Gran Jurado del Condado de San Mateo
2006-2007
From the annual report
The consolidated year-end volume. The individual investigations it contains are listed separately below.
📑 Year-End Report
The full consolidated volume; individual reports are listed below.
Individual reports (23)
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Hallazgos & Recomendaciones
4 hallazgos
F1:
Millbrae’s residential garbage rate for a 32-gallon can is $20.97 per month. The average rate for the agencies surveyed is $16.54 (excluding Atherton and Hillsborough where side yard pick-up is provided and East Palo Alto where 96 gallon containers are used). Appendix A summarizes rates in the communities surveyed.
Recomendaciones relacionadas (1)
R1:
The Grand Jury recommends that the Millbrae City Council:
Evaluate the potential benefits of joining the South Bayside Waste Management Authority when the current Franchise Agreement with South San Francisco Scavenger Company, Inc. expires in February 2009.
F2:
The Millbrae contract specifies that all debris box service in Millbrae must be provided by Scavengers. The cities of South San Francisco, Brisbane, San Bruno, Pacifica, Moss Beach, El Granada and Montara have similar contract provisions with their waste hauling contractors.
Recomendaciones relacionadas (1)
R2:
The Grand Jury recommends that the Millbrae City Council:
Consider instructing the City Manager to conduct a competitive bidding process for future garbage franchise agreements, should the Millbrae City Council elect not to join the South Bayside Waste Management Authority.
F3:
Millbrae debris box rate for a seven-day rental of a 14-yard box is $449.99; the average seven-day rental cost of 14 to 16-yard debris boxes in other cities with an exclusive contract is $414.26. The corresponding average rate from other providers in cities in the County without exclusive contracts is $342.50 (see Appendix B).
Recomendaciones relacionadas (1)
R3:
The Grand Jury recommends that the Millbrae City Council:
Evaluate whether or not an exclusive franchise for debris box services best serves the interests of the community. 4
F4:
The relationship between Scavengers and Millbrae has at times been contentious and there have been conflicts related to rate schedules and Scavengers’ compensation. Efforts have been made to resolve these conflicts in the current contract extension. Conclusions Cities with little or no commercial/industrial development tend to have higher residential garbage rates, as evident when looking at the highest rates in the County, e.g., Pacifica, Atherton, Hillsborough and Belmont. Debris box service is also higher in cities with few commercial accounts, e.g., Pacifica, Moss Beach and Millbrae. It should also be noted that cities with franchised (exclusive) debris box agreements tend to have higher debris box rates, as well. Using commercial and debris box rates to “subsidize” residential rates seems to be a common industry practice. Millbrae adopted a market basket formula in 1996 abandoning its “cost plus” system. While there is some disagreement about which rate system is best for all concerned, both systems are commonly used in the industry. The market basket approach to setting garbage rates is used by a minority of agencies in the County, but does not appear to be an unreasonable practice in itself. Millbrae’s monthly residential garbage rates are about four dollars higher than the average of agencies sampled, but this is not necessarily unreasonable, given the system used to set the rates and the ratio of commercial to residential accounts. 3
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Hallazgos & Recomendaciones
5 hallazgos
F1:
Adopt a resolution to encourage all jurisdictions to cooperate with the Office of Emergency Services/Homeland Security to develop credible Emergency Action Plans by March 31, 2008, for responding to a prospective dam or levee failure, degradation or breech. These Emergency Action Plans should be prepared and submitted immediately upon completion and be followed by annual updates. The Emergency Action Plans would include at least the following information: • A list of three or more separate telephone contacts to insure that at least one responsible official or responder is made aware of an emergency at the facility. • Other actions that would be undertaken to mitigate the danger in the event of an emergency. • The most recent inspection report. Response: Concur. The Board of Supervisors agrees with and plans to follow the
F2:
Direct the County Manager to instruct the County Public Works Director to work with appropriate City Departments and the Federal Emergency Management Agency to identify, evaluate and report on the integrity of dams and levees in the County to the Office of Emergency Services/Homeland Security. Response: Concur. The Board of Supervisors agrees with the recommendation, and has provided the recommended direction to the County Manager. The Director of Public Works will work with the cities of Belmont, Burlingame, East Palo Alto, Foster City, Pacifica, Redwood City, San Carlos, San Mateo, and South San Francisco, as well as the special districts in the County with flood control responsibilities to identify levees and dams in their jurisdictions, to review Emergency Action Plans prepared by these organizations, and coordinate provision of these reports to the Office of Emergency Services/Homeland Security (OES/HS). The Department of Public Works will be designated to provide technical assistance to OES/HS as required. CITY OF EAST PALO ALTO OFFiCE OF T"E CITY MANAGER October 18, 2007 Hon. John L. Grandsaert Judge ofthe Superior Court Hall of Justice 400 County Center, 2nd Floor Redwood City, CA 94063-1655 Re: East Palo Alto's response to 2006-2007 Civil Grand Jury Report Dear Judge Grandsaert: Attached is East Palo Alto's response to the 2006-2007 Civil Grand Jury Report, in the following format: • October 16, 2007 administrative report to the East Palo Alto City Council, containing the Grand Jury reports and the City's proposed responses to each report. Please be advised that on October 16, 2007, the City Council reviewed and approved the responses to the reports. An electronic version of the City's responses is being sent directly to the Grand Jury at [email protected]. Very truly yours, Alvin D. James, Attachment: as indicated cc: City Council City Attorney 2415 University Avenue, East Palo Alto, CA 94303, Telephone 650.853.3100, Fax 650.853.3115 CITY OF EAST PALO ALTO OFFIC~ OF TH~ CITY MANAG~R AdDrln~U3«veReport Date: October 16, 2007 To: Honorable Mayor and Members ofthe City Council Manager~ From: Alvin D. James, City Re: 2006-2007 Civil Grand Jury Report: Proposed Responses from East Palo Alto
F3:
Building in East Palo Alto: Is the Building Permit Approval Process in East Palo Alto Equitable? The City is required to respond to the reports. The City Council is required to review and approve the proposed responses. Attached are the three reports (EXHIBITS 1-3). The proposed responses to electronic communications and dams/levees are contained in separate documents (EXHmITS 4 and S). The proposed response to building in East Palo Alto is more complicated, and the proposed response is interspersed in the report fur ease ofreference (EXHIBIT 6). Fiscal Impact: None. 2415 University Avenue, Ea!rt Palo Alto, CA 94303 (650.853.3100; Fax 650.853.3115) Administrative Report October 16, 2007 Respectfully submitted, ~~ Alvin D. Jame(City Manager EXIDBIT I. Electronic Communication Among City Officials: A valuable Tool in Need ofCareful Guidance EXIDBIT 2. Emergency Planning fur Dam or Levee FailW"es in San Mateo County EXIDBIT 3. Building in East Palo Alto: Is the Building Permit Approval Process in East Palo Aho Equitable? EXHIBIT 4. Proposed response to Electronic Communication Among City Officials EXIDBIT 5. Proposed response to Emergency Planning Dam or Levee FailW"es in San Mateo County EXHIBIT 6. Proposed response to Building in East Palo Aho 2415 University Avenue, East Palo Alto. CA 94303 (650.853.3100; Fax 650.853.3115) AGENDA ITEM CITY COUNCIUREDEVELOPMENT AGENCY TUESDAY, OCTOBER 16, 2007 ITEM No. VillA 1 POLICY AND ACTION ITEM: VIIIA1 2006-2007 CIVIL GRAND JURY REPORT: PROPOSED RESPONSES FROM EAST PALO ALTO EXHIBIT 2 Emergency Planning for Dam or Levee Failures in San Mateo County I Summary of Em&rgency Planning for Dam or Levee FailureS in San Mateo County Issue What improVOIIlODtll can be made Within S\'" Mar.o C<lunlyto assure public .afet}: in tho event ofa dam or I""... failure? , ' , Summary WrthID the physical boundari.. orSan Mateo Counly (Counly) there "'" 12 d8mslisted , by govomm~sgencies as posing high or significant risk in tho, even! of(ailure. Fultbt:nnoro, at least four IovooO belwoen Ilrl.obaoo and Eaat'PaIo Alto are shawn on a _ FEMA JD2jl as lIIICorlified Ill, withitand a!wDdred.year:floodillg evontFailure of ccrl8in ofthese structures could, thn:aten tho lives ofD1llllYthon"""ds ofCounly residents. The 2006-2007 SIIiIMateo ~CiviI GnmdJury (Gnmd Jury) intorviewedpenonnel in tho OffiooofEmcrgonoySeivicesandHomelandSocwity (OESIHS), adivision oftho ,CounlyShorift". Office. This aa-Y Is ~Dlolln ooordinarjng OIIlergency responso within tho County including thDse omergeacies that would eIlS1IO as l!e remit ofa dam or leveo failun:. Other information 0lIIIIll ftomportincnt nowspapor utioles and web JlI&I'S such os tho.e <lfthe AImy CoIps ofEugin.een' National JDventory ofDIlIDI (NID), tho ,American Society ofCivil En.gin...... tho F!Jdm1 EmqeDCYManagemOlll' AgJncy (FEMA) Flood Map Modemizslion gram and the As8ociolion ofBay Ares , ,Governments. ' ,The OES/HS has fout parallel metho fOr notifYing citizt:ns facing cmetgellcies such as posSlDI. inlln,dation Iiom a dam or I ee failure. These methods ore: I) ato1ephoni<: , omergonoy notification system, 2) a ' lifioolion system that _ ",gimlnld wireless' devices and 'cell phones, 3) loud sirens in hazard area.s, and finally, 4) street-to stroot law. enforcement wsrnJngs; AI 01Iih waming methods are.in place, ,tho infoIma!ion about dams and levees oded both fOf planning and to ensure timely 1 WlltXliDgs in cmcrgoncies iIllIDt teadily ~vailable to OESIHS. Examples ofthislackof inforinalion arc: I)"lack ofEmergencyAction Plans (EAP) which at. supposed to be prepared by dam and levee op....tors. 2J. _equale infoanation about the structura! --integrityofth..County's d!msand·levecs,1llld3) recent~31 ofl'ublio......tothe-......- ----_ ..._- .. .NIl> websitewithouta password;and the fiill"'" to promptlyissue apassword as duly requested by OBSIHS. To con'ect these problems, the Grand lazy rcoommeods that I) dam and levee own"'" be . rcquiIed to preprue Emergency Actiqn Plans and submit them annual1y to the OESIHS, 2) do the OBSIHS what is necessary (V(ithoul deplioating other information gathering efl:i>rts) to galber the i.D1OIIDalibn required to assess risk and develop responseplao3 for levee and dam emergencies, and 3) the County Public Works Director work with city and opccial district publicwalksofficialsandengineers in the County10evaluateandreport on the integrity qfdlltns and levees lbmughout SanMatco County. Emergency Planning for Dam or Levee ~ailures-inSan-MateO-County.-------.---.- ----. _._--- -_._- -_.__._.- - _c Issue What improvements ~ bo -made within San Mateo CoUllly to ...nrc pUblic safety in the -event of a dam Of leveo failme? Background _ £arlicr in its IODD, tho 2006·2007 SanMaloo CoUllly Civil GnIlld JUlY (annd Jury) ismella report oD....din...withinSanMateoCounly (County) 10respondto aIsmami WI:U'" the I!UnlImj stIIdy MIS still fresh in the minds oftho Gnlld Jurors. tho-N"", Yolk Times published an Op-Edpiocc (seeApp<adix for~ccs lIlId web silesused .. so=mau:riaI) on the poorcondilioDofthenation',dams!bataroused Ibe jury's interest8Bto tile Ievol ofpreporatian witbin the .C oUllly!Dr dun fJIil..... '. . . Far usea Ibe pmpos.. ofthis report, a dam isa bauler to containabody offreshwater. _ When ""ked about dams, mO&tpeople in the C<>UDly tbink of~ """ atlhe CJ:Y!faI Springs =crvoir. Howev.... that dam is only on. of eighl dams in lb. County listed.. JUmy ."'high hazanI" bylhe Corps ofEngincas (Aq!) in its Nstional InventoryofDamS (NIP). High hazaId mesns a probableloas oflife should tho dam fail. ilnd that it is likely thatth.", will be significanl econmnic lOBS", environmental ~and human casualties. Another five dams in the CoUllly are liJted os boiDg ofsiguificant risk, where losSoflifoisnotIibly,but.."""mic mdotbl:r10....sro. The pres~ ofsuch dams in tho -County. combined with the Amerlcan Society ofCivill!ugln.... (ASCE) liDding lbal _cite ftJ" . in 200S .. _.. t~.um1JeofdaN idtmlified aJ is /ncre4sIIlg at of".,... t/um .,pccially . tluJ•• bdng r<:palrBd ..... makes lbisllll important topio, inour .einnically active area... . , DuriJl8the COIlIBC oflhis investiptiOD, it oJac became llppanmllo tho Gnnd Jury that 1<M:clS. wflich we deline here os baul... COllStnI1Illty as dotailcd as that found !Dr <lama in tho NID. ,A.a a consequence, this RpOlt tends to cmph8size <lama llIJd!rests lOvocsless completely. although levees ore DO less lmportant 'The ColDlly govemmClll and the 20 incolpOraIcd citi" recognized lb. need for .lIIIilicd omer!l"'lCY services organiWiOD md _Into.Joint Pow"" A!IleemODl (1PA) more than 30 )'."", _. Th. JPA is govcmcd by thol!lnorgoncy Services Council (IlSC). comprised of ono IOjlrcseDtlIlivo from eseh city, aSld ODe County Supervisor. Tho ESC approves budgets wi provide, stsalogic direcll.OD for em"'lloncy response actiVities in the 3 Co11DtY_ The cities contribute money to fund the JPA based upon • folIlluIa tliattilkes into account the poPulation and average ......ed property value.f"'h city. The County then matches the fund. conlDllUted by the cities. The ESC budget also jllCludes .' state-and,federa}.flmcrgencyManagement Assistance-prngranl fuiiil. in .ub.tantial·- mounts. . The ESC reviews md recommends OIllergency plans, programs and agn:ements for lIdoption by the Boud of Supervisors and city councils in order to carry out tho PllIJ'O,es """"gcn.cy . of an ~ organization. The Office- ofEmergency ServiceslHomelend Security (OESlHS) is in the Ofiice of the SheritL The OESIHS reports to the ESC, and .erves as that agency's ometgOllCy ~organization.' The OESIHS is respoxisible for minimizingthe effects'ofdisasters mdmajor emergenciesonthe citizens ofthe County. The OESIHS i.respoilsible fur the llmOrgency 0perali0IlS Plan (EOP), that de.cribes pJannedrespatlSe.witbin the County to extraordirllllyemergenci.es associated with natural di....Wrs; man-mede teclu¥llogical iru;fdents, and national security alerts. , ' InvestIgation Several ~on sow-ees were con,ll1ted during the course ofthi. investigation. A3 noted Ihove, the impotD!l for lbelnvestlgation was the Jan1l8I}' 22, 2007 Op-Ed piece in the New Yorlc Times by Jscquco Le!He, md subsequcm m.co~ ofthe ASCE website, which gradeo the Dation', infraslructure. The most recCD1 ASCE ''teport card" gave U.S. darn, a D grade, meaningthat they we:ejudgedtobepoor in terms of . ..... ,condition andpeiforma1l~ .cQpac:ilYvs. nut!, rmdjiuuJiIIgvs. need" The Gnnd Jury !bon consulted the ACE web site and downloaded NID iDformation fur Sa;> Mateo County. Ace... to the NID has b_ dllliied to the public oinc. shortly after , the Grimd JUlY obtained infimneIion about the dams. The website fur the California Department ofWaterResources (DWR) DivisionofSafety ofDams aIao provided infuIltllllian about 1ho dams in lbe County. Much ofthe State infimnaliOD duplicated that fuund earliain theN1D. (The NlD Isalao IlV8ilablcfursaJe by Investigative Reporter> and Editers, Inc.. wbich clascribco itlelfas,.. a grassroots """lJTOjit organization dediazud to improving rhtI 'pmlily ofl1rNt(g~r.'!{JQrtIng.") The Fedcralilmergency Managanc:n1 Agency (FEMA) Flood M.1p Modemizalion ProBram and the Associalion of Bay Area Governments' (ABAG) Wi:bsitES wero aIao nsofuIsot=OS ofinformalion. Personnel in tho San Mateo County Sheriff. OESIHS were iIJterviewed and proved to be very coopenlive ~ exb:OIllely VDluable soUlCe9ofinformllllon. OESIHS personnel, in turn; contacted arepresentative oftheStateDWRDivision ofSafelyofIiams.who WOI quite responsive in supplying requested inlbrmanon to OESIHS, aft... which the OESIRS provided the infurmation to the Gland JUlY. ' • Findings· -_T._h-e--fi-n_d .. i .. n ..... p _. l _ i _ s . te - d._b . e .. l _ o _ w . __ba.v_e-beengroupedintosovcnlmajortopic. at..... .. . _-- ..,- .. '--'~.-._._--~_._------- ~----", . Dams In·the County .' • TheArmyCOlJ's .f:Engin....Nolionalrnventoryofnamsdescriptivo infOIID8lion lOrthe 12daD1slUted ashighorsignjficsntriskisshownin Table I . . Table1 Worm.tioD 2bout_IllSlID Mateo Coantylistedby theArmy Corps ofEllgi _ no t enIntheNatioualIn_tory orDlUDI as boiDg- or highorsiplflcantrisktoproperl;Y lIDdlife . Dom..".. ,.;,;;;;T ID h~ S A.Ra lnrPediOA Lower PO 18118 600 140 57910 1313 1211312001 H . • PJl. 1866 'S2D IlU 3100 109 1211312001 H San_ ER 1870 m 107 19077. 550 1211312001 H '''wei BR 1969 287 4. 55 3 09/Z1I2OO1 S C<eek BDIonIdlkLo... BR 1885 280 57 45 4 10I29l2OO1 S Scam<mo Pel 18~ 260 68 952 ~ 1011112001 . H ~::- ER 18~ 200 45· 22 2 10I10IZ001 H ER 1876 400 87 73 4 IMOIZOOI H - ER 210 $I 120 8 09/2112001 H _0UICh ER 1896 730 ·61 G72 25 1112112001 H ER 19S1 1000 46 100 9 1012912001 S ~ !bncl> ER 1952 24$ 63 256 13 07/1912001 S ~ ER 1951 200 154· 47 4· 1011012001 S Notes: I. d""'!YI"' a.-Roel:1ilIPG-Gmvlly ;2. £agtAolMJ,hr. feet . - J. N.""tzlSltlnlp: JIl:I'8-feet
F4:
Hovudp.-&l: S-s/;Difi<:oot.oolorsofllti:"'P'.....otplft_pm""", """'I" H~pJObobIoI...otU-lOld.<lFlfJ....propenydarmao. to Access InfotmaUon aboutdamsIn the.County • Wh...OESIHSpc:nomeltriedto obtaiDNalionalInveutoIyofD~ . infoIID8lioilfromtheAm.yCoopsof1'!ogin.....websiteinApri12007, wi-" OESIHS W1I$ dCllieclo= paAWON. • OESIHS oppliedforthorequimlPll8SWOrdinApril2007,butbodnotreceived itbylatoMay2007. • & notedoarlier,NationalInvenlory'ofDIlIlIBinfbnnatIonisno longer publiclyavailabledirectlyftomthoArmyCarpsof\'!ogiDoers, yetitappears to1>0availableftomothorIOUICCS. • The CalifumiaDepartment o{WaterResourCes DivisionofSafetyofDams invClltolYisIIOtorp0i2ed by<:olllII:y,wbIoh........itverydifIioult.,un. EmergencyAction Plans • TheOESlHS IeCeDl.lyCOlltactedOWllers of19damslocatedinSanMateo Countythaiwerelisted intheNationalInvCDlllryofDams(the 19included. - --------------sorif~lOwl'tsrt"llIl"-'------:- Emergo:ncyActiollPlan.althoughtheNationalInventoryofOam.indieated thatallthe dsmslistedinTable I badsuchplans. • ArepresentativeoftheCalifomia-DepartMCIlIofWatt:rResource.DiviBionof Safedtaymo.fDamstoldtho OBSIRS !bitt IlOBmorgcmcyActionPlans.",onfile for in ourCoWl1y, and infact, there....veryrewEmergencyAction PI..,. on file fordamslocatedolaowbtueinC>lifomi.. . . • . The Caliti>miaDepartmentofWaterReao=Divi>ionofSafetyofDams has110authorityto requirethatEmergencyAclionPlansbepreparedbythe . damowne:t'8. Dam ImspectJons • The <:;a!ifomiaDepartmentofWalcrR"""un:es DivisionofSafetyofDanu app.....t1yinSpectsall damsannual1y, includingCrysta1SpringsD8lD, althoughtheNatioDaIfnve:ntoiy ofDamsUstslhc1Jlstinspectiondatellli>r dams IS in2000or2001 (SeeTable I)... Preparedness • The OESIHShasmapa OIl file1halshowarell8 thatwouldbeinUDdatedinwe ofafailure ofthedamS listed inTabl, 1. . - • - Table2Usts typesof1iIcilitie.thaI....illpolelltiaI jmmdation20,.,.. , Table1.. ·]mp.rtalltfadl11l..lo..tedfn dambnutdaUoazon.. (5=; A.oooo.aauofllayAIOli 0vvemmeDts,2004) ..... Twaoftadllty Totalba . IDbaand.Uao Coaaty BEALTHCARlI:FACtL1TlES: . IS 12 .2 r...m..Tcnn em. E - 18 2 - ea.a or eciIItvC1ioie 19 5 _H••lIl1 or 20 6 ~ 13.7 27 , 5obOol 160 21 . . MiddtCl orJr. Sdloo! 29 _SdIaoI zg 2· • ~~rO.1 0 ~orL 5 I - - CAL·F.u:D:n1I!& 61! IOSI . 516 104 • Co . 49. 0WD0dby500cfalDi:I..... I BRlIlGESANDINTERCHANGES: 358 76 .Qwoed 1$3 .5 5"'~ 20S 31 6 o OESIHShas fowparallelmethodsfurnotifyingcitizen..of. varietyof ha<cdo,includingresidcnls·facingpossibleinunc1alionfrom adamfailure. -~-~TIiose-melhods-are,· , --,.-.---......----.'. l. Therelq,honieBmergencyNotijle$lonSystem (TBNS)from 'DialogicCommunications ColpOlll1ioo,whichtsanlnlerJ!Ot-b..ed oellingsystemthatnpidlya10rtsrcoidcnuintIleirhome. sud mobilizesfirst respo;1dcrs.!'honeIi.Itsarebeinggencnted80that r";dcnls tivingin_identiJied·oniJJuDdationmap.canbcnoimed byTENS ;"thoovcntofan;mmillCZldamorlc:vcofaillIM. ,
F49:
0WD0dby500cfalDi:I..... I BRlIlGESANDINTERCHANGES: 358 76 .Qwoed 1$3 .5 5"'~ 20S 31 6 o OESIHShas fowparallelmethodsfurnotifyingcitizen..of. varietyof ha<cdo,includingresidcnls·facingpossibleinunc1alionfrom adamfailure. -~-~TIiose-melhods-are,· , --,.-.---......----.'. l. Therelq,honieBmergencyNotijle$lonSystem (TBNS)from 'DialogicCommunications ColpOlll1ioo,whichtsanlnlerJ!Ot-b..ed oellingsystemthatnpidlya10rtsrcoidcnuintIleirhome. sud mobilizesfirst respo;1dcrs.!'honeIi.Itsarebeinggencnted80that r";dcnls tivingin_identiJied·oniJJuDdationmap.canbcnoimed byTENS ;"thoovcntofan;mmillCZldamorlc:vcofaillIM. ,
Recomendaciones adicionales
12
No vinculadas a hallazgos específicos.
R1:
Accept this report containing the County’s responses to the following 2006-07 Grand Jury report: Emergency Planning for Dam or Levee Failures in San Mateo County. 2. Adopt a Resolution encouraging all jurisdictions to cooperate with the Office of Emergency Services/Homeland Security to develop credible Emergency Action Plans by March 31, 2008, for responding to prospective dam or levee failure, degradation or breech. VISION ALIGNMENT: Commitment: Responsive, effective and collaborative government. Goal 20: Government decisions are based on careful consideration of future impact, rather than temporary relief or immediate gain. This activity contributes to the goal by ensuring that all Grand Jury findings and recommendations are thoroughly reviewed by the appropriate County departments and that, when appropriate, process improvements are made to improve the quality and efficiency of services provided to the public and other agencies.
R2:
(paraphrased): Work with County Public Works and FEMA to identify, evaluate, and report on integrity of dams or levees. Response: The City will implement this recommendation, and anticipates a status report on the levees under its jurisdiction within 12 months. Again, and on behalf of the City Council, thank you for the opportunity to respond on these issues. Sincerely, Barbara Pierce Mayor cc: Members, City Council Ed Everett, City Manager Peter Ingram, Community Development Services Director Gerry Kohlmann, Fire Chief COUNTY OF SAN MATEO Office of the Sheriff GREG MUNKS SHERIFF Area Office of Emergency Services CARLOS G. BOLANOS and Homeland Security UNDERSHERIFF 400 COUNTY CENTER REDWOOD CITY CALIFORNIA 94063-1662 TELEPHONE (650) 363-4790 www.smcsheriff.com ADDRESS ALL COMMUNICATIONS TO THE SHERIFF September 26, 2007 Honorable John L. Grandsaert Grand Jury Judge Hall of Justice and Records 400 County Center Redwood City, CA 94063 Re: 2006-07 Grant Jury Report: Emergency Planning for Darn or Levee Failures in San Mateo County Dear Judge Grandsaert: We wish to acknowledge the effort of the Civil Grand Jury with this report regarding the Emergency Services Council (ESC). We feel the report is accurate, and depicts an understanding and appreciation by the members of the Grand Jury regarding issues relating to dam or levee failures in San Mateo County. The Emergency Services Council is in general agreement and fully supports the findings of the Civil Grand Jury. The ESC appreciates a partnership in alerting residents and visitors to the very real danger of darn or levee failures in San Mateo County. Recommendations: 1. The Grand Jury recommends that the ESC authorize and fund, by December 31, 2007, the Office of Emergency Services/Homeland Security to work with other entities in our County to acquire whatever information is necessary to assess risk and develop response plans for levee and dam emergencies. This effort should use all available information, including that collected by the Federal Emergency Management Agency, to formulate plans specific to our County and to incorporate those plans into the Office of Emergency Services/Homeland Security countywide Emergency Operations by July 31,2008. A JOINT POWERS REPRESENTING: TOWN OF ATHERTON· CITY OF BELMONT' CITY OF BRISBANE' CITY OF BURLINGAME' CITY OF COLMA' CITY OF DALY CITY' CITY OF EAST PALO ALTO CITY OF FOSTER CITY· CITY OF HALF MOON BAY' TOWN OF HILLSBOROUGH· CITY OF MENLO PARK' CITY OF MILLBRAE' CITY OF PACIFICA TOWN OF PORTOLA VALLEY' CITY OF REDWOOD CITY' CITY OF SAN BRUNO· CITY OF SAN CARLOS. CITY OF SAN MATEO' COUNTY OF SAN MATEO CITY OF SOUTH SAN FRANCISCO' TOWN OF WOODSIDE 2. Adopt a resolution by December 31, 2007, requesting all jurisdictions - whether County, City, Special District, or private entity - having authority or responsibility for dam or levee integrity cooperate with the Office of Emergency Services/Homeland Security to develop credible emergency plans for responding to dam failures and levee degradation or breech. Responses: 1. The Emergency Services Council agrees that the Office of Emergency Services/ Homeland Security work with other entities in our county is vital to the public safety of residents in the County, and that it is important to work with these agencies to acquire whatever information, including information collected by FEMA, to assess risk and develop emergency response plans for levee and dam emergencies as soon as possible. However, since the funding for this initiative is not included in the FY 2007-08 budget, it will be necessary to attempt to secure grant funding until such time that funding can be secured as part ofthe FY 2008-09 budget cycle. The Emergency Services Council agrees that it is critical to formulate plans specific to our county and to incorporate those plans onto the Office of Emergency Services/ Homeland Security Countywide Emergency Operations Plan at the earliest possible opportunity. 2. The Emergency Services Council agrees that it would be productive to adopt the recommended resolution, and plans to do so within the recommended time frame. ose Jacobs Gibson President, San Mateo County Board of Supervisors Chair, San Mateo County Emergency Services Council RESOLUTION NO. _ EMERGENCY SERVICES COUNCIL, COUNTY OF SAN MATEO, STATE OF CALIFORNIA * * * * * * RESOLUTION REQUESTING ALL JURISDICTIONS HAVING RESPONSIBILITY FOR DAM OR LEVEE INTEGRITY TO COOPERATE WITH THE COUNTY OFFICE OF EMERGENCY OPERATIONS/HOMELAND SECURITY TO DEVELOP EMERGENCY PLANS FOR RESPONDING TO DAM FAILURE AND LEVEE DEGRADATION OR BREECH WHEREAS, the Grand Jury has recently studied and addressed improvements that can be made to assure public safety in the event of a levee or dam failure in the County of San Mateo; and WHEREAS, the Emergency Services Council provides strategic direction for emergency response activities in the County of San Mateo; and WHEREAS, in connection with that study, the Grand Jury has recommended that the Emergency Services Council adopt a resolution requesting that all jurisdictions whether County, City, Special District, or private entity having responsibility for dam or levee integrity cooperate with the Office of Emergency Operations/Homeland Security to develop emergency plans for responding to dam failure and levee degradation or breech; and WHEREAS, the Emergency Services Council agrees that it would be productive and that public safety would be enhanced by adoption of the recommended resolution. NOW THEREFORE, IT IS HEREBY DETERMINED AND ORDERED that this Emergency Services Council hereby requests and encourages all jurisdictions whether County, City, Special District, or private entity having responsibility for dam or levee integrity, to cooperate with the County Office of Emergency Operations/Homeland Security to develop emergency plans for responding to dam failure and levee degradation or breech. * * * * * * COUNTY OF SAN MATEO Inter-Departmental Correspondence County Manager’s Office DATE: September 10, 2007 BOARD MEETING DATE: September 25, 2007 SPECIAL NOTICE: None VOTE REQUIRED: Majority TO: Honorable Board of Supervisors FROM: John L. Maltbie, County Manager SUBJECT: 2006-07 Grand Jury Response
R3:
FedmalEmergencyManag=Olll.Af;ristro.taT>in SanMauo County J'Of{UDti1rgExUtIrig . CorijleatlonDoC/R1ll!1l!SfOrlAwuR~emEff_FloOdIMlI''''''''' IlttteMaps -1_daIedfanuary23.2007
R4:
.2007:.8""MlZlea C<nl1I(yLevee8taIw.Map Cl'IOltedApril20, 2007byMichadBalcerJr.•!rl<;. .
R5:
, 2007: SanMotea CowrtyLeveeStatlU.TableereatedApril 20. 2007byMich..tBakerJr.,!nl:.. . . . 6. Leslie,J., 2007:BeforetheFlood,NewYOlkTim...Oi>-EdPo... January22.
R8:
SanMateoCoumy(CalifODlla)Civil Gl3ndJury.200>-1006: WhentheBigOne Comes W'Ul WoRespoDdwlll..B!ll8"" Whimper? 4Opp. . '
R9:
AmerioaD.Soc:iotyofCivilEnsbl..",. (ASCE)reportcaId, I!t!l!j/_.......!J!/repOrtearl!!299Slp....cfm1~ 10.AmiyCo,!" .f&1g1neers,NIllioD81InvCt!llltY.fclams. . ·lrttRillsrnnch;te<.army.1!Il!InW1l'.1nrJgeIIpI4.dln II. AssocialioDofBoyAreaGovemmcntls.http;/bnnr.•bag.CLgovllevAA!.html
R10:
Amiy Co,!" .f&1g1neers, NIllioD81 InvCt!llltY.fclams. . ·lrttRillsrnnch;te<.army.1!Il!InW1l'.1nrJgeIIpI4.dln II. AssocialioD ofBoy Area Govemmcntls. http;/bnnr.•bag.CLgovllevAA!.html
R12:
CalifomiaDepaltmentofWaI<rRooolltOOS,Dl~ ofSafotyofDlIlDll, bttD:II<1t.m,afdr.water·ca.goy{ MaP
R13:
Flood ModcmizationProgram,FedOdll!merpoyMon8gemeill,\ploy RegiOD IX. http://Dns,mapmodloom'SOmlm<2lSu - ••h!!l!1IJ&!!! 14.lnvestigaliverepotters and editors,Inc., http://wvrw.l....or(!i.thenewl arcllivefdawesou!Ces.html .. ' 15.SanMaleoCountY·CivilGrandJury2006-2001,-i>ubliohedrej>orts,-_ ..- - ..... http://wvrw.sanmBweourt.omtdlr!£lPr.l!Iu!lDIen.m...Jgrandinryl2006llnd ex.php . .
R16:
San~CountyCivil GJllIldJury2005.2006.publishedreports, 1rt1Jl:!f:lyww.·amn atea."rt.!irgldireelar.php?fllename-JgrandjurrllOO5liod . !X.php 17.Officeo{EmergencyScrvi.eesIHomelandSecurity, . l!ttp:f/wyy:Jv.co.sanmllteo.ea.wf.mefdepar!mentlhomefO.I4095463 14132044 59210022,DO.htm\ . , . . .• 12 EXHIBIT 5 Proposed response to Emergency Planning Dam or Levee Failures in San Mateo County
R17:
Office o{Emergency Scrvi.eesIHomelandSecurity, . l!ttp:f/wyy:Jv.co.sanmllteo.ea.wf.mefdepar!mentlhomefO.I4095463 14132044 59210022,DO.htm\ . , 12 . .•.
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Hallazgos & Recomendaciones
5 hallazgos
F1:
The Telephonic Emergency Notification System (TENS) from Dialogic Communications Corporation, which is an Internet-based calling system that rapidly alerts residents in their homes and mobilizes first responders. Phone lists are being generated so that residents living in areas identified on inundation maps can be notified by TENS in the event of an imminent dam or levee failure.
F2:
Length & height: feet
F3:
Normal Storage: acre-feet
F4:
Hazard potential: S= significant, no loss of life expected, significant property damage H=high, probable loss of lives and significant property damage. Access to information about dams in the County • When OES/HS personnel tried to obtain National Inventory of Dams information from the Army Corps of Engineers website in April 2007, OES/HS was denied access without a password. • OES/HS applied for the required password in April 2007, but had not received it by late May 2007. • As noted earlier, National Inventory of Dams information is no longer publicly available directly from the Army Corps of Engineers, yet it appears to be available from other sources. • The California Department of Water Resources Division of Safety of Dams inventory is not organized by county, which makes it very difficult to use. Emergency Action Plans • The OES/HS recently contacted owners of 19 dams located in San Mateo County that were listed in the National Inventory of Dams (the 19 included some low risk dams); the OES/HS found that none of those dams had an Emergency Action Plan, although the National Inventory of Dams indicated that all the dams listed in Table 1 had such plans. • A representative of the California Department of Water Resources Division of Safety of Dams told the OES/HS that no Emergency Action Plans are on file for dams in our County, and in fact, there are very few Emergency Action Plans on file for dams located elsewhere in California. • The California Department of Water Resources Division of Safety of Dams has no authority to require that Emergency Action Plans be prepared by the dam owners. Dam inspections • The California Department of Water Resources Division of Safety of Dams apparently inspects all dams annually, including Crystal Springs Dam, although the National Inventory of Dams lists the last inspection dates for dams as in 2000 or 2001 (See Table 1). Preparedness • The OES/HS has maps on file that show areas that would be inundated in case of a failure of the dams listed in Table 1. • Table 2 lists types of facilities that are in potential inundation zones. Table 2. Important facilities located in dam inundation zones (Source: Association of Bay Area Governments, 2004) Type of facility Total in In inundation County zones HEALTH CARE FACILITIES: 69 15 Hospital 12 2 Long-Term Care Facility 18 2 Primary Care or Specialty Clinic 19 5 Home Health Agency or Hospice 20 6 SCHOOLS: 227 27 Elementary School 160 21 Intermediate, Middle, or Jr. High School 29 3 High School 29 2 Continuation High School 4 0 College or University 5 1 CRITICAL FACILITIES: 615 109 City-Owned 516 104 County-Owned 49 4 Owned by Special Districts 50 1 BRIDGES AND INTERCHANGES: 358 76 Locally-Owned 153 45 State-Owned 205 31 6 • OES/HS has four parallel methods for notifying citizens of a variety of hazards, including residents facing possible inundation from a dam failure. Those methods are:
F49:
0WD0dby500cfalDi:I..... I BRlIlGESANDINTERCHANGES: 358 76 .Qwoed 1$3 .5 5"'~ 20S 31 6 o OESIHShas fowparallelmethodsfurnotifyingcitizen..of. varietyof ha<cdo,includingresidcnls·facingpossibleinunc1alionfrom adamfailure. -~-~TIiose-melhods-are,· , --,.-.---......----.'. l. Therelq,honieBmergencyNotijle$lonSystem (TBNS)from 'DialogicCommunications ColpOlll1ioo,whichtsanlnlerJ!Ot-b..ed oellingsystemthatnpidlya10rtsrcoidcnuintIleirhome. sud mobilizesfirst respo;1dcrs.!'honeIi.Itsarebeinggencnted80that r";dcnls tivingin_identiJied·oniJJuDdationmap.canbcnoimed byTENS ;"thoovcntofan;mmillCZldamorlc:vcofaillIM. ,
Recomendaciones adicionales
15
No vinculadas a hallazgos específicos.
R1:
Cooperate with the Office of Emergency Services/Homeland Security to develop credible Emergency Action Plans by March 31, 2008, for responding to a prospective dam or levee failure, degradation or breech. These Emergency Action Plans should be prepared and submitted immediately upon completion to the Office of Emergency Services/Homeland Security, followed by annual updates. An Emergency Action Plan would include at least the following information: • A list of three or more separate telephone contacts to insure that at least one responsible official or responder is made aware of an emergency at the facility • Other actions that would be undertaken to mitigate the danger in the event of an emergency • The most recent inspection report Response to Recommendation 1: The City of Belmont agrees with the findings and is currently working on an Emergency Action Plan for Notre Dame Lake Dam (also known as Water Dog Lake Dam) with the San Mateo County Office of Emergency Services/Homeland Security. This plan will include the recommendations outlined in the Grand Jury Report. Other actions will include the use of the City’s Teleminder phone system to advise all affected residents. The Emergency Action Plan will include three City officials: Ray Davis, Public Works Director 650.595.7459 Don Mattei, Police Chief 650.595.7421 Doug Fry, Fire Chief 650.802.4225
R2:
Direct the appropriate City Department to work with the County Public Works Director and with the Federal emergency Management Agency to identify, evaluate and report on the integrity of dams and levees in the County. Response to Recommendation 2: The City of Belmont agrees with the findings. The Department of Public Works will be the City Department to work with County DPW and FEMA on any report dealing with the integrity of dams and levees in the County. The contact person is Karen Borrmann, Assistant Director of Public Works/ City Engineer - 650.595.7469.
R3:
Federal Emergency Management Agency, 2007: Letter to Community Floodplain Administrators in San Mateo County requesting Existing Certification Documents for Levees Recognized on Effective Flood Insurance Rate Maps - letter dated January 23, 2007
R4:
______________, 2007: San Mateo County Levee Status, Map created April 20, 2007 by Michael Baker Jr., Inc.
R5:
______________, 2007: San Mateo County Levee Status, Table created April 20, 2007 by Michael Baker Jr., Inc.
R6:
Leslie, J., 2007: Before the Flood, New York Times, Op-Ed Page, January 22,
R8:
San Mateo County (California) Civil Grand Jury, 2005-2006: When the Big One Comes Will We Respond with a Bang or a Whimper?, 40 pp. Websites
R9:
American Society of Civil Engineers (ASCE) report card, http://www.asce.org/reportcard/2005/page.cfm?id=23
R10:
Army Corps of Engineers, National Inventory of dams. http://crunch.tec.army.mil/nid/ webpages/nid.cfm
R11:
Association of Bay Area Governments. http://www.abag.ca.gov/levees.html
R12:
California Department of Water Resources, Division of Safety of Dams, http://damsafety.water.ca.gov/
R13:
Flood Map Modernization Program, Federal Emergency Management Agency Region IX, http://rmc.mapmodteam.com/rmc9/San_Mateo.htm#Levee 11
R14:
Investigative reporters and editors, Inc., http://www.ire.org/inthenews_archive/damresources.html
R16:
San~CountyCivil GJllIldJury2005.2006.publishedreports, 1rt1Jl:!f:lyww.·amn atea."rt.!irgldireelar.php?fllename-JgrandjurrllOO5liod . !X.php 17.Officeo{EmergencyScrvi.eesIHomelandSecurity, . l!ttp:f/wyy:Jv.co.sanmllteo.ea.wf.mefdepar!mentlhomefO.I4095463 14132044 59210022,DO.htm\ . , . . .• 12 EXHIBIT 5 Proposed response to Emergency Planning Dam or Levee Failures in San Mateo County
R17:
Office of Emergency Services/Homeland Security, http://www.co.sanmateo.ca.us/smc/department/home/0,,14095463_14132044 _59210022,00.html 12 July 27, 2007 Honorable John L. Grandsaert Judge of the Superior Court Hall of Justice 400 County Center, 2nd Floor Redwood City, CA 94063-1655 Re: 2007-2008 Grand Jury Report: Emergency Planning for Dam or Levee Failures in San Mateo County Dear Judge Grandsaert: We wish to acknowledge the efforts of the Civil Grand Jury with this report regarding the efforts of the Office of Emergency Services and Homeland Security (OES/HS). We feel the report is accurate, and depicts an understanding and appreciation by the members of the Grand Jury regarding issues relating to Emergency Planning for dam or levee failures in our County. As the Director of the Area Office of Emergency Services and Homeland Security, I fully support the findings of the Civil Grand Jury and appreciate their assistance in alerting residents and visitors to the very real, and potential danger of a dam or levee failure occurring in San Mateo County. Recommendations: The Grand Jury recommends that the Sheriff instruct the Office of Emergency Services/Homeland Security to:
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Hallazgos & Recomendaciones
5 hallazgos
F1:
Instruct the Parks Department to investigate the costs and advantages of private management of the Marina through a long- term lease or operating agreement to insure that the County’s investment in the Marina is preserved and enhanced. Response: Concur. The Parks Department will undertake an investigation into the costs and advantages of private management of the Marina using a long-term lease or operating agreement.
Recomendaciones relacionadas (1)
R1:
The Grand Jury recommends that the Board of Supervisors direct the County Manager to:
Instruct the Parks Department to investigate the costs and advantages of private management of the Marina through a long-term lease or operating agreement to insure that the County’s investment in the Marina is preserved and enhanced. 7
F2:
Report the written findings and conclusions of this investigation to the Board of Supervisors by December 31, 2007. Response: Concur. The findings will be reported to the Board of Supervisors when the investigation is complete. The findings will be presented at the December 18, 2007 Board of Supervisors meeting. If the Board of Supervisors concludes that private management of the Marina is not desirable or feasible, the Grand Jury recommends that the Board of Supervisors direct the County Manager to:
Recomendaciones relacionadas (1)
R2:
The Grand Jury recommends that the Board of Supervisors direct the County Manager to:
Report the written findings and conclusions of this investigation to the Board of Supervisors by December 31, 2007. If the Board of Supervisors concludes that private management of the Marina is not desirable or feasible, the Grand Jury recommends that the Board of Supervisors direct the County Manager to:
F3:
Reorganize the Parks Department to create a separate management structure for the Marina, headed by a qualified and experienced harbormaster. Response: Concur. If it is determined that private management of the Marina is not feasible or desirable, the County Manager’s Office will work with the Director of Parks and the Human Resources Department to determine the organizational structure and classifications best suited to meet the business needs of the Marina and County.
Recomendaciones relacionadas (1)
R3:
The Grand Jury recommends that the Board of Supervisors direct the County Manager to:
Reorganize the Parks Department to create a separate management structure for the Marina, headed by a qualified and experienced harbormaster.
F4:
Instruct the Parks Department to adopt and implement policies and programs to increase the occupancy rate and promote boating activities in the Marina. Response: Concur. As an Enterprise Fund, the Marina receives no General Fund support and must operate on the revenue it generates. Any decrease in occupancy results in a corresponding decrease in revenue, and thus services. A number of projects and programs have been completed or are underway to increase occupancy and promote boating including: a revision to advertising material; capital projects to improve visitor amenities and services; a trend analysis to better plan the Marina’s facilities and services to meet changing trends in the recreational boating sector and improve Marina occupancy; and active Marina support of various boating and Coyote Point Yacht Club events and activities.
Recomendaciones relacionadas (1)
R4:
The Grand Jury recommends that the Board of Supervisors direct the County Manager to:
Instruct the Parks Department to adopt and implement policies and programs to increase the occupancy rate and promote boating activities at the Marina.
F5:
Provide staff and other support needed to enable Parks Department Planning to meet the capital projects needs of the Marina in a timely manner, and if Parks Department Planning is understaffed, to adjust staffing levels accordingly. Response: Concur. Marina capital projects are included in the Parks Department planning workload and handled as priorities dictate. In those instances where timeliness, expertise, or workload is an issue, additional planning assistance has been added. For the last several years, this has been accomplished through hiring consultants, utilizing the Department of Public Works, or reallocating other Parks Department staff resources. The Department will continue to supplement Parks planning efforts to meet the capital needs of the Marina, as priorities dictate and funding allows.
Recomendaciones relacionadas (1)
R5:
The Grand Jury recommends that the Board of Supervisors direct the County Manager to:
Provide staff and other support needed to enable Parks Department Planning to meet the capital projects needs of the Marina in a timely manner, and if Parks Department Planning is understaffed, to adjust staffing levels accordingly. COUNTY OF SAN MATEO Inter-Departmental Correspondence County Manager’s Office DATE: July 30, 2007 BOARD MEETING DATE: August 14, 2007 SPECIAL NOTICE: None VOTE REQUIRED: None TO: Honorable Board of Supervisors FROM: John L. Maltbie, County Manager SUBJECT: 2006-07 Grand Jury Response RECOMMENDATION: Accept this report containing the County’s responses to the following 2006-07 Grand Jury reports: Summary of Coyote Point Marina: A Valuable Asset Deserving Effective Management; Health and Human Services Survey on Compliance with Recent Grand Jury Recommendations; and Tower Road Property and Maintenance. VISION ALIGNMENT: Commitment: Responsive, effective and collaborative government. Goal 20: Government decisions are based on careful consideration of future impact, rather than temporary relief or immediate gain. This activity contributes to the goal by ensuring that all Grand Jury findings and recommendations are thoroughly reviewed by the appropriate County departments and that, when appropriate, process improvements are made to improve the quality and efficiency of services provided to the public and other agencies.
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Hallazgos & Recomendaciones
3 hallazgos
F1:
Continue study of the proposed post-sentence facility for inmates of both genders and move as quickly as possible to fund and build such a facility to replace the Women’s Correctional Center Response: Concur. Time is a critical concern. The jail populations today are beyond safe levels. This severely taxes our ability to manage today’s inmate populations. We are out of space and fast approaching a situation where there is literally no room to place more prisoners. The five year delay until a new facility can be constructed will place the system at the breaking point sooner rather than later. Additional jail beds must be found in the interim. Time should not be the only critical concern, however. The study and needs assessment must provide an accurate guide for developing capacity in the future and identifying the type of beds required. We should not permit the current crisis to force decisions that will not serve the County’s best interests in the extended future. The recommendations must be based on solid information that guides construction planning. As the needs assessment nears completion, a site for the new facility must be determined and architectural review initiated. This process incorporates the needs assessment to determine the type of building environment. This is where we will match the space with post-sentenced inmate programming and determine staffing. While this process is not a fast one, careful planning helps to prevent costly mistakes with the public’s money during construction on a facility that will last years into the future. The funding process will be a combined effort of San Mateo County Government and criminal justice stakeholders.
F2:
Identify and promptly implement interim solutions to overcrowding at the existing Women’s Correctional Center Response: Concur. To alleviate the over-crowding issue at the Women's Correctional Center an additional facility(s) must be identified which can provide minimum/medium- security housing for female inmates. Some relief for female inmates may be possible if crowding in the male facility can be addressed that could provide additional space opportunities for the female population to expand into. The Sheriff presented conceptual choices to address the overcrowding to Board of Supervisors at the final budget hearings on September 25, 2007. Fiscal implications are being weighed to assist with the decision making process. In this context the Sheriff will also be providing the Board with a proposal to ensure re-entry opportunities are included with sufficient housing options. The Grand Jury will be appraised of any decisions made by the Board.
F3:
Implement the above recommendations in the context of the entire detention system, taking into account the special needs of women; and including innovative sentencing alternatives, treatment for substance abuse and mental problems, and programs to facilitate a phased transition from incarceration into society. Response: Concur. The Sheriff’s report to the Board of Supervisors at the end of the month will lay out a number of options for consideration. The options will address both the male and female populations and will recognize the need to provide gender specific programming opportunities. The options will require financial commitment from the County, but will serve as pilot programs for the eventual construction and opening of the new facility. Response: The Sheriff provided like responses to the Grand Jury on September 4, 2007.
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Hallazgos & Recomendaciones
10 hallazgos
F1:
The board acknowledges the historical data demonstrating that the most successful strategy for minimizing risk, while capturing market returns, is a prudently diversified portfolio.
F2:
Therefore, the Retirement Fund should be invested across the spectrum of institutional grade Asset Classes.
F3:
The board acknowledges that the Asset Allocation targets reflect a long- term view of the market.
F4:
The board acknowledges that professional management of the Retirement Fund is expected to add value to the portfolio, by capitalizing on inefficiencies in the markets.
F5:
The board takes responsibility for allocating across asset classes and across styles within asset classes, but does not substitute its judgment for the professional judgment of those managers it retains.
F6:
The board believes that interest, dividends and capital appreciation must be pursued and captured, if the Actuarial Funding Objectives of the Retirement Fund are to be achieved.
F7:
The board is not a market-timer (shifting asset class allocations dramatically over short time spans), because it realizes this strategy is seldom successful and has the potential for dramatic losses and opportunity costs.
F8:
The board views Short-term Cash Equivalents as insignificant contributors to Real Returns in the long run.
F9:
The board is responsible for keeping the lines of communication open and the Investment Plan on target. Many pension funds share SamCERA’s emphasis on diversification and institutional grade asset classes. In addition to the usual statements of goals and philosophy, SamCERA’s Policy includes guidelines and limits in terms of asset allocation and bond ratings. SamCERA specifies further guidelines in the Investment Management Agreement with each fund manager, and it monitors the performance of each fund frequently. In light of the fact that CDOs/CMOs twice removed from subprime mortgages have still received investment grade ratings, SamCERA’s rating requirements may not be sufficiently restrictive. The current rating requirements may depend too much on the prudence and acumen of the rating agencies. Procedures One of SamCERA’s more important procedures is the preparation of a Monthly Portfolio Performance Report (Report) by the Investment & Finance Manager. This Report compares (a) the actual performance of the total Fund with its policy benchmark and the actuarial discount rate, and (b) the actual performance of the twelve component funds that comprise the total Fund with their asset-class benchmarks. The Report also compares returns reported by fund managers with the corresponding returns as calculated by the custodial bank holding the funds; if a significant variance is found, it must be reconciled. With data quality assured, the Report continues to explain the performance of the various funds in terms of their asset holdings vis-à-vis their markets. The Report is as much a review of the efficacy of the fund manager’s decisions as it is a review of financial performance. (See Appendix B for excerpts from the latest Performance Report.) SamCERA consciously avoids micromanagement of its fund managers, but scrutinizes asset selection and performance versus established benchmarks. SamCERA is not hesitant to terminate fund managers for poor performance relative to SamCERA’s established benchmarks. Its standard Investment Management Agreement allows SamCERA to terminate the Agreement on 30 day notice. (See Appendix C for the definition of underperformance.) Terminations of fund managers for underperformance occurred in 1999 and 2004. New managers are chosen via a process that emphasizes objective criteria. Given the level of discretion SamCERA allows its fund managers, the vigilance demonstrated by SamCERA’s procedures is appropriate and necessary. Portfolio Holdings In keeping with its policy of diversification across asset classes and geography, SamCERA’s portfolio is divided among four aggregates11 defined by security type and location (domestic/international). The domestic fixed income aggregate comprises approximately 27 percent of the total portfolio, divided roughly equally among three fund managers, who have anticipated subprime problems and mitigated risk by holding only highly-rated CDO/CMO tranches (AAA and AA). SamCERA’s subprime exposure is less than one percent of its $2.2 billion portfolio. Alternate Sources of Information As noted above, warnings of the potential subprime disaster were raised as early as 2002, by state officials and academics, but these warnings were generally ignored by the mainstream media and federal regulators. Warnings of subprime problems, excessive liquidity and overuse of leverage, were still not in the public eye by 2005, but were being discussed seriously on several Internet “blogs” (web logs). Of course all blogs are not equal, but the best ones are published by respected academics and professionals. Many such blogs are updated daily with analyses of the latest news and data. Blogs also 11 Plus real estate and cash. See Appendix B. 7 incorporate forums (comments sections) where anyone can discuss the current issues. The best blogs attract highly qualified commentators to their forums. Conclusions SamCERA’s Investment Policy implicitly assumes that all the actors in the process which creates an investment grade bond have been prudent and realistic. That assumption was made at a time when lenders took fiduciary responsibility seriously and rating agencies could readily and realistically assess the credit risk of a straightforward bond. Since then, the credit environment has changed for the worse. SamCERA’s Investment Policy relies on diversification across institutional grade asset classes for management of the risk/return tradeoff. Traditionally, investment grade bonds are a mainstay of the fixed income asset class. Subprime-backed securities, e.g. CMOs, can have the appearance of investment grade bonds so that policy guidelines, like SamCERA’s, that include minimum average ratings and absolute minimum ratings, do not necessarily prevent purchases of securities backed by subprime mortgages. Nevertheless, SamCERA’s exposure to subprime mortgages is less than one percent of its portfolio. The Grand Jury concludes that SamCERA’s investment policies and procedures meet the challenges of a traditional investment environment. However, in light of the current subprime market debacle, SamCERA’s management is challenged to be even more forward-looking and to seek guidance from a wider variety of sources. In these days of globalization and rapid financial “innovation,” reliance on traditional sources of regulation and information may be risky. SamCERA’s already good management could be even better if it were more forward-looking. While the monthly performance reviews are thorough and timely, they look at only the recent past. They cannot see the future. Blogs like those mentioned above could prove to be valuable sources of information augmenting more traditional sources. (See Appendix D for a list of sources.)
Recomendaciones relacionadas (2)
R1:
“Broaden their sources of information regarding financial developments and trends, and be prepared to discuss and question the latest financial “innovations” and risk management philosophies with their investment consultant and fund managers.” Board of Retirement Response to Recommendation 1 The recommendation has not yet been implemented, but will be implemented over the course of the next few months as the board and Investment Committee review and discuss appropriate additional sources of information.
R2:
“Review their Investment Policy annually, and revise it when there are significant changes in the investment and credit environment.” Board of Retirement Response to Recommendation 2 The recommendation has been implemented. The SamCERA board’s procedure is to review all policies of the board on an annual basis. The Investment Policy will be revised when there are significant changes in the investment and credit environment. Again, the Board of Retirement appreciates the efforts of the Grand Jury and its committee on SamCERA investments. Sincerely, David Bailey Chief Executive Officer
F1994:
The section dealing with investment philosophy follows: 1. The board acknowledges the historical data demonstrating that the most successful strategy for minimizing risk, while capturing market returns, is a prudently diversified portfolio.
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Hallazgos & Recomendaciones
17 hallazgos
F1:
Any or all documents relating to the San Mateo Union High School District’s $25,000 payment to Strategic School Solutions.
Recomendaciones relacionadas (1)
R1:
Obtain an opinion of legal counsel regarding the legality and enforceability of the former Executive Assistant’s consulting agreement, and to the extent such agreement is deemed illegal or unenforceable, determine the District’s rights.
F2:
Any or all documents relating to the District’s $63,000 payment to Cooperman and Associates.
Recomendaciones relacionadas (1)
R2:
Obtain a review by legal counsel of the documentation for the former Executive Assistant’s overtime payments and determine its adequacy and the propriety of payments.
F3:
Any and all documents relating to borrowing agreements entered into while the third Certificate of Participation, aka “COP3,” was being funded.
Recomendaciones relacionadas (1)
R3:
Direct legal counsel to review District compliance with all applicable labor laws governing employment relationships with administrative employees.
F4:
A copy of Cooperman and Associates’ contract with the San Mateo Union High School District, and any other contract between principals of Cooperman and Associates and the San Mateo Union High School District, in any form, and any documents relating to such contracts. Although the Grand Jury received many documents, those were mostly correspondence and some projected debt service schedules. No formal written agreements involving COP#3 were delivered. When asked about the $25,000 payment to Strategic Schools Solutions (Exhibit 3 above), District officials did not know what services Strategic School Solutions provided to the District. Lack of Revenue Stream to Pay COP#3 Subpoenaed documents produced to the Grand Jury included debt service schedules at various rates. Below, re-created as Exhibit 4, is a projected debt service schedule at 4.25% interest, which is offered as an example of such a schedule. The schedule does not identify the source of the revenue that would pay the COP. This would seem to be an important comparison for individuals trying to determine if debt repayment is feasible. None of the documents the Grand Jury received from individuals outside the District indicated how the COP would be paid. Exhibit 4 San Mateo Union High School District Gross Debt Service Schedule and Calculation of Total Annual Payments Variable Rate Lease Revenue Bonds, Series 2006 (20 Year Term) Annual Ending Fiscal Remaining Principal Debt Capitalized LOC Remarketing Trustee Annual Principal Year Principal Payment Rate 1 Interest Service Interest Fees Fees Fees Payments Balance 9/1/06 15,000,000 15,000,000 6/1/07 15,000,000 4.25% 478,125.00 478,125.00 (478,125.00) 85,000.00 0.00 1,300.00 86,300.00 15,000,000 6/1/08 15,000,000 455,000 4.25% 637,500.00 1,092,500.00 (346,875.00) 85,000.00 0.00 1,300.00 831,925.00 14,545,000 6/1/09 14,545,000 475,000 4.25% 618,162.50 1,093,162.50 85,000.00 0.00 1,300.00 1,179,462.50 14,070,000 6/1/10 14,070,000 510,000 4.25% 597,975.00 1,107,975.00 67,800.00 0.00 1,300.00 1,177,075.00 13,560,000 6/1/11 13,560,000 535,000 4.25% 576,300.00 1,111,300.00 65,125.00 0.00 1,300.00 1,177,725.00 13,025,000 6/1/12 13,025,000 560,000 4.25% 553,562.50 1,113,562.50 62,325.00 0.00 1,300.00 1,177,187.50 12,465,000 6/1/13 12,465,000 590,000 4.25% 529,762.50 1,119,762.50 59,375.00 0.00 1,300.00 1,180,437.50 11,875,000 6/1/14 11,875,000 615,000 4.25% 504,687.50 1,119,687.50 56,300.00 0.00 1,300.00 1,177,287.50 11,260,000 6/1/15 11,260,000 645,000 4.25% 478,550.00 1,123,550.00 53,075.00 0.00 1,300.00 1,177,925.00 10,615,000 6/1/16 10,615,000 675,000 4.25% 451,137.50 1,126,137.50 49,700.00 0.00 1,300.00 1,177,137.50 9,940,000 6/1/17 9,940,000 710,000 4.25% 422,450.00 1,132,450.00 46,150.00 0.00 1,300.00 1,179,900.00 9,230,000 6/1/18 9,230,000 740,000 4.25% 392,275.00 1,132,275.00 42,450.00 0.00 1,300.00 1,176,025.00 8,490,000 6/1/19 8,490,000 775,000 4.25% 360,825.00 1,135,825.00 38,575.00 0.00 1,300.00 1,175,700.00 7,715,000 6/1/20 7,715,000 815,000 4.25% 327,887.50 1,142,887.50 34,500.00 0.00 1,300.00 1,178,687.50 6,900,000 6/1/21 6,900,000 855,000 4.25% 293,250.00 1,148,250.00 30,225.00 0.00 1,300.00 1,179,775.00 6,045,000 6/1/22 6,045,000 895,000 4.25% 256,912.50 1,151,912.50 25,750.00 0.00 1,300.00 1,178,962.50 5,150,000 6/1/23 5,150,000 935,000 4.25% 218,875.00 1,153,875.00 21,075.00 0.00 1,300.00 1,176,250.00 4,215,000 6/1/24 4,215,000 980,000 4.25% 179,137.50 1,159,137.50 16,175.00 0.00 1,300.00 1,176,612.50 3,235,000 6/1/25 3,235,000 1,030,000 4.25% 137,487.50 1,167,487.50 11,025.00 0.00 1,300.00 1,179,812.50 2,205,000 6/1/26 2,205,000 1,075,000 4.25% 93,712.50 1,168,712.50 5,650.00 0.00 1,300.00 1,175,662.50 1,130,000 6/1/27 1,130,000 1,130,000 4.25% 48,025.00 1,178,025.00 1,300.00 1,179,325.00 Totals 15,000,000 8,156,600.00 23,156,600.00 (825,000.00) 940,275.00 0.00 27,300.00 23,299,175.00 195,670,000 It should be noted that in the above example the annual payment starting in 2009 is almost $1.2 million per year. The other two debt service schedules received by the Grand Jury, one for a 4.75% interest rate and another for a 5.25% interest rate, show correspondingly greater annual payments (Note: the actual interest rate fluctuates weekly). Documents obtained from the District indicate that the developer fees, the source of payment, are currently projected to be only $475,000 per year for the life of the COP. The General Fund is the only other source of revenue to pay the annual shortfall. A document regarding the financing of COP#3 was presented by the District’s current CBO at the February 8, 2007 Board of Trustees meeting. It is re-created below as Exhibit
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R4:
Establish clear and comprehensive policies governing consultant agreements and enforce them consistently.
F5:
This worksheet shows $475,000 developer fee payments, principal payments totaling $15,000,000 through 2035 and shortfall of payments to be paid from the General Fund from 2008 through 2027. Although the Grand Jury requested additional information, no other document created at the time of COP#3 funding that models debt service and revenue streams was produced by the District. Exhibit 5 COP #3 Projected Net Debt Service Compared to Developer Fees (Slide Copied From February 8, 2007 Board Meeting) Net Projected Fiscal Remaining Principal Debt Capitalized LOC Ratings Debt Developer Surplus Year Principal Payment Rate 1 Interest Service Interest Fees Fees Service Fees (Shortfall) 6/30/07 15,000,000 616,250 616,250 (616,250) 75,000 2,200 77,200 475,000 397,800 6/30/08 15,000,000 455,000 4.25% 637,500 1,092,500 75,000 2,200 1,169,700 475,000 (694,700) 6/30/09 14,545,000 475,000 4.25% 618,163 1,093,163 75,000 2,200 1,170,363 475,000 (695,363) 6/30/10 14,070,000 510,000 4.25% 597,975 1,107,975 67,800 2,200 1,177,975 475,000 (702,975) 6/30/11 13,560,000 535,000 4.25% 576,300 1,111,300 65,125 2,200 1,178,625 475,000 (703,625) 6/30/12 13,025,000 560,000 4.25% 553,563 1,113,563 62,325 2,200 1,178,088 475,000 (703,088) 6/30/13 12,465,000 590,000 4.25% 529,763 1,119,763 59,375 2,200 1,181,338 475,000 (706,338) 6/30/14 11,875,000 615,000 4.25% 504,688 1,119,688 56,300 2,200 1,178,188 475,000 (703,188) 6/30/15 11,260,000 645,000 4.25% 478,550 1,123,550 53,075 2,200 1,178,825 475,000 (703,825) 6/30/16 10,615,000 675,000 4.25% 451,138 1,126,138 49,700 2,200 1,178,038 475,000 (703,038) 6/30/17 9,940,000 710,000 4.25% 422,450 1,132,450 46,150 2,200 1,180,800 475,000 (705,800) 6/30/18 9,230,000 740,000 4.25% 392,275 1,132,275 42,450 2,200 1,176,925 475,000 (701,925) 6/30/19 8,490,000 775,000 4.25% 360,825 1,135,825 38,575 2,200 1,176,600 475,000 (701,600) 6/30/20 7,715,000 815,000 4.25% 327,888 1,142,888 34,500 2,200 1,179,588 475,000 (704,588) 6/30/21 6,900,000 855,000 4.25% 293,250 1,148,250 30,225 2,200 1,180,675 475,000 (705,675) 6/30/22 6,045,000 895,000 4.25% 256,913 1,151,913 25,750 2,200 1,179,863 475,000 (704,863) 6/30/23 5,150,000 935,000 4.25% 218,875 1,153,875 21,075 2,200 1,177,150 475,000 (702,150) 6/30/24 4,215,000 980,000 4.25% 179,138 1,159,138 16,175 2,200 1,177,513 475,000 (702,513) 6/30/25 3,235,000 1,030,000 4.25% 137,488 1,167,488 11,025 2,200 1,180,713 475,000 (705,713) 6/30/26 2,205,000 1,075,000 4.25% 93,713 1,168,713 5,650 2,200 1,176,563 475,000 (701,563) 6/30/27 1,130,000 1,130,000 4.25% 48,025 1,178,025 0 2,200 1,180,225 475,000 (705,225) 6/30/28 475,000 475,000 6/30/29 475,000 475,000 6/30/30 475,000 475,000 6/30/31 475,000 475,000 6/30/32 475,000 475,000 6/30/33 475,000 475,000 6/30/34 475,000 475,000 6/30/35 475,000 475,000 Totals 15,000,000 8,294,725 23,294,725 (616,250) 910,275 46,200 23,634,950 13,775,000 (9,859,950) Qualified Reports and COP Certifications According to Sections 42130 and 42131 of the California Education Code, the superintendent of each school district has to submit two financial reports to the governing board of the district each year, one covering the financial and budgetary status of the district for the period ending October 31 and the other for the period ending January 31. These reports must certify whether the district is able to meet its financial obligations for the remainder of the fiscal year and, based on current forecasts, for the subsequent fiscal year. There are three levels of certification, positive, qualified, and negative, that indicate whether the district may, may not, or is unable to meet its financial obligations for this time period. The First Interim Financial Statement for the period July 1, 2005 to October 31, 2005 (representing an interim report for the fiscal year ended June 30, 2006, prepared on November 30, 2005) was presented to the Board of Trustees (Appendices 4 and 5) at its December 8, 2005 meeting. The minutes portray a more favorable financial picture than actually existed. “It was moved by Trustee [Name withheld] and seconded by Trustee [Name withheld] that the Board of Trustees approve the First Interim Report for Fiscal Year 2005-2006 and certify that the San Mateo Union High School District will be able to meet its financial obligations for the current fiscal year and the subsequent two years. The motion carried unanimously.” It should be noted that the First Interim Financial Statement was considered “qualified” certification. A letter dated January 17, 2006 from the San Mateo County Office of Education to the Board’s President stated the following, “The County Superintendent of Schools Office has reviewed the San Mateo Union High 23 School District’s First Interim Report for fiscal year 2005-06 and concurs with the district’s qualified certification.” A “qualified” certification indicates that the District may not be able to meet its financial obligations and results in unfavorable restrictions. One such restriction is that all new COPs issued by the District must be approved by the County Superintendent of Schools. Exhibit 6 below is a summary of the District’s financial status from December 2005 to the present. One of the reasons for the qualified certification of the First Interim Financial Statement was that District reserves fell below three percent because the County was required to refund some of the property tax revenue it had received earlier that year and that reduced the District’s revenue for that year. The District successfully argued to the County Superintendent of Schools that this tax refund was an anomaly, which allowed the District to receive a positive certification for the Second Interim Financial Statement (March 2006 through July 2006). Erroneous Certifications In January 2006 the District’s former CBO signed a Certificate of Participation agreement for COP#2 erroneously certifying that the District had a positive Financial Statement (i.e., without financial difficulties), so the County Superintendent’s review and 24 approval of the COP was not required. The pertinent language of the certification includes the following, “…the District did not file and does not expect to file a qualified or negative certification…” This document is re-created in part below. $15,000,000 SAN MATEO UNION HIGH SCHOOL DISTRICT CERTIFICATES OF PARTICIPATION (2006 School Facilities Bridge Funding Program) CERTIFICATE REGARDING SECTION 42133 OF THE CALIFORNIA EDUCATION CODE I, [NAME WITHHELD BY GRAND JURY], Associate Superintendent, Business Services of the San Mateo Union High School District (the "District"), for the purpose of showing compliance with the provisions of California Education Code Section 42133, hereby certify that, in fiscal year ended June 30, 2005 and June 30, 2006, the District did not file and does not expect to file a qualified or negative certification pursuant to California Education Code Section 42131(a)(1) and the San Mateo County Superintendent of Schools did not classify the District's certifications for each such fiscal year to be qualified or negative pursuant to California Education Code 42131(a)(2). signed by the former CBO on January 24, 2006 In June 2006 the District Superintendent signed a similar document and erroneously certified the same statement for COP#3. (See recreated document below). The District’s financial status was positive on June 28, 2006, the date of the Superintendent’s certification. However, the District had a qualified certification for the First Interim Financial Statement and, therefore, the certification was improper. The District Superintendent further certified that the San Mateo County Superintendent of Schools was notified of the approval by the Board of Trustees to proceed with the execution and delivery of the above-referenced Certificates of Participation and was provided with the repayment schedules for the Certificates. The Grand Jury heard testimony that this did not occur. These erroneous certifications are technical errors and do not incur fines or penalties to the District. However, at least in the case of COP#3, the County Superintendent did not know about the COP and therefore did not have a chance to review the debt service and revenue stream as prescribed in California Education Code Section 42133(a) (Appendix 6) and was not provided “repayment schedules for that debt obligation, and evidence of the ability of the school district to repay that obligation...” as prescribed in Code Section 17150(a) (Appendix 7). 25 $15,000,000 SAN MATEO UNION HIGH SCHOOL DISTRICT CERTIFICATES OF PARTICIPATION (FINANCING FOR HIGH SCHOOL RENOVATION PROJECTS), SERIES 2006 CERTIFICATE REGARDING COMPLIANCE WITH THE CALIFORNIA EDUCATION CODE I, [Name withheld], Superintendent of the San Mateo Union High School District (the "District"), hereby certify as follows:
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R5:
Establish clear and comprehensive overtime policies and enforce them consistently. Part 2: OPSC Penalties The Grand Jury recommends that the San Mateo Union High School District Board of Trustees:
F7:
Establish clear and comprehensive policies for requests for approval of funding applications, including requiring the Superintendent and his/her representatives to be familiar with requirements relating to specific funding applications prior to submittal of any request to the Board of Trustees and to provide the Board with clear and detailed explanations of the legal and financial requirements of the request. Part 3: Accounting and Authorization Issues The Grand Jury recommends that the San Mateo Union High School District Board of Trustees direct the Superintendent to: 8. Cause the General Fund to repay its $1 million loan from the Building Fund as soon as possible.
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R7:
Establish clear and comprehensive policies for requests for approval of funding applications, including requiring the Superintendent and his/her representatives to be familiar with requirements relating to specific funding applications prior to submittal of any request to the Board of Trustees and to provide the Board with clear and detailed explanations of the legal and financial requirements of the request. Part 3: Accounting and Authorization Issues The Grand Jury recommends that the San Mateo Union High School District Board of Trustees direct the Superintendent to:
F9:
Ensure that all interfund transfers are properly authorized by the Board of Trustees after appropriate notice and submission of detailed requests before any transfer is made.
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R9:
Ensure that all interfund transfers are properly authorized by the Board of Trustees after appropriate notice and submission of detailed requests before any transfer is made.
F10:
Determine whether reimbursements of the General Fund for indirect or overhead costs from the Building Fund were properly documented and otherwise allowable under the terms of the funding.
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R10:
Determine whether reimbursements of the General Fund for indirect or overhead costs from the Building Fund were properly documented and otherwise allowable under the terms of the funding.
F11:
Direct financial personnel and outside auditors to disclose adequately in the notes to the financial statements all uncertainties of potential loss as described in Statement of Financial Accounting Standards No. 5 – Accounting for Contingencies, including uncertainties of potential loss due to property tax refunds.
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R11:
Direct financial personnel and outside auditors to disclose adequately in the notes to the financial statements all uncertainties of potential loss as described in Statement of Financial Accounting Standards No. 5 – Accounting for Contingencies, including uncertainties of potential loss due to property tax refunds. The Grand Jury recommends that the San Mateo Union High School District Board of Trustees establish clear and comprehensive policies for each of the following:
F12:
The authorization and repayment of interfund loans.
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R12:
The authorization and repayment of interfund loans.
F13:
The reimbursement of indirect costs incurred by the General Fund on behalf of the Building Fund.
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R13:
The reimbursement of indirect costs incurred by the General Fund on behalf of the Building Fund.
F14:
The adequate disclosure of all material uncertainties of potential loss. Part 4: Certificates of Participation The Grand Jury recommends that the San Mateo Union High School District Board of Trustees direct the Superintendent to: 29 15. Direct legal counsel to determine the propriety of the Housing Loan Program funding and the basis upon which it received payment from COP#1.
Recomendaciones relacionadas (1)
R14:
The adequate disclosure of all material uncertainties of potential loss. Part 4: Certificates of Participation The Grand Jury recommends that the San Mateo Union High School District Board of Trustees direct the Superintendent to: 29
F16:
Establish financial controls and clear and comprehensive policies governing disbursements of District funds, including review and retention of supporting documentation.
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R16:
Establish financial controls and clear and comprehensive policies governing disbursements of District funds, including review and retention of supporting documentation.
F17:
Direct legal counsel to determine the propriety of the $25,000 “finder’s fee” paid to Strategic School Solutions and the District’s rights of recovery.
Recomendaciones relacionadas (1)
R17:
Direct legal counsel to determine the propriety of the $25,000 “finder’s fee” paid to Strategic School Solutions and the District’s rights of recovery.
F18:
Direct legal counsel to review the District’s payment of excessive interest costs attributed to the late closing of COP#3 and determine the District’s rights and remedies to recover some or all of the excess.
Recomendaciones relacionadas (1)
R18:
Direct legal counsel to review the District’s payment of excessive interest costs attributed to the late closing of COP#3 and determine the District’s rights and remedies to recover some or all of the excess.
F19:
Verify that the County Superintendent of Schools has all required documentation for the COP#3 issue as prescribed in California Education Code Section 17150(a).
Recomendaciones relacionadas (1)
R19:
Verify that the County Superintendent of Schools has all required documentation for the COP#3 issue as prescribed in California Education Code Section 17150(a). The Grand Jury recommends that the San Mateo Union High School District Board of Trustees:
F20:
Embrace the Professional Governance Standards of the California School Boards Association and require education in school district finance and/or accounting for its members.
Recomendaciones relacionadas (1)
R20:
Embrace the Professional Governance Standards of the California School Boards Association and require education in school district finance and/or accounting for its members. The Grand Jury recommends that the San Mateo County Superintendent of Schools:
Recomendaciones adicionales
3
No vinculadas a hallazgos específicos.
R6:
Establish clear and comprehensive policies and procedures governing all applications for funding from third parties, including requirements for Board of Trustees resolutions and signatures of the President and Superintendent on funding applications.
R8:
Cause the General Fund to repay its $1 million loan from the Building Fund as soon as possible.
R15:
Direct legal counsel to determine the propriety of the Housing Loan Program funding and the basis upon which it received payment from COP#1.
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Recomendaciones adicionales
6
No vinculadas a hallazgos específicos.
R1:
Project Budget and Financial Reporting. There should be regular (probably monthly) Budget and Financial reporting to the District Administration, Board and COC. Any consultant’s reports should be formatted to be consistent with the District’s account categories and financial reports. These reports should be regular Board Agenda items.
R2:
Project Management. There needs to be one person or a team with overall responsibility for the construction program planning and implementation. This is too big a program for this to be an added duty for existing staff. While consultants may be used for construction management and other duties the overall responsibility for the program remains with the District. Site committees should be strengthened to insure that the design and construction management staffs listen to their clients. The project manager should also try to access State Bond funds.
R3:
Conservative Estimates. When developing project budgets, schedules and contingency reserves estimates should be realistic and conservative. Do not try to do more than can be effectively managed at one time. This will be a multiyear program.
R4:
Remember Maintenance and Operating Costs. When adding new facilities, be realistic about the need for adequate maintenance and increased operating costs. Don’t build what we can’t afford to operate and maintain.
R5:
It’s Not Over until it’s Over. Public construction today is very complex and subject to litigation. Try to minimize litigation but be prepared with adequate contingency reserves.
R6:
Keep the Public Informed. One of the key jobs of the COC is to keep the public informed of both good and bad news. This should be done through regular reports and meetings. The commitment of the oversight committee is critical to monitor projects beginning to end.
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Hallazgos & Recomendaciones
7 hallazgos
F1:
Transfer two or more social workers who are dedicated to youth in the ILSP, ILP Aftercare Services, THPP, and WIA Youth Education and Employment Services, into Adolescent Services from Children and Family Services.
F2:
Increase housing options for Agree. The Board of Supervisors (BOS) Currently the $180,000 authorized by the current and emancipated foster authorized $750,000 to support the BOS for housing assistance is supporting youth. development of a transitional housing unit 40 youths who go to work or school for a for these youth at the June budget hearings. minimum of 30 hours a week. The The BOS also authorized $180,000 in agency is close to buying a 6-9 unit stipends to assist emancipated youth with apartment in South San Francisco for housing, school, training, and employment. transitional housing. The agency is using This program will be implemented over the the $750,000 from the BOS and $750,000 next several months. HSA will be analyzing from the City of South San Francisco the service needs of emancipated youth and Redevelopment Agency to fund the reporting back to the BOS in December purchase. The apartment is scheduled for
F3:
Reclassify the Workforce Agree. Two Extra Help positions will be The agency has converted the two Extra Investment Act staff to permanent converted to permanent ESS positions in the Help positions to permanent ESS status. September budget revisions, to be covered by positions as agreed to in the 2005 a combination of Workforce Investment Act recommendation. (WIA) and Children and Family Services funding.
F4:
Complete the planned Agree. Adolescent Services completed a As a result of the survey, the ILP includes Adolescent Services survey of all survey with Independent Living Program a weekly class at Canada College and program participants to gauge the (ILP) youth towards the end of the program College of San Mateo (a joint effort effectiveness of the programs and term, with general questions on what they between Foster Youth and Kinship) where find areas where improvements thought about the program. Several youth youth learn independent living skills. The could be made and provide a base focus groups were also held to gauge the rate of participation exceeds 90%. for follow-up. effectiveness of these programs. The results of these surveys were used to improve the curriculum for 2005-2006 ILP training. Assessment of survey information will continue, with changes to be made as necessary. 4 2005 Recommendation Response by Agency 2006-2007 Activity
F5:
Provide improved Agree. Current transportation systems will The agency had to recruit to create a list transportation options to be reviewed to develop plans for better of applicants and write a new job Independent Living Skills utilization of existing resources. Expanding description for the new civil service Program participants. the use of bus passes and offering mileage to position they created. The agency is now foster parents could increase the options holding interviews and is expecting to available to older youth to help them become have a transportation officer position more independent and experienced in using filled by the end of the first quarter of the public transportation system. Payment of 2007. A reason for the delay had to do mileage expenses to foster parents for with the need to create a new civil service transporting youth to the evening job description. The agency held Independent Living classes will also be discussions on transportation issues with a explored. special subcommittee of the Foster Parent Association and now has a mileage expense reimbursement policy in place.
F6:
Develop better outreach Agree. As the Grand Jury report notes, there The outreach has grown to the point programs to inform and involve has been an increase in the number of youth where there are now over 140 youth in the eligible participants not currently participating in Adolescent Services pre-emancipated program (14-19) and participating in Adolescent Programs. Participants in the ILP have gone over 60 in the Emancipated program (19- Services programs. from 25 to 50 in the last two years. This year, 24). Brochures and information flyers a new contract with College of San Mateo have been developed to inform was completed to further expand the ILP emancipated youth of the availability of program. Another opportunity for growth is financial, housing, counseling, the Transitional Housing Program; brochures employment and education services. and information notices will be developed and sent to emancipated youth and youth currently in active Adolescent Services cases. Children and Family Services 2005 Recommendation Response by Agency 2006-2007 Activity 1.1 The Foster Parent Bill of Agree. The Foster Parents Bill of Rights has The Foster Parents Bill of Rights was Rights should be completed by been completed and was reviewed by the approved by the Board of Supervisors and September 1, 2005. Foster Parent Association as well as Human is online as part of the Foster Parent Services Agency (HSA) staff. It will be Handbook. A copy is available at: submitted to the Board of Supervisors in http://www.co.sanmateo.ca.us/vgn/images/portal/cit_ September. 609/60/36/623831993section_04.pdf 1.2 The Foster Parents’ Manual Agree. Following review by the Board of the The Foster Parent Handbook has been should be completed by Foster Parents’ Association and HSA staff, distributed and is available online. September 1, 2005. the Foster Parent’s Handbook was completed Section 4 of that handbook is directed August 22, 2005. It is anticipated that the specifically to foster parents: Handbook will be distributed in early http://www.co.sanmateo.ca.us/vgn/images/portal/cit_ October, with the information online by 609/60/36/623831993section_04.pdf January 2006. 5 2005 Recommendation Response by Agency 2006-2007 Activity 1.3 Foster parents should be Agree. CFS policy is to provide a Health and With some exceptions the Health and provided with a Health and Education Passport (HEP) to the resource Education Passport is provided to foster Education passport for each foster parent, group home, FFA, etc. as soon as parents within 30 days of placement. child within 30 days of possible but no later than 30 days after initial placement. placement of a child into foster care, in accordance with the Welfare and Institutions Code. This policy has been followed in the Family Reunification and Permanent Placement units. Recent process improvements to further reinforce this policy include development of a Health Passport Interview Form to be used by Social Workers as a template for obtaining health care information for children coming into foster care and inclusion in the HEP, and requesting Supervisors to remind their staff of the policy and to monitor adherence. In the Court Investigations unit, this policy had not been followed since most children in this unit are not technically “placed,” but rather are in sometimes lengthy periods of shelter care awaiting Court jurisdiction and disposition including possible placement in an ongoing home. The Court Investigations unit has now been instructed to provide parents with an HEP within 30 days of the child’s placement in shelter care. 1.4 Assure that each foster child Agree. Every child entering a shelter care CFS verified that each foster child has had a physical and mental home receives a physical exam prior to receives a physical and mental health health assessment at the time of admission. Further, every child receives a assessment at time of placement. Youth placement. Child Health and Disability Prevention receive medical services through Medi- (CHDP) exam within 30 days of a Court Cal. PSHC performs a full mental health dispositional order for placement. Many assessment for each foster child. With children are referred for a psychological few exceptions this is done within 30 days evaluation as a part of the Court of placement. jurisdiction/disposition process. All children who are in out of home placement are referred to the San Mateo County Child Abuse Treatment Program for mental and physical health assessment and treatment services. The Child Abuse Treatment Program collaborates with Partners for Safe and Healthy Children (PSHC), the Edgewood Center for Children and Families, and Youth and Family Enrichment Services (YFES). PSHC is a multidisciplinary team formed in 2005 with members from County Public Health Services, Mental Health Services, Alcohol and Drug, and CFS to provide services for children 0-5 years and their families. Edgewood Center and YFES provides services for children ages 6-18 years and their families. 6 2005 Recommendation Response by Agency 2006-2007 Activity 2.1 Provide a working Agree with recommendations 2.1, 2.2, and The Foster Parent Liaison was hired 1.5 environment with additional 2.3. CFS has worked with the Foster Parent years ago. The upgraded job description privacy to enable the Liaison Association Board over the last year to for this position has been completed. A to speak openly and fairly to improve the effectiveness of the Liaison. neutral area in the 4C’s (Child Care all. The job description and responsibilities have Coordinating Council) offices has been set 2.2 Develop a carefully crafted been upgraded. Conversion of the Liaison to up for parents to meet with the Foster official job description that a supervisory level position, reporting to the Parent Liaison. delineates the Liaison’s Director of CFS, will be recommended in the responsibilities and authority September budget revisions. Following the and grants real authority to hiring process, which will include input from act on behalf of foster parents the Foster Parent Association, the Liaison 2.3 Identify neutral areas away will be relocated by November 2005 to an from CFS, such as an offsite office in the community that will be independent office and accessible to the foster parents. private places in schools, churches or community centers, where the Liaison can meet with foster parents. 2.4 Upgrade the CFS quarterly Agree in part. Beginning in September 2005, The Children and Family Services newsletter to foster parents to a the CFS newsletter to foster parents will be newsletter has been upgraded and is monthly newsletter which would sent out every other month instead of published quarterly. communicate important quarterly. It will focus on changes in policy The goal of publishing a newsletter information, clarify areas of and procedure, Agency changes, and monthly was deemed impractical. CFS confusion, suggest solutions to clarification of any current issues. Updates staff meet monthly with the Foster Parents common problems, encourage to the Foster Parent Handbook will be Association. greater participation in the Foster included in the mailings. Any time-sensitive Parents Association. information between issues will be distributed in special mailings. 3.0 The management of CFS to Agree. All staff have been provided with a The State dictates the procedures so explore possibilities for QuickPad, a portable word processing streamlining is difficult. Two clerical eliminating or simplifying the keyboard device that allows for the recording positions have been added. The job steps involved in writing social of contacts, draft reports, etc. in the field for functions required of social workers still workers’ reports and thereby later transmission to their desktop demand an inordinate amount of data decrease the time spent on those applications. The possibility of filing entry. reports. Suggestions include petitions and other Court documents additional clerical help and use of electronically is being explored with the handheld electronic devices. Juvenile Court. Other technological advances are considered as new devices become available. A specific clerical person in each region has been designated to format and/or finalize court reports when requested. An additional clerical position was added in the June budget revisions to support staff and the court process, and another clerical position will be requested in the September budget revise to help facilitate the out of home placement and payment process. 7 2005 Recommendation Response by Agency 2006-2007 Activity 4.1 The management of CFS to Agree. The curriculum for induction training Training has been expanded. The training evaluate and strengthen the initial will be revised by the end of the year to program is 12 weeks in length with training program for social reflect new best practices, with emphasis additional on the job training. New staff workers. given to the role of Resource Parents as a members spend time with foster parents. support resource for Social Workers, as well CFS has a large intern program (39 this as an ongoing source of information about year) working closely with San Francisco the children that they care for. Starting with State, San Jose State, Hayward State and the next induction training, one day will be UC Berkeley. There is competition for designated as “A Day in the Life of a interns among agencies throughout Resource Parent,” at which Resource Parent California. The interns work with representatives will address the trainees on supervisors that are credentialed. This issues and challenges they face with children program gives CFS an opportunity to in their care and with Social Worker staff. evaluate possible job applicants during the Another new component of the training is the program. Internships are available in “buddy system,” in which Social Worker many areas including receiving homes, trainees are paired with experienced Social Child Protective Services, Family Workers two days a week for three weeks, Resource Centers, Alcohol & Drug first in an emergency response unit and later Services, and Domestic Violence in a family maintenance/family reunification Collaborative and Planning and unit. Evaluation. 4.2 The management of CFS to Agree. HSA has started the accreditation CFS is working on accreditation. This become accredited by October 1, process in response to previous Grand Jury was to have been done by October 2006.
F2006:
Reports should be made to reports, as a top priority project of the new CFS hopes to be accredited by or before the Grand Jury on progress Planning and Evaluation Manager. A December 2008. No progress reports toward accreditation every quarter consultant has been hired to review a number have been presented to the Board of commencing September 30, 2005. of Agency polices, procedures, and protocols Supervisors. The Planning and and prepare for the Council on Accreditation Evaluations Unit of HAS is coordinating (COA) review process. Following CFS’s accreditation process. implementation plan development, the COA process takes approximately 18 months, with full accreditation expected by Spring 2008. Interim progress reports will be provided to the Grand Jury through the County Manager’s Office. 4.4 The management of CFS to Agree in part. The County requires that Performance reviews are performed in monitor frequency and employee performance evaluations be accordance with County rules. thoroughness of personnel completed for probationary employees, either Performance reviews are required every evaluations to ensure that all three or six months from the initial date of two years; more often for probationary professional staff is evaluated hire. Regular performance evaluations are employees. CFS believes it is in annually. completed for full time, permanent conformance with the rules; however, the employees every two years as required by Grand Jury’s review of documentation on MOU agreements. Starting in 2004, CFS personnel reviews shows that a large management received and reviewed regular percentage of the reviews are overdue and quarterly reports on all past due performance that the tracking system needs evaluations. By December 2004, CFS was in improvement. substantial compliance with the performance evaluation criteria; continued compliance is being monitored. 8 2005 Recommendation Response by Agency 2006-2007 Activity 4.5 The management of CFS to Agree. As noted in our response to A modest amount of progress has been take full advantage of existing recommendation 3.0, the possibility of filing made in the area of increasing the use of technology, such as electronic petitions and other Court documents electronic technology. State processes transmission of reports, electronically is being explored with the and procedures and interfacing with the acceptance of electronic Juvenile Court and other technological Juvenile Court have made it difficult to signatures, and any other support advances are being considered as they adopt and expand technical services within the County. become available. However, the improvements. transmission of electronic reports and acceptance of electronic signatures is a complex issue, as some documents and attachments filed with the Juvenile Court require original signatures. However, CFS will continue to work with the Juvenile Court and service providers to establish processes leading to expanded use of technology. 4.6 The management of CFS to Agree. As a part of the Human Services CFS staff meets with many organizations meet, or continue to meet, Agency, CFS embraces the spirit of on a regular basis. The Grand Jury was regularly with other community community involvement and collaboration. impressed by the number of participating resources, such as LAPP, Family CFS staff participates in numerous organizations and was unable to identify if Service Agency, San Mateo community meetings with schools, private any were omitted. Medical Center pediatricians and community-based agencies and other others to improve the relationship community organizations to support our of CFS with the court, social community partnerships working to develop service agencies, medical additional resources at the community level professionals, foster parents and to support protection, prevention, and associations. permanence for children. This involves a interaction with a wide variety of programs. Adult Protective Services and Public Guardian 2005 Recommendation Response by Agency 2006-2007 Activity 1.0 The Board of Supervisors should direct the Director of Health Services to: 1.1 Identify the office of Public Agree. Staff agrees that separate listings for The Public Guardian Office location in Guardian in its building and in the Public Guardian could improve public the building at 225 37th Street in San directories to improve citizen access to the program. A sign will be posted Mateo is still not well-marked. In fact, awareness and access. to identify the office of the Public Guardian very few of the departments are easy to and other services provided by AAS. The find. There is no reception desk or Public Guardian program is currently listed directory at the building’s entrances; in the government section of the SBC several visitors, including members of the telephone directory under AAS. Staff will Grand Jury, wandered around the building request that the Public Guardian be listed attempting to locate the office of the separately in the next publication of San Public Guardian. Two signs reading Mateo County’s “County and City Telephone “Office of the Guardian” have been Directory.” ordered for posting at the building’s entrances. 9 2005 Recommendation Response by Agency 2006-2007 Activity 1.2. Give proposed conservatees Agree. Personal noticing of proposed AAS has developed a brochure providing an explanation in person and in conservatees and relatives is required by law. an overview of the services provided by writing of their rights at the time In addition to continuing the practice of AAS that addresses a combination of of filing a petition to curtail or verbally informing the proposed conservatee protection, support, prevention and remove their personal and/or of his/her rights, a new one-page advocacy services, and a one-page property rights. informational notice is being developed. informational notice of a conservatee’s This notice will inform proposed rights. conservatees of their right to oppose the Conservatorship, to have an attorney appointed to represent them if they cannot afford to hire an attorney, to have a court trial, or to have a jury trial. This information is always reiterated by the Court Investigator, who personally visits each proposed conservatee. 1.3. Issue specific written Agree. AAS and the Public Guardian are The Department Policy Statement, which policies instructing the publicly and explicitly committed to keeping appears throughout its published Deputy Public Guardians people in their own homes as long as they are communications, asserts that maintaining about Aging and Adult safe and can afford to remain there. AAS a conservatee “at home” is a primary goal Services priorities, including works according to its goal as stated in the for AAS. maintaining the conservatees Division’s informational brochure and on the in their own home if AAS website: “Our goal is to ensure the possible, locating and delivery of client-centered, compassionate, consulting with all family, and fiscally responsible services that foster friends, and neighbors self-determination, meet professional (against whom there is no standards and ethics, and reflect the County’s evidence of abusive actions), statement of beliefs. We will accomplish and providing all needed this by offering services that provide a assistance without delay. combination of protection, support, prevention and advocacy.” This principle of fostering self-determination and supporting the wishes of people to remain in their homes as long as possible is emphasized at staff meetings, unit meetings, case conferences, and individual supervision meetings. AAS will continue to emphasize this guiding principle, both in writing and verbally. The Probate Code and the Welfare and The staff complies with HIPAA Institutions Code, which are the bodies of requirements. law that govern the actions of the Public Guardian, contain specific noticing requirements for all legal actions. The law requires the written noticing of all relatives within the second degree of relationship when legal actions are taken. There are specific confidentiality and privacy restrictions that prevent information being shared with non-relatives. In addition, the Health Insurance Portability and Accountability Act (HIPAA) requirements prevent the disclosure of private health information. The Public Guardian strives to 10 2005 Recommendation Response by Agency 2006-2007 Activity gather all relevant information to support comprehensive and compassionate decision- making. The office maintains names, addresses, and phone numbers of all relatives and significant others, and contact is made whenever it is necessary. The Public Guardian, as addressed in its budget statements, considers, acknowledges and values family members as partners in the Conservatorship program. AAS, including Adult Protective Services Written procedures were timely (APS) and the Public Guardian program, will distributed to staff. continue to provide assistance required by its vulnerable clients without delay. An AAS leadership sub-committee will be convened to recommend improvements to current policies and procedures. Written procedures will be distributed to staff by March 2006. 1.4. Install a plan for regular Agree. There are existing systems for Prior policy required that AAS review the agency oversight and providing regular and close agency oversight conservatorships assigned to Deputy consultation with the Deputy of and consultation with the Deputy Public Public Guardians every two years; it has Public Guardians. Guardians. In AAS there are four units of been changed to an annual review of each Deputy Public Guardians; one unit conservatoree’s financial status. There comprised of three conservatorship are also weekly and monthly reviews for investigators and three units comprised of 16 accuracy as accounts change (monthly Deputy Public Guardians who are assigned financial statements). AAS also uses the continuing conservatorships. Each unit is outside financial advisors to oversee and supervised by a knowledgeable and advise on investment accounts. experienced supervisor who meets with the workers both individually and as a unit. Supervisors are available for immediate consultation as needed. In addition, the supervisors meet individually on a weekly basis with the program manager to review problems and resolve issues. There are frequent interdisciplinary case conferences and weekly meetings with supervisors, managers and County Counsel to review and consult regarding cases. There is a case review system to provide quality assurance and improvement oversight, and there are checks and balances within the accounting functions that provide fiscal support to the Public Guardian. In addition, all Conservatorship cases are reviewed by the Superior Court, and Probate cases receive review by the Probate Court Investigator. 11 2005 Recommendation Response by Agency 2006-2007 Activity There is an annual audit performed by the County’s Auditor/Controller’s office on all cases receiving public benefits, and periodically the County Controller audits all of the work of the Public Guardian. AAS will continue to provide oversight and consultation for the Deputy Public Guardians following the above protocols. 1.5. Eliminate any lag time Agree. The APS program provides One account is left open so that the between the time that all bank intervention activities directed toward conservator can pay routine bills during accounts are frozen and the time safeguarding the well being of elders and the “freeze” period. when provision is made for the dependent adults suffering from or at risk of proposed conservatee’s bills to be abuse or neglect, including self-neglect. paid and supplies and services APS and the Public Guardian are committed made available. to providing timely response to individuals’ needs. Not all bank accounts are frozen; however, there are times when it is necessary for APS to freeze an individual’s assets using Probate Code 2901, which allows for the freezing of bank accounts to prevent losses belonging to proposed conservatees and to prevent abusive dissipation. Usually one account remains available for the use of the proposed conservatee. Provision is made for payment of bills for essential services and supplies such as food and medications. APS has emergency funding available to ensure the individual’s safety during the conservatorship process. Funding is available for such services as attendant care, food, clothing, temporary shelter, medications, and other emergency expenses. The APS Supervisor and Deputy Public Guardian supervisor for investigations monitor these policies and procedures. These policies will continue to be followed. 1.7. Establish written policies for Agree. AAS follows the County of San The process for requests for proposals requests for proposals or contracts Mateo’s written guidelines for RFPs and the already existed at the time of the for in-home caregiver Administrative Memorandum B-1 issued by recommendations. organizations, financial managers, the County Manager for issuing contracts. real estate brokers, et al. RFPs were issued on January 21, 2004 for in- home caregiver agencies, and on December 22, 2003 for contract caregiver services for the IHSS program. An RFP was issued on March 4, 2005 for real estate services for the Public Guardian, and five contracts were awarded. RFPs were issued on March 1, 2004 for financial management services and on August 9, 2004 for tax preparation services. AAS uses County Counsel for attorney services. These policies will continue to be followed. 12 2005 Recommendation Response by Agency 2006-2007 Activity 1.8. Visit conservatees living Agree. The Public Guardian has a written The existing procedure is consistent with independently once a month at a policy and procedure, last updated and the recommendation. minimum. revised in June of 2004, which requires monthly visits to all conservatees who are living independently. Adherence to this procedure is monitored by the Deputy Public Guardian Supervisors who review every visit report for individual conservatees. Additionally, the supervisors monitor monthly reports of all visits made and due to be made. This procedure will continue to be followed. 1.9. Perform an annual audit of Agree. Annual audits are regularly The County’s Auditor/Controller now investment accounts of performed at several different levels. A court audits all accounts on an annual basis. conservatees held by the accounting of each individual conservatee Financial Manager to assure they with investments is prepared and presented are appropriately invested to yearly for review and approval by the Court. meet the account goals and to The Court Investigator reviews each clearly show the annual rate of accounting and submits a report of findings return and commissions on to the Court. The Probate Judge reviews transactions. each report and accounting. Additionally, the Estate Manager meets with the Financial Advisor to review and re- balance each conservatee’s portfolio no less than once yearly. Securities America audits the Financial Advisor’s files and procedures on an annual basis. In addition, the Financial Advisor is subject to announced and unannounced audits by the Securities and Exchange Commission (SEC) and the Department of Corporations. Staff will meet with a representative of the County’s Auditor/ Controller to discuss other possible audit options to ensure that conservatees’ investments are appropriate and meet account goals. The annual rate of return is clearly identified on every quarterly and year-end report received from the Financial Advisor for each conservatee. There are no commissions paid by the Public Guardian or by the conservatees on any transactions, as the Financial Advisor contracted by the Public Guardian is an independent broker. 13 2005 Recommendation Response by Agency 2006-2007 Activity 1.10. Establish additional Agree. The process for calculation of fees The “best practice” standard was already procedures that set rigorous “best currently in use by the Financial Advisor is followed. Fees are calculated by practices” standards for the “best practice” standard as regulated by Securities America using independent calculation of fees and consider the SEC. Fees are calculated by Securities brokers and cost effective methods. requiring that any billing method America (not the Financial Advisor) and are used not include cash or money based on the monthly average, not daily or market accounts as part of the year-end averages which would result in a total investment account, and higher fee. This process includes charging a determine whether there is fee on funds in the money market account. additional compensation, such as However, that account is maintained at the commissions or partial lowest level possible. The money market commissions paid the Financial account is purposefully set up for several Manager as a result of his reasons: funds are set aside in the money affiliation with the broker. market account when it is known at the time of investment that a lump sum payment will be due shortly (such as a capital gains tax on the sale of a residence) and for the monthly management fee. An estimate for one year of fees is set aside every annual review to avoid periodic sales during the year and any associated fees. The Financial Advisor contracted by the Public Guardian is an independent broker; as such he receives no commissions as a result of any affiliation with a brokerage company. Staff will request that the Auditor/Controller’s office review the Division’s practices and procedures related to fee calculation, billing methods, and related areas and will request that office to make recommendations regarding best practices and standards to be followed. Food Inspection in San Mateo County 2004 Recommendation Response by Agency 2006-2007 Activity 1. The Board of Supervisors should Concur. The Division has begun The food inspection division reports to instruct the Director of Health implementing this recommendation and Environmental Health, a department that Services to develop a better will continue to work with the Public is also responsible for toxics and multimedia public awareness Health Education Unit and consumer hazardous material issues. Thus, the food program by November 1, 2004 that groups to evaluate various outreach inspection division may not get sufficient will provide to the public information strategies, options and budgets. priority necessary to comply fully with it needs to avoid becoming ill at this recommendation. home or in the community by eating food that has been improperly A number of consumer education handled, cooked or served. The materials have been created: program should regularly provide the (cid:122) a webpage has been established; public information about: (cid:122) an information brochure is now -Food safety laws and local codes available; and established to protect the public (cid:122) a Powerpoint presentation to enable -Safe handling and storage of food at food inspectors to educate food providers home and at work has been prepared, yet a program for such -Food borne diseases and how they presentations has not been implemented. are transmitted -Common food safety and handling These efforts appear inadequate to meet myths the breadth of consumer’s needs, -Food facility inspections (how and particularly for those who do not have why they occur, how facilities are computer access. There is little rated and results reported, how information available to the public results can be obtained and regarding grocery establishments that interpreted, food facility closures and offer food services. Some food inspection re-openings, etc.) information is available on the webpage -Current relevant topics of interest but it is sparse. -How the public and food facility workers can report suspected food borne illnesses, raise concerns, file complaints and seek additional information. 2.0. The Board of Supervisors should Concur. This recommendation will be The Seal has been redesigned and direct the Director of Health Services implemented as follows. The seal design enlarged, but according to the Division to: and content will be updated to provide and the Grand Jury’s observations, not all 2.1 Redesign and enlarge the Seal by concise and clear information to the restaurants display it. September 1, 2004 to: consumer. In addition, the Division will -provide better visibility; propose a County Ordinance requiring -prominently display the rating that upon issuance of the inspection assigned by inspectors; report, the owner/operator of the food -advise the reader that the latest facility shall post the most recent report in inspection report is available for a location clearly visible and readable by review at the facility and the County; the general public and patrons entering -direct the reader to the Food the establishment Inspection Results Online web page; -advise the reader of the other related County websites; continue to note the date of inspection and phone number of the Food and Consumer Protection Unit of the Environmental Health Services Division. Response by Agency 2006-2007 Activity 2004 Recommendation 2.2 Develop uniform inspection Concur. This recommendation has been County Ordinance No. 04276 has been in guidelines immediately, to assure implemented by including these items effect since September 15, 2005, making that: within the Division’s standardization and it mandatory for food facilities in San audit protocol. Mateo County to post the most recent Seals in all food facilities are routine inspection report in a location that obviously and similarly displayed; is clearly visible. Division staff report The latest inspection reports can be that compliance with the posting conveniently viewed by the public at requirements currently runs about 67% any time. indicating that compliance efforts could be improved. 2.3 Use a news release to inform the Concur. This recommendation will be Press releases to warn the public of food public of the guidelines established implemented by preparing a press release concerns have been placed on the in 4.14.2 above and post them on the and including the release in the “Hot Division’s webpage. Press coverage has County website. Topics” section of the Division been sparse in local papers. homepage. Staff is uncertain what “4.14.2” refers to. 2.4 Develop a hand-out that Concur. This recommendation has been An updated handout for inspectors to inspectors must give to owners implemented through a handout that was provide to food facilities regarding the and/or managers of food facilities prepared and distributed in 2002, posting of the Seal and the inspection that explains their responsibilities to explaining the requirement to provide a report has been implemented. post inspection results and to copy of the latest inspection report. The provide, upon request, a copy of their handout will be updated and made latest inspection report. available to those businesses that are unaware of the requirement. Successful implementation of recommendation 2.1 above will require the inspection report to be posted in plain view. 2.5 Evaluate and consider the Concur. This recommendation of grading A rating system of Poor, Fair, Average, advisability of adopting an A,B,C food establishments has been evaluated Good or Excellent has been initiated. grading system, by November 1, and considered several years ago as a These ratings are incorporated in the 2004. proposal to the Board of Supervisors. inspection details listed for each facility. Staff continues to confer with The Grand Jury suggests that a general representatives of Los Angeles, Riverside description for each rating be prominently and San Diego Counties to identify food displayed on the website that helps the program improvements gained by reader understand the types of infractions implementing a facility grading system. that downgrade a facility. Riverside At this time, staff believe that the posting County has a user-friendly description on of a single grade to inform the public as its website illustrating such a rating to the safety of a food establishment is system. one-dimensional and does not provide the public with the information they need to make an informed decision. By providing access to past inspection results on the Internet and implementing the other Grand Jury recommendations, the public will be given more information and insight into the Division’s activities and the ability to evaluate risk based on personal choices. Response by Agency 2006-2007 Activity 2004 Recommendation 2.6 Develop procedures and Concur in part. The recommendation for There are four inspection regions which practices by October 1, 2004 that will rotation requires further analysis. cover approximately 3,500 food outlets, provide for: Currently, the food inspections are and rotation of inspectors is not practical performed by three teams of staff, with due to required familiarity with food periodic rotation of the County’s each team responsible for a geographic facilities in each region. There is a staff food inspectors; area of the county. These teams share of 13.5 food inspectors to review 3,500 annual unannounced inspections of inspectional load within their area and establishments; obviously inspections are mobile food dispensing trucks and provide peer review and coverage infrequent. All food service inspectors carts. throughout the geographical area. must be licensed and must now have a Additionally, routine program audits and degree in a life science and pass a state standardization by program supervisors exam. adequately addresses any concerns of inappropriate activity of the staff. Approximately 350 mobile food providers Unannounced inspections of mobile food (carts and trucks) are inspected annually. trucks and carts are currently performed The food inspectors have a goal to make with plans to expand these inspections in unannounced visits to 25% of the mobile 2005. vendors while in the field. This means, however, that at least 75% of annual inspections are known in advance. 2.7 Revise the Food Program Concur. This recommendation will be The Official Inspection Report form has Official Inspection Report form to implemented and included during the next an added line indicating whether all allow inspectors to indicate thereon printing of the Official Inspection Report. information is posted as required. that information is posted as required and that a copy of the latest inspection report is on hand. Conclusions With the caveat that several of the prior grand jury reports reviewed for this report dealt with complex issues that were difficult to cover in a summary fashion, this Grand Jury found that most recommendations were implemented as agreed. The Grand Jury commends the Human Services Agency on its efforts to implement the prior grand jury recommendations concerning the integration of emancipated youth into society. Building of transitional housing, which was the most costly and complex recommendation, appears to be moving toward completion this year with the purchase of a small apartment building in South San Francisco. The Grand Jury’s sole criticism concerns the length of time it has taken to recruit a transportation officer. With two exceptions, the Children and Family Services agency has taken action on each of the prior grand jury’s recommendations and should also be commended. The first exception concerns the lack of reports and delays in seeking accreditation by the Council on Accreditation – a goal that was to have been achieved by October 2006 and has now moved to the end of 2008. The second exception concerns the large percentage of overdue personnel reviews in this department. The Grand Jury is impressed by the professionalism of the Aging and Adult Services management staff. The Public Guardian program appears well managed and prior grand jury recommendations were implemented with one exception. Signage at 225 37th Street in San Mateo is still needed to identify not only the office location of the Public Guardian program, but of other County offices located within this building. While implementation of recommendations in the “Food Inspection in San Mateo County” report were generally accomplished, the results in some cases were somewhat disappointing. Public awareness of the need for food safety vigilance is growing at a national level with increasing news coverage of contaminated foods, yet there are but limited local resources committed to consumer education. The Environmental Health portion of the County website was informative with respect to inspection reports of restaurants but lacking in information on grocery establishments and mobile food vendors. Compliance with the posting of seals and/or inspection reports requires ongoing oversight and improvement.
Recomendaciones relacionadas (1)
R1:
That Children and Family Services become accredited with the Council on Accreditation no later than December 2008. Written reports should be made to the Board of Supervisors on progress toward accreditation every quarter (Recommendation 4.2 (as updated) of Children and Family Services). 18
Recomendaciones adicionales
3
No vinculadas a hallazgos específicos.
R2:
4 of the “Food Inspection in San Mateo County” report). Response: Concur. Inspection staff will continue to remind each food facility of their responsibility and the requirement to post their latest inspection report. In addition, the Board has recently added an Environmental Health Technician position. This position will be partially used to perform compliance checks throughout the County to ensure food facilities are posting their latest inspection reports. Facilities that are in compliance will receive a letter thanking them for their cooperation; those facilities not in compliance will receive a letter reminding them of the requirement, with further follow-up. The Division will also track compliance in its Envision database.
R3:
Ensure that inspectors provide the handout to owners and/or managers of food facilities that explains such owners’ and/or managers’ responsibilities to post inspection results and to provide, upon request, a copy of their latest inspection report. (Amended Recommendation 2.4 of the “Food Inspection in San Mateo County” report). COUNTY OF SAN MATEO Inter-Departmental Correspondence County Manager’s Office DATE: July 30, 2007 BOARD MEETING DATE: August 14, 2007 SPECIAL NOTICE: None VOTE REQUIRED: None TO: Honorable Board of Supervisors FROM: John L. Maltbie, County Manager SUBJECT: 2006-07 Grand Jury Response RECOMMENDATION: Accept this report containing the County’s responses to the following 2006-07 Grand Jury reports: Summary of Coyote Point Marina: A Valuable Asset Deserving Effective Management; Health and Human Services Survey on Compliance with Recent Grand Jury Recommendations; and Tower Road Property and Maintenance. VISION ALIGNMENT: Commitment: Responsive, effective and collaborative government. Goal 20: Government decisions are based on careful consideration of future impact, rather than temporary relief or immediate gain. This activity contributes to the goal by ensuring that all Grand Jury findings and recommendations are thoroughly reviewed by the appropriate County departments and that, when appropriate, process improvements are made to improve the quality and efficiency of services provided to the public and other agencies.
R4:
2 (as updated) of Children and Family Services). 18 2. That Children and Family Services address the large percentage of overdue personnel evaluations to ensure that all professional staff are evaluated on schedule (
Hallazgos & Recomendaciones
5 hallazgos
F1:
Initiate a Master Planning process to establish a long-term strategy for the Tower Road property as a whole as well as for individual parcels. The Master Plan should include the elements described in Appendix A. The Grand Jury acknowledges that budget considerations and the timing of future property development could affect the pace or phasing of the implementation of a Master Plan. Response: Concur. The Department of Public Works, in conjunction with the Office of Economic Development/Real Property Services, is in the process of developing a strategy for addressing the County’s short- and long-term space needs through a comprehensive space needs analysis accompanied by updated or master plans for all County properties, including the Tower Road property. This strategy includes performing an inventory of all County-owned and leased space, determining current and projected future space needs, evaluating current master plans for County campuses, updating the master plans where appropriate, and developing new master plans where necessary. Tower Road will be one of many County campuses to be evaluated and master-planned. The intent is to develop a long-range plan for addressing facilities needs through future capital improvement projects. The Grand Jury guidance provided in its Appendices A and B provide a framework for the accomplishment of this plan. As part of its FY 2008-09 budget request, the Department of Public Works will develop a capital project request that includes beginning the space needs analysis by December 31, 2007.
Recomendaciones relacionadas (1)
R1:
Initiate a Master Planning process to establish a long-term strategy for the Tower Road property as a whole as well as for individual parcels. The Master Plan should include the elements described in
F2:
Prepare a Property Strategic Plan (see Appendix B) in conjunction with the above Master Plan, to guide decisions as facility needs arise and to ensure optimal use of San Mateo County’s entire real estate portfolio. Response: Concur. As explained in the response to Recommendation 1, a comprehensive plan and review process is being developed to address all of the County’s capital projects, infrastructure, real estate assets, and future needs. The guidelines provided by the Grand Jury for both Master and Strategic Plan development will be incorporated into this process.
Recomendaciones relacionadas (1)
R2:
Prepare a Property Strategic Plan (see Appendix B) in conjunction with the above Master Plan, to guide decisions as facility needs arise and to ensure optimal use of San Mateo County’s entire real estate portfolio.
F3:
Undertake efforts immediately to ensure the proposed Receiving Home is developed and constructed in accordance with sound planning principles. Response: Concur. This recommendation has been implemented in accordance with sound construction planning principles. The Receiving Home design has been fully completed. The architect retained for this purpose was selected through a Request for Proposals process and has significant experience designing this type of facility. A construction contractor will be selected through a competitive bidding process to be conducted in strict compliance with the Public Contract Code. Oversight of the project and construction inspection will be done directly by the construction management staff in the Department of the Public Works’ Capital Projects Section.
Recomendaciones relacionadas (1)
R3:
Undertake efforts immediately to ensure the proposed Receiving Home is developed and constructed in accordance with sound planning principles.
F4:
Adopt standards for the regular maintenance of the Tower Road property and require all users of such property to contribute adequate funding toward maintenance. The Public Works Department should be made responsible for overall property maintenance and a senior official of that department should be tasked with maintenance responsibility. The County Manager should make periodic visits to the property to ensure it is properly maintained. Response: Concur. The current County-owned rent schedule for the facilities located at the Tower Road campus includes funding for property maintenance immediately external to the individual buildings, including parking lots. As noted in response to Recommendation 5, an assessment will be made by the end of August 2007 regarding the cost and staffing needed to expand these services to the entire Tower Road property. This assessment, including options for service expansion and impact on facility rental charges, will be submitted to the County Manager's Office for consideration. The Public Works Facility Maintenance section is responsible for ensuring the Tower Road property is properly maintained.
Recomendaciones relacionadas (1)
R4:
Adopt standards for the regular maintenance of the Tower Road property and require all users of such property to contribute adequate funding toward maintenance. The Public Works Department should be made responsible for overall property maintenance and a senior official of that department should be tasked with maintenance responsibility. The County Manager should make periodic visits to the Tower Road property to ensure it is properly maintained.
F5:
Improve the appearance of the Tower Road property by: • disposing of, or justifying the presence of, all unused vehicles and other items stored at the property • removing weeds and other plant matter that constitute a fire hazard • removing all debris from the property including that related to the recent construction of the Youth Services Center and Gateway School • completing construction of the Gateway School infrastructure • executing a contract for demolition of the old Hillcrest youth facility. Response: Concur. The County Manager’s Office and the Department of Public Works agree that the Tower Road property needs to be improved and properly maintained. Planned activities are as follows: (1) disposal and/or relocation of all unused vehicles and other large equipment currently stored at the property will begin with a current site assessment to be conducted by August 31, 2007; (2) expand and/or extend landscaping services to Tower Road property not covered by current rental agreements; (3) first-time implementation of the demolition and deconstruction policy recently adopted by the Board of Supervisors at the Hillcrest facility, including maximum feasible recycling of construction materials. The Gateway School is now completed and occupied. There are materials left over from construction that have been reserved for the garden, which have been temporarily moved and stacked so not immediately visible to the public.
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R5:
Improve the appearance of the Tower Road property by: • disposing of, or justifying the presence of, all unused vehicles and other items stored at the property • removing weeds and other plant matter that constitute a fire hazard • removing all debris from the property including that related to the recent construction of the Youth Services Center and Gateway School • completing construction of the Gateway School infrastructure • executing a contract for demolition of the old Hillcrest youth facility. -5-
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Hallazgos & Recomendaciones
3 hallazgos
F1:
The SMCCCD employs policies and procedures that have proven effective for controlling and managing large capital improvement projects. SSFUSD Response: Agrees
Recomendaciones relacionadas (1)
R1:
San Mateo County Superintendent of Schools adopt policies and best practices for managing capital improvement projects based on the San Mateo County Community College District model. In response to this recommendation, I would first like to thank the Grand Jury for its continued focus on the subject of school construction project management. This is an area of critical importance with significant implications both for the fiscal health of our schools and for the trust extended to the educational establishment by the public at large. Although the County Superintendent and the County Office do not adopt policies on matters such as management of capital improvement projects, it is well within our purview to develop and disseminate information related to best practices. In specific response to your recommendation, I plan to consult with local (especially those at the San Mateo Community College District) and statewide experts to identify and collect information on the subject of best practices for managing capital improvement projects. When completed, the document will be available to all the school districts and posted in a prominent place on the County Office’s website. In addition, I will request that this topic be placed on the San Mateo County Superintendents’ Association meeting agenda for
F2:
The San Mateo County Superintendents’ Association rejected the County Superintendent of School’s attempt to form a blue ribbon panel to formulate policies and procedures for the planning and management of capital improvement projects. SSFUSD Response: Agrees
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R2:
Boards of Trustees in each school district in San Mateo County direct their appointed Superintendent to cooperate with the County Superintendent of Schools in implementing Recommendation 1, and adopting those policies and practices for use in each district. In response to the Grand Jury’s recommendation to all San Mateo County School Districts concerning policies and practices related to managing capital improvement projects, the Jefferson Union High School District will do the following: 1. Review the District’s current practices to determine whether additional policies and safeguards are necessary. 2. Review the San Mateo County Community College District’s best practices and policies to determine whether gaps may exist, if any, in the JUHSD’s current practices. 3. Cooperate to the extent possible with the San Mateo County Superintendent’s suggestions related to Recommendation #1 once the District has received and determined that such recommendations are applicable to the Jefferson Union High School District. SOUTH SAN FRANCISCO UNIFIED SCHOOL DISTRICT 398 B Street, South San Francisco, CA 94080-4423 (650) 877-8700 Fax: (650) 583-4717 www.ssfusd.k12.ca.us SUPERINTENDENT BOARD OF TRUSTEES Barbara Olds Emanuele N. Damonte Shirlee Hoch Raymond Latham Liza Normandy Philip J. Weise July 13, 2007 The Honorable John L. Grandsaert Judge of the Superior Court Hall of Justice 400 County Center, 2nd Floor Redwood City, CA 94063-1655 Dear Judge Grandsaert RE: School Construction Management in San Mateo County This letter is in response to the San Mateo County Grand Jury’s findings and recommendations relating to School Construction Management in San Mateo County. Attached to this cover letter is the School District’s response to the findings and recommendations of the Grand Jury’s Report. If you have any questions, or if you require any additional information, please do not hesitate to contact me directly. Sincerely Barbara Olds Superintendent /cc Enclosure cc: Board of Trustees John C. Fitton, Court Executive Officer Thomas F. Casey III South San Francisco Unified School District Response to San Mateo County Grand Jury Report School Construction Management in San Mateo County
F3:
In the absence of policies and procedures for control and management of improvement projects, the residents of the County and the Grand Jury have witnessed debacles such as the recent San Mateo Union High School District Measure D cost overruns and Measure M contracting problems. SSFUSD Response: Agrees. However, it should be noted that there are also many public school agencies that successfully manage capital improvement programs by implementing their own set of best practices and standards controls, without dictates from the San Mateo County Superintendent’s Office (e.g.- the current Measure E work at San Carlos School District).
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R3:
Cooperate to the extent possible with the San Mateo County Superintendent’s suggestions related to Recommendation #1 once the District has received and determined that such recommendations are applicable to the Jefferson Union High School District. SOUTH SAN FRANCISCO UNIFIED SCHOOL DISTRICT 398 B Street, South San Francisco, CA 94080-4423 (650) 877-8700 Fax: (650) 583-4717 www.ssfusd.k12.ca.us SUPERINTENDENT BOARD OF TRUSTEES Barbara Olds Emanuele N. Damonte Shirlee Hoch Raymond Latham Liza Normandy Philip J. Weise July 13, 2007 The Honorable John L. Grandsaert Judge of the Superior Court Hall of Justice 400 County Center, 2nd Floor Redwood City, CA 94063-1655 Dear Judge Grandsaert RE: School Construction Management in San Mateo County This letter is in response to the San Mateo County Grand Jury’s findings and recommendations relating to School Construction Management in San Mateo County. Attached to this cover letter is the School District’s response to the findings and recommendations of the Grand Jury’s Report. If you have any questions, or if you require any additional information, please do not hesitate to contact me directly. Sincerely Barbara Olds Superintendent /cc Enclosure cc: Board of Trustees John C. Fitton, Court Executive Officer Thomas F. Casey III South San Francisco Unified School District Response to San Mateo County Grand Jury Report School Construction Management in San Mateo County
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Hallazgos & Recomendaciones
3 hallazgos
F1:
Continue study of the proposed post-sentence facility for inmates of both genders and move as quickly as possible to fund and build such a facility to replace the Women’s Correctional Center Response: Concur. Time is a critical concern. The jail populations today are beyond safe levels. This severely taxes our ability to manage today’s inmate populations. We are out of space and fast approaching a situation where there is literally no room to place more prisoners. The five year delay until a new facility can be constructed will place the system at the breaking point sooner rather than later. Additional jail beds must be found in the interim. Time should not be the only critical concern, however. The study and needs assessment must provide an accurate guide for developing capacity in the future and identifying the type of beds required. We should not permit the current crisis to force decisions that will not serve the County’s best interests in the extended future. The recommendations must be based on solid information that guides construction planning. As the needs assessment nears completion, a site for the new facility must be determined and architectural review initiated. This process incorporates the needs assessment to determine the type of building environment. This is where we will match the space with post-sentenced inmate programming and determine staffing. While this process is not a fast one, careful planning helps to prevent costly mistakes with the public’s money during construction on a facility that will last years into the future. The funding process will be a combined effort of San Mateo County Government and criminal justice stakeholders.
F2:
Identify and promptly implement interim solutions to overcrowding at the existing Women’s Correctional Center Response: Concur. To alleviate the over-crowding issue at the Women's Correctional Center an additional facility(s) must be identified which can provide minimum/medium- security housing for female inmates. Some relief for female inmates may be possible if crowding in the male facility can be addressed that could provide additional space opportunities for the female population to expand into. The Sheriff presented conceptual choices to address the overcrowding to Board of Supervisors at the final budget hearings on September 25, 2007. Fiscal implications are being weighed to assist with the decision making process. In this context the Sheriff will also be providing the Board with a proposal to ensure re-entry opportunities are included with sufficient housing options. The Grand Jury will be appraised of any decisions made by the Board.
F3:
Implement the above recommendations in the context of the entire detention system, taking into account the special needs of women; and including innovative sentencing alternatives, treatment for substance abuse and mental problems, and programs to facilitate a phased transition from incarceration into society. Response: Concur. The Sheriff’s report to the Board of Supervisors at the end of the month will lay out a number of options for consideration. The options will address both the male and female populations and will recognize the need to provide gender specific programming opportunities. The options will require financial commitment from the County, but will serve as pilot programs for the eventual construction and opening of the new facility. Response: The Sheriff provided like responses to the Grand Jury on September 4, 2007.
Recomendaciones adicionales
3
No vinculadas a hallazgos específicos.
R1:
The Grand Jury recommends that the Board of Supervisors and the Sheriff:
Continue study of the proposed post-sentence facility for inmates of both genders and move as quickly as possible to fund and build such a facility to replace the Women’s Correctional Center
R2:
The Grand Jury recommends that the Board of Supervisors and the Sheriff:
Identify and promptly implement interim solutions to overcrowding at the existing Women’s Correctional Center
R3:
The Grand Jury recommends that the Board of Supervisors and the Sheriff:
Implement the above recommendations in the context of the entire detention system, taking into account the special needs of women; and including innovative sentencing alternatives, treatment for substance abuse and mental problems, and programs to facilitate a phased transition from incarceration into society. September 4, 2007 Honorable John L. Grandsaert Judge of the Superior Court Hall of Justice 400 County Center, 2nd Floor Redwood City, CA 94063-1655 Re: Grand Jury Report: San Mateo County Detention and Rehabilitation Facilities Report Dear Judge Grandsaert: The Sheriff’s Office appreciates the 2006-2007 Grand Jury’s careful study of the issues facing the overcrowding of San Mateo County’s detention facilities and concerns for the effective re-entry of detainees back into society. The findings underscore the complex issues facing both this agency and the State. They underscore the need to cooperatively find solutions to relieve overcrowding and provide successful re-entry programs for those released from custody and enhance their rehabilitation. Recommendations: The Grand Jury recommends that the Board of Supervisors and the Sheriff: 1) “Continue study of the proposed post-sentence facility for inmates of both genders and move as quickly as possible to fund and build such a facility to replace the Women’s Correctional Center.” Response: Concur: Time is a critical concern. The jail populations today are beyond safe levels. This severely taxes our ability to manage today’s inmate populations. We are out of space and fast approaching a situation where there is literally no room to place more prisoners. The five year delay until a new facility can be constructed will place the system at the breaking point sooner rather than later. Additional jail beds must be found in the interim. Time should not be the only critical concern, however. The study and needs assessment must provide an accurate guide for developing capacity in the future and identifying the type of beds required. We should not permit the current crisis to force decisions which will not serve the County’s best interests in the extended future. The recommendations must be based on solid information which guides construction planning. As the needs assessment nears completion, a site for the new facility must be determined and architectural review initiated. This process incorporates the needs assessment to determine the type of building environment. This is where we will match the space with post-sentenced inmate programming and determine staffing. While this process is not a fast one, careful planning helps to prevent costly mistakes with the public’s money during construction on a facility that will last years into the future. The funding process will be a combined effort of San Mateo County Government and criminal justice stakeholders. 2) “Identify and promptly implement interim solutions to overcrowding as the existing Women’s Correctional Center.” Response: Concur: To alleviate the over-crowding issue at the Women's Correctional Center an additional facility(s) must be identified which can provide minimum/medium-security housing for female inmates. Some relief for female inmates may be possible if crowding in the male facility can be addressed which could provide additional space opportunities for the female population to expand into. The Sheriff will be presenting conceptual choices to address the overcrowding to Board of Supervisors at the end of the month. Fiscal implications are being weighed to assist with the decision making process. In this context, the Sheriff will also be providing the Board with a proposal to ensure re-entry opportunities are included with sufficient housing options. 3) “Implement the above recommendations in the context of the entire detention system, taking into account the special needs of women; and including innovative sentencing alternatives, treatment for substance abuse and mental problems, and programs to facilitate a phased transition from incarceration into society.” Response: Concur: The Sheriff’s report to the Board of Supervisors at the end of the month will lay out a number of options for consideration. The options will address both the male and female populations and will recognize the need to provide gender specific programming opportunities. The options will require financial commitment from the County, but will serve as pilot programs for the eventual construction and opening of the new facility. Sincerely, Greg Munks, Sheriff cc: The Honorable Board of Supervisors Grand Jury website COUNTY OF SAN MATEO Inter-Departmental Correspondence County Manager’s Office DATE: September 20, 2007 BOARD MEETING DATE: October 2, 2007 SPECIAL NOTICE: None VOTE REQUIRED: Majority TO: Honorable Board of Supervisors FROM: John L. Maltbie, County Manager SUBJECT: 2006-07 Grand Jury Response Recommendation Accept this report containing the County’s responses to the following 2006-07 Grand Jury report: San Mateo County Detention and Rehabilitation Facilities VISION ALIGNMENT: Commitment: Responsive, effective and collaborative government. Goal 20: Government decisions are based on careful consideration of future impact, rather than temporary relief or immediate gain. This activity contributes to the goal by ensuring that all Grand Jury findings and recommendations are thoroughly reviewed by the appropriate County departments and that, when appropriate, process improvements are made to improve the quality and efficiency of services provided to the public and other agencies.
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Hallazgos y recomendaciones aún no extraídos.
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Hallazgos & Recomendaciones
6 hallazgos
F1:
Decide prior to May 2008 what level of indigent health care San Mateo County can provide given the available funds and demands of other San Mateo County programs. Response: Concur. The County has been in the process of determining the cost of indigent healthcare services, and has hired the consulting firm of Health Management Associates (HMA) to review a financial analysis prepared by the Medical Center for its major service lines and payers. The County will use this information to develop the FY 2008-09 recommended budget for General Fund contributions related to (1) the County’s financial obligation under Section 17000 and (2) contributions in excess of the County’s Section 17000 mandate. The County will need to decide, as part of addressing its structural budget deficit, whether it will pay for a portion or all costs that exceed its Section 17000 obligation. The County is using HMA to help guide the decision making process by developing various options for the County to consider in determining the mix of services and payers that would create a financially viable system of care for indigent and uninsured residents. This work should be done in early 2008. It is anticipated that any decisions involving changes in the configuration of services or funding mix will be implemented over the course of several years.
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R1:
Review the funding for community health care initiatives and consider increasing contributions for direct indigent health care. District Response: This recommendation has been implemented. The PHCD Board reviews its community health care initiatives annually and strives to optimize both the amounts and the impact of its contributions. This past year, the Board’s review was augmented by a 10-month strategic planning process that resulted in its 2007-2010 Strategic Plan, which was approved at the August 23, 2007 regular Board Meeting. The process was facilitated by health care planning experts. Plan development was driven by data and findings from a number of recent community reports (E.g. Healthy Communities of San Mateo County, the Board of Supervisor’s Blue Ribbon Task Force, MPHS strategic planning data, LAFCo Report, etc.), as well as, Board Director participation on the Blue Ribbon Task Force, and input from the community-at-large through five Town Hall Meetings. The Board’s Vision, Mission, Values and Goals are summarized below and confirm our achievement of Recommendation 1. Our Vision: That all residents of the District live in an environment that contributes to optimal health through education, prevention, and access to needed health care services. Our Mission: We will preserve Peninsula Hospital, ensure that needed core services are maintained, support programs that share our vision, and do so in 3 collaboration with public and private service providers and the members of our community. Our Values: Stewardship, collaboration, inclusion, shared responsibility, and transparency. Our Goals: • Preserve Peninsula Hospital as a community asset. • Achieve measurable improvements in identified health problems • Improve availability of and access to health information and services for all residents in the District. • Ensure sufficient resources to achieve the Board’s vision, mission, strategic initiatives, and financial obligations. As further example of the Board’s work in funding community health initiatives it should be noted that the PHCD FY 07-08 grants budget was increased to $2 million and a new ad hoc Advisory Committee has been established to increase community input into the PHCD’s grant review process.
F2:
Work with the County Manager to communicate a shared vision and message to the public concerning San Mateo County’s policy on subsidized health care. Response: Concur. Before a vision on subsidized health care can be shared, the County must first have a clear understanding of what is currently being subsidized and at what cost. The County is mandated to provide health care for indigent residents under Section 17000 of the Welfare and Institutions Code. The cost to fund this mandate represents the “subsidy”, and any excess amount should be allocated at the Board’s discretion, either toward more health care services or toward other County programs and services. The County should not subsidize costs that can be funded by other payers, such as the state and federal government, and commercial payers. A shared vision on subsidized health care will be communicated as part of the January 2008 final recommendations from the Blue Ribbon Task Force on adult healthcare coverage, which will take into consideration the financial implications on existing County programs and General Fund contributions.
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R2:
Work with the San Mateo Medical Center to promote proactive, preventative health care initiatives to WELL Program participants and to the broader community. District Response: This recommendation has been implemented. The Peninsula Health Care District is geographically located in San Mateo County and has always collaborated with others who share the PHCD’s commitment to preventive health care. Board representatives have actively served, along with SMMC leadership, on committees and work groups focused on health issues of this community. In addition to the strategic plan goals delineated above and the activities that went into the development of that plan, the addition of a new Executive Director in May 2007 will extend the PHCD’s opportunity to actively participate in county-wide collaborative activities. COUNTY OF SAN MATEO Inter-Departmental Correspondence County Manager’s Office DATE: October 5, 2007 BOARD MEETING DATE: October 16, 2007 SPECIAL NOTICE: None VOTE REQUIRED: Majority TO: Honorable Board of Supervisors FROM: John L. Maltbie, County Manager SUBJECT: 2006-07 Grand Jury Response – Indigent Health Care Recommendation Accept this report containing the County’s responses to the following 2006-07 Grand Jury report: Provision of Indigent Health Care in San Mateo County. VISION ALIGNMENT: Commitment: Responsive, effective and collaborative government. Goal 20: Government decisions are based on careful consideration of future impact, rather than temporary relief or immediate gain. This activity contributes to the goal by ensuring that all Grand Jury findings and recommendations are thoroughly reviewed by the appropriate County departments and that, when appropriate, process improvements are made to improve the quality and efficiency of services provided to the public and other agencies.
F3:
Commission a formal legal opinion as to San Mateo County’s minimum legal requirements under California’s Welfare and Institutions Code Section 17000 to provide medical care to the indigent. Once such minimum legal requirements are ascertained, the Board of Supervisors can knowingly decide whether San Mateo County should satisfy only the legal minimum or whether and to what extent it should exceed it. Response: Agree. The County is currently in the process of revising its financial assistance policies for services provided by the San Mateo Medical Center. The Board approved the policies in December 2005. Subsequent changes in legislation, as well as identified improvements from the screening and verification pilot, need to be incorporated into the policies, which will be brought to the Board in December
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R3:
The Grand Jury recommends that the San Mateo County Board of Supervisors:
Commission a formal legal opinion as to San Mateo County’s minimum legal requirement under California’s Welfare and Institution Code Section 17000 to provide medical care to the indigent. Once such minimum legal requirements are ascertained, the Board of Supervisors can knowingly decide whether San Mateo County should satisfy only the legal minimum or whether and to what extent it should exceed it.
F4:
Withhold implementation of any Blue Ribbon Task Force recommendation until the full financial implications, including impacts on other County programs, are well developed and understood. If any such recommendation is adopted, consideration should be given to its implementation initially as a pilot program so that no long-term commitment is made before its financial feasibility is established. Response: Agree. Prior to the completion of Blue Ribbon Task Force final
Recomendaciones relacionadas (1)
R4:
The Grand Jury recommends that the San Mateo County Board of Supervisors:
Withhold implementation of any Blue Ribbon Task Force recommendation until the full financial implications, including impacts on other County programs, are well developed and understood. If any such recommendation is adopted, consideration should be given to its implementation initially as a pilot program so that no long-term commitment is made before its financial feasibility is established.
F5:
Issue a request for proposal (RFP) by October 1, 2007, to review public health care services provided by San Mateo County with particular emphasis on indigent care. Qualified proposals should demonstrate a high level of experience and active involvement with indigent care models in California. The RFP should include but not be limited to the following tasks: (a) Ascertain the financial strengths and weaknesses of the San Mateo Medical Center, including identifying all cost efficiencies, sources of revenue and consideration of the impact that any proposed change would have on such revenue sources. (b) Identify the advantages and disadvantages of different payer or hybrid models as compared to San Mateo County’s provider health care system, including the fiscal, medical, and social effects of each. (c) Consider the impact of shortages of primary care physicians, nurses, dentists and specialist physicians amid increasing demand for medical services. (d) Estimate the number of uninsured and under-insured patients and plan for future increases in the cost of health care services for an aging population. (e) Review how other public agencies are delivering service and where true efficiencies can be obtained. (f) Determine how other communities have reduced costs and improved services, or at the very least, maintained a level of service. (g) Consider how current and evolving state health care initiatives may impact any San Mateo County proposal. (h) Consider the impact of health care issues that affect the whole San Mateo County community, such as the obesity epidemic, disparities in access to prenatal care, and a lack of access to preventative dental care. Response: Concur. On June 11, 2007, the County entered into Phase 1 of an agreement with Health Management Associates (HMA) for the purpose of reviewing the internal financial analysis conducted by the Medical Center on its major service lines and payers, and preparing five-year financial projections, assuming no changes to the configuration of services at SMMC. The County Manager and executive management of SMMC, Health Department, and Health Plan of San Mateo selected HMA after proposals were solicited and interviews were conducted with HMA and another consulting firm with healthcare expertise. HMA specializes in public hospitals and the uninsured population, and has recent experiences in San Francisco and Los Angeles counties that were more relevant to the complex issues facing the County. On September 25, 2007, the Board approved a contract amendment with Health Management Associates (HMA) for Phase 2 of the project. The firm will be interviewing and gathering information from County leadership, members of the Blue Ribbon Task Force on Adult Healthcare Coverage, County departments, other local hospitals and health care providers, community groups, physician groups, and others, and will develop various options for the County to consider in determining the mix of services and payers that would create a financially viable system of care for indigent and uninsured residents. Phase 2 should be completed in January 2008.
Recomendaciones relacionadas (1)
R5:
The Grand Jury recommends that the San Mateo County Board of Supervisors:
Issue a request for proposal (RFP) by October 1, 2007, to review public health care services provided by San Mateo County with particular emphasis on indigent care. Qualified proposals should demonstrate a high level of experience and active involvement with indigent care models in California. The RFP should include but not be limited to the following tasks: (a) Ascertain the financial strengths and weaknesses of the San Mateo Medical Center, including identifying all cost efficiencies, sources of revenue and consideration of the impact that any proposed change would have on such revenue sources. (b) Identify the advantages and disadvantages of different payer or hybrid models as compared to San Mateo County’s provider health care system, including the fiscal, medical, and social effects of each. (c) Consider the impact of shortages of primary care physicians, nurses, dentists and specialist physicians amid increasing demand for medical services. (d) Estimate the number of uninsured and under-insured patients and plan for future increases in the cost of health care services for an aging population. (e) Review how other public agencies are delivering service and where true efficiencies can be obtained. (f) Determine how other communities have reduced costs and improved services, or at the very least, maintained a level of service. (g) Consider how current and evolving state health care initiatives may impact any San Mateo County proposal. (h) Consider the impact of health care issues that affect the whole San Mateo County community, such as the obesity epidemic, disparities in access to prenatal care, and a lack of access to preventative dental care. The Grand Jury recommends that the Board of Trustees for the Sequoia Health Care District and the Peninsula Health Care District:
F2007:
County Counsel will be requested to provide a formal legal opinion on minimum legal requirements under Section 17000 of the Welfare and Institutions Code, which will be included in the policy revision process and presented to the Board in December.
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Hallazgos & Recomendaciones
7 hallazgos
F1:
All middle schools in the County appear to be in compliance with California Education Code Sections 18030.5, which require them to establish rules for use of school-provided computers and Internet connections. All elementary School districts in the County have developed Acceptable Use Policies (AUP) that are much like contracts. They outline how students are to use school-provided computer technology, including what uses are or are not allowed, and the consequences for violating the policy. Typically, the student, and the student’s parents sign the AUP. SCSD Response: Agrees
Recomendaciones relacionadas (1)
R1:
Adopt an Internet safety program for all sixth, seventh and eighth grade students. This program should be based on the i-SAFE model and be implemented no later than the 2008-2009 school year. SCSD Response: Partially agree. The District first wants to review this recommendation with legal counsel. The District also plans to review this recommendation with the district technology committee and administrative council. Finally, any new curriculum would have to be approved by the Board of Trustees.
F2:
According to the survey, County districts spoken to have technical liaison positions in each middle school. These positions interface with a lead technical advisor in their respective offices who may provide workshops and updates for the schools’ technical liaisons. SCSD Response: Agrees
Recomendaciones relacionadas (1)
R2:
Adopt an Acceptable Use Policy that clearly defines cyber-bullying and includes a no-tolerance policy of cyber-bullying activities with detailed consequences if this policy is broken. SCSD Response: Partially agree. The District will adopt a new Acceptable Use Policy. The consequences of non-compliance with this policy will be consistent with the enforcement of other policy violations.
F3:
Many elementary school districts offer handouts and display posters cautioning students about cyber-bullying and cyber-predators, as well as warning students of the potential dangers inherent in social networking sites, such as MySpace and Friendster. SCSD Response: Agrees.
Recomendaciones relacionadas (1)
R3:
“Many elementary school districts offer handouts and display posters cautioning students about cyber-bullying and cyber-predators, as well as warning students of the potential dangers inherent in social networking sites, such as MySpace and Friendster.” SSFUSD Response: Agrees
F4:
Some County middle schools include Internet safety as part of the instruction in computer science classes, but no public elementary school district has established a curriculum that specifically deals with Internet safety. SCSD Response: SCSD has not established a curriculum that specifically deals with Internet safety.
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R4:
“Some County middle schools include Internet Safety as part of the instruction in computer science classes, but no public elementary school district has established a curriculum that specifically deals with Internet safety.” SSFUSD Response: Agrees
F5:
Several organizations offer Internet safety support to schools, parents and students; some also offer curriculum and consultation. Of the organizations researched by the Grand Jury, a nonprofit foundation called I-safe provided the most comprehensive and detailed training a support. It offers a K-12 curriculum and a community outreach program to students, law enforcement and community. I-SAFE is funded by the U.S. Department of Justice and does not charge for its services. SCSD Response: Agrees
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R5:
“Several organizations offer Internet safety support to schools, parents and students; some also offer curriculum and consultation. Of the organizations research by the Grand Jury, a nonprofit foundation called I-SAFE provided the most comprehensive and detailed training and support….” SSFUSD Response: Disagrees; the District has not assessed available services and programs and is unable to endorse a specific curriculum until that analysis has been completed.
F6:
Some schools in the County have Internet safety components in computer lab classes, but not all students are required to attend these classes. SCSD Response: SCSD does not have a specific Internet safety curriculm taught in all classes.
Recomendaciones relacionadas (1)
R6:
“Some schools in the County have Internet safety components in computer lab classes, but not all students are required to attend these classes.” SSFUSD Response: Agrees
F7:
The survey of all school districts in the County indicate that there is no district-wide curriculum covering issues of cyber-predators, cyber-bullying or approvpiate off- campus computer use. SCSD Response: Agree.
Recomendaciones relacionadas (1)
R7:
“The survey results of all school districts in the County indicate that there is no district-wide curriculum covering issues of cyber-predators, cyber-bullying or appropriate off-campus computer use.” SSFUSD Response: Agrees Grand Jury Recommendations
Hallazgos & Recomendaciones
17 hallazgos
F1:
Directory information (cf. 5125.1 - Release of Directory Information)
Recomendaciones relacionadas (1)
R1:
Develop policies and guidelines specific to their own situation for the off-site storage of personal student information similar to the policies and guidelines issued by the San Mateo County Office of Education. These policies and guidelines should be implemented by February 1, 2007. 3
F2:
Informal notes compiled by a school officer or employee which remain in the sole possession of the maker, are used only as a personal memory aid, and are not accessible or revealed to any other person except a substitute
Recomendaciones relacionadas (1)
R2:
Should make their employees aware of the importance of these policies by: 2.1. Training faculty and administrators on the proper off-site storage of personal student information, and 2.2. Obtaining signed employee statements acknowledging that they have read and will comply with these policies and procedures. 4
F3:
Records of the law enforcement unit of the district, subject to the provisions of 34 CFR 99.8 (cf. 3515.3 - District Police/Security Department) Mandatory permanent student records are those records which are maintained in perpetuity and which schools have been directed to compile by state law, regulation, or administrative directive. (5 CCR 430) Mandatory interim student records are those records which the schools are directed to compile and maintain for stipulated periods of time and are then destroyed in accordance with state law, regulation, or administrative directive. (5 CCR 430) Permitted student records are those records having clear importance only to the current educational process of the student. (5 CCR 430) Access means a personal inspection and review of a record, an accurate copy of a record or receipt of an accurate copy of a record, an oral description or communication of a record, and a request to release a copy of any record. (Education Code 49061) Disclosure means to permit access to or the release, transfer, or other communication of personally identifiable information contained in education records, to any party, by any means including oral, written, or electronic means. (34 CFR 99.3) Students AR 5125(b) STUDENT RECORDS Definitions (continued) Personally identifiable information includes but is not limited to the student's name, the name of the student's parent/guardian or other family member, the address of the student or student's family, a personal identifier such as the student's social security number or student number, and a list of personal characteristics or other information that would make the student's identity easily traceable. (34 CFR 99.3) Adult student is a person who is or was enrolled in school and who is at least 18 years of age. (5 CCR 430) Parent/guardian means a natural parent, an adopted parent, or legal guardian. (Education Code 49061) School officials and employees are officials or employees whose duties and responsibilities to the District, whether routine or as a result of special circumstances, require that they have access to student records. A legitimate educational interest is one held by officials or employees whose duties and responsibilities to the district, whether routine or as a result of special circumstances, require that they have access to student records. County placing agency means the county social service department or county probation department. (Education Code 49061) Changes to Student Records No additions except routine updating shall be made to a student's record after high school graduation or permanent departure without prior consent of the parent/guardian or adult student. (5 CCR 437) Only a parent/guardian having legal custody of the student or an adult student may challenge the content of a record or offer a written response to a record. (Education Code 49061) (cf. 5125.3 - Challenging Student Records) Retention and Destruction of Student Records All anecdotal information and assessment reports maintained as student records shall be dated and signed by the individual who originated the data. (5 CCR 431) The following mandatory permanent student records shall be kept indefinitely: (5 CCR 432, 437)
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R3:
Records of the law enforcement unit of the district, subject to the provisions of 34 CFR 99.8 (cf. 3515.3 - District Police/Security Department) Mandatory permanent student records are those records which are maintained in perpetuity and which schools have been directed to compile by state law, regulation, or administrative directive. (5 CCR 430) Mandatory interim student records are those records which the schools are directed to compile and maintain for stipulated periods of time and are then destroyed in accordance with state law, regulation, or administrative directive. (5 CCR 430) Permitted student records are those records having clear importance only to the current educational process of the student. (5 CCR 430) Access means a personal inspection and review of a record, an accurate copy of a record or receipt of an accurate copy of a record, an oral description or communication of a record, and a request to release a copy of any record. (Education Code 49061) Disclosure means to permit access to or the release, transfer, or other communication of personally identifiable information contained in education records, to any party, by any means including oral, written, or electronic means. (34 CFR 99.3) Students AR 5125(b) STUDENT RECORDS Definitions (continued) Personally identifiable information includes but is not limited to the student's name, the name of the student's parent/guardian or other family member, the address of the student or student's family, a personal identifier such as the student's social security number or student number, and a list of personal characteristics or other information that would make the student's identity easily traceable. (34 CFR 99.3) Adult student is a person who is or was enrolled in school and who is at least 18 years of age. (5 CCR 430) Parent/guardian means a natural parent, an adopted parent, or legal guardian. (Education Code 49061) School officials and employees are officials or employees whose duties and responsibilities to the District, whether routine or as a result of special circumstances, require that they have access to student records. A legitimate educational interest is one held by officials or employees whose duties and responsibilities to the district, whether routine or as a result of special circumstances, require that they have access to student records. County placing agency means the county social service department or county probation department. (Education Code 49061) Changes to Student Records No additions except routine updating shall be made to a student's record after high school graduation or permanent departure without prior consent of the parent/guardian or adult student. (5 CCR 437) Only a parent/guardian having legal custody of the student or an adult student may challenge the content of a record or offer a written response to a record. (Education Code 49061) (cf. 5125.3 - Challenging Student Records) Retention and Destruction of Student Records All anecdotal information and assessment reports maintained as student records shall be dated and signed by the individual who originated the data. (5 CCR 431) The following mandatory permanent student records shall be kept indefinitely: (5 CCR 432, 437)
F4:
Name and address of parent/guardian of minor student a. Address of minor student if different from the above b. Annual verification of parent/guardian's name and address and student's residence (cf. 5111.1 - District Residency) (cf. 5111.12 - Residency Based on Parent/Guardian Employment) (cf. 5111.13 - Residency for Homeless Children)
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R4:
Name and address of parent/guardian of minor student a. Address of minor student if different from the above b. Annual verification of parent/guardian's name and address and student's residence (cf. 5111.1 - District Residency) (cf. 5111.12 - Residency Based on Parent/Guardian Employment) (cf. 5111.13 - Residency for Homeless Children)
F5:
Entrance and departure date of each school year and for any summer session or other extra session
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R5:
Entrance and departure date of each school year and for any summer session or other extra session
F6:
Subjects taken during each year, half-year, summer session, or quarter, and marks or credits given (cf. 5121 - Grades/Evaluation of Student Achievement)
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R6:
Subjects taken during each year, half-year, summer session, or quarter, and marks or credits given (cf. 5121 - Grades/Evaluation of Student Achievement)
F7:
Verification of or exemption from required immunizations (cf. 5141.31 - Immunizations)
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R7:
Verification of or exemption from required immunizations (cf. 5141.31 - Immunizations)
F8:
Date of high school graduation or equivalent Mandatory interim student records, unless forwarded to another district, shall be maintained subject to destruction during the third school year following a determination that their usefulness has ceased or the student has left the District. These records include: (Education Code 48918, 51747; 5 CCR 432, 437, 16027)
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R8:
Date of high school graduation or equivalent Mandatory interim student records, unless forwarded to another district, shall be maintained subject to destruction during the third school year following a determination that their usefulness has ceased or the student has left the District. These records include: (Education Code 48918, 51747; 5 CCR 432, 437, 16027)
F9:
Parent/guardian authorization or denial of student participation in specific programs
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R9:
Parent/guardian authorization or denial of student participation in specific programs
F10:
Results of standardized tests administered within the past three years (cf. 6162.51 - Standardized Testing and Reporting Program) (cf. 6162.52 - High School Exit Examination)
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R10:
Results of standardized tests administered within the past three years (cf. 6162.51 - Standardized Testing and Reporting Program) (cf. 6162.52 - High School Exit Examination)
F11:
Written findings resulting from an evaluation conducted to determine whether it is in a student's best interest to remain in independent study (cf. 6158 - Independent Study) Permitted student records may be destroyed six months after the student completes or withdraws from the educational program, including: (5 CCR 432, 437)
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R11:
Written findings resulting from an evaluation conducted to determine whether it is in a student's best interest to remain in independent study (cf. 6158 - Independent Study) Permitted student records may be destroyed six months after the student completes or withdraws from the educational program, including: (5 CCR 432, 437)
F12:
Any other rights and requirements set forth in Education Code 49060-49078, and the right of parents/guardians to file a complaint with the United States Department of Health, Education, and Welfare concerning an alleged failure by the district to comply with 20 USC 1232g
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R12:
Any other rights and requirements set forth in Education Code 49060-49078, and the right of parents/guardians to file a complaint with the United States Department of Health, Education, and Welfare concerning an alleged failure by the district to comply with 20 USC 1232g
F13:
A statement that the District forwards education records to other agencies or institutions that have requested the records and in which the student seeks or intends to enroll Regulation SEQUOIA UNION HIGH SCHOOL DISTRICT approved: December 10, 1997 Redwood City, California revised: August 8, 2007 Students E 5125(a) STUDENT RECORDS Acceptable Encryption Algorythm Standards Purpose The purpose of this exhibit to Board Policy 5125, Student Records, is to provide guidance which limits the use of encryption to those algorithms that have received substantial public review and have been proven to work effectively. Additionally, this exhibit provides direction to ensure that federal regulations are followed, and legal authority is granted for the dissemination and use of encryption technologies outside the United States. Scope This exhibit applies to all Sequoia Union High School District employees and affiliates. Guidelines Proven, standard algorithms such as AES, Blowfish, RSA, RC5, and IDEA should be used as the basis for encryption technologies. These algorithms represent the actual cipher used for an approved application. For example, Network Associate's Pretty Good Privacy (PGP) uses a combination of IDEA and RSA or Diffie- Hellman, while Secure Socket Layer (SSL) uses RSA encryption. Symmetric cryptosystem key lengths must be at least 128 bits. Asymmetric crypto-system keys must be of a length that yields equivalent strength. Sequoia Union High School District’s key length requirements will be reviewed annually and upgraded as technology allows. The use of proprietary encryption algorithms is not allowed for any purpose. The export of encryption technologies is restricted by the U.S. Government. Residents of countries other than the United States should make themselves aware of the encryption technology laws of the country in which they reside. Enforcement Any employee found to have violated these guidelines may be subject to disciplinary action, up to and including termination of employment. Definitions Proprietary Encryption is an algorithm that has not been made public and/or has not withstood public scrutiny. The developer of the algorithm could be a vendor, an individual, or the government. Symmetric Cryptosystem is a method of encryption in which the same key is used for both encryption and decryption of the data. Asymmetric Cryptosystem is a method of encryption in which two different keys are used: one for encrypting and one for decrypting the data, e.g., public-key encryption. E 5125(b) STUDENT RECORDS Application Service Provider Acquisition Purpose This document describes Information Security's guidelines for Application Service Providers (ASPs) that engage with the Sequoia Union High School District. Scope This guideline applies to any use of Application Service Providers by the Sequoia Union High School District, independent of where hosted. Guidelines Requirements of Project Sponsoring Organization The ASP Sponsoring Organization must first establish that its project is an appropriate one for the ASP model, prior to engaging any additional infrastructure teams within the Sequoia Union High School District or ASPs external to the company. The person/team wanting to use the ASP service must confirm that the ASP chosen to host the application or project complies with this guideline. The Business Function to be outsourced must be evaluated against the following:
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R13:
A statement that the District forwards education records to other agencies or institutions that have requested the records and in which the student seeks or intends to enroll Regulation SEQUOIA UNION HIGH SCHOOL DISTRICT approved: December 10, 1997 Redwood City, California revised: August 8, 2007 Students E 5125(a) STUDENT RECORDS Acceptable Encryption Algorythm Standards Purpose The purpose of this exhibit to Board Policy 5125, Student Records, is to provide guidance which limits the use of encryption to those algorithms that have received substantial public review and have been proven to work effectively. Additionally, this exhibit provides direction to ensure that federal regulations are followed, and legal authority is granted for the dissemination and use of encryption technologies outside the United States. Scope This exhibit applies to all Sequoia Union High School District employees and affiliates. Guidelines Proven, standard algorithms such as AES, Blowfish, RSA, RC5, and IDEA should be used as the basis for encryption technologies. These algorithms represent the actual cipher used for an approved application. For example, Network Associate's Pretty Good Privacy (PGP) uses a combination of IDEA and RSA or Diffie- Hellman, while Secure Socket Layer (SSL) uses RSA encryption. Symmetric cryptosystem key lengths must be at least 128 bits. Asymmetric crypto-system keys must be of a length that yields equivalent strength. Sequoia Union High School District’s key length requirements will be reviewed annually and upgraded as technology allows. The use of proprietary encryption algorithms is not allowed for any purpose. The export of encryption technologies is restricted by the U.S. Government. Residents of countries other than the United States should make themselves aware of the encryption technology laws of the country in which they reside. Enforcement Any employee found to have violated these guidelines may be subject to disciplinary action, up to and including termination of employment. Definitions Proprietary Encryption is an algorithm that has not been made public and/or has not withstood public scrutiny. The developer of the algorithm could be a vendor, an individual, or the government. Symmetric Cryptosystem is a method of encryption in which the same key is used for both encryption and decryption of the data. Asymmetric Cryptosystem is a method of encryption in which two different keys are used: one for encrypting and one for decrypting the data, e.g., public-key encryption. E 5125(b) STUDENT RECORDS Application Service Provider Acquisition Purpose This document describes Information Security's guidelines for Application Service Providers (ASPs) that engage with the Sequoia Union High School District. Scope This guideline applies to any use of Application Service Providers by the Sequoia Union High School District, independent of where hosted. Guidelines Requirements of Project Sponsoring Organization The ASP Sponsoring Organization must first establish that its project is an appropriate one for the ASP model, prior to engaging any additional infrastructure teams within the Sequoia Union High School District or ASPs external to the company. The person/team wanting to use the ASP service must confirm that the ASP chosen to host the application or project complies with this guideline. The Business Function to be outsourced must be evaluated against the following:
F14:
The Sequoia Union High School District retains the right to terminate access to any Sequoia Union High School District system at any time without prior notice.
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R14:
The Sequoia Union High School District retains the right to terminate access to any Sequoia Union High School District system at any time without prior notice.
F15:
All data collected, printed and/or stored on any device owned or leased by the Sequoia Union High School District is the property of the Sequoia Union High School District.
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R15:
All data collected, printed and/or stored on any device owned or leased by the Sequoia Union High School District is the property of the Sequoia Union High School District.
F16:
The Sequoia Union High School District retains the right to amend its policy and/or rules at any time without prior notice.
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R16:
The Sequoia Union High School District retains the right to amend its policy and/or rules at any time without prior notice.
F17:
Employees understand that they will be held liable for any financial damages resulting from their illegal use of the Sequoia Union High School District's computer network and/or it's administrative applications. ACCEPTABLE USE POLICY ACKNOWLEDGEMENT I, _____________________________________________ (print first and last name), have read and understand the above Terms and Conditions of Use and agree to abide by them. I further understand that any violations of the regulations above is unethical and may constitute a criminal offense. Should I commit any violation, I may be subject to disciplinary action, from termination of technology access privileges up to termination of employment. Appropriate legal action may also be taken. Signature of User: ____________________________________ Date: _______________________ Name (print): ________________________________________
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R17:
Employees understand that they will be held liable for any financial damages resulting from their illegal use of the Sequoia Union High School District's computer network and/or it's administrative applications. ACCEPTABLE USE POLICY ACKNOWLEDGEMENT I, _____________________________________________ (print first and last name), have read and understand the above Terms and Conditions of Use and agree to abide by them. I further understand that any violations of the regulations above is unethical and may constitute a criminal offense. Should I commit any violation, I may be subject to disciplinary action, from termination of technology access privileges up to termination of employment. Appropriate legal action may also be taken. Signature of User: ____________________________________ Date: _______________________ Name (print): ________________________________________
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Hallazgos & Recomendaciones
7 hallazgos
F1:
Continue efforts to move to an electronic version of the Directory that has the types of information currently found in the Green Book’s white and gray pages, and is updated regularly. Response: Concur. ISD has created and deployed the SMC Directory application into production. In addition, nightly updates to the SMC Directory from the payroll system are in production.
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R1:
Continue efforts to move to an electronic version of the Directory that has the types of information currently found in the Green Book’s white and gray pages, and is updated regularly.
F2:
Cease printing the Green Book’s white pages now that intranet directory information has become widely available. Response: Concur. The Green Book will be printed and distributed in FY 2007-08 for the final time, to facilitate the migration to SMC Directory.
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R2:
Cease printing the Green Book’s white pages now that intranet directory information has become widely available.
F3:
Make the information currently found in the Directory’s gray pages available on the intranet in a form that can be downloaded and printed for those who may need hard copies; these versions would be modified as necessary during the ongoing reorganization of County government. In addition, printing and distributing updated gray pages on a regular basis until the reorganization is completed should be considered. Response: Concur. During the 1st quarter of 2007, ISD will be modifying the format of SMC Directory Department and Employee reports to make them more printable.
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R3:
Make the information currently found in the Directory’s gray pages available on the intranet in a form that can be downloaded and printed for those who may need hard copies; these versions would be modified as necessary during the ongoing reorganization of County government. In addition, printing and distributing updated gray pages on a regular basis until the reorganization is completed should be considered.
F4:
Establish standards for the minimum information that should be on a department web page and coordinate among departments so that they meet those standards. Include basic information about all government agencies, districts, special districts, and joint power authorities operating within the County. Response: Concur. During the 1st quarter of 2007, ISD will work with all Departments to establish standards for Internet-based departmental information.
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R4:
Establish standards for the minimum information that should be on a department web page and coordinate among departments so that they meet those standards. Include basic information about all governmental agencies, districts, special districts and joint power authorities operating within the County.
F5:
Make available on a public website as much searchable information from the electronic directory as is possible within the constraints of privacy. Response: Concur. During the 1st quarter of 2007, ISD will be adding a “Contact Us” section to the County Internet home page that will contain basic departmental information.
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R5:
Make available on a public website as much searchable information from the electronic directory as is possible within the constraints of privacy.
F6:
Consider multiple listings for some departments under names that are commonly used, but do not correspond to “official” names. Response: Concur. During the 1st quarter of 2007, ISD will work with all Departments to establish standards for Internet-based departmental information.
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R6:
Consider multiple listings for some departments under names that are commonly used, but do not correspond to “official” names. COUNTY OF SAN MATEO Inter-Departmental Correspondence County Manager’s Office DATE: January 8, 2007 BOARD MEETING DATE: January 23, 2007 SPECIAL NOTICE: None VOTE REQUIRED: None TO: Honorable Board of Supervisors FROM: John L. Maltbie, County Manager SUBJECT: 2006-07 Grand Jury Response Recommendation Accept this report containing the County’s responses to the following 2006-07 Grand Jury report: Improving Access to County Employee Directory Information. VISION ALIGNMENT: Commitment: Responsive, effective and collaborative government. Goal 20: Government decisions are based on careful consideration of future impact, rather than temporary relief or immediate gain. This activity contributes to the goal by ensuring that all Grand Jury findings and recommendations are thoroughly reviewed by the appropriate County departments and that, when appropriate, process improvements are made to improve the quality and efficiency of services provided to the public and other agencies.
F2004:
Parts of the reorganization plan are being implemented and will affect information in the Green Book. This is a reason given as to why the publication of a new edition has been delayed. The reorganization may also affect the public’s ability to locate some departments. • Some departments and agencies operate autonomously and maintain separate directories and employee lists. Many special districts and some other agencies are not included in the County directory at all. • Other sources of directory information are available and regularly used by County employees. o Employees increasingly use the County intranet e-mail system, because it provides a user-friendly, searchable list of County employees, their telephone numbers, email addresses and department information. o Directories from private companies may have more up-to-date information about cities than does the County’s directory. o County operators use a separate Conveyant TeleDirectory System that accesses data that is kept current with regard to new employees, terminations and other changes. These updates to the Conveyant system are done manually on most workdays. The changes do not appear in other County directories. It should soon be possible to link the new intranet website to the TeleDirectory system so that updates will be much easier. As a result, the information would come from the most up-to-date and complete source, the County’s Payroll Information and Personnel System (PIPS). 3 • The County ISD currently requests information from other County departments for purposes of updating the Green Book and some of the intranet information. Not all departments are responsive. • County departments are responsible for keeping their intranet web pages current and informative, but results are mixed and range from very informative to completely missing. Conclusions The Green Book is out-of-date, but there are other sources for most information on the County intranet. The shortcomings in the current system that are enumerated above have been recognized by the County ISD and efforts are underway to correct them. Foremost among these measures is the creation of a new intranet website, referred to as the SMC- Directory, that will be up-to-date and searchable by name and department. The data on that website would come from PIPS, and may be in place by October 2006. Additionally, data from that PIPS-based web page will be linked to the Conveyant TeleDirectory System, eliminating the need for most manual updates.
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Hallazgos & Recomendaciones
16 hallazgos
F1:
Has installed new hardware for the Supervisory Control and Data Acquisition (SCADA) system and is upgrading the software. Employee training on the new system is underway. The new system is capable of monitoring plant operations and performing trending analysis.
F2:
Has rewritten 15 of 30 standard operating procedures (SOPs) and expects to complete the balance by the end of 2006. The plant operators are required to adhere to the SOPs.
F3:
Is developing a formal plan to monitor and improve plant performance.
F4:
Has recently updated the written job descriptions for each position.
F5:
Is developing a plan to encourage plant operators to take additional training courses and to obtain higher ratings.
F6:
Has reassigned responsibility for preventive maintenance; work that was formerly done by the maintenance staff is now done by the operating staff. SMDPW has implemented automated tracking of maintenance work orders, and the computer system will soon start generating preventative maintenance work orders.
F7:
Has formalized shift-to-shift communication; shift supervisors meet for 20 minutes at shift change. Additionally, SMPWD has implemented monthly informational meetings which have considerably improved communication.
F8:
Has digitized all relevant documents (e.g., monthly reports, lab results, SOPs, etc.) and made the reports available online. 3
F9:
Will address operational responsibility for the Dale Avenue Pump Station after construction of the two new digesters is completed in Spring 2007.
F10:
Has hired a consultant to address the 20-year plan for capital improvements; however, a replacement schedule for existing capital equipment does not yet exist. SMDPW is preparing a list of critical equipment. The MWH report also recommended that plant security be improved. Specifically, the report recommended “additional access controls and signage around the front gate of the WWTP in order to control access to the facility and assist visitors in finding the main office. Perimeter fencing should also be reviewed and repaired on a routine basis to minimize unauthorized access to the facility.” SMDPW has not implemented this
F11:
The attitude of those responsible for the operation of the plant is “we don’t have a security problem, nothing has ever happened.”
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R1:
Make plant security a high priority and educate the staff on the need for increased awareness of and attention to physical security.
F12:
The main gate is normally open during the day and signs instruct visitors to check in at the office. The route to the office is tortuous and not well marked.
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R2:
Upgrade the physical security of the WWTP.
F13:
The Grand Jury was told that plant security will be evaluated when the current construction projects are completed.
F14:
SMDWP stated that closed circuit TV is one of the techniques that will be considered to improve perimeter security.
F15:
The Grand Jury observed that two of the three gates in the perimeter fence are substantially compromised. There is a 10-inch gap below one gate and an 11-inch gap in the fencing at the other; a child or an adult could easily enter the plant at either location.
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R2:
Upgrade the physical security of the WWTP.
F16:
The Grand Jury visited one other wastewater treatment plant in the County and found that facility to be far more secure than the San Mateo/EMID plant. To wit, in the other treatment plant: o The main entrance gate is kept closed. An intercom at the gate allows the visitor to contact the office, after which the gate may be opened remotely. o The perimeter fencing is secure and properly maintained. o The facility is protected by an alarm system at night. o Plant operators appreciate the need for a secure environment and appear to actively monitor the facility. 4 o The operators of this facility plan to add closed circuit TV surveillance to their SCADA system. The Grand Jury evaluated the WWTP Emergency Response Plan and the Contingency Plan. For the purposes of this evaluation, credit was given if either of these plans addressed the required critical elements. The score awarded to the combined plans is 8 out of a possible 22. The evaluation criteria and the areas in which the plans are deficient are detailed in Appendices A and B. Conclusions San Mateo DPW has adopted, implemented, or is in the process of implementing, many of the recommendations in the MWH report. San Mateo DPW has not made plant security a high priority issue and significant deficiencies are evident. While the current construction project complicates the perimeter security problem, it does not lessen the need for improved security. The purpose of the fencing is to keep unauthorized persons from entering the facility. This is especially important during a construction project where persons could be injured on the property. The current state of disrepair of the perimeter fencing allows unauthorized access to the property which creates a potential danger to the public and liability exposure to the JPA. The WWTP Emergency Response Plan is deficient. Each of the following sections of the plan needs improvement: Purpose and Scope, Staff Roles and Responsibilities, Evacuation Procedures and Post-Emergency Plans. The Plan also fails to address the following five elements required in a comprehensive plan: SEMS/ICS Compliance, Decision Making Guidelines, Personnel Training Plan, Test & Update Training Plan and Plans for Coordinating with other Agencies.
Recomendaciones adicionales
1
No vinculadas a hallazgos específicos.
R3:
Create and implement a comprehensive and effective emergency response plan. 5
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Hallazgos & Recomendaciones
3 hallazgos
F1:
The Grand Jury recommends that the Emergency Services Council (ESC) direct the OES staff to work closely with San Mateo County communities to assist them in becoming certified Tsunami Ready locations. More specifically, the ESC and OES should use the Tsunami Ready plans as a model to help Pacifica, Half Moon Bay, and the unincorporated coastal communities accomplish the following: 1.1 Develop an emergency tsunami response plan for each community that specifies how the public and emergency service providers are to be informed of an alert and what their response should be. 1 1.2 Educate the public on the dangers of tsunami, how the alert system works, and what to do in the event of an alert. 1.3 Obtain approval and permits from the appropriate government agencies (Coastal Commission, CalTrans, and State Parks) for tsunami warning signage and a siren/broadcast system and install same. 1.4 Acquire inundation maps for entire San Mateo County Coast. 1.5 Ensure that the resources of the Regional Office of the Red Cross are sufficient and properly distributed. 1.6 Acquire the resources and technology to make San Mateo County Storm Ready/Tsunami Ready by December 31, 2007. Response: The Emergency Services Council has been briefed on the issues regarding tsunami issues regarding San Mateo County. The ESC is aware that OES/HS is actively involved and addressing the issues brought forth by the Civil Grand Jury and supports the ongoing efforts of OES/HS. Sheriff Munks also supports the ongoing efforts of OES/HS to follow the guidelines in a timely and effective manner to better prepare our residents for a tsunami event. Recently OES/HS acquired two alert systems for public notification: the first being a digital alert system that alerts “text messaging” devices (cell phone text messaging, digital pagers, and e- mail). The second system is a Telephone Emergency Notification System (TENS), which would call each home or business in the effected area. This second system also offers either an audible siren or voice speaker alert system. Only six sirens/speakers are funded through OES/HS for the inundation areas so the three jurisdictions will need to find further funding through either general fund or other sources to increase the number of sirens necessary to alert all of the residents and visitors in the inundation areas. Education efforts are constantly underway. OES/HS developed a written pamphlet of information that was adopted by Pacifica, Half Moon Bay, and unincorporated areas. Each jurisdiction has distributed this information to the public. Several focus groups of emergency responders have already been held to address issues related to tsunami and will continue to dialog on the threat issues. The three jurisdictions of San Mateo County, Pacifica, and Half Moon Bay started discussions regarding the permitting issues of both sirens and signage for the Tsunami Ready Program. All three jurisdictions are open to the idea and are willing to support the effort to the California Coastal Commission. OES/HS requested the United States Geological Survey to survey the entire San Mateo County coast and the Bay Side of San Mateo County as to the rise in sea water as it relates to tsunami inundation. OES/HS is in constant contact with the American Red Cross, also including other service providers such as the Salvation Army, Second Harvest Food Bank, and the State of California Office of Emergency Services as it relates to shelter support for the coast. OES/HS received the distinct honor of the National Weather Service “Storm Ready” certification on September 21, 2006. This is a vital first step to achieve Tsunami Ready Certification. OES/HS believes it can reach the Tsunami Ready criteria by December 31, 2007.
F5:
The Grand Jury recommends that the Sheriff instruct OES to: 5.1 Provide advice and guidance for the development of tsunami alert and evacuation plan for the rural coastal communities. 5.2 Work with the ESC to accomplish goals 1.1 through 1.6 above. Response: Sheriff Munks concurs with the recommendations of the Grand Jury and supports the efforts OES/HS, as mentioned above. Once again, the San Mateo County Sheriff’s Office of Emergency Services and Homeland Security thanks the Civil Grand Jury for researching the effects of a tsunami related event in San Mateo County. Working together to prepare and educate both the public and government agencies is of the utmost importance in addressing this constant threat to our communities. Sincerely, Greg Munks, Sheriff cc: The Honorable Board of Supervisors Grand Jury Website 3 January 29, 2007 Honorable John L. Grandsaert Grand Jury Judge Hall of Justice and Records 400 County Center Redwood City, CA 94063 Re: 2006-2007 Grand Jury Report: Tsunami Alert and Evacuation on the San Mateo County Coast Dear Judge Grandsaert; We wish to acknowledge the efforts of the Civil Grand Jury with this report regarding the Emergency Services Council (ESC). We feel the report is accurate, and depicts an understanding and appreciation by the members of the Grand Jury regarding issues relating to Tsunami impact on the San Mateo County coast. The Emergency Services Council is in general agreement and fully supports the findings of the Civil Grand Jury The ESC appreciates a partnership in alerting residents and visitors to the very real and often potential danger of a tsunami striking San Mateo County.
F2007:
This program requires evacuation routes and safety zones to be clearly marked. Two Alerting Systems have been purchased with Homeland Security funds. One is a digital text messaging system, which is up and running in several jurisdictions while others are in the training and orientation phase. The second is a Telephone Emergency Notification System (TENS) telephone calling system that that will make a telephone voice message to each home or business in the alert areas. This system also has the capability to interact with several sirens to be placed in and around the Tsunami inundation areas to alert visitors as well as residents. The computer servers that will support the TENS system are in place and mapping of alert areas is underway. The first County-wide training session was held on January 26, 2007. OES/HS is working with the Planning Departments in San Mateo County, Half Moon Bay, and Pescadero to ensure proper permits are obtained for the siren installations. 4.3 Identify “residents in need” living in unincorporated coastal communities who may need help in case of an emergency. Response: Concur. The County Manager will direct OES to comply with this
Recomendaciones adicionales
2
No vinculadas a hallazgos específicos.
R1:
The Grand Jury recommends that the Emergency Service Council (ESC) direct the OES staff to work closely with San Mateo County communities to assist them in becoming certified TsunamiReady locations. More specifically, the ESC and OES should use the TsunamiReady plan as a model to help Pacifica, Half Moon Bay and the unincorporated coastal communities accomplish the following: 1.1 Develop an emergency tsunami response plan for each community that specifies how the public and emergency service providers are to be informed of an alert and what their responses should be. 1.2 Educate the public on the dangers of a tsunami, how the alert system works, and what to do in the event of an alert. 1.3 Obtain approval and permits from the appropriate government agencies (Coastal Commission, CalTrans and State Parks) for tsunami warning signage and a siren/broadcast system and install same. 1.4 Acquire inundation maps for the entire San Mateo County coast. 1.5 Ensure that the resources of the Regional Office of the Red Cross are sufficient and appropriately distributed. 1.6 Acquire the resources and technology to make San Mateo County StormReady/TsunamiReady by December 31, 2007.
R4:
2 above, two Alerting Systems were purchased with Homeland Security funds—a text messaging system that has been installed in several jurisdictions, and a telephone calling system that is currently under installation. 4.5 Act on the July, 2006 County Tsunami Annex Draft by December 31, 2006. Response: Concur. The County Manager will direct OES to comply with this recommendation. The Tsunami Annex Draft, which is an addition to the emergency Operations Plan, is currently under revision as new threats and capabilities are discovered. Since November of 2006, OES/HS has facilitated three meetings between first responders to discuss issues and jurisdictional responsibilities. One "end to end" Tsunami exercise was held in association with the National Weather Service. OES/HS will have an adopted plan prior to December 31, 2007. COUNTY OF SAN MATEO O S FFICE OF THE HERIFF GREG MUNKS CARLOS G. BOLANOS SHERIFF UNDERSHERIFF 400 COUNTY CENTER (cid:1) REDWOOD CITY (cid:1) CALIFORNIA 94063-1662 TELEPHONE (650) 599-1664 WWW.SMCSHERIFF.COM ADDRESS ALL COMMUNICATIONS TO THE SHERIFF January 22, 2007 Honorable John L. Grandsaert Judge of the Superior Court Hall of Justice 400 County Center, 2nd Floor Redwood City, CA 94063 Re: 2006-2007 Grand Jury Report: Tsunami Alert and Evacuation on the San Mateo County Coast Dear Judge Grandsaert: We wish to acknowledge the efforts of the Civil Grand Jury with this report regarding the Emergency Services Council and our Office of Emergency Services and Homeland Security (OES/HS). We feel the report is accurate, and depicts an understanding and appreciation by the members of the Grand Jury regarding issues relating to Tsunami impact on the San Mateo County coast. The Office of Emergency Services and Homeland Security fully supports the
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Hallazgos & Recomendaciones
5 hallazgos
F1:
Adopt procedures to insure that occasional and unannounced spot checks are conducted at all badge controlled access points to verify that each badge belongs to the user of that badge. Response: Concur. The Sheriff’s Countywide Security Unit will be tasked with the responsibility of conducting spot checks by the un-intrusive use of cardkey computer monitors. The results of these spot checks will be documented and forwarded to the Captain of Courts, Custody and Security Services and will be shared with the BSWG in order to identify and address security concerns in the future.
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R1:
Adopt procedures to insure that occasional and unannounced spot checks are conducted at all badge controlled access points to verify that each badge belongs to the user of that badge. Response: Concur. The Sheriff’s Countywide Security Unit will be tasked with the responsibility of conducting spot checks by the un-intrusive use of cardkey computer monitors. The results of these spot checks will be documented and forwarded to the Captain of Courts, Custody and Security Services and will be shared with the BSWG in order to identify and address security concerns in the future.
F2:
Adopt procedures to insure that the badge of every terminated employee is returned to the County and deactivated immediately upon termination. Response: Concur. If an employee is terminated for cause, ISD or the San Mateo Medical Center (depending on the employee’s assignment) will deactivate the employee’s cardkey and notify the Sheriff’s Countywide Security Unit. Routine resignations are handled through a termination report, which is generated after each payroll. The report is sent to the County’s Cardkey Administrator at ISD. The cardkeys are deactivated for all employees on the termination report. The Medical Center’s Cardkey Administrator is notified by e-mail from the various Unit Managers that an employee has terminated and immediately deactivates that employee’s cardkey. The result is that the cardkeys, cancelled electronically, will no longer activate the door mechanisms. These processes have been in place for some time but need to be formally adopted in County Administrative Memorandum B-20. The issue of the employees returning their cardkeys is a more complicated issue, as some employees feel that the cardkey is their personal property and fail to return them upon termination. The Sheriff’s Office will work with the BSWG to develop a countywide procedure that will ensure that every effort is made to retrieve employee cardkeys upon termination from County service.
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R2:
Adopt procedures to insure that the badge of every terminated employee is returned to the County and deactivated immediately upon termination. Response: Concur. If an employee is terminated for cause, ISD or the San Mateo Medical Center (depending on the employee’s assignment) will deactivate the employee’s cardkey and notify the Sheriff’s Countywide Security Unit. Routine resignations are handled through a termination report, which is generated after each payroll. The report is sent to the County’s Cardkey Administrator at ISD. The cardkeys are deactivated for all employees on the termination report. The Medical Center’s Cardkey Administrator is notified by e-mail from the various Unit Managers that an employee has terminated and immediately deactivates that employee’s cardkey. The result is that the cardkeys, cancelled electronically, will no longer activate the door mechanisms. These processes have been in place for some time but need to be formally adopted in County Administrative Memorandum B-20. The issue of the employees returning their cardkeys is a more complicated issue, as some employees feel that the cardkey is their personal property and fail to return them upon termination. The Sheriff’s Office will work with the BSWG to develop a countywide procedure that will ensure that every effort is made to retrieve employee cardkeys upon termination from County service.
F3:
Re-examine the policies of issuing badges that are valid for more than twelve months and of allowing unused badges to remain valid. Response: Disagree. Setting annual termination dates for County employees and members of the Bar Association would create an undue burden on cardkey administration and could have significant impacts on building operations. This past year the County initiated a process whereby departments are required to review a report of all their employees that have cardkey access to the Hall of Justice and verify that the employees are still employed by the County and that their level of access is appropriate. The County’s Health Department has already completed such a review and a review by the Human Services Agency is currently underway. The plan is that all departments would perform a comprehensive review at least once a year. Though in place, this process still needs to be formally adopted in County Administrative Memorandum B-20. The BSWG will also approach the Bar Association about conducting a review of all member attorneys who possess active cardkeys.
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R3:
Re-examine the policies of issuing badges that are valid for more than twelve months and of allowing unused badges to remain valid. Response: Disagree. Setting annual termination dates for County employees and members of the Bar Association would create an undue burden on cardkey administration and could have significant impacts on building operations. This past year the County initiated a process whereby departments are required to review a report of all their employees that have cardkey access to the Hall of Justice and verify that the employees are still employed by the County and that their level of access is appropriate. The County’s Health Department has already completed such a review and a review by the Human Services Agency is currently underway. The plan is that all departments would perform a comprehensive review at least once a year. Though in place, this process still needs to be formally adopted in County Administrative Memorandum B-20. The BSWG will also approach the Bar Association about conducting a review of all member attorneys who possess active cardkeys.
F4:
Re-examine the policy of allowing work crews access to the Hall of Justice without vetting each member of the crew. Response: Disagree. It would cause significant workload to do backgrounds on all contract workers. Also, the policy would effectively eliminate the County’s use of contractors that provide rehabilitation services, such as Delancey Street Movers. It should be noted that Public Works and/or County department staff are required to have at least one employee on hand when vendors/contractors are accessing any County building after hours to ensure that workers remain in the authorized areas.
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R4:
Re-examine the policy of allowing work crews access to the Hall of Justice without vetting each member of the crew. Response: Disagree. It would cause significant workload to do backgrounds on all contract workers. Also, the policy would effectively eliminate the County’s use of contractors that provide rehabilitation services, such as Delancey Street Movers. It should be noted that Public Works and/or County department staff are required to have at least one employee on hand when vendors/contractors are accessing any County building after hours to ensure that workers remain in the authorized areas.
F5:
Formalize and adopt County Administrative Memorandum B-20, Building Security and Court Security Plan. Response: Concur. Although County Administrative Memorandum B-20 was formally adopted in 1998, it needs to be updated. An interdepartmental work group will be established in early 2007 to begin a comprehensive review and update of all County Administrative Memoranda. Administrative Memorandum B-20 will be a high priority item. The County will notify the Grand Jury once B- 20 has been updated and adopted. December 4, 2006 Honorable John L. Grandsaert Judge of the Superior Court Hall of Justice 400 County Center, 2nd Floor Redwood City, CA 94063-1655 Re: Grand Jury Report: Pandemic Influenza Preparedness at the San Mateo County’s Women’s Correctional Facility Dear Judge Grandsaert: Summary: The potential for a widespread outbreak of avian influenza (strain H5N1) among the general population in the near future is a subject of global concern. News reports indicate that at least 140 people worldwide have been killed since this virus began ravaging Asian poultry stocks in late 2003. An estimated 1.9 million Americans could die and almost 10 million could be hospitalized during a pandemic that may take a year or more to evolve. Although the timing, nature and severity of the next pandemic cannot be predicted with certainty, preparedness planning is imperative to lessen the impact. Measures to prevent and control the spread of this disease may include quarantine and isolation where feasible, limiting public gatherings and closing schools and businesses. “Social distancing” strategies (i.e., the act of separating oneself from others as much as possible) will be encouraged as a containment strategy. Many of these measures are not feasible with a jailed population. Lack of capacity with concomitant overcrowding is one of the Women’s Correctional Facility’s (Women’s Facility) most serious deficiencies. The Women’s Facility (described in the San Mateo Jails portion of prior San Mateo County Civil Grand Jury Reports) has open-bay style dormitory living conditions and centralized toilet and shower facilities that prevent isolating inmates and limiting physical interactions between them and the staff or visitors. The problems are made worse by the chronic overcrowding, the staff shortages within the Sheriff’s Department and the limited number of Correctional Health nurses. Although staffing seems to operate satisfactorily during normal times, the Women’s Facility is not designed or staffed to deal with a pandemic flu outbreak. The San Mateo County Grand Jury recommends that the San Mateo Board of Supervisors: (1) give priority to adequate staffing of the Women’s Facility; (2) continue to develop a plan with deadlines for dealing with a pandemic flu disaster in this facility; and (3) direct that the needs assessment report for the new Women’s Facility address space planning and logistics for any contagious disease outbreak. Findings The Women’s Facility is overcrowded. The facility is currently configured for 158 beds in a building with capacity for 84 beds, according to the State Department of Corrections and Rehabilitation. Most toilet and shower facilities are centralized and for group use. There are no isolation facilities at the Women’s Facility; if needed, female inmates are transported to the Maguire Facility, which has only a limited number of isolation rooms. Conclusions Many people come in contact with the inmates in the Women’s Facility (new inmates, Sheriff and probation staff, visitors, attorneys, agency volunteers and counselors), so this “confined” population is unlikely to escape exposure to a pandemic flu outbreak. The sheer number of inmates cycling though this facility almost guarantees exposure. Furthermore, chronic overcrowding, open-bay style dormitories and the centralized toilet and shower facilities of the Women’s Facility prevent isolation, or even the limitation of physical contact among inmates, staff and visitors. This facility is woefully inadequate to deal with a pandemic flu outbreak. All these problems are made worse by the staff shortage in the Sheriff’s Department and the limited number of Correctional Health nurses. While the staffing seems to operate satisfactorily during normal times, the Women’s Facility could not deal with a pandemic flu outbreak
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R5:
Formalize and adopt County Administrative Memorandum B-20, Building Security and Court Security Plan. Response: Concur. Although County Administrative Memorandum B-20 was formally adopted in 1998, it needs to be updated. An interdepartmental work group will be established in early 2007 to begin a comprehensive review and update of all County Administrative Memoranda. Administrative Memorandum B-20 will be a high priority item. The County will notify the Grand Jury once B- 20 has been updated and adopted. December 4, 2006 Honorable John L. Grandsaert Judge of the Superior Court Hall of Justice 400 County Center, 2nd Floor Redwood City, CA 94063-1655 Re: Grand Jury Report: Pandemic Influenza Preparedness at the San Mateo County’s Women’s Correctional Facility Dear Judge Grandsaert: Summary: The potential for a widespread outbreak of avian influenza (strain H5N1) among the general population in the near future is a subject of global concern. News reports indicate that at least 140 people worldwide have been killed since this virus began ravaging Asian poultry stocks in late 2003. An estimated 1.9 million Americans could die and almost 10 million could be hospitalized during a pandemic that may take a year or more to evolve. Although the timing, nature and severity of the next pandemic cannot be predicted with certainty, preparedness planning is imperative to lessen the impact. Measures to prevent and control the spread of this disease may include quarantine and isolation where feasible, limiting public gatherings and closing schools and businesses. “Social distancing” strategies (i.e., the act of separating oneself from others as much as possible) will be encouraged as a containment strategy. Many of these measures are not feasible with a jailed population. Lack of capacity with concomitant overcrowding is one of the Women’s Correctional Facility’s (Women’s Facility) most serious deficiencies. The Women’s Facility (described in the San Mateo Jails portion of prior San Mateo County Civil Grand Jury Reports) has open-bay style dormitory living conditions and centralized toilet and shower facilities that prevent isolating inmates and limiting physical interactions between them and the staff or visitors. The problems are made worse by the chronic overcrowding, the staff shortages within the Sheriff’s Department and the limited number of Correctional Health nurses. Although staffing seems to operate satisfactorily during normal times, the Women’s Facility is not designed or staffed to deal with a pandemic flu outbreak. The San Mateo County Grand Jury recommends that the San Mateo Board of Supervisors: (1) give priority to adequate staffing of the Women’s Facility; (2) continue to develop a plan with deadlines for dealing with a pandemic flu disaster in this facility; and (3) direct that the needs assessment report for the new Women’s Facility address space planning and logistics for any contagious disease outbreak.
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Hallazgos & Recomendaciones
11 hallazgos
F1:
A senior Skanska employee was provided at no charge to the District for pre- bond work. This employee was a former employee of Kitchell, the construction management company that oversaw Measure D.
F2:
Skanska was selected as a paid pre-bond consultant. There was no competitive process in awarding this contract for $97,000.
F3:
Skanska, as the pre-bond construction management company for the initial project planning, assisted in the selection of architects, some of whom are charging fees allegedly exceeding current market value.
F4:
Some or all Trustees relied upon a document stating that architect agreements and fees were thoroughly reviewed by counsel. 4
F5:
The Board of Trustees did not use its legal counsel to perform a full review of the proposed architect agreements in a timely manner.
F6:
The Board of Trustees approved the architects’ agreement subject to approval of contract language by the District’s legal counsel, with fees that allegedly exceed customary industry rates. There appeared to have been little or no negotiation of the fees or terms of the agreement.
F7:
Skanska was selected as the sole construction management company even though there had been significant disagreement among District staff about awarding the oversight of the $298 million Measure M construction projects to a single company.
F8:
Skanska’s proposed contract for $23,966,660 was placed on the Board of Trustees’ agenda for approval despite the fact that: (1) there was no competitive process used for the $5 million design management portion of the proposed contract - only the construction management portion was competitive 10 ; (2) there was little or no negotiation of the terms and fees set forth in the proposed contract; (3) witnesses were unable to justify the entire increase in Skanska’s proposed management fees from $10,940,990 to $23,966,660.
F9:
Witnesses informed the Grand Jury that Skanska management fees set forth in its proposed contract submitted to the Board of Trustees for approval on March 8, 2007, exceed current industry norms.
F10:
On April 19, 2007, the Board of Trustees discontinued its relationship with Skanska.
F11:
California Education Code Section 15278 requires a citizen’s oversight committee be established to review bond expenditures. Conclusions The Grand Jury asserts that the process by which the proposed construction management contract was developed was flawed and that the District must improve the process for selecting and retaining construction managers. The SMUHSD Measure M construction management selection committee lacked sufficient financial, contractual and construction experience (or failed to engage persons with such experience) to assist them in their selection process for the award of the Measure M construction management projects. The considerable influence exerted by Skanska’s project executive throughout both the contracting process and the alleged negotiations raises questions about whether the 5 District should have allowed a party who had a significant financial stake in this project to have so much responsibility. The Skanska proposed contract for $23,966,660 was the result of a deficient contracting process. There appears to have been little or no negotiation or review of the management fees. A majority of District Trustees neglected their oversight responsibilities in accounting, financial and contractual matters regarding the District’s Measures D and M construction projects. The Superintendent failed to provide adequate management oversight to ill-equipped District staff in accounting, financial and contractual matters, especially those surrounding Measures D and M construction projects.
Recomendaciones adicionales
6
No vinculadas a hallazgos específicos.
R1:
Improve the process for selecting construction management firms. The Request for Qualifications and Request for Proposal processes must be impartial, transparent and competitive.
R2:
Use the improved selection process to award the Measure M construction management contract and strongly consider awarding the contract to a pool of companies rather than a single company.
R3:
Assemble a proposal review team that includes individuals with financial, construction and contractual expertise to select the construction management contractor(s).
R4:
Actively negotiate the construction management contract(s) with the chosen candidate(s).
R5:
Provide the statutorily-required citizen’s oversight committee with independent advisors with financial, construction and legal expertise to, among other things, monitor the progress of construction, the expenditure of funds and adherence to contractual requirements through the completion of the Measure M construction projects.
R6:
Immediately engage the services of a qualified outside consultant, whose primary allegiance is to the District, to review and advise the Board and staff on management control procedures, especially those surrounding the accounting and budgeting for Measure M construction projects. 6 1 http://www.sanmateocourt.org/grandjury 2 San Mateo Union High School District - Proposal for Pre-Bond Management Services, July 13, 2006, by Skanska 3 Ibid 4 Revised Facilities Master Plan – 2007-2012, February 9, 2006, by the San Mateo Union High School District 5 Bond Projects List 2007-2013 Master Budget for the San Mateo Union High School District, July 13, 2006, by Skanska 6 Spending at schools under fire,” The Daily Journal, April 5, 2007 . Board dumps project managers,” San Mateo County Times, April 20, 2007 page Local 1. 8 “Pink slip for company in school mess” San Mateo Daily Journal, April 20, 2007 . 9 “School board kills Skanska deal,” San Mateo Daily News, April 20, 2007 http://www.sanmateodailynews.com/article/2007-4-20-04-20-07-smuhsd-skanska 10 The Grand Jury was informed that the $10.9 million fee for construction management was increased by $5 million to cover the separate services of design management. San Mateo Union High School District David Miller, Ph.D., Interim Superintendent Ethel C. Konopka, Associate Supt. Human Resources-Admin. Serv. Elizabeth McManus, Associate Supt. Business Services 650 North Delaware Street - San Mateo, CA 94401-1795 (650) 558-2299 (650) 762-0249 FAX July 23, 2007 The Honorable John L. Grandsaert Judge of the Superior Court Hall of Justice 400 County Center; 2n d Floor Redwood City, CA 94063-1655 RE: SAN MATEO UNION HIGH SCHOOL DISTRICT CONSTRUCTION CONTRACTING PROCEDURES Report Dear Judge Grandsaert: On May 3, 2007, the Grand Jury of San Mateo County published its “San Mateo Union High School District Construction Contracting Procedures” report. We take the Grand Jury’s findings and recommendations very seriously. We fully intend to take all action necessary to restore confidence in our ability to manage our construction program. In support of our commitment to address these construction issues, we have contracted with Mark Haesloop, an experienced San Mateo county construction attorney, and added the District Associate Superintendent of Business Services, who has significant construction experience, to the Measure M team. The District is addressing the issues identified in the Measure M program and investing the required time and resources to ensure a detailed plan is in place prior to beginning any construction work. Please find our specific responses in the paragraphs below. DISTRICT’S RESPONSE TO GRAND JURY’S
Hallazgos & Recomendaciones
4 hallazgos
F1:
Cooperate with the Controller’s Office to determine on a timely basis which office should be assigned ultimate accountability for the payroll process. This determination should ensure that such office is clearly identified as the responsible entity. Response: Concur. The County Manager’s Office will cooperate with the Controller’s Office and will recommend that ultimate responsibility for the payroll process be assigned to the Controller’s Office. It is important to recognize that the successful operation of the HR/Payroll system (PIPS) is dependent on three departments’ continued cooperation as well as the payroll system vendor for compliance assurance: (1) the Information Services Department (ISD) will need to ensure the system(s) are available and functioning as designed; (2) the Human Resources Department (HR) will need to ensure that personnel information, including earning type code setup and accurate employee position and pay grade information, is properly maintained in the system; and (3) the Controller will need ensure that employee time reported is paid accurately and on a timely basis. The payroll vendor will be required to review compliance of the County payroll system with state and federal laws and regularly assist in implementing new requirements. This multi-departmental approach is much like the current County process related to property taxes, which requires the cooperation of the Assessor, Controller, and Tax Collector with well-defined areas of responsibility for all three departments. The County Manager’s Office will work with the Controller’s Office to establish a framework for ensuring the payroll system is functioning properly and to obtain additional staffing and financial resources to document and monitor the multi-departmental and vendor activities.
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R1:
The Grand Jury recommends that the Board of Supervisors direct the County Manager to:
Cooperate with the Controller’s Office to determine on a timely basis which office should be assigned ultimate accountability for the payroll process. This determination should ensure that such office is clearly identified as the responsible entity.
F2:
Establish written job descriptions for all employees in Human Resources and Information Services Department that clearly delineate the duties, responsibilities, accountability and controls for payroll and timekeeping functions within each department. Response: Concur. The County Manager’s Office will work with the Human Resources Department, Information Services Department, and the Controller’s Office to document the duties, responsibilities, accountability, and controls as part of the process described in the response to Recommendation 1 above.
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R2:
The Grand Jury recommends that the Board of Supervisors direct the County Manager to:
Establish written job descriptions for all employees in Human Resources and Information Services Department that clearly delineate the duties, responsibilities, accountability and controls for payroll and timekeeping functions within each department.
F3:
Create a standing, cross-functional committee composed of representatives from the Controller's Office including Internal Audit, Information Services Department and Human Resources to oversee and approve all payroll and timekeeping projects, and approve the duties, responsibilities and accountability for payroll and timekeeping among the three entities. Response: Concur. There is currently a Payroll (PIPS) Steering Committee comprised of the department heads from the Controller’s Office, Human Resources Department, and Information Services Department as well as the Audit Manager from the Controller’s Internal Audit Division. This same group, sans the Audit Manager from the Controller’s Internal Audit Division and the Deputy County Manager, comprise the Automated Time Keeping System (ATKS) Steering Committee that meets separately during the implementation stages of the ATKS project. With the successful completion of the ATKS project, it is anticipated that the PIPS Steering Committee will assume the additional responsibilities associated with the ATKS Steering Committee. The Controller’s Office will chair this cross- departmental committee.
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R3:
The Grand Jury recommends that the Board of Supervisors direct the County Manager to:
Create a standing, cross-functional committee of representatives from the Controller's Office including Internal Audit, Information Services Department and Human Resources to oversee and approve all payroll and timekeeping projects, and approve the duties, responsibilities and accountability for payroll and timekeeping among the three entities. The Grand Jury recommends that the Controller:
F4:
Request that the County’s external auditors review the internal controls and procedures implemented in Phases 1 and 2 of the new timekeeping and payroll system. August 22, 2007 Hon. Joseph L. Grandsaert Judge of the Superior Court Hall of Justice 400 County Center; 2nd Floor Redwood City, CA 94063-1655 Hon. Joseph L. Grandsaert: Regarding the recommendations in the Grand Jury REVIEW OF SAN MATEO COUNTY PAYROLL PRACTICES Report to the Controller: 1. Cooperate with the County Manager’s office to determine on a timely basis which office should be assigned ultimate accountability for the payroll process. This determination should ensure that such office is clearly identified as the responsible entity. Response: The Controller agrees with this recommendation. The Controller’s Office will cooperate with the County Manager’s Office and will recommend that ultimate responsibility for the payroll process be assigned to the Controllers Office. It is important to recognize that the successful operation of the HR/Payroll system (PIPS) is dependent on three departments’ continued cooperation as well as the payroll system vendor for compliance assurance. The Information Services Department (ISD) will need to ensure the system(s) are available and functioning as designed, the Human Resources Department (HR) will need to ensure that personnel information, including earning type code setup and accurate employee position and pay grade information, is properly maintained in the system, and the Controller will need ensure that employee time reported is paid accurately and on a timely basis. The payroll vendor will be required to review compliance of our payroll system with state and federal laws and regularly assist in implementing new requirements. This multi-departmental approach is much like the current County process related to property taxes which requires the 1 cooperation of the Assessor, Controller and Tax Collector with well defined areas of responsibility for all three departments. The Controller’s Office will work with the County Manager’s Office to establish a framework for ensuring the payroll system is functioning properly and to obtain additional staffing and financial resources to document and monitor the multi- departmental and vendor activities.
Recomendaciones relacionadas (1)
R4:
The Grand Jury recommends that the Controller:
Request that the County’s external auditors review the internal controls and procedures implemented in Phases 1 and 2 of the new timekeeping and payroll system. August 22, 2007 Hon. Joseph L. Grandsaert Judge of the Superior Court Hall of Justice 400 County Center; 2nd Floor Redwood City, CA 94063-1655 Hon. Joseph L. Grandsaert: Regarding the recommendations in the Grand Jury REVIEW OF SAN MATEO COUNTY PAYROLL PRACTICES Report to the Controller:
Recomendaciones adicionales
5
No vinculadas a hallazgos específicos.
R5:
CTL Only - Unauthorized timesheets by Supervisor
R6:
CTL Only - Unauthorized timesheets by PRC 1.1.3 TIME & ATTENDANCE TYPE DESCRIPTION
R7:
Timesheet Errors – Supervisors
R8:
Timesheet Errors – PRCs
R9:
Timesheet Errors – CTL Distribution Lists CSM has requested the ability to mail “global” notices to all employees. Distribution lists can be created via the Maint->Message->Distribution screen. WB has created a global distribution list as part of this implementation. WB will train CSM IT on how to update the list when new hires. Update can either be performed manually via the Distribution screen or by running an SQL query on the backend to add new employees to the list. Custom 50% Report: Interfaces/ WB will implement a custom interaction to allow PRCs to assign temporary “Home” teams for a given Reports employee when they log more that 50%of their time outside their home department. Eligibility for the report is based on the time codes used to log time and whether or not an employee’s team is designated for “50% Eligibility”. The following codes will be considered by this feature (custom code). 001 045 056 070 641 006 048 057 073 648 025 051 058 075 652 035 052 059 076 664 041 053 064 079 690 043 054 066 090 044 055 069 635 Pay Period Summary – Supervisor Custom report based on the CORE “Pay Period Summary report”. Interaction will have a new parameter field “Sup Authorization” to query Approved, Not Approved, and ALL. Supervisor will use the report to authorize the timesheets. Pay Period Summary – PRC Custom report based on the CORE “Pay Period Summary report”. Interaction will have a new parameter fields “PRC Authorization” and “Sup Authorization” to query Approved, Not Approved, and ALL. PRCs will use the report to authorize the timesheets as a PRC and also tracking unauthorized timesheets by supervisors. CSM also requested the following header links that will query specific sets of values on these 2 custom PPS reports. The following links were built for CSM:
Hallazgos & Recomendaciones
3 hallazgos
F1:
Establish an Audit Committee to advise the Board of Supervisors regarding the selection of the San Mateo County’s independent auditors and regarding a review of the County’s financial statement auditing process. The Audit Committee should be composed solely of members of the Board of Supervisors. Response: Concur. The Board created and appointed two Board members to an Audit/Management Review Committee in October 2005. On April 10, 2007, the Board established five standing committees to streamline committee assignments. The standing committees, each consisting of two Board members, subsumed numerous, sometimes duplicative and often narrowly focused subcommittees to improve the County’s efficiency and effectiveness in developing and setting policy. One of the Board’s standing committees is the Finance and Operations Committee, which has been meeting regularly since July. A resolution with proposed changes to the committee structure will be brought to the Board in December, which will include a change indicating that the Finance and Operations Committee will serve as the County’s Audit Committee.
Recomendaciones relacionadas (1)
R1:
The Grand Jury recommends that the San Mateo County Board of Supervisors:
Establish an Audit Committee to advise the Board of Supervisors regarding the selection of San Mateo County’s independent auditors and regarding a review of the County’s financial statement auditing process. The Audit Committee should be composed solely of members of the Board of Supervisors.
F2:
Establish an Audit Committee pursuant to a resolution containing substantially the matters set forth in Exhibit A to this report. Response: Concur. A resolution with proposed changes to the Board committee structure will be brought to the Board in December, which will include a change indicating that the Finance and Operations Committee will serve as the County’s Audit Committee. If approved, the Committee will consider the scope of activities described in Exhibit A at a future meeting.
Recomendaciones relacionadas (1)
R2:
The Grand Jury recommends that the San Mateo County Board of Supervisors:
Establish an Audit Committee pursuant to a resolution containing substantially the matters set forth in Exhibit A to this report. The Grand Jury recommends that the San Mateo County Controller:
F3:
Work with the independent auditors to ensure that the Report to Supervisors (management letter) is delivered promptly following completion of the audit.
Recomendaciones relacionadas (1)
R3:
The Grand Jury recommends that the San Mateo County Controller:
Work with the independent auditors to ensure that the Report to Supervisors (management letter) is delivered promptly following completion of the audit. The Grand Jury recommends that future San Mateo County Civil Grand Juries establish an audit committee. This audit committee should advise the entire Grand Jury regarding its duties under California Penal Code Sections 925 and 926 and shall have the objectives and responsibilities as set forth in Exhibit B of this report. The Grand Jury should establish procedures for reviewing the financial reports of the approximately 90 governmental entities operating in the County to identify actual and potential financial problems. EXHIBIT “A” Board of Supervisors Audit Committee Resolution COMMITTEE The Board of Supervisors (the “Board”) of San Mateo County (the “County”) has established a standing committee to be known as the Audit Committee (the “Committee”). OBJECTIVES The purpose of the Committee is to act in an advisory capacity to the Board, recommending the selection of the County’s independent auditors and reporting annually to the Board of Supervisors and to the Grand Jury regarding the County’s auditing, accounting and control functions and financial reporting process. COMPOSITION The Committee’s composition shall consist of two (2) members of the Board. One of the members so appointed will be designated by the Board as the Chairperson of the Committee. It is desirable for one member of the Committee to have past employment experience in finance or accounting, requisite professional certification in accounting, or any other comparable experience or background which results in the individual’s financial sophistication. SCOPE OF ACTIVITIES The Committee shall exercise the following powers and duties: (a) Recommend to the Board and the Grand Jury the firm of independent auditors to be selected to audit the County financial statements; (b) Meet with the County’s independent auditors at least annually and review the scope of the annual audit (inclusions and exclusions), any open questions as to the choice of acceptable accounting principles to be applied and all other matters relating to the auditors’ relationship with the County; (c) Advise the Board as to the auditors’ performance, including the scope and adequacy of the auditors’ review; (d) Recommend, where appropriate, the removal or replacement of the independent auditors; (e) Review the County’s annual financial statements, including the footnotes, and discuss such statements with the auditors prior to release of the County’s annual report; (f) Receive and consider the auditors’ comments and suggestions as to internal audit and control procedures, adequacy of staff, and other matters; (g) Receive and review periodic reports of the County’s Controller and internal audit staff; meet with the Controller and internal audit staff to review and approve the internal audit staff to examine and approve the internal audit programs; review the executive management’s responses to internal audit staff reports; review the adequacy of the County’s internal audit staff and report thereon to the Board; (h) Approve non-audit services to be rendered to the County by the independent auditors, if any, after considering the effect on audit independence; (i) Meet with and obtain reports and information from such County officials, employees, suppliers and others as the Audit Committee shall determine to be necessary in carrying out their duties as set forth above; (j) Take, or recommend that the Board take, appropriate action to oversee the independence of the outside auditors; (k) Receive and review periodic written statements from the independent auditors delineating all relationships between the auditors and the County; and (l) Engage in an active dialogue with the auditors with respect to any disclosed relationships or services that may impact the objectivity and independence of the auditors. MEETINGS The Committee shall hold regular meetings on such days as it shall determine. Other meetings of the Committee will be held at the request of the Chairperson of the Committee. Minutes shall be regularly kept of the Committee proceedings, by a person appointed by the Committee to do so. AGENDA Prior to each regularly scheduled meeting, the Committee will receive a prepared agenda for the meeting. Other topics for