of the day or full-day Structured English Immersion classes, based on their language proficiency. The district has also made progress in the area of special education. A Special Education Policies and Procedures Handbook has been developed in draft form. This document is the final product in the district’s Special Education work plan for compliance with the standards assessed by the Special Education Division of the California Department of Education. In addition, the district has worked closely with three of its charter schools during weekly special education oversight meetings to ensure that students in special education are receiving the services they need. At the elementary school, Student Study Teams (SST) are meeting consistently to evaluate and determine identified students’ eligibility for special education services. Instruction The district is focused on improving standards-based instruction. Extensive professional development has been provided including summer training, weekly in-service trainings and end-of-trimester “circles of inquiry” meetings focused on the use of assessment data to evaluate proficiency and modify the pace and emphasis of instruction. Principals have received training on walk-through assessments of classroom instruction, and the content of lesson plans has grown more consistent and standards-based. The elementary school has demonstrated greater gains in planning and implementation than its middle school counterpart. The Single Plan for Student Achievement is being incorporated as a guiding document for instruction and performance at the elementary level, while conversations with some middle school teachers indicated a lack of familiarity with their site’s Single Plan. Lack of progress at the middle school level is an area for needed improvement. Pupil Progress While the elementary school has developed appropriate structure around its SST process, the middle school lacks this organization and coordination. The SST Coordinator and teachers need training, written policies and procedures related to this process, and monitoring by the principal. Since the review team’s last visit one year ago, the district has made important progress on pupil achievement standards. Some critical plans have been developed, and in some areas the district is beginning to experience the benefits of establishing a common vision for improved instruction and student performance. Fully institutionalizing this vision, particularly at the middle school level, is the district’s next challenge. The Single Plans and recently developed EL Master Plan 14 Executive Summary and Special Education Policies and Procedures Handbook must accurately reflect what occurs in the classroom and the district infrastructure that supports it. Conclusion A subset of 20 professional and legal standards was identified in the area of Pupil Achievement for ongoing assessment. These 20 standards were reviewed in each of the progress reviews conducted. An average rating of 6.0 in this subset, with no standard rated lower than a 4, will indicate that the district has met the criteria for the return of this operational area to local governance. The average rating of the identified subset of Pupil Achievement standards at this review period is 4.25, with 8 standards rated less than 4. This has increased from the average rating for this identified subset of standards of 3.75 reported in July 2004. Executive Summary 15 Financial Management Staff has developed a good general understanding of their basic individual duties, and recordkeeping continues to improve. Further, the district has developed a significant number of operating procedures, developed a Multi-Year Financial Recovery Plan, revised its job descriptions, and improved the segregation of duties. Nevertheless, the district still has significant challenges and many standards remain to be addressed. Specifically, the district needs to: • Provide training to staff on the newly adopted Board Policies, so that staff is aware of the policies and how they should be implemented in the performance of their job duties. • Continue to develop operating procedures to help ensure that transactions are processed appropriately. • Provide additional detail for the multi-year financial recovery plan regarding how the district intends to achieve its identified goals, such as the steps to be taken to improve its categorical management or increase its ADA-to-enrollment ratio. • Evaluate staff’s current skill levels and training needs based upon the newly revised job descriptions and develop individualized training plans. • Continue to assure appropriate segregation of duties, and ensure that the Business Manager and Superintendent/State Administrator provide ongoing supervision and review of the district’s financial transactions. Budget Development and Monitoring In the progress report of July 2004, multiple items in the areas of budgeting and accounting were identified as major issues to be addressed. While progress is being made, there are still significant challenges. Specific items needing to be addressed include: • Understanding categorical programs, funding, and compliance in order to accurately budget and manage categorical revenues and expenditures—this may be the most significant financial issue for the district since the need to repay state and federal categorical funding is a major factor necessitating the state loan. • Implementing position control to improve control over expenditures, help track categorical expenditures, and accurately budget for future years. • Utilizing a detailed budget calendar and budget development worksheets, and identifying budget assumptions in detail, particularly for categorical programs. • Correlating budgeted expenditures by site, program, and/or department to specific educational priorities and goals. • Projecting net ending balances on a monthly basis. Accounting Policies, Procedures, and Controls • Establishing comprehensive accounting policies and desk manuals. • Complying with program requirements for categorical programs. • Fully implementing all pertinent functions of the County’s financial and personnel/ position control systems. • Establishing a formal training plan and providing comprehensive training to all Business Office staff. 16 Executive Summary • Establishing memorandums of understanding with all charter schools that identify all obligations for both entities in order to provide adequate fiscal oversight and monitoring for charter schools. Conclusion A subset of 24 professional and legal standards was identified in the area of Financial Management for ongoing assessment. These 24 standards were assessed in each of the progress reviews conducted. An average rating of 6.0 in this subset, with no standard rated lower than a 4, will indicate that the district has met the criteria for the return of this operational area to local governance. The average rating of the identified subset of Financial Management standards at this review period is 3.13, with 14 standards rated less than a 4. This has increased from the average rating for this identified subset of standards of 2.00 reported in July 2004. Executive Summary 17 Facilities Management Since the last report in July 2004, the West Fresno Elementary School District has made minimal progress in addressing the recommendations for improvement regarding facilities management. The district continues to do a good job in maintaining the district’s core facilities, such as the bathrooms and grounds. In addition, the district has shown some progress with the adoption of board policies while starting to take steps to develop and implement comprehensive emergency and safety plans. However, the district still has areas for which board policies need to be adopted, such as for capital/construction projects and Injury and Illness Prevention Programs (IIPP), and has not provided training on those policies that have been adopted. In addition, the district generally has not developed procedures or plans to implement those board policies that have been adopted. Specific areas for which needed operational plans have not been updated or developed include a safety plan, an emergency plan, a facilities master plan, and a technology plan. Since the district is undertaking construction and modernization projects, including the demolition of the old shower room, the addition of classrooms to the gymnasium, the addition of a portable building for the preschool, and the pending construction of a new middle school facility, it needs to adopt procedures and controls for all facets of its facilities program. The district will need processes to ensure that construction projects and funds are appropriately managed and that all necessary reporting is timely and accurate. These obligations regarding management and reporting will be very critical since the district anticipates utilizing state funds in several of its projects. The district needs to move expeditiously to address the remaining facilities recommendations to ensure that it adequately maintains the buildings and grounds, and appropriately utilizes, records, and reports state funds received. Conclusion A subset of 21 professional and legal standards was identified in the area of Facilities Management for ongoing assessment. These 21 standards were assessed in each of the progress reviews conducted. An average rating of 6.0 in this subset, with no standard rated lower than a 4, will indicate that the district has met the criteria for the return of this operational area to local governance. The average rating of the identified subset of Facilities Management standards at this review period is 4.81, with 7 standards rated less than a 4. This has increased from the average rating for this identified subset of standards of 4.43 reported in July 2004. 18 Executive Summary Implementation Plan In the initial comprehensive West Fresno Elementary School District Assessment and Improvement Plan, July 2003, FCMAT assessed the district using 357 professional and legal standards in five operational areas of school district management. In the six-month follow-up progress reports in January 2004 and July 2004, and in this 12-month progress report of July 2005, FCMAT assessed fewer standards to allow the district to focus its improvement efforts in specific areas. FCMAT, in collaboration with the California Department of Education, identified a subset of 114 standards to be assessed during each progress review period. The 114 standards selected provide the most probability that the district, if it addresses the standards successfully, will be able to achieve the necessary improvement and return to local governance. Although all 357 of the professional and legal standards utilized in the initial comprehensive assessment process are important to any district’s success, focusing on the identified subset of 114 standards will enable the West Fresno Elementary School District to more quickly achieve a return to local governance. The subset of 114 standards in the five operational areas include: 28 standards in Community Relations and Governance 21 standards in Personnel Management 20 standards in Pupil Achievement 24 standards in Financial Management 21 standards in Facilities Management These standards are identified in the Table of Standards following each of the five operational areas in Section Two of this report. As the average score of the subset of standards in an operational area reaches a level of six and is considered to be 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 AB 38 has been met and that this operational area could be returned to the Governing Board. Subject to progress, areas of school district operations could be returned to the Governing Board of the school district on an incremental basis. The ultimate 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 West Fresno Elementary School District with the improvement plans and the multiyear financial recovery plan is probable. The average score in each operational area subset is indicated below. Average ratings for July 2005 in each operational area increased over the ratings in the initial FCMAT report in July 2003 and in the progress reports of January and July 2004. Subsequent progress reviews will report the district’s progress over time with new ratings. Executive Summary 19 Average Rating in Each Subset, July 2003: Community Relations and Governance: average rating 1.36, with 26 standards under a 4. Personnel Management: average rating 2.52, with 13 standards under a 4. Pupil Achievement: average rating 1.71, with 20 standards under a 4. Financial Management: average rating 0.83, with 24 standards under a 4. Facilities Management: average rating 2.86, with 13 standards under a 4. Average Rating in Each Subset, January 2004: Community Relations and Governance: average rating 2.04, with 23 standards under a 4. Personnel Management: average rating 3.38, with 11 standards under a 4. Pupil Achievement: average rating 2.81, with 15 standards under a 4. Financial Management: average rating 1.54, with 24 standards under a 4. Facilities Management: average rating 3.81, with 12 standards under a 4. Average Rating in Each Subset, July 2004: Community Relations and Governance: average rating 2.82, with 18 standards under a 4. Personnel Management: average rating 3.86, with 11 standards under a 4. Pupil Achievement: average rating 3.75, with 9 standards under a 4. Financial Management: average rating 2.00, with 21 standards under a 4. Facilities Management: average rating 4.43, with 8 standards under a 4. Average Rating in Each Subset, July 2005: Community Relations and Governance: average rating 3.11, with 17 standards under a 4. Personnel Management: average rating 5.10, with 3 standards under a 4. Pupil Achievement: average rating 4.25, with 8 standards under a 4. Financial Management: average rating 3.13, with 14 standards under a 4. Facilities Management: average rating 4.81, with 7 standards under a 4. July 2003 Jan. 2004 July 2004 July 2005 Standards Operational Area Average Average Average Average below a 4 Community Relations/ 1.36 2.04 2.82 3.11 17 Governance Personnel Management 2.52 3.38 3.86 5.10 3 Pupil Achievement 1.71 2.81 3.75 4.25 8 Financial Management 0.83 1.54 2.00 3.13 14 Facilities Management 2.86 3.81 4.43 4.81 7 20 Executive Summary Community Relations and Governance The West Fresno Elementary School District has demonstrated progress in the adoption of poli- cies. However, no progress has occurred toward meeting most other priority standards for Com- munity Relations and Governance during the past year. The evaluation of the district’s progress to date includes the following findings: Communications No progress has been made toward developing a comprehensive communications plan, nor has the district implemented any proactive media relations strategies. As noted in prior reports, the district has made some progress in keeping staff, parents and community members informed through more direct means. A number of specific mechanisms are in place to keep staff informed, such as regular meetings, e-mails and informal communications. Strategies to communicate directly with parents and the community include notices and phone calls, primarily to encourage participation in meetings and school events. The district continues to have an ongoing need to refine and extend outreach strategies, especially to strengthen communications with non-English- speaking and traditionally less-involved parents. Parent/Community Relations The district has kept positive strategies in place to bring parents and community members to the school sites, primarily by hosting annual events such as Open House and monthly “meet and greets,” and through the outreach efforts of three parent advisers employed by the district. The district also held a few modestly attended community forums. Staff indicates that plans are under way to begin working with parents to establish a parent-teacher association. Strategies are still needed to involve traditionally disenfranchised parents and to focus parent/community input on school and district priorities. Parental notifications and uniform complaint procedures had been distributed in accordance with law earlier in the school year, although concerns remain about the availability of the documents translated into languages other than English. The district’s school accountability report cards contained all of the data required by state and federal law, and the district should continue this practice. Community Collaboratives, District Advisory Committees and School Site Councils The district has been able to maintain previous partnerships and collaborative efforts with com- munity groups. The district should continue to build such partnerships and to sustain the existing ones. All of the district’s efforts in this area should be linked to a coordinated strategy based on the identified needs of children and families in the community. Policy Progress has been demonstrated on the priority standards in this area over the past year. The district has developed and updated its policies to reflect the requirements of state and federal law. However, procedures and plans still must be developed for communicating policy changes, keep- ing the policy manual current, and involving the board as appropriate to generate support for the policies. Community Relations and Governance 1 Board Roles/Boardsmanship Slight progress was evident in the level of individual participation in board training, although there has been no coordinated continuing education agenda established. Mainly by virtue of this individual training, board members’ understanding of the appropriate roles of the board and administration seems slightly improved. Board members appear to generally respect the commu- nication channels established by the state administrator. The board has not engaged in the process of re-evaluating the vision and mission of the district. As noted in prior progress reports, improvement on most of the boardsmanship standards is dependent on the state administrator’s willingness to embrace the FCMAT process and engage the board in addressing the standards as appropriate. As a result, the board has not demonstrated much additional progress in this area in the past year. For their part, it is critical for individual board members to actively attend all scheduled meetings and continue to be willing to work collaboratively with the state administrator. Board Meetings The district has shown no progress on the priority standards pertaining to board meetings. It is essential that the state administrator establish and model best practices in terms of board meet- ings, including properly noticing and publicizing meetings, providing adequate background ma- terials to the board in advance of meetings, allowing the public a formal opportunity to provide input, and ensuring that official minutes of all meetings are prepared and made available. 2 Community Relations and Governance 1.1 Communications Professional Standard The district has developed a comprehensive plan for internal and external communications, in- cluding media relations. Progress on Recommendations and Improvement Plan 1. The district has made no new effort in the development of a comprehensive com- munications plan addressing internal and/or external communications, nor were any plans to initiate this effort indicated. As recommended in the July 2003 comprehensive report and again in the July 2004 progress report, the district should develop such a plan with input from parents, community members, administrators and staff. 2. The district should review and update its policies related to communications and me- dia relations to ensure consistency with the comprehensive communications plan. 3. Once developed, the district should monitor the implementation of strategies identified in the communications plan. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: Not Reviewed July 2004 Rating: 1 July 2005 New Rating: 1 Implementation Scale: Community Relations and Governance 3 1.2 Communications Professional Standard Information is communicated to staff at all levels in an effective and timely manner. Progress on Recommendations and Improvement Plan 1. The district continues to utilize a number of mechanisms to facilitate communication to staff at all levels. The state administrator is still regarded as doing a strong job of keeping staff informed, and holds regular meetings for district staff and administra- tors. Participants generally report a positive, open climate where people feel comfort- able sharing ideas. E-mail continues to be frequently utilized to communicate among staff as well, and the proximity of the sites (adjacent to the central office) further facilitates good internal communication. However, no additional progress or new av- enues to communicate were noted. 2. The district does not yet have a comprehensive communications plan (see Standard 1.1) that formally describes strategies for effective internal communications and would provide long-term stability and direction. These strategies for strengthening ongoing internal communications to staff at all levels should continue to be developed and implemented in a timely manner. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 4 July 2004 Rating: 5 July 2005 New Rating: 5 Implementation Scale: 4 Community Relations and Governance 1.4 Communications Professional Standard The district effectively implements strategies for communicating with parents, the community and the media. Progress on Recommendations and Improvement Plan 1. The district does not initiate any proactive media relations to highlight the accom- plishments of students and staff in the district, as recommended in the July 2003 comprehensive report. The state administrator serves as the chief spokesperson for the district. Given the past negative media coverage surrounding the district’s fiscal situation and the state takeover, a more aggressive media relations strategy aimed at highlighting the accomplishments of students and staff in the district is still needed as part of a comprehensive strategy to rebuild public confidence. 2. The district continues to implement a range of strategies for communicating with parents and the community. Often these efforts are focused on encouraging parents to attend meetings or events on the campuses. Notices and information are sent home with students, letters and flyers are mailed, personal calls are made, and the district’s “auto-dialer” system is used to leave phone messages. Multiple events are held at the school sites to which parents are invited. In the July 2004 progress report, staff indi- cated plans to establish a parent-teacher association in the district. However, this plan has not been implemented. A component of the district’s Local Education Agency Plan (LEAP) addresses strate- gies for parent communications. The district should continue to extend outreach strate- gies to better communicate with non-English-speaking and traditionally less-involved parents. Standard Implemented: Partially July 2003 Rating: 5 January 2004 Rating: Not Reviewed July 2004 Rating: 5 July 2005 New Rating: 5 Implementation Scale: Community Relations and Governance 5 2.1 Parent/Community Relations Legal Standard Annual parental notice of rights and responsibilities is provided at the beginning of the school year. This notice is provided in English and in languages other than English when 15% or more speak other languages. (Education Code 48980, 48985) Progress on Recommendations and Improvement Plan 1. The district distributed the parental notifications for the 2004-05 school year in Eng- lish as part of the handbook provided to all students. No evidence was provided that the documentation had been translated into Spanish or Hmong. The district must continue to sustain the effort to issue all of the required parental notifications, in all required languages. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 7 July 2004 Rating: 7 July 2005 New Rating: 5 Implementation Scale: 6 Community Relations and Governance 2.2 Parent/Community Relations Legal Standard A school accountability report card is issued annually for each school site. (Education Code 35256) Progress on Recommendations and Improvement Plan 1. The district issued the 2004-05 school accountability report cards for the elementary and middle schools in February 2005. No evidence was provided that the report cards had been translated into either Spanish or Hmong. The district mailed the report cards to parents, and copies are available at the district office upon request. The state administrator and district staff did incorporate all elements required by state and federal criteria into the 2003-04 report cards, as suggested in the July 2004 prog- ress report. 2. The state administrator has now adopted a policy to reflect current law regarding school accountability report cards. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 2 July 2004 Rating: 4 July 2005 New Rating: 5 Implementation Scale: Community Relations and Governance 7 2.3 Parent/Community Relations Legal Standard The district has developed and annually disseminates uniform complaint procedures. (Title 5, Sections 4621 and 4622) Progress on Recommendations and Improvement Plan 1. As mentioned in the July 2004 progress report, the district’s uniform complaint pro- cedures were reviewed, adopted and disseminated in accordance with law. The pro- cedures provided to project staff reflected current law and were translated into both Spanish and Hmong. The district office staff was aware of the policy and indicated understanding of the procedures. As noted in prior reports, further staff training could still be useful to ensure consistent comprehension and application of the procedures. Standard Implemented: Fully - Substantially July 2003 Rating: 0 January 2004 Rating: 7 July 2004 Rating: 7 July 2005 New Rating: 8 Implementation Scale: 8 Community Relations and Governance 2.7 Parent/Community Relations Professional Standard Parent and public input into school and district operations is encouraged. Progress on Recommendations and Improvement Plan 1. The district provided no information about additional or different strategies hav- ing been implemented since the July 2004 progress report. The state administrator has continued the practice of holding “meet and greets” each month with parents to encourage two-way communication. Typically 10 to 20 parents will attend these meet- ings to share their concerns and hear updates on the events at each of the schools. In addition, the district has conducted a few community forums, although attendance generally has been modest. A primary mode of engagement is hosting events at the district or sites, such as Open House and Back-to-School Night. While these events continue to be effective in bringing parents into contact with the schools and building relations, there is still no indication that they necessarily provide meaningful opportu- nities for parents to provide input into operations. 2. To reach out and involve traditionally disenfranchised parents, the staff continues to use three parent advisors who are fluent in the native languages of a majority of the parents. In addition, parents continue to be involved in the district’s Leadership Team, Parent Advisory Council, English Language Advisory Council, School Site Council and Migrant Advisory Committee. These groups have been meeting regularly and are representative of the student population. In the July 2004 progress report, the district indicated plans to work with local parents to establish a parent-teacher association. However, no evidence of any follow-through was provided. The district must still develop strategies such as these to encourage two-way communications with diverse groups of parents and community members. 3. Although committees/councils are meeting as noted in #2 above, the extent to which their input contributes to decision-making continues to be unclear based on the docu- mentation review. The state administrator must re-examine the extent to which par- ent/community input is focused on district and/or school priorities and should develop strategies to encourage input that is most meaningful. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 4 July 2005 New Rating 4 Implementation Scale: Community Relations and Governance 9 2.10 Parent/Community Relations Professional Standard Board members are actively involved in building community relations. Progress on Recommendations and Improvement Plan 1. As stated in the January 2004 progress report, at least some individual board members continue to communicate often with parents and members of the community. Howev- er, a majority of board members are not engaged in such efforts to help build positive community relations. While the board has not yet been playing a lead role, the state administrator and district staff continue to collaborate in partnerships with agencies and organizations in the community, as noted in the July 2004 progress report, to support the needs of children and families in the district. 2. There continue to be perceptions that individual board members’ efforts to build com- munity relations are not linked to the district’s goals. Some individual board members have expressed a desire to work with the administration and to be helpful in strength- ening community relations, but a proactive, coordinated strategy still has not been agreed upon by the board and administration. Building positive relations with the entire community should be a high priority for board members. As community lead- ers, board members can be helpful in developing and building relationships with other community leaders and encouraging cooperation. The board and appropriate staff should consider participating in continuing education or conducting a study of effec- tive community collaboratives, as appropriate, to provide meaningful input. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 1 Implementation Scale: 10 Community Relations and Governance 3.8 Community Collaboratives, District Advisory Committees and School Site Councils Legal Standard The school site council develops a Single Plan for Student Achievement at each school applying for categorical programs through the consolidated application. (Education Code 64001) Progress on Recommendations and Improvement Plan 1. The school site councils at both the elementary and middle school were involved in the development of the Single Plan for Student Achievement, and these plans were adopted by the state administrator. 2. As noted in the July 2004 progress report, the district had previously updated its policy on school plans and site councils to reflect the requirements of the Single Plan, and no additional revisions were necessary. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 7 July 2005 New Rating: 7 Implementation Scale: Community Relations and Governance 11 3.9 Community Collaboratives, District Advisory Committees and School Site Councils Legal Standard School plans are comprehensive and have sufficient content to meet the statutory requirements. (Education Code 64001) Progress on Recommendations and Improvement Plan 1. The Single Plans for Student Achievement adopted for the elementary and middle schools contain all the elements required by law. The plans were based on the district’s Local Education Agency Plan (LEAP), which includes a needs assessment, analysis of student achievement data, strategies to support student achievement and school goals for improving student achievement. As recommended in the July 2004 progress report, the district should implement the elementary and middle school’s Single Plan for Student Achievement and use district- and state-level data to continually assess the district’s progress toward meeting the goals set forth in the plan for improving student achievement. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 0 July 2004 Rating: 5 July 2005 New Rating: 5 Implementation Scale: 12 Community Relations and Governance 4.1 Policy Professional Standard Policies are written, organized and readily available to all members of the staff and to the public. Progress on Recommendations and Improvement Plan 1. The state administrator participated in a policy development workshop and adopted new policies for the district. The district must still develop procedures and assign staff that will be accountable for maintaining the manual. 2. The district’s policy manuals are now coded and indexed as a result of the policy de- velopment work and adoption of new policy. 3. Communications to staff, parents and other interested persons regarding policy chang- es is still an area of concern for the district. While the policies are available to district office staff through a shared computer server, there is no formalized plan or any train- ing developed to communicate any critical policy changes. Standard Implemented: Partially July 2003 Rating: 4 January 2004 Rating: 4 July 2004 Rating: 4 July 2005 New Rating: 5 Implementation Scale: Community Relations and Governance 13 4.3 Policy Professional Standard The board has adopted all policies mandated by state and federal law. Progress on Recommendations and Improvement Plan 1. The district’s policy manual is now in compliance with regard to including policies mandated by state and/or federal law. 2. The district continues to subscribe to the California School Boards Association’s pol- icy services and thus has access to an updated list of mandated policies. The district should develop a plan to ensure that policies are updated regularly. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 New Rating: 6 Implementation Scale: 14 Community Relations and Governance 4.6 Policy Professional Standard The board supports and follows its own policies once they are adopted. Progress on Recommendations and Improvement Plan 1. While the district’s policy manual has now been updated, policy does not serve as a guiding force in the district. The state administrator should inform and involve the board as appropriate in order to generate support and “buy-in” and to begin building a sustainable, policy-driven culture within the district. The other recommendations with regard to policy described in this report should also be followed as the district moves forward with this work. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 New Rating: 3 Implementation Scale: Community Relations and Governance 15 5.2 Board Roles/Boardsmanship Professional Standard Board members participate in orientation sessions, workshops, conventions and special meetings sponsored by board associations. Progress on Recommendations and Improvement Plan 1. In the past year, some individual board members have attended statewide trainings or conferences on governance topics. One member of the board is also enrolled in the Masters in Governance program. While this individual participation in training rep- resents progress, there appears to be no coordination among board members and the state administrator for identifying the board’s and district’s greatest areas of need. As noted in the July 2004 progress report, board members do not appear to have formal opportunities to report about the information they receive at the trainings they attend. The board and state administrator still need to develop a comprehensive continuing education agenda for the coming year that includes opportunities for all members to obtain essential training and to share the information with each other. Reiterating the findings of the July 2003 comprehensive report, continuing educa- tion for the board should also include periodic workshops or information on critical education topics provided by the district. Furthermore, the district should provide for or contract with an outside firm to conduct a comprehensive governance training program aimed at helping the board to better understand its current advisory role, and building capacity and skills to assist in the smooth functioning of the district when authority is restored. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 3 July 2004 Rating: 4 July 2005 New Rating: 4 Implementation Scale: 16 Community Relations and Governance 5.3 Board Roles/Boardsmanship Professional Standard Pertinent literature, statutes, legal counsel and recognized authorities are available to and utilized by the board to understand duties, functions, authority and responsibilities of board members. Progress on Recommendations and Improvement Plan 1. While some individual members have attended training (see Standard 5.2), the dis- trict has not contracted for or provided board members with a specialized continuing education program to increase their understanding of school governance, including training specifically related to the role of an advisory board, as recommended in the July 2003 comprehensive report. The FCMAT Assessment and Improvement Plan includes a series of essential stan- dards related to boardsmanship that describe the duties, functions and scope of au- thority of board members. The state administrator must actively engage the board in addressing these standards, thereby enabling the board to demonstrate improvement over time. 2. The district is a member of the state school boards association, which makes pertinent literature about governance and education issues available to board members. The extent to which this literature and other types of helpful information is shared by the district with board members is unclear, as is the extent to which individual members avail themselves of this information when it is available. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 1 Implementation Scale: Community Relations and Governance 17 5.4 Board Roles/Boardsmanship Professional Standard The board has identified the needs of the students, staff and educational community through a needs assessment process. Progress on Recommendations and Improvement Plan 1. The district conducted a needs assessment as part of its 2004 Local Education Agency Plan (LEAP) as required by the federal No Child Left Behind Act. A “leadership team” consisting of administrators, teachers, parents and school staff led the develop- ment of this work. 2. The process of developing site plans includes using a needs assessment to develop strategies for student achievement. The results of the initial July 2003 comprehensive report and subsequent progress reports should also be used to identify and implement program and operational improvements. There is still no indication that results of these needs assessments have been discussed with the board. The state administrator should ensure that needs assessment results are reviewed by the board, administration and staff. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: Not Reviewed July 2004 Rating: 2 July 2005 New Rating: 2 Implementation Scale: 18 Community Relations and Governance 5.5 Board Roles/Boardsmanship Professional Standard The board has established a district-wide vision/mission and uses that vision/mission as a frame- work for district action. Progress on Recommendations and Improvement Plan 1. The state administrator has adopted vision and mission statements that are posted in the district office. However, there is no evidence that these statements are used as a framework for district action, nor has the board been engaged in addressing this stan- dard. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: Not Reviewed July 2004 Rating: 3 July 2005 New Rating: 3 Implementation Scale: Community Relations and Governance 19 5.9 Board Roles/Boardsmanship Professional Standard Functional working relations are maintained between the board and administrative team. Progress on Recommendations and Improvement Plan 1. The state administrator has scheduled meetings approximately monthly with the advisory board. However, attendance by all members has not been regular. All board members should make every attempt to regularly attend board meetings. Between meetings, the state administrator is generally regarded as accessible to indi- vidual board members. Some members meet or talk with him regularly, although some individual board members perceive that the board’s input is not seriously considered by the state administrator. Similarly, the state administrator perceives that not all members of the board share the same commitment to functioning in a constructive and collaborative manner. Board members appear to understand and generally respect the processes and chan- nels of communication established by the state administrator. Board members also generally relate complaints or concerns directly to the state administrator. Individual members express frustration at not receiving more pertinent information about district operations and student performance from the state administrator. As recommended in the July 2003 comprehensive report and again in the July 2004 progress report, all board members should continue to demonstrate respect and professionalism in all of their interactions with the state administrator and staff. 2. The state administrator reviewed district policies, but the board has not engaged in discussions regarding board and administrator roles and responsibilities. This discus- sion should be initiated, as noted in the July 2004 progress report. 3. Board members have not participated in training regarding the board’s role in the areas of human resources and personnel. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 0 July 2004 Rating: 1 July 2005 New Rating: 2 Implementation Scale: 20 Community Relations and Governance 5.10 Board Roles/Boardsmanship Professional Standard The board publicly demonstrates respect for and support for district and school site staff. Progress on Recommendations and Improvement Plan 1. District and school staff have not typically been participating in advisory board meet- ings. Therefore, formal contact between staff and members of the board has continued to be limited or has not occurred. No specific concerns were reported related to this standard during the past year. Each of the recommendations offered in the July 2003 comprehensive report should continue to be pursued. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 2 July 2005 New Rating: 2 Implementation Scale: Community Relations and Governance 21 5.11 Board Roles/Boardsmanship Professional Standard The board demonstrates respect for public input at meetings and public hearings. Progress on Recommendations and Improvement Plan 1. Members of the public generally have not been in attendance at advisory board meet- ings. Therefore, progress on this standard continues to be difficult to determine. The administration should still ensure that all meetings are properly noticed, publicized, and agendas posted in advance. Meeting agendas still do not contain a specific item for public testimony, as recommended in the January 2004 progress report and again in the July 2004 progress report (see Standard 6.8). The state administrator should make this a standard practice. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 1 Implementation Scale: 22 Community Relations and Governance 5.14 Board Roles/Boardsmanship Professional Standard No individual board member attempts to exercise any administrative responsibility. Progress on Recommendations and Improvement Plan 1. The state administrator continues to indicate that members of the board, in their ad- visory capacity, have not attempted to exercise administrative responsibilities. Board members have previously indicated an improved understanding about the appropriate roles of the board and administrative staff, but no additional evidence has been pro- vided since the July 2004 progress report. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 2 July 2005 New Rating: 3 Implementation Scale: Community Relations and Governance 23 5.16 Board Roles/Boardsmanship Professional Standard The board acts for the community and in the interests of all students in the district. Progress on Recommendations and Improvement Plan 1. While there is some indication that board members communicate with parents and members of the community, there is no specific evidence to substantiate that the de- sire to play a more active role in engaging all parts of the community has resulted in particular activities. As noted in the July 2004 progress report, the state administrator should make efforts to engage the board, as part of regular advisory board meetings, in discussions concerning parent/community outreach efforts. The district should follow the recommendation contained in the July 2004 progress report and prepare summaries of board meeting discussions that might provide addi- tional information about the extent to which this standard is being addressed. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 1 Implementation Scale: 24 Community Relations and Governance 6.2 Board Meetings Legal Standard The board agenda is made available to the public in the manner and under the time lines prescribed by law. (Government Code 54954.1, 54954.2, 54956) Progress on Recommendations and Improvement Plan 1. Although the staff indicates that all agendas for advisory board meetings have been made available to the public pursuant to law, the documentation to confirm this as- sertion was incomplete. This topic was one of significant concern to members of the public and staff prior to the state’s takeover of the district, and was raised in the Janu- ary 2004 and July 2004 progress reports. It is imperative that the state administrator model excellent practices. Agendas for meetings of the advisory board should be made available in advance of meetings, and detailed minutes and summaries should be made after meetings are held. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 New Rating: 2 Implementation Scale: Community Relations and Governance 25 6.3 Board Meetings Professional Standard Board members are prepared for board meetings by becoming familiar with the agenda and sup- port materials prior to the meeting. Progress on Recommendations and Improvement Plan 1. It does not appear that any background materials, data or minutes from previous meet- ings are being provided to board members prior to meetings. In fact, it could not be confirmed as to whether copies of meeting agendas are regularly provided in advance of meetings. As recommended in the July 2003 comprehensive report and again in the July 2004 progress report, the district must establish a process for preparing and distributing high-quality agenda packets in advance of every meeting. These packets might in- clude background information, analyses, relevant laws, policies and/or reports, budget implications, staff recommendations and other information as appropriate to each item on the agenda. Implementation of this recommendation is essential to building and sustaining effective operational systems in the district. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 1 Implementation Scale: 26 Community Relations and Governance 6.5 Board Meetings Legal Standard Open and closed sessions are conducted according to the Ralph M. Brown Act. (Government Code 54950 et seq) Progress on Recommendations and Improvement Plan 1. The district indicates that meetings have been properly noticed according to the Brown Act, although this assertion was not confirmed by documentation (see Standard 6.2). Meeting agendas suggest that topics appropriate for closed sessions are not cur- rently being addressed by the advisory board. As noted in the July 2003 comprehen- sive report and July 2004 progress report, all board members should receive training about the requirements of the Brown Act. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 1 Implementation Scale: Community Relations and Governance 27 6.6 Board Meetings Professional Standard Meetings of the board proceed in a businesslike manner while allowing opportunity for full dis- cussion. Progress on Recommendations and Improvement Plan 1. Board bylaws related to meeting conduct have not yet been updated to ensure compli- ance with the law. The state administrator and board should review and update by- laws on meeting conduct. 2. Perspectives from the administration indicate that recent advisory board meetings are generally characterized by a businesslike manner. Advisory board meetings are conducted by the state administrator, who is generally perceived as accessible and willing to listen. Some individual board members, how- ever, still perceive that the advisory board meetings do not allow meaningful oppor- tunities for the board to discuss or engage in district matters. The state administrator indicates the continuing challenge of engaging the board when meetings are not con- sistently attended by all board members. Minutes or summaries of advisory meetings that might further demonstrate the course and general content of discussions at meet- ings were not produced by the district. As recommended in the July 2004 progress report, the district should consider con- tinuing education or an in-service training tailored to the specific needs and circum- stances of this district and board, including a focus on boardsmanship principles and meeting operations. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: Not Reviewed July 2004 Rating: 2 July 2005 New Rating: 2 Implementation Scale: 28 Community Relations and Governance 6.8 Board Meetings Legal Standard Members of the public have an opportunity to address the board before or during the board’s consideration of each item of business to be discussed at regular or special meetings, and to bring before the board matters that are not on the agenda. (Education Code 35145.5) Progress on Recommendations and Improvement Plan 1. Recent meetings of the advisory board still fail to include an agendized opportunity for public input, and there has been limited to no attendance by members of the public at these meetings. No progress has been demonstrated with regard to formally includ- ing public input opportunities at meetings. Once this step has been taken, the other recommendations noted in the July 2003 comprehensive report remain to be imple- mented. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 1 Implementation Scale: Community Relations and Governance 29 6.9 Board Meetings Professional Standard Board meetings focus on matters related to student achievement. Progress on Recommendations and Improvement Plan 1. Agendas for advisory board meetings appear to be focused on matters that concern the five areas within the FCMAT Assessment and Improvement Plan: Governance and Community Relations, Pupil Achievement, Personnel Management, Facilities Man- agement, and Fiscal Management. No evidence of a greater focus on student achieve- ment matters was noted in the agenda materials provided by the district. The district should prepare and make available minutes and summaries of each board meeting to reflect the general nature of discussions and decisions, and to facilitate follow-up on requested data and information pertinent to student achievement. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 1 Implementation Scale: 30 Community Relations and Governance Community Relations and Governance July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review The district has developed a compre- hensive plan for internal and external 1.1 1 NR 1 1 ❑ communications, including media rela- tions. Information is communicated to the 1.2 staff at all levels in an effective and 3 4 5 5 ❑ timely manner. Staff input into school and district opera- 1.3 2 2 tions is encouraged. The district effectively implements 1.4 strategies for communicating with par- 5 NR 5 5 ❑ ents, the community and the media. Media contacts and spokespersons who 1.5 have the authority to speak on behalf of 5 5 the district have been identified. Individuals not authorized to speak on behalf of the district refrain from public 1.6 NA comments on board decisions and district programs Board spokespersons are skilled at pub- lic speaking and communication and are 1.7 NA knowledgeable about district programs and issues. Annual parental notice of rights and responsibilities is provided at the be- ginning of the school year. This notice 2.1 is provided in English and in languages 1 7 7 5 ❑ other than English when 15 percent or more speak other languages (EC 48980, 48985). A school accountability report card is 2.2 issued annually for each school site (EC 0 2 4 5 ❑ 35256). The district has developed and annually 2.3 disseminates uniform complaint proce- 0 7 7 8 ❑ dures (Title 5, Section 4621, 4622) Procedures are in place for addressing par- ents’ and community members’ complaints 2.4 2 against employees in a fair and timely manner. NR not reviewed The identified subset of standards appears in bold print. 31 NA not applicable Community Relations and Governance ❑ targeted for review Community Relations and Governance July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review Board members refer informal public con- 2.5 cerns to the appropriate staff members for NA attention and response. Parents and community members are en- 2.6 couraged to be involved in school activi- 5 ties and in their children’s education. Parent and public input into school and 2.7 2 3 4 4 ❑ district operations is encouraged. Volunteers receive appropriate training 2.8 and play a meaninigful role that contrib- 0 utes to the educational program. The district has established procedures for visitor registration and posts registration 2.9 1 requirements at each school entrance. (Pe- nal Code 627.2, 627.6) Board members are actively involved in 2.10 1 1 1 1 ❑ building community relations. The board and Superintendent support partnerships and collaborations with com- 3.1 4 4 munity groups, local agencies and busi- nesses. The board and the Superintendent estab- lish broad-based committees or councils 3.2 4 to advise the district on critical district issues and operations and appropriate. Community collaboratives and district and school advisory councils all have identi- 3.3 3 fied specific outcomes goals that are undertood by all members. The membership of community collaboratives and district and school 3.4 advisory councils reflects the full cultural, 5 ethnic, gender and socioeconomic diver- sity of the student population. The district encourages and provides the necessary training for collaborative and advisory council members to understand 3.5 5 the basic administrative structure, pro- gram processes and goals of all district partners. The identified subset of standards appears in bold print. NR not reviewed 32 Community Relations and Governance NA not applicable ❑ targeted for review Community Relations and Governance July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review Collaborative and advisory council pro- cesses are structured in such a way that there is a clear, meaningful role for all 3.6 4 participants, with appropriate input from parents, members of the community and agency policy makers. Community collaboratives and district and school advisory councils led by the 3.7 district effectively fulfill their responsibili- 2 ties (e.g., researching issues, developing recommendations). The school site council develops a Single Plan for Student Achievement 3.8 at each school applying for categorical 2 3 7 7 ❑ programs through the consolidated ap- plication (EC 64001). School plans are comprehensive and 3.9 have sufficient content to meet the 0 0 5 5 ❑ statutory requirements (EC 64001). The school site council annually reviews the school plan and the board annually 3.10 0 approves or disapproves all site councils’ plans (EC 64001). School plans are a vital part of school 3.11 0 operations and school accountability. Policies are written, organized and 4.1 readily available to all members of the 4 4 4 5 ❑ staff and to the public. Policies and administrative regulations 4.2 are up to date and reflect current law and 2 local needs. The board has adopted all policies man- 4.3 2 2 2 6 ❑ dated by state and federal law. The board annually reviews its policies on intradistrict open enrollment and 4.4 0 extracurricular/cocurricular activities (EC 35160.5). The district has established a system of 4.5 securing staff and citizen input in policy 1 development and review. NR not reviewed The identified subset of standards appears in bold print. 33 NA not applicable Community Relations and Governance ❑ targeted for review Community Relations and Governance July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review The board supports and follows district 4.6 2 2 2 3 ❑ policies. Each board member meets the eligibility 5.1 requirements of being a board member (EC NA 35107). Board members participate in orienta- tion sessions, workshops, conventions 5.2 3 3 4 4 ❑ and special meetings sponsored by board associations. Pertinent literature, statutes, legal counsel and recognized authorities are 5.3 available to and utilized by the board to 1 1 1 1 ❑ understand duties, functions, authority and responsibilities of members. The board has identified the needs of the students, staff and educational 5.4 1 NR 2 2 ❑ community through a needs assessment process. The board has established a districtwide vision/mission and uses that vision/ 5.5 0 NR 3 3 ❑ mission as a framework for district ac- tion. The board makes decisions based on the 5.6 study of all available data, including the 0 recommendations of the Superintendent. Functional working relations are main- 5.7 0 tained among board members. Individual board members respect the 5.8 decisions of the board majority and do not NA undermine the board’s actions in public. Functional working relations are main- 5.9 tained between the board and adminis- 0 0 1 2 ❑ trative team. The board publicly demonstrates re- 5.10 spect for and support for district and 1 1 2 2 ❑ school site staff. The board demonstrates respect for 5.11 public input at meetings and public 1 1 1 1 ❑ hearings. The identified subset of standards appears in bold print. NR not reviewed 34 Community Relations and Governance NA not applicable ❑ targeted for review Community Relations and Governance July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review Board members respect confidentiality of 5.12 NA information by the administration. The board does not involve itself in opera- 5.13 tional issues that are the responsibility of 0 the Superintendent and staff. No individual board member attempts 5.14 to exercise any administrative respon- 1 1 2 3 ❑ sibility. The board evaluates the performance of 5.15 the Superintendent regularly on criteria 0 that will encourage student achievement. Members of the board act for the 5.16 community and in the interests of all 1 1 1 1 ❑ students in the district. The board receives and reviews reports 5.17 from the Superintendent regarding district 4 performance. An adopted calendar of regular meetings exists and is published specifying the 6.1 1 time, place and date of each meeting (EC 35140). The board agenda is made available to the public in the manner and under the 6.2 1 2 2 2 ❑ time lines prescribed by law (Govern- ment Code 54954.1, 54954.2, 54956). Board members are prepared for board meetings by becoming familiar with the 6.3 1 1 1 1 ❑ agenda and support materials prior to the meeting. Board meetings are conducted according 6.4 1 1 to a set of bylaws adopted by the board. Open and closed sessions are conducted 6.5 according to the Ralph M. Brown Act 1 1 1 1 ❑ (GC 54950 et seq.). Meetings of the board proceed in a 6.6 businesslike manner while allowing op- 1 NR 2 2 ❑ portunity for full discussion. NR not reviewed The identified subset of standards appears in bold print. 35 NA not applicable Community Relations and Governance ❑ targeted for review Community Relations and Governance July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review The board has adopted bylaws for the placement of items on the board agenda 6.7 6 by members of the public (Education Code 35145.5). Members of the public have an oppor- tunity to address the board before or during the board’s consideration of each 6.8 item of business to be discussed at 1 1 1 1 ❑ regular or special meetings and to bring before the board matters that are not on the agenda (EC 35145.5). Board meetings focus on matters re- 6.9 1 1 1 1 ❑ lated to student achievement. The identified subset of standards appears in bold print. NR not reviewed 36 Community Relations and Governance NA not applicable ❑ targeted for review Personnel Management Prior to July 2004, the Personnel Office activities of the district were shared by the State Admin- istrator and his Administrative Assistant. In the last year, the district reorganized some respon- sibilities of available staff and established a Human Resources Assistant position that is shared between the Business and Personnel offices and reports to the State Administrator. Many accomplishments can be reported since the addition of the HR Assistant position to the Personnel Office. They include: • Updating and implementing policies and procedures. • Utilizing the SACS system. • Completing extensive salary comparison research. • Correcting the classified salary schedule and correctly placing classified personnel on the new salary schedule. • Making job descriptions for all employees ADA compliant. • Reviewing personnel files for proper credential and transcript documentation and veri- fying the number of units on file to justify step and range of pay. • Auditing all files for TB expiration dates and entering this data into the SACS system. Notifying all employees of their TB expiration dates. • Setting up a schedule for all employee evaluation dates and notifying department managers of evaluations to be completed. • Implementing a standardized hiring process. The study team still has concerns that a formal document reference checking system is lacking; evaluation and due process training is needed, particularly for classified managers/supervisors; and credential training for the two Personnel Office staff members is needed. Operations The district has worked with the California School Boards Association (CSBA) to establish and maintain all pertinent policies and regulations covering personnel activities. The district has ad- opted a detailed board policy on nondiscrimination in employment and has established a system to distribute the policy to all employees. The Personnel Office is working on an office procedures manual and desk manuals. The district has revised its certificated application form adding a candidate’s e-mail address. The new application form now informs the candidate that completion of the ethnicity/sex/birth date information is optional. The district still lacks any written procedures on the method for complet- ing reference checks for certificated employees. No reference checking form is available for use to document completion of the task. A new classified employee evaluation instrument is being implemented for the first time since 2001. The Personnel Office has developed standard operating procedures to cover both the va- cancy process and the interview and selection process for classified employees. The district still has no classified reference checking form or written procedures to provide supervisors and site administrators with guidelines on how to conduct reference checks. Procedures for this task need to be documented. Personnel Management 1 The district has developed a new classified salary schedule and classification listing. All pertinent information has been entered into the Standardized Accounting Code System (SACS) that now allows the district to make immediate wage and salary determinations. The district provides lockable fireproof file cabinets for its personnel files. The Personnel Office continues to maintain well-organized personnel files and is beginning to put much of the infor- mation from the files into the district database. Job descriptions have been developed for all job classifications, and the district has established a process to evaluate the necessary physical characteristics for each position to comply with the Americans with Disabilities Act (ADA). All job descriptions have been evaluated and now state the physical characteristics for each position. Training The district has made progress in developing materials on nondiscrimination, child abuse report- ing, blood-borne pathogens and sexual harassment, and providing the materials to new employ- ees. There is still work to be done on providing training to employees in some of these areas. Site principals indicated they received evaluation and due process training in the Assembly Bill 75 leadership program in which they are participating. Emphasis needs to be given to training classified managers/supervisors in employee evaluation and due process. Technology The district has completed entering all pertinent information on employees into the SACS sys- tem, and the district is effectively using the database to run numerous reports. The SACS system used by the district now contains all pertinent data to allow the district to maintain a position control system; however, a specific position control software program is still being developed by the Fresno County Office of Education. Both the Business Office and the Personnel Office actively collect salary and benefit information from numerous school districts and use the data to evaluate the district’s salary comparability. The Business Office has effectively developed a process to use its Standardized Accounting Code System (SACS) to evaluate current salary and benefit costs and to project cost information that can be used in collective bargaining. 2 Personnel Management 1.1 Organization and Planning Professional Standard The district has clearly defined and clarified policies and procedures relative to recruitment, hiring, evaluation and dismissal of employees. Progress on Recommendations and Improvement Plan 1. The district has worked with the California School Boards Association (CSBA) to update its board policies and administrative regulations. These policies and regula- tions have been placed on a shared network, accessible to all district employees. The district is also in the process of finalizing a district Web page that will also contain the policies and regulations. 2. The process of developing policies, regulations and procedures is not complete. How- ever, several policies and procedures affecting personnel activities have been devel- oped. 3. The district is developing a district office procedures manual that contains standard operating procedures for the Personnel Office. Procedures for filling vacancies for both classified and certificated personnel have been completed. Procedures for inter- views and selection are being developed. 4. A Personnel Office desk manual has not yet been developed. The desk manual should be drafted and used to cross train an employee in the Personnel Office. 5. The district has established a standardized salary schedule for all classified employees. 6. The district has established a system of matching individual employee salaries with the salary schedule. Forms and procedures are being used to maintain the system. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 3 July 2005 Self-Rating: 5 July 2005 New Rating: 5 Implementation Scale: Personnel Management 3 3.1 Certificated Recruitment and Selection Professional Standard Certificated employment procedures and practices are conducted in a manner that ensures equal employment opportunities. Written hiring procedures are provided. Progress on Recommendations and Improvement Plan 1. The Personnel Office presented the assessment team with board policies 4111, 4211, and 4311 on the recruitment and selection of personnel for the district. A section in one of the policies covers recruitment incentives for teachers. These policies were adopted on June 2, 2004. 2. The Personnel Office has developed Human Resources Standard Operating Procedure #1025 regarding the filling of certificated positions. The procedure was approved by the State Administrator on February 1, 2005. 3. The Personnel Office has developed Standard Operating Procedure #1050 that cov- ers the interview and selection process for qualified applicants. This process includes paper screening, panel interview procedures, and procedures to be followed once the final candidate has been selected. This document was approved by the State Adminis- trator on April 1, 2005. Standard Implemented: Partially July 2003 Rating: 5 January 2004 Rating: 6 July 2004 Rating: 6 July 2005 Self-Rating: 7 July 2005 New Rating: 6 Implementation Scale: 4 Personnel Management 3.2 Certificated Recruitment and Selection Professional Standard The job application form requests information that is legal, useful, pertinent, and easily understood. Progress on Recommendations and Improvement Plan 1. The revised Certificated Application for Teaching Position form now includes space for a candidate’s e-mail address. 2. The revised certificated application now includes a place for the candidate to explain any felony conviction that would appear on the applicant’s record. This statement would more appropriately follow the question on the application regarding whether the applicant has ever been dismissed or asked to resign from a teaching position. 3. The district has revised its certificated application to stipulate that the completion of the ethnicity/sex/birth date information requested is optional. Standard Implemented: Partially July 2003 Rating: 5 January 2004 Rating: Not Reviewed July 2004 Rating: 6 July 2005 Self-Rating: 6 July 2005 New Rating: 6 Implementation Scale: Personnel Management 5 3.4 Certificated Recruitment and Selection Professional Standard The district systematically initiates and follows up on reference checking on all certificated applicants being considered for employment. An appropriate reference checking form is completed and filed in the district office. Progress on Recommendations and Improvement Plan 1. The district continues to lack any written procedures for checking the references of certificated applicants being considered for employment. The State Administrator is responsible for doing certificated reference checks. Because no written reference checking form is available in the Personnel Office, docu- mentation of employee reference checks is lacking. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: Not Reviewed July 2004 Rating: 2 July 2005 Self-Rating: 2 July 2005 New Rating: 2 Implementation Scale: 6 Personnel Management 4.1 Classified Recruitment and Selection Professional Standard Classified employment procedures and practices are conducted in a manner that ensures equal employment opportunities. Written hiring procedures are provided. Progress on Recommendations and Improvement Plan 1. The Personnel Office presented the study team with board policies 4111, 4211, and 4311 on the recruitment and selection of personnel for the district. Policy now in- cludes the statement, “No inquiry shall be made with regard to any category of dis- crimination prohibited by state or federal law.” These policies were adopted on June 2, 2004. 2. The Personnel Office has developed Human Resources Standard Operating Procedure #1025 that covers the process for filling classified vacancies. This document was ap- proved by the State Administrator on February 1, 2005. 3. Personnel Office Standard Operating Procedure #1050 establishes the interview and selection process the district will follow. Paper screening and panel interview pro- cedures are set forth. Procedures to be followed once a candidate is selected are also covered. This document was approved by the State Administrator on April 1, 2005. 4. There is now a statement on the application form that the district is an “Equal Em- ployment Opportunity Employer.” Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: Not Reviewed July 2004 Rating: 3 July 2005 Self-Rating: 7 July 2005 New Rating: 5 Implementation Scale: Personnel Management 7 4.3 Classified Recruitment and Selection Professional Standard The district systematically initiates and follows up on reference checking on all classified applicants being considered for employment. An appropriate reference checking form is completed and filed in the district office. Progress on Recommendations and Improvement Plan 1. The district continues to lack any written procedures for the reference checking of classified applicants being considered for employment. The recommending manager of a potential new hire does the reference checking. 2. The district has no standard form for managers to use in reference checking. No documentation of completed reference checking is submitted or kept by the Personnel Office on new hires. 3. The district needs to develop both written procedures and a reference checking form for classified employee new hires. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: Not Reviewed July 2004 Rating: 1 July 2005 Self-Rating: 2 July 2005 New Rating: 2 Implementation Scale: 8 Personnel Management 6.1 Operational Procedures Professional Standard Personnel files are completed, well organized and up to date. Progress on Recommendations and Improvement Plan 1. The Personnel Office has continued its efforts to maintain well-organized personnel files in lockable, fireproof file cabinets. 2. The Personnel Office has continued to work on removing all medical information from an employee’s primary personnel file and placing it in a separate folder. 3. The district is working on placing additional information from the personnel files on the district database, such as transcripts of course credits. Standard Implemented: Partially July 2003 Rating: 6 January 2004 Rating: 6 July 2004 Rating: 7 July 2005 Self-Rating: 7 July 2005 New Rating: 7 Implementation Scale: Personnel Management 9 6.4 Operational Procedures Professional Standard The Personnel Office 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 Recommendations and Improvement Plan 1. The Business and Personnel offices have worked to create job descriptions for all positions in the district. 2. The job description format includes: a. Position Title b. Reports To c. Department d. Classification e. Salary f. Work Year g. Definition h. Representative Duties i. Employment Standards j. Physical Characteristics k. Personal Characteristics l. Working Conditions m. Supervision 3. The district's job descriptions contain detailed information under the heading of “Physical Characteristics” that is designed to comply with the Americans with Dis- abilities Act (ADA). 4. The job descriptions have places for the signatures and dates of the employee and a witness. Signed job descriptions will be placed in employee personnel files. 5. The job descriptions contain dates when they were developed. There are plans to in- clude their date of adoption by the Governing Board when that becomes appropriate. Standard Implemented: Partially July 2003 Rating: 4 January 2004 Rating: 4 July 2004 Rating: 4 July 2005 Self-Rating: 7 July 2005 New Rating: 6 10 Personnel Management Implementation Scale: Personnel Management 11 6.7 Operational Procedures Professional Standard Wage and salary determination and ongoing implementation are handled without delays and conflicts (substitute, temporary employees, stipends, shift differential, etc.). Progress on Recommendations and Improvement Plan 1. Updated job descriptions have been developed for all positions in the district and are placed in the Standardized Accounting Code System (SACS) as well as at each depart- ment/site. 2. All salary schedules have been updated and published. They have been input into the SACS system. 3. Salary schedules have been matched to all district employees’ classifications and ap- propriate salary steps. A copy of such information signed by the employee is placed in each employee’s personnel file. 4. The classified salary schedule was restructured by the Business Office to make steps and columns uniform. 5. During the process of placing employees on the new salary schedule, no employee took a cut in pay and some employees received an upward adjustment in salary. In some cases, employees were “grandfathered” at their former rate until their positions become vacant. Standard Implemented: Partially July 2003 Rating: 4 January 2004 Rating: 6 July 2004 Rating: 7 July 2005 Self-Rating: 8 July 2005 New Rating: 7 Implementation Scale: 12 Personnel Management 7.4 State and Federal Compliance Professional Standard A clear, implemented policy exists on the prohibition of discrimination. Progress on Recommendations and Improvement Plan 1. The district has worked with the California School Boards Association (CSBA) to up- date and maintain all board policies and administrative regulations. Board Policy 4030 has been established to cover nondiscrimination in employment and was adopted June 2, 2004. 2. The district has developed a detailed nondiscrimination statement that is included on the certificated application for employment. The statement should be added to the classified application for employment, as well as other district documents such as postings and vacancy announcements. 3. The district has current state and federal employment-related laws posted at the dis- trict office entryway and at the school sites. 4. The district distributes its nondiscrimination in employment policy to all new employ- ees and has it posted on its internal computer system. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 Self-Rating: 7 July 2005 New Rating: 5 Implementation Scale: Personnel Management 13 7.5 State and Federal Compliance Professional Standard The district has established policies, procedures and practices to ensure that all certificated employees hold valid certification to teach each position in the district. Progress on Recommendations and Improvement Plan 1. The district now employs a Human Resources Assistant; however, she has not been trained in credentialing. She is scheduled to attend training at the Fresno County Of- fice of Education (FCOE) in the spring of 2005. 2. The Administrative Assistant/Human Resources Technician will receive training in credentialing at the FCOE in the spring of 2005. The district should also send staff to workshops put on by the California Commission on Teacher Credentialing (CCTC). 3. The district has worked with the FCOE to integrate credential information into the Standardized Accounting Code System (SACS). The district can now send notifica- tions to teachers whose credentials are expiring. Teachers can then go to the FCOE to update their records, and the changes will be reflected in the SACS system. 4. The district has reduced the number of teachers with emergency permits from five to four and has no teachers on waiver. 5. At the time of the study team’s fieldwork the FCOE planned to visit the district on April 29, 2005 to perform a four-year credential audit. Standard Implemented: Partially July 2003 Rating: 5 January 2004 Rating: 6 July 2004 Rating: 6 July 2005 Self-Rating: 6 July 2005 New Rating: 6 Implementation Scale: 14 Personnel Management 7.6 State and Federal Compliance Professional Standard The district has established a process by which all required notices and in-service training have been performed and documented, such as those for child abuse reporting, blood-borne pathogens, sexual harassment and nondiscrimination. Progress on Recommendations and Improvement Plan 1. The district has developed Board Policy 4030, “Nondiscrimination in Employment,” that is included in an informational packet given to every new employee. 2. The packet for new employees includes, among other items, the following documents: a. Child Abuse Reporting Procedures b. Drug-Free Workplace Policy c. Nondiscrimination in Employment Policy d. Health Examination Policy e. Sexual Harassment Policy and Procedures f. Exposure Control Plan for Blood-borne Pathogens Policy and Regulations This information will also be made available to employees online. 3. The district provides an “Annual Employee Notification” to all employees regarding the required notices listed above. 4. There has been no progress in establishing a system to deliver legally mandated topics to the staff in training sessions. Initial plans are to begin such training on in-service days before school begins in fall 2005. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 Self-Rating: 4 July 2005 New Rating: 3 Implementation Scale: Personnel Management 15 7.10 State and Federal Compliance Professional Standard The district is in compliance with the Americans with Disabilities Act (ADA) in application procedures, hiring, advancement or discharge, compensation, job training and other terms, conditions, and privileges of employment. Progress on Recommendations and Improvement Plan 1. There has been no progress in revising district employment applications to align with the Americans with Disabilities Act (ADA). 2. The district has completed updating the job descriptions and has included a “Physical Characteristics” section that is designed to meet ADA requirements. 3. The district has worked with the California School Boards Association (CSBA) to review and revise board policies and administrative regulations. The district's Admin- istrative Regulation 4032, “Reasonable Accommodation for Employees at the Work Site,” is designed to address ADA requirements. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 2 July 2004 Rating: 3 July 2005 Self-Rating: 6 July 2005 New Rating: 5 Implementation Scale: 16 Personnel Management 8.1 Use of Technology Professional Standard A systematic position control system is utilized and integrated with payroll/financial systems. Progress on Recommendations and Improvement Plan 1. The district has developed written procedures (HR #2090) regarding the use of the Re- quest for Classified and Certificated Personnel form. The form is available to district employees online. 2. The procedures provide specific steps to be taken to ensure that the Business Office verifies funding for each position prior to its approval. 3. The Business Office has entered all pertinent job-related information into the Stan- dardized Accounting Code System (SACS) that ties salaries to specific positions. The district runs various reports that verify budgeted positions. 4. The district is waiting for the Fresno County Office of Education to complete a spe- cific position control program for the SACS system. The district is prepared to imple- ment the program immediately. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 4 July 2004 Rating: 5 July 2005 Self-Rating: 7 July 2005 New Rating: 5 Implementation Scale: Personnel Management 17 8.5 Use of Technology Professional Standard The Personnel Office has computerized its employee database system including, but not limited to: credentials, seniority lists, evaluations, personnel by funding source, program, location and workers’ compensation benefits. Progress on Recommendations and Improvement Plan 1. The district has continued to correct job titles, work locations and other employee data in the Standardized Accounting Code System (SACS). The system is now working ef- fectively for the district, and numerous reports are routinely run to utilize the informa- tion. 2. The SACS system now has all credential information as part of the database. An Excel database has been retained for running certain credentials and assignments reports for administrators. Standard Implemented: Partially July 2003 Rating: 4 January 2004 Rating: 4 July 2004 Rating: 5 July 2005 Self-Rating: 7 July 2005 New Rating: 6 Implementation Scale: 18 Personnel Management 9.1 Staff Training Professional Standard The Personnel Office participates in the training of all management and supervisory staff responsible for employee evaluations and due process. Progress on Recommendations and Improvement Plan 1. Both school principals stated that during the 2003-04 and 2004-05 school years they were enrolled in the AB 75 leadership training program. They indicated that evalua- tion and due process are significant components of the program. 2. Classified managers have not received any district-directed training on employee evaluation and due process. When issues arise where assistance is needed with an employee concern, managers call upon the State Administrator for guidance. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 5 July 2004 Rating: 5 July 2005 Self-Rating: 5 July 2005 New Rating: 5 Implementation Scale: Personnel Management 19 10.1 Evaluation/Due Process Assistance Professional Standard Clear policies and practices exist for the written evaluation and assessment of certificated employees. Progress on Recommendations and Improvement Plan 1. The district has developed Board Policy 4115, Evaluation/Supervision of Certificated Personnel, and Administrative Regulation 4115, Certificated Personnel Evaluation and Supervision. Both were adopted on June 2, 2004. 2. The district has also developed Standard Operating Procedure #2071 on the certifi- cated evaluation process. It incorporates the provisions of Article XII, Evaluation of Professional Personnel, from the collective bargaining agreement . It was approved on April 1, 2005, by the State Administrator. 3. The district evaluates permanent certificated employees every other year. Listings of all employees’ last evaluation completion dates are shared with site administrators. The completion of evaluations is monitored with a check-off list. Standard Implemented: Partially July 2003 Rating: 5 January 2004 Rating: Not Reviewed July 2004 Rating: 5 July 2005 Self-Rating: 7 July 2005 New Rating: 6 Implementation Scale: 20 Personnel Management 10.2 Evaluation/Due Process Assistance Professional Standard Clear policies and practices exist for the written evaluation and assessment of classified employees. Progress on Recommendations and Improvement Plan 1. Since the study team’s last visit, the district has subscribed to the California School Boards Association (CSBA) service for the development and maintenance of district policies and regulations. The district now has board policies 4215 and 4216 on the evaluation and supervision of classified personnel. These policies were adopted June 2, 2004. 2. The Personnel Office has developed Standard Operating Procedure #2070 addressing the evaluation process for classified employees. The document was approved on July 1, 2004, by the State Administrator. 3. The district is now using a new evaluation instrument entitled “Performance Report – Classified.” 4. The district is now using the Fresno County Office of Education database to keep track of classified evaluations. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 3 July 2004 Rating: 3 July 2005 Self-Rating: 7 July 2005 New Rating: 6 Implementation Scale: Personnel Management 21 10.3 Evaluation/Due Process Assistance Professional Standard The Personnel Office provides a process for the monitoring of employee evaluations and the accountability reporting of their completion. Progress on Recommendations and Improvement Plan 1. The district utilizes the Standardized Accounting Code System (SACS) through the Fresno County Office of Education. This system provides employee evaluation infor- mation. Evaluation reports can be downloaded for certificated employees. The reports list the employee by name, social security number, status (permanent or probationary), hire date, last completed evaluation, name of evaluator and due date, as well as the credentials held. 2. Evaluations of classified employees are similarly entered in the SACS program. The employee’s name, social security number, status (permanent, temporary, probationary, on leave, or student), hire date, last evaluation completion date, last evaluator and due date are included. 3. Evaluation status reports are downloaded upon request and sent to supervising site/ program managers as a reminder. The State Administrator is also provided copies of evaluation status reports. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 Self-Rating: 6 July 2005 New Rating: 5 Implementation Scale: 22 Personnel Management 12.1 Employee/Employer Relations Professional Standard The district has collected data that compare the salaries and benefits of its employees with districts of similar size, geographic location and other comparable measures. Progress on Recommendations and Improvement Plan 1. The Business and Personnel offices continue to collect extensive information on clas- sified and certificated salary schedules and benefits information from numerous school districts. The information has been used to create the new salary schedules and to make adjustments. 2. The district and employee organizations have been working together to look at the ris- ing costs of insurance premiums. Adjustments to the current insurance cap are subject to approval by the California Department of Education. 3. The district has completed its study of job classifications and has made necessary adjustments to coincide with changes in the salary schedules. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 1 July 2004 Rating: 3 July 2005 Self-Rating: 7 July 2005 New Rating: 5 Implementation Scale: Personnel Management 23 12.4 Employee/Employer Relations Professional Standard The district has a process that provides management and the Governing Board with information on the impact of bargaining proposals (e.g., fiscal, staffing, management flexibility, student outcomes). Progress on Recommendations and Improvement Plan 1. The Business Office has collected extensive information from other districts regarding salary schedules. Necessary changes have been implemented to correct past problems in this area. 2. The Chief Business Official has actively used salary and benefits information to work with employee organizations to create updated salary schedules and classifications. 3. The Business Office now has systems in place to effectively evaluate the fiscal impact of current salaries and benefits and to project future salary and benefits costs. 4. The data generated by the Business Office was effectively used by the district to evaluate its financial situation. The district provided employees with a one-time bonus in June 2004. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 2 July 2004 Rating: 3 July 2005 Self-Rating: 7 July 2005 New Rating: 4 Implementation Scale: 24 Personnel Management Personnel Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district has clearly defined and clarified policies and procedures 1.1 relative to recruitment, hiring, 2 3 3 5 ❑ evaluation and dismissal of em- ployees. The Personnel Division has estab- lished goals and objectives directly 1.2 1 related to the district’s goals that are reviewed and updated annually. The Personnel Division has a monthly activities calendar and accompanying 1.3 lists of ongoing personnel activities 3 to be reviewed by staff at planning meetings. The Personnel Division utilizes the latest technological equipment for 2.1 9 incoming and outgoing communica- tions. The Personnel Division staff is cross- 2.2 trained to respond to client need 3 without delay. Certificated employment proce- dures and practices are conducted 3.1 in a manner that ensures equal 5 6 6 6 ❑ employment opportunities. Written hiring procedures are provided. The job application form requests 3.2 information that is legal, useful, 5 NR 6 6 ❑ pertinent, and easily understood. The district has developed materials that promote the district and com- 3.3 0 munity, and are attractive, informa- tive and easily available. NR not reviewed The identified subset of standards appears in bold print 25 NA not applicable Personnel Management ❑ targeted for review Personnel Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district systematically initiates and follows up on reference check- ing on all certificated applicants 3.4 being considered for employment. 1 NR 2 2 ❑ An appropriate reference checking form is completed and filed in the district office. Classified employment procedures and practices are conducted in a 4.1 manner that ensures equal employ- 3 NR 3 5 ❑ ment opportunities. Written hiring procedures are provided. The job applicant form requests 4.2 information that is legal, useful, 6 pertinent, and easily understood. The district systematically initiates and follows up on reference check- ing on all classified applicants 4.3 being considered for employment. 1 NR 1 2 ❑ An appropriate reference checking form is completed and filed in the district office. Appropriateness of required tests for 4.4 1 a specific position is evident. The district has implemented proce- dures to comply with the recent state 4.5 0 legislation governing short-term employees (EC 45103). Initial orientation is provided for all 5.1 4 new staff. The Personnel Office has developed an employment checklist to be used for all new employees that includes 5.2 district forms and state and federal 10 10 mandated information. The checklist is signed by the employee and kept on file. Personnel files are complete, well- 6.1 6 6 7 7 ❑ organized and up to date. The identified subset of standards appears in bold print NR not reviewed 26 Personnel Management NA not applicable ❑ targeted for review Personnel Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Personnel Office nonmanagement staff members have individual desk 6.2 manuals for all of the personnel 0 functions for which they are held responsible. The Personnel Office has an opera- tion procedures manual for inter- 6.3 nal office use in order to establish 2 consistent application of personnel actions. The Personnel Office has a process in place to systematically review and update job descriptions. These 6.4 job descriptions shall be in com- 4 4 4 6 ❑ pliance with the Americans with Disabilities Act (ADA) require- ments. The Personnel Office provides an 6.5 office environment with appropriate 6 furniture, equipment, and materials. The Personnel Office has procedures in place that allow for both person- nel and payroll staff to meet regu- 6.6 larly to solve problems that develop 10 in the processing of new employees, classification changes and employee promotions. Wage and salary determination and ongoing implementation are han- dled without delays and conflicts 6.7 4 6 7 7 ❑ (substitutes, temporary employ- ees, stipends, shift differential, etc.). Established staffing formulas dictate 6.8 the assignment of personnel to the 6 various sites and programs. NR not reviewed The identified subset of standards appears in bold print 27 NA not applicable Personnel Management ❑ targeted for review Personnel Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Policies and regulations exist regard- ing the implementation of finger- 7.1 6 printing requirements for all employ- ees. The Governing Board requires every employee to present evidence of 7.2 6 freedom from tuberculosis, as re- quired by state law. The district has established policies, procedures and practices to ensure 7.3 1 that the testing of teacher aides complies with state and federal laws. A clear implemented policy exists 7.4 on the prohibition of discrimina- 1 1 1 5 ❑ tion. The district has established poli- cies, procedures and practices to 7.5 ensure that all certificated em- 5 6 6 6 ❑ ployees hold valid certification to teach each position in the district. The district has established a pro- cess by which all required notices and in-service training have been 7.6 performed and documented, such 2 2 2 3 ❑ as those for child abuse reporting, blood-borne pathogens, sexual ha- rassment and nondiscrimination. The district is in compliance with Title IX policies on discrimination 7.7 and state law posting requirements 0 concerning harassment or discrimina- tion. The district is in compliance with the 7.8 Consolidated Omnibus Budget Recon- 5 5 ciliation Act of 1986 (COBRA). The district is in compliance with the Family Medical Leave Act (FMLA) 7.9 1 including posting the proper notifi- cations. The identified subset of standards appears in bold print NR not reviewed 28 Personnel Management NA not applicable ❑ targeted for review Personnel Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district is in compliance with the Americans with Disabilities Act (ADA) in application procedures, 7.10 hiring, advancement or discharge, 0 2 3 5 ❑ compensation, job training and other terms, conditions, and privi- leges of employment. A systematic position control sys- 8.1 tem is utilized and integrated with 3 4 5 5 ❑ payroll/financial systems. The Personnel Office provides an ef- 8.2 5 fective substitute calling system. The Personnel Office has a system- 8.3 atic and effective applicant tracking 5 system for all applicants. The Personnel Office has program funds and time for staff training 8.4 0 and skills development in the use of computers. The Personnel Office has computer- ized its employee database sys- tem including, but not limited to: 8.5 credentials, seniority lists, evalua- 4 4 5 6 ❑ tions, personnel by funding source, program, location and workers' compensation benefits. The Personnel Office participates in the training of all management 9.1 and supervisory staff reposnsible 0 5 5 5 ❑ for employee evaluations and due process. Clear policies and practices ex- ist for the written evaluation and 10.1 5 NR 5 6 ❑ assessment of certificated employ- ees. Clear policies and practices exist 10.2 for the written evaluation and as- 1 3 3 6 ❑ sessment of classified employees. NR not reviewed The identified subset of standards appears in bold print 29 NA not applicable Personnel Management ❑ targeted for review Personnel Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The Personnel Office provides a process for the monitoring of 10.3 employee evaluations and the 1 1 1 5 ❑ accountability reporting of their completion. The Personnel Division has developed a process for providing assistance to 10.4 certificated employees performing at 1 a less-than-satisfactory level such as Peer Assistance and Review (PAR). The Personnel Division has developed a process for providing assistance to 10.5 1 classified employees performing at a less-than-satisfactory level. The Personnel Division has developed 11.1 recognition programs for all employ- 6 ee groups. The Personnel Division has avail- able to its employees various refer- 11.2 4 6 ral agencies to assist employees in need. Employee benefits are well under- stood by employees through periodic 11.3 printed communications. Timely no- 0 tification of annual open enrollment period is sent to all employees. The district has a systematic and ef- 11.4 fective workers' compensation pro- 6 gram. The district has collected data that compare the salaries and benefits 12.1 of its employees with districts of 0 1 3 5 ❑ similar size, geographic location and other comparable measures. The district involves site-level ad- minstrators in the bargaining and 12.2 1 labor relations decision-making process. The identified subset of standards appears in bold print NR not reviewed 30 Personnel Management NA not applicable ❑ targeted for review Personnel Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district provides a clearly de- fined process for bargaining with its 12.3 1 employee groups (e.g., traditional, interest-based). The district has a process that provides management and the Gov- erning Board with information on 12.4 0 2 3 4 ❑ the impact of bargaining proposals (e.g., fiscal, staffing, management flexibility, student outcomes). The Personnel Office provides clearly defined forms and procedures in the 12.5 1 1 handling of grievances for its manag- ers and supervisors. NR not reviewed The identified subset of standards appears in bold print 31 NA not applicable Personnel Management ❑ targeted for review Pupil Achievement The West Fresno Elementary School District has continued its commitment to improving instruc- tion and student performance since the team’s last visit in July 2004. Special Needs Students The district has made significant strides in the area of English language development. A major accomplishment was the completion of an English Learner (EL) Master Plan that documents how the district will address the needs of its EL students regarding placement in classes, instructional time, and assessments. The plan was developed collaboratively by administrators, teachers, and parents and was approved by the School Site Councils. The district also has adopted a new lit- eracy intervention program, Highpoint, that is specifically designed to assist EL students. Teach- ers report that this curriculum is far more effective in teaching language and literacy than the district’s previous program. Additionally, in grade levels one through three, EL students receive either targeted instruction for certain periods of the day or full-day Structured English Immersion classes, based on their language proficiency. The district has also made progress in the area of special education. A Special Education Policies and Procedures Handbook has been developed in draft form. This document is the final product in the district’s Special Education work plan for compliance with the standards assessed by the Special Education Division of the California Department of Education. In addition, the district has worked closely with three of its charter schools during weekly special education oversight meetings to ensure that students in special education are receiving the services they need. At the elementary school, Student Study Teams (SST) are meeting consistently to evaluate and deter- mine identified students’ eligibility for special education services. Instruction The district has been heavily focused on improving standards-based instruction. Extensive professional development has been provided, including summer training in which almost every teacher was trained in the content and use of recently adopted curriculums. Weekly in-service trainings and end-of-trimester “circles of inquiry” meetings have focused on the use of assess- ment data to evaluate proficiency and modify the pace and emphasis of instruction. Principals have received training on walk-through assessments of classroom instruction, and the content of lesson plans has grown more consistent and standards-based. Generally, the elementary school has demonstrated greater gains in planning and implementa- tion than its middle school counterpart. The most notable distinction between the schools is the extent to which the Single Plan for Student Achievement is being incorporated as a guiding document for instruction and performance. While elementary school teachers report that this plan has served as the focal point for planning and priorities, conversations with some middle school teachers indicate a lack of familiarity with their site’s Single Plan and a need to transform the plan into a blueprint for action. Lack of progress at the middle school level is an area for needed improvement. Pupil Progress While the elementary school has developed appropriate structure around its SST process, the middle school lacks this organization and coordination. The SST Coordinator and teachers need Pupil Achievement 1 training, written policies and procedures related to this process, and monitoring by the principal. Greater cooperation, coordination, and oversight are needed in the middle school’s disciplinary process related to attendance. There appears to be a breakdown in communication and coordi- nation regarding the timely use of attendance data to identify students requiring staged warn- ings and review before the Student Attendance Review Board. The school should take action to ensure that clearly written processes are in place and understood and that ongoing monitoring occurs. Since the review team’s last visit one year ago, the district has made important progress on pupil achievement standards. Some critical plans have been developed, and in some areas the district is beginning to experience the benefits of establishing a common vision for improved instruction and student performance. Fully institutionalizing this vision—particularly at the middle school level—is the district’s next challenge. The Single Plans and recently developed EL Master Plan and Special Education Policies and Procedures Handbook must accurately reflect what occurs in the classroom and the district infrastructure that supports it. Through training and systematic dissemination of the plans, coordinated implementation, consistent monitoring and adjustment, the district will see the significant gains in pupil achievement that all have been working hard to achieve. 2 Pupil Achievement 1.1 Planning Processes - Common Vision Professional Standard A common vision of what all students should know and be able to do exists and is put into prac- tice. Progress on Recommendations and Improvement Plan 1. A common vision for student academic achievement is outlined at the district level in the Local Education Agency (LEA) Plan and at the school level in the Single Plans for Student Achievement. a. For the third consecutive school year, literacy is the district’s strategic focus. As part of this effort, the district has adopted and implemented the Highpoint literacy intervention program for English Learner (EL) and low-performing students in grades four through eight. In 2004-05, all students in grades seven and eight participated in the English Language Development (ELD) intervention program. The district believes that Highpoint has improved student performance, although state testing results have not yet been published for this school year. Students in kindergarten through grade three continue to use the Open Court reading series, in conjunction with the English Now ELD supplement. b. The district has improved its daily schedule by balancing instruction in language arts with mathematics and other subjects. For each grade level, the district has ad- opted a state-approved standards-based curriculum in language arts, mathematics, science and social science. c. The site-specific Single Plans for Student Achievement and district-wide LEA Plan have not been updated for the 2004-05 school year. The leadership team, which has met weekly throughout the year, expects to have the revised versions of these plans completed by July 2005. According to teachers and school administra- tors, the proposed revisions will increase the detail of the existing plans and better link activities to the budget and personnel with responsibilities. The district’s Program Improvement (PI) status will be reflected in the LEA Plan and Single Plans by the increased focus on staff development. The Single Plans for Student Achievement should be revised annually as stated in the original plan and shared with teachers and parents to form a common vision for student achievement. As recommended in the July 2004 report, an annual timeline for review and revision of the plans should be agreed upon and shared with the leadership team and school site councils to ensure that members understand the importance of this document in guiding district decision-making. d. Teachers report varying levels of awareness of the Single Plan. While several el- ementary school teachers participated in the development of their school’s Single Plan, not all teachers at the middle school were familiar with their plan. A team of teachers and parents from both schools are meeting to discuss their Single Plans and develop the district LEA Plan. Prior to the start of the 2005-06 academic year, the district should dedicate staff development time to presenting and reviewing these plans so that they become the guiding documents for the district. The dis- trict should emphasize sharing the plans with those teachers and staff that do not directly participate in their development. Pupil Achievement 3 Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 4 July 2004 Rating: 5 July 2005 Self-Rating: 6 July 2005 New Rating: 5 Implementation Scale: 4 Pupil Achievement 1.3 Planning Processes - Long-Term Goals Professional Standard The district has long-term goals and plans to support student achievement improvements. Progress on Recommendations and Improvement Plan 1. The leadership team is currently updating each school’s Single Plan for Student Achievement. According to district administrators, the goals set forth in these plans will not change. These goals are as follows: • By the end of the 2003-04 and 2004-05 school years, the school will meet all Ad- equate Yearly Progress targets. • By the end of the 2003-04 and 2004-05 school years, the school will meet school- wide and significant subgroup growth targets as defined by the Academic Perfor- mance Index. • The percentage of students scoring “proficient” or above on the reading portion of the Standardized Testing and Reporting test will increase from the prior year by 10 percent. • The percentage of students scoring “proficient” or above on the mathematics por- tion of the Standardized Testing and Reporting test will increase from the prior year. • The annual attendance rate will increase from the prior year. • The number of students qualifying for redesignation from Limited English Profi- ciency to Fluent English Proficiency will increase from the prior year. 2. District administrators indicated that these goals are being reviewed against actual performance as part of the Single Plan update. However, there is no clear indication that each school is systematically monitoring performance against these goals. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 4 July 2004 Rating: 6 July 2005 Self-Rating: 6 July 2005 New Rating: 6 Implementation Scale: Pupil Achievement 5 1.4 Planning Processes - Resource Allocation Professional Standard The district directs its resources fairly and consistently to accomplish its objectives. Progress on Recommendations and Improvement Plan 1. The LEA Plan and Single Plans for Student Achievement identify estimates for how resources will be allocated to support improvements in pupil achievement. 2. The Director of State and Federal Programs has been working with the budget office during the past year to clarify how Consolidated Application funds should be tracked and allocated to each site. By the start of the 2005-06 year, a system for site-specific tracking of funds is expected to be put into effect. 3. This year, the School Site Councils (SSC), in coordination with the leadership team, have been included in reviewing prospective budgets and revising the Single Plans for Student Achievement, which allocate school resources. According to the Director of State and Federal Programs, the SSCs’ role in determining the allocation of school funds has increased over the past year, primarily due to increased knowledge of the subject matter. SSC involvement is expected to continue increasing as each school site gains more responsibility and autonomy from the district. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 2 July 2004 Rating: 3 July 2005 Self-Rating: 5 July 2005 New Rating: 3 Implementation Scale: 6 Pupil Achievement 1.6 Planning Processes - Student Performance Professional Standard The district’s planning process focuses on supporting increased student performance. Progress on Recommendations and Improvement Plan 1. Proficiency benchmarks based on state-approved curriculums have been established for each grade level in language arts, mathematics, social science and science. The end-of-trimester assessments, which are in state-approved textbooks, provide teachers with a common definition of proficiency and coordinated instruction. The district has begun to use English Language Development (ELD) progress profiles to outline state ELD standards and track student EL proficiency over time. These profiles are sent to parents for signature each trimester. 2. The district continues to use Title I funds to support the summer school program. The 2005 summer school program will last three weeks and will retain the normal school year’s hours and curriculum. Prior to 2003-04, summer school had consisted of four weeks of shortened days and a curriculum separate from that of the normal school year. Summer school targets those students at risk of retention and/or falling below grade level based on their test scores and classroom performance. However, the sum- mer school program will not deny any student that wants to attend. This year, 2005 summer school instruction will be a continuation of the normal school year curriculum and will focus on developing basic literacy and math skills. There will be an increased focus on math intervention for student in grades four through eight. 3. The district has discontinued the after-school program that it purchased last year due to disappointment in the curriculum’s ability to address students’ learning needs. This year, the after-school curriculum is a continuation of the normal school day curricu- lum and focuses on developing the basic literacy and math skills of the school’s low- est performing students. 4. More elementary school teachers than middle school teachers are participating in the after-school program. School administrators claim that teacher involvement at the elementary school has resulted in better student performance and attendance rates than its middle school counterpart. The middle school should identify ways to attract teacher participation in the after-school program. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 4 July 2004 Rating: 4 July 2005 Self-Rating: 5 July 2005 New Rating: 5 Pupil Achievement 7 Implementation Scale: 8 Pupil Achievement 2.1 Curriculum - Management Professional Standard The district, through its adopted policy, provides a clear operational framework for management of the curriculum. Progress on Recommendations and Improvement Plan 1. While administrators and teachers report that there is clear direction to teach the adopted curriculum, the district has not yet documented its approach to curriculum management. School administrators expect Dataworks, an education consulting com- pany, to aid in the development of the curriculum plan. The district has indicated that it is turning its attention to the development of a curriculum management plan and is currently reviewing plans used by other schools to serve as models for its own. a. Teachers base their curriculum on state-approved textbooks, standards and objec- tives. Principals and teachers report that a combination of standardized textbooks, training and increased cooperation among teachers has fostered better class in- struction, pace and assessment. At the beginning of the school year, an in-service training was conducted specifically on developing a standardized pacing scale. b. At the elementary school, teachers in each grade level met prior to the school year to develop a grade-wide lesson plan that covers all state required objectives. Throughout the year, these teachers continue to meet and discuss the performance of their students and to modify their lesson plans according to student needs. c. All of the adopted curriculums in language arts, mathematics, social science and science are state-approved and standards-based. d. The district’s adopted curriculums have included and emphasized embedded as- sessments. On a trimester basis, textbook assessments of student performance are used to set student achievement targets for the remainder of the year. e. In addition to other professional development efforts, the district’s teachers have participated in Assembly Bill (AB) 466 Highpoint training. The AB 466 training for the newly adopted McDougall-Littell curriculum is scheduled for summer 2005. 2. The district has not yet revised board policies to clarify its approach to managing curriculum. Once a plan is developed, a policy should be drafted and presented to the Governing Board and State Administrator for review and adoption. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 3 July 2004 Rating: 3 July 2005 Self-Rating: 3 July 2005 New Rating: 3 Implementation Scale: Pupil Achievement 9 2.2 Curriculum - Management Professional Standard Policies regarding curriculum and instruction are reviewed and approved by the School Board. Progress on Recommendations and Improvement Plan 1. As in previous years, the Governing Board continues to serve solely in an advisory capacity. The State Administrator participates in and approves decisions regarding curriculum and instruction, and communicates important actions to the advisory board at monthly meetings. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 Self-Rating: 3 July 2005 New Rating: 2 Implementation Scale: 10 Pupil Achievement 2.3 Curriculum - Objectives Professional Standard The district has clear and valid objectives for students, including the core curriculum content. Progress on Recommendations and Improvement Plan 1. The schools are currently using the 2003-04 Single Plans for Student Achievement and maintaining last year’s goals and plans. These Single Plans outline objectives for student achievement and how curriculum should be used to align instruction with content standards and improve instructional strategies. Due to its Program Improvement (PI) status, the district is developing an addendum to its LEA Plan that will outline its intentions for improving student achievement. These changes should be reflected in the site-specific Single Plans for the 2005-06 academic year. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 2 July 2004 Rating: 5 July 2005 Self-Rating: 6 July 2005 New Rating: 5 Implementation Scale: Pupil Achievement 11 3.2 Instructional Strategies - Learning Goals Professional Standard Challenging learning goals and instructional plans and programs for all students are evident. Progress on Recommendations and Improvement Plan 1. The teachers’ lesson plans continue to be based on state standards. Each trimester the district conducts a “circles of inquiry” meeting to address teacher concerns, review assessment data and discuss strategies for improving student performance. Prior to the start of the school year, teachers were trained on how to develop and pace lesson plans that meet all of the state’s required objectives. In each grade of the elementary school, teachers met to design a comprehensive lesson plan to cover the entire cur- riculum. At the middle school level, teachers report that the pace of the language arts curriculum has been manageable because it is based on proficiency level. In contrast, these teachers have found the math curriculum to be challenging because it is assigned to students based on grade level rather than math proficiency. According to district administrators, Dataworks will help in the coming year to better align textbooks and other resources with the state standards to determine the appropriate content and pace of instruction. It is recommended that the middle school teachers increase collabora- tion in order to create lesson plans in the same fashion as the elementary school. 2. Principals report that most teachers continue to turn in lesson plans weekly. While there is no standard format for the lesson plans, principals do require a level of detail that includes listing the objectives being taught each day. According to the principals, Dataworks is creating a lesson plan template that may be used by the district’s teach- ers. Regardless of the schools’ decisions to use the template, the standard requirements for lesson plans should be documented and distributed to all teachers. 3. Elementary school teachers in each grade level met prior to the school year to develop a grade-wide lesson plan that covers all state required objectives. Throughout the year, these teachers continued to meet and discuss the performance of their students and to modify their lesson plans according to students’ needs. 4. Teachers report varying levels of awareness of the Single Plan. While several elemen- tary school teachers participated in the development of their school’s Single Plan, not all teachers at the middle school were familiar with the plan. Some that were familiar with it noted that they did not have ample time to review its contents. A team of teach- ers and parents from both schools are meeting to discuss their Single Plans and de- velop the district LEA Plan. Prior to the start of the 2005-06 academic year, the district should dedicate staff development time to presenting and reviewing these plans so that they become the guiding documents for the district. The district should emphasize sharing the plans with those teachers and staff that do not directly participate in their development. 5. The district has maintained literacy coaches at each grade level to help facilitate implementation of the language arts curriculum. 2004-05 marked the first full year 12 Pupil Achievement elementary school teachers have conducted a peer-coaching program, in which teach- ers worked with one another to discuss and improve instructional organization and technique. The program was started last year and was continued due to its success. Ac- cording to the middle school principal, the middle school teachers will begin a peer- coaching program in 2005-06. Teachers’ schedules have been aligned to allow time for experienced teachers to monitor and advise new teachers. 6. The district maintains a detailed professional development calendar that records train- ings, participants, and costs. Teachers, principals, and administrators have commented that Assembly Bill (AB) 466, AB 75, Dataworks and peer trainings, while time-con- suming, have been beneficial. The district has designated each Monday as a minimum release day (early student dismissal) to give teachers and principals more time to col- laborate with one another. 7. Beginning this year, the district has increased the detail of its comprehensive home- work policy to include the daily number of minutes of homework to be received per grade level. This policy is documented in the district student handbook and elemen- tary school agenda. The homework policy is also communicated to parents via the school newsletter and conferences. 8. The district continues to use state-approved textbook curriculums, which align student standards across subjects and grade levels. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 5 July 2005 Self-Rating: 5 July 2005 New Rating: 6 Implementation Scale: Pupil Achievement 13 3.7 Instructional Strategies - Site Council Professional Standard Each school has a school site council or leadership team, comprised of teachers, parents, princi- pal, and students, that is actively engaged in school planning. Progress on Recommendations and Improvement Plan 1. The leadership team has included the School Site Councils (SSC) in reviewing pro- spective budgets and revising the Single Plans for Student Achievement, which allocate school resources. The Director of State and Federal Programs stated that the SSCs’ role in determining the allocation of school funds has increased since last year due to their increased knowledge of the subject matter. SSC involvement is expected to continue increasing as each school site gains more responsibility and autonomy from the district. 2. The elementary and middle schools have independent SSCs. The two SSCs often hold their meetings together, but address site-specific and budget issues separately. 3. The SSCs, which are led by the school principals, also consist of teachers and parents who are elected to two-year terms. Over the past year, attendance at SSC meetings has been steady for the elementary school but declining for the middle school. In fact, the middle school’s SSC was unable to meet quorum on multiple occasions. School ad- ministrators report that many of those not attending the meetings are parents and that steps are being taken to replace members that have poor attendance records. 4. The SSC Training Guide has been updated since 2003 to incorporate minor changes. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 4 July 2004 Rating: 6 July 2005 Self-Rating: 6 July 2005 New Rating: 6 Implementation Scale: 14 Pupil Achievement 3.10 Instructional Strategies - Learning Time Professional Standard Clearly defined discipline practices have been established and communicated among the stu- dents, staff, board, and community. Progress on Recommendations and Improvement Plan 1. A district-wide discipline policy was updated as of June 2, 2004. The policy provides general guidance on discipline and directs each school site to develop its own disci- plinary rules to meet the school’s individual needs. At the elementary school, a disci- pline policy is documented in student agendas; the middle school’s discipline policy is set forth in the Parent/Student Handbook. According to the principals, their respective site discipline policies were also shared with parents via a newsletter and conferences. The district-wide school-specific policies, however, do not reference the district’s new use of the School Attendance Review Board (SARB) for disciplining truant students. This process should be outlined in all discipline policies. 2. To curb poor student attendance, the district has implemented new measures for moni- toring, contacting and disciplining truant students and their families. The district has trained teachers on using Aeries, a student information system that is used for, among other things, reporting and tracking attendance. The district believes that the Aeries attendance system reports are more accurate than those generated in the past, and teachers are now held more accountable for submitting them to the district attendance specialist and State Administrator. The district has also established a multilingual team of parent advisors who call the homes of absent students on a daily basis. 3. The SARB, which addresses student attendance and behavioral issues, is implemented at both schools. According to school administrators and principals, the SARB has been used successfully a few times over the past year. However, there is concern that the process is burdensome and that communication is lacking between the SARB Coordinator and school staff, principals and administrators. There was a backlog of SARB cases in 2004-05. The elementary school SARB process is constantly moni- tored by the principal, but the process at the middle school lacks structure. The district should clarify responsibilities and document procedures related to the SARB process and hold regular meetings to increase communication and avoid similar problems in the future. 4. To improve student attendance rates, the district incorporates a combination of awards and disciplinary measures. The costs of these incentives have been incorporated into the school budget. 5. The elementary school teachers report that the principal’s increased enforcement of disciplinary matters has led to an improvement in student behavior and has allowed teachers to focus on instruction rather than discipline in the classroom. Pupil Achievement 15 Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 Self-Rating: 2 July 2005 New Rating: 3 Implementation Scale: 16 Pupil Achievement 3.14 Instructional Strategies - English Learners Professional Standard The identification and placement of English Learners into appropriate courses are conducted in a timely and effective manner. Progress on Recommendations and Improvement Plan 1. The district has developed a detailed English Learner (EL) Master Plan. An EL Re- source Teacher is responsible for monitoring the implementation of the plan and train- ing other teachers on EL issues. The district is still in the process of improving and implementing the Master Plan. As part of this process, the school’s management team meets regularly with a technical assistant from the California Department of Educa- tion to review the progress made on implementation. 2. The district continues to staff an assessment center for timely processing of Califor- nia English Language Development Test (CELDT) scores. In grades four through eight, CELDT scores are used to determine the level of ELD instruction needed for each student. All EL students continue to receive at least one period of ELD instruc- tion daily (Highpoint or English Now). At the elementary school, EL students are placed in groups based on language proficiency level for at least 45 minutes of daily ELD instruction. At the middle school, students receive ELD instruction as part of the Highpoint intervention program and are clustered based on CELDT scores for targeted ELD intervention. This method for student placement is documented in the EL Master Plan along with detailed criteria for student assessment and advancement. 3. Grades one through three have begun use of Structured English Immersion (SEI) classes for newcomers and the lowest performing EL students. 4. The elementary school has implemented many aspects of the EL Master Plan, includ- ing use of the ELD progress profiles and the placement technique. The middle school has yet to familiarize itself with all the elements of the EL Master Plan and must work with state and county officials to implement it. According to the middle school prin- cipal, embracing the EL Master Plan is a priority and meetings are scheduled with the county to discuss a transition to the placement method. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 Self-Rating: 3 July 2005 New Rating: 3 Implementation Scale: Pupil Achievement 17 3.15 Instructional Strategies - English Learners Professional Standard Curriculum and instruction for English Learners (EL) prepares EL students to transition to regu- lar class settings and achieve at a high level in all subject matters. Progress on Recommendations and Improvement Plan 1. Student classroom placement and ELD instruction is based on language and reading ability as determined by Highpoint assessment, ROLA, STAR, and CELDT scores. The district continues to meet or exceed the LEA Plan’s guidelines for ELD instruc- tional time. 2. In grades four through eight, students are grouped based on language and reading abil- ity, with the intent to progressively move them toward English proficiency. The pro- grams are structured to keep EL students in regular classroom settings but supplement their instruction with daily ELD coursework. In kindergarten through third grade, the district has Structured English Immersion (SEI) classes for newcomers and the lowest performing EL students. The kindergarten alternative bilingual program was discon- tinued after the 2003-04 school year and currently there is no separate program for EL students at this grade level. 3. Starting in summer 2004 and continuing throughout the 2004-05 school year, district teachers have participated in Assembly Bill (AB) 466 training on the Highpoint and Open Court intervention curriculum. Teachers that have not yet completed the training were in the process of doing so at the time of the team’s visit. 4. The school district has created an ELD progress profile for each student to track English language proficiency. This profile folder allows teachers to document student progress in language arts, collect examples of student work, and outline the reading and writing benchmarks for each level of proficiency. The elementary school has be- gun using a standards-based report card that incorporates student EL proficiency. 5. The district continues to work toward getting all of its teachers the proper Cross Cultural Language and Academic Development (CLAD) training and certification. Approximately seven teachers from each school still lack the necessary certification to teach EL students but are in the process of completing the training. The school district must prioritize the proper certification of its teachers. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 Self-Rating: 3 July 2005 New Rating: 3 18 Pupil Achievement Implementation Scale: Pupil Achievement 19 3.16 Instructional Strategies - Special Education Professional Standard The identification and placement of special education students into appropriate courses is con- ducted in a timely and effective manner. Progress on Recommendations and Improvement Plan 1. The district has updated the Student Study Team (SST) packet to include district and site-specific information. 2. Both schools have an established SST process. The elementary school’s SST has scheduled meetings at least every other Tuesday. The middle school’s SST currently lacks a set schedule, instead relying on ad hoc meetings according to need and par- ent availability. Administrators and teachers report that the demand for SSTs remains high, but that the elementary school has overcome its backlog and is up to date on its referrals. The middle school SST should schedule regular bi-weekly meeting times. 3. At the elementary school, a teacher has been assigned the role of SST Coordinator, and at the middle school, the student counselor is the designated SST Coordinator. 4. The Director of Student Support Services no longer serves as the Individual Education Plan (IEP) case manager for all relevant students. Instead, the student’s special educa- tion teacher serves as case manager, and receives support from the SST Coordinator, principal, and school psychologist. According to the middle school SST Coordinator, only one middle school SST case has undergone review in 2004-05. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 Self-Rating: 3 July 2005 New Rating: 3 Implementation Scale: 20 Pupil Achievement 3.17 Instructional Strategies - Special Education Professional Standard Individual education plans (IEPs) are reviewed and updated on time. Progress on Recommendations and Improvement Plan 1. In the 2004-05 year, the role of IEP case manager has been transferred from the Direc- tor of Student Support Services to the individual student’s special education teacher. Depending on the student’s needs, the special education teacher may either be the speech teacher, Resource Specialist (RSP) or the Special Day Class (SDC) teacher. In response to last year’s Coordinated Compliance Review (CCR), the district, with a technical assistance team, developed and implemented a work plan to make the school fully compliant in special education. The district is in the process of completing the Special Education Policies and Procedures Handbook. Over the past year, the district has returned to its normal CCR schedule and achieved compliance with state require- ments. 2. The IEP case managers have developed a calendar to notify principals and teachers of IEP students and their special needs. The district IEP calendar is located on a shared file to provide open access to all staff. An administrator or teacher is present at every IEP meeting and remains up-to-date through regular meetings and scheduled talks. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 3 July 2004 Rating: 4 July 2005 Self-Rating: 6 July 2005 New Rating: 5 Implementation Scale: Pupil Achievement 21 3.18 Instructional Strategies - Special Education Professional Standard Curriculum and instruction for special education students is rigorous and appropriate to meet special education students’ learning needs. Progress on Recommendations and Improvement Plan 1. The Director of Student Support Services meets weekly with the district charter school special education teachers to discuss charter school performance. The Direc- tor of Student Support Services states that the charter schools have been successful at meeting special education students’ needs. 2. The district utilized the California Alternative Performance Assessment (CAPA) exam as an alternative to STAR testing for approximately 12 students in 2004-05, down from 18 in 2003-04. This exam, which was being administered at the time of this evaluation, was used for those students who met the state criteria for alternative test- ing as documented in their IEPs. 3. The Director of Student Support Services is creating a Special Education Policies and Procedures Handbook that outlines the district’s current and future special educa- tion program. The director states that the district has implemented approximately 80 percent of the plan, which details how to facilitate students’ various classroom and instructional needs, establishes common definitions and guidelines for student referral, and outlines plan implementation and future revision. 4. Students with an IEP receive a special education progress report in addition to their standard report card. The progress report comments on the student’s performance in the areas listed in the IEP. Special Day Class (SDC) students receive a different type of report card to address their particular needs. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 2 July 2004 Rating: 3 July 2005 Self-Rating: 4 July 2005 New Rating: 4 Implementation Scale: 22 Pupil Achievement 4.2 Assessment and Accountability - Measurement Tools Professional Standard Student achievement is measured and assessed through a variety of measurement tools (for ex- ample, standardized tests, portfolios, projects, oral reports, etc.). Progress on Recommendations and Improvement Plan 1. This year, the district’s teachers have been trained to assess students in the current curricu- lum and use the data to determine proficiency. The district combines local and state assess- ments to determine student achievement. Special education students are encouraged to take the same tests as mainstream students and are accommodated to do so when necessary. 2. The schools do not share a standard format for summarizing assessment scores and in- terventions for each student. The elementary school has begun using Aeries, a student information system, for collecting student scores and attendance as well as producing standards-based report cards. The middle school uses Aeries for attendance and state test scores, but relies on Excel spreadsheets for local test scores. The middle school also should use Aeries to standardize and track local student performance assessments. 3. Portfolios also are used throughout the district to assess student progress. Writing as- signments are included in these portfolios, and all teachers apply a four-point scoring rubric to assess progress in writing skills. Elementary school teachers meet once a tri- mester to ensure that they are grading students consistently. The teachers are in favor of portfolio projects and would like to see them continued across grade levels. 4. Students in grades four through eight are grouped into language arts and mathematics courses based on language and reading proficiency. Consequently, classes consist of students at similar language and reading levels but various levels of math proficiency. The teachers find it difficult to meet the needs of differently performing groups in math. Students should be placed in math classes based on math assessments rather than language and reading ability. 5. See also Standard 1.6 regarding benchmarks. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 3 July 2004 Rating: 4 July 2005 Self-Rating: 4 July 2005 New Rating: 4 Implementation Scale: Pupil Achievement 23 4.4 Assessment and Accountability - Assessment Analysis Professional Standard The administration and staff utilize assessment information to improve learning opportunities for all students. Progress on Recommendations and Improvement Plan 1. The district continues to conduct “circles of inquiry” meetings each trimester to discuss student performance related to the adopted curriculum, embedded textbook assessments and proficiency benchmarks. 2. The district has established Monday as a “minimum release” day to give teachers and administrators a regular time to collaborate. These meetings primarily focus on stu- dent data assessment, grouping students, and intervention and enrichment strategies. Principals and teachers report that these in-service trainings are very helpful. 3. This year, the district has obtained assistance from the Fresno County Office of Edu- cation and Dataworks on the use of assessment data for instructional purposes. Teach- ers report that they slow or accelerate the pace of their curriculum based on assess- ment scores throughout the year. These assessments allow for modification of course instruction and pace to meet the students’ needs. 4. The “circles of inquiry” meetings held in the 2004-05 year have supplemented the district’s ongoing focus on student achievement and data assessment. 5. Aeries, a student information system, is currently used for managing student scores, recording attendance and creating report cards. (See Standard 4.2) Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 3 July 2004 Rating: 4 July 2005 Self-Rating: 5 July 2005 New Rating: 5 Implementation Scale: 24 Pupil Achievement 5.1 Professional Development and Training - General Professional Standard Staff development demonstrates a clear understanding of purpose, written goals, and appropriate evaluations. Progress on Recommendations and Improvement Plan 1. The district continued to implement a comprehensive professional development plan for 2004-05. Although the implementation of this plan has required considerable time and effort, teachers, principals, and administrators claim it has been successful in building district capacity for improving student achievement. 2. At the elementary and middle schools, teachers and principals work together to de- termine the subjects of the Monday in-service meetings. According to the elementary school principal, the minutes of the Monday meetings help in identifying and evaluat- ing teacher concerns. 3. The district is in the process of establishing evaluation as part of staff development activities. According to the Director of Student Support Services, the district uses a Conference Reporting Form to evaluate off-campus trainings. However, such evalua- tions are not consistently conducted for in-service trainings. In cases where evaluation forms were completed and submitted, several teachers report that they are unaware of how this feedback was being used by the district. According to the middle school principal, evaluations of all professional development activities will be conducted regularly starting next year. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 4 July 2004 Rating: 6 July 2005 Self-Rating: 6 July 2005 New Rating: 6 Implementation Scale: Pupil Achievement 25 5.2 Professional Development and Training - General Professional Standard Staff development provides staff (for example, principals, teachers, and instructional aides) with the knowledge and skills to improve instruction and curriculum. Progress on Recommendations and Improvement Plan 1. The main focus of teacher development last year was the Assembly Bill (AB) 466 Highpoint curriculum training and teacher literacy coaching. Among the trainings scheduled for the 2005-06 year are the continuation of AB 466 for language arts and the new training on the McDougall-Littell curriculum. According to school adminis- trators and principals, the Fresno County Office of Education recommended that the school focus on language arts and mathematics rather than social science and science. 2. Principals have completed trainings on the adopted curriculum materials and class- room walk-through assessments. The principals had been using the Litconn formats for assessing classrooms but are now utilizing formats provided by Dataworks. The resulting information has been used during trainings and discussions with teachers to improve instructional technique and classroom management. 3. According to the State Administrator, several district staff have completed Dataworks training on the use of explicit direct instruction. Those who attended the training praised the benefits of using this technique, and the district plans on increasing its use throughout the district to improve teacher curriculum management. 4. The Program Improvement status of the school district requires that at least 10 percent of the LEA Plan’s 2005-06 Title I funds are used for professional development. Ac- cording to the Director of State and Federal Programs, the district plans to use closer to 20 percent of Title I funds for this purpose. This estimate includes the hiring of Dataworks. 5. See also Standard 5.1. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 5 July 2005 Self-Rating: 6 July 2005 New Rating: 6 Implementation Scale: 26 Pupil Achievement 5.8 Professional Development and Training - Support Professional Standard New teachers and principals are provided with training and support opportunities. Progress on Recommendations and Improvement Plan 1. The district has yet to develop or document a new teacher support plan. New teacher support comes primarily from principals and other teachers. The most established new teacher support is that of the peer-mentor trainings in which experienced teach- ers are paired with new teachers as mentors. According to district administrators, one new teacher was eligible for the Beginning Teacher Support and Assessment (BTSA) program in 2004-05, and this teacher completed the training as required by the state. 2. The State Administrator continues to serve as the main support and mentor to the dis- trict principals. The principals also report that members of the Fresno County Office of Education have been supportive in helping organize the “circles of inquiry” meet- ings and determining curriculum. There are still no mentoring relationships estab- lished with other school districts. Last summer, both principals completed Assembly Bill (AB) 75 training and are scheduled to attend several more trainings this summer. Given that the acting State Administrator is leaving at the end of this 2004-05 academ- ic year, the principals should work closely with the new State Administrator and other school districts to continue and expand support efforts. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 1 July 2004 Rating: 2 July 2005 Self-Rating: 4 July 2005 New Rating: 2 Implementation Scale: Pupil Achievement 27 28 Pupil Achievement Pupil Achievement July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review A common vision of what all stu- 1.1 dents should know and be able to 3 4 5 5 ❑ do exists and is put into practice. The administrative structure of the 1.2 district promotes student achieve- 5 ment. The district has long-term goals 1.3 and plans to support student 3 4 6 6 ❑ achievement improvements. The district directs its resources 1.4 fairly and consistently to accom- 2 2 3 3 ❑ plish its objectives. Categorical and compensatory pro- gram funds supplement and do not 1.5 2 supplant services and materials to be provided by the district. The district’s planning process 1.6 focuses on supporting increased 3 4 4 5 ❑ student performance. The district through its adopted policy provides a clear operational 2.1 1 3 3 3 ❑ framework for management of the curriculum. Policies regarding curriculum and 2.2 instruction are reviewed and ap- 0 2 2 2 ❑ proved by the school board. The district has clear and valid ob- 2.3 jectives for students, including the 1 2 5 5 ❑ core curriculum content. Sufficient instructional materials are 2.4 5 available for students to learn. In subject areas for which the state has adopted standards, instructional 2.5 4 materials are available to students that are aligned with state standards. The identified subset of standards appears in bold print. 29 NA not applicable Pupil Achievement ❑ targeted for review NR not reviewed Pupil Achievement July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review The district has adopted a plan for integrating technology into cur- 2.6 0 riculum and instruction at all grade levels. The district optimizes state and 2.7 federal funding to install technology 3 into schools. AIDS prevention instruction occurs at least once in junior high or middle 2.8 school and once in high school, and 0 is consistent with the CDE's 1994 Health Framework (EC 51201.5). The district provides equal access to educational opportunities to all 3.1 students regardless of race, gender, 3 socioeconomic standing, and other factors (EC 51007). Challenging learning goals and in- 3.2 structional plans and programs for 2 3 5 6 ❑ all students are evident. Expectations and practices exist to improve the preparation of students 3.3 1 and to build a school structure with the capacity to serve all students. Every elementary school has em- braced the most recent California 3.4 0 School Recognition Program Stan- dards. Students are engaged in learning, 3.5 and they are able to demonstrate and 2 apply their knowledge and skills. The district and school sites actively 3.6 encourage parental involvement in 3 their children's education. The identified subset of standards appears in bold print. 30 Pupil Achievement NA not applicable NR not reviewed ❑ targeted for review Pupil Achievement July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review Each school has a school site coun- cil or leadership team, comprised 3.7 of teachers, parents, principal and 2 4 6 6 ❑ students, that is actively engaged in school planning. Principals make formal and informal visits to the classroom. Based on 3.8 these visits, principals provide con- 6 structive feedback and assistance to teachers. Class time is protected for student 3.9 3 learning (EC 32212). Clearly defined discipline practices have been established and commu- 3.10 0 2 2 3 ❑ nicated among the students, staff, board, and community. School class size and teacher as- 3.11 signments support effective student 1 learning. Teachers use a variety of instructional 3.12 strategies and resources that address 2 their students' diverse needs. Teachers modify and adjust instruc- 3.13 tional plans according to student 2 needs and success. The identification and placement of English Learners into appropriate 3.14 2 2 2 3 ❑ courses is conducted in a timely and effective manner. Curriculum and instruction for Eng- lish Learners prepares EL students 3.15 to transition to regular class set- 1 2 2 3 ❑ tings and achieve at a high level in all subject matters. The identification and placement of special education students into 3.16 1 2 2 3 ❑ appropriate courses is conducted in a timely and effective manner. The identified subset of standards appears in bold print. 31 NA not applicable Pupil Achievement ❑ targeted for review NR not reviewed Pupil Achievement July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review Individual education plans (IEPs) 3.17 3 3 4 5 ❑ are reviewed and updated on time. Curriculum and instruction for spe- cial education students is rigorous 3.18 1 2 3 4 ❑ and appropriate to meet special education students' learning needs. The criteria for Gifted and Talented Education (GATE) identification are 3.19 0 documented and understood by school site staff. Students are regularly assessed or 3.20 0 reassessed for GATE participation. All incoming kindergarten students will be admitted following board-ap- 3.21 10 proved policies and administrative regulations. (EC 48000-48002) The general instructional program 3.27 adheres to all requirements put forth 5 in Education Code 51000-52950. The district has developed content and learning standards for all subject 4.1 6 areas and grades that are understood and followed by school site staff. Student achievement is measured and assessed through a variety of 4.2 measurement tools (e.g., standard- 3 3 4 4 ❑ ized tests, portfolios, projects, oral reports). The assessment tools are clear mea- 4.3 sures of what is being taught and 3 provide direction for improvement. The administration and staff utilize assessment information to improve 4.4 1 3 4 5 ❑ learning opportunities for all stu- dents. The identified subset of standards appears in bold print. 32 Pupil Achievement NA not applicable NR not reviewed ❑ targeted for review Pupil Achievement July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review The district has adopted multiple as- sessment tools, including diagnostic 4.5 2 assessments, to evaluate, improve, or adjust programs and resources. The district shall be accountable for student results by using evaluative information regarding the various 4.6 levels of proficiency and allocating 1 educational resources to ensure the maximum educational opportunities for all students. The district informs parents of the test scores of their children and 4.7 4 provides general explanation of these scores. Staff development demonstrates a clear understanding of purpose, 5.1 1 4 6 6 ❑ written goals, and appropriate evaluations. Staff development provides the staff (e.g., principals, teachers, 5.2 and instructional aides) with the 2 3 5 6 ❑ knowledge and the skills to im- prove instruction and curriculum. The standards developed by the 5.3 California Standards for the Teaching 2 Profession are present and supported. Teachers are provided time and 5.4 are encouraged to meet with other 6 teachers. Collaboration exists among higher education, district, professional as- 5.5 1 sociations, and the community in providing professional development. The district has formed partnerships with state colleges and universities 5.6 0 to provide appropriate courses acces- sible to all teachers. The identified subset of standards appears in bold print. 33 NA not applicable Pupil Achievement ❑ targeted for review NR not reviewed Pupil Achievement July January July July Focus Standard to be addressed 2003 2004 2004 2005 for Next Rating Rating Rating Rating Review Administrative support and coaching 5.7 2 is provided to all teachers. New teachers and principals are 5.8 provided with training and support 0 1 2 2 ❑ opportunities. Professional development is linked to 5.9 0 personnel evaluation. Evaluations provide constructive 5.10 feedback for improving job perfor- 4 mance. Human resources practices support 5.11 the delivery of sound educational 3 programs. A requirement is in place for passing of a basic skills proficiency ex- 5.12 1 amination by instructional aides (EC 45344.5, 545361.5). The identified subset of standards appears in bold print. 34 Pupil Achievement NA not applicable NR not reviewed ❑ targeted for review Financial Management In the current review, the review team noted that staff morale continues to improve, there is a more businesslike environment in the office, staff continues to accept change and has developed a good general understanding of their basic individual duties, and record keeping continues to improve. Further, the district has: • Adopted comprehensive board policies • Developed a significant number of operating procedures • Developed a multiyear financial recovery plan • Revised/updated its job descriptions • Improved segregation of duties Nevertheless, the district still faces significant challenges, and many standards remain to be ad- dressed. Specifically, the district needs to: • Provide training to staff on the newly adopted board policies so that all staff are aware of the policies and how they should be implemented in the performance of their job duties. • Continue to develop operating procedures specifically related to the duties performed by the Business Office staff so that there is a comprehensive resource for reference and train- ing and to help ensure that transactions are processed appropriately. • Provide additional detail for the multiyear financial recovery plan regarding how the dis- trict intends to achieve its identified goals; for example, what steps it is going to take to improve its categorical management or increase its ADA-to-enrollment ratio. • Evaluate staff’s current skill levels and training needs based upon the newly revised job descriptions and develop individualized training plans, which are part of a comprehensive training plan for the business office staff. • Continue to assure appropriate segregation of duties, and ensure that the Business Man- ager and Superintendent/State Administrator provide ongoing supervision and review of the district’s financial transactions. Budget Development and Monitoring In the progress report of July 2004, multiple items in the areas of budgeting and accounting were identified as major issues to be addressed. While the district has become stable and progress is being made, there are still significant challenges. Specific items needing to be addressed include: • Understanding categorical programs, funding, and compliance in order to accurately bud- get and manage categorical revenues and expenditures. This may be the most significant financial issue for the district, since the need to repay state and federal categorical fund- ing is a major factor necessitating the state loan. • Implementing position control to improve control over expenditures, help track categori- cal expenditures, and accurately budget for future years. Financial Management 1 • Utilizing a detailed budget calendar and budget development worksheets, and identifying budget assumptions in detail, particularly for categorical programs. • Correlating budgeted expenditures by site, program, and/or department to specific educa- tional priorities and goals. • Projecting net ending balances monthly. Accounting Policies, Procedures, and Controls • Establishing comprehensive accounting policies and desk manuals. • Complying with program requirements for categorical programs. • Fully implementing all pertinent functions of the county’s financial and personnel/posi- tion control systems. • Establishing a formal training plan and providing comprehensive training to all Business Office staff. • Establishing memorandums of understanding with all charter schools that identify all ob- ligations for both entities to provide adequate fiscal oversight and monitoring for charter schools. The district should enlist the assistance of the Fresno County Office of Education, the California Department of Education (CDE), FCMAT, and possibly even other consultants in the develop- ment of procedures, desk manuals, forms, and staff training. All of these entities can provide additional resources that the district may not possess. 2 Financial Management 2.2 Inter- and Intra-Departmental Communications—Identification and Response to Governing Board and Community Audiences Professional Standard The financial departments should communicate regularly with the Governing Board and com- munity on the status of district finances and the financial impact of proposed expenditure deci- sions. The communications should be written whenever possible, particularly when it affects many community members, is an issue of high importance to the district and Board, or reflects a change in policies. Progress on Recommendations and Improvement Plan 1. The district continues to monitor issues that will affect district finances, and provides routine budget reports on the status of the general fund and district cash flow. The district prepares and presents the budget and interim reports at public board meetings. The Business Manager provides monthly financial updates to the State Administrator. The information is provided in informal briefings and may utilize financial reports, such as the Fiscal Position Report. Given the district’s prior problems in managing categorical funds, the financial status of categorical programs and funding is dis- cussed. However, issues related to categorical program administration and manage- ment are not addressed. These areas have been a weakness in the past. The standard reports provided to the State Administrator generally do not include projected ending balances. After the monthly financial update, the State Administrator conducts month- ly advisory meetings with the board where financial items are discussed. Since the last follow-up review in July 2004, the district has developed and adopted board policies. Pertinent board policies include the following. Board Policy 3000 identifies: • The board’s responsibility to adopt a responsible budget and monitor financial operations. • The administration’s responsibility for sound fiscal management, which includes preparing and presenting a detailed budget, producing all required financial re- ports, and keeping the board informed. Board Policy 3100 identifies: • The budget as a tool for monitoring fiscal health. • The need for public input. • The administration’s responsibility to identify significant changes in revenues and expenditures during the year and recommend budget revisions to ensure accurate projection of the district’s net ending balance. Financial Management 3 Administrative Regulation 3100 provides additional detail regarding the process to be followed for the adoption of the district budget, including public notice and hearing requirements, filing with the County Superintendent of Schools, and revisions subse- quent to the Governor’s signature of the annual Budget Act. In addition, the district has established operating procedures documenting how site administrators and department heads should report their proposed budgets and re- quest budget revisions. However, the district has not yet formalized the procedures that identify what information should be used to determine the budgeted amounts or when budgets should be revised. Procedures have not been developed identifying how periodic information should be presented to the board, how frequently it should be presented, or how information is coordinated between the program and fiscal manage- ment of categorical programs. Further, there is no standardized procedure for specific reports that are provided to the State Administrator or board. The district needs to develop formal operating procedures for monthly reporting of budget and financial information to the State Administrator/Governing Board. The procedures should identify the employee(s) responsible for compiling and presenting the information, the specific information and format of presentation, and the sources from which information should be obtained. The district is in the process of develop- ing procedures for each staff position and function; however, the date of completion is not certain. 2. The district has not implemented the recommendation to communicate financial issues to the community and staff via a “Fingertip Facts” pocket document, a user-friendly version of the district budget, the various district newsletters, the local newspaper, site newsletters, and the district Web site. 3. The district has not implemented the recommendation to establish a Finance/Audit Advisory Committee consisting of members from the various communities within the West Fresno Elementary School District. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 New Rating: 3 Implementation Scale: 4 Financial Management 2.5 Inter- and Intra-Departmental Communications—Communication of Illegal Acts Professional Standard The district should have formal policies and procedures that provide a mechanism for individu- als to report illegal acts, establish to whom illegal acts should be reported, and provide a formal investigative process. Progress on Recommendations and Improvement Plan 1. The district has implemented Board Policy 3400(a) to address fraud prevention and investigation. This policy establishes the expectation that all employees, board mem- bers, consultants, vendors, and other parties maintaining a relationship with the dis- trict act with integrity and due diligence. The policy also establishes that the Superin- tendent or the Superintendent’s designee shall be responsible for developing internal controls to aid in the prevention and detection of fraud or financial impropriety, and tasks all employees to be alert to any indication of fraud. Instances are to be reported immediately to the supervisor, Superintendent, or other designee. The district also has adopted Administrative Regulation 3400(a), which identifies vari- ous types of fraud and impropriety and requires the Superintendent to investigate all instances while maintaining the appropriate level of confidentiality. The district should continue its efforts to expand and refine the policies and proce- dures regarding inappropriate behavior and fraud. 2. Board Policy 1312 identifies the need for a process that allows the community to make complaints about employees. The district should establish a method, such as a hot line or post office box that could only be accessed by the State Administrator or his desig- nee, to provide a secure and confidential way for employees and community members to report suspected instances of fraud or improper behavior. This may encourage staff and community members to bring pertinent information forward, which will assist in identifying, stopping, and preventing occurrences of fraud or other inappropriate behavior by district employees. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 0 July 2004 Rating: 0 July 2005 New Rating: 3 Implementation Scale: Financial Management 5 5.5 Budget Development Process (Policy)—Strategic Process to Analyze All Resources and Allocations Professional Standard The district should have a clear process to analyze resources and allocations to ensure that they are aligned with strategic planning objectives and that the budget reflects the priorities of the district. Progress on Recommendations and Improvement Plan 1. The district has adopted Board Policy 3000 that identifies the board’s and district’s responsibility to establish a budget with spending priorities that reflect the district’s vision and goals. Board Policy 3100(a) identifies the board’s responsibility to adopt a budget that is aligned with the district’s vision, goals, and priorities. The district has identified its priority as literacy. However, the priority has not been specifically identified in the budget, nor does the spending plan document how it sup- ports the attainment of this identified educational priority. The district should establish a process to link the educational priorities to the budget by producing a budget document that identifies prior-year goals and objectives and the status of those items. These should then become the basis for the current-year budget and spending plan, linking the expenditures with implementing the educational priori- ties. 2. The district has not established a citizens’ Fiscal Review or Budget Advisory Commit- tee to provide for a financial review of the district’s operation. However, Board Policy 3100(a), which was adopted since the last review, establishes that the Superintendent shall appoint a community budget advisory committee. 3. The district has adopted board policies requiring the monitoring of the budget and its alignment with goals and priorities. The district has informally implemented proce- dures to monitor its restricted and unrestricted expenditures. Further, the district has established a significant number of operating procedures. However, none of the proce- dures established to date specifically address this item nor do they establish a process to review and monitor the relationship between the stated educational priorities and the budget spending plan. The district should formally document the monitoring and reporting process, includ- ing the timing, persons responsible, and specific responsibilities. This would help to ensure that monitoring and reporting is done, accurate information is provided, and that there is continuity in process, even if there is turnover in district staff. 6 Financial Management Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 4 July 2005 New Rating: 4 Implementation Scale: Financial Management 7 5.8 Budget Development Process (Policy)—Projection of the Net Ending Balance Professional Standard The district must have an ability to accurately reflect its net ending balance throughout the bud- get monitoring process. The first and second interim reports should provide valid updates of the district’s net ending balance. The district should have 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 Recommendations and Improvement Plan 1. The district monitors revenues and expenditures monthly, and formally reviews/moni- tors the projected net ending balance at the interim reporting periods. It informally monitors the projected year-end balance in its monthly monitoring and reporting to the State Administrator through the use of the Fiscal Position Report, which implic- itly identifies impacts on the net ending balance. However, the report and process used does not specifically identify the projected net ending balance. While it appears that the monthly monitoring meeting between the State Administrator and the Chief Business Official includes a discussion of items such as the district’s financial status, changes in revenues and expenditures to date, anticipated changes over the remainder of the year, and any changes that will need to be made in the budget and/or operations to address changing budget condition, there is no documentation of items reviewed and discussed or actions to be taken. The district should formally monitor and project the net ending balance monthly. The district should also document items reviewed/discussed and any actions to be taken or budget revisions to be made. This will provide the district with better information so that expenditure decisions can be made or modified during the year to avoid deficit spending and rebuild ending balances. This should be implemented immediately. 2. The district informally requires all budget transfers and revisions to be presented to the State Administrator/Governing Board at least monthly. The district has adopted operating procedures regarding verifying budgets and requesting budget revisions that require budget transfers between accounts within the budget to be approved by the site administrator or department manager and the Business Manager. Budget augmen- tations must be approved by the Superintendent/State Administrator. However, the underlying policy and procedures for this approval and presentation to the Governing Board have not yet been formalized. The district should formalize the policy and procedures to require that all budget transfers be presented to the State Administrator/Governing Board monthly. Budget transfers may be presented for informational purposes, while budget revisions should be presented for approval. 8 Financial Management Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 4 July 2005 New Rating: 4 Implementation Scale: Financial Management 9 6.2 Budget Development Process (Technical)—Budget Calendar Professional Standard An adopted budget calendar exists that meets legal and management requirements. At a minimum the calendar should identify statutory due dates and major budget development activities. Progress on Recommendations and Improvement Plan 1. The district is in the middle of the budget development cycle for the 2005-06 fiscal year, so it is not possible for this standard to be fully implemented. The district refers to the California Department of Education’s Financial Reporting Calendar and Fresno County Office of Education’s general budget calendar, which include the majority of recommended items, such as: • Release of the Governor’s Budget and analysis of its impact on the district • Projection of enrollment and ADA • Dates for Budget Advisory Committee meetings • Revisions to preliminary budget for information contained in the Governor’s May budget revisions • Dates for public hearings There are also generic budget development worksheets available from the county. The district’s budget development activities to date have been minimal. Since the last progress report, the district has adopted board policies that require compliance with the minimal legal requirements regarding the adoption and filing of the budget. The district has also taken action to generally identify specific tasks, responsible parties, or target dates for various budget development activities. There are now operating pro- cedures (BO #1000) that address using the financial system for developing the budget. The procedures do not specifically provide that the budget development process will be used or to whom the worksheets will be distributed, the sources of information, or a requirement to document assumptions, sources of information, and supporting compu- tations. In fact, the principals and directors are not responsible for developing their budgets. Rather, the Business Office receives general requests from directors/managers and principals for items they want to have included in the budget. However, essentially all responsibility rests with the Business Office. This is of particular concern with cat- egorical funding and expenditures. The district receives a significant amount of cate- gorical funding, and the accurate budgeting and appropriate expenditure of these funds must be a priority. Further, there is no clear process or requirement that the Business Office receive grant letters or backup documentation regarding the assumptions and calculations embodied in the categorical budgets. Clearly, categorical budget, fiscal oversight, and program management are still areas of concern. In addition, the district has not established a Budget Advisory Committee to provide input on budget development. 10 Financial Management While these items likely will not be put in place for the 2005-06 budget development cycle, for all future budgets the district should: • Modify the county’s budget development calendar to correspond to the district’s actual budget development activities and utilize that calendar to manage and monitor the budget development process. • Ensure that the calendar identifies specific individuals responsible for various budget-related activities. • Develop budget development guidelines identifying:  Assumptions to be used.  Sources of information to be used for assumptions not provided.  Worksheets to be used by principals and directors/managers in the devel- opment of their site/department budgets prior to entry into the financial system budget module. • Obtain training for the Director of Categorical Programs, principals, and Busi- ness Office staff regarding topics such as state and federal budget information, program management and compliance, and accounting and coding issues (such as SACS) to ensure the accurate budgeting of categorical revenues and expenditures and appropriate utilization of the funds. • Establish a Budget Advisory Committee to provide input into developing budget priorities and to provide a link to the community. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 2 Implementation Scale: Financial Management 11 7.3 Budget Adoption, Reporting, and Audits—AB 1200 Quality Assurance Processes Professional Standard The district should have procedures that provide for the development and submission of a district budget and interim reports that adhere to criteria and standards and are approved by the County Office of Education. Progress on Recommendations and Improvement Plan 1. The district was timely in submitting its 2004-05 budget, meeting the legal requirement. The district submitted its first interim report on January 14, 2004, meeting the legal deadline. Although the report had a negative certification, no comment was made by the CDE or the Fresno County Office of Education. The district submitted its second interim report on March 15, 2005, meeting the legal deadline. At the time of the team’s visit, CDE had not commented on the report. The Fresno County Office of Education concurred with the district’s negative certification. The 2005-06 fiscal year budget was being prepared at the time of this review, and was not required to be submitted to the CDE and the Fresno County Office of Education until after the fieldwork for this report. Therefore, it was not reviewed or evaluated. In general, it appears that the district is meeting statutory deadlines for submitting the required budget and interim reports. 2. These reports are prepared by the Business Manager. However, while the district has adopted board policies and has established operating procedures in several areas, there are no documented policies and procedures identifying who is responsible for preparing the reports or the process to be used to develop them. Further, there is no other staff member in the Business Office with sufficient knowledge and experience to prepare the reports. Therefore, if the Business Manager were to leave the district, the district would have difficulty meeting this standard. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 New Rating: 3 Implementation Scale: 12 Financial Management 7.9 Budget Adoption, Reporting, and Audits—Audit Administration and Resolution: Audit Resolution Legal Standard The district should include in its audit report, but not later than March 15, a corrective action for all findings disclosed as required by Education Code Section 41020. Progress on Recommendations and Improvement Plan 1. The district responded to the individual findings included in the draft of the 2003-04 audit report. For many of the findings, the district’s response included significant in- formation. However, since the State Controller’s Office had not yet finalized the audit report at the time of this review (after the March 15 deadline), the district has been precluded from producing the required corrective action plan by the statutory dead- lines. When the district receives the final audit report, it should draft a corrective action plan identifying the specific actions to be taken and/or changes to be made, and a timeline for the implementation of those items. The district should file this plan with the Fresno County Office of Education for review and approval. In future years, the district should file any supplemental corrective action plan with the Fresno County Office of Education and the CDE by the March 15 statutory deadline. In addition, since numerous items were identified in the audit findings that were also identified in the assessment and improvement plan, a detailed corrective action plan could also be utilized in developing a comprehensive plan to address the items identi- fied in this assessment. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 0 July 2004 Rating: 2 July 2005 New Rating: 3 Implementation Scale: Financial Management 13 8.1 Budget Monitoring—Encumbrance of Overexpenditures Professional Standard All purchase orders are properly encumbered against the budget until payment. The district should have a control system in place to ensure that adequate funds are available prior to incur- ring financial obligations. Progress on Recommendations and Improvement Plan 1. The district has converted its financial management system to the fully integrated, SACS-compliant Fresno County system. The district implemented the budget and financial module, including the online requisitions. While the system allows for purchase requisitions to be prepared, authorized, and routed online, purchases are initiated by site administrators and directors/managers who fill out purchase requisitions on the system, print a hard copy, sign the requisi- tions, and submit them to the Business Office. One Account Technician in the Busi- ness Office reviews the requisitions for completeness and verifies that the budget has sufficient funds. If so, a purchase order is produced and forwarded to the Business Manager for review and approval, which is signified by his/her initials on the purchase order. It is then forwarded to the State Administrator for approval and signature. The process appears to be paper intensive, but the district utilizes it to provide additional control through several levels of review. The district now provides site administrators and directors/managers with online access to budget information. However, while the system allows for online budget transfers, the district, for oversight purposes, still requires site administrators and di- rectors/managers to submit manual budget transfer and revision requests. The requests are then reviewed by the Business Manager and/or State Administrator. Final approval must be given by the State Administrator for any budget augmentation. The district should continue implementing the capabilities of the budget and financial system to increase the accountability of site and department administrators, increase the efficiency and control of financial transactions, and improve the accuracy of bud- get and financial information. 2. The district has converted to the Fresno County Office of Education’s financial sys- tem. As currently installed, the purchasing module will identify a lack of sufficient funds in an account for a purchase requisition/order, but will still allow the purchase requisition to be created and processed. The district should consider fully utilizing the online capabilities of the purchasing system. To maximize internal control over purchases and improve efficiency, the district should work with the Fresno County Office of Education to implement a hard reject for purchases if there are not sufficient funds in the identified account. 14 Financial Management 3. The district has installed the personnel module of the county’s system and now per- forms absence tracking through that system. However, it has not yet implemented position control on the county system, which would allow the district to more easily budget, track, and project positions, personnel and benefit costs, and step and column costs. These features help to improve the accuracy of district budgets and strengthen the district’s control over personnel costs. 4. The district attempted to evaluate the costs/benefits of an automated substitute calling system that would interface with the district’s/county’s payroll system. That function currently is not available through the county system. The district should continue to work with the county to determine the future availabil- ity, timing, and estimated cost for an automated substitute calling system. If automated substitute calling cannot/will not be available through the county, the district should investigate third-party providers for such a system. Properly interfaced, the system may provide many control features that will safeguard district funds, as follows: • For substitutes required because of employee illness, the system can provide an automated pay event for the substitute and an automated leave reduction for the em- ployee. This enables a district-level reconciliation to ensure that substitutes used for employee illnesses are legitimate, and that the correct expenditure line is charged. • For substitutes required to enable employees to attend workshops or conferences, the system can assign a preapproved event number that is tied to a categorical budget number. This will ensure that the unrestricted general fund is not paying for release time that should be charged to restricted funds. In addition, such an integrated system will reduce the labor-intensive processes of sub calling, reconciling substitute time and pay, and absence tracking. 5. The district has informally established procedures that require the receiving party to verify the receipt of purchased items and forward a signed and dated copy of the purchase order/receiving report to the business staff. Items are received at the district office and delivered by a designated warehouse employee to the employee who initi- ated the order. The staff member who ordered the goods is required to count and sign the receiving slip. One copy is retained by the ordering party, and the warehouse em- ployee brings the remaining copies back to the district office, where the signed copy is matched to the purchase order. When the invoice is received, the Accounts Payable Clerk pulls the purchase order and signed receiving document and matches them to support payment. Therefore, the district has attempted to improve separation of duties. However, no official policy or procedure exists within the purchasing area addressing receiving policies and procedures, nor is there assurance that the procedure is consis- tently being followed. The district should establish a formal policy requiring different staff members to prepare purchase orders, perform the receiving function, and pay Financial Management 15 the invoices. The district should consider implementing/utilizing a formal receiving document. Employees receiving the goods should document receipt by verifying the number and condition of the goods received and signing and dating the receiving slip. 6. The district requires all payments to be reviewed by the Business Manager and/or State Administrator, who should verify appropriate documentation. The policy and procedures have been formalized. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 3 July 2004 Rating: 4 July 2005 New Rating: 5 Implementation Scale: 16 Financial Management 8.2 Budget Monitoring—Monitoring of Department and Site Budgets Professional Standard There should be budget monitoring controls, such as periodic reports, to alert department and site managers of the potential for overexpenditure of budgeted amounts. Revenue and expenditures should be forecast and verified monthly. Progress on Recommendations and Improvement Plan 1. The district provides site principals, department directors, and program managers with online access to their budget information. However, the district has not modified the budget development process to require site administrators, as well as department and program managers, to be primarily responsible for the development of their budgets. To achieve this, the budget development process and calendar should include the site/ department administrators in the first phase of budget development. Further, these ad- ministrators should be evaluated on how well they manage their budgets and achieve congruence with the district’s overall goals. This would foster fiscal accountability by the managers and increase budget monitoring. 2. The district has essentially established online requisitioning and budget monitoring. The district, for reasons of oversight, has decided at this time not to allow site admin- istrators and department and program managers to make online budget transfers. The district has not implemented a hard reject for purchases where expenditures ex- ceed budget. This would require the sites and departments to continually monitor their budgets online and to ensure that spending patterns are appropriate. Administrators/ managers would then be required to initiate a budget transfer before the expenditure occurred rather than after, and provide better overall control of the budget. Therefore, to the extent that the county financial system accommodates it, the district should implement a hard reject in its purchasing/budget system for any expenditure that ex- ceeds available funds. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 2 July 2004 Rating: 3 July 2005 New Rating: 3 Implementation Scale: Financial Management 17 8.5 Budget Monitoring—Position Control Professional Standard The district uses an effective position control system, which tracks personnel allocations and expenditures. The position control system effectively establishes checks and balances between personnel decisions and budgeted appropriations. Progress on Recommendations and Improvement Plan 1. The district has implemented the county’s financial management system, including the personnel module. However, the district has not implemented position control. 2. It is important that position control be implemented so that Payroll, Human Resourc- es, and Budget all have the same number of employees and FTEs, that those employ- ees are on the proper step and column of the salary schedules, and that salary and benefit information is accurate and consistent. This is most easily achieved by using an integrated position control system. Further, an integrated position control system facilitates budgeting and financial projections. Standard Implemented: Not Implemented July 2003 Rating: 0 January 2004 Rating: 0 July 2004 Rating: 0 July 2005 New Rating: 0 Implementation Scale: 18 Financial Management 11.1 Attendance Accounting—Accuracy of Attendance Accounting System Professional Standard An accurate record of enrollment & attendance is maintained/reconciled at the sites monthly. Progress on Recommendations and Improvement Plan 1. The district has not adopted board policies and administrative regulations regarding daily attendance procedures. The district should adopt comprehensive and updated policies that include the area of attendance accounting. 2. The district has partially developed written procedures and has developed and docu- mented the roles and responsibilities of various staff members (such as site secretaries, teachers, the database administrator, site administrators) regarding attendance ac- counting. In addition, the district has revised all its job descriptions and clearly identi- fied attendance accounting as a basic responsibility for teachers, principals, and school secretaries. The district supplements its efforts with materials produced and provided by the software vendor. The Attendance Accounting Technician has worked with site staff to increase the time- liness of attendance information from all teachers, reducing the number of corrections in general and last-minute amendments to the state attendance reports or revisions at a later date. Therefore, the accuracy of attendance data should be better. As a good business practice, the district should develop a formal desk manual for at- tendance procedures that follows the adopted board policies and administrative regu- lations and can be used as a reference and training material. 3. The district provides site access to attendance information and reports in the new Aeries attendance accounting system. The new system allows sites to access all perti- nent attendance information through a Web-based interface. 4. Through the new attendance system, the district can verify the accuracy of informa- tion and identify errors or inconsistencies. Error reports generated by the system are reviewed by the Attendance Accounting Technician. Noted errors/omissions are forwarded to the State Administrator, who then reviews the matter with the site prin- cipal to ensure followup and correction. This appears to have reduced the number of errors and the need for subsequent corrections. Also, the number of errors appears to be declining as users become more familiar with the attendance software. 5. The district has updated the Kindergarten Retention form to be used for any kinder- garten student to be retained. This form is signed and kept on file at the district office. Financial Management 19 Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 3 July 2005 New Rating: 4 Implementation Scale: 20 Financial Management 11.2 Attendance Accounting—Policies and Fiscal Impact of Independent Study, Inter-/Intra-District Agreements Professional Standard Policies and regulations exist for Independent Study, Home Study, inter/intradistrict agreements and districts of choice, and should address fiscal impact. Progress on Recommendations and Improvement Plan 1. The district has adopted policies and administrative regulations regarding independent study procedures. This meets the requirements of Education Code Section 51747 that a district adopt written policies in order to be eligible for state apportionment for this program. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 2 July 2004 New Rating 2 July 2005 New Rating: 4 Implementation Scale: Financial Management 21 11.7 Attendance Accounting—Systems Training of Site Personnel Professional Standard School site personnel should receive periodic and timely training on the district’s attendance procedures, system procedures and changes in laws and regulations. Progress on Recommendations and Improvement Plan 1. The district has begun the process of adopting board policies related to employee training. It has not developed and adopted board policies or a plan for the orientation and training of new personnel, including new hires and substitutes. The district has policies that recognize the need for staff development, but the policies do not identify the need/requirement for the district to provide annual update/refresher training for staff in core areas related to their job duties. The district should adopt formal board policies for employee training and adopt/im- plement a formal annual training plan. The training should include written materials, and attendance should be mandatory for all applicable personnel. A regular training schedule should be developed and followed. With regard to attendance accounting, a plan to include new hires, as well as returning employees, should be established to en- sure that accurate, efficient information is received from site staff, which is needed to complete the Form J18/19 for P-1, P-2, and annual reporting. Funding for the district is based on these reports; therefore, they should be as accurate as possible. 2. The district has implemented a new student data base and attendance system. As a result of the conversion to the new system, the district regularly updates the training materials for changes in the student system. In addition, every teacher and office staff member received a manual/handbook regarding the attendance accounting system, which should help to ensure that the system is being utilized to capacity. A pamphlet provides information/assistance to substitute teachers. The district has attempted to reinforce the importance of attendance accounting for teachers, substitutes, and site administrative staff by identifying attendance accounting as a responsibility in the job duty statements and identifying the individual responsibilities for attendance account- ing by position. The district should continue to update its manual and training materials annually to reflect changes in the attendance system/software and in attendance accounting laws and regulations. 3. The Attendance Accounting Technician provides training to site staff prior to the start of the school year, and serves as a resource throughout the year. The district should continue to provide this training at the beginning of each school year to refresh teach- ers and administrative staff regarding appropriate attendance procedures, how to utilize the attendance system, changes in the attendance system/software, and changes in attendance accounting laws and regulations. 22 Financial Management Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 2 July 2004 New Rating 2 July 2005 New Rating: 4 Implementation Scale: Financial Management 23 12.2 Accounting, Purchasing, and Warehousing—Accounting Procedures: Timely and Accurate Recording of Transactions Professional Standard The district should timely and accurately record all information regarding financial activity for all programs (unrestricted and restricted). Generally Accepted Accounting Principles (GAAP) require that in order for financial reporting to serve the needs of the users, it must be reliable and timely. Therefore, the timely and accurate recording of the underlying transactions (revenue and expenditures) is an essential function of the district’s financial management. Progress on Recommendations and Improvement Plan 1. The draft audit of the district’s 2003-04 fiscal year disclosed numerous instances where transactions were not recorded timely or accurately, or where documentation to support the recorded transaction was either missing or insufficient. Further, while staff appear to have received some training, there is no formal training program to system- atically increase staff knowledge. The district has adopted board policies for many ar- eas of financial and business management, and has developed operating procedures in several areas. However, the procedures are not yet comprehensive enough to qualify as desk manuals, which are designed to ensure that transactions are properly recorded. It appears that the district has improved its timeliness in processing transactions, particularly standard operating transactions such as payroll. Many of the draft audit findings relate to questions about the recording of items occurring in the prior period. This item cannot be fully addressed until the 2003-04 audit is finalized and the current year is completed. In order to improve the accuracy and timeliness of the recording and reporting of financial transactions, the district should: • Continue to develop and adopt comprehensive policies and procedures to ensure that employees are aware of the responsibilities and processes. • Develop desk manuals for all Business Office functions as a reference for staff with regard to the accounting cycles, timelines, and actual procedures/steps to be taken, which should improve the accuracy and correct processing of transactions. • Provide training to staff regarding adopted policies and procedures to increase their technical knowledge and capacity regarding job duties, and to familiarize them with the Fresno County financial and human resources system, SACS, the California School Accounting Manual, categorical programs, and program man- agement. • Continue to segregate duties, provide adequate supervision of employees, and provide review, verification, and authorization of work and transactions to ensure accuracy and timeliness. 24 Financial Management Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 2 July 2005 New Rating: 3 Implementation Scale: Financial Management 25 12.3 Accounting, Purchasing, and Warehousing—Accounting Procedures: Cash Professional Standard The district should forecast its revenue and expenditures and verify those projections on a monthly basis in order to adequately manage its cash. In addition, the district should reconcile its cash to bank statements and reports from the County Treasurer on a monthly basis. Standard accounting practice dictates that, in order to ensure that all cash receipts are deposited timely and recorded properly, cash is reconciled to bank statements monthly. Progress on Recommendations and Improvement Plan 1. The secretary/receptionist opens, date stamps, and logs all checks/cash received. All checks should be immediately logged and restrictively endorsed “for deposit only” to the district’s account. At month’s end, a copy of the receipt log should be provided to the Business Manager. While relatively few cash/checks are received through the mail, this process should be implemented to safeguard against loss or misappropriation. 2. The Business Manager performs cash/bank reconciliations. However, it is not clear that it is occurring consistently or always timely. The Business Manager should per- form a monthly cash/bank reconciliation utilizing the cash receipts log, cash receipts journal/cash receipts book, general ledger cash account, deposit slips, remittance ad- vices, and bank statements/account detail to timely reconcile all bank/cash accounts. 3. The district does not make timely bank deposits. Deposits should be made at least twice a month (when cafeteria receipts come in) to better safeguard assets and to en- hance interest earnings. 4. Due to the limited number and amount of cash receipts, the district uses a receipt book instead of a cash receipts journal to document all cash received. 5. The district segregates the cash receipts functions. The receptionist opens mail and logs receipts. One of the Account Technicians records the cash and prepares the deposit, and the other Account Technician makes the deposit. The Business Manager reconciles the cash/bank accounts at the end of the month. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 1 July 2004 New Rating 1 July 2005 New Rating: 3 Implementation Scale: 26 Financial Management 12.4 Accounting, Purchasing, and Warehousing—Accounting Procedures: Payroll Professional Standard The district’s payroll procedures should be in compliance with the requirements established by the County Office of Education. Standard accounting practice dictates that the district implement procedures to ensure the timely and accurate processing of payroll. Progress on Recommendations and Improvement Plan 1. The district uses a payroll module as part of its implementation of the integrated Fresno County Office of Education financial system. This has reduced the need for manual calculations, has increased efficiency, and has reduced the amount of staff time required and the number of supplemental payroll runs and checks. In addition, the district has improved segregation of duties by implementing the following process: • Account Technician reviews timesheets and related documentation • Payroll Technician inputs and runs the payroll • Business Manager and State Administrator scan the payroll prelist • State Administrator signs the payroll • Account Technician (instead of the Payroll Technician) picks up payroll • Human Resources Technician distributes the payroll warrants The district could further improve controls by ensuring that: • The payroll prelist is reconciled to the payroll register on a monthly basis • Employees sign for their paychecks when picked up, and the signature sheet is maintained with the monthly payroll documentation The district tracks leave balances through the payroll system. 2. The district has had the County Office of Education modify password access to the various financial system applications to only the staff working in that area. It ap- pears that the district has implemented multiple levels of passwords to try to increase security governing access to the personnel and accounting/payroll system. Further, the Payroll Technician who processes payroll no longer has access to the personnel system and vice versa. However, it is not clear how frequently passwords are changed. Given the small number of staff members, there appears to be a high ongoing risk that at some point staff members will share or obtain each others’ passwords to expedite work/transactions. This would circumvent and undermine internal control. 3. The district has established procedures to reconcile absence request forms information received by the Personnel Technician to the absence log and substitute timesheets. The district has established board policies covering all aspects of employee leave from the perspective of the requesting employee, but the policies do not address the respon- sibilities of the Personnel Office/staff. In addition, the district has established proce- dures (Standard Operating Procedures 2000 and 2020) specifically outlining employee responsibilities for requesting and reporting all types of leaves, as well as identifying Financial Management 27 the specific forms that must be processed. The procedures require the Personnel Office to perform a monthly audit to ensure the accuracy of submitted information. The district should establish formal written policies to address the responsibilities of the Personnel Office/staff and the procedures regarding the reconciliation of absence requests and the absence log. Substitute timesheets should be expanded and additional detail and clarification should be included. 4. The district has established hourly pay rates in the payroll system that are based on an employee’s normal pay rate. 5. The district has attempted to evaluate the costs/benefits of interfacing an automated substitute calling system with the payroll/human resources system. The district in- quired as to whether the county supported an automated substitute calling system that would integrate with the personnel module. However, such a system is not currently available through the county. The district should investigate whether there is any third-party substitute calling sys- tem that could interface with the county system. If a third-party system is available and cost effective, such a system could result in increased efficiencies and reduction of errors. Properly interfaced, the process of pay- ing substitutes, updating the permanent employee’s leave balances, and docking pay as necessary could be automated. In addition, the district would be able to reconcile substitute time and pay to the central office system to ensure that only authorized transactions are processed. The district would also be able to reconcile the employee’s leave time to the substitute pay event. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 3 July 2005 New Rating: 4 Implementation Scale: 28 Financial Management 12.8 Accounting, Purchasing, and Warehousing—Accounting Procedures: Purchasing and Warehousing Professional Standard The district should comply with the bidding requirements of Public Contract Code Section 20111. Standard accounting practice dictates that the district have adequate purchasing and ware- housing procedures to ensure that only properly authorized purchases are made, that authorized purchases are made consistent with district policies and management direction, that inventories are safeguarded, and that purchases and inventories are timely and accurately recorded. Progress on Recommendations and Improvement Plan 1. The district has implemented formal policies that identify and require compliance with Public Contract Code provisions. The district established the following board policies related to purchasing: • Board Policy 3310 requires the Superintendent/designee to establish effective purchasing procedures to obtain best value and comply with all applicable laws. It also requires that all purchases be made by contract or purchase order and sup- ported by receipt. • Board Policy 3311(a) requires purchases of equipment, supplies, and services when required by law and in accordance with statutory bidding requirements and procedures. In addition, the policy establishes that the board may require competi- tive bids even if not required by law and authorizes the use of piggyback bids and prequalification. • Administrative Regulations (AR) 3311(a) through (f) require the district to com- petitively bid all contracts for public works projects of $15,000 or more and all nonpublic works contracts exceeding the bid threshold established annually by the Superintendent of Public Instruction pursuant to Public Contract Code Sec- tion 20111. In general, AR 3311 requires compliance with all applicable laws and regulations. • Board Policies 3212(a) through 3212.2(b) require all contracts to be approved by the board, and further define the various types or circumstances giving rise to contracts and how each should be handled. In addition, the district has established procedures related to bidding, ethics related to purchasing and for vendors, instructions to bidders, bid thresholds, purchases with bids, and purchases over the bid threshold. Site administrators/department managers initiate/approve purchase requisitions, one designated Account Technician converts the requisition to a purchase order, and all purchase orders must be reviewed and approved by the Business Manager and/or State Administrator. Goods are brought to the district office and then delivered to the site by a designated custodial staff member. The appropriate site person verifies quantity and quality, and signs the packing slip. The delivering custodial staff returns the packing slip/receiving slip to the Business Office, where it is filed with the purchase order. When the invoice is received by the Account Technician responsible for Accounts Financial Management 29 Payable (a different technician from one that establishes the purchase order), he/she matches it to the purchase order and receiving document and prepares payment. Pay- ment is reviewed and approved by the Business Manager and/or State Administrator. Central office procedures relative to purchasing, receiving, and paying for goods should be documented in desk manuals. The district should also provide training to all affected employees regarding the implementation and use of the procedures and desk manuals when they are completed. 2. The district does not have a warehouse or secure area to receive/store goods received, and does not use a formal receiving document. However, the packing slips used as the receiving document appear to more consistently identify receiving date, verification of quantity/condition/quality, and the signature/initials of the person receiving the goods at the district office or the site/department than in the past. 3. The district should attempt to establish a secure area/room where goods can be de- livered/received in order to prevent loss or misappropriation. In addition, while the district use of packing slips as the receiving document seems to be working better than in the past, the district should consider utilizing a formal receiving process/document that would require and provide a record of the receipt of the goods—person receiving, date, quantity, condition, and delivery or pick-up by the staff member who originally placed the purchase order. 4. The district’s current system does not have a hard reject of purchase requisitions where there are not sufficient funds available in the identified account. That is, a pur- chase order can still be prepared and the order sent without sufficient funding in the account. This item was also addressed in previous recommendations. 5. The district has no board policies related to fixed assets. A fixed asset inventory was completed in November 2004. The district is in the process of updating its asset in- formation and receiving training on the fixed asset system. There are some operating procedures related to preparing the fixed asset acquisition and disposal worksheets. The district uses a fixed asset transfer log for both bar-coded and nonbar-coded items. These procedures do not appear to be comprehensive enough to adequately address the need to identify, tag, and inventory all fixed assets. Further, there are no estab- lished policies or procedures related to performing an annual physical inventory. Therefore, the district needs to establish comprehensive policies and procedures to address all aspects of asset management, including the need to maintain comprehen- sive asset records that are updated when items are purchased or retired and the perfor- mance of an annual physical count. 30 Financial Management Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 3 Implementation Scale: Financial Management 31 12.9 Accounting, Purchasing, and Warehousing—Accounting Procedures: Construction-Related Activities and Expenditures Professional Standard The district has documented procedures for the receipt, expenditure, and monitoring of all con- struction-related activities. Included in the procedures are specific requirements for the approval and payment of all construction-related expenditures. Progress on Recommendations and Improvement Plan 1. The district has not updated policies to reflect the latest changes to the Education Code related to the state building program. The district has adopted board policies for facilities (Board Policy 7000-7310) that include items related to various financing mechanisms. However, the policies do not address the state facilities programs avail- able. 2. The district should establish a set of basic guidelines that must be followed for proper accounting of all construction-related activities and provide training for all business and facilities staff that will be involved in any facilities project. 3. The district should prepare a procedural guide for fiscal monitoring and accounting for construction projects and construction related activities. It should establish a set of basic guidelines that must be followed for proper accounting of all construction- related activities. Once the guidelines are developed, in-service training should be provided to all district staff who are responsible for any aspect of construction-related activities. The procedures should also be provided to consultants and contractors so that they have a full understanding of what will be required of them when submitting documentation to the district. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 3 July 2004 Rating: 3 July 2005 New Rating: 4 Implementation Scale: 32 Financial Management 12.10 Accounting, Purchasing, and Warehousing—System Controls to Prevent and Detect Errors and Irregularities Professional Standard The accounting system should have an appropriate level of controls to prevent and detect errors and irregularities. Progress on Recommendations and Improvement Plan 1. The district has not developed comprehensive policies and procedures for each trans- action cycle and/or activity performed by the Business Office to provide resource and training material for staff to ensure the timely and accurate processing of financial information. It has adopted board policies generally covering many areas of business operations. In addition, the district has implemented some operating procedures. How- ever, the procedures implemented to date do not comprehensively address all facets of the duties and processes associated with various transaction cycles. The district should continue its efforts to develop comprehensive policies and proce- dures for all major transaction cycles/activities performed by the Business Office. The district should work with the County Office, the California Department of Education, its auditors, and, if necessary, outside consultants, in developing these procedures to ensure that they are sufficiently comprehensive and include essential internal controls. 2. The district has not yet identified staff training needs or established a training plan to ensure that all Business Office staff have sufficient technical understanding and knowledge to efficiently and effectively perform their functions. Such training should specifically cover new district policies and procedures as they are developed. The district should assess the technical skills/knowledge of its Business Office staff and develop a comprehensive training plan that provides extensive and ongoing train- ing. The training should coordinate with the updated individual job descriptions and duties. Based on those job descriptions, the district should establish required training, recommended training, and optional training. This training should be structured to: • Ensure and sustain minimum competency. • Promote the acquisition of higher levels of technical knowledge and proficiency. • Prepare employees for advancement on the career path/ladder. 3. The district has made greater use of the county financial system by moving its budget, financial, and personnel functions onto the system. However, the district is not utiliz- ing position control. The district should ensure that it utilizes system capabilities to the fullest extent prac- ticable to increase efficiency and improve internal control. Of particular importance is position control, which will assist the district in managing FTEs and funding sources, as well as facilitate the budget development process. Financial Management 33 Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 2 July 2004 Rating: 3 July 2005 New Rating: 4 Implementation Scale: 34 Financial Management 14.2 Multiyear Financial Projections—Projection of Revenues, Expenditures and Fund Balances Legal Standard The district annually provides a multiyear revenue and expenditure projection for all funds of the district. Projected fund balance reserves should be disclosed. The assumptions for revenues and expenditures should be reasonable and supportable. [EC 42131] Progress on Recommendations and Improvement Plan 1. The district prepares multiyear projections only as required for interim reporting. As such, the projections only cover two years beyond the current year. The district does provide some discussion of the assumptions/changes in the out-years of the projection, but the information is minimal, and the rationale for the assumptions/changes is not provided. The district only prepares multiyear projections for the general fund. Its sub- mitted multiyear recovery plan covered the current year (2004-05) and the four subse- quent years. The plan included other funds and provided some information regarding the underlying assumptions and rationale, but with limited detail. The district should continue to make five-year financial projections to provide com- prehensive information about the long-term sustainability of current financial deci- sions. These projections should then be used as a management tool in planning the operations and required budget allocations for expected service levels for the vari- ous programs the district operates. Financial decisions that are feasible in the shorter term (current and two subsequent years) could become unsupportable over the longer period. Therefore, the projections should also be used to identify potential fiscal issues and to craft appropriate responses. In building its budget and financial projections, the district should make a more de- tailed analysis of revenues and expenditures by program/resource and object/ sub-object. As more information about program (resource) revenues and expendi- tures becomes available, the budget and multiyear projections should be revised, and changes in assumptions identified and explained. In addition, the district should comprehensively document assumptions and rationale so that the underlying premises are clear. The documentation should include assump- tions and rationale for both revenues and expenditures and identify information, such as enrollment growth or decline, the ADA-to-enrollment ratio, projected ADA, CO- LAs for revenue limit and state and federal categorical funding, deficit factors for rev- enue limit and state categorical COLAs, changes in categorical program participation, changes in local revenues (interest, lease/rental income, donations), projection of step and column costs, salary adjustments, basic staffing ratios, changes in staffing, number of retirements, and cost factors related to the various expenditure objects. In addition, the district should maintain worksheets and other supporting documentation used to develop the multiyear projections. Financial Management 35 Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 2 July 2004 Rating: 3 July 2005 New Rating: 4 Implementation Scale: 36 Financial Management 15.3 Long-Term Debt Obligations—Debt Service Cash Flow Projections and Plans Professional Standard 1. For long-term liabilities/debt service, the district should prepare debt service sched- ules and identify the dedicated funding sources to make those debt service payments. 2. The district should project cash receipts from the dedicated revenue sources to ensure that it will have sufficient funds to make periodic debt payments. 3. The cash flow projections should be monitored on an ongoing basis to ensure that any variances from projected cash flows are identified as early as possible, in order to allow the district sufficient time to take appropriate measures or identify alternative funding sources. Progress on Recommendations and Improvement Plan 1. The district has partially implemented the prior recommendation to prepare long- term debt service schedules since its multiyear recovery plan included a schedule of long-term debt. However, the schedule did not provide information regarding funding sources and anticipated cash flows. The district should continue to prepare/update the long-term debt schedule and should identify the funding source for each long-term item. This information should be pro- vided to the State Administrator and funds should be budgeted accordingly. 2. The district should prepare monthly cash-flow statements for long-term debt that iden- tify receipts, disbursements, and the source of the funds. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 0 July 2004 Rating: 0 July 2005 New Rating: 2 Implementation Scale: Financial Management 37 16.2 Impact of Collective Bargaining Agreements—Measurement and Evaluation of Bargaining Agreement Implementation Costs and Assurance of Notice to the Public Professional Standard The State Administrator/Governing Board must ensure that any guideline the district develops for collective bargaining is fiscally aligned with the instructional and fiscal goals on a multiyear basis. The State Administrator/Governing Board must ensure that the district has a formal pro- cess where collective bargaining multiyear costs are identified and those expenditure changes are identified and implemented as necessary prior to any imposition of new collective bargaining ob- ligations. The State Administrator/Governing Board must ensure that there is a validation of the costs and the projected district revenues and expenditures on a multiyear basis so that the fiscal resources are not strained further due to bargaining settlements. The public should be informed about budget reductions that will be required for a bargaining agreement prior to any contract acceptance by the Governing Board. The public should be given advance notice of the provisions of the final proposed bargaining settlement and be given an opportunity to comment. Progress on Recommendations and Improvement Plan 1. The district should establish policies and procedures regarding negotiations, with a requirement that potential bargaining positions be identified prior to the start of nego- tiations. It also should establish policies and procedures indicating that all settlement items be analyzed by the Budget/Accounting Office to identify both current and ongo- ing costs and the effect on the district’s financial position. 2. The district’s Business Manager is involved in the negotiation process to ensure that fiscal issues are clearly delineated for the negotiator/State Administrator. 3. The Business Manager analyzes proposed settlements to ensure that the district can fund the obligations both in the current year and on an ongoing basis. However, there is no formal policy or procedure requiring such review and analysis, nor is this analy- sis documented. This item should be addressed in the above policies and procedures. 4. The district should adopt a policy that would preclude the adoption of a proposed settlement if such settlement can only be financed by implementing offsetting expen- diture reductions until the necessary reductions have been identified and adopted. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating 0 July 2004 Rating: 2 July 2005 New Rating: 2 38 Financial Management Implementation Scale: Financial Management 39 18.8 Maintenance and Operations Fiscal Controls—Fixed Asset Inventory Professional Standard Capital equipment and furniture should be tagged as district-owned property and inventoried at least annually. Progress on Recommendations and Improvement Plan 1. The district has performed an inventory, but it is not clear that all inventory (furniture and equipment) has been tagged. In addition, the district has established some proce- dures related to inventory, but those procedures do not appear to cover all aspects of asset management, including the tagging and recording of new equipment purchased. 2. The district is still in the process of updating its accounting records to accurately reflect the actual assets. The district still needs to adopt policies requiring an annual physical inventory and procedures regarding the timing and process for performing the inventory. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 2 Implementation Scale: 40 Financial Management 20.1 Charter Schools—Financial Management and Oversight Professional Standard In the process of reviewing and approving charter schools, the district should identify/establish minimal financial management and reporting standards that the charter school will follow. These standards/procedures will provide some level of assurance that finances will be managed ap- propriately, and allow the district to monitor the charter. The district should monitor the finan- cial management and performance of the charter schools on an ongoing basis to ensure that the resources are appropriately managed. Progress on Recommendations and Improvement Plan 1. The district has adopted policies regarding the review, approval, and oversight of the charter schools it charters. With regard to fiscal provisions, the board policies and administrative regulations include: • Board Policy 420.4(a)—General: Requires the board to ensure that the charter contains adequate processes and measures for holding the school accountable for fulfilling the charter terms, including fiscal accountability. • Administrative Regulation 420.4—Petition: Requires petitions to include: ° Identification of how annual independent financial audits shall be con- ducted and how deficiencies will be corrected. ° Financial statement that include the proposed first-year operational bud- get, start-up costs, cash-flow, and a three-year financial projection. ° Administrative Regulation 420.4—Revocation: Allows charters to be revoked if the school does not follow Generally Accepted Accounting Principles or engages in fiscal mismanagement. ° Administrative Regulation 420.4—Operating Requirements: Requires charter schools to annually prepare and submit financial reports to the district/board consistent with the reporting cycle for California school districts. Such reporting includes the preparation and submission of a budget, first and second interim reports, unaudited actuals, and an annual financial audit. The district attempts to obtain financial information from the charters, but the efforts to gain compliance with the request are not vigorous. The district should adopt proce- dures to implement board policies regarding the review, approval, and oversight of its charter schools. 2. The district has not revised its charter agreements to include a clause that requires the charter schools to regularly submit reports to the district office for monitoring by the district. The reports should include a cashflow statement, an income statement (e.g., operating statement), and the annual audit report. The intervals for these reports to be submitted to the district should be consistent and timely (e.g., monthly, quarterly). Financial Management 41 The district should revise its charter agreements so that they clearly specify and re- quire financial information to be submitted by the charters that allows the district to fulfill its oversight obligations. 3. The district has established policies and attempts to exercise some minimal level of oversight of its charters, but such oversight is not strong and consistent. Further, it has not established procedures related to that oversight that specifically assign staff to be responsible for carrying out such oversight duties. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 0 July 2004 Rating: 0 July 2005 New Rating: 2 Implementation Scale: 42 Financial Management Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review 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 practice. All manage- 1.1 ment-level personnel should exhibit 2 high integrity and ethical values in carrying out their responsibili- ties and directing the work of oth- ers. [State Audit Standard [SAS] 55, SAS-78) The district should have an audit committee to: (1) help prevent inter- nal controls from being overridden by management; (2) help ensure ongo- ing state and federal compliance; (3) 1.2 0 provide assurance to management that the internal control system is sound; and, (4) help identify and correct inefficient processes. (SAS- 55, SAS-78) The attitude of the Governing Board and key administrators has a sig- nificant effect on an organization’s internal control. An appropriate 1.3 attitude should balance the program- 2 matic and staff needs with fiscal realities in a manner that is neither too optimistic nor too pessimistic. (SAS-55, SAS-78) The organizational structure should clearly identify key areas of author- ity and responsibility. Reporting 1.4 0 lines should be clearly identified and logical within each area. (SAS-55, SAS-78) The identified subset of standards appears in bold print. 43 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Management should have the abil- ity to evaluate job requirements and 1.5 2 match employees to the requirements of the position. (SAS-55, SAS-78) The district should have procedures for recruiting capable financial man- 1.6 0 agement and staff and hiring compe- tent people. (SAS-55, SAS-78) The responsibility for reliable fi- nancial reporting resides first and foremost at the district level. Top management sets the tone and es- 1.7 tablishes the environment. Therefore, 0 appropriate measures must be imple- mented to discourage and detect fraud. (SAS 82; Treadway Commis- sion) The business and operational depart- ments should communicate regu- larly with internal staff and all user departments on their responsibilities for accounting procedures and in- ternal controls. The communications should be written whenever possible, particularly when it (1) affects many staff or user groups, (2) is an issue 2.1 of high importance, or (3) when the 0 communication reflects a change in procedures. Procedures manuals are necessary to the communication of responsibilities. The departments also should be responsive to user department needs, thus encourag- ing a free exchange of information between the two (excluding items of a confidential nature). The identified subset of standards appears in bold print. 44 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The financial departments should communicate regularly with the Governing Board and community on the status of district finances and the financial impact of proposed expenditure decisions. The commu- 2.2 0 2 2 3 ❑ nications should be written when- ever possible, particularly when it affects many community members, is an issue of high importance to the district and board, or reflects a change in policies. The Governing Board, finance com- mittees, staff and community should have presented to them documents that can be easily understood. Those 2.3 0 who receive documents developed by the fiscal division should not have to wade through complex, lengthy computer printouts. The Governing Board should be en- gaged in understanding globally the fiscal status of the district, both cur- 2.4 rent and as projected. The Governing 0 Board should prioritize district fiscal issues among the top discussion items. The district should have formal policies and procedures that pro- vide a mechanism for individuals 2.5 to report illegal acts, establish 0 0 0 3 ❑ to whom illegal acts should be reported, and provide a formal investigative process. The identified subset of standards appears in bold print. 45 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Develop and use a professional de- velopment plan, e.g., training busi- ness staff. The development of the plan should include the input of the business manager and staff. The staff development plan should, at a mini- 3.1 0 mum, identify appropriate programs office-wide. At best, each individual staff and management employee should have a plan designed to meet their individual professional develop- ment needs. Develop and use a professional development plan for the in-service training of school site/department staff by business staff on relevant business procedures and internal 3.2 0 controls. The development of the plan should include the input of the business office and the school sites/ departments and be updated annu- ally. The California Association of School Business Officials has initiated a certification program to provide a vehicle for identification of compe- tence in the field of school business 3.3 management. This program is cur- 0 rently voluntary. It is recognized as an indicator of the background and experience that validates the abili- ties of current and potential school business managers. The Governing Board should adopt policies establishing an internal 4.1 audit function that reports directly 0 to the State Administrator and the audit committee or Governing Board. The identified subset of standards appears in bold print. 46 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Internal audit functions should be designed into the organizational structure of the district. These func- tions should include periodic internal 4.2 0 audits of areas at high risk for non- compliance with laws and regulations and/or at high risk for monetary loss. Qualified staff should be assigned to conduct internal audits and be 4.3 0 supervised by an independent body, such as an audit committee. Internal audit findings should be reported on a timely basis to the audit committee, Governing Board 4.4 and administration, as appropriate. 0 Management should then take timely action to follow up and resolve audit findings. The budget development process requires a policy-oriented focus by the Governing Board to develop an expenditure plan that fulfills the district’s goals and objectives. The Governing Board should focus on expenditure standards and formulas 5.1 0 that meet the district goals. The Governing Board should avoid specif- ic line-item focus, but should direct staff to design an overall expenditure plan focusing on student and district needs consistent with the goals and objectives. The budget development process should include input from staff, 5.2 0 administrators, the board and com- munity. The identified subset of standards appears in bold print. 47 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Policies and regulations exist regard- 5.3 ing budget development and moni- 0 toring. The district should have Governing Board policies on the budget process. The district should have formulas for allocating funds to school sites and 5.4 departments. This can include staff- 0 ing ratios, supply allocations, etc. These formulas should be in line with the board's goals and direction, and should not be overridden. The district should have a clear process to analyze resources and allocations to ensure that they are 5.5 2 3 4 4 ❑ aligned with strategic planning objectives and that the budget re- flects the priorities of the district. The district should have a Governing Board budget development process 5.6 2 (policy) as it relates to the develop- ment of expenditure policies. The identified subset of standards appears in bold print. 48 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Categorical funds are an integral part of the budget process and should be integrated into the entire budget de- velopment. The revenues and expen- ditures for categorical programs must be reviewed and evaluated in the same manner as unrestricted general fund revenues and expenditures. Cat- egorical program development should be integrated with the district's goals and should be used to respond 5.7 3 to district student needs that cannot be met by unrestricted expenditures. The State Administrator and business office should establish procedures to ensure that categorical funds are expended effectively to meet district goals. Carryover and unearned in- come of categorical programs should be monitored and evaluated in the same manner as general fund unre- stricted expenditures. The district must have the ability to accurately reflect its net end- ing balance throughout the budget monitoring process. The first and second interim reports should pro- vide valid updates of the district's 5.8 2 3 4 4 ❑ net ending balance. The district should have tools and processes that ensure that there is an early warning of any discrepancies be- tween the budget projections and actual revenues or expenditures. The identified subset of standards appears in bold print. 49 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The budget office should have a technical process to build the pre- liminary budget that includes: the forecast of revenues, the verification and projection of expenditures, the identification of known carryovers and accruals, and the inclusion 6.1 0 of concluded expenditure plans. The process should clearly identify one-time sources and uses of funds. Reasonable ADA and COLA estimates should be used when planning and budgeting. This process should be applied to all funds. An adopted budget calendar exists that meets legal and management requirements. At a minimum the 6.2 0 1 1 2 ❑ calendar should identify statutory due dates and major budget devel- opment activities. Standardized budget worksheets should be used in order to com- 6.3 municate budget requests, budget 0 allocations, formulas applied, and guidelines. The district should adopt its annual budget within the statutory time lines established by Education Code Section 42103, which requires that on or before July 1, the Governing Board shall hold a public hearing 7.1 on the budget to be adopted for the 1 subsequent fiscal year. Not later than five days after that adoption or by July 1, whichever occurs first, the Governing Board shall file that bud- get with the county Superintendent of Schools. [EC 42127(a)] The identified subset of standards appears in bold print. 50 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Revisions to expenditures based on the state budget should be consid- ered and adopted by the Governing Board. Not later than 45 days after the Governor signs the annual Bud- 7.2 get Act, the district shall make avail- 0 able for public review any revisions in revenues and expenditures that it has made to its budget to reflect funding available by that Budget Act. [EC 42127(2) and 42127(i)(4)] The district should have procedures that provide for the development and submission of a district bud- 7.3 get and interim reports that ad- 2 2 2 3 ❑ here to criteria and standards and are approved by the County Office of Education. The district should complete and file its interim budget reports within the 7.4 statutory deadlines established by 2 Education Code Section 42130, et. seq. The district must comply with Gov- ernmental Accounting Standard No. 34 (GASB 34) for the period ending June 30, 2003. GASB 34 requires 7.5 the district to develop policies and 0 procedures and report in the annual financial reports on the modified accrual basis of accounting and the accrual basis of accounting. The first and second interim reports should show an accurate projection of the ending fund balance. Material 7.6 4 differences should be presented to the Governing Board with detailed explanations. The identified subset of standards appears in bold print. 51 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district should arrange for an an- nual audit (single audit) within the 7.7 5 deadlines established by Education Code Section 41020. Standard management practice dic- 7.8 tates the use of an Audit Committee. 0 The district should include in its audit report, but not later than 7.9 March 15, a corrective action for 0 0 2 3 ❑ all findings disclosed as required by Education Code Section 41020. The district must file certain docu- ments/reports with the state as follows: • J-200 series (Education Code Sec- 7.10 0 tion 42100) • J-380 series - CDE procedures • Attendance reports (Education Code 41601 and CDE procedures) Education Code Section 41020(c)(d)(e)(g) establishes pro- cedures for local agency audit obli- gations and standards. Pursuant to Education Code Section 41020(h), the district should submit to the 7.11 county Superintendent of Schools, in 0 the county that the district resides, State Department of Education, and the State Controller's Office an audit report for the preceding fiscal year. This report must be submitted "no later than December 15." All purchase orders are properly encumbered against the budget until payment. The district should 8.1 have a control system in place to 1 3 4 5 ❑ ensure that adequate funds are available prior to incurring finan- cial obligations. The identified subset of standards appears in bold print. 52 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review There should be budget monitor- ing controls, such as periodic reports, to alert department and site managers of the potential 8.2 0 2 3 3 ❑ for overexpenditure of budgeted amounts. Revenue and expendi- tures should be forecast and veri- fied monthly. The routine restricted maintenance account should be analyzed routinely to ensure that income has been properly claimed and that expen- ditures are within the guidelines 8.3 0 provided by the State Department of Education. The district budget should include specific budget information to reflect the expenditures against the routine maintenance account. Budget revisions are made on a regular basis, occur per established 8.4 3 procedures, and are approved by the Governing Board. The district uses an effective posi- tion control system, which tracks personnel allocations and expendi- 8.5 tures. The position control system 0 0 0 0 ❑ effectively establishes checks and balances between personnel deci- sions and budgeted appropriations. The district should monitor both the revenue limit calculation and the special education calculation at least 8.6 quarterly to adjust for any differenc- 0 es between the financial assumptions used in the initial calculations and the final actuals as they are known. The district should be monitoring the 8.7 site reports of revenues and expendi- 0 tures provided. The identified subset of standards appears in bold print. 53 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district budget should be a clear manifestation of district policies 9.1 and should be presented in a man- 1 ner that facilitates communication of those policies. Clearly identify one-time source and 9.2 1 use of funds. The Governing Board must review and approve, at a public meeting and 10.1 0 on a quarterly basis, the district’s investment policy. [GC 53646] An accurate record of daily enroll- ment and attendance is main- 11.1 2 3 3 4 ❑ tained at the sites and reconciled monthly. Policies and regulations exist for independent study, home study, 11.2 inter/intradistrict agreements and 2 2 2 4 ❑ districts of choice, and should ad- dress fiscal impact. Students should be enrolled by staff and entered into the attendance 11.3 4 system in an efficient, accurate and timely manner. At least annually, the school district should verify that each school bell 11.4 schedule meets instructional time 9 requirements for minimum day, year and annual minute requirements. Procedures should be in place to en- sure that attendance accounting and 11.5 reporting requirements are met for 3 alternative programs such as ROC/P and adult education. The district should have standardized and mandatory programs to improve 11.6 the attendance rate of pupils. Ab- 3 sences should be aggressively re- viewed by district staff. The identified subset of standards appears in bold print. 54 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review School site personnel should receive periodic and timely train- 11.7 ing on the district’s attendance 0 2 2 4 ❑ procedures, system procedures and changes in laws and regulations. Attendance records shall not be destroyed until after the third July 11.8 3 1 succeeding the completion of the audit. (Title V, CCR, Section 16026) The district should make appropriate use of short-term independent study 11.9 and Saturday school programs as al- 4 ternative methods for pupils to keep current on classroom course work. The district should adhere to the California School Accounting Manual (CSAM) and Generally Accepted Ac- counting Principles (GAAP) as re- quired by Education Code Section 12.1 0 41010. Furthermore, adherence to CSAM and GAAP helps to ensure that transactions are accurately recorded and financial statements are fairly presented. The district should timely and accurately record all information regarding financial activity (un- restricted and restricted) for all programs. Generally Accepted Ac- counting Principles (GAAP) require that in order for financial reporting 12.2 1 1 2 3 ❑ to serve the needs of the users, it must be reliable and timely. There- fore, the timely and accurate re- cording of the underlying transac- tions (revenue and expenditures) is an essential function of the district’s financial management. The identified subset of standards appears in bold print. 55 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district should forecast its rev- enue and expenditures and verify those projections on a monthly basis in order to adequately man- age its cash. In addition, the district should reconcile its cash to bank statements and reports from 12.3 0 1 1 3 ❑ the county treasurer on a monthly basis. Standard accounting practice dictates that, in order to ensure that all cash receipts are deposited timely and recorded properly, cash be reconciled to bank statements on a monthly basis. The district’s payroll procedures should be in compliance with the requirements established by the County Office of Education. Stan- 12.4 2 3 3 4 ❑ dard accounting practice dictates that the district implement pro- cedures to ensure the timely and accurate processing of payroll. Standard accounting practice dic- tates that the accounting work should be properly supervised and the work reviewed in order to en- 12.5 0 sure that transactions are recorded timely and accurately and to allow the preparation of periodic financial statements. Federal and state categorical pro- grams, either through specific program requirements or through general cost principles such as OMB 12.6 Circular A-87, require that enti- 1 ties receiving such funds must have an adequate system to account for those revenues and related expendi- tures. The identified subset of standards appears in bold print. 56 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Generally accepted accounting prac- tices dictate that, in order to ensure accurate recording of transactions, the district should have standard procedures for closing its books at 12.7 0 fiscal year-end. The district’s year- end closing procedures should com- ply with the procedures and require- ments established by the County Office of Education. The district should comply with the bidding requirements of Pub- lic Contract Code Section 20111. Standard accounting practice dictates that the district have ad- equate purchasing and warehous- ing procedures to ensure that only 12.8 properly authorized purchases are 1 1 1 3 ❑ made, that authorized purchases are made consistent with district policies and management direc- tion, that inventories are safe- guarded, and that purchases and inventories are timely and accu- rately recorded. The district has documented proce- dures for the receipt, expenditure and monitoring of all construction- related activities. Included in the 12.9 3 3 3 4 ❑ procedures are specific require- ments for the approval and pay- ment of all construction-related expenditures. The accounting system should have an appropriate level of controls to 12.10 0 2 3 4 ❑ prevent and detect errors and ir- regularities. The identified subset of standards appears in bold print. 57 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district must convert to the new Standardized Account Code Struc- ture. SACS will bring the district into 12.11 compliance with federal guidelines, 0 which will ensure no loss of federal funds (e.g., Title I, federal class size reduction). The Governing Board adopts policies and procedures to ensure compliance regarding how student body organi- 13.1 0 zations deposit, invest, spend, raise and audit student body funds. [EC 48930-48938] Proper supervision of all student body funds shall be provided by the board. [EC 48937] This supervision includes establishing responsibili- ties for managing and overseeing 13.2 4 the activities and funds of student organizations, including providing procedures for the proper handling, recording and reporting of revenues and expenditures. It is the district's responsibility to provide training and guidance to 13.3 site personnel on the policies and 0 procedures governing the associated student body account. In order to provide for oversight and control, the California Department of Education recommends that peri- 13.4 0 odic financial reports be prepared by sites, and then summarized by the district office. The identified subset of standards appears in bold print. 58 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review In order to provide adequate over- sight of student funds and to ensure proper handling and reporting, the California Department of Education 13.5 0 recommends that internal audits be performed. Such audits should review the operation of student body funds at both district and site levels. A reliable computer program that 14.1 provides reliable multiyear financial 2 projections is used. The district annually provides a multiyear revenue and expendi- ture projection for all funds of the district. Projected fund bal- 14.2 2 2 3 4 ❑ ance reserves should be disclosed. The assumptions for revenues and expenditures should be reasonable and supportable. [EC 42131] Multiyear financial projections should be prepared for use in the decision- making process, especially whenever 14.3 1 a significant multiyear expenditure commitment is contemplated. [EC 42142] Assumptions used in developing mul- 14.4 tiyear projections are based on the 2 most accurate information available. The district should comply with pub- lic disclosure laws of fiscal obliga- tions related to health and welfare 15.1 benefits for retirees, self-insured 0 workers compensation, and collective bargaining agreements. [GC 3540.2, 3547.5, EC 42142] The identified subset of standards appears in bold print. 59 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review When authorized, the district should only use non-voter-approved, long- term financing such as certificates of participation, revenue bonds, and lease-purchase agreements (capital leases) to address capital needs, and 15.2 2 not operations. Further, the gen- eral fund should be used to finance current school operations, and in general should not be used to pay for these types of long-term commit- ments. 1. For long-term liabilities/debt service, the district should prepare debt service schedules and iden- tify the dedicated funding sources to make those debt service pay- ments. 2. The district should proj- ect cash receipts from the dedi- cated revenue sources to ensure that it will have sufficient funds to 15.3 0 0 0 2 ❑ make periodic debt payments. 3. The cash flow projections should be monitored on an ongoing basis to ensure that any variances from projected cash flows are identified as early as possible, in order to allow the district sufficient time to take appropriate measures or iden- tify alternative funding sources. The identified subset of standards appears in bold print. 60 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district should develop param- eters and guidelines for collective bargaining that ensure that the col- lective bargaining agreement is not an impediment to the efficiency of district operations. At least annually, the collective bargaining agreement should be analyzed by management to identify those characteristics that are impediments to effective delivery of district operations. The district 16.1 should identify those issues for 0 consideration by the State Admin- istrator/Governing Board. The State Administrator/Governing Board, in the development of their guidelines for collective bargaining, should con- sider the impact on district opera- tions of current collective bargaining language and propose amendments to district language as appropriate to ensure effective and efficient district delivery. The identified subset of standards appears in bold print. 61 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The State Administrator/Govern- ing Board must ensure that any guideline the district develops for collective bargaining is fiscally aligned with the instructional and fiscal goals on a multiyear basis. The State Administrator/Governing Board must ensure that the district has a formal process where collec- tive bargaining multiyear costs are identified and those expenditures changes are identified and imple- mented as necessary prior to any imposition of new collective bar- gaining obligations. The State Ad- 16.2 ministrator/Governing Board must 0 0 2 2 ❑ ensure that there is a validation of the costs and the projected district revenues and expenditures on a multiyear basis so that the fiscal resources are not strained further due to bargaining settlements. The public should be informed about budget reductions that will be re- quired for a bargaining agreement prior to any contract acceptance by the Governing Board. The public should be given advance notice of the provisions of the final proposed bargaining settlement and be given an opportunity to comment. The identified subset of standards appears in bold print. 62 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review There should be a process in place for fiscal input and planning of the district technology plan. The goals and objectives of the technology plan should be clearly defined. The 17.1 plan should include both the ad- 4 ministrative and instructional tech- nology systems. There should be a summary of the costs of each objec- tive, and a financing plan should be in place. Management information systems must support users with informa- tion that is relevant, timely, and accurate. Needs assessments must be performed to ensure that users are involved in the definition of needs, development of system specifica- tions, and selection of appropriate systems. Additionally, district stan- 17.2 NA dards must be imposed to ensure the maintainability, compatibility, and supportability of the various sys- tems. The district must also ensure that all systems are compliant with the new Standardized Account Code Structure (SACS), and are compatible with county systems with which they must interface. The identified subset of standards appears in bold print. 63 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Automated systems should be used to improve accuracy, timeliness, and efficiency of financial and reporting systems. Needs assessments should be performed to determine what sys- tems are candidates for automation, whether standard hardware and soft- ware systems are available to meet the need, and whether or not the district would benefit. Automated 17.3 financial systems should provide ac- 3 curate, timely, relevant information and should conform to all account- ing standards. The systems should also be designed to serve all of the various users inside and outside the district. Employees should receive appropriate training and supervision in the operation of the systems. Ap- propriate internal controls should be instituted and reviewed periodically. Cost/benefit analyses provide an important basis upon which to determine which systems should be automated, which systems best meet defined needs, and whether inter- 17.4 NA nally generated savings can provide funding for the proposed system. Cost/benefit analyses should be complete, accurate, and include all relevant factors. The identified subset of standards appears in bold print. 64 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Selection of information systems technology should conform to legal procedures specified in the Public Contract Code. Additionally, there should be a process to ensure that needs analyses, cost/benefit analy- 17.5 ses, and financing plans are in place 4 prior to commitment of resources. The process should facilitate involve- ment by users, as well as information services staff, to ensure that training and support needs and costs are con- sidered in the acquisition process. Major technology systems should be supported by implementation and training plans. The cost of imple- 17.6 mentation and training should be 0 included with other support costs in the cost/benefit analyses and financ- ing plans supporting the acquisition. The district has a comprehensive risk-management program. The district should have a program that monitors the various aspects of 18.1 6 risk management including workers compensation, property and liability insurance, and maintains the finan- cial well being of the district. The district should have a work order system that tracks all maintenance 18.2 requests, the worker assigned, dates 7 of completion, labor time spent and the cost of materials. The district should control the use of 18.3 facilities and charge fees for usage 1 in accordance with district policy. The identified subset of standards appears in bold print. 65 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The Maintenance Department should follow standard district purchasing protocols. Open purchase orders may 18.4 6 be used if controlled by limiting the employees authorized to make the purchase and the amount. Materials and equipment/tools in- ventory should be safeguarded from 18.5 9 loss through appropriate physical and accounting controls. District-owned vehicles should be used only for district purposes. Fuel 18.6 7 should be inventoried and controlled as to use. Vending machine operations are subject to policies and regulations set by the State Board of Education. 18.7 All contracts specifying these should 6 reflect these policies and regulations. An adequate system of inventory control should also exist. [EC 48931] Capital equipment and furniture should be tagged as district-owned 18.8 0 1 1 2 ❑ property and inventoried at least annually. The district should adhere to bid and force account requirements found in the Public Contract Code (Sections 20111 and 20114). These require- ments include formal bids for mate- 18.9 5 rials, equipment and maintenance projects that exceed $59,600; capital projects of $15,000 or more; and la- bor when the job exceeds 750 hours or the materials exceed $21,000. The identified subset of standards appears in bold print. 66 Financial Management NA not applicable ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district should adhere to bid and force account requirements found in the Public Contract Code (Sections 20111 and 20114). These require- ments include formal bids for mate- 18.10 5 rials, equipment and maintenance projects that exceed $59,600; capital projects of $15,000 or more; and la- bor when the job exceeds 750 hours or the materials exceed $21,000. In order to accurately record transac- tions and to ensure the accuracy of financial statements for the cafeteria fund in accordance with generally accepted accounting principles, the district should have adequate pur- chasing and warehousing procedures to ensure that: 1. Only properly 19.1 authorized purchases are made con- 8 sistent with district policies, federal guidelines, and management direc- tion. 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 ac- curately. The district should operate the food 19.2 service programs in accordance with 8 applicable laws and regulations. The identified subset of standards appears in bold print. 67 NA not applicable Financial Management ❑ targeted for review Financial Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review In the process of reviewing and approving charter schools, the district should identify/establish minimal financial management and reporting standards that the char- ter school will follow. These stan- dards/procedures will provide some level of assurance that finances 20.1 0 0 0 2 ❑ will be managed appropriately, and allow the district to monitor the charter. The district should moni- tor the financial management and performance of the charter schools on an ongoing basis, in order to ensure that the resources are ap- propriately managed. The district should have procedures that provide for the appropriate oversight and management of man- dated cost claim reimbursement filing. Appropriate procedures would cover: the identification of changes to existing mandates; training staff 21.1 4 regarding the appropriate collection and submission of data to support the filing of mandated costs claims; forms, formats, and time lines for re- porting mandated cost information; and review of data and preparation of the actual claims. The district should actively take measures to contain the cost of special education services while still 22.1 5 providing an appropriate level of quality instructional and pupil ser- vices to special education pupils. The identified subset of standards appears in bold print. 68 Financial Management NA not applicable ❑ targeted for review Facilities Management Since the last report in July 2004, the West Fresno Elementary School District generally has made minimal progress in addressing the recommendations for facilities management. The dis- trict continues to do a good job in maintaining core facilities, such as bathrooms and grounds. In addition, the district has shown some progress with the adoption of board policies while starting to take steps to develop and implement comprehensive emergency and safety plans. However, the district still has areas for which board policies need to be adopted, such as capi- tal/construction projects and Injury and Illness Prevention Programs (IIPP), and has not pro- vided training on those policies that have been adopted. In addition, the district generally has not developed procedures or plans to implement the adopted board policies. Specific areas for which operational plans have not been updated or developed include: • Safety plan • Emergency plan • Facilities master plan • Technology plan Because the district is undertaking construction and modernization projects, including the de- molition of the old shower room, the addition of classrooms to the gymnasium, the addition of a portable building for the preschool, and the pending construction of a new middle school facil- ity, it needs to adopt procedures and controls for all facets of its facilities program. The district will need processes to ensure that construction projects and funds are appropriately managed and that all necessary reporting is timely and accurate. These obligations regarding management and reporting will be very critical since the district anticipates utilizing state funds in several of its projects. Therefore, the district needs to move expeditiously to address the remaining facilities recom- mendations to ensure that it adequately maintains the buildings and grounds, and appropriately utilizes, records, and reports state funds received. Facilities Management 1 2 Facilities Management 1.1 School Safety—CDE Civil Defense and Disaster Planning Guide Legal Standard All school administrators should be thoroughly familiar with the California Department of Edu- cation, Civil Defense and Disaster Planning Guide for School Officials, 1972. [EC 32000-32004, 32040, 35295-35297, 38132, 46390-46392, 49505, GC 3100, 8607, CCR Title 5 §550, 560, Title 19 §2400] Progress on Recommendations and Improvement Plan 1. Although the California Department of Education no longer publishes this guide, the district has begun to create a Civil Defense and Disaster Planning Guide. To date, the district has developed board policies covering: • Environmental Safety • Hazardous Substances • Campus Security • Crime Reporting • School Disruptions • Sex Offender Notification • Emergencies and Disaster Preparedness • Crime Data Reporting • Fire Drills and Fires • Bomb Threats • Earthquake Procedures • Emergency Procedures In addition, the district has been working on a comprehensive evacuation plan, based on mutual aid agreements with other agencies within the county. It is working with the county transportation agency to arrange an emergency plan where the agency would assist with the evacuation of all employees and students from the schools. The district is in the process of purchasing an emergency notification system, which is scheduled to be in place for the 2005-06 school year. However, the district has not yet assembled its comprehensive disaster planning guide in a single document or provided compre- hensive training to staff. 2. The district has not yet ensured that all first-aid kits have the minimum supplies. Stan- dard locations for first-aid kits have been established, such as the counseling center, school offices, and coaching offices. However, the district did not provide a compre- hensive listing of all locations of first-aid kits, standard supplies for each first-aid kit, or the date that each first-aid kit was last reviewed for the sufficiency of medical supplies. 3. The district has not posted appropriate signage at both school sites. No new signage was observed during the site visit. The only signage noted was posted on the fence from the parking lot to the schools directing visitors to check in at the office. There were no citations of any violation of Penal Code or local law enforcement codes. Dur- ing the site visit, the inspector was able to walk the elementary campus without being questioned by any school staff. Facilities Management 3 4. The district has not yet provided a comprehensive training plan for all staff and ad- ministrators. Some training is provided to various staff regarding various safety issues. However, most of this training is for maintenance and operations staff, and is not spe- cifically focused on general disaster preparedness for the district. Once a new guide is developed and adopted, the district will begin training all staff and administration. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 2 July 2004 Rating: 3 July 2005 New Rating: 4 Implementation Scale: 4 Facilities Management 1.3 School Safety—Plan for Protection of People and Property Legal Standard Demonstrate that a plan of security has been developed, which includes adequate measures of safety and protection of people and property. [EC 32020, 32211, 35294-35294.9] Progress on Recommendations and Improvement Plan 1. The district has not implemented a comprehensive safety and security plan. It has developed board policies regarding: • Campus Security • Crime Reporting • School Disruptions • Sex Offender Notification • Emergencies and Disaster Preparedness • Crime Data Reporting • Fire Drills and Fires • Bomb Threats • Earthquake Procedures • Emergency Procedures The district is working with a consultant to develop a comprehensive safety plan and manual. These policies will provide the basis for the safety plan ultimately developed. 2. Since the district has not implemented a comprehensive safety and security plan, it cannot provide training for all staff regarding the plan. The district does train staff regarding fire drills and holds periodically scheduled and random fire drills. 3. All visitors to the campuses must sign in at the school office before they proceed to their destinations. During fieldwork in April 2005 both the log and badges were observed. However, since the reviewer was accompanied by an administrative staff member, he was not was required to sign in and wear a badge during the site visit. 4. The district has not posted “no trespassing” or “no loitering” signs at all points of entry to the school sites. There are signs directing visitors to the office upon arrival. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 4 July 2004 Rating: 4 July 2005 Rating: 3 Implementation Scale: Facilities Management 5 1.15 School Safety—Injury/Illness Prevention Program Inspections are Done Legal Standard The Injury and Illness Prevention Program (IIPP) requires periodic inspections of facilities to identify conditions. [CCR Title 8 §3203] Progress on Recommendations and Improvement Plan 1. While the district has adopted comprehensive board policies in virtually all areas of operation, it has not adopted a policy related to an Injury and Illness Prevention Pro- gram (IIPP). 2. The district has contacted its insurance JPA to determine if it will develop an IIPP pursuant to a contract. Once a policy is in place, the district should then adopt admin- istrative regulations and procedures that carry out the IIPP and develop a handbook to effectively implement the program. 3. Since the district has not implemented the two recommendations above, it has not provided staff training regarding IIPP policy and procedures. The district has provided some staff, generally maintenance and custodial staff, with some training. However, the training has not been based on an assessment of needs, a specific training plan, or a defined IIPP. The district should provide staff training once these policies, regula- tions, and procedures are developed. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 1 Implementation Scale: 6 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 Recommendations and Improvement Plan 1. The district has adopted a comprehensive Board Policy 450 and Administrative Regu- lation 450(a)-(f) to require districtwide and site-specific safety plans. The policy and regulation detail the requirements for the safety plans. In addition, the district adopted a separate Administrative Regulation 3515 that specifically addresses campus security and crime reporting. 2. The district has not developed a comprehensive safety plan consistent with the board policy and administrative regulation. The district has contracted with its insurance JPA to develop the comprehensive safety plan for the district and school sites. 3. Since the district has not developed its school safety plan, it has not implemented the recommendation to provide staff with training regarding the plan and employees’ related responsibilities. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 New Rating: 3 Implementation Scale: Facilities Management 7 1.19 School Safety—An Emergency Action Plan Exists Legal Standard Each public agency is required to have on file written plans describing procedures to be employed in case of emergency. [EC 32000-32004, 32040, 35295-35297, 38132, 46390-46392, 49505, GC 3100, 8607] [CCR Title 8, §3220] Progress on Recommendations and Improvement Plan 1. The district has adopted board policies for emergency and disaster planning. Board Policy 3516, which requires both districtwide and site-specific plans, is supplemented by Administrative Regulation 3516 (a)-(c) which identifies various types of disasters/ emergencies, requirements of the emergency plan, coordination with local authorities, training for staff, the release of students, and the roles and responsibilities of various staff members, including principals, teachers, custodians, school secretaries, school nurse, cafeteria workers, and bus drivers. 2. The district has not implemented the prior recommendation to develop a comprehen- sive emergency plan. However, it is in the process of contracting with a consultant to develop its safety plans. In addition, the district will be implementing an emergency notification system for the 2005-06 school year. 3. Since the district has not completed a comprehensive emergency plan, it has not implemented the recommendation to provide training. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 New Rating: 3 Implementation Scale: 8 Facilities Management 1.25 School Safety—Maintenance of a Comprehensive Employee Safety Program Professional Standard The district maintains a comprehensive employee safety program. Employees should be aware of the district safety program and the district provides in-service training to employees on the requirements of the safety program. Progress on Recommendations and Improvement Plan 1. The district has not formalized its safety program; however, it continues to recognize the importance of maintaining safe work conditions. 2. The district has not formalized its training program regarding employee safety. How- ever, it does provide training to employees regarding safety and workplace hazards. Recently, in-service training was provided to staff on proper safe work practices for pest control and chemicals, asbestos, and air quality. Training is generally provided by the insurance JPA. Standard Implemented: Partially July 2003 Rating: 5 January 2004 Rating: 6 July 2004 Rating: 7 July 2005 New Rating: 7 Implementation Scale: Facilities Management 9 2.14 Facility Planning—Collection of Statutory Developer Fees Legal Standard The district should collect statutory school fees. [EC 17620, GC 65995, 66000] Progress on Recommendations and Improvement Plan 1. The district has updated its board policies related to developer fees. Board policies 7210 and 7211 address facilities financing, including developer fees, and authorize the implementation and collection of those fees. Administrative Regulation 7211 ad- dresses the process for establishing the fee schedule, including identification of Level 1 through Level 3 funding. 2. The district has had a developer fee study performed to ensure the district continues to impose the maximum allowable fee. 3. The district will continue to have Washington Union High School District collect the fees on its behalf. Standard Implemented: Fully - Substantially July 2003 Rating: 3 January 2004 Rating: 7 July 2004 Rating: 8 July 2005 New Rating: 9 Implementation Scale: 10 Facilities Management 3.12 Facilities Improvement and Modernization—Deferred Maintenance Projects are Actively Managed Professional Standard The district actively manages the deferred maintenance projects. The district should review the five-year deferred maintenance plan annually to remove any completed projects and include any newly eligible projects. The district should also verify that the projects performed during the year were included in the State-approved, five-year deferred maintenance plan. Progress on Recommendations and Improvement Plan 1. The district has adopted board policies requiring a facilities master plan, but still needs to develop the plan. The facilities master plan should identify the needs of the facili- ties and should support deferred maintenance, modernization, and new construction. 2. The district regularly updates the five-year deferred maintenance plan. Its most recent update was submitted to the state in April 2005. However, the district did not exten- sively document the changes. Also, facilities planning and projects are managed by a retired annuitant. As such, without good documentation, the district will be at a disad- vantage when this person leaves the district. The district should establish procedures regarding the documentation of facilities plans and the data and assumptions support- ing revisions. In addition, the district should consider training an additional person to manage facilities planning and management functions. 3. The district has adjusted the five-year plan and estimated costs for the changes in both projects and project costs. Standard Implemented: Partially July 2003 Rating: 5 January 2004 Rating: 6 July 2004 Rating: 6 July 2005 New Rating: 6 Implementation Scale: Facilities Management 11 4.2 Construction of Projects—Change Orders are Processed and Received Prior to Approval Professional Standard Change orders are processed and receive prior approval from required parties before being implemented within respective construction projects. Progress on Recommendations and Improvement Plan 1. The district has not yet adopted board policies regarding the management of construc- tion projects, including the processing of change orders. 2. The district has not yet developed procedures for managing construction projects and related funds. As such, there are no formal procedures regarding the review and ap- proval of change orders. While the proper procedures are understood, that all change orders must receive approval from the architect, inspector of record, and State Admin- istrator, written procedures should be developed to memorialize the procedures. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 3 July 2004 Rating: 3 July 2005 New Rating: 3 Implementation Scale: 12 Facilities Management 4.4 Construction of Projects—Inspector of Record Assignments are Properly Approved Professional Standard Each Inspector of Record (IOR) assignment is properly approved. Progress on Recommendations and Improvement Plan 1. The district has not yet updated its board policies for construction projects and the assignment of an Inspector of Record for each project. These policies should compre- hensively address the management of construction projects. 2. The district has not established procedures for securing a certified Division of the State Architect (DSA) inspector. These procedures should address the hiring of prop- erly certified inspectors for all construction projects. Standard Implemented: Partially July 2003 Rating: 5 January 2004 Rating: 5 July 2004 Rating: 5 July 2005 New Rating: 5 Implementation Scale: Facilities Management 13 5.1 Compliance with Public Contracting Laws and Procedures–Compliance with Formal Bidding Procedures Legal Standard The district complies with formal bidding procedures. [GC 54202, 54204, PCC 20111] Progress on Recommendations and Improvement Plan 1. The district has updated its board policies regarding bidding procedures. The district adopted Board Policy 3311 and Administrative Regulation 3311 (a)-(f), which specifi- cally address the requirement to use competitive bidding in accordance with all ap- plicable legal requirements under the Education Code, Government Code, and Public Contract Code. The administrative regulation essentially outlines the requirements identified in code and provides guidance for the actual application of the provisions to various situations. 2. The district has taken steps to ensure that the bid process is followed. Procedures have been established that include outlining the bid process, identifying instructions for bidders, and ethics for individuals involved in district purchases. The district has also documented the revised bid threshold, and information regarding the use of pig- gyback bids, particularly as they relate to portable/relocatable facilities. In addition, with regard to construction services, the district plans on coordinating the bid process with the architect so that the architect distributes and collects the bid packages that are opened at the designated time and witnessed by at least one district representative. Standard Implemented: Partially July 2003 Rating: 5 January 2004 Rating: 6 July 2004 Rating: 6 July 2005 New Rating: 7 Implementation Scale: 14 Facilities Management 5.2 Compliance with Public Contracting Laws and Procedures—Procedures for Requests for Quote/Proposals Legal Standard The district has a procedure for requests for quotes/proposals. [GC 54202, 54204, PCC 20111] Progress on Recommendations and Improvement Plan 1. The district has updated its board policies with respect to bidding procedures. The district adopted Board Policy 3311 and Administrative Regulation 3311 (a)-(f), which specifically address the requirement to use competitive bidding in accordance with all applicable legal requirements under the Education Code, Government Code, and Public Contract Code. The administrative regulation essentially outlines the require- ments identified in code and provides guidance for the application of the provisions to various situations. The regulations also address situations when bids are not required. 2. The district has partially implemented the recommendation regarding purchasing and quotes. While the district has established some procedures regarding purchasing and bidding requirements, the procedures do not appear to specifically address who is authorized to request quotes/proposals, how many quotes/proposals are required, who can approve the quote/proposal, and who can authorize payment. Therefore, the district should continue to develop and establish its procedures to ensure that they comprehensively address all pertinent aspects, situations, and facets of the procure- ment/bidding process. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 2 July 2004 Rating: 2 July 2005 New Rating: 4 Implementation Scale: Facilities Management 15 8.1 Facilities Maintenance and Custodial—Implementation of an Energy Conservation Program Professional Standard An energy conservation policy should be approved by the Board of Education and implemented throughout the district Progress on Recommendations and Improvement Plan 1. The district has updated its board policies to include energy conservation. Board Policy 3511 and Administrative Regulation 3511(a)-(b) establish the board’s commit- ment to energy conservation and the requirement for the Superintendent to establish an energy efficiency program. The administrative regulation identifies the general items to be included in/addressed by the energy efficiency plan. However, the district still needs to develop an energy efficiency plan to implement the board policy and ensure that it addresses energy efficiency and conservation for existing facilities with regard to modernization and for new construction. 2. The district has continued its efforts to become more energy efficient. However, the district has not formalized its plans to focus current and future efforts with regard to energy efficiency and conservation. Therefore, as identified above, the district should develop an energy efficiency and conservation plan. Standard Implemented: Partially July 2003 Rating: 4 January 2004 Rating: 5 July 2004 Rating: 5 July 2005 New Rating: 5 Implementation Scale: 16 Facilities Management 8.10 Facilities Maintenance and Custodial - All Buildings, Grounds and Bathrooms are Maintained Legal Standard Toilet facilities are adequate and maintained. All buildings and grounds are maintained. [CCR Title 5 § 631] Progress on Recommendations and Improvement Plan 1. The district has continued to do a reasonable job of maintaining restrooms and has a well-established maintenance system in place. The custodians are scheduled to check the toilet facilities for graffiti and cleaning needs. Toilet facilities are adequate, but the district has an ongoing challenge of maintaining the facilities due to student vandal- ism. Nevertheless, inspection showed that the bathrooms were generally clean and fixtures were operable. Standard Implemented: Fully - Substantially July 2003 Rating: 6 January 2004 Rating: 8 July 2004 Rating: 8 July 2005 Rating: 8 Implementation Scale: Facilities Management 17 9.1 Instructional Program Issues—Plan for Attractive Landscaped Facilities Professional Standard The district has developed a plan for attractively landscaped facilities. Progress on Recommendations and Improvement Plan 1. The district does not prepare an updated landscaping plan annually and include it in the annual budget. A long-range plan was developed four years ago to keep the land- scaping attractive. However, the district should update its landscaping plan to address changes that have developed over the last four years. In addition, the plan should attempt to identify landscaping alternatives, such as low maintenance and drought- resistant plants and grasses that would assist the district in maintaining its landscap- ing despite financial and operational constraints. The district should include financing sources and options in its landscaping plan. Standard Implemented: Partially July 2003 Rating: 4 January 2004 Rating: 6 July 2004 Rating: 5 July 2005 New Rating: 5 Implementation Scale: 18 Facilities Management 9.2 Instructional Program Issues—Districtwide Technology Plan to Benefit All Sites Professional Standard The goals and objectives of the technology plan should be clearly defined. The plan should in- clude both the administrative and instructional technology systems. There should be a summary of the costs of each objective and a financing plan should be in place. Progress on Recommendations and Improvement Plan 1. The district has been attempting to close out the E-rate funding issues. However, since there is still an open investigation of the issues, the district has not been able to re- solve the matter. 2. The district should establish a five-year technology plan that is updated annually. The plan should address both educational and administrative technology. The education piece should be written in a manner that facilitates its use in applying for and obtain- ing grant funding. To the extent possible, the district should attempt to establish one standard platform across all functions to minimize repair and maintenance costs. In addition, the plan should address issues of maintenance and support. Standard Implemented: Partially July 2003 Rating: 3 January 2004 Rating: 3 July 2004 Rating: 6 July 2005 New Rating: 6 Implementation Scale: Facilities Management 19 9.3 Instructional Program Issues—Lunch Areas are Warm, Healthful and Safe Legal Standard The Governing Board shall provide a warm, healthful place in which children who bring their own lunches to school may eat their lunch. [EC 17573, CCR Title 5 §14030] Progress on Recommendations and Improvement Plan 1. The district has not aggressively pursued funding to modernize the primary cafeteria building. The district should prepare its facility master plan, giving appropriate prior- ity to the modernization of the primary cafeteria building. 2. The district has not replaced the lighting in the cafeteria. The district should continue to identify funding sources for the cafeteria upgrade, including deferred maintenance funds, modernization funds, routine restricted maintenance funds, and even cafeteria funds. 3. The district has not replaced the primary cafeteria flooring. It is still very old tile that is quite worn and difficult to keep clean or at least have the appearance of being clean. It was noted during a walkthrough that the floor was indeed clean, just old. Therefore, as identified in the above items, the district should ensure that upgrades for the caf- eteria are included in the facilities master plan and alternative funding sources for the projects are pursued. 4. The district should continue to provide staff training on safe work habits during the summer months. This training should be repeated and updated annually. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 4 July 2005 New Rating: 4 Implementation Scale: 20 Facilities Management 9.4 Instructional Program Issues—Bathroom Facilities are Clean and Operable Legal Standard The Governing Board of every school district shall provide clean and operable flush toilets for the use of pupils. [EC 17576, CCR Title 5 §14030] Progress on Recommendations and Improvement Plan 1. The district has continued to do a reasonable job of maintaining restrooms and has a well-established maintenance system in place. The custodians are scheduled to check the toilet facilities for graffiti and cleaning needs. Toilet facilities are adequate, but the district has an ongoing challenge of maintaining the facilities due to student vandal- ism. Nevertheless, inspection showed that the bathrooms were generally clean and fixtures were operable. Standard Implemented: Fully - Substantially July 2003 Rating: 6 January 2004 Rating: 8 July 2004 Rating: 8 July 2005 New Rating: 8 Implementation Scale: Facilities Management 21 10.1 Community Use of Facilities—Plan to Promote Community Involvement in Schools Professional Standard The district should have a plan to promote community involvement in schools. Progress on Recommendations and Improvement Plan 1. Board Policy 1330 and Administrative Regulation 1330 (a)-(b) address community use of facilities. The board policy authorizes the use of district facilities by community groups as long as such use does not conflict with school activities. Further, the policy authorizes the use of district facilities by nonprofit organizations, clubs, or associa- tions to promote youth and school activities at no charge. Groups requesting to use fa- cilities pursuant to provisions of the Civic Center Act are to be charged at least direct costs. Other groups using facilities where there are receipts that are not expended for the district’s students or other charitable purposes are to be charged fair rental value. The administrative regulation delineates appropriate uses, restrictions, required certi- fications to be obtained from the users and the form to be used, and provisions related to damage and liability. However, neither the policy nor the administrative regulation clearly delineates the application and approval process. Therefore, the district should either expand the policy and regulation or establish procedures regarding the applica- tion and approval process for community use of facilities. 2. The district has not updated its facilities use application or had it translated into Span- ish. The application needs to reflect the new policies, regulations, and procedures. In addition, the district should have the application translated into Spanish, and possibly two of the other most common languages of district residents. Standard Implemented: Partially July 2003 Rating: 2 January 2004 Rating: 3 July 2004 Rating: 6 July 2005 New Rating: 6 Implementation Scale: 22 Facilities Management 10.2 Community Use of Facilities—Compliance with Civic Center Act for Community Use Legal Standard Education Code Section 38130 establishes terms and conditions of school facility use by commu- nity organizations, in the process requiring establishment of both “direct cost” and “fair market” rental rates, specifying what groups have which priorities and fee schedules. Progress on Recommendations and Improvement Plan 1. The district has updated its board policies regarding community use of school facili- ties. However, it has not established a fee schedule for facilities use or an approval process. Currently, all requests are referred to the Business Office. Policies and proce- dures should be expanded to delineate the approval process and the fee schedule for facilities use. 2. The district needs to prepare a comprehensive study of allowable costs and charges for community use of facilities. This study should then be used to establish a fee schedule. Standard Implemented: Partially July 2003 Rating: 1 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 2 Implementation Scale: Facilities Management 23 10.3 Community Use of Facilities—Maintenance of Records and Support for Reasonable Charges Professional Standard Districts should maintain comprehensive records and controls on civic center implementation and cash management. Progress on Recommendations and Improvement Plan 1. Board Policy 1330 and Administrative Regulation 1330 (a)-(b) address community use of facilities. The board policy authorizes the use of district facilities by community groups as long as such use does not conflict with school activities. Further, the policy authorizes the use of district facilities by nonprofit organizations, clubs, or associa- tions to promote youth and school activities at no charge. Groups requesting to use fa- cilities pursuant to provisions of the Civic Center Act are to be charged at least direct costs. Other groups using facilities where there are receipts that are not expended for the district’s students or other charitable purposes are to be charged fair rental value. The administrative regulation delineates appropriate uses, restrictions, required certi- fications to be obtained from the users, the form to be used, and provisions related to damage and liability. 2. The district needs to establish procedures regarding the approval of facilities use, and the recording, depositing, and reporting of the related use fees charged. Standard Implemented: Partially July 2003 Rating: 0 January 2004 Rating: 1 July 2004 Rating: 1 July 2005 New Rating: 2 Implementation Scale: 24 Facilities Management Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review All school administrators should be thoroughly familiar with the California Department of Educa- tion, Civil Defense and Disaster Planning Guide for School Of- 1.1 1 2 3 4 ❑ ficials, 1972. (EC 32000-32004, 32040, 35295-35297, 38132, 46390-46392, 49505, GC 3100, 8607, CCR Title 5 §550, 560, Title 19 §2400) The district includes the appropriate security devices in the design of new 1.2 buildings as well as in modernized 5 buildings. (EC 32020, 32211, 35294- 35294.9, 39670-39675) The district should be able to demonstrate that a plan of se- curity has been developed that 1.3 includes adequate measures of 3 4 4 3 ❑ safety and protection of people and property. [EC 32020, 32211, 35294-35294.9] The district should ensure that the custodial and maintenance staff are regularly informed of restrictions pertaining to the storage and dis- 1.4 posal of flammable or toxic materi- 4 als. [EC 49341, 49401.5, 49411, F&AC 12981, H&SC 25163, 25500- 25520, LC 6360-6363, CCR Title 8 §5194] The district has a documented pro- cess for issuing of master and sub- master keys. A districtwide standard- 1.5 5 ized process for the issuance of keys to employees must be followed by all district administrators. The identified subset of standards appears in bold print. 25 NA not applicable Facilities Management ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Bus loading and unloading areas, delivery areas, and parking and parent loading/unloading areas are monitored on a regular basis to en- 1.6 7 sure the safety of the students, staff and community. Students, employees and the public should feel safe at all times on school premises. Outside lighting is properly placed and monitored on a regular basis to ensure the operability/adequacy of such lighting and to ensure safety while activities are in progress in the evening hours. Outside lighting 1.7 should provide sufficient illumina- 6 tion to allow for the safe passage of students and the public during after- hours activities. Lighting should also provide security personnel with suf- ficient illumination to observe any illegal activities on campus. The district has a graffiti and van- dalism abatement plan. The district should have a written graffiti and abatement plan that is followed by 1.8 7 all district employees. The district provides district employees with sufficient resources to meet the re- quirements of the abatement plan. Each public agency is required to have on file written plans describing procedures to be employed in case 1.9 of emergency. (EC 32000-32004, 0 32040, 35295-35297, 38132, 46390- 46392, 49505, GC 3100, 8607) (CCR Title 8, §3220) The identified subset of standards appears in bold print. 26 Facilities Management NA not applicable ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Each elementary and intermediate school at least once a month, and in each secondary school not less than 1.10 2 twice every school year, shall con- duct a fire drill. (EC 32000-32004, 32040, CCR Title 5 §550) Maintenance/custodial personnel have knowledge of chemical com- pounds used in school programs that include the potential hazards 1.11 5 and shelf life. (EC 49341, 49401.5, 49411, F&AC 12981, H&SC 25163, 25500-25520, LC 6360-6363, CCR Title 8 §5194) Building examinations are per- formed, and required actions are 1.12 taken by the Governing Board upon 4 report of unsafe conditions. (EC 17367) Each school that is entirely enclosed by a fence or partial buildings must have a gate of sufficient size to 1.13 permit the entrance of ambulances, 8 police, and fire fighting equipment. Locking devices shall be designed to permit ready entrance. (EC 32020) Sanitary, neat and clean conditions of the school premises exist and the 1.14 premises are free from conditions 9 that would create a fire hazard. (CCR Title 5 §633) The Injury and Illness Prevention Program (IIPP) requires periodic 1.15 0 1 1 1 ❑ inspections of facilities to identi- fy conditions. (CCR Title 8 §3203) Appropriate fire extinguishers exist in each building and current inspec- 1.16 7 tion information is available. (CCR Title 8 §1922(a)) The identified subset of standards appears in bold print. 27 NA not applicable Facilities Management ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review All exits are free of obstructions. 1.17 9 (CCR Title 8 §3219) A comprehensive school safety plan exists for the prevention of 1.18 1 2 2 3 ❑ campus crime and violence. (EC 35294-35294.9) Each public agency is required to have on file written plans describ- ing procedures to be employed in 1.19 case of emergency. (EC 32000- 0 2 2 3 ❑ 32004, 32040, 35295-35297, 38132, 46390-46392, 49505, GC 3100, 8607) (CCR Title 8, §3220) Requirements are followed pertain- ing to underground storage tanks. 1.20 NA (H&SC 25292, CCR Title 26 §477, Title 23 § 2610) All asbestos inspection and asbestos work completed in the U.S. is per- formed by Asbestos Hazard Emergen- 1.21 4 cy Response Act (AHERA) accredited individuals. (EC 49410.5, 40 CFR Part 763) All playground equipment meets safety code regulations and is inspected in a timely fashion as to 1.22 ensure the safety of the students. 8 (EC 44807, GC 810-996.6, H&SC 24450 Chapter 4.5, 115725-115750, PRC 5411, CCR Title 5 §5552) Safe work practices exist with regard 1.23 to boiler and fired pressure vessels. NA (CCR Title 8 §782) The district maintains Materials Safety Data Sheets. (EC 49341, 1.24 4 49401.5, 49411, F&AC 12981, LC 6360-6363, CCR Title 8 §5194) The identified subset of standards appears in bold print. 28 Facilities Management NA not applicable ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district maintains a compre- hensive employee safety program. Employees should be aware of the 1.25 district safety program and the 5 6 7 7 ❑ district should provide in-service training to employees on the re- quirements of the safety program. The district conducts periodic safety training for employees. District 1.26 employees should receive periodic 2 training on the safety procedures of the district. The district should conduct periodic 1.27 first-aid training for employees as- 3 signed to school sites. The district should possess a Califor- nia State Department of Education 2.2 10 Facilities Planning and Construction Guide (dated 1991). The district should seek state and 2.3 10 local funds. The district should have standards 2.7 for real property acquisition and 0 disposal. (EC 39006, 17230-17233) The district seeks and obtains waiv- ers from the State Allocation Board 2.8 10 for continued use of its nonconform- ing facilities. (EC 17284, 17285) The district has established and utilizes a selection process for the 2.9 3 selection of licensed architectural/ engineering services. (GC 17302) The district should assess its local 2.10 6 bonding capacity. (EC 15100) The district should develop a process 2.11 8 to determine debt capacity. The identified subset of standards appears in bold print. 29 NA not applicable Facilities Management ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district should be aware of and monitor the assessed valuation of 2.12 10 taxable property within its boundar- ies. The district should monitor its legal 2.13 10 bonding limits. (EC 15100, 15330) The district should collect statu- 2.14 tory school fees. (EC 17620, GC 5 7 8 9 ❑ 65995, 66000) The district has pursued state fund- ing for joint-use projects through 2.16 the filing of applications through 6 the Office of Public School Construc- tion and the State Allocation Board. The district has established and uti- 2.17 lizes an organized methodology of 10 prioritizing and scheduling projects. The district has a restricted de- ferred maintenance fund and those funds are expended for maintenance purposes only. The deferred mainte- 3.1 nance fund should be a stand-alone 7 fund reflecting the revenues and expenses for the major maintenance projects accomplished during the year. The district has pursued state funding for deferred maintenance - critical hardship needs by filing 3.2 an application through the Office of 4 Public School Construction and the State Allocation Board. (State Al- location Board Regulation §1866) The district applies to the State Al- 3.3 location Board for facilities funding 7 for all applicable projects. The identified subset of standards appears in bold print. 30 Facilities Management NA not applicable ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district consistently reviews and monitors its eligibility for state 3.4 6 funding so as to capitalize upon maximal funding opportunities. The district establishes and imple- ments interim housing plans for use 3.5 during the construction phase of 10 modernization projects and/or addi- tions to existing facilities. Furniture and equipment items are 3.7 routinely included within the scope 6 of modernization projects. The district obtains approval of plans and specifications from the Di- vision of the State Architect and the 3.8 Office of Public School Construction 6 (when required) prior to the award of a contract to the lowest respon- sible bidder. (EC 17263, 17267) All relocatables in use throughout 3.9 the district meet statutory require- 10 ments. (EC 17292) The district maintains a plan for the 3.10 maintenance and modernization of 8 its facilities. [EC 17366] The annual deferred maintenance contribution is made correctly. The district should annually transfer the 3.11 6 maximum amount that the district would be eligible for in matching funds from the state. The identified subset of standards appears in bold print. 31 NA not applicable Facilities Management ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district actively manages the deferred maintenance projects. The district should review the five- year deferred maintenance plan annually to remove any completed projects and include any newly eli- 3.12 5 6 6 6 ❑ gible projects. The district should also verify that the expenses performed during the year were included in the state approved five-year deferred maintenance plan. The district maintains an appropriate 4.1 structure for the effective manage- 7 ment of its construction projects. Change orders are processed and receive prior approval from re- 4.2 quired parties before being imple- 3 3 3 3 ❑ mented within respective con- struction projects. The district maintains appropriate 4.3 8 project records and drawings. Each Inspector of Record (IOR) as- 4.4 5 5 5 5 ❑ signment is properly approved. The district complies with formal 5.1 bidding procedures. (GC 54202, 5 6 6 7 ❑ 54204, PCC 20111) The district has a procedure for 5.2 requests for quotes/proposals. (GC 2 2 2 4 ❑ 54202, 54204, PCC 20111) The district maintains files of con- flict-of-interest statements and com- 5.3 plies with legal requirements. Con- 0 flict of interest statements should be collected annually and kept on file. The identified subset of standards appears in bold print. 32 Facilities Management NA not applicable ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The district ensures that biddable plans and specifications are devel- 5.4 oped through its licensed architects/ 10 engineers for respective construction projects. The district ensures that requests 5.5 for progress payments are carefully 1 evaluated. The district maintains contract 5.6 award/appeal processes. (GC 54202, 6 54204, PCC 20111) The district complies with California Department of Education (CDE) re- 6.1 5 quirements relative to the provision of Special Education facilities. The district provides facilities for its special education programs that ensure equity with other educational 6.2 programs within the district and 7 provide appropriate learning envi- ronments in relation to educational program needs. The district provides facilities for its special education programs that 6.3 provide appropriate learning envi- 5 ronments in relation to educational program needs. An energy conservation policy should be approved by the Gov- 8.1 4 5 5 5 ❑ erning Board and implemented throughout the district. The identified subset of standards appears in bold print. 33 NA not applicable Facilities Management ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Adequate maintenance records and reports are kept, including a complete inventory of supplies, materials, tools and equipment. All employees required to perform maintenance on school sites should 8.5 be provided with adequate supplies, 8 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. Procedures are in place for evaluat- ing the work quality of maintenance and operations staff. The quality of the work performed by the mainte- 8.6 nance and operations staff should be 2 evaluated on a regular basis using a board-adopted procedure that de- lineates the areas of evaluation and the types of work to be evaluated. Major areas of custodial and main- tenance responsibilities and specific jobs to be performed have been identified. Custodial and mainte- 8.7 nance personnel should have written 2 job descriptions that delineate the major areas of responsibilities that they will be expected to perform and will be evaluated on. Necessary staff, supplies, tools and equipment for the proper care and cleaning of the school(s) are avail- able. In order to meet expectations, 8.8 schools must be adequately staffed 6 and staff must be provided with the necessary supplies, tools and equip- ment as well as the training associ- ated with the proper use of such. The identified subset of standards appears in bold print. 34 Facilities Management NA not applicable ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review Toilet facilities are adequate and maintained. All buildings and 8.10 6 8 8 8 ❑ grounds are maintained. (CCR Title 5 § 631) The district has developed a plan 9.1 for attractively landscaped facili- 4 6 5 5 ❑ ties. The goals and objectives of the technology plan should be clearly defined. The plan should include both the administrative and in- 9.2 3 3 6 6 ❑ structional technology systems. There should be a summary of the costs of each objective and a financing plan should be in place. The Governing Board shall pro- vide a warm, healthful place in which children who bring their 9.3 2 3 4 4 ❑ own lunches to school may eat their lunch. (EC 17573, CCR Title 5 §14030) The Governing Board of every school district shall provide clean 9.4 and operable flush toilets for the 6 8 8 8 ❑ use of pupils. (EC 17576, CCR Title 5 §14030) The district has plans for the pro- vision of extended day programs 9.5 0 within its respective school sites. (EC 17264) All schools shall have adequate 9.7 8 heating and ventilation. All schools shall have adequate 9.8 6 lighting and electrical service. Classrooms are free of noise and 9.9 other barriers to instruction. (EC 8 32212) The identified subset of standards appears in bold print. 35 NA not applicable Facilities Management ❑ targeted for review Facilities Management July January July July Focus 2003 2004 2004 2005 for Next Standard to be addressed Rating Rating Rating Rating Review The learning environments provided within respective school sites within 9.10 6 the district are conducive to high quality teaching and learning. Facilities within the district reflect 9.11 the standards and expectations es- 7 tablished by the community. The district should have a plan to 10.1 promote community involvement 2 3 6 6 ❑ in schools. Education Code Section 38130 establishes terms and conditions of school facility use by commu- nity organizations, in the process 10.2 requiring establishment of both 1 1 1 2 ❑ “direct cost” and “fair market” rental rates, specifying what groups have which priorities and fee schedules. Districts should maintain compre- hensive records and controls on 10.3 0 1 1 2 ❑ civic center implementation and cash management. The identified subset of standards appears in bold print. 36 Facilities Management NA not applicable ❑ targeted for review